Appendix 3.pdf

Procedures

How do I declare a Conflict
1982
of Interest?
Act

Information

Official

the

under

Released

Document
Procedures for declaring a conflict of interest
Type
Owner
General Manager  Human  Resources
Date Approved
March 2019
Review Date
March   2020
1

1. Introduction

This document outlines the procedures for staf  to declare conflicts of interest.

2. Why recognising and declaring Conflicts of Interests is important

Having Interests is ok
Everyone has a life and relationships beyond our work which is why we all face the potential for
having interests that require declaring. There is nothing unusual, wrong or unethical in having
interests that require declaring. The key is to tell your Manager about these things when they
arise so they can manage it with you.

Interests pose risks for you/Department if unmanaged and/or not declared
Everyone (staf , contractors, consultants, secondees, interns and volunteers) is responsible for
regularly reviewing their own interests and disclosing any actual (real), potential or perceived
conflict of interest with their Manager. This is important as there’s a risk to you
1982  and the
Department if they aren’t declared and managed appropriately.
Act

The risk with not declaring interests is that this could be perceived by others as an at empt by
you to conceal it and may lead to your integrity being called into question. Your actions and/or
decisions are, or may appear to be, influenced or motivated by private interests and your
independence; objectivity or impartiality may be queried.

Information
The Department‘s Code of Conduct also requires that all staf  must take reasonable steps to
avoid situations or behaviour that could be considered a conflict of interest (actual, perceived or
potential) or conflicts with the Code or with the Department’s objectives and obligations and
Official
disclose details of any interests associated with being employed by the Department.  Non
declaration of a conflict of interest could result in your non declaration being managed as a
the
conduct and behaviour issue under the Responding to Staff Conduct and Behaviour Policy.

Perception (how it looks) is just as important as reality (what actually happens)
under
Be aware of perceptions as these can af ect trust, behaviour and reputation. Think about how
your actions might look to someone outside the team or the Department. Consider:
  What activities you do that could be susceptible to interests (actual, perceived or potential)
and how you manage them
Released
  How you demonstrate professionalism, fairness, impartiality, robustness and objectivity in
your duties and decision making to minimise or eliminate complaints that you have been
compromised.

Declaring your interests keeps you safe from these perceptions or any allegations of
inappropriate conduct. If you’re not sure talk to your Manager as they are here to help.

2

3. High Level Process

1982
Act
Information
Official
the
under
Released

Figure 1: High level process on how conflicts of interest are declared and managed

3

4.    Conflicts of interest procedures
Staff member declares a conflict of interest by completing a conflict of interest declaration form

Procedure
Explanation
Comment
1982
1
Staff member
All Staff need to declare conflicts of interest
Conflicts of interest can occur at any time
registers a
You must declare any interests as they arise (including gifts, of ers of  du
Act  ring your employment with the
conflict of
hospitality or other benefits, recruitment and procurement) by
Department starting from the time you apply
interest
r eg is t er ing   a conflict of interest in the register.  You can access
for a role in Corrections, to your
the register  here.
appointment and any subsequent roles

within the Department.
You need to fully describe what the interest is, when it arose and

provide the names of anyone involved in the interest.  Information  You wil  be asked to declare any conflicts of

interest as part of the recruitment process
Moving to different position within the Department
and as they occur.
If you have a declared conflict of interest and you move
Official   to a dif erent
position within the Department, you must advise your new supervisor  All conflicts of interest declarations and
of the existing conflict of interest and provide t
the hem with a copy of the  discussions and decisions about them must
management plan which is listed on the conflict of interest
be recorded in the conflict of interest
declaration form.
register.
under
  You must also advise your Manager about any changes to the
You wil  be alerted at the end of the
conflicts of interest so that they can review the conflict of interest and  nominated management plan review period
management plan with you and decide what action to take if any.
and asked to make any necessary changes

to the Conflict of Interest Declaration in the
Released
Similarly, prior to accepting a new position, you must discuss with
register. The purpose of a review is to
your new Manager whether the new position creates any actual,
ensure that you are considering, on a

regular basis,
4

Procedure
Explanation
Comment

perceived or potential conflicts of interest. Your new Manager wil
whether or not your circumstances give rise
review the conflict of interest and management plan with you and
to a conflict of interest and to discuss any
decide what action to take if any.
conflicts of interest under management.

Senior Managers (Tier 4 and above)
Senior Managers are expected to set an example in identifying and
1982
disclosing any interests relevant to their work, given their level of
influence on decisions about mat ers of public significance.
Act
  They need to fully describe what the interest is, when it arose and
provide the names of anyone involved in the interest and follow the
same process as set out in these procedures.
Information

Manager notifies HR and their manager of the conflict of interest and discusses your declaration of interest with you

Procedure
Explanation
Official
Comment
2
Manager
Once your conflict of interest declaration has been entered,  your
Managing an interest may require a close
the
notifies HR and
Manager wil :
examination of:
their manager

(a) what is important to you as a staf
and discusses
  be notified via email
member and to the priorities you
under
conflict of
  Wil  then meet with you to discuss the declaration and
place on the job, family and friends,
interest with
  Wil  determine whether or not a conflict of interest exists, and
community, your reputation, and
you
  If one does, wil  determine what steps can be put in place to
best manage it by completing a management plan in the
(b) the reputation of the Department.
register.
Released
If in doubt declare the conflict of

interest.

5

Manager makes decision on conflict of interest
Procedure
Explanation
Comment
3
Manager makes
Your Manager is responsible for deciding on the most appropriate
decision on
way to manage the conflict, having consulted you and having sought
conflicts of
advice from Human Resources (HR) or their own Manager, if
interest
appropriate.  Some options that they may consider for managing a
conflict of interest could include:
1982

Act
(a)  Declining and Disposing of of ers of gifts, benefits, favours and
hospitality that you have received in line with the Sensitive
Expenditure Policy- other types of expenditure (noting that in
some circumstances gifts of hospitality such as food, drinks and
entertainment may be accepted)

Information
(b) Taking no action

Official
(c)  Enquiring as to whether all af ected parties wil  consent to  your
involvement
the

(d) Restricting: imposing restrictions on your further involvement in
the mat er. For example: restricting or
under  abandoning the interest or

Released
6

Procedure
Explanation
Comment

activity giving rise to the conflict or withholding certain

confidential information, or placing restrictions on access to
information or imposing additional oversight or review over you

(e)  Exemption- seeking a formal exemption to allow participation
1982

(f)  Transferring you  (temporarily or permanently) to another
Act
position or project

(g) Reviewing: organising a review of the process to verify its
integrity by an independent person. For example bringing in an
independent person into the process/decision making, and
Information
document the process to increase the transparency and
independence of decision

Official
(h) Removing: removing you completely from the mat er

the
(i)  Relinquishing: you relinquishing (or divesting) the private
interest that created the interest at work where that is practicable.
For example:
under

o  Agreeing not to act or participating in any action relating to
that interest now or in the future
o  Re-assigning certain tasks
Released   or duties to another person
o  Direction not to do something

7

Procedure
Explanation
Comment

o  Transferring the duty or the decision making from you to

another staf  member or Manager unaffected by the interest
o  Formally withdrawing from any involvement (discussion or
decision making) in the situation giving rise to the interest,
and ensure you receive no further information concerning the
mat er

(j)  Referring the mat er to Integrity Support Team (IST) if the
1982
conflict of interest has an integrity component associated with it
that needs investigation under the
Act
Addressing Fraud Corruption
Dishonesty and Other Criminal Activity Policy

(k)  Resignation from one or other position.

Information
When an interest cannot be resolved and the options are not
practical or if they do not enable the mat er to be resolved on a basis
which you as a staf  member are able to accept, then ul
Official  timately your
Manager may need to deal with the conflict of interest as a conduct
the
or behaviour issue under the Department’s Responding to Staff
Conduct and Behaviour Policy and procedure.
under

Released

8

Manager records decision in the conflict of interest declaration form

Procedure
Explanation
Comment
4
Manager
Your Manager wil  then record their decision and actions they wil

records their
take (management plan) in the conflict of interest register. They wil
decision in the
do this within 5 working days of having received your declaration.
conflict of

interest register
  Where a decision is then made that there is no conflict of interest,
the decision and the reasons for it must be recorded in the
register
  Where a conflict of interest has been found, the conflict of interest
and the agreed management plan must be recorded in the
register
1982
  Where a conflict relates to a procurement process, the  Chief Act
Procurement Of icer must be consulted as soon as possible
  Where a decision is made that there is a conflict of  interest that
needs referral to IST or it cannot be  resolved this must be
recorded in the form and the staf  member advised it is being
dealt with as a conduct issue.
Information

Your Manager wil  also advise their Manager what they did.
Official

the

under
Released
9

Management plan accepted and signed off and a meeting scheduled for follow up

Procedure
Explanation
Comment
5
Management
You wil  be notified by email when your manager has completed the

plan accepted
management plan. You are then able to accept or decline the
1982
and signed off
management plan.
They wil  also schedule a follow up meeting in to meet with you to  Act
discuss the conflict.

Process in place to deal with complaints

Procedure
Explanation
Information  Comment
6
Process in to
If you don’t agree on how a Manager proposes to respond to a

deal with
conflict of interest you can decline to accept in the COI register. HR
Official
Complaints
are automatically advised and wil  be in touch to resolve

the

under

Conflict of Interest is monitored

Procedure
Explanation
Comment
7
Conflict of
Your Manager wil  monitor the conflict of interest that has been

Released
interest is
declared. For example if they have put restrictions steps in place to
monitored by
manage the interest they wil  make sure that you have complied with
your manager
their decisions.  They wil  have regular conversations with you about it
by way of scheduling meeting invites to talk to you.

10

Frequently Asked Questions:

When do I need to declare whether I have a conflict of interest?
All conflicts of interest declarations and discussions and decisions about them must be recorded
in the Department’s centralised conflicts of interest register when you join the Department and
when conflicts of interest arise during your employment.

You wil  be asked to declare any conflicts of interest as part of the recruitment process and
again when you are appointed to the Deaprtment. You wil  recive an email advising you of this
and providing a link to the register. You must advise your Manager about any changes to the
conflicts of interest. You wil  also be asked at the end of the nominated review period to make
any necessary changes to a Conflict of Interest The purpose of a review is to ensure that you
are considering, on a regular basis, whether or not your circumstances give rise to a conflict of
interest and to discuss any conflicts of interest under management.
If you have a declared conflict of interest and you move to a dif erent position within the
Department, your supervisor wil  be able to view the conflict of interest in the r
1982egister as it wil
automatically fol ow your movement within the department’s hierarchy Prior to accepting a new
position, you must  discuss with your new Manager whether the new posi
Act  tion creates any
actual, potential or  perceived conflicts of interest. Your new Manager wil  review the conflict of
interest and  management plan with you and decide what action to take if any.

How will I know if I have a conflict of interest?
The Department has a broad range of responsibilities and there are
Information   many different
circumstances that could give rise to an actual, potential or perceived conflict of interest. The
conflicts of interest policy contains some examples of the conflicts of interest that could occur in
the Department s to help you assess whether or not you may have a conflict of interest. It is not
Official
a definitive list so if you have any doubts please declare the interest and seek further advice.

the
What should I do if I think I may have a conflict of interest?
Conflicts can and do arise in the normal course of duties. If you believe you may have a conflict
of interest, or are unsure you must disc
under  uss it as soon as practicable with your direct supervisor
or one up Manager so that a way to resolve the conflict can be worked out. You wil  be required
to make that declaration by entering the information into the register.

Why do I need to declare:
Released
  Past or current associations with gangs as wel  as any family or friends who have or are
currently undertaking custodial or community service sentences,
  Current or past relationships with a person who has or is currently undertaking custodial or
community service sentence
  Current or past employment/volunteer roles

12

The Department wil  assess these actual, perceived or potential conflicts of interest under these
procedures to ensure that these conflicts of interest do not conflict with your role and duty to the
Department and that they can be managed with no safety or perception issues.

What are my Responsibilities?
  Seek advice from your Manager if you have a question or are unsure about a
conflict of interest
  Declare all actual, perceived or potential conflicts of interest by logging them in
the register. This includes any conflicts of interest that relate to recruitment
and/or procurement activities before any recruitment/procurement begins.
  Tel  your Manager of any change of circumstances relating to any current or
potential conflict of interest situations
  Comply with the management plan your Manager has developed to mitigate the
risks posed by the conflict
  Ensure your new supervisor or one up Manager is aware of the conflict if you
1982
move to a dif erent area, and provide a copy of any existing management plan to
them
Act
  Declare any gifts received

What do I do if I know about a conflict of interest that someone else has that hasn’t been
declared or isn’t being addressed?
If you know about a conflict of interest that hasn’t been declared or
Information  isn’t being addressed
and are concerned, you can raise your concern through a number of channels including:

  Informing your direct line Manager
Official
  Informing another Manager in the Department including any National or Regional
Commissioner or Deputy Chief Executiv
the e
  Informing Human Resources (HR) through your regional HR Manager or HR Adviser
  Informing the General Manager Safety and Wel being if there are safety concerns
under
  Emailing the Integrity Support Team (IST) on [email address]
  Call the Integrity Phone Line 0800267000
  Where you think it is not appropriate to tel  any of these people, informing the Chief
Executive  in person or in writing
  Where you are unsure abou
Released  t whether or how to raise the mat er, talking to an external
person such as your union representative or lawyer

How is the personal information in my declaration protected?

Only those directly involved with the management of the conflict of interest wil  have access to
the information in your declaration. Al  information must be handled in accordance with the
Privacy Act 1993.

13

Did  you  know  gifts,  offers  of  hospitality  or  other  benefits  are  Conflict  of  Interests  you
need to declare?
This is because accepting gifts, of ers of hospitality, favours or other benefits might be
perceived as an Interest and that you have been ‘compromised’. As a general rule we should
decline ‘gifts offers, benefits’ that it may place us under any obligation or perceived influence.
This wil  ensure that our actions, decisions, independence, objectivity or impartiality can’t be
called into question. Refer to Sensitive Expenditure policy/receiving gifts and Gratuities for more
detail on what to do.

What happens if the conflict of interest involves criminal activity?
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 Department (refer to the Addressing Fraud, Corruption,
1982
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
Act
referral to a law enforcement agency such as NZ Police or the Serious Fraud Of ice.

Why is it important for Senior Managers to declare conflicts of interest?
Senior Managers are expected to set an example in identifying and disclosing any interests
relevant to their work, because of their level of influence on decisions about mat ers of public
Information
significance.

How  will  the  Department  deal  with  conflict  of  interests  associated  with  Procurement
Official
Activities?
When working with other stakeholders, includ
the  ing contractors, consultants and service 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 in line with the
under   Department’s Procurement Policy.

Where can I get help?
You can get help and support from your direct line Manager or Human Resources.
Released

14