Parliamentary Service Commissioner’s Direction 2000/1
I, HELEN WILLIAMS, Parliamentary Service Commissioner, make this Direction under subsection 15 (4) of the Parliamentary Service Act 1999.
Dated 16 March 2000.
Helen Williams
Parliamentary Service Commissioner
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Basic requirements for procedures for determining breaches of the Code of Conduct
1.1 Purpose of Chapter 5
The purpose of this Direction is to set out the basic procedural requirements that must be complied with by the procedures established by a Secretary under subsection 15 (3) of the Act for determining whether a Parliamentary Service employee in the Department has breached the Code of Conduct.
Note The requirements set out in this Chapter and the procedures established under subsection 15 (3) of the Act apply only in relation to a suspected breach of the Code of Conduct by a Parliamentary Service employee in respect of which a determination is to be made. Not all suspected breaches of the Code of Conduct may need to be dealt with by way of a determination. In particular circumstances, another way of dealing with a suspected breach of the Code may be more appropriate.
1.2 Information to be given to employee before determination is made
Before any determination is made in relation to a suspected breach of the Code of Conduct by a Parliamentary Service employee, the employee must:
(a) be informed of:
(i) the details of the suspected breach of the Code of Conduct (including any variation of those details); and
(ii) the sanctions that may be imposed on the employee under subsection 15 (1) of the Act (including any limitations on that power contained in regulations made for the purposes of subsection 15 (2) of the Act); and
(b) be given reasonable opportunity to make a statement in relation to the suspected breach.
1.3 Determination process to be informal
The process for determining whether a Parliamentary Service employee has breached the Code of Conduct must be carried out with as little formality and as much expedition as a proper consideration of the matter allows.
1.4 Person making determination to be independent and unbiased
A Secretary must take reasonable steps to ensure that the person who determines whether a Parliamentary Service employee has breached the Code of Conduct is, and appears to be, independent and unbiased.
1.5 Record of determination
After a determination in relation to a suspected breach of the Code of Conduct by a Parliamentary Service employee is made, a written record stating whether the employee has been found to have breached the Code of Conduct must be prepared. These records must be treated with appropriate confidentiality.
Note The Archives Act 1983 applies to a record made under this clause.
1.6 Appropriate procedures if basis of Parliamentary Service employee’s engagement in a Department changes or employee moves to a different Department
(1) This clause applies if:
(a) a Parliamentary Service employee in a Department is suspected of having breached the Code of Conduct; and
(b) before any determination is made in relation to the suspected breach:
(i) the basis of the employee’s engagement in the Department changes; or
(ii) the employee moves to a different Department.
Note Examples of a change in the basis of a Parliamentary Service employee’s engagement in a Department are as follows:
(a) a change from engagement for a specified term, or for the duration of a specified task, to engagement as an ongoing Parliamentary Service employee;
(b) a change from engagement for duties that are irregular or intermittent to engagement as an ongoing Parliamentary Service employee.
(2) A determination (if any) in relation to the suspected breach must be made:
(a) if the basis of the employee’s engagement in the Department has changed — in accordance with the procedures applicable to the basis of the employee’s engagement in the Department at the time the process for determining whether the employee has breached the Code of Conduct is commenced; and
(b) if the employee has moved to a different Department — in accordance with the procedures applicable in the Department to which the employee has moved at the time the process for determining whether the employee has breached the Code of Conduct is commenced.
Overview
The Parliamentary Service Commissioner’s Direction 2000/1I, issued under the Parliamentary Service Act 1999, was enacted to address the procedural requirements for handling allegations of breaches of the Code of Conduct by Parliamentary Service employees. This legislative instrument was developed to ensure that any determinations regarding potential breaches are conducted with fairness, transparency, and due process. The Direction was issued by Helen Williams, the Parliamentary Service Commissioner, on 16 March 2000, and its primary objective is to establish the foundational procedural guidelines that must be adhered to when determining whether a breach of the Code of Conduct has occurred. These procedures are to be carried out by a Secretary, who must ensure that the process is as informal and swift as possible while still ensuring a proper consideration of the matter. Additionally, the Direction mandates that the person making the determination must be independent and unbiased, and that any records of the determination must be kept confidential and appropriately managed.
Scope and Application
The Parliamentary Service Commissioner’s Direction 2000/1I, issued under the Parliamentary Service Act 1999, delineates the procedural requirements for determining breaches of the Code of Conduct by Parliamentary Service employees within the Department. The Direction applies exclusively to suspected breaches that require formal determination, though not all breaches will necessarily follow this pathway, with alternative measures being appropriate in certain circumstances. The scope of the Direction is confined to Parliamentary Service employees within the Department, focusing on ensuring that the process for handling suspected breaches is conducted with minimal formality and maximum efficiency while maintaining the independence and impartiality of the decision-maker. Additionally, the Direction mandates that employees must be informed of the specific allegations and potential sanctions before any determination is made, and they must be provided with a reasonable opportunity to respond. Records of determinations must be documented and maintained with confidentiality, adhering to the provisions of the Archives Act 1983. In cases where the basis of an employee's engagement or their departmental affiliation changes before a determination is reached, the Direction specifies that the determination process must align with the applicable procedures in effect at the time the process is initiated.
Key Provisions
The Parliamentary Service Commissioner’s Direction 2000/1I provides the fundamental procedural requirements that must be followed by a Secretary when establishing procedures for determining whether a Parliamentary Service employee has breached the Code of Conduct (section 1.1). This includes ensuring that the employee is informed of the details of the suspected breach and the potential sanctions that may be imposed (section 1.2). The process must be conducted informally and with due expedition (section 1.3). Additionally, the person making the determination must be independent and unbiased (section 1.4). After the determination is made, a written record must be created, and these records must be kept confidential (section 1.5). If the employee’s engagement changes or they move to a different department, the determination must follow the procedures applicable to the new circumstances (section 1.6).
The Act imposes several obligations on the parties involved, primarily on the Secretary of the department. The Secretary must ensure that the procedures for determining a breach of the Code of Conduct are established and followed (subsection 15(3) of the Act). This includes ensuring that the employee is informed of the suspected breach and the potential sanctions (section 1.2), that the process is conducted informally and expeditiously (section 1.3), and that the person making the determination is independent and unbiased (section 1.4). Furthermore, the Secretary must ensure that a written record of the determination is made and kept confidential (section 1.5). If the employee’s engagement changes or they move to a different department, the determination must follow the procedures applicable to the new circumstances (section 1.6).
There are no explicit offences, penalties, or consequences mentioned in the Direction for breaching the provisions of the Direction itself. However, any failure to comply with the requirements of the Direction could potentially lead to administrative or disciplinary action against the Secretary or the department, as the Direction is made under the authority of the Parliamentary Service Act 1999. The Act may provide for other penalties or consequences for breaches of the Code of Conduct or for failure to follow proper procedures in handling such matters. For example, subsection 15(1) of the Act allows for the imposition of sanctions on employees found to have breached the Code of Conduct. It is important to note that any specific penalties for breaches of the Direction would need to be referenced in the main Act or relevant regulations.