Conduct and Compliance Procedure - Pre-Employment Checks

Parent Policy

Conduct and Compliance

Preamble

Monash University requires that staff undergo pre-employment checks for positions involving financial responsibilities or regular contact with minors. For the purposes of this procedure, pre-employment checks include Police Records Checks and Working with Children Checks.

These pre-employment checks are conducted in recognition of the University’s duty of care to its students, staff, clients and resources. Police Records Checks help minimise the risk of inappropriate use of University finances and Working with Children Checks help ensure that a safe environment is provided for minors who attend the University.

This procedure is designed to complement the University’s recruitment, selection, supervision and training practices.

This procedure applies to all staff at Monash University Australia including volunteer, honorary, consultant and contractor positions. Students who are required to undertake child-related work as part of their placement should contact their course convenor or professional placements office for information as to whether they are required to undertake a Working with Children Check.

Definitions

Chair: the Chair of the Selection Committee convened as part of the University’s selection process. The chair may delegate duties as appropriate. If a Selection Committee is not involved in an appointment, the appointing manager will adopt the responsibilities of the Chair.

Child: means a person who is under the age of 18 years.

Dean or Divisional Director: means the Dean of the Faculty or Director of the Division (or Executive Director) or his or her nominee in any case where the Dean or Divisional Director has formally nominated a person to act as his or her nominee for the purpose.

HR Business Partner: is a member of the Monash HR community who operates as a strategic partner responsible for providing a range of human resources services for an assigned Faculty or administrative Division. HR Business Partners are located within a HR Service Hub.

HR Service Hub: is the centre for human resources services and activities within a Faculty or Divisional Cluster.

Interim Negative Notice: is a document that is provided by the Department of Justice to advise a candidate that a final decision has not yet been made for a Working with Children Check.

Faculty or Divisional Cluster: refers to a cluster of Faculties and/or administrative Divisions that is serviced by a particular HR Service Hub. The Faculty or Divisional Clusters at the University are (1) Central Portfolios & PVC Gippsland, (2) Research & Information Services, (3) Social Sciences & Creative Arts, (4) Engineering & Sciences, (5) Arts, Education & Law and (6) Biomedical Sciences

National Police Certificate: lists the results of a Police Records Check. The certificate will only be issued to the applicant.

Negative Notice: is a document that is provided by the Department of Justice to advise a candidate that they should not be given a Working with Children Check Card and should not engage in child-related work.

Police Records Check: a Police Records Check identifies and releases information about a person’s past criminal record and is only valid at the time of issue.

Rex: the University's online recruitment system, which is used for request to advertise, managing selections, requests for appointment and contract generation.

Working with Children Check (WWC check): The Working with Children Act 2005 requires that people who work or volunteer in certain child-related work apply for, and pass, a WWC check. A WWC check considers certain offences and makes an assessment of the level of risk an individual poses to children’s safety. A WWC Check is valid for five years (unless revoked).

Working with Children Check Card (also referred to as an Assessment Notice): is a document provided by the Department of Justice that advises that a candidate has been successful in a WWC check and may undertake child-related work.

Pre-employment Check: Police Records

The following is a step-by-step procedure for obtaining a Police Records Check.

Step 1: Identify when a Police Records Check is required

A Police Records Check is a mandatory requirement for all specified positions (existing or prospective) which requires a person as an inherent part of their employment to:

• have a financial delegation of more than $100,000; or
• deal regularly with significant amounts of cash and the Dean/Divisional Director (or nominee) determines that this position requires the consideration of any police record before approving the appointment.

A Police Records Check must be conducted prior to any offer of employment or promotion to a specified position being made.

Step 2: Ensure the requirement to undergo a Police Records Check is included in the position description

The relevant HR Business Partner, in consultation with the supervisor and/or head of unit, must ensure that the requirement to undergo a Police Records Check is included in the position description and associated documentation and that the following statement must be included in the advertisement: “Making an appointment to this position is subject to a satisfactory Police Records Check”.

Step 3: Ensure candidates understand the requirement to undergo a police records check

The Chair of the Selection Committee must inform the candidates that they may be required to undergo a Police Records Check. The candidate can be referred to the Victoria Police website for further information.

It is normal practice to request a Police Records Check from the preferred candidate only. However, the Chair has the discretion to request more than one candidate undergo a check as required.

Step 4: Application process

Once the preferred candidate has been selected, the Chair will notify the HR Business Partner by email of the successful candidate (as outlined in the Recruitment, Selection and Appointment Procedure - Advertised recruitment of fixed-term and continuing staff) and will ensure that that notification acknowledges that the candidate has been requested to undertake a Police Records Check.

The HR Business Partner must then advise the candidate to complete an application by following the instructions on the Victoria Police website. If accessibility is an issue the candidate can seek assistance from the HR Business Partner.

The candidate must consent to the Police Records Check being conducted by signing a Victorian Police Consent to Check and Release National Police Record form.

Candidates who are required to undergo a Police Records Check are able to receive reimbursement for the cost from their Faculty or Division. Current prices can be found on the Victoria Police website.

Victoria Police does not conduct police checks for candidates residing overseas. International candidates must apply to the Australian Federal Police for a National Police Certificate.

Step 5: HR Business Partner to assess the certificate

To ensure the protection of privacy, the National Police Certificate will only be forwarded to the candidate at their nominated postal address on the application form. The candidate must then provide the National Police Certificate to the HR Business Partner.

The HR Business Partner will:

• confirm the original National Police Certificate has been sighted in Rex;
• return the original National Police Certificate to the candidate; and
• assess the National Police Certificate.

Only the HR Business Partner is authorised to view the National Police Certificate. The HR Business Partner may consult as appropriate with relevant parties to facilitate the assessment of a certificate. Refer to the Privacy Procedure for further information.

Step 6: Outcome of a Police Records Check

Satisfactory Outcome

The HR Business Partner must ensure that the candidate receives a satisfactory Police Records Check (no findings of guilt, outstanding charge or other matters) before the candidate commences in the specified position.

Delay in process

Victoria Police aims to process the National Police Certificate within 10 working days of the receipt of the application. The processing time may be delayed as information may be required from other jurisdictions. If this is the case, there are two options available - the staff member’s start date may be deferred until the Police Records Check is returned or alternative options maybe be explored with Workplace Relations.

Unsatisfactory Outcome

When a National Police Certificate lists a finding of guilt, outstanding charge or other matters, the HR Business Partner will manage the assessment process to determine the candidate’s suitability for the position. A recommended candidate is not automatically precluded from a position on the basis of having a police record.

The HR Business Partner will assess the record of the candidate based on the following criteria:

• the relevance of the criminal offence in relation to the position;
• the nature of the offence and the relationship of the offence to the particular position for which the person is being considered;
• the length of time since the offence took place;
• whether the person was convicted or found guilty and placed on a bond;
• whether there is evidence of an extended police record;
• the number of offences committed which may establish a pattern of behaviour which renders the applicant unsuitable;
• whether the offence was committed as an adult or a juvenile;
• the severity of punishment imposed;
• whether the offence is still a crime, that is, has the offence now been decriminalised;
• whether there are other factors that may be relevant for consideration. For example, cultural factors or mitigating or extenuating circumstances; ie. provocation, peer group pressure at time of the offence and the circumstances in which the offence was committed or the effect of alcohol; and/or
• the person’s general character since the offence was committed.

Any decision made for or against an appointment on the basis of a Police Records Check or statutory declaration (if applicable) must be supported by reasons and fully documented

Step 7: Decision not to appoint due to the outcome of a Police Records Check

Where there is a decision not to appoint due to the outcome of a Police Records Check the following actions will be undertaken:

• the HR Business Partner will communicate this outcome to the Chair;
• the Chair must inform the candidate of the decision and its rationale; and
• the Chair may provide an opportunity for the candidate to discuss the results.

Pre-employment check: WWC check

The following is a step-by-step procedure for obtaining a WWC check.

Step 1: Identify when a WWC check is required

A WWC check is required for positions that meet all of the following criteria:

• involves contact with children in connection with one of the 20 listed child-related occupational fields;
• the contact happens on a regular (everyday) basis;
• involves direct contact with children under 18 years of age and this contact is not directly supervised; and
• the position does not qualify for an exemption.

The Department of Justice can provide further clarification on which positions require the check. Contact the Working with Children Check information line on 1300 652 879.

Step 2: Ensure the requirement for a WWC check is included in the position description

The relevant HR Business Partner, in consultation with the supervisor and/or head of unit, must ensure that the requirement to undergo a WWC check is included in the position description and associated documentation and the following statement must be included in the advertisement: “Making an appointment to this position is subject to a satisfactory Working with Children’s Check”.

Step 3: Ensure candidates understand the requirement to undergo a WWC check

The HR Business Partner will ensure that the Chair of the Selection Committee informs the candidates that they may be required to undergo a WWC check. The candidate can be referred to the Department of Justice for more information.

Step 4: Application process

Once the preferred candidate has been selected, the Chair will notify the HR Business Partner by email of the successful candidate (as outlined in the Recruitment, Selection and Appointment Procedure - Advertised recruitment of fixed-term and continuing staff) and will ensure that that notification acknowledges that the candidate has been requested to undertake a WWC check.

The WWC check is administered by the Victorian Department of Justice.

The candidate must do as follows.

• Complete a WWC check application form. A candidate can access a form on the Department of Justice website or they are available at Australia Post outlets in Victoria.
• Provide details of their relevant organisational area and Faculty or Division under the section marked ‘Details of Organisation’.
• Take the completed application form proof of identify documentation and a passport size photo to an Australia Post outlet in Victoria.
• Pay the appropriate fee (free for volunteers).

Candidates who are required to undergo a WWC check are able to receive reimbursement for the cost from their Faculty or Division.

If the candidate passes the check, he or she will be sent a WWC Check Card 2 to 3 weeks later and the original WWC Check Card must be provided to the HR Business Partner prior to commencement (refer to step 5 for a delay in process).

Step 5: HR Business Partner to assess the WWC Check Card

The HR Business Partner will:

• check the card’s validity on the Department of Justice website;
• record that is it has been validated in Rex; and
• ensure monitoring processes are in place to check that staff members hold a valid WWC Check Card at all times.

Step 6: Outcome of a WWC check

Positive Assessment Notice

The HR Business Partner must ensure that the candidate has passed the WWC check prior to commencement.

Delay in process

Where the WWC check has not been completed prior to the commencement of employment as a result of a delay of up to four weeks from the date the application was submitted to the Department of Justice, the prospective staff member can commence employment provided that he or she has:

• submitted an application for a WWC check and received a unique Application Receipt Number;
• not at any time been given a “Negative Notice” under the Working with Children Act 2005; and
• has not been the subject of reporting/and or supervision arrangements under the relevant sex offenders legislation.

The HR Business Partner must confirm that the prospective staff member has applied for the WWC Check Card by sighting the unique Application Receipt Number and require that the WWC Check Card be sighted as soon as possible. In addition to this, the supervisor of the position must monitor the activities of the staff member until the check is completed.

Interim Negative Notice of Negative Notice for prospective candidates and existing staff

If the candidate does not pass the check they will be given an Interim Negative Notice. The Department of Justice will send a copy of the Interim Negative Notice to the University. However, the letter enclosing a copy of the Interim Negative Notice will not include information about the candidate’s criminal history or about disciplinary findings. The applicant can then make a submission to the Department of Justice to explain why they believe they should pass. If this submission is not successful the applicant will be issued with a Negative Notice. This means they have failed the WWC check and are not permitted to undertake child-related work.

Existing staff who receive an Interim Negative Notice must inform the HR Business Partner in writing within seven working days. They will not be permitted to engage in child-related work while their application is being decided. Staff who receive a Negative Notice will not be permitted to engage in child-related work. The HR Business Partner must advise the Deputy Executive Director & Director Workplace Relations in either case. The staff member’s employment may be subject to review in accordance with the relevant Enterprise Agreement.

Step 7: Changes to circumstances

The staff member has a responsibility to inform the HR Business Partner if there have been any relevant changes in circumstances, for example if he or she has been charged or found guilty of a new relevant offence. The staff member must also apply for a new WWC check within three months of their card expiring.

Responsibilities

HR Business Partner

HR Business Partner is responsible for:

• ensuring that this procedure is complied with;
• ensuring the requirement for a Police Records Check or a WWC check is included in the position description (in consultation with the Chair and supervisor);
• sighting and assessing the original National Police Certificate and checking the validity of the WWC check;
• ensuring the candidate receives a satisfactory Police Records Check and WWC check outcome before the candidate commences in the specified position;
• notifying the chair of outcome;
• ensuring that monitoring processes are in place to check that all staff hold a valid WWC Check Card at all times; and
• advising the Deputy Executive Director & Director Workplace Relations of staff who receive either an Interim Negative Notice or Negative Notice.

Chair

The Chair is responsible for:

• informing the candidate in the interview that they may be required to undergo a Police Records Check or a WWC check;
• notifying the HR Business Partner that the candidate has been requested to undergo a Police Records Check or a WWC check; and
• informing a candidate of the decision not to appoint due to an unsuccessful Police Records Check or a WWC check.

Candidate

The candidate is responsible for:

• applying for a Police Records Check or WWC check;
• providing the original National Police Certificate or WWC Check Card to the HR Business Partner
• notifying the HR Business Partner in writing within seven working days if an Interim Negative Notice or Negative Notice is received (existing staff); and
• applying for a new WWC check within three months of their card expiring.

Deputy Executive Director & Director Workplace Relations

The Deputy Executive Director & Director Workplace Relations is responsible for reviewing the staff member’s employment subject to receiving an Interim Negative Notice or Negative Notice.

Director, Recruitment, Design and Delivery

The Director, Recruitment, Design and Delivery is responsible for maintaining this procedure and ensuring compliance with this procedure and the WWC legislation.

Related procedures

• Conduct and Compliance Procedure - Privacy
• Recruitment Selection and Appointment Procedure - Recruitment of fixed-term and continuing staff

Related documents

• Victoria Police website
• Recruitment and Selection: policy and related procedures
• Equal Opportunity Act (Vic) 1995
• Working with Children Act 2005 (Vic)

Related Enterprise Agreement Clauses

• Monash University Enterprise Agreement (Academic and General Staff) 2009

Related forms

• Online application form - Consent to Check and Release National Police Record