CODE OF ETHICS & CONDUCT STAFF & VOLUNTEERS

Transcription

1 September 2015 Version 2.0 P14/14 CODE OF ETHICS & CONDUCT STAFF & VOLUNTEERS

2 POLICY REGISTRATION PURPOSE The purpose of the Code is to identify mandatory requirements and best practice conduct for all Sydney Living Museums workers, consistent with Part 2 of the Government Sector Employment Act 2013 (GSE Act) (the Ethical Framework for the government sector). The Ethical Framework is to be demonstrated by workers in their working relations with other government sector employees, clients and customers, stakeholders and the government of the day. The Code applies at all times when employees or other workers are acting in the course of, or in connection with, NSW government sector employment. The Code also specifies actions to be taken if there are breaches, or allegations of breaches, of the Code. BACKGROUND This Code of Conduct was developed with reference to the Office of Environment and Heritage s Code of Ethics and Conduct and implements the Code of Ethics and Conduct for NSW government sector employees. SCOPE The Code of Ethics and Conduct applies to all SLM employees, volunteers, interns and other unwaged people working for SLM (known collectively in this Code as workers ). Compliance with this Code is mandatory. Failure to comply with the Code and associated policies may lead to disciplinary (including termination of employment), remedial or performance management actions. PROCEDURES This Code refers to numerous policies and procedures, some of which may be under review. Please contact the Human Resources Team or the Head of Compliance & Knowledge if you have any questions. ROLES AND RESPONSIBILITIES Executive Director: responsible for approving significant revisions Heads of Teams/Managers: responsible for ensuring their staff are aware of and comply with the Code, advising an employee on which is SLM s expectations on appropriate and ethical behaviour, demonstrating ethical, fair and professional behaviour. Head of Human Resources: responsible for reviewing and updating the Code. Recruitment & Training Officer: responsible for issuing the Code to all new staff as part of their offer of employment. Workers: responsible for understanding the terms of the Code, abiding by its guidelines on ethical and professional behaviour and consulting their manager when unsure of what behaviour or action is expected of them. Employees are also responsible for reporting and incidents when the Code is or perceived to be breached. DELEGATIONS None LEGISLATION Government Sector Employment Act 2013 sections 25 and 30 (regarding the general conduct and management of organisations in accordance with the core values) and section 63 (regarding workforce diversity and the integration of workforce diversity into agency workforce planning); Public Finance and Audit Act 1983 sections 11 and 45C (regarding the system of internal control over the financial and related operations of agencies);

3 POLICY REGISTRATION Anti-Discrimination Act 1977 (regarding equal employment opportunity and equal access to services); Government Information (Public Access) Act 2009 (regarding public access arrangements to agency information); Public Interest Disclosures Act 1994 (regarding receiving, assessing and dealing with public interest disclosures); Independent Commission Against Corruption Act 1988 (regarding reporting of any matter suspected on reasonable grounds to involve corrupt conduct and to comply with any requirement or direction of the ICAC in relation to a referral of matters by the ICAC); Privacy and Personal Information Protection Act 1998 (regarding the protection of personal information, and the protection of the privacy of individuals generally); Public Works and Procurement Act 1912 (regarding the procurement of goods and services by government agencies); Health Records and Information Privacy Act 2002 (regarding the fair and responsible handling of health information); Work Health and Safety Act 2011 (regarding the health and safety of employees and the maintenance of healthy and safe workplaces); Government Advertising Act 2011 (regarding requirements to issue advertising compliance certificates); Ombudsman Act 1974 (regarding obligations to cooperate with investigations by the Ombudsman and obligations relating to reportable conduct concerning child protection matters); State Records Act 1998 (regarding the creation, management and protection of agency records and public access to those records); Children and Young Persons (Care and Protection) Act 1998 (regarding obligations relating to the care and protection of, and provision of services to, children and young persons, including obligations relating to exchange of information and coordination of services between agencies); Child Protection (Working with Children) Act 2012 (regarding obligations to obtain checks and clearances for employees engaged in child-related work); and Crimes Act 1900 (regarding criminal offences). RELATED POLICIES All SLM policies and procedures see within OTHER RELATED DOCUMENTS Ethical Framework (Part 2 of the Government Sector Employment Act 2013) Public Service Commissioner Direction No.1 of 2015 Public Service Commissioner Direction No.1 of 2014 Behaving Ethically: A guide for NSW government sector employees containing the draft Code of Ethics and Conduct for NSW government sector employees: behaving-ethically SLM Induction Manual Premier s Memorandum Dignity and Respect: Policy and Guidelines on Preventing and Managing Workplace Bullying DEFINITIONS As per the Government Sector Employment Act

4 POLICY REGISTRATION SUPERSEDED DOCUMENTS Code of Conduct: Staff and Volunteers last modified in March 2014 REVISION HISTORY VERSION DATE ISSUED NOTES By 1 Previous version was undated but modified in January Formatted to reflect the Policy Framework and Template approved by the Trust in Values and text amended to reflect the Model Code of Conduct as set out in Chapter 8 of the Public Service Commission Personnel Handbook version 12.4 issued December Gifts & Benefits revised to strengthen transparency & accountability. Added requirement to ensure sensitive and confidential material appropriately identified. Drug and alcohol usage, recordkeeping, working with children sections added. Rebranded with SLM brand and logo. Added additional references to coverage of volunteers 1.1 Mar 2014 Minor amendment to remove requirement for part time and casual employees to seek approval for secondary employment. 2 Sept 2015 Major amendment to bring Code in line with new Ethical Framework and the OEH Code of Ethics and Conduct Head of Compliance & Knowledge, Recruitment & Training Officer Head of Compliance & Knowledge Policy & Compliance Officer Policy & Compliance Officer REVIEW DATE This policy will be reviewed every two years by the Audit & Risk Committee to reflect currency in relation to the Public Sector Employment and Management Act 2002, the Government Sector Employment Act 2013, and related Regulations and Rules, the Public Service Commission Ethical Framework and other relevant policies. Next review date is 20/08/2017. CONTACT: Georgina Pearce, Head of Human Resources georginap@sydneylivingmuseums.com.au T

5 CODE OF ETHICS & CONDUCT: STAFF & VOLUNTEERS 1. The Ethical Framework Introduction Ethical framework for the government sector Sydney Living Museums context 6 2. Mandatory conduct Responsibilities Applying the Ethical Framework Acting in the public interest Managing conflicts of interests Declaration of private interests for senior executives Working with colleagues, customers, clients and stakeholders Bullying, harassment and discrimination Compliance with the law, government and SLM policy Interaction with lobbyists Appropriate use of public resources Public comment and use of official information Protecting confidential information Records Management Managing gifts, benefits or hospitality Managing private activities and secondary employment Workplace health and safety Security Responsibilities of Employees after they leave SLM Complaints against workers Criminal conduct Behaviour contrary to the Code The effect of behaviour that is contrary to the code If you see behaviour contrary to this Code Actions when allegations are made Good practice guides Deciding and acting ethically Encourage ethical behaviour by other employees Staff & Volunteer Agreement 18 4

6 1. THE ETHICAL FRAMEWORK 1.1 INTRODUCTION Part 2 of the Government Sector Employment Act 2013 establishes the Ethical Framework for the government sector. The objective, core values and principles of the Ethical Framework are to be demonstrated in the conduct of all government sector employees and heads of government sector agencies. 1.2 ETHICAL FRAMEWORK FOR THE GOVERNMENT SECTOR Objective Recognise the role of the government sector in preserving the public interest, defending public value and adding professional quality and value to the commitments of the Government of the day; and Establish an ethical framework for a merit-based, apolitical and professional government sector that implements the decisions of the Government of the day. Core values The core values for the government sector and the principles that guide their implementation are: Integrity Consider people equally, without prejudice or favour. Act professionally with honesty, consistency and impartiality. Take responsibility for situations, showing leadership and courage. Place the public interest over personal interest. Trust Appreciate difference and welcome learning from others. Build relationships based on mutual respect. Uphold the law, institutions of government and democratic principles. Communicate intentions clearly and invite teamwork and collaboration. Provide apolitical and non-partisan advice. Service Provide services fairly, with a focus on customer needs. Be flexible, innovative and reliable in service delivery. Engage with the not-for-profit and business sectors to develop and implement service solutions. Focus on quality while maximising service delivery. Accountability Recruit and promote employees on merit. Take responsibility for decisions and actions. Provide transparency to enable public scrutiny. Observe standards for safety. Be fiscally responsible and focus on efficient, effective and prudent use of resources. General provisions The Public Service Commissioner has the function of promoting and maintaining the government sector core values. There is no hierarchy among the core values and each is of equal importance. Nothing in the Ethical Framework gives rise to, or can be taken into account in, any civil cause of action. SLM recognises that you may have additional ethical obligations associated with your profession such as relating to: Australian Institute for the Conservation of Cultural Materials (ICCM) Code of Ethics (Practice) NSW Government Voluntary Code of Practice for Out of School Care or Accountancy. 5

7 1. THE ETHICAL FRAMEWORK You need to be aware of potential conflicts that may impact on the core values of the NSW Public Service. In such situations you should bring this to the attention of your supervisor or manager. 1.3 SYDNEY LIVING MUSEUMS CONTEXT In addition to the government sector core values you should be mindful of the SLM s mission to care for significant historic places, buildings, collections and landscapes with integrity, and enable people to enjoy and learn about them. We aim to carry out our mission in accordance with SLM s core values, incorporating the following: Passion Care about what the organisation stands for and want to share that with others Teamwork Trust and respect each other, listen, act fairly, constructively and supportively. Actively contribute to improving the way SLM does business and value the contributions of others. Fun Wear professionalism lightly. Be respectful of what you do and stand for but also aim to have fun and enjoy your work at SLM. 2. MANDATORY CONDUCT 2.1 RESPONSIBILITIES All SLM employees, contractors and volunteers have responsibilities to: Demonstrate high levels of personal conduct consistent with the Ethical Framework Seek assistance when unsure about how to implement the Ethical Framework Promote the implementation of the Ethical Framework to their colleagues Report possible breaches of the Ethical Framework to relevant officers. All managers and members of the Executive have the responsibilities of SLM government sector employees (above), and in addition have responsibilities to: Lead and promote implementation of the Ethical Framework in their workplace Ensure their workplace culture, practices and systems (including recruitment and promotion) operate consistently with the Ethical Framework Recognise and promote employee and team conduct that exemplifies the Ethical Framework Act promptly and with due process to prevent and address any breaches of the Ethical Framework In the case of members of the Executive (including an acting member), declare in writing private interests that have the potential to influence, or could be perceived to influence, decisions made or advice given by the Executive member Ensure any real or perceived conflicts of interests are avoided or effectively managed. The SLM Executive Director has the responsibility of members of the Executive (above), and in addition has responsibilities to: Lead and promote implementation of the Ethical Framework in SLM Ensure the general conduct and management of the functions and activities of SLM are in accordance with the core values of the Ethical Framework Oversee the implementation of the Ethical Framework and make improvements where necessary. 6

8 2. MANDATORY CONDUCT 2.2 APPLYING THE ETHICAL FRAMEWORK The Ethical Framework is to be applied at all times in working relations with colleagues, clients and customers, stakeholders and the Government of the day. These working relations are depicted in the following diagram: 2.3 ACTING IN THE PUBLIC INTEREST You should treat all people with whom you have contact in the course of your work: Equally without prejudice or favour With honesty, consistency and impartiality. You should also, in the course of your work: Place the public interest over your personal interest Uphold the law, institutions of government and democratic principles Provide apolitical and non-partisan advice Provide transparency to enable public scrutiny Be fiscally responsible and focus on efficient, effective and prudent use of resources. Acting in the public interest requires leadership, and may require courage and innovation to develop practical recommendations and actions consistent with the core values and will help the Government of the day achieve its objectives. Acting in ways that are expedient or convenient, but which do not promote the integrity, trust, service and accountability of the public sector, is not in the public interest. 2.4 MANAGING CONFLICTS OF INTERESTS Sometimes you may find that your private interests make it difficult for you to perform your duties impartially in the public interest. This may happen when there is a direct conflict between your current duties and responsibilities and your private interests (an actual conflict of interests); when a person could reasonably perceive that your private interests are likely to improperly influence the performance of your official duties, whether or not this is in fact the case (a reasonably perceived conflict of interests); or when you have a private interest that could conflict with your official duties in the future (a potential conflict of interests). 7

9 2. MANDATORY CONDUCT Some circumstances which may give rise to a possible conflict of interest may include: Financial interest in a company which SLM may use as a contractor; Personal relationships (friends/family) with a company SLM may use as a contractor; Personal beliefs that may affect the impartiality of advice; Participating in a selection panel where a relative or friend has applied for the position; Membership of an organisation that may make adverse comments in relation to SLM s activities; Having another job or other employment that may, or may appear to, compromise SLM s integrity or your integrity as an SLM employee;participating in political activities to do with, or making political comments about, SLM s work. Actions you should take include: Always disclose actual, potential or reasonably perceived conflicts of interests to your manager as soon as you become aware of the conflict Where a conflict of interests occurs it should always be resolved in favour of the public interest, rather than your own. To resolve any conflicts of interests that occur, or could occur, a range of options are available to SLM depending on the significance of the conflict. These options include, but are not limited to 1 : Informing likely affected persons that a disclosure has been made, giving details and SLM s view that there is no actual conflict or the potential for conflict is minimal Appointing further persons to a panel/committee/team to minimise the actual or perceived influence or involvement of the worker with the actual or reasonably perceived conflict Where the persons likely to be concerned about a potential, actual or reasonably perceived conflict are identifiable, seeking their views as to whether they object to the worker having any, or any further, involvement in the matter Restricting the access of the worker to relevant information that is sensitive, confidential or secret Directing the worker to behave at all times in ways that are consistent with SLM s responsibilities and functions Removing the worker from duties or from responsibility to make decisions in relation to which the conflict arises and reallocating those duties to another employee (who is not supervised by the person with the conflict ). Failure to disclose a conflict of interest may lead to disciplinary action and may also constitute corrupt conduct as defined by the Independent Commission Against Corruption Act DECLARATION OF PRIVATE INTERESTS FOR MEMBERS OF THE EXECUTIVE A member of the Executive (including an acting member) must make a written declaration of private financial, business, personal or other interests or relationships that have the potential to influence, or could be perceived to influence, decisions made or advice given by the Executive. Where a member of the Executive has no such private interests to declare, s/he must declare a nil return. After a member of the Executive makes an initial declaration, a fresh declaration must be made: As soon as practicable, following any relevant change in the Executive member s private interests As soon as practicable, following the Executive member s assignment to a new role or responsibility At least annually. A form for making a private interests declaration is available at the policies and procedures page on the SLM intranet. An Executive member must provide their declaration to the Executive Director. 1. For further detail on how to manage actual, potential or reasonably perceived conflicts of interests, see the NSW Ombudsman Fact Sheet Conflicts of Interest at au/ data/assets/pdf_file/0004/3685/fs_psa_03_conflict_of_interest.pdf 8

10 2. MANDATORY CONDUCT The Executive Director must provide their declaration to the Chief Executive of the Office of Environment and Heritage. A person to whom a declaration is to be provided is responsible for ensuring: Members of the Executive complete declarations Handling and storage of declarations complies with the requirements of the Privacy and Personal Information Protection Act WORKING WITH COLLEAGUES, CUSTOMERS, CLIENTS AND STAKEHOLDERS All government sector employees are to treat their colleagues, customers, clients, stakeholders and the Government of the day by: Considering people equally without prejudice or favour Acting professionally with honesty, consistency and impartiality Taking responsibility for situations, showing leadership and courage Placing the public interest over personal interest Appreciating difference and welcoming learning from others Building relationships based on mutual respect Upholding the law, institutions of government and democratic principles Communicating intentions clearly and inviting teamwork and collaboration Providing apolitical and non-partisan advice Providing services fairly with a focus on customer needs Being flexible, innovative and reliable in service delivery Engaging with the not-for-profit and business sectors to develop and implement service solutions Focusing on quality while maximising service delivery Recruiting and promoting employees on merit Taking responsibility for decisions and actions Providing transparency to enable public scrutiny Observing standards for safety Being fiscally responsible and focussing on efficient, effective and prudent use of resources. SLM has zero tolerance of bullying, harassment, discrimination and inappropriate workplace conduct. You must treat all colleagues, customers, clients and stakeholders with dignity and respect (see section 2.7). If you are in a role that involves working with children you will need to meet the legislative requirements of the Children and Young Persons (Care and Protection) Act 1998 and Child Protection (Working with Children) Act This includes undergoing a working with children check. For more information refer to the Office of the Children s Guardian website. You must also act in accordance with the SLM Working with Children Policy. It is your responsibility to dress appropriately and have a high standard of personal presentation when you are working or representing SLM. If you wear a uniform you need to be mindful that, when wearing the uniform both in and outside of work, you are still representing SLM and must act in accordance with the values outlined in this Code. 2.7 BULLYING, HARASSMENT AND DISCRIMINATION SLM has zero tolerance of bullying, harassment and discrimination. You must treat all colleagues, customers, clients and stakeholders with dignity and respect. Bullying Bullying in the workplace generally involves excessive use of power over others, creating fear in order to control them. It is usually repeated behaviour that is deliberate and may cause a threat to workplace health and safety. Bullying behaviour may include: Verbal abuse Public humiliation 9

11 2. MANDATORY CONDUCT Excluding or isolating people Unreasonable criticism Continually changing the rules Deliberately changing work rosters to inconvenience someone Giving people meaningless or impossible tasks Deliberately establishing unreachable work goals Deliberately withholding important information Undermining a person s achievements Threatening to dismiss a person without a lawful reason. Actions that are necessary to effectively manage SLM s operations are reasonable management actions and do not constitute bullying. Examples of reasonable management action include: setting reasonable performance goals, standards and deadlines allocating work rostering and allocating reasonable working hours transferring an employee for operational reasons failing to promote someone after a proper, documented selection process informing an employee that their performance is unsatisfactory, after following established performance management guidelines informing an employee, objectively and confidentially, that their behaviour is inappropriate a restructure. If you feel you have been bullied or harassed you should discuss the matter with your manager or the Head of Human Resources. Please see the SLM Grievance Handling Procedure for more information. Further information is also available from WorkCover NSW. Discrimination and Harassment Discrimination occurs when someone is treated unfairly because they belong to a particular group or have a particular characteristic. Harassment occurs when someone is subjected to behaviour that: they do not want offends, humiliates or intimidates them creates a hostile environment or targets a person because of a particular characteristic. SLM workers must not harass or discriminate against any person, whether on the grounds of sex, marital status, age, race, colour, ethnic or national origin, physical or intellectual impairment, sexual preference, carer responsibilities, political or religious conviction. Such harassment or discrimination may constitute an offence under the Anti-Discrimination Act Managers are responsible for seeking to ensure that the workplace is free from all forms of harassment and discrimination. They should understand and apply the principles of equal employment opportunity and ensure that workers are informed of these principles. Managers should also take all necessary steps, such as training and other active measures, to prevent and deal with harassment and discrimination in their work area. Any worker who feels they have been discriminated against or harassed should discuss the matter with their manager or the Head of Human Resources. Please refer to the SLM Grievance Handling Procedure for more information. 10

12 2. MANDATORY CONDUCT 2.8 COMPLIANCE WITH THE LAW, GOVERNMENT AND SLM POLICY You must comply with any relevant legislative, industrial and administrative requirements and with any lawful direction made by a person with the authority to give such a direction. You are required to have a good working knowledge of and comply with relevant NSW Government policies and requirements as advised through circulars, memoranda, Treasurer s Directions or the SLM Executive. You must be familiar with and act in accordance with SLM policies and procedures which affect your position. In addition to policies mentioned elsewhere in this Code, these include: Audit & Risk Committee Charter Director s Briefing and Approvals Process Procedure SLM Contract Register Procedure Staff Discounts Policy SLM Members Program Policy Terms & Conditions for Tickets Policy Child Concession & Family Prices Policy School Learning Programs Bookings Policy HHT Investment Policy Dignity & Respect in the Workplace Charter Induction Manual Working from home Procedure Working with Children Allegation Handling Procedure Ruth Pope Bequest Travelling Scholarship Procedure ICT Security Framework Policy Guarantee of Service Disability Access Policy Volunteer Handbook SLM Policies and Procedures are available on the SLM intranet at the link below. Documents listed as under review will be reviewed over the coming months. As new versions are developed they will be published on the intranet, and any superceded policies will be removed. Until a policy is reviewed, the general principles of the previous policy will apply. If you have any questions about policies or procedures, refer them to the Head of Compliance & Knowledge. Volunteers will be provided with copies of the policies and procedures relevant to their work 2.9 INTERACTION WITH LOBBYISTS All government sector employees and heads of government sector agencies must comply with Premier s Memorandum M NSW Lobbyists Code of Conduct published on the Department of Premier and Cabinet s website, as amended from time to time APPROPRIATE USE OF PUBLIC RESOURCES You must use public resources in an efficient, effective and prudent way. Never use public resources money, property, facilities, equipment, materials, consumables, staff or volunteers for your personal benefit, or for an unauthorised purpose. Limited personal use of employee communication devices (eg computers, mobile phones or similar devices) is permitted, provided the use is infrequent, brief, involves minimal cost and does not interfere with your work performance. 11

13 2. MANDATORY CONDUCT When using SLM resources, you must not transmit, communicate or access information that could: damage SLM s reputation be misleading or deceptive result in victimisation or harassment; lead to criminal penalty or civil liability or be reasonably found to be offensive, obscene, threatening, abusive or defamatory (e.g. pornographic or sexually explicit material images and/or text). SLM vehicles may be used only for official business, which may include overnight garaging at your home address. This rule does not apply to employees whose employment terms and conditions include private use of a vehicle. If you are responsible for receiving, spending or accounting for money, ensure you know, understand and comply with the requirements of the Public Finance and Audit Act 1983, the Public Works and Procurement Act 1912 and the Government Advertising Act Relevant policies and procedures that detail your responsibilities and guide how you should use public resources include: Finance Manual [in draft] Corporate Credit Card Policy Financial Delegations Procurement Policy [in draft] HHT Investment Policy Managing Gifts & Benefits Policy ICT Acceptable Use Policy Mobile Device Policy Mobile Phone Usage Policy Password Standards Policy Employee Tenancy Policy 2.11 PUBLIC COMMENT AND USE OF OFFICIAL INFORMATION Public comment refers to public speaking engagements, comments on radio and television or in letters to newspapers, guided tours, educational material and expressing views in books or journals where it is expected that the comments will spread to the community at large. As a general rule, you may disclose official information that is normally given to members of the public seeking that information. This may include information contained in annual reports, public relations material, media releases and guided tours. You should ensure that others are aware that you are providing or discussing only material in the public domain. You should only disclose other official information or documents: in the course of your duties when authorised by SLM when required to, or authorised to, do so by law or when called to give evidence in court. In these cases, comments should be confined to factual information and should not, as far as possible, express an opinion on official policy or practice unless required to do so by the circumstances of the particular situation (e.g. asked to do so in court). 12

14 2. MANDATORY CONDUCT You should take care in situations where public comment, although made in a private capacity, may appear to be an official comment on behalf of SLM. In such circumstances, you should preface your remarks with a comment that they are made in a private or union capacity and do not represent the official view of SLM. Private citizen comments must not be made using any SLM resources (e.g. letterhead or systems). If you are expected to make public comment due to your position, such as curators, you will be provided with appropriate media training. If you are unsure if you should provide a public comment when approached by a journalist or other media representative please contact SLM s Media Manager on If you are an elected or nominated spokesperson for a professional association or a union, you are entitled to make public comments in relation to SLM matters as long as it is clear that those comments represent the association or union views, and not necessarily those of SLM. Employees making statements should clearly acknowledge the capacity in which they are expressing their views. SLM volunteers are not permitted to make statements to the media concerning SLM business without the approval of the Executive Director or his nominee PROTECTING CONFIDENTIAL INFORMATION In the course of carrying out your duties you may have access to confidential, sensitive personal, commercial or political information, including intellectual property that belongs to SLM. Never use this information for your personal benefit, or for an unauthorised purpose. You must follow established procedures regarding storage, disclosure and distribution of such information. Unless authorised to do so by legislation, you must ensure that you do not disclose or use any confidential information without authorisation. Unauthorised disclosures may cause harm to individuals or give an individual or an organisation an improper advantage. The integrity and credibility of SLM may also be damaged if it appears unable to keep its information secure. You must also ensure that confidential information, in any form (eg. computer files, recruitment recommendations), cannot be accessed by unauthorised people and that sensitive information is only discussed with people, either within or outside SLM, who are authorised to have access to it. Any sensitive or confidential information that is disclosed under authorisation, must be clearly labelled to reflect the sensitive or confidential nature of the information. Policies and procedures that detail your responsibilities and guide how you should use official, sensitive and private information include: Privacy Management Plan Access to Government Information Procedure Employee Records: Record keeping & Access Procedure Records Management Policy 2.13 RECORDS MANAGEMENT You are responsible for creating and maintaining full and accurate records that document official business. In particular, you are required to ensure that you document decisions, commitments, judgments, meetings and other events that provide evidence of business transactions or that contain information essential to SLM. Employees are all also responsible for ensuring that those records are captured into SLM s official recordkeeping system. For further information on your recordkeeping responsibilities refer to SLM s Records Management Policy and associated procedures, including the Records Naming Conventions Procedure and the Records Destruction Procedure. 13

15 2. MANDATORY CONDUCT 2.14 MANAGING GIFTS, BENEFITS OR HOSPITALITY You should never seek or accept any gift, benefit or hospitality that is, or could reasonably be perceived by an impartial observer to be, intended or likely to influence a decision or action. Refer to the Managing Gifts and Benefits Policy for further information on how you should deal with offers of gifts, benefits or hospitality MANAGING PRIVATE ACTIVITIES AND SECONDARY EMPLOYMENT In addition to managing conflicts of interest you need to ensure that activities you undertake in your private life do not impact, or are not perceived to impact, on the activities and reputation of SLM. There are a number of situations where you will need to clearly demonstrate that activities you are undertaking are in a private capacity and are not representative of SLM, including: When making public comments When making submissions to proposals or inquiries During political and community participation If you have secondary employment or other business interests. Full-time SLM employees must seek approval from the Executive Director prior to accepting any offer of employment or contract/consultancy work outside SLM. For approval to be granted,: all work of SLM is to take precedence over any secondary employment; the working hours of the secondary employment is not to interfere with the contracted hours of employment by SLM; there must be no conflict of interest; and the secondary employment must not affect the performance standard in fulfilling SLM duties. Consulting services to other organisations or individuals should not be provided by SLM employees without prior approval from the Executive Director. If the consultant services are part of the employee s normal duties, all fees received are to be appropriated by SLM. Fees for publications, articles etc, if carried out during SLM time will also be appropriated by SLM. Fees for paid services carried out in private time may be retained by the employee, subject to prior approval from the Executive Director having been obtained. While the requirement to seek approval does not apply to part-time or casual employees, they must ensure that any secondary employment does not create a conflict of interest WORK HEALTH AND SAFETY You must take reasonable care for your own health and safety and do nothing that adversely affects the health and safety of others. You should report health and safety risks to your manager and must report all incidents of accidents, injuries and near misses to Human Resources via the Incident Report Form. Incident Report Forms are available on the intranet. You are required to familiarise yourself with SLM s WHS policies and procedures. You should make sure that alcohol and drugs do not impair your work performance and inform your manager if you are taking medication that may affect your work. Relevant policies and procedures that detail your responsibilities and guide how you should manage workplace health and safety include: WHS Framework Injury Management & Return to Work Policy WHS Consultation Policy WHS Committee and Health & Safety Representatives Policy Critical Incident Management Plan 14

16 2. MANDATORY CONDUCT Contractor Induction Safety Site & Safety Procedure Handling of Suspicious Mail Packages or Deliveries Procedure Dealing with Unreasonable Behaviour Procedure First Aid Officers: designated positions, training and allowances Policy 2.18 SECURITY It is your responsibility to be aware of all security considerations and to follow security procedures for your workplace. This includes the security of buildings, collections, properties/sites and equipment. Relevant policies and procedures that detail your responsibilities and guide how you should manage SLM security include: Physical Security & Access to Controlled Areas ICT Security Framework Policy Collections Management Policy Critical Incident Management Plan Disaster Preparedness plans Emergency Procedures RESPONSIBILITIES OF EMPLOYEES AFTER THEY LEAVE SLM You should not use your position to obtain opportunities for future employment or allow your work to be influenced by plans for, or offers of, employment outside SLM. When dealing with former SLM employees you should be careful to ensure that you do not give them, or appear to give them, favourable treatment or access to confidential information. Similarly, after you leave SLM you must not use, or take advantage of, confidential information obtained in the course of your duties. You are to ensure that you take all applicable actions as required by the Exiting Worker Procedure before you leave SLM COMPLAINTS AGAINST WORKERS You must promptly notify the Executive Director once becoming aware of any complaint made by a member of the public about a worker. The Executive Director may report the matter to the Chief Executive, Office of Environment and Heritage, if appropriate. Any employee complaint matter requiring investigation will be referred to an appropriate member of the Executive. Recommendations resulting from the investigation will be reviewed and approved or otherwise by the Executive Director personally. All other complaints will be dealt with in accordance with the SLM Grievance Handling Procedure CRIMINAL CONDUCT You must advise your manager if you are charged with a criminal offence, which is punishable by imprisonment or, if found guilty, could reasonably be seen to affect your ability to meet the requirements of the work you are engaged to perform. In circumstance where criminal charges will not impact on your work performance, and you have concerns about raising this with your manager, you must then report this charge to the Head of Human Resources in the first instance. 15

17 3. BEHAVIOUR CONTRARY TO THE CODE 3.1 THE EFFECT OF BEHAVIOUR THAT IS CONTRARY TO THE CODE Behaviour contrary to this Code and to the Ethical framework for the government sector (Part 2: Government Sector Employment Act 2013) can bring individual employees into disrepute, undermine productive working relationships in the workplace, hinder customer service delivery, and damage public trust in SLM or the broader government sector. Behaving contrary to this Code may also result in referring the conduct to external agencies, such as the Independent Commission Against Corruption and the NSW Ombudsman. If you are unsure of what is appropriate conduct under any particular circumstances, discuss the matter with your supervisor, manager or the contact listed in the applicable policy. 3.2 IF YOU SEE BEHAVIOUR CONTRARY TO THIS CODE If you see someone act in ways that you think may be contrary to this Code, you should in the first instance discuss that person s behaviour with your immediate supervisor or manager, or report your concerns to any member of SLM s Executive. If you believe certain conduct is not just unethical, but may also be corrupt, a serious and substantial waste of government resources, maladministration or a breach of government information and privacy rights, then report your concerns to SLM s Public Interest Disclosures Coordinator or Nominated Disclosures Officer, the Executive Director or the relevant investigating authority (such as the NSW Ombudsman, Independent Commission Against Corruption or the NSW Auditor-General). Under the Public Interest Disclosures Act 1994, it is both a criminal offence and misconduct to take reprisals against an employee who makes a public interest disclosure. For further information refer to the Public Interest Disclosure Policy or contact Madeleine Bennison, Head of Compliance & Knowledge. 3.3 ACTIONS WHEN ALLEGATIONS ARE MADE If it is alleged that you have acted in a way that is contrary to this Code, you will have an opportunity to provide your version of events. How this will happen will be proportionate to the seriousness of the matter. In those cases where the allegation is minor or of a low level, your manager will usually discuss this matter directly with you. If the allegations are more serious, a formal process may be required. If you are responsible for investigating an allegation of a behaviour that is contrary to this Code, you must ensure your decision-making is fair and reasonable by acting consistently with four principles 2 : Procedural fairness for both the complainant and staff member Investigations should be handled expeditiously. This will minimise the potential for breaches of confidentiality and lack of procedural fairness Confidentiality for all parties, where practicable and appropriate, until such time as the investigation process is completed and beyond Meticulous recordkeeping, including recording of reasons for all significant decisions. For SLM employees, the Government Sector Employment Act 2013 and the Government Sector Employment Rules 2014 set out how allegations of misconduct are to be dealt with. Part 8 of the Government Sector Employment Rules sets out the procedural requirements for dealing with allegations of misconduct, which include requirements that you be advised of the detail of the allegation; the process to be undertaken to investigate and resolve the matter; and that you be provided an opportunity to respond to the allegations. 2 NSW Ombudsman ( data/assets/pdf_file/0017/3707/fs_psa_14_natural_justice_procedural_fairness.pdf) 16

18 4. GOOD PRACTICE GUIDES 4.1 DECIDING AND ACTING ETHICALLY To make the best-available decision: Scope the problem clarify the scope of the problem, and consider carefully how the problem affects (or may affect in the future) work colleagues; clients and customers; stakeholders; and the Government of the day. Wherever possible, consult affected people and communities. Develop a mix of options that address these questions: Duties: What are your responsibilities as defined by the law, Government policies, agency procedures, and your role description? Is it legal? Is it consistent with the principles & policies of the agency and the NSW government sector? Results: Which options will yield the greatest benefit (or least harm) to the most people, and minimise the number of people who might be disadvantaged in the short and longer term? What will the consequences be for my colleagues, the agency and yourself? What will the consequences be for other parties? Justice: Which options support due process, transparency, fair compensation for any loss, and fair treatment of those affected by any decision? Rights: Which options support the legal rights of citizens? Public interest: Which options best advance the public interest, without regard to your own reputation, career, personal views or potential for personal gain or loss? Resources: What is the likely impact on government finances, workforce, infrastructure and other assets? Innovation: Can the issue be addressed in new ways (such as the redesign of services, reengineering of work practices, or a new model of service delivery)? Evaluate and decide choose the option that best addresses the above issues and is in the public interest, supports integrity, builds trust, delivers better services and ensures accountability. To establish if your actions are consistent with the Ethical Framework consider your answers to the following questions: Integrity: Would your colleagues say you had considered the views of all interested parties and acted in the right way, even if it was at your personal cost? Trust: Would your action, if it became public, build confidence in the public sector? Service: Would your clients and customers say your actions improved the quality of the services they receive? Accountability: Would the head of your agency say your actions are consistent with the Ethical Framework and the law? Implement the decision in ways that are consistent with the objectives, values and principles of the Ethical Framework. Review and identify opportunities for continuous improvement. 4.2 ENCOURAGE ETHICAL BEHAVIOUR BY OTHER EMPLOYEES Ways to support the ethical behaviour of other employees include: Personal encourage your colleagues to act ethically by making ethical decisions and acting ethically yourself. Interpersonal encourage all employees to openly discuss ways to better implement the Ethical Framework in their individual actions, your team s practices and in your services to clients and customers. Organisational ensure the leadership, culture, governance, management and work practices, individual employee behaviour and customer services of your workplace are consistent with the Ethical Framework 17

19 5. STAFF & VOLUNTEER AGREEMENT I have read and understood the Code of Conduct and agree to comply with its provisions at all times while working in Historic Houses Trust of NSW, incorporating Sydney Living Museums (SLM). Print Name Signed Date / / 18