Governance element Documents/Evidence Indicator Maturity General level comments/achievements/ actions required 5.1 The agencies values and code Values statements. Statements exist and staff are aware of them of conduct reflect the WA Code and what they mean. Staff code of conduct, code of ethics. of Ethics and define the Values and ethics are built into inductions. Induction and recruitment policies and standards of official conduct and processes. professional behaviour expected of all employees. 5.2 The ethics and Risk management plan. Registers are in place for gifts, benefits and agency’s integrity risks are identified and hospitality. Minutes of meetings record conflicts Policies and procedures. policies and operational of interest. Records management system. processes address then (eg Procurement procedures are audited for procurement and conflict of compliance. interest) 5.3 People management Policies: Internal audits/reviews are undertaken to frameworks define the response confirm that policies are in place and a system keeping to unethical behaviour. is in place to ensure that all staff are aware of the policies and all staff comply. protocols benefits and hospitality of interest prevention and detection 5.4 Processes are in place to Policies, induction and registers. PID officers in place and processes understood provide supervision and by all staff. assistance and enable follow up of non-compliance (eg through PID disclosure) 5.5 A structured process is in place Staff code of conduct, code of ethics. All staff have been informed of their obligations to monitor official conduct and and a system is in place to ensure this Induction and recruitment policies and professional behaviour (eg happens. processes. compliance audit, performance All staff have attended or are about to attend Records to verify trained staff. management) accountable and ethical decision making training. 5.6 Governing Council has a guide Governing Council Code of conduct, All members of Governing Council have signed for conduct and ethical Governing Council handbook, signed fit and documents which are kept in a designated behaviour. proper statements. repository. 5.7 Complaints are handled fairly Complaints handling and recording system. Complaints are resolved within policy and without prejudice. timeframe; complainant confidentiality is preserved as required. Complaints system is included in the audit schedule.
Governance element Documents/Evidence Indicator Maturity level General comments/achievements/ actions required 5.1 The agencies values and code of conduct reflect the WA Code of Ethics and define the standards of official conduct and professional behaviour expected of all employees. Values statements. Staff code of conduct, code of ethics. Induction and recruitment policies and processes. Statements exist and staff are aware of them and what they mean. Values and ethics are built into inductions. 5.2 The agency’s ethics and integrity risks are identified and policies and operational processes address then (eg procurement and conflict of interest) Risk management plan. Policies and procedures. Records management system. Registers are in place for gifts, benefits and hospitality. Minutes of meetings record conflicts of interest. Procurement procedures are audited for compliance. 5.3 People management frameworks define the response to unethical behaviour. Policies: keeping protocols benefits and hospitality of interest prevention and detection Internal audits/reviews are undertaken to confirm that policies are in place and a system is in place to ensure that all staff are aware of the policies and all staff comply. 5.4 Processes are in place to provide supervision and assistance and enable follow up of non-compliance (eg through PID disclosure) Policies, induction and registers. PID officers in place and processes understood by all staff. 5.5 A structured process is in place to monitor official conduct and professional behaviour (eg compliance audit, performance management) Staff code of conduct, code of ethics. Induction and recruitment policies and processes. Records to verify trained staff. All staff have been informed of their obligations and a system is in place to ensure this happens. All staff have attended or are about to attend accountable and ethical decision making training. 5.6 Governing Council has a guide for conduct and ethical behaviour. Governing Council Code of conduct, Governing Council handbook, signed fit and proper statements. All members of Governing Council have signed documents which are kept in a designated repository. 5.7 Complaints are handled fairly and without prejudice. Complaints handling and recording system. Complaints are resolved within policy timeframe; complainant confidentiality is preserved as required. Complaints system is included in the audit schedule.