6. Procedures for Authorised Officers

6.1 Role of Authorised Officers

26. An Authorised Officer is defined in the PID Act. At PM&C, it refers to the Secretary, and people who may be appointed in writing as Authorised Officers from time to time. A list of the current Authorised Officers at PM&C is available at Public Interest Disclosure Scheme
27. Authorised Officers receive and allocate PIDs relating to PM&C in accordance with the PID Act and these Procedures.

6.2 Responsibilities of Authorised Officers

28. After an Authorised Officer receives a disclosure, the following steps must be taken:
    1. consider whether the discloser understands the PID Act;
    2. perform an assessment of the disclosure;
    3. decide whether to allocate the PID to a Principal Officer for consideration; and
    4. notify the discloser and the Commonwealth Ombudsman of the allocation.
29. The Authorised Officer is also responsible for conducting a risk assessment (see Appendix 6).

Stage 1: Receipt of information

30. Where an individual discloses, or proposes to disclose, information to an Authorised Officer and the Authorised Officer has reasonable grounds to believe that the information concerns, or could concern, disclosable conduct, and the individual may be unaware of the consequences of making a disclosure under the PID Act, the Authorised Officer must:
    1. advise the person that their disclosure could be considered an internal disclosure under the PID Act;
    2. explain what is required in order for the disclosure to be considered an internal disclosure;
    3. advise the individual about the circumstances (if any) in which a public interest disclosure must be referred to any agency, or other person or body, under another law of the Commonwealth; and
    4. advise the person of any designated publication restrictions that may affect disclosure of the information³.

Stage 2: Consider whether a disclosure should be allocated

31. When an Authorised Officer receives a disclosure (from a discloser, or the discloser's supervisor), they will consider the information disclosed and must allocate a disclosure to one or more agencies (which may or may not be PM&C) unless the Authorised Officer is satisfied on reasonable grounds that:
    1. there is no reasonable basis on which the disclosure could be considered to be an internal disclosure; or
    2. the conduct disclosed would be more appropriately investigated under another law or power (this ground cannot be satisfied only because the conduct disclosed raises a corruption issue).
32. The Authorised Officer must use their best endeavours to make a decision about the allocation of a disclosure within 14 days after the date on which the disclosure is made to or given to an Authorised Officer.
33. Before making a decision, the Authorised Officer must consider whether they have satisfied their obligations under s60 of the PID Act (which relate to providing information to disclosers).
34. If the Authorised Officer suspects the disclosure involves serious and systemic corrupt conduct, the Authorised Officer must refer the corruption issue to the NACC.
35. If the Authorised Officer decides to allocate a disclosure, it must be allocated to a Principal Officer of one or more agencies for investigation in accordance with Stage 3.
36. If the Authorised Officer decides not to allocate a disclosure, the Authorised Officer must:
    1. if reasonably practicable, give written notice to the discloser of:
       1. the decision not to allocate the disclosure and the reasons why the disclosure has not been allocated;
       2. if the Authorised Officer is satisfied on reasonable grounds that the conduct disclosed would be more appropriately investigated under another law or power, the details of:
          1. the other law or power;
          2. the agency or other person or body to which the conduct has been, or is to be referred; 
          3. the steps taken or proposed to be taken to refer the conduct disclosed, or to facilitate its referral, for investigation; and
          4. otherwise, any other course of action that might be available to the discloser under another law or power.
    2. give written notice to the Ombudsman (or the Inspector-General of Intelligence and Security (IGIS) if the conduct disclosed relates to an intelligence agency, ACIC or the AFP in relation to their intelligence functions) of:
       1. the reasons why the disclosure has not been allocated; and
       2. whether the Authorised Officer has taken, or proposes to take, action to refer the conduct disclosed, or to facilitate its referral, for investigation under another law or power, and if so, details of
          1. the other law or power;
          2. to whom the conduct has been referred;
          3. the agency or other person or body to which the conduct has been, or is to be referred; and
          4. the steps taken or proposed to be taken to refer the conduct disclosed for investigation.
    3. if the Authorised Officer is satisfied on reasonable grounds that the conduct disclosed would be more appropriately investigated under another law or power, take reasonable steps as soon as reasonably practicable to refer the conduct disclosed, or facilitate its referral, for investigation under the other law or power.
37. If a stop action direction under the NACC Act prevents the Authorised Officer from allocating a disclosure, the Authorised Officer must give written notice to the Ombudsman or IGIS (if the disclosure concerns conduct relating to an intelligence agency, IGIS, ACIC or AFP in relation to their intelligence functions), of
    1. the information that was disclosed to the Authorised Officer;
    2. the conduct disclosed; and
    3. if the discloser's name and contact details are known to the Authorised Officer, and the discloser consents to the Principal Officer and the Ombudsman/IGIS being informed – the discloser's name and contact details; and
    4. the stop action direction under the NACC Act that prevents allocation of some or all of the disclosure.
38. The Authorised Officer must also notify the discloser of the referral to the NACC as soon as reasonably practicable.
39. If a stop action direction is received under the NACC Act, the Authorised Officer must consider whether it is appropriate to notify a discloser that a stop action direction has prevented the allocation of the disclosure.  The Authorised Officer must carefully consider the terms of any stop action direction and consult with the Principal Officer (who may also consult with the NACC) prior to notifying a discloser.
40. An appropriate written record must be kept by the Authorised Officer of:
    1. the decision and the reasons for the decision;
    2. whether notice was given to the discloser, and if not, why not;
    3. if notice was given, a copy of the notice given to the discloser must be retained, which includes confirmation of the day and time the notice was given and the means by which the notice was given.
41. If a stop action direction prevents the allocation of a disclosure to an agency, a written record must be kept of the details of the direction, including when the direction was made and when the stop action direction no longer applies. The written record must also indicate whether the Principal Officer of the relevant agency considers that it is reasonably practicable or appropriate for the discloser to be given a copy of the notice.

Stage 3: Allocation

42. If the Authorised Officer decides to allocate the disclosure, the Authorised Officer must determine which agency it is appropriate to allocate the PID to. Generally, it is likely that PIDs that are made to PM&C and relate to PM&C should be investigated by PM&C. 
43. In determining where to allocate a PID, the Authorised Officer must:
    1. have regard to: 
       1. the principle that an agency should not handle the PID unless some or all of the suspected disclosable conduct relates to that agency (unless the agency is the Ombudsman, IGIS, or an investigative agency); and
       2. any other matters as the Authorised Officer considers relevant to their decision where to allocate a PID, including:
          1. whether another agency in the same portfolio as PM&C would be better placed to handle the disclosure; and
          2. any recommendation from the Ombudsman or IGIS about the allocation of the disclosure following a review under s55 of the PID Act.
    2. not allocate the PID to an agency other than PM&C unless the Authorised Officer of that agency has consented to the allocation.
44. In determining where to allocate a PID, the Authorised Officer may obtain information in a manner they think fit.
45. If the Authorised Officer decides to make subsequent allocation decisions in relation to a PID, they must comply with the steps in this policy again in respect of those subsequent decisions.

Stage 4: Notification

Consent to disclose discloser's name and contact details

Before notifying an agency or the Ombudsman/IGIS of the allocation of a disclosure, the Authorised Officer must ask the discloser (if the discloser's identity is known) whether they consent to their name and contact details being disclosed to the agency and the Ombudsman/IGIS.

Notify the Principal Officer

46. The Authorised Officer must give written notice to the Principal Officer of each agency to which the handling of the PID is allocated (including where relevant, PM&C) and the Ombudsman (unless the Authorised Officer allocated the disclosure to the Ombudsman, the IGIS, an intelligence agency or the ACIC or AFP in relation to their intelligence functions) or the IGIS (if the Authorised Officer allocated the disclosure to the an intelligence agency, the ACIC or AFP in relation to their intelligence functions) of:
    1. the allocation;
    2. the information that was disclosed to the Authorised Officer;
    3. the conduct that was disclosed; and
    4. if the discloser's name and contact details are known to the Authorised Officer, and the discloser consents to the Principal Officer and the Ombudsman/IGIS being informed – the discloser's name and contact details.

Notify the discloser

47. If reasonably practicable, the Authorised Officer must give a copy of the notice to the discloser as soon as reasonably practicable.

Recordkeeping

48. Where the Authorised Officer has allocated a PID to an agency, the Authorised Officer must keep written records of:
    1. the decision (including the name of the agency or agencies to which the handling of the PID has been allocated);
    2. the reasons for the decision to allocate the handling of the PID in that way;
    3. if the handling of the PID has been allocated to an agency other than PM&C, a record of the consent of the Authorised Officer of that agency to the allocation; and
    4. any consent provided by the discloser.
49. In addition, the Authorised Officer must keep written records of:
    1. whether the notice (or a copy of the notice) was given to the discloser, and if not, why not;
    2. if the notice was given to the discloser:
       1. the day and time that the discloser was given the notice;
       2. the means by which the discloser was given notice; and
       3. the matters included in the notice.

6.3 Reprisal Risk Assessment

50. As soon as practicable after receiving a disclosure, the Authorised Officer must assess the risk that reprisals will be taken in relation to a disclosure using the information contained at Appendix 6 to these Procedures. As part of conducting the risk assessment, the Authorised Officer may need to obtain information from other people involved in the discloser's workplace.
51. A reprisal occurs if someone causes, by act or omission, any detriment to another person because they believe or suspect that the person has made, may have made, proposes to make, or may make a PID. Reprisal also includes a threat to take reprisal action.
52. Authorised Officers should assess the risk of reprisal for the discloser, and any other person (including witnesses and staff) who might be suspected to have made, or could make, disclosures.
53. Where the reprisal risk is assessed greater than low, the Authorised Officer will develop a strategy to mitigate the risk of reprisal action being taken against the discloser⁴.  
54. As part of the risk assessment process, the Authorised Officer should consider whether taking any of the actions set out in part 7 of these Procedures is required.
55. Where required, the risk assessment should be continually reviewed by the Principal Officer once the PID is allocated.
56. The Authorised Officer may consult with, or refer the task of preparing a risk assessment to, another area of PM&C with the appropriate skills and experience to complete a risk assessment (for example, the People Branch). Where this occurs, the risk assessment must be conducted in accordance with these Procedures.  

References

3. For more information about designated publication restrictions please refer to the dictionary of the PID ActReturn to footnote 3↩
4. Further information about what is, and what is not, a reprisal, and how to conduct a risk assessment, is contained in the Ombudsman Agency Guide to the PID Act. Return to footnote 4↩