AUTHORISED BY: CEO. Introduction. Whistle Blowing

Transcription

1 GUIDELINE NAME: Field Cmplaints Disclsure Guidelines SECTION : Refer t Excel Guidelines list Dcument N: DISTRIBUTION: All Emplyees FIRST ISSUED: April 2013 DATE UPDATED: Dec 2014 ISSUED/UPDATED BY: Peple and Culture Intrductin AUTHORISED BY: CEO Caritas Australia is cmmitted t uphld the dignity f the human persn and prmte cmmn gd. This cmmitment is fundamental t its values and it is what Caritas Australia is being held accuntable fr by its prject/prgram beneficiaries, dnr and ther stakehlders. As part f Caritas Australia s mve t imprving effectiveness and accuntability t all f its stakehlders Caritas Australia is determined t nt in any way tlerate r cndne any fraudulent, illegal r unethical cnduct (including miscnduct, explitatin and abuse) that will undermine its capacity t achieving this bjective. Caritas Australia encurages feedback, cmplaints r whistle blwing within its internatinal partnerships and prgrams t prmte accuntability, transparency, fairness and prtectin f vulnerable peple wh are the subject f Caritas Australia s internatinal develpment and humanitarian prgram. Caritas Australia cmmits t establish a fair, simple and effective cmplaints handling and/r whistle blwing mechanism that is user-friendly, accessible and safe fr different types f stakehlders, and is apprpriate fr the lcal cntext. This mechanism is intended t encurage a climate f pen cmmunicatin which enables partner staff, beneficiaries and ther stakehlders t vice their cncerns at the earliest pprtunity t enable Caritas Australia t take necessary crrective actin. This will als facilitate detectin and reprting f any miscnduct, fraudulent, illegal r unethical cnduct, explitatin and abuse within Caritas Australia s internatinal develpment wrk. Whistle Blwing Whistle blwing is defined by the Nlan Cmmittee n Standards in Public Life as the act f raising cncerns abut miscnduct within an rganisatin r within an independent structure assciated with it.

2 Whistle blwing ccurs when a wrker r stakehlder raises a cncern abut danger r illegality that affects thers, fr example member f the public. Typically, whistle blwing happens when an emplyee r wrker raises a specific cncern, usually t their emplyer r an external regulatr, regarding sme danger, fraud r ther illegal r unethical cnduct that affects thers, fr example ther wrkers r members f the public. The ptential rganisatinal risks are nrmally greater in wrkplace malpractice cmplaints and generally d nt affect the cmplainant persnally. They are therefre different frm a nrmal grievance r cmplaint which the individual is persnally affected. (Peple in Aid Guide and Template, Whistle Blwing, Revised 2008). Whistle blwing can happen internally within Caritas Australia r externally when partners emplyees, prject participants, r ther stakehlders cnnected t activities supprted by Caritas Australia raise a cncern (e.g. fraud, illegal r unethical cnduct, etc.) twards staff member(s), partner rganisatin r thers invlved in the prject. Cmplaints A cmplaint is an expressin f dissatisfactin abut the standard/quality, prcesses, decisins, actins r lack f actins by Caritas Australia, partner rganisatin and ther peple invlved in the prject/prgram that directly r indirectly cause distress t the affected party. Purpse and Scpe The purpse f the Field Cmplaints Disclsure Guidelines is t strengthen Caritas Australia s accuntability t its values, beneficiaries, dnrs and ther stakehlders, and imprve its verall effectiveness, while ensuring Caritas Australia s prtectin principles are respected. The specific bjectives f the Field Cmplaints Disclsure Guidelines are: Imprve Caritas Australia s accuntability t all stakehlders Ensure the prtectin, respect and dignity f thse wishing t raise an issue, cncern r cmplaint abut Caritas Australia, partners, prjects and ther stakehlders f the prject Prmte the vice f the beneficiaries and ther key stakehlders f Caritas Australia supprted prjects/prgram Encurage emplyees and ther stakehlders t disclse any suspected irregularities, fraud, illegal r unethical cnduct that they becme aware f and t prvide prtectin fr the whistle blwer/cmplainants wh reprt allegatins f fraudulent, illegal r unethical cnduct in gd faith. Allw Caritas Australia t rectify mistakes Imprve effectiveness f the prgram Ensure children are free frm abuse and explitatin as per ur Child Prtectin Plicy Statement and Child Prtectin Guidelines and Prcedures. The Field Cmplaints Disclsure Guidelines applies t all emplyees, partners, prject beneficiaries and ther stakehlders f Caritas Australia.

3 Wh can make cmplaints r blw the whistle? Caritas Australia will receive cmplaints frm: Any individual in-cuntry where a Caritas Australia prject is being implemented including: Participants f the prject/prgram funded by Caritas Australia Any Caritas Australia staff member in Australia r deplyed verseas as per the Whistleblwer Plicy. Staff members f the partner rganisatins r their prxies Any individual in-cuntry where a Caritas Australia prject is being implemented including individual/s representing the partner rganisatin Other stakehlders affected by the Caritas Australia funded prject/prgram Cmplainants may prefer t be identified r remain annymus. In any case Caritas Australia will respect the decisin f the cmplainant. If hwever, Caritas Australia deems the safety f the cmplainant can pssibly be at risk if their identity is knwn even if the cmplainant has nt asked fr cnfidentiality then Caritas Australia will reserve the right t keep the cmplainant annymus. Caritas Australia s Prtectin Guidelines This plicy must be read and fllwed in accrdance with the prtectin and Child Prtectin Guidelines and Prcedures. Making Cmplaints r Blwing f Whistle Caritas Australia will receive cmplaints r encurage whistle blwing thrugh: Annymus cmplaint bx at cmmunity prject level if keeping cnfidentiality is practical and assured Creatin f beneficiary cmplaints cmmittee at cmmunity/prject level with apprpriate scialisatin in the cmmunity Phne Mail/ address questins t questins@caritas.rg.au Cnfidential face t face meetings during mnitring visits. T facilitate whistle blwing and cmplaints prcess at cmmunity level, Caritas Australia will: Create an envirnment f penness and tw way cmmunicatin at cmmunity level Engage with cmmunity and develp a gd relatinship t understand the pwer dynamics within the partnerships and cmmunity we wrk with and t knw wh t talk t Create an envirnment f sensitivity t prtectin issues fr each cuntry/prgram cntext in the event f a cmplaint Talk t different stakehlders including beneficiaries, partners staff, cmmunity leaders, ther dnrs, ther rganisatins and ther stakehlders during mnitring visit (with and withut the presence f partners where pssible)

4 Make available staff cntact details t primary stakehlders and invite beneficiaries and ther stakehlders t talk/ /write t Caritas Australia if they have suggestins r cmplaints Talk with partners staff at different levels during mnitring and encurage them t talk t Caritas Australia if they have cncerns r suggestins Encurage partners t set up an annymus cmplaint bx r set up mechanisms at cmmunity level fr cmplaints reprting and management. At partner level, Caritas Australia will prvide partners necessary supprt t: Develp and implement an rganisatinal cde f cnduct t make enfrcement f cmplaints mechanisms effective. Cde f Cnduct shuld be prmted, disseminated and integrated int persnnel briefing/inductin Establish mechanism fr reprting cmplaints, investigatin, and disciplinary prcesses with a clear line f accuntability Prvide necessary training t partners n prtectin, cmplaints respnse, reprting etc. Caritas Australia will wrk with partners in the setting up f mechanism that are cntext apprpriate and meet the bligatins f bth partners and Caritas Australia. The fllwing characteristics are expected fr cmplaints and whistle blwing mechanism: Clear and simple prcedures that utline what t cmplain abut, hw t cmplain and wh t cmplain t Will have a clear parameters in terms f what kinds f cmplaints are received (e.g. thse directly related t the services that the agency prvide, suspected abuse/explitatin, suspected crruptin/fraud, etc) Develped by the cmmunity themselves t ensure it is apprpriate t their cntext and culture The purpse f the mechanism shuld be clear t the cmmunity with clearly stated implicatins f false reprting Everyne shuld have knwledge f the prcedures and easy physical access t it The mechanism shuld be accessible/friendly t vulnerable ppulatins including children, illiterate and mst marginalized members f the cmmunity r stakehlders In cmmunicating the prcedures fr making cmplaints, reinfrce the basic principles f annymity, cnfidentiality and safety in the establishment f cmplaints mechanism The prcedure itself shuld nt be threatening. A clear prcess t investigate cmplaints and determine false psitive/true negatives in a specified and reasnable time frame. Areas f cmplaint The key areas f pssible cmplaint may include, but nt limited t: Explitatin r abuse f children Explitatin r abuse f ther individuals including wmen and girls, peple living with disabilities/hiv AIDS, minrity grups Prgram implementatin Funding r prgramming decisins

5 Behaviur r cnduct f individual invlved in the prject, including staff frm partner rganisatins, Caritas Australia, r ther stakehlders Misuse f funds r fraud. Wh t raise cncerns t? Caritas Australia will be regularly discussing with partners and ther stakehlders, including the target cmmunities the existence r availability f a reprting mechanism r prcess where partner staff r any stakehlders can raise feedback, cncerns r alarm/alert Caritas Australia when there are cncerns particularly relating t key areas mentined abve as well as, the steps t take and wh t cntact t. Depending n the type and nature f the cmplaints, cmplainant r whistle blwer may raise their feedback r cncerns with: Cmmunity cmplaints handling cmmittee where it exists Implementing rganisatin Caritas Australia staff respnsible fr the prject r the regin (such as Prgram Crdinatr, Manager) Caritas Australia Leadership Team Caritas Australia Natinal Cuncil. Australian Cuncil fr Internatinal Develpment (ACFID) Managing Cmplaints r cncerns received at partnerships and prgramming level: Cmplaints may be received in varius frms including phne, r mail frm anyne. All cmplaints received will be taken seriusly Cmplaints are recrded and transmitted withut changes made t the cntent Cmplainants/whistle blwer will be given tangible (written) acknwledgement that the cmplaints has been received where pssible within 48 hurs f receipt The staff member respnsible fr the prgram/partnership will bring the cmplaints t the relevant Manager. If the cmplaint is f a serius nature and it is apprpriate, the staff member can g directly t a Leadership Team member The relevant Leadership Team tgether with the relevant Manager and Manager Prgram Effectiveness Accuntability and Learning (PEAL) will determine the type and nature f cmplaints and refer them t the relevant peple at Caritas Australia t determine the applicable plicy, guidelines and prcedures fr dealing with thse issues The identity f the cmplainant r whistle blwer will be kept cnfidential unless the cmplainant r whistle blwer prefers her/his identity t be knwn Depending n the nature f the cmplaint, the partner rganisatin may be infrmed f the cmplaint received If the subject f the cmplaint is funded by the Australian Department f Freign Affairs and Trade (DFAT) and particularly if the cmplaints relates t suspected fraud, DFAT will be ntified immediately

6 Caritas will investigate all cmplaints received and may pt t d any f the fllwing as deemed apprpriate: 1) Seek mre infrmatin frm the cmplainant/s 2) Seek explanatin r infrmatin frm partners r ther stakehlders (e.g. ther dnrs/rganisatin, Caritas rg, etc.) that may be able t prvide mre infrmatin r clarity n the cmplaints received 3) Engage smene internal r external t carry ut the investigatin, as apprpriate. 4) Where the cmplaints relates t suspected fraud, refer t the Caritas Australia Fraud Respnse and Investigatin Prcedure 5) If the cmplaint is nn-sensitive, the partner rganisatin may be asked t handle the cmplaint with the beneficiary fr reslutin 6) If the cmplaint is sensitive Caritas Australia will decide n the best way t handle the cmplaint in line with relevant Caritas Australia plicies: i. Cncerns relating t prgramming, -funding, implementatin, decisins, management, etc the cmplaints will be referred t and managed by the Manager f the regin and will be discussed with the implementing partner. This type f cmplaint will be classified as nn-sensitive but cmplainant s identity will be kept cnfidential unless disclsure is requested. ii. Abuse, including sexual abuse and explitatin particularly invlving children will be managed by relevant Manager and Peple and Culture if it invlves a staff member. If the cmplaint implicates smene frm a partner rganisatin r ther stakehlder, a cmmittee cnsisting f the relevant reginal Manager, Manager PEAL and Head f Internatinal Prgrams. The Child Prtectin Plicy and Guidelines and Prcedures will infrm the investigatin and reprting prcess. This will be classified as sensitive. iii. iv. Fraud, misuse f funds r unethical behaviur including bribery, etc. - a special cmmittee may be created internally cnsisting f the Chief Operatins and Finance Manager, relevant Team Head, relevant Manager, and the Manager PEAL t examine the validity f cmplaint and plan the next step. The Fraud Respnse and Investigatin Prcedure will guide Caritas Australia s respnse. All cmplaints will be dealt with cnfidentially. This will be classified as sensitive. Miscnduct (ther than f sexual nature) such cmplaint will be managed by the relevant Team Head if it invlves staff member(s). If the cmplaint is twards a partner (management f staff member) relevant Manager will manage the cncern in cllabratin with the Manager PEAL and Head f Internatinal Prgrams. Relevant plicy, guidelines and prcedures that may be used are: partners cdes f cnduct and assciated plicies (e.g. grievance, disciplinary, etc.). This will be classified as sensitive. The cmplainant will be infrmed f the decisin and actin that Caritas Australia has taken including reasns fr the decisin and an explanatin f the prcess undertaken Where apprpriate the cmplainant will be requested t acknwledge that he r she has understd the answer

7 The cmplainant will be infrmed f alternative grievance channels, where necessary Outcmes f the investigatin will be cmmunicated t DFAT and ther stakehlders Where evidence f suspected fraud, illegal r unethical cnduct, abuse r explitatin are fund, Caritas Australia will reprt t the relevant authrities and may pursue legal actin where apprpriate Caritas Australia will take the necessary duty f care actin fr its staff, partners staff and any ther affected stakehlder t ensure that any emtinal r psychlgical impact arising frm the trigger event f a cmplaint and all subsequent actins and stages are identified and addressed in a timely and effective manner.