• Section 1 - Purpose
• Section 2 - Scope
• Section 3 - Breaching the Framework
• Section 4 - Definitions
• Section 5 - Principal instruments informing the Framework
• United Nations
• Commonwealth
• New South Wales
• Catholic Church
• Section 6 - Promoting safeguarding
• Diocesan Safeguarding Commitment Statement
• Perpetual Day of Remembrance
• National Child Protection Week
• Responsibilities of diocesan leaders
• Section 7 - Attracting, assessing and supporting diocesan workers
• Recruitment 
• Engagement 
• Supervision and Support 
• Development and Appraisal 
• Responsible Authority 
• Supporting Service*
• Section 8 - Training for diocesan workers
• Safeguarding training regime
• Cultural competency training
• Section 9 - Feedback to the Diocese
• Complaints management
• Unreasonable complainant
• Section 10 - Reporting to the Diocese
• Reporting Concerns for Children
• Reporting Abuse of Vulnerable Persons
• Abuse of Vulnerable Persons
• Obligation to Report Particular Forms of Alleged Abuse
• Section 11 -  Administrative Inquiries
• Nature of Administrative Inquiries
• Authority to Establish and Oversight an Administrative Inquiry
• Competency to Conduct an Administrative Inquiry
• Obligations in an Inquiry
• Obligations to Confidentiality and to Provide Information
• Obligations to Give Evidence
• Exemptions from the Obligation to Give Evidence
• Making Findings
• Determining Outcomes
• Section 12 - Participation and inclusion
• Participation and inclusion in parishes and faith communities
• Participation and inclusion in diocesan agencies
• Section 13 - Promoting environmental, structural and dynamic safety
• Factors that increase individual vulnerability
• Safeguarding planning for facilities
• Safeguarding in ministry and agency programmes
• Safeguarding in the online environment
• Implementing systemic findings
• Dynamic safeguarding for particular circumstances and individuals
• Individual Safety Plans for Diocesan Workers
• Community Safety Plans
• Section 14 - List of acronyms and abbreviations
• Section 15 - Revision history
• Section 16 - Appendices
• Part A -  Diocesan safeguarding commitment statement
• Part B - Contractor categories and associated accountabilities
• Part C - Safeguarding screening questions
• SAFEGUARDING SCREENING QUESTIONS FOR EMPLOYEES
• VOLUNTEER SAFEGUARDING SCREENING QUESTION
• Part D - Reporting obligations within the Diocese of Maitland-Newcastle
• Part E - Diocesan safeguarding training regime
• Definitions
• Descriptions of Modules and Courses
• Part F - Summary of obligations and requirements placed on individual workers and leaders by the Diocesan Safeguarding Framework Policy
• Promoting Safeguarding 
• Training for Diocesan Workers 
• Reporting to the Diocese 
• Adminstrative Inquires 
• Participation and Inclusion 
• Promoting Environmental, Strutural and Dynamic Safety 

Section 1 - Purpose

(1) Catholicism is an inclusive faith, the word Catholic is derived from Greek ‘katholikos’ (universal).  The Catholic Diocese of Maitland-Newcastle (the Diocese) is committed to promoting the safeguarding of children and vulnerable persons in all its communities and all the ministries and activities which it undertakes.  The safeguarding of children and vulnerable persons occurs in an open and welcoming Church that is also accountable and transparent.

(2) The Australian Children’s Commissioners and Guardians defines a child-safe institution as one that consciously and systematically:

1. creates conditions that reduce the likelihood of harm to children;
2. creates conditions that increase the likelihood of identifying and reporting harm; and
3. responds appropriately to disclosures, allegations or suspicions of harm.

(3) The Diocese’s understanding of the term ‘safeguarding’ is derived from the United Kingdom and has globalised its application to include vulnerable persons.  Safeguarding refers to the process of protecting children from abuse or neglect, preventing impairment of their health and development, and ensuring they are growing up in circumstances consistent with the provision of safe and effective care that enables children to have optimum life chances and enter adulthood successfully. 

(4) Pope Francis*, stated that safeguarding in our Catholic Church is founded on the recognition of the intrinsic dignity of every human person, with particular care and attention reserved for the most vulnerable amongst us.  The Diocese supports a person’s dignity by embracing them for whom they are, recognising and validating the individual’s uniqueness and diversity.  Equally though, the Diocese recognises the inherent imbalance of power and position that is experienced by vulnerable persons when interacting with mainstream society and the need to ensure additional protections and care are afforded to those who are vulnerable.

(5) The Diocese takes a zero tolerance approach to abuse.  The Diocese strives to inculcate the safeguarding of children and vulnerable persons as a core practice in all its parishes and faith communities as well as all the services and programmes offered by the Diocese.

(6) The Diocesan Safeguarding Framework Policy (‘Framework’) is designed to:

1. support diocesan workers to meet their safeguarding obligations;
2. provide diocesan leadership with guidance on what needs to be incorporated into individual parishes' and agencies’ policies, procedures and operational norms to achieve compliance with achieve compliance with state and Church legislation, obligations and expectations; and
3. assist the Diocese in being a ‘child-safe organisation’.

(7) The Framework is designed to promote and support the Diocese’s primary mission, to seek first the Kingdom of God:

Section 2 - Scope

(8) On 29 April 2022 Pope Francis addressed the plenary session of the Pontifical Commission for the Protection of Minors, saying:

(9) The Framework applies to the whole Catholic Diocese of Maitland-Newcastle [refer to section 4, Definitions], specifically, the policies, procedures, protocols and practices of diocesan parishes and agencies that relate to or otherwise effect children and vulnerable persons who are part of the Diocese’s faith communities or in receipt of diocesan services.

(10) The Framework is subservient to civil and canonical laws. 

(11) Diocesan parishes and agencies must support the Diocese’s compliance with:

1. the National Principles for Child Safe Organisations;
2. NSW Child Safe Standards; and
3. the National Catholic Safeguarding Standards (‘Standards’).

(12) Diocesan parishes and agencies will work to achieve compliance in consultation with the Office of Safeguarding.

(13) Diocesan workers [refer section 4, Definitions] are required to promote the safeguarding of children and vulnerable persons and comply, where applicable, with the Framework. Diocesan workers’ obligations are summarised in the Diocesan Safeguarding Commitment Statement [refer section 16, Appendix Part A].

(14) Should this Framework be or come into conflict with other diocesan policies, the requirements and obligations imposed by the Framework takes precedence, until such time as the conflict is resolved.

Section 3 - Breaching the Framework

(15) The Diocese considers abuse committed against children or vulnerable persons, or failure to protect children and vulnerable persons, as a serious breach of this Framework that will be addressed at a level commensurate with the seriousness of the conduct or failure to act. 

(16) The Office of Safeguarding will undertake inquiries to ascertain whether a diocesan worker, other than the Director of Safeguarding, is in breach of the Framework.  A third-party investigator, will conduct inquiries into the Director of Safeguarding, answering to the Bishop or his delegate.

(17) Where the Diocese has established that there has been a breach of the Framework, the range of potential consequences that the diocesan worker may experience, is dependent on the nature of the sustained allegations, the nature of the work undertaken by the worker or their role in ministry and the nature of their engagement with the Diocese.  Breaches of this Framework by senior leaders in the Diocese is considered particularly serious.

(18) The Diocese’s People and Culture Service is responsible for the oversight of formal disciplinary proceedings for employees and volunteers.  Disciplinary action will be taken in accordance with the Diocese’s Counselling and Disciplinary Policy.  Issues related to clergy and religious are the responsibility of the Bishop’s Office and management of contractors rest with Property Service. The following provides a brief summary of review options:

1. Clergy and religious
   1. Review of a clerics or religious’ ministry which may include:
      1. counselling on acceptable conduct;
      2. assessment of suitability to the current or future ecclesiastic appointments;
      3. restriction, suspension or withdrawal of faculties.
2. Contractors
   1. Review of the Diocese’s engagement with the contractor, including:
      1. counselling on acceptable conduct and breaches of policy;
      2. issuing a warning letter (breach of contract);
      3. cancellation of contract(s);
      4. temporary or permanent refusal by the Diocese to re-engage with the contractor.
3. Employees
   1. Disciplinary action which may include:
      1. counselling on acceptable conduct;
      2. formal warning;
      3. transfer to another, more appropriate position;
      4. suspension or termination of employment.
4. Volunteers and student placements
   1. Review of the person’s continued engagement with the Diocese, which may include:
      1. counselling on acceptable conduct;
      2. changes of role and responsibility;
      3. cessation of their placement or engagement as a volunteer.

(19) Reference should be made to the relevant policy for more information.

Section 4 - Definitions

(20) The following definitions are relevant for the purposes of the Framework and related policies and procedures of the Office of Safeguarding.  These definitions do not necessarily apply to other diocesan policies and procedures.

Section 5 - Principal instruments informing the Framework

(21) No one can safeguard children and vulnerable persons alone, it requires a shared and collectively applied determination.  There are multiple acts and associated regulations, conventions, principles and guidelines that form the foundations and inform the nature of the Diocese’s ongoing work in strengthening a safeguarding culture.  The Framework is dependent on and informed by international, national, state and church instruments.

(22) Of lasting and eminent importance in informing the ongoing development of safeguarding in Australia is the Final Report of the Royal Commission into Institutional Responses to Child Sexual Abuse (2017).  Of relevance to the Framework are Volumes 2-10, 12, 13, 16[Books. 1-2] and 17.

United Nations

(23) The international treaties, conventions, protocols and other agreements entered into by the Commonwealth of Australia, notably:

1. Universal Declaration of Human Rights (1948);
2. Convention on the Rights of the Child (1989);
3. Principles for Older Persons (1991); and
4. Convention of the Rights of Persons with Disabilities (2006) .

Commonwealth

(24) The laws and associated statutory instruments enacted and otherwise endorsed by the parliament and government of the Commonwealth of Australia, notably:

1. Family Law Act 1975;
2. Australian Human Rights Commission Act 1986;
3. Privacy Act 1988 (Australian Privacy Principles);
4. Criminal Code Act 1995;
5. Modern Slavery Act 2018;
6. National Principles for Child Safe Organisations (2019);
7. National Strategy to Prevent and Respond to Child Sexual Abuse [2021–2030]; and
8. Safe and Supported: The National Framework for Protecting Australia’s Children [2021-2031].

New South Wales

(25) The acts and associated statutory instruments, schemes, standards, protocols and procedures enacted and otherwise endorsed by the parliament and government of NSW, notably:

1. Crimes Act 1900;
2. Children and Young Persons (Care and Protection) Act 1998;
3. Child Protection (Working with Children) Act 2012;
4. Children’s Guardian Act 2019;
5. Office of the Children’s Guardian: Guide to the Child Safe Standards (2020);
6. Office of the Children’s Guardian Child Safe Handbooks:
   1. Child Safe Action Plans;
   2. Reporting Obligations and Processes;
   3. Understanding and Developing a Child safe Policy;
   4. Risk management and the Child Safe Standards (Parts 1 and 2);
   5. Empowerment and participation: A guide for organisations working with children;
   6. Child Safe Codes of Conduct; and
   7. Engaging sensitively with survivors of abuse. 

Catholic Church

(26) Drawing on natural and divine law, and church dogmas, and the oral and codified traditions of the universal Catholic Church, and the particular laws and traditions of the Catholic Church in Australia and the Diocese of Maitland-Newcastle, the principal Church instruments include:

1. Code of Canon Law (1987);
2. Sacramentorum Sanctitatis Tutela (2001);
3. Integrity in Ministry (2004);
4. Normae de Gravioribus Delictis (2010 revisions);
5. Integrity in the Service of the Church (2013);
6. Apostolic letter to the People of God “If one member suffers…” (20 August 2018);
7. Decree 06/2019 of the Bishop of Maitland-Newcastle establishing the Ecclesiastical Office of Director of Safeguarding Children and Vulnerable Adults (24 May 2019);
8. The National Response Protocol (February 2021);
9. Revisions of the Code of Canon Law, Book VI: Penal Sanctions in the Church(8 December 2021);
10. Vademecum: On certain points of procedure in treating cases of sexual abuse of minors committed by clerics (Version 2.0, 5 June 2022);
11. National Catholic Safeguarding Standards (Edition 2, December 2022); and
12. Vos Estis Lux Mundi (Revision 27 March 2023).

Section 6 - Promoting safeguarding

Diocesan Safeguarding Commitment Statement

(27) To clearly articulate the Diocese of Maitland-Newcastle’s abiding commitment to safeguarding children and vulnerable persons, the Diocese has formulated a ‘Statement’ that provides a brief overview of and guidance to each diocesan worker, on the expectations and obligations placed on them by the Diocese to assist in safeguarding children and vulnerable persons.

(28) When safeguarding children and vulnerable persons, particular attention should be afforded those  who have identifiable factors that increase individual vulnerability [refer clauses 158-165].

(29) Each diocesan worker will be required to personally evidence their commitment to the Statement [refer Appendix Part A].  The Statement will either form a part of the workers’ code of conduct or be a standalone document for those workers whose roles are not subject to a codes of conduct, e.g. clergy.

Perpetual Day of Remembrance

(30) On 15 August 2020 then Bishop of Maitland-Newcastle, William Wright, issued a canonical decree that established “A Perpetual Day of Remembrance Sunday, a Feast Day, is to be inscribed into the Diocesan Liturgical Calendar to be held on the Sunday on or prior to the 15th of September”.

(31) Bishop Wright explained that the purpose and importance of the Perpetual Day of Remembrance is:

National Child Protection Week

(32) National Child Protection Week is an annual awareness and promotional campaign that was commenced in 1990 and has been coordinated and promoted by NAPCAN across Australia for that time, other than in Queensland.

(33) National Child Protection Week:

1. … aims to engage, educate and empower Australians to understand the complexity of child abuse and neglect and work together to prevent it. The campaign does this through sharing evidence through webinars and events as well as creating resources in order to empower communities to have conversations regarding children’s safety and wellbeing.

(34) The Diocese of Maitland-Newcastle is committed to the promotion and celebration of National Child Protection Week.

Responsibilities of diocesan leaders

(35) As part of promoting a safeguarding culture across the Diocese, diocesan leadership will:

1. demonstrate active and overt support for and commitment to the Diocese’s Safeguarding Commitment Statement;
2. ensure that those diocesan worker for whom they are directly responsible, are aware of and act in accordance with the Diocese’s Safeguarding Commitment Statement;
3. promote awareness of the Perpetual Day of Remembrance and National Child Protection Week with those diocesan workers for whom they are directly responsible;
4. encourage participation in the local parish’s and faith community’s services and activities, held as part of the Perpetual Day of Remembrance; and
5. support activities undertaken as part of the Diocese’s celebration of National Child Protection Week.

Section 7 - Attracting, assessing and supporting diocesan workers

(36) The processes used to recruit and engage with new diocesan workers will integrate contemporary safeguarding philosophy and practices.  The particulars of these processes are dependent on the nature of the worker and their future or intended relationship with the Diocese.  Recruitment of and engagement with diocesan workers is a collaborative effort with specific responsibilities being completed by personnel expert in their specific fields.  This may include personnel expert in:

1. the role for which the person is being recruited or engaged (e.g. members of a recruitment panel);
2. recruiting and pre-engagement screening of applicants (People and Culture personnel); or
3. undertaking risk assessments of applicants when risk factors are identified (e.g. Office of Safeguarding personnel).

(37) The Diocese believes that its most important and valued resource is its people.  To facilitate the best from its workers, the Diocese is committed to investing in the individual, commensurate with the nature of the worker and the levels of responsibility and authority entrusted to the individual.

Recruitment 

Section 8 - Training for diocesan workers

(38) Promoting a safe environment for children and vulnerable persons in diocesan parishes and agencies is dependent on ensuring an appropriately trained and aware workforce.

Safeguarding training regime

(39) All diocesan workers must be aware of the importance of safeguarding in the Diocese and have an understanding of their safeguarding obligations, including their reporting obligations.

(40) Diocesan workers in child-related work will have a detailed understanding of their safeguarding obligations, including:

1. the Diocese’s safeguarding infrastructure including the Office of Safeguarding and related policies and procedures;
2. indicators of abuse and neglect;
3. responding to disclosures of abuse and neglect;
4. reporting obligations;
5. indicators and management of risks to the safety, welfare and wellbeing of children and vulnerable persons, including e-safety;
6. supporting inquiries of alleged misconduct by diocesan workers against children and vulnerable persons;
7. complaints handling;
8. information sharing and record keeping; and
9. contributing to the ongoing development of a child-safe culture within the Diocese.

(41) The Diocese recognises and supports the importance of diocesan workers, particularly those who are in child-related work, maintaining currency in their safeguarding knowledge and to be given opportunity to develop and enhance their safeguarding skills and practices.

Roles and responsibilities of the Office of Safeguarding

(42) The Office of Safeguarding is responsible for developing and maintaining the content, quality and relevance of the Diocese’s safeguarding training material and deliver on the Diocese’s Safeguarding Training Regime [refer Appendix Part E].

(43) In consultation, the Director of Safeguarding reviews the Diocese’s Safeguarding Training Regime as deemed appropriate.

(44) Diocesan workers are able to request recognised prior learning (RPL) for a limited number of safeguarding training courses.  It is at the discretion of Office of Safeguarding whether RPL is approved.

(45) There are three distinct classes of safeguarding training:

Diocesan workers and leaders’ obligations to undertake and support training

(46) All diocesan workers must complete the Diocese’s Safeguarding Training Regime [refer Appendix Part E] relevant to their role, in the prescribed timeframes, including:

1. the training obligations for newly appointed diocesan workers, including new employees, volunteers and contractors and clergy newly incardinated to the Diocese or newly arrived clergy and religious who are to take up ministries on behalf of the Diocese; and
2. an ongoing cycle of safeguarding training designed to promote diocesan workers’ having currency in their safeguarding knowledge and affording those in child-related work opportunity to develop and enhance their work related safeguarding skills and practices.

(47) Diocesan leaders:

1. are expected to lead by example and fulfil their own safeguarding training obligations promptly; and
2. will facilitate and, if necessary, direct their workers to complete their mandatory safeguarding obligations in accordance with the Diocese’s Safeguarding Training Regime; and
3. are empowered to direct one, some or all their workers to undertake additional safeguarding training beyond that which is prescribed by the Diocese’s Safeguarding Training Regime.

Self-care with potentially confronting content

(48) The Diocese is committed to providing honest, direct and detailed safeguarding training for all diocesan workers.  The training courses content, in particular, may contain information about the Diocese’s history and current facts that may be confronting and challenging to some.

(49) It is a diocesan worker’s responsibility to assess whether it would be potentially unsafe for them to participate in a safeguarding training course.  Course descriptions are made available to all diocesan workers on the Office of Safeguarding public website and a diocesan worker may consult directly with their supervisor or the Office of Safeguarding.  Diocesan workers are reminded at the beginning of the training courses to place self-care first.

(50) Diocesan workers are able to contact the Office of Safeguarding to discuss the appropriateness of undertaking an alternative learning process.

(51) Diocesan employees have access to an Employee Assistance Programme (EAP).  Office of Safeguarding can arrange for volunteers to access EAP in consultation with the affected volunteer

Cultural competency training

(52) Separate from the core safeguarding training, promoting an understanding of and commitment to cultural awareness, acceptance and inclusion is an integral part of promoting a safeguarding environment within the Diocese.

(53) Diocesan employees, clergy and religious are required to undertake cultural competency training as part of the diocesan safeguarding training standards. 

(54) The Diocese will make opportunities available to diocesan volunteers to access the training as is reasonably possible based on resourcing constraints.

Section 9 - Feedback to the Diocese

(55) Feedback is communication from an individual or group to the Diocese or part thereof.  Feedback may be a compliment, advice, a comment or observation or a complaint.

(56) For the most part, the Diocese is committed to considering people’s feedback and responding in a timely and respectful manner.  However, some feedback is not appropriate to respond to, including feedback that is:

1. highly or personally abusive aggressive;
2. threatening towards one or more diocesan worker;
3. presented as a statement not seeking a response; or
4. submitted anonymously or without any contact details.

(57) The Diocese is committed to encouraging feedback from all people who have involvement with the Diocese, particularly children and vulnerable persons.  Individual parishes and diocesan agencies are responsible for providing options for parishioners, people in receipt of diocesan services or members of the public to provide feedback.  Particular provision should be made to encourage children and vulnerable persons offering feedback.

(58) Feedback should be responded to by the recipient of the feedback, unless the feedback constitutes:

1. a ‘concern for children’ [refer clauses 74-85];
2. an allegation of abuse against a vulnerable person [refer clauses 86-104];
3. an allegation of a crime or serious breach of professional standards having been committed; or
4. the recipient is subject to a conflict of interest in responding to the feedback the subject of the feedback is outside the recipient’s competence to respond to on behalf of the Diocese;

(59) - in which case, the feedback needs to be accurately recorded and passed onto the recipient’s local leader.

Complaints management

(60) This section does not relate to ‘concerns for children’ [refer clauses 74-85] or allegations of abuse of vulnerable persons [refer clauses 86-104].

(61) The Diocese endeavours to respond to complaints in a constructive and efficient way, promoting the likelihood of achieving a resolution acceptable to all ‘interested parties’.  As with feedback, most complaints are an opportunity to learn and assess the quality of people’s experiences living their faith in and receiving services from the Diocese and the quality of interaction with diocesan workers.

(62) The Diocese’s Governance Service is responsible for:

1. the development, implementation, review and support for the practice of the Diocese’s Complaints Resolution policies and procedures; and
2. provision of specialist complaints management and conflict resolution services in support of local resolution of complaints at the agency or parish level and when options for a local resolution have been exhausted.

(63) The complainant should be the person who had the adverse experience or poor service.

(64) A grievance is a statement (written or oral) raised by a Diocesan worker about the conduct of another Diocesan worker and work-related concern, and is subject to particular industrial relations laws and norms not applicable to other forms of complaint.  A grievance may involve:

1. interpersonal conflict;
2. a perceived breach of policy;
3. the allocation of work or developmental opportunities; and
4. a perceived unfairness in the workplace.

(65) Complaints that constitute workplace grievances are referred to People and Culture Service, who are responsible for:

1. the development, implementation and review of the Diocese’s Workplace Grievance policies and procedures; and
2. provision of specialist human resource management services, including the resolution of workplace grievances.

(66) The Diocese recognises that not all complaints can be resolved to all parties satisfaction.  It is important to be honest and establish reasonable boundaries and expectations about what may result from a person’s complaint.

(67) For the most part, complaints should not be escalated past the local level prior to the respondent being advised of the complaint and local leadership being given all reasonable opportunity to resolve it.  The exceptions to this expectation include complaints where:

1. there is a sufficiently serious actual or perceived conflict of interest involving the local leadership;
2. there is a clear imbalance of power between complainant and respondent that is in the favour of the respondent;
3. the complainant has a reasonable basis to be concerned about possible reprisal or belief that the complaint will not be properly addressed; or
4. the complaint is about the conduct of a senior diocesan leader.

Unreasonable complainant

(68) When people behave unreasonably in their dealings with the Diocese, their conduct can significantly affect the unity of faith communities and the efficient provision of services by diocesan agencies.  A complainant’s conduct is considered unreasonable when the complainant is unreasonably:

1. persistent: in promoting their grievance despite the Diocese’s response having been finalised or refusing to accept the outcomes of the process;
2. demanding: for outcomes that are unattainable or having their complaint reassessed;
3. uncooperative: refusing to accept alternate perspectives or define their desired outcomes;
4. argumentative: promoting unsupported theories and irrational interpretations and refusing to accept informed advice; or
5. emotional: exhibiting extreme emotional responses, aggression, threats or other threatening or violent conduct.

(69) The Diocese will not persist in attempting to resolve complaints when the complainant is assessed as unreasonable, nor agree to further reviews of the complaint or appeals against a finalised complaints resolution process.

Section 10 - Reporting to the Diocese

(70) Not all complaints are of equal merit, some are of greater significance and require more than a local response.  Allegations of conduct by a diocesan worker that constitutes a ‘concern for children’ or constitutes abuse of a vulnerable person, are dealt with through a more prescriptive and interventionist process then other complaints.

(71) Diocesan workers have obligations to report concerns for children and allegations of abuse of vulnerable persons.

(72) Diocesan leaders will:

1. actively encourage workers to report concerns for children or allegations of abuse of vulnerable persons; and
2. endeavour to ensure that workers who report in good faith do not suffer any adverse consequences for reporting their allegations or concerns.

(73) Concerns for children and alleged abuse of vulnerable persons contain sensitive information* that must be treated in strict confidence.  Diocesan workers will restrict their discussions of their concerns for children or allegations of abuse to:

1. officers of relevant statutory authorities (e.g. Police, Dept. Communities and Justice);
2. Office of Safeguarding staff; and
3. relevant diocesan leaders (e.g. the worker’s supervisor).

Reporting Concerns for Children

(74) A cornerstone for safeguarding children is the readiness of the adults in their lives to report any concerns that they have for a child’s safety, welfare and wellbeing.

Concerns for Children

(75) Concerns for children is a term used to capture a wide range of possible situations or issues that directly involve a child or class of children and will likely adversely affect their safety, welfare or wellbeing.  Concerns for children includes those matters that may:

1. involve a criminal act;
2. constitute ‘risk of significant harm’ (ROSH);
3. constitute reportable conduct under Part 4 Children's Guardian Act 2019;
4. constitute a more serious delict under Article 1 Vos Estis Lux Mundi;
5. constitute a ‘serious incident’ or ‘prescribed information’, reportable under Children (Education and Care Services) National Law (NSW);
6. involve a breach of professional standards by a diocesan worker, which may constitute a breach of:
   1. the diocesan or related codes of conduct;
   2. codified standards established by a professional body, e.g. APS Code of Ethics;
   3. Integrity in Ministry, for clergy and religious;
   4. Integrity in the Service of the Church, for laity.
7. involve child-on-child (peer on peer) violence, threat and abuse; and
8. involve a person being engaged in child-related work without a validated working with children check (WWCC).

(76) There is detailed assistance online at the Office of Safeguarding website to assist in determining whether there are genuine concerns for children, including:

1. indicators of abuse and neglect of children;
2. what constitutes child abuse and how to report it;
3. what forms of conduct by diocesan workers are reportable and how to report.

(77) There are individual factors that can increase a child’s vulnerability, increasing the risk of the child being abused and suffering greater harm as a consequence of the abuse (refer clauses 158 -165)

Statutory Obligations to Report

(78) Each diocesan worker has a personal obligation, imposed by this policy, to report allegations of abuse against vulnerable persons and concerns for children, in accordance with the protocols approved by the Australian Catholic Bishops Conference and the procedures established by the Diocese.

(79) Many diocesan workers are subject to legal obligations to report matters that fall, wholly or in part, in the scope of child protection concerns, to statutory authorities.  The Diocese supports and expects its workers to fulfil all of their statutory reporting obligations.

(80) All adult diocesan workers are subject to section 316A, Crimes Act 1900.  It is an offence if an adult knows, believes or reasonably ought to know that a child abuse offence has been committed and they have information that might be of material assistance in apprehending, prosecuting or convicting an offender and they fail to report that information to NSW Police as soon as is practical.

(81) Diocesan workers in Catholic Schools, CatholicCare, St Nicholas Early Education and OOSH Services, clergy and laity in children’s ministry are mandatory reporters under section 27 Children and Young Persons (Care and Protection) Act 1998.  If a mandatory reporter has reasonable grounds to suspect that a child is at ROSH, they have a duty to report their concerns to the Department of Communities and Justice (DCJ) in accordance with the advice from the ChildStory website Mandatory Reporter Guide.

(82) Section 27, Children’s Guardian Act 2019 requires diocesan workers in Catholic schools, CatholicCare, St Nicholas Early Education and OOSH Services, clergy and lay workers in parishes who are in child-related work (i.e. they are required to hold a WWCC) and who are the ‘first person’ to become aware of a reportable allegation or conviction, to report the allegation to the Office of Safeguarding (as the delegate for the ‘head of the relevant agency’) as soon as practicable.  If the alleged reportable conduct is about the Bishop of Maitland-Newcastle, the ‘first person’ must report to the allegations to the Office of the Children’s Guardian as soon as practicable.

(83) The Children (Education and Care Services) National Law (NSW) requires that an ‘approved provider, of St Nicholas Early Education and OOSH Services notify the NSW Department of Education Early Childhood Education Directorate within twenty four hours or seven days if:

1. a ‘serious incident’ occurs;
2. ‘prescribed information’ arise;
3. ‘certain circumstances’ arise; or
4. ‘certain information’ arise whether the approved provider is a fit and proper person to be involved in the provision of an education and care service.

(84) Vos Estis Lux Mundi requires clergy and religious (members of Institutes of Consecrated Life or Societies of Apostolic Life) who know or have “well founded motives to believe” that a child is being sexually abused by a cleric or religious, to report their concerns to the Bishop of Maitland-Newcastle and the Office of Safeguarding.

(85) The timeframes for reporting the multiple statutory obligations imposed on diocesan workers, to whom they are required to report and the secondary, policy based reporting obligations are summarised in Appendix Part D Reporting Obligations within the Diocese of Maitland-Newcastle.

Reporting Abuse of Vulnerable Persons

(86) Adults are free to make poor, even self-destructive choices, if they so choose.  However, where there is an established incapacity or loss of capacity for an adult to make informed, independent choices, the situation becomes much more complex.  The Catholic Church is committed to safeguarding vulnerable persons within the complexities of respecting individual freedom of choice.  Irrespective of an adult’s capacity, it is never acceptable for a diocesan worker to act abusively towards others.

Abuse of Vulnerable Persons

(87) The frail aged were among the first group of vulnerable persons to have an internationally recognised definition of abuse specific to their group.  In 2002 the WHO defined elder abuse as:

(88) A commonly applied definition in Australia is the 1999 Australian Network for the Prevention of Elder Abuse definition:

(89) The National Disability Service and the National Disability Abuse and Neglect Hotline defines abuse of people with a disability as having occurred when someone’s human rights are violated by the actions of another person, and should be considered in terms of:

1. exploitation;
2. impact;
3. neglect;
4. violence.

(90) Vos Estis Lux Mundi has strongly influenced the Diocese’s understanding of who is a vulnerable person and what constitutes abusive conduct towards them.

(91) The sexual assault of a vulnerable person is any sexual activity with the person, if the person:

1. lack’s the capacity to give or withholds consent; and
2. is threatened, coerced or forced to engage in sexual behaviour.

(92) The Diocese considers it abusive if there is the sexualisation of the relationship between a diocesan worker and a vulnerable person who is:

1. in receipt of a diocesan service through the worker (i.e. a client); or
2. a parishioner of or person otherwise in receipt of ministry from the worker.

(93) Sexualisation of the relationship (cited above) is inclusive of crossing professional boundaries and other grooming behaviours, e.g. sexualised jokes and suggestions, intimate touching, voyeurism, kissing, etc.

(94) Physical abuse of the vulnerable person by their carer or by a diocesan worker is inclusive of:

1. criminal assault;
2. intentional infliction of pain or significant discomfort; and
3. unauthorised or excessive application of physical restraints.

(95) Neglect is a failure to provide the basic physical and emotional necessities of life.  Neglect of a vulnerable person can include:

1. Physical neglect: failure to provide adequate food, shelter, clothing, protection, supervision, medical and/or dental care; 
2. Emotional neglect: failure to support and encourage, protect and provide stimulation needed for the social, intellectual and emotional growth or wellbeing; and
3. Supervisory neglect: intentional or reckless failure to adequately supervise or support a vulnerable person that results in actual or potential for serious harm or involves a gross breach of professional standards.

(96) Psychological abuse includes:

1. verbal assaults;
2. threats of maltreatment;
3. harassment;
4. humiliation or intimidation;
5. denying cultural or religious needs and preferences; and
6. failure to interact with a person or to acknowledge that person’s existence.

(97) Financial abuse is the improper use of another person’s assets or the use or withholding of another person’s resources. Possible sources of financial abuse are carers, families or guardians who act formally or informally as financial managers and have access to or responsibility for the vulnerable person’s finances and property.

(98) There is detailed assistance online for diocesan workers to assist them in determining whether there is a reasonable basis for believing a vulnerable person is subject to abuse, with the indicators of abuse and neglect of vulnerable persons.

Obligation to Report Particular Forms of Alleged Abuse

(99) The diocesan worker must have credible grounds to believe that a vulnerable person is being abused or is at risk of being abused.

(100) Except in extraordinary circumstances, diocesan workers should discuss their concerns with the vulnerable person and ensure that person is in control of reporting their own situation.  If the vulnerable person states that they do not want their alleged abuse reported, the worker should respect the vulnerable person’s wishes.

(101) However, there are some circumstances where the importance of reporting allegations of abuse takes precedence.  If one or more of the following criteria are present, a diocesan worker must report the alleged abuse, irrespective of the vulnerable person’s wishes:

1. a serious indictable offence is alleged to have occurred or is at risk of occurring;
2. the alleged abuser is a diocesan worker; or
3. there is evidence or a credible basis to believe that the vulnerable person is incapable of or restrained from making free or informed decisions.

(102) Vos Estis Lux Mundi requires clergy and religious (members of Institutes of Consecrated Life or Societies of Apostolic Life) who know or have “well founded motives to believe” that other clergy or religious are performing sexual acts with or sexually exploiting a vulnerable person, to report their concerns to the Bishop of Maitland-Newcastle and the Office of Safeguarding.

(103) The diocesan worker and local leader also need to consider the potential for and seriousness of the harm that may be caused should the abuse go unreported.  The greater the potential risk of serious or catastrophic harm, the greater the emphasis for the diocesan worker to report the abuse.

(104) Section 73Z of the National Disability Insurance Scheme Act 2013, defines what constitutes ‘reportable incidents’ for registered NDIS providers.  Diocesan workers must report allegations of reportable incidents to CatholicCare’s NDIS Programme Manager and the Office of Safeguarding.

Section 11 -  Administrative Inquiries

(105) An administrative inquiry is a structured process undertaken to investigate whether there is sufficient evidence to sustain a complaint.  Administrative inquiries apply the civil standard (on balance of probabilities) and do not address questions of innocence or guilt; nor can administrative inquiries unilaterally achieve moral certitude in canonical jurisdictions.  However, an administrative inquiry can constitute the basis of a ‘preliminary investigation’ to test whether there is a “semblance of truth” to allegations of a cleric committing a canonical delict.

(106) In all circumstances, the Diocese gives primacy to criminal, canonical and other statutory procedures involving external statutory or ecclesiastical authorities, ahead of internal administrative inquiries.

(107) The records compiled in an administrative inquiry may form part of a brief of evidence referred to law enforcement, submitted to civil or ecclesiastic authorities or entered into evidence in civil proceedings.

(108) The records compiled in an administrative inquiry are securely stored and retained in an electronic form, in accordance with Diocesan information management policy and procedures for a minimum of 50 years.

(109) Administrative inquiries are necessary when allegations of serious misconduct or abuse are made, or key facts raised in a complaint are in dispute between parties. 

(110) Administrative inquiries are conducted recognising the inherent imbalance of power between the parties to an inquiry, where the respondent is a Diocesan worker and the complainant a child or vulnerable person.

(111) However, for some complaints, particularly where there is an amelioration of the imbalance of power (e.g. a child has strong, engaged parents, a vulnerable person an active, engaged advocate), it may be in both the complainant’s and respondent’s best interests to adopt a solution focused approach.  Application of dispute resolution processes like mediation or restorative justice methodologies may achieve more constructive solutions more easily and with less potential for those involved to adopt rigid and oppositional positions.  Diocesan leaders should only initiate an administrative inquiry when necessary.

(112) Diocesan workers who act in good faith and in accordance with this policy during an inquiry, will not be subject to any adverse consequences due to their participation in an inquiry.

(113) Diocesan leaders will:

1. actively encourage workers to support administrative inquiries; and
2. endeavour to prevent diocesan workers suffering any adverse consequences for their participation in an inquiry.

Nature of Administrative Inquiries

(114) Administrative inquiries can range from highly structured formal investigative proceedings that require months to complete, to brief ad hoc inquiries conducted in a few hours.  Nevertheless, all administrative inquiries in the Diocese of Maitland-Newcastle have common traits. 

Authority to Establish and Oversight an Administrative Inquiry

(115) Only Diocesan leaders (local or senior) can establish and oversight administrative inquiries.

(116) For the most part, diocesan leaders are restricted in the scope of any inquiry to those:

1. activities or incidences that occurred within the diocesan leader’s scope of responsibility; and
2. diocesan worker who are in the diocesan leader’s organisational line of authority.

(117) Diocesan leaders cannot unilaterally initiate administrative inquiries into:

1. alleged criminality; or
2. alleged child abuse.

(118) For example, the principal of a diocesan Catholic systemic school is responsible for the activities that occur within, or as a part of an authorised activity of their school and holds authority over diocesan employees and volunteers appointed to that school.  However, the principal cannot initiate an inquiry into an allegation of child abuse without first having consulted with the Office of Safeguarding, in accordance with clauses 74-85 - Reporting Concerns for Children.

(119) There are three senior leaders who have authority to establish and oversight a broader range of inquiries, including potential criminality:

1. the Bishop of Maitland-Newcastle may initiate an inquiry into any diocesan activity or involving any diocesan worker;
2. the Chief Executive Officer in the role of Diocesan Finance Officer (Can. 494) may initiate an inquiry into any aspect of the Diocese’s financial activities and accounts; and
3. the Director of Safeguarding may initiate an inquiry involving any diocesan worker or any diocesan activity that is within the decree and mandate of the Director’s ecclesial office.

Competency to Conduct an Administrative Inquiry

(120) An administrative inquiry may be conducted by a diocesan worker deemed competent to do so.  Individual competence is a function of multiple factors, both particular to the individual who is being assessed to conduct the inquiry and the substance, subject and circumstances of the inquiry.  In general terms, the diocesan worker conducting the inquiry must:

1. be neutral and devoid of actual or perceived conflict of interests;
2. understand and be able to apply due process (procedural fairness);
3. be capable of protecting the integrity of the inquiry; and
4. ensure that an appropriately comprehensive brief of evidence is secured to allow for properly informed decision making.

(121) Particular classes of inquiries require specific competencies and are reserved for specialist personnel, e.g. allegations of financial mismanagement warrant an investigator with skills in forensic accounting.

(122) The Office of Safeguarding specialises in the conduct of more serious and complex administrative inquiries.  Certain types of inquiries are reserved to the Office of Safeguarding, including:

1. reportable conduct inquiries conducted under Part 4 Children’s Guardian Act 2019;
2. inquiries conducted under the National Response Protocol;
3. alleged abuse of vulnerable persons by diocesan workers, including reportable incidents as determined by sub sections 73Z (4) and (5), National Disability Insurance Scheme Act 2013;
4. inquiries into damages claims brought against the Diocese for personal injury caused by child abuse; and
5. allegations of misconduct involving children or vulnerable persons where the respondent is a senior leader in the Diocese.

(123) Where alleged misconduct by a diocesan worker may constitute a delict against a child or vulnerable person under Canon Law or Vos Estis Lux Mundi, it requires a joint administrative and canonical response.  The Bishop of Maitland-Newcastle will issue a decree opening a preliminary investigation under Canon 1717:

1. appointing the Director of Safeguarding and an appropriately qualified and experienced priest to jointly oversee the process; and
2. making the administrative inquiry serve as the preliminary investigation.

(124) A complaint of abuse against the Bishop of Maitland-Newcastle is dealt with in accordance with articles 6 to 19, Vos Estis Lux Mundi.

Obligations in an Inquiry

Obligation to Support the Inquiry

(125) Diocesan workers are obliged to actively support administrative inquiries by:

1. maintaining a neutral position, not reaching conclusions during an inquiry about whether an allegation is sustained, or a complaint established;
2. respecting the findings and outcomes of an inquiry if they are privy to that information; and
3. accepting that they may not be privy to the findings or outcomes of an inquiry.

(126) Diocesan leaders are required to support diocesan workers who are involved in an inquiry, whether as complainant, witness or respondent.

Obligations to Confidentiality and to Provide Information

(127) Diocesan workers who are involved in an inquiry or aware that an inquiry is occurring must maintain confidentiality during and after the inquiry.

(128) Through civil or canonical law, certain persons (‘key persons’) involved in an inquiry are entitled to certain information, including the:

1. respondent;
2. complainant, when the complainant is the alleged victim; and
3. responsible person(s) for the alleged victim.

(129) The information may be conveyed verbally or in writing, dependent on legislative requirements and which medium is deemed most appropriate for the recipient of the information and the circumstances in which the information is given.

(130) Diocesan leaders who are conducting an inquiry must ensure that key persons receive the requisite information at the appropriate time, including

1. progress of the inquiry;
2. any findings made by the inquiry; and
3. any approved outcomes, allowing for the protection of the respondent’s right to privacy.

Obligations to Give Evidence

(131) Diocesan workers are obliged to give evidence in administrative inquiries, including:

1. providing records requested by the investigator; and
2. being interviewed by the investigator.

(132) The obligations of diocesan workers to give evidence in an administrative inquiry overrides guidelines and advice issued by a professional representative body, association, college, guild or other entity acting on behalf of a recognised profession or trade.

Exemptions from the Obligation to Give Evidence

(133) There are exemptions from a diocesan worker’s obligation to give evidence, including:

1. a common law right not to self-incriminate (criminal activities);
2. the sanctity of the confessional and the privilege of religious confessions;
3. client legal privilege;
4. sexual assault communications privilege; and
5. familial or relational conflict of interests.

(134) Exemptions from the obligation of a diocesan worker to give evidence may be subject to assessment of applicability, based on the particulars of the administrative inquiry being conducted, e.g. the more serious the complaint or the more senior the respondent, the greater the predisposition of the Diocese to limit the application and extent of such exemptions.

Making Findings

(135) A finding must be supported by the available evidence and should be reflective of the assessment submitted by the person who conducted the inquiry.  The diocesan leader can consult as to the proper analysis of evidence and making of sound findings in administrative inquiries, with:

1. the Diocese’s Governance Service; and
2. the Office of Safeguarding, particularly as to complaints involving children and vulnerable persons.

(136) Findings tend to fall into two categories:

1. Personnel: relate to the actions or inactions of one or more diocesan workers or other persons; or
2. Systemic: relate to systems, structures, processes, policies, procedures and practices of the whole Diocese or particular parishes or agencies and localised workplace cultures.

(137) Personnel findings can only be made in an administrative inquiry, or any other diocesan process, that has demonstrated procedural fairness for those subject to such findings.

(138) It is preferrable that the person conducting an inquiry is not the person who determines the definitive (or final) findings of that inquiry.  However, for inquiries of less serious complaints or when undertaking formal reviews, it may be more efficient that the inquirer or reviewer determine the findings.  For inquiries of more serious complaints, the diocesan leader overseeing the administrative inquiry is responsible for making the findings.                      

Determining Outcomes

(139) The diocesan leader who has supervisory or oversight responsibility for the respondent determines what are the appropriate outcomes for the respondent.  However, senior leaders may reserve to themselves the right to determine the outcomes of an inquiry that relates to a diocesan worker for whom they have some responsibility (who works in the senior leader’s agency or ministry) on either an individual basis or holistically.

(140) Outcomes in relation to a respondent, should not be enacted without findings that are supportive of such actions. 

(141) In determining what constitute appropriate outcomes for a respondent, there are multiple, often individual factors that help guide the diocesan leader’s thinking, including:

1. Catholic formal guidelines, principles and teachings;
2. community expectations;
3. legislation, both civil and canonical;
4. ‘industry norms’ including contractual arrangements, conditions etc.;
5. guidelines and standards set by relevant professional representative bodies; and
6. the worker’s history with the Diocese including past disciplinary actions (if any).

(142) Where the proposed outcomes effect the worker’s employment or volunteerism, the diocesan leader must consult with the Diocese’s People and Culture Service.

(143) Where the proposed outcomes effect contractual arrangements the diocesan leader must consult with the Diocese’s Governance Service and Property Service (contractor management).

(144) Outcomes that relate to the clergy are reserved for the Bishop’s Office.

Section 12 - Participation and inclusion

(145) The Diocese’s vision is “To live the joy of the Gospel and share it with the world.”  To enact our vision the Diocese must engage with a broad spectrum of people, particularly children and vulnerable persons who are members of a diocesan faith community or in receipt of services through a diocesan agency.

(146) Diocesan workers must ensure that they engage with people in faith communities and the various ministries supported and services provided by the Diocese:

1. respectfully, promoting the dignity and intrinsic value and uniqueness of each person;
2. safely, being aware of the inherent power imbalance in favour of the worker;
3. ethically, ensuring that the person’s best interests are central in the worker’s decision making; and
4. inclusively, promoting the participation of those who are of diverse personal circumstances (including physical, intellectual, linguistic, cultural and gender identity).

(147) The Diocese is committed to providing children and their families and vulnerable persons appropriate opportunities to provide input in the ongoing development, implementation and review cycle of safeguarding policies, procedures and processes.

Participation and inclusion in parishes and faith communities

(148) In diocesan parishes and faith communities, engagement with people may be primarily classified as relationally based.  Relational engagement should emphasise the value of each individual.  The intrinsic value of human interaction, one-with-the-other, is understood as a worthwhile outcome in itself.  Relational engagement is characterised by a greater degree of reciprocity than in functional engagements.

(149) In parishes and faith communities, the parties have a greater capacity to embark on a mutual journey without, necessarily, a specific timeframe or agreed outcome as the basis for their engagement.  The paradigm may also be applicable in other pastoral ministries, including the multiple chaplaincies, children’s and youth ministries supported by the Diocese and Healing and Support (Zimmerman Service).

(150) The emphasis in relational engagement is to encourage participation and inclusion on the individual level.  This involves the diocesan worker encouraging and supporting the parishioner or person seeking pastoral care, appropriate opportunities to contribute to shaping the dialogue between the parties and directing the nature and range of the ministry offered or service provided.

(151) There is an expectation that appropriate structural opportunities for participation and inclusion are available to the faithful.  Where parishes can sustain such structures, parishioners should be able to participate to the direction and priorities of their parish through parish pastoral and finance councils.  There is also an expectation that structural opportunities for participation and inclusion are maintained on a diocesan level, e.g. the Council for Mission and the Diocesan Council for Ministry with Young People.

Participation and inclusion in diocesan agencies

(152) The Diocese provides a large volume and diverse range of services to diocesan families including educational, care and welfare services.  The provision of these services may be a form of ministry and constitutes those good works undertaken by entities other than parishes.  Unlike parishes however, the nature of the engagement with a student and their parents or a client family is functionally based.

(153) Functional engagement tends to be more structured than relational engagement.  In functional engagements there are expectations of an equity of service provision for those who are in receipt of the service and there are greater (often externally established) guidelines or parameters defining the nature and scope of the service to be provided.  Both parties in a functional engagement should have a clear understanding of purpose, what is to be achieved within a specified timeframe. 

(154) Diocesan agencies are expected to promote participation and inclusion on the individual level, e.g. promoting the client’s voice in decision making.  However, the agencies have a greater capacity and emphasis on structural opportunities for persons to participate.  These include:

1. Reference groups for clients of a service or the carers of to influence the strategic planning and priorities (e.g. representation to or being a subcommittee of the CatholicCare Board);
2. Student councils or other representative bodies should be established in diocesan high schools and colleges and may be established in primary schools should there be sufficient local interest and capacity to sustain them;
3. Demonstrable engagement with Federation of Parents and Friends Associations for the Diocese of Maitland-Newcastle at the diocesan (CSO) level and support for the establishment and continuation of local school Parents and Friends Association branches;
4. Establishing and maintaining an agreed cycle of gathering ‘user feedback’ for all diocesan service provision and reporting on the results, which should include: provision of online and personal surveys;
5. ability for individuals to provide feedback anonymously; and
6. mechanisms for ad hoc feedback (e.g. feedback or suggestion boxes).

(155) Diocesan agencies are required to facilitate structural opportunities, appropriate for the nature of the service provided and the capacity of the agency to sustain such structures, to promote the participation and inclusion of students, clients, their families and the Catholic community.

Section 13 - Promoting environmental, structural and dynamic safety

(156) The Diocese is committed to promoting the safety of people who are members of a diocesan faith community or in receipt of services through diocesan agencies, particularly children and vulnerable persons.

(157) As such, the Diocese applies multiple preventative safeguarding strategies, designed to reduce the risk of unsuitable or abusive persons assuming roles and responsibilities with the Diocese that allow them access to children and vulnerable persons.  However, no known set of preventative measures will eliminate the ongoing risk inherent in providing multiple, complex services in multiple sites that are geographically dispersed and, often, in the community.  Consequently, the Diocese applies a combination of planned and dynamic safeguarding strategies.

Factors that increase individual vulnerability

(158) The Diocese of Maitland-Newcastle recognises that there are circumstances that can result in some adults being at greater risk of being harmed and maltreated.  These vulnerable persons are entitled to additional protections not afforded to the majority of the adult population.

(159) Australian society and the Catholic Church recognises that all children are entitled to greater care and protection than adults.  However, as with vulnerable adults, there are circumstances that affect some children that increases their vulnerability to being abused.  These include but are not limited to:

1. an established history of aggression, violence or previous harm to the child or their siblings;
2. the child having a physical disability or sensory impairment;
3. the child having a developmental delay or being neurodiverse;
4. the child suffering from mental illness the child identifying as other than heterosexual or gender diverse; or
5. the child being ‘invisible’ to the wider community, no support services or chronic failure to attend school.

(160) There are familial or environmental risk factors that increase a child’s risk of being abused, including but not limited to:

1. Poverty and overcrowding in the family home;
2. Multiple homes, transient living arrangements and homelessness;
3. Absent or deficient parenting skills in one or more carers;
4. Children from the family having been taken into statutory care (also known as institutional care, foster care or out-of-home care);
5. Uncontrolled or poorly managed mental health issues for one or more carers;
6. Substance dependency;
7. Multiple carers or transient partners;
8. Social or geographical isolation (lack of support networks); or
9. Persistent criminality, enmeshment in criminogenic networks and domestic or partner violence.

(161) Some First Nations Peoples’ communities are severely affected by multiple environmental risk factors stemming from generational marginalisation, disenfranchisement and poverty.  Further, generations of First Nations children were disproportionally subject to statutory care, including attempts to forcefully assimilate First Nations people.

(162) Also, families who have recently emigrated to Australia suffer similar challenges, particularly those who:

1. are non-European;
2. are fleeing poverty, war or other civil disorder; or
3. do not speak English or have English as a second language.

(163) People who identify as being of diverse sexuality, particularly those who identify as being members of trans and gender diverse communities, are at increased risk of discrimination and violence.  Many individuals suffer significant degrees of social isolation, mental health and substance dependency issues.

(164) Diocesan workers should have some understanding of the nature and types of factors that can increase individual vulnerability.  When working with children who are affected by one or more of these factors, additional caution should be used when determining whether to report concerns for the child or not (refer clauses 74-85).

(165) When developing a new programme (refer clauses 172-182) or planning an atypical or one-off event (refer clauses 189-200), Diocesan leaders should consider whether their programme or one-off event will involve one or more children affected by these factors and plan for additional safety measures.

Safeguarding planning for facilities

(166) Integrating environmental and structural safeguarding strategies are best done as part of the development/design phase of any facility.

(167) The scope of works that are put out to tender for new building works or major renovations of existing facilities (‘capital works’) will include a requirement that site and building design will incorporate best practice situational crime prevention strategies and maximise passive public safety features, i.e. application of Crime Prevention Through Environmental Design (CPTED) principles as articulated through NSW Government authorities, notably, the NSW Police ‘Safer By Design’ programme.

(168) Property Service is responsible for ensuring that informational documents provided to persons and firms interested in bidding for one or more capital works contracts, include the requirement to address situational crime prevention (CPTED principles) as part of their design elements in their bid proposals.  Property Service in consultation with the Governance Service is responsible for ensuring that situational crime prevention (CPTED provisions) is included in any contracts issued to architects, design firms and builders for the aforementioned capital works.

(169) As part of capital works the relevant diocesan services will ensure that ‘user reference groups’ are established as part of the planning of new or the significant renovation of existing educational facilities in schools, early education and out-of-school hours care centres; in accordance with clauses 166 – 171 of this Framework.

(170) Parish leadership will not approve/support the commencement of capital works before consultation with the parish or regional finance and/or pastoral councils or having undertaken another documented discernment process that included consulting with the people of the parish.

(171) The level of consultation required is commensurate with the significance of the capital works proposed, defined by the project budget and the numbers of families who are expected to use and benefit from the new/refurbished facilities.  Nevertheless, in summation, capital works should not be approved without evidence of (where applicable):

1. the application of situational crime prevention strategies (CPTED principles having been addressed); and
2. a consultative process with relevant user groups having been conducted.

Safeguarding in ministry and agency programmes

(172) In offering ministry and conducting programmes that provide services, largely or wholly, to children, there are particular strategies able to be implemented to maximise safeguarding for both children and diocesan workers; to increase a diocesan worker’s professional safety.

(173) For atypical or one-off events, specific safety strategies need to be implemented (refer clauses 189-200).

(174) Procedural documents for ministries and services must consider application of safeguarding strategies appropriate for the nature of the ministry or service and specifically, the nature of the interaction between diocesan worker and child.  The more common and widely tested strategies include:

1. clear, enforceable and enforced rules and expectations are established at the beginning of the child(ren)’s involvement with the ministry or service and those rules are uniformly applied;
2. reducing the occurrence that an adult is alone with one of more children in private spaces (indoors or outdoors);
3. maximising the possibilities of having two-adult teams undertake child-related ministry or service provision;
4. prohibiting adults and children from disrobing or undertaking personal care activities in the same facilities concurrently;
5. children being afforded age and developmentally appropriate privacy when using change rooms, showers or toilets;
6. promoting regular, recorded communication between a responsible diocesan worker (e.g. parish secretary) and an adult working with or transporting a child or group of children without another adult present (use of mobile telecommunications);
7. ensuring that physical contact with children occurs purposefully (i.e. for a clearly definable purpose and for no longer than is required to achieve the intended purpose) and within the ‘social’ or ‘public’ areas of the child’s body (e.g. arms, shoulders, upper back); and
8. ensuring that there is good preliminary and ongoing communication between ministry or service and the parents/carers of the child.

(175) Safeguarding strategies cannot be rigidly imposed, there needs be allowance for circumstances.  For example, reducing the occurrence that an adult is alone with one of more children in private spaces needs to allow for the importance of privacy between adult and child at times.  The provision of the sacrament of penance (confession or reconciliation) or counselling services are two clear examples where privacy is a prerequisite.

(176) In such circumstances, protective secondary strategies need be considered.  For example, enacting the sacrament of penance in a space that allows for visibility but is audibly private or having the confessionals (re)built to physically separate the confessor from the penitent.  For children attending counselling, it may include maintaining appointment records, placing counselling rooms in an administrative centre, having administrative personnel discreetly placed in line of sight to the counselling rooms, to monitor clients’ attendance and departure times and the child’s emotional/behavioural dispositions when leaving counselling.

(177) On occasions a diocesan agency may wish to establish a new programme, or a parish may discern that it should initiate an innovative ministry, which caters, in part or whole, to children or vulnerable persons.  The relevant diocesan leaders should consult with the Office of Safeguarding at the earliest appropriate stage to ensure that development and design work on the new programme or ministry inculcates the Diocese’s safeguarding culture and that the new programme or ministry is designed to operate in accordance with the statutory (NSW) and Church Standards.

Safeguarding in the online environment

(178) Safeguarding children in the online environment (‘e-safety’) is of particular importance in an increasingly ‘online society’ which remains poorly regulated or oversighted.  There is the added complexity of most children being more adept in the online environment than the adults responsible for ensuring their e-safety.

(179) Parish ministries and agency programmes that involve online activities or children accessing the internet, will meet the following safeguarding requirements:

1. documented procedures or guidelines on safe and purposeful internet usage for children;
2. documented standards for acceptable online behaviour for diocesan workers with children who are part of the Diocese’s faith communities or in receipt of diocesan services;
3. the younger the child, the less online time spent and the greater the immediate involvement and monitoring of a responsible adult;
4. children accessing the internet do so through diocesan networks, ensuring proper filters and other e-safety programmes are in operation to limit the potential for accessing higher risk sites;
5. online issues are reported in accordance with diocesan incident and safeguarding reporting obligations, including the particulars of any inappropriate or abusive online interactions or websites; and
6. active promotion of protective advice and strategies to children and their parents from key e-safety websites including:
   1. eSafety Commissioner
   2. Think U Know.

(180) Diocesan workers must not establish a private or closed group, chat or other online forum that allows restricted access to or visibility of communications between members of the forum and includes one or more children, as a part of any parish ministry or agency programme, unless:

1. the worker’s local leader has given written consent for the establishment of the forum; and
2. the forum is set up on a diocesan controlled platform or programme.

(181) Diocesan workers must have the written consent of a parent or guardian of children under 14 years of age, for their child to participate in private or closed online forum.  Dependent on individual capacity, children aged 14 years and above may be able to give informed consent for their own participation.

Implementing systemic findings

(182) In accordance with clauses 135 – 138, systemic findings may be made as part of an administrative inquiry or other appropriately empowered process.

(183) Systemic findings should articulate the weaknesses in existing systems, structures, processes, policies, procedures and practices and the shortcomings in localised workplace cultures that increases risk to children and vulnerable persons.

(184) Outcomes for systemic findings should establish solution or mitigation strategies.  That is:

1. identify revisions to or implementation of new systems, structures, processes, policies, procedures and practices and specify what variants to current workplace culture are required to reduce risk, or
2. establish a process for identifying and developing appropriate remedial strategies to reduce risk.

(185) The responsibility of achieving outcomes to systemic findings should be assigned to an appropriately responsible and empowered diocesan leader.

(186) The outcomes to systemic findings should be:

1. credible, as a means of ameliorating the identified risk;
2. realistic, allowing for the circumstances of the parish or agency;
3. achievable within a reasonable timeframe; and
4. measurable.

(187) The Office of Safeguarding is empowered to monitor and audit the implementation of the outcomes for systemic findings.

Dynamic safeguarding for particular circumstances and individuals

(188) Parishes and diocesan agencies are required to conduct safety planning for events and circumstances that are atypical or will be conducted outside of diocesan facilities, e.g. a school’s sports carnival or a parish picnic.  This planning should occur as the parish or diocesan agency’s normative risk management and work, health and safety procedures.  This will include:

1. conducting a risk assessment in accordance with the Diocese’s approved risk assessment procedures and using the Diocese’s approved tools/forms; and
2. obtaining advice and support from the Safety and Risk Team as appropriate or the Office of Safeguarding if an identified hazard or risk relates to potential abuse.

Individual Safety Plans for Diocesan Workers

(189) In the course of supervising a diocesan worker or as a consequence of resolving a complaint or conducting an inquiry, a diocesan worker may be identified as posing some risk to children or vulnerable persons.  Persons assessed as posing a real and appreciable risk to the safety of children are excluded from child-related work.  However, where the assessed risk is not to such a degree that dismissal from their role is warranted or justifiable, in accordance with relevant civil or canonical law, a safety strategy is applied.

(190) The Office of Safeguarding, and the worker’s local or senior leader, in consultation with the worker and:

1. People and Culture , if the worker is an employee or volunteer; or
2. the Bishop’s Office, if the worker is a cleric, religious or lay parish leader.

(191) - will develop implement, monitor and review an individual safety plan sufficient to meet the particular requirements of the situation.

(192) Some of the key determinants of a workers’ individual safety plan include the:

1. nature of the assessed risk posed or alleged conduct of the worker;
2. worker’s role in the Diocese (the more senior and independent the role, the lower the risk tolerance);
3. worker’s previous work history;
4. views of the child and their parents/carers or the vulnerable person whom the worker was found to have harmed; and
5. nature of peer and public reaction if the worker’s information is in the public domain.

(193) A worker’s individual safety plan will incorporate provision of reasonable support for them, which may include:

1. provision of additional agency funded EAP counselling sessions;
2. additional flexibility around the worker’s ability to access support during working hours; and
3. increased supervision and one-on-one meetings with the worker’s local leader.

Community Safety Plans

(194) There is another distinct group of individuals who may be identified as posing an elevated risk, who are not diocesan workers but are members of one of the multiple local faith or school communities within the Diocese; e.g. the parent of a Catholic school student or a congregant in a parish.  These individuals may be:

1. an adult;
2. a child; or
3. a vulnerable person.

(195) To determine that a member of a diocesan community constitutes a real and appreciable risk to children or vulnerable persons, requires the presence of substantive proof that meets the civil standard (balance of probabilities).  It is the Office of Safeguarding’s responsibility to conduct a risk assessment process on behalf of the local community leadership.

(196) The Diocese has some capacity to exclude people from diocesan and parish facilities (e.g. the Inclosed Lands Protection Act 1901) but these powers are limited and should only be considered as a last resort.  In most instances, should a community member be assessed as posing a real and appreciable risk, it is the responsibility of the Office of Safeguarding, in consultation with local leaders and, if appropriate, specialist support services within the Diocese, to develop a ‘community safety plan’, designed to mitigate the assessed risk and, if appropriate, facilitate reasonable access to the local parish or school community.

(197) The community safety plan is developed in a consultative process, the Diocese has no authority over community members and therefore must be acceptable to all parties whilst also being adequate to meet the:

1. nature of the assessed risk posed;
2. degree of the individual’s involvement in the community; and
3. particulars of the community context, including the capacity of the local leadership to ensure compliance with any agreement reached.

(198) Individual and community safety plans will be:

1. as least intrusive to the community member as is possible whilst ameliorating the assessed risk;
2. subject to regular cycles of review to ensure the plans remain relevant to changing circumstances; and
3. withdrawn as soon as is appropriate and prudent to do so.

Section 14 - List of acronyms and abbreviations

Section 15 - Revision history

(199) Approval of Version 2 of the Diocesan Safeguarding Framework Policy (‘Policy’) included the decision that the Policy would be a living document, to allow for the dynamic nature of the safeguarding environment.

(200) The Director of Safeguarding was given the authority to make adjustments to the Policy and publish as sub editions of the Policy.  The adjustments may be multiple but cannot result in significant or fundamental changes to the obligations and responsibilities of Diocesan workers and leaders.

(201) To ensure that the Policy is subject of an appropriate cycle of comprehensive review and consultation with interested parties, the formal review date will be undertaken three years from the approval of the full version (i.e. Version 2.0).  On completion of the formal review process, the new Version (3.0) will be approved by the Bishop of Maitland-Newcastle.

Section 16 - Appendices

Part A -  Diocesan safeguarding commitment statement

(202) During the mid and later twentieth century, a silent tragedy occurred.  Across society’s institutions an horrific number of children were the victims of child sexual abuse.  The Diocese of Maitland-Newcastle was particularly affected, abuse was committed by men associated with the Diocese, both clergy, religious and laity.  Compounding the harm caused by these crimes was the failure of some diocesan leadership to ensure that perpetrators were stopped and brought to justice.  Further, historic and current examples of institutional and societal failure to protect and promote the care, wellbeing and dignity of vulnerable persons continues to emerge through the media and commissions of inquiry.

(203) The Diocese takes a zero tolerance approach to abuse and is determined that similar events and circumstances will not arise again.  Consequently, the Diocese is committed to:

1. fostering communities of safeguarding that recognise and uphold the dignity, diversity and rights of all children and vulnerable persons, with particular attention to those who have increased individual vulnerabilities;
2. empowering children and vulnerable persons to have their say and to be listened to;
3. encouraging open communication with families and informed communities to enable them to participate in decisions about the safety of children and vulnerable persons;
4. fostering safe, respectful and supportive relationships between diocesan workers, children and vulnerable persons, both in person and online;
5. promoting awareness of the causes and signs of abuse and the indicators of increased situational and individual risk in the physical and online environments;
6. ensuring that diocesan workers in child-related work are competent to support disclosures of abuse;
7. ensuring that concerns for the safety, welfare and wellbeing of children and vulnerable persons will be responded to appropriately, including reporting to external authorities;
8. supporting police and other statutory authorities when they are conducting inquiries of alleged criminality against children and vulnerable persons, in accordance with those canonical, statutory and other obligations relevant to the Diocese;
9. assessing complaints against diocesan workers fairly, expeditiously, transparently and at a level commensurate with circumstances;
10. maintaining a contemporary, ‘whole of Diocese’ safeguarding information and training regime;
11. improving risk assessment, management systems and mitigation processes for all diocesan activities that involve or affect children and vulnerable persons including e-safety awareness;
12. ensuring diocesan policies, procedures and organisational structures promote a culture of safeguarding; and
13. being compliant with the NSW Child Safe Standards and the National Catholic Safeguarding Standards.

Part B - Contractor categories and associated accountabilities

Cat. 1 

Cat. 2a

Cat. 2b 

Cat.3 

Cat. 4a

Cat. 4b 

Cat.5 

Part C - Safeguarding screening questions

(204) The following disclaimer must be made available to the applicant prior to completing the safeguarding screening questions.

SAFEGUARDING SCREENING QUESTIONS FOR EMPLOYEES

DISCLAIMER

(205) Responding in the positive to one or more of these questions will not necessarily exclude you from consideration for appointment if you are the successful applicant. Your responses to the following safeguarding questions will only be verified if you are the preferred candidate, along with the Diocese conducting your reference checks.Your responses will be recorded on our recruitment records which are securely stored for 6 months and then destroyed. Should you become an employee, they will remain on your personnel file.

VOLUNTEER SAFEGUARDING SCREENING QUESTION

(206) Is there any incident or event in your history which may affect your suitability to volunteer to work with children or vulnerable persons?  If so, please describe what happened.
For example, have you been subject of an AVO taken out to protect a child?  Or have you been accused of committing serious physical abuse, sexual abuse or sexual misconduct in your workplace or as a volunteer?

Part D - Reporting obligations within the Diocese of Maitland-Newcastle

Part E - Diocesan safeguarding training regime

(207) The Diocesan safeguarding training regime comes into effect in January 2024.

Definitions

(208) Parish & Agency employees refers to all those employed to work in schools, St Nicholas services and CatholicCare Social Services, inclusive of office roles not directly engaged with children (i.e. not child-related work as per the WWCC scheme).

(209) Curia employees refers to those engaged in tertiary service provision, i.e. ‘Diocesan Curia’ inclusive of the Bishop’s Office, Shared Services and the Office of Safeguarding.

(210) CPD Continuous professional development model, implemented for diocesan clergy and lay parish leadership.  The Diocese’s CPD model includes specific minimum annual safeguarding training obligations.

(211) RPL Recognised prior learning is available for some training courses.  RPL is restricted but includes NSW Government recognised vocational training [CHCPRT001] Identify and respond to children and young people at risk and [CHCPRT002] Support the rights and safety of children and young people

Descriptions of Modules and Courses

Module 1: Safeguarding for employees, clergy and religious

(212) An online global informational package describing diocesan safeguarding structures, policies and processes.  The module discusses:

1. the diocesan safeguarding framework policy;
2. the Diocese’s Safeguarding Commitment Statement and codes of conduct;
3. the role of the Office of Safeguarding;
4. indicators of abuse and neglect and how to support a child to disclose to a staff member;
5. reporting obligations;
6. safeguarding risk management including e-safety; and
7. complaints handling policy and procedures.

(213) The module is an audio-visual package with written information presented through mnPeople.  The module includes a competency assessment quiz at the completion of the presentation and will require approximately 1 hour to complete.  The employee, cleric or religious is automatically registered by mnPeople as having completed the module when they have successfully achieved a correct score of 80% or higher in the competency assessment quiz.

Module 2: Safeguarding for volunteers and contractors

(214) An online global informational package describing diocesan safeguarding structures, policies and processes. The module introduces:

1. the diocesan safeguarding framework policy;
2. the Diocese’s Safeguarding Commitment Statement and codes of conduct;
3. the role of the Office of Safeguarding;
4. indicators of abuse and neglect and how to support a child to disclose to a staff member;
5. reporting obligations;
6. safeguarding risk management including e-safety; and
7. complaints handling policy and procedures.

(215) The module can be accessed online by the individual or facilitated in a group setting in a parish, school, early education centre or social service programme, by a diocesan worker who has been familiarised with the content.  Attendance at such a group must be recorded against the volunteer’s or contractor’s record to evidence completion of a mandatory piece of training.  The module will require approximately 45 minutes to complete. 

Course 3: Advanced safeguarding training

(216) An interactive presentation by one or more Office of Safeguarding personnel, preferably face-to-face in a training venue or live online using an audio-visual platform (MS Teams or ZOOM).

(217) This course should not be undertaken by diocesan employees until they have completed Module 1: Safeguarding for employees, clergy and religious for the first time.  Module 1 is the foundational informational basis for the advanced training.  Course 3 will briefly recap and reference key safeguarding concepts, but the presenter expects participants to have a pre-existing understanding of:

1. the indicators of individual and circumstantial/environmental vulnerability;
2. grooming of individuals and groups by a predatory individual;
3. the indicators of abuse and neglect;
4. the effects of abuse;
5. supporting a child or vulnerable person to disclose abuse;
6. reporting obligations to state and Church;
7. information sharing and record keeping;
8. safeguarding risk management including e-safety;
9. complaint handling; and
10. the Office of Safeguarding’s roles and responsibilities.

(218) If the participant has recently commenced working for the Diocese, it will be to their advantage to have spent some additional time and effort to carefully review the Diocesan Safeguarding Framework Policy prior to attending the training.

(219) The course is designed to maximise interactivity between presenter and participants to test the participant’s integration of the safeguarding information presented in Module 1 training and their ability to apply it in ‘real world scenarios’ that are tailored for the particular environment or context in which the participant works.

(220) Course 3 has several packages designed for workers in:

1. Parishes;
2. Diocesan primary schools;
3. Diocesan secondary schools;
4. St Nicholas early Education Centres and OOSH services;
5. CatholicCare social services, including PSP caseworkers; and
6. Hunter Community Housing staff.

(221) The package includes pre-recorded audio-visual material with some written information presented through PowerPoint.  The course has a heavy emphasis on in-depth analysis and discussion of work-based scenarios.

(222) The course is a half day programme (approximately 3.5 hours duration).  Diocesan employees are required to register for the course through mnPeople and must complete the requisite proof of attendance obligations on arrival at the venue or logging into the online presentation.

Course 4: Annual CPD safeguarding training for clergy and parish leaders

(223) This course should not be undertaken by a newly ordained or newly arrived cleric or a newly appointed parish leader until they have completed Module 1: Safeguarding for employees, clergy and religious for the first time.

(224) As part of the clerical, religious or lay leadership of parishes and a cleric’s public ministry in the Diocese, the individual commits to the Diocese’s continuous professional development process, available on the Diocese’s website: https://www.mn.catholic.org.au/people/clergy-and-parish-leaders-professional-support/.  The Cleric and parish leader is required to undertake safeguarding training on an annual basis, as a part of the person’s obligations to undertake professional development (practice of ministry).

(225) The course assumes the participant has prior knowledge and experience in ministering in accordance with the Diocese’s safeguarding framework and an understanding of their obligations to contribute to a safeguarding culture in the Diocese of Maitland-Newcastle.  The course reinforces the participant’s understanding of:

1. the indicators of individual and circumstantial/environmental vulnerability;
2. grooming of individuals and groups by a predatory individual;
3. the indicators of abuse and neglect;
4. the effects of abuse;
5. supporting a child or vulnerable person to disclose abuse;
6. reporting obligations to state and Church;
7. information sharing and record keeping;
8. safeguarding risk management including e-safety;
9. complaint handling; and
10. the Office of Safeguarding’s roles and responsibilities.

(226) The course will be presented by the Director of Safeguarding presents a training package that highlight the particular roles and responsibilities of parish leaders and is adjusted to address particular foci that may be of concern at the time. The package includes audio-visual material with some written information presented through PowerPoint. The course has a heavy emphasis on in-depth analysis and discussion of practice scenarios calibrated to parish ministry.

Part F - Summary of obligations and requirements placed on individual workers and leaders by the Diocesan Safeguarding Framework Policy

Promoting Safeguarding 

Training for Diocesan Workers 

Reporting to the Diocese 

Adminstrative Inquires 

Participation and Inclusion 

Promoting Environmental, Strutural and Dynamic Safety