• This protocol is current as of February 2011 - it will be reviewed as new cases are dealt with and updated where appropriate.
  
  
• Comments / suggestions are very welcome.
  
  
• The process is managed by the Child Protection Officer (CPO) in collaboration with the Principal and with the Head of Staff Services available to advise throughout the process.
  
  
• Please note that Head of Staff Services and Head of System Performance (HOSP) are informed as required throughout the process.
  
  
• Where the matter relates to a Principal, the report should be made to the HOSP who will then inform the CPO and the Head of Staff Services.
  
  
• The information obtained as a result of an investigation may be released according to the provisions of Chapter 16A under the Children and Young Person (Care and Protection) Act 1998.   Note: Chapter 16A will generally override confidentiality and the provisions of the Privacy Act  

Allegations in the following categories which are allegations of reportable conduct are managed under this protocol

• Allegations of sexual offences including sexual intercourse, acts of indecency and indecent assault
  
  
• Allegations of sexual misconduct including inappropriate conversations of a sexual nature, possession of child pornography, inappropriate touching, grooming behaviour
  
  
• Allegations of physical assault where there was contact with any body part or area of a child that was clearly hostile and forceful, or reckless, and which had the potential to, or resulted in significant harm or injury to the child (e.g. bruising, abrasions, welts, stiffness of the body part or area involved) that was more than transient; or a child believed that the threat would result in significant harm or injury to them
  
  
• Allegations of domestic violence where a threat was made to the safety of any child in the course of, or directly related to a domestic violence incident and the child believed that the threat would result in significant harm or injury to them; or a child suffered psychological harm as a result
  
  
• Allegations of neglect which resulted in sexual or physical harm to the child; or where there was appreciable risk of physical harm to the child; or a child suffered psychological harm as a result
  
  
• Allegations of behaviour causing psychological harm
  
  
• Allegations of ill treatment of a child
  
  
• Allegations of misconduct which may involve reportable conduct
  
  
• Any allegation which is a repetition of a prior allegation and which indicates a pattern of behaviour or an escalation in the seriousness of an employee’s behaviour

Any allegation against a staff member is referred to the Principal. Principal records in writing information from the person/s reporting the allegation against the staff member using the person's exact words and advises that the allegation will be investigated. In recording the allegation the principal notes

• WHO is involved
• WHAT happened
• WHEN did it happen
• WHERE did it happen
• HOW did it happen and the
• CONTEXT of the allegation.

The Principal advises the reporter regarding confidentiality requirements.

The Record of Interview template may assist if required.

The CPO usually conducts the investigation and liaises with the principal, to plan the process to be followed in line with the CEO/IEU protocol.

The CPO prepares the Ombudsman’s Notification Form - Part A which is forwarded, within thirty (30) days of receiving the allegation, through the Head of Staff Services and Executive Director of Schools to the Ombudsman’s Office.

The principal contacts the child and parent to:

• advise them of the receipt of the allegation and take a statement from the child regarding what happened, when did it happen, where did it happen, who was involved, what was the context for the incident. The Record of Interview template may assist with this statement.
  
  
• explain the investigation process to be followed. It may be helpful to provide a copy of this protocol
  
  
• ensure the child is supported including the availability of counselling if required.
  
  
• explain the need for confidentiality
  
  
• advise they will be informed when the matter is finalised.

The staff member is advised in writing that an allegation has been received. A Letter advising of allegation is prepared by the CPO.  The staff member is provided with a copy of  the Parramatta Catholic Education process for Managing allegations of reportable conduct notifiable to the Ombudsman.

Principal/CPO meets briefly with staff member to:

• inform them an allegation has been received, that it is notifiable to the Ombudsman and advises them of the general nature of the allegation i.e. sexual offence, sexual misconduct, misconduct that may involve reportable conduct, physical assault, behaviour causing psychological harm, ill treatment or neglect.
  
  
• arrange a time to meet with the person to provide details about the allegation and to provide them with an opportunity to respond. The meeting needs to be as soon as possible;
  
  
• advise the person who will be conducting the enquiry into the allegation. In general this will be the CPO.
  
  
• inform the staff member they may choose to have a support person present at the meeting who may be a representative of the IEU. The principal/CPO advises that a second person will attend the meeting to record the information and advises who this will be.

• preserving the employees dignity
• obtaining statements from children as promptly as possible
• maintaining confidentiality

The inquiry may include:

8.1 Meeting with staff member about the allegation

At the meeting with the staff member the CPO/principal

• clarifies any issue/s regarding the procedure to be followed;
  
  
• informs them that an allegation that has been made providing as much detail as possible regarding the allegation - the allegation is provided in writing;
  
  
• offers them the opportunity for a break in the meeting to allow him/her time to consider the allegation;
  
  
• invites them to respond and records their response - the person may elect to respond in writing;
  
  
• asks for the name(s) of any witness/es to the alleged incident;
  
  
• assures them that issues will be dealt with promptly and confidentially and seeks confidentiality from all present at the meeting
  
  
• ensures that they have adequate support including the offer of the ACCESS Employee Assistance Program and, if the staff member wishes, a support person at the school who can assist them through the process
  
  
• informs them of the process that will be followed including an anticipated time line.

8.2 Confirming the Staff member's response

At the conclusion of the interview or soon after the interview, the CPO/principal provides the employee with a copy of the record of interview and invites the employee to verify or amend the record. The employee is asked to initial any amendments, initial each page and date and sign the record of interview.

If the person acknowledges the complaint is true, there is no need to interview other persons.

8.3 Interviewing witnesses and gathering other information

The investigator proceeds to gather other relevant information according to the investigation plan, including obtaining information from relevant persons identified by both the notifier and the staff member. The   Record of Interview template may assist if required.

The information may be gathered from written statements, interviews and review of relevant documents and records. All records of interviews and statements must be signed and dated.

If children are to be interviewed parents need to be advised and offered the opportunity to be present at the interview.

CPO/Principal meets with staff member to:

• inform them of the preliminary finding, i.e. the allegation is found to be sustained, not sustained due to insufficient evidence and the reason for the finding;
  
  
• advise them of the proposed disciplinary action or support initiatives
  
  
• provide them with an opportunity to respond to the preliminary finding within one week (if new information is provided the preliminary finding is reconsidered)
  
  
• advises they may request to view the file under the provisions of the Government Information (Public Access) Act 2009
  
  
• explain the process and expected time line, including that the child protection notification form will be forwarded to the Ombudsman's Office
  
  
• ensure the staff member has adequate support and follow up any concerns raised by the staff member.

This information is confirmed in writing using proforma letter advising of the preliminary finding. In some cases it may not be necessary to meet as the information is known to the staff member and advice in writing is sufficient. The principal and the HOSP are informed of the decision.

The CPO provides Head of Staff Services with all documentation related to the case including any additional response made by the staff member.

The Head of Staff Services determines the finding, consulting with the investigator, HOSP or the Ombudsman’s Office where necessary. The CPO advises the principal and the HOSP of the finding.  The finding is based on the evidence collected and on the balance of probabilities.

The principal advises the staff member in writing of:

• the finding from the investigation
  
  
• if sustained, the disciplinary action and support initiatives
  
  
• the requirement for all documentation to be forwarded to the Ombudsman's Office
  
  
• the requirement for the file to be stored confidentially at the CEO
  
  
• the requirement for the Ombudsman's Office to advise them in writing when the matter is completed
  
  
• whether or not the matter is being reported to CCYP as a Category One or Category Two
  
  
• the need for confidentiality
  
  
• the offer of counselling
  
  
• the opportunity to view the file under GIPA provisions including protocol for viewing files.

Principal forwards all original documentation relating to the allegation to the CPO who prepares the Ombudsman’s Notification Form – Part B. The CPO assembles all material relevant to the case and sends this to the Head of Staff Services who forwards it through the Executive Director of Schools to the Ombudsman's Office.

The original copy of the file is secured in confidential files in Staff Services. If the matter is not sustained (insufficient evidence or no evidence of any weight), false or not reportable conduct no record is retained in school files. However, if the matter is notifiable to CCYP as a Category One classification a notice is placed in the confidential school personnel file advising of a file held in Staff Services at the Catholic Education Parramatta Office.  

The Bishop of the Diocese of Parramatta is the Head of Agency. The Bishop has delegated responsibility for the investigation process to the Executive Director of Schools. The Ombudsman's Office oversights the conducting of the investigation and in some circumstances may monitor or conduct the actual investigation.

The principal advises the notifier and/or parent/child that the matter has been addressed and refers them to Catholic Education Parramatta,,the Head of Agency or the Ombudsman's Office for further information if required. The CPO provides the principal with a draft Letter to Notifier. The notifier and/or parent/child is not usually informed of the finding or any actions in relation to the employee.

In the event of disputation about the process, the finding or disciplinary action the staff member may request for the case to be reviewed.

An application for review is made to the Executive Director of Schools or to the Bishop as Head of Agency.

• An immediate concern is to ensure the safety of the child/children
  • when the allegation is first made
  • during the investigation
  • at the conclusion of the investigation.
    
    
• Appropriate assistance such as counselling is to be offered, where necessary, for the child and the family.

• Consideration needs to be given as to the appropriateness of interviewing a young child directly. Evidence may be able to be obtained without interviewing. Children should be interviewed on as few occasions as possible. On most occasions parents/carers should be present at interviews with children.

• If the investigator needs to speak with children who may be witnesses to an alleged incident it may not be necessary to have parents present and at the very least parental permission is to be sought for the interview. For younger children, parents should be asked if they wish to attend. With older children it may be preferable to ask them to write down what they witnessed. For guidelines on interviewing children, please consult NSW Ombudsman Child Protection in the Workplace: Responding to allegations against employees section 8G. Suggested interview questions and record of interview templates may be obtained from the CPO.

• Parents/carers are to be adequately informed at all appropriate stages of the process.
  
• If following an allegation, there is a concern that a child may be at risk of harm from the staff member against whom the allegation has been made, the staff member may be asked to take paid leave during the investigation process. This leave does not come from the employee's normal entitlements.

• An allegation of reportable conduct is extremely serious. It is a very difficult time for everyone concerned. It is essential to provide effective support for the staff member concerned, including:
  
  
  • advice about the provisions of the child protection legislation and their rights and responsibilities under the legislation. This information may be provided by a member of staff who acts as the person's support person or the staff member may seek union or legal representation
    
    
  • advice about the nature and time line of the investigation process to be followed.

In addition the staff member may seek professional counselling through ACCESS Employee Assistance Program (phone 1800 818 728).

There may be occasions when an application needs to be made for paid leave.

It is recognised that the person who makes the allegation may experience discomfort or distress at the requirement to make such an allegation. The level of distress may be increased if the complainant is a member of the school staff in which the incident is alleged to have occurred or a friend.

It is important for the school principal to monitor the wellbeing of the person making the allegation and to provide relevant information regarding the management of their complaint.

The staff member may seek professional counselling through ACCESS Employee Assistance Program if required (phone 1800 818 728).

An investigation is not a disciplinary process. It is a process to collect information objectively.

The Ombudsman’s Notification Form – Part A assists the person investigating to plan the investigation process. Consider the following:

• What information do I have?
• What further information do I need?
• How will the information be obtained? (e.g. interview, statement, documents)
• Are there any complications or potential problems I need to plan for?
• What was the context of the allegation 

It is important to gain factual information about the allegation i.e. who was involved, what happened, when it happened, where it happened, how it happened.

• The person subject of the allegation and the alleged victim of the allegation are to be treated fairly and respectfully throughout the investigation. Only witnesses who need to be interviewed will be interviewed and they will be advised of the need for strict confidentiality. The investigator will remain objective during the process.
   
• The summary of any interview conducted includes the name and position of the person being interviewed, name and position of any other person present, the name and position of the interviewer and the date of the interview.
  
• The record of interview needs to be signed and dated by the interviewer. The interviewee should be asked to sign and date to affirm the record is true and accurate. However, the interviewee is free to refuse to do this. Interviewees may prefer to submit a signed and dated written statement. The interviewee may also make written amendments directly to the record of interview before signing. The interviewee must initial all amendments made.

Documentation

• Comprehensive documentation needs to be maintained throughout the process.
  
• All documentation needs to be legible, dated and where necessary signed.
  
• If a person does not wish to sign a document, it should be recorded that they were provided with a copy of the document and invited to make amendments.

• On completion of the case all documentation is filed confidentially in Staff Services and separate from personnel files.

It is important that the principal as the person managing the case at the school level, checks at the end of the process to see if any further action is required to address 'unfinished business'.

Each case is different and the needs of people are different. For example, it may be appropriate to make contact with the staff member and the person who raised the allegation some weeks after the process is finished to see how they are.

In some cases other staff members have become aware of the matter and have asked to meet with officers from Catholic Education Parramatta to talk through concerns they have about the legislation.

There have been cases where the staff member has asked to meet with the principal to review the processes and other cases where the staff member and the person raising the allegation have sought conciliation.

Whatever issues people have, it is important that there are opportunities for the issues to be addressed.