Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Conflicts of Interest Policy
Last Review Date:
March 2019
Next Review Date
March 2020
Endorsed by:
Third Tier Leadership Group, February 2019
Approved by:
Executive Leadership Team, March 2019
Sponsor:
Deputy Chief Executive, Corporate Services
Owner:
General Manager, Human Resources
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Purpose
Act
This policy outlines how the Department manages conflicts of interest. It covers:
what a conflict of interest is
how and when conflicts of interest should be declared
Information
the process for managing conflicts of interest.
Official
This policy aligns with the Department’s values and guiding principles of:
the
Rangatira – Leadership; Manaaki – Respect; Wairua – Spirituality; Kaitiaki – Guardianship; and
Whānāu – Relationships
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complying with the law and legislation
ensuring a healthy, safe and secure environment
being a good employer and
acting in the Spirit of Service.
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Scope
This policy applies to all staff (permanent, fixed-term, and casual), and to secondees, consultants,
contractors, and volunteers covered by the Code of Conduct. The term ‘staff’ refers to all of those
people.
Conflicts of Interest Policy 1
Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Definitions
Conflict of Interest
A conflict of interest means a conflict between your public duty (your role
at the Department) and your private and/or personal interests. Personal
interests can be financial or relate to family, friends, associations or
associates (past or present). Conflicts of interest may be actual (real),
potential or perceived.
Management Plan
A documented record that exists between the Manager and the staff
member which outlines the conflict and the steps put in place to manage
and monitor a conflict of interest where appropriate. It also includes a
timeframe for review.
Conflict of Interest
A central repository in the Department that records all conflicts of interest
Register (CIR)
that are declared, the management plans in place (where applicable) and
timeframes for review as well as any additional explanatory notes a
Manager or a staff member may wish to make.
Manager
In relation to this policy, this refers to all Managers at any level. This
enables visibility of conflicts of interest and their management plans at
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National Office, a site or district level.
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Examples of Conflicts
Managing or working with prisoners or offenders who are family
of Interest
members or friends or associates
(Personal/Private)
Having supervisory or direct management responsibility for a family
member, or a person with whom you have a personal relationship
(e.g. sexual and/or domestic relationship)
Information
Having a personal relationship in the workplace with a colleague,
offender, client, contractor or other staff working in the Department)
Taking part in appointment selection processes where a close friend
or family member is a cand
Official idate for the job
Commitments to p
the rofessional, community, ethnic, family or religious
groups that could conflict with your professional role
Having past or present associations with gangs
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Affiliations with ex-offenders or prisoners
Starting secondary employment without approval.
Examples of Conflicts
Interests in family or other private or commercial business that has
of Interest (Financial)
deal
Released ings with the Department, such as providers and suppliers
Being involved in any tender or contracting process where a friend or
family member or extended family member is interested in supplying
products or services to Corrections
Receiving money, gifts or goods as an individual where it could be
perceived that you are providing a preference and/or receiving an
actual (real) or perceived benefit
Receiving a gift or an invitation to lunch/dinner or a sporting event or
free, subsidised or upgraded travel and/or accommodation offered in
exchange for a potential favour or benefit including money. Further
guidance is available in the
Sensitive Expenditure policy.
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Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Key Principles
1.
The Department recognises that conflicts of interest may arise from time to time and
cannot always be avoided. Identifying and declaring a conflict of interest in and of itself
does not indicate any wrongdoing or misconduct. Disclosure of a conflict of interest also
does not resolve a conflict, as the Department expects any conflict of interest declared to
be actively managed, documented and monitored to safeguard everyone.
2.
Al staff must declare all actual, perceived or potential conflicts of interest to their Manager
prior to appointment (permanently or contracted) or as soon as they arise during their
employment. They must also advise their Manager about any changes to the conflicts of
interest. Senior Managers are expected to set an example in identifying and disclosing any
interests relevant to their work, given their level of influence on decisions about matters of
public significance.
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3.
Managers are required to discuss and provide advice to their staf on how any declared
Act
conflicts of interest wil be managed by them by way of a management plan and then
monitor the conflict of interest on an ongoing basis.
4.
When working with other stakeholders, including contractors, consultants and service
Information
providers, the Department wil communicate expectations, identify potential conflict of
interest areas before any contract starts, and develop and document appropriate
responses to manage risks in a potential conflict situation.
Official
the
5.
When a conflict of interest is suspected to involve criminal activity, the matter must be
referred as soon as possible to the Integrity Support Team (IST) because of their nature
and the potential risks they pose to the
under Department (refer to the
Addressing Fraud,
Corruption, Dishonesty and Other Criminal Activity Policy and procedure). In such
situations, IST, HR and the Manager (collectively) wil determine whether an investigation
is required and any potential referral to a law enforcement agency such as NZ Police or the
Serious Fraud Of ice.
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Associated Procedure
Refer to
Procedure on How to declare a Conflict of Interest.
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Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Key Accountabilities and Responsibilities
Role
Responsibilities
Ensure they are familiar with this policy and any obligations they
Staff
have under it
Comply with this policy and the related conflict of interest
procedures
Seek advice from their Manager, HR or others if they have a
question or are unsure about a conflict of interest
Declare all actual, potential or perceived conflicts of interest by
logging them in the register
Advise their Manager of any change of circumstances relating to
any current or potential conflict of interest situations
Comply with management strategies to mitigate the risks posed
by the conflict
Ensure their new supervisor or one up Manager is aware of the
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conflict if they move to a different area, and provide a copy of
any existing management plan so it can
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Make declarations promptly, fully and appropriately in the
register or in terms of the Procurement Policy process
Declare any gifts received in accordance with the Sensitive
Expenditure Policy Information
Speak up if there is a concern about a conflict of interest either
not being declared or not being managed well.
Chief Executive
Lead and promote the Department’s
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commitment to exercising a
high standard of judgement in relation to declaring and
the
managing conflicts of interest
Responsible for the Department meeting its obligations under
this po
under licy
Act in accordance with this policy and procedures where any
instances arise including their own.
Deputy Chief Executives
Lead and promote the Department exercising a high standard of
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(DCEs)
judgement in relation to reporting and managing conflicts of
interest.
National Commissioner (NC)
Act in accordance with this policy and procedures where any
Regional Commissioners
instances arise including their own
(RC)
Embed this policy in their business groups
Ensure teams are aware of and comply with this policy.
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Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Executive Leadership Team
Lead and promote the Department exercising a high standard of
(ELT)
judgement in relation to reporting and managing conflicts of
interest
When a conflict of interest is suspected to involve criminal
activity, the Department wil report the matter to the Police or
Serious Fraud Of ice
Act in accordance with this policy and procedures where any
instances arise including their own
Approve this policy and any subsequent major amendments to
it.
Managers
In addition to their responsibilities as staff, Managers are
responsible for:
Ensuring their staff are aware of the policy and act in
accordance with it
Ensuring their staff are given appropriate infor
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training about this policy to assist them to comply with their
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obligations to this policy and providing support where
appropriate
Regularly promoting awareness of this policy
Having yearly conflict of interest conversations with each of their
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staff about conflicts of interest
Being aware of the risks of conflicts inherent in the work of the
staff they manage and monitoring the work of staff and the risks
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they are exposed to
the
Discussing this policy and procedures with new staff as part of
their induction
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Advising staff when they are covered by the Procurement Policy
requirements for disclosure and ensuring this policy is complied
with
Receiving and managing declarations of conflicts of interest in a
Released timely manner
Discussing with staff the options for managing the conflict,
deciding on the most appropriate course of action in
consultation with their Manager or HR or the Integrity Support
Team
Monitoring and managing active conflicts of interest
Ensuring all plans and actions taken are recorded centrally.
Provide advice to Managers on options to manage a conflict of
Human Resources
interest or gift disclosure to ensure that all conflicts are managed
in accordance with this policy and procedures.
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Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Declare a possible conflict of interest if they have a personal
Recruitment Panel Member
relationship with a candidate before any recruitment begins.
Complete a conflict of interest declaration form under the
Staff involved in
Procurement Policy before any procurement work begins.
procurement activities
Policy Owner
Ensure the policy is working effectively through regular
monitoring and reporting of compliance to the policy
(General Manager, Human
Resources)
Review this policy in accordance with the next stated review
date
Recommend any amendments required to the policy
Ensure the production and maintenance of any supporting
procedures required
Promote awareness of this policy.
Monitoring and Assurance
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HR wil monitor the effectiveness of this policy through measuring and report
Act ing at least once
annually on:
Al declared conflicts of interest recorded in the register (whether actual, perceived or
potential)
Whether management plans for these have been agreed; are in place; monitored and
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reviewed in accordance with agreed timeframes
Whether Managers are aware of their responsibilities and are having at least yearly reminder
conflict of interest responsibility discussions with their staff.
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Compliance information regarding the performance of this policy wil be provided by the Policy
the
Owner to the National Manager Audit Integrity and Risk on a quarterly basis.
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Training and Communication
Learning about this policy and procedure wil form part of the induction programme for all staff and
Managers when joining Corrections (
Released permanently or contracted).
Learning material for all existing staff and Managers wil available to access on the Learning Hub.
The policy wil be posted on Tātou along with the How to Guide (procedures) and any other
supporting documentation.
The policy wil be promoted in news articles on Tātou, Staff Updates and FrontLine News.
Communications wil be issued (at least once annual y) to remind staff of their obligations under
this policy and remind Managers of the need to have annual discussions with their staff about
conflicts of interest.
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Department of Corrections Corporate Policy: Conflicts of Interest Policy (March 2019)
Other Related Policies and Procedures
State Services Standards of Integrity and Conduct
Code of Conduct
Conflict of interest register
Procurement Policy Privacy Policy
Sensitive Expenditure policy
Addressing Fraud Corruption Dishonesty and Other Criminal Activity Policy and Procedure
Responding to Staff Conduct and Behaviour Policy and Procedure.
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Useful Websites, Tools and Resources
Act
Understanding the State Services Code of Conduct – Guidance for State servants Managing Conflicts of Interest: Guidance for public entities
Conflicts of Interest standards
Information
Board Appointment and Induction Guidelines (2012)
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the
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Conflicts of Interest Policy 7
