Integrity Auditor

The Minister for Gaming and Racing approved the appointment of Mr Graham Gorrie as the harness racing Integrity Auditor in July 2012.

Functions and Procedures of Integrity Auditor

1. The Harness Racing Act 2009 (the Act) provides for the appointment of Harness Racing Integrity Auditor.
2. The Integrity Auditor has the following functions (Section 25):
   1. the primary oversight of those aspects of the functions of HRNSW that relate to stewards, drug testing and control and registration;
   2. providing advice to HRNSW on the matters referred to in paragraph (a);
   3. receiving and investigating complaints against racing officials in respect of the exercise of functions relating to harness racing;
   4. such other functions as are conferred or imposed on the Integrity Auditor by or under this or any other Act.
3. The Integrity Auditor will exercise the functions in accordance with this policy. The functions are exercised independently of HRNSW.
4. The role of the Integrity Auditor is relatively new and as such the considerable powers are yet to be explored by the courts. The Act in requiring the Integrity Auditor to have primary oversight of those aspects of the functions of HRNSW that relate to stewards, drug testing and control and registration provides no guidance as to how the powers be exercised other than conferring the additional responsibility of providing advice on those matters to HRNSW. By way of contrast, sections 26 and 27 provide helpful instruction when investigating complaints made under section 25(1)(c).
   Procedures in relation to the primary oversight and advisory functions [Sections 25 (1) (a) and (b)]
5. A decision to inquire into a primary oversight matter does not imply any suspicion of wrong doing. As the auditor of a company conducts annual audits so the Integrity Auditor will conduct reviews of the primary oversight matters.
6. In selecting primary oversight matters for review the factors that the Integrity Auditor will take into account include a referral from HRNSW, submissions from racing participants providing cogent reasons for a review and areas in which complaints have been received from racing participants.
7. The draft findings of a review and any advice proposed as a consequence of the review will be provided to HRNSW for comment.
8. The results of a review will be provided to HRNSW, the Minister and, if appropriate, a third party authority. Reviews will generally be published unless publication may compromise investigation by a third party authority.
   Procedures in relation to a complaint [Section 25 (1) (c)]
9. A complaint must be made in writing. Reasons for the complaint must be supplied.
10. Before a complaint can be investigated, the Integrity Auditor must be satisfied that the complaint or referral (Section 26):
    1. is against one or more racing official who is identified as a member of HRNSW, the chief executive officer of HRNSW, a steward appointed by HRNSW or any other member of staff of HRNSW; and
    2. relates to the exercise of a power, authority or duty under the Act in a corrupt, improper or unethical manner; and
    3. is not frivolous, vexatious, or not made in good faith; and
    4. is not trivial.
11. In order to determine whether a complaint can be investigated, the Integrity Auditor will have regard to the nature of the complaint and the reasons supplied with the complaint. If the reasons supplied are insufficient to make a determination on whether to proceed to an investigation, the Integrity Auditor may request preliminary information such as any relevant correspondence and the status of an individual as a racing official.
12. The purpose of a request for preliminary information is not to investigate the complaint rather to assist in determining whether a complaint is within the functions of the Integrity Auditor to investigate.
13. If the Integrity Auditor determines not to investigate the complaint, the complainant and HRNSW will be advised together with the reason for not proceeding. HRNSW will be provided with a copy of the complaint.
14. If the Integrity Auditor determines to investigate a complaint, all parties and HRNSW will be provided with a copy of the complaint.
15. The racing official or officials will be given a reasonable opportunity to respond to the complaint. During the course of an investigation, the Integrity Auditor may seek further information from any party in which case the other party or parties will be given an opportunity to respond.
16. In the event an investigation reveals a weakness or breakdown of HRNSW procedures and the Integrity Auditor proposes to provide advice to HRNSW, the draft advice will be provided to HRNSW for a response prior to the report being completed.
17. In the event that an investigation reveals conduct that the Integrity Auditor considers would result in any adverse reflection upon HRNSW or any of its officials the adverse findings will be submitted in draft to the subject party or parties, again providing a reasonable opportunity to respond. A final finding would not be made until such response was supplied within reasonable time and considered. Only a final report would be subject to distribution to any entitled party.
18. In relation to a complaint that has been investigated, the Integrity Auditor will:
    1. Provide a report in writing of the results of the investigation of a complaint to HRNSW and the Minister if satisfied that those results indicate that there has been a contravention of the Act or any other Act in relation to the conduct of harness racing or a contravention of the Code of Conduct adopted by HRNSW.
    2. Provide such report to a racing official who is identified in an adverse manner.
    3. Inform the person who made the complaint of:
       1. Whether a report has been made or whether the Integrity Auditor considers that the complaint does not warrant such a report    being made.
       2. Whether a copy of any report will or will not be made available to them.
19. Determine whether any report should or should not be produced and/or published based on the individual facts and circumstances.
20. In the event that an investigation reveals conduct that the Integrity Auditor considers would not result in any adverse reflection upon HRNSW or any of its
    General principals in the implementation of the functions of the Integrity Auditor in dealing with S. 25 (1) (c) “receiving and investigating complaints against racing officials in respect of the exercise of functions relating to harness racing.”
21. A complainant should in most circumstances take the complaint to HRNSW to consider and to action prior to submitting to the Integrity Auditor.
22. If a complaint has been submitted to HRNSW and that authority has investigated the issue, a complainant may, if the outcome is disputed, seek to have the complaint reviewed by the Integrity Auditor.
23. In most circumstances the function of the Integrity Auditor is to review how the primary handling of the complaint was conducted. Dissatisfaction with the outcome of a complaint is not  a ground for complaint or review. Generally the Integrity Auditor will not set out to reinvestigate a complaint nor act as an appeal tribunal.
24. An allegation of corruption under section 26 (2) (c) of the Act raises special considerations. Should evidence of corruption (criminal behaviour) emerge during investigation of the alleged facts, caution needs to be exercised such that any future enquiries and investigations by third party authorities are not contaminated. The Integrity Auditor may elect to refer the complaint to a third party authority and suspend or terminate his investigation and report same to HRNSW and the Minister.
25. A review will independently evaluate whether there is substance in any of the grounds of complaint and also whether principles of natural justice have been adhered to in any process resulting in the disputed outcome.
26. The Integrity Auditor process will be transparent.
27. As practical experience evolves, there may be a need to add to these principles, particularly in relation to the functions of the Integrity Auditor under sections 25 (1) (a) and (b) of the Act.  

Address for Submission of Complaints

Complaints/correspondence to the Integrity Auditor should be signed and include sufficient details for the Integrity Auditor to be able to make follow up contact.
All correspondence, which will be treated in confidence, should be addressed as follows:

Harness Racing Integrity Auditor
Mr Graham Gorrie
C/- GRG Lawyers & Consultants
PO Box 1625
HORNSBY WESTFIELD NSW 1635