Eric Abetz (Tasmania, Liberal Party, Shadow Minister for Employment and Workplace Relations) Share this | Link to this | Hansard source

asked the Minister representing the Treasurer, the Assistant Treasurer and the Minister representing the Minister for Financial Services and Superannuation, upon notice, on 29 August 2011:

(1) How many Code of Conduct investigations have there been within the Minister's portfolio for the financial years: (a) 2010-11; and (b) 2011-to date.

(2) How many investigations established: (a) a breach; or (b) no breach, of the Code of Conduct.

(3) In each case, what provisions of the Code of Conduct were thought to have been breached.

(4) What penalties were applied where the Code of Conduct was broken.

(5) How many investigations are ongoing.

Penny Wong (SA, Australian Labor Party, Minister for Finance and Deregulation) Share this | Link to this | Hansard source

The Treasurer has provid ed the following answer to the h onourable s enator's question:

Treasury

(1) Treasury had one investigation during 2010-11 and currently has one investigation underway for 2011 – to date period.

(2) The one investigation during 2010-11 established a breach of the Code of Conduct. The 2011 investigation is still ongoing.

(3) During 2010-11, the one investigation revealed a breach in Element C – S 13 (3).

(4) The staff member of the 2010-11 investigation received counselling, re-assignment of duties and reprimand as penalty.

(5) There is currently one investigation that is ongoing for the 2011- to date period.

Australian Securities and Investments Commission

(1) Code of Conduct investigations undertaken in 2010-2011 - 2, 2011 to date - 2.

(2) Two investigations were finalised and two established that there was a breach of the Code.

(3) Section 13 (1), 13 (4), 13 (8), 13 (10), 13(11).

(4) Termination of employment, Deduction by way of fine, Reprimand.

(5) 2.

Australian Taxation Office

(1) 207 ATO code of conduct investigations were conducted in 2010-11 and 23 in 2011-12 to date (as at 29 August 2011).

(2) (a) 200 ATO investigations established a breach in 2010-11. In 2011-12 to date, 22 investigations established a breach and one case where a resignation took place before the breach could be proven or disproven. (b) 7 ATO investigations established no breach in 2010-11 and nil in 2011-12 to date.

(3) —

* The total number of breaches exceeds the number of investigations as each investigation can involve multiple elements of the code of conduct.

(4) Penalties applied by the ATO where the code of conduct was broken:

# The total number of penalties exceeds the number of investigations as each investigation can involve multiple penalties being applied.

^ A determination that misconduct has occurred does not necessarily mean that a sanction must be imposed. A decision can be taken that other remedial action may be appropriate. (Australian Public Service Commission, Handling Misconduct Guide). Reasons for no sanction being applied in these instances included officers retiring, employment contracts expiring and in one instance, no sanction deemed to be warranted.

(5) 21 investigations are ongoing as at 29 August 2011.

Australian Competition and Consumer Commission

(1) (a) There were two Code of Conduct investigations undertaken in the 2010-2011 financial year. (b) There have been two Code of Conduct investigations undertaken in the 2011 financial year to date.

(2) (a) A breach was found in two of the completed cases. (b) The residual two cases are unfinished and therefore no determination has as yet been made.

(3) Case No 1

An APS employee must behave honestly and with integrity in the course of APS employment.

An APS employee must act with care and diligence in the course of APS employment.

An APS employee, when acting in the course of APS employment, must treat everyone with respect and courtesy, and without harassment.

An APS employee must at all times behave in a way that upholds the APS values and the integrity and good reputation of the APS.

Case No 2

An APS employee must comply with any lawful and reasonable direction given by someone in the employee's Agency who has authority to give the direction.

An APS employee must use Commonwealth resources in a proper manner.

(4) Case No 1

Termination of employment.

Case No 2

Reduction in classification.

(5)

There are two investigations that are still ongoing.

Australian Bureau of Statistics

(1) (a) 2, (b) 1.

(2) (a) 2, (b) 0.

(3) Case 1 s13(1), s13(3), s13(11).

Case 2 s13(3), s13(11).

(4) Case 1 - Fine & Reprimand.

Case 2 - Termination of Employment.

(5) 1.

Australian Office of Financial Management

(1) (a) 1, (b) 0.

(2) (a) 1, (b) 0.

(3) Case 1 – 13(5), 13(4).

(4) Case 1 – a reprimand.

(5) 0.

Australian Prudential Regulations Authority

(1) APRA has its own Code of Conduct established under Section 48AC of the Australian Prudential Regulation Authority Act 1998. There have been no investigations pursuant to APRA's Code of Conduct during the financial years 2010 and 2011.

(2) None.

(3) Not applicable.

(4) Not applicable.

(5) None.

Corporations and Markets Advisory Committee

(1) Nil.

(2) Nil.

(3) Not applicable.

(4) Not applicable.

(5) Nil.

Inspector-General of Taxation

(1) (a) 2010-11 – one. (b) 2011-to date - nil.

(2) How many investigations established:

(a) a breach: one.

(b) no breach, of the Code of Conduct: nil.

(3) In each case, what provisions of the Code of Conduct were thought to have been breached: section(s) 13(1), 13(4), 13(5), 13(8) and 13(11).

(4) What penalties were applied where the Code of Conduct was broken: Termination of employment.

(5) How many investigations are ongoing: nil.

The National Competition Council

(1) The National Competition Council has not conducted any Code of Conduct investigations in the financial years (a) 2010-11; and (b) 2011-to date.

(2) Not applicable.

(3) Not applicable.

(4) Not applicable.

(5) No investigations are ongoing.

Royal Australian Mint

Nil

Productivity Commission

Nil