NDIA Accountability Project

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Conflicts of Interest Policy - Internal

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Conflicts of Interest Policy - Internal

Table of Contents

  • Conflicts of Interest Policy - Internal……………………………………………………………………………………………….. 1
  • Why do we have this policy? ……………………………………………………………………………………………………… 2
  • Who does this policy apply to? …………………………………………………………………………………………………… 2
  • Who holds delegations under this policy? ……………………………………………………………………………………. 2
  • Policy Statement ……………………………………………………………………………………………………………………… 2
  • Authority…………………………………………………………………………………………………………………………………. 3
  • Declaration of interests …………………………………………………………………………………………………………….. 3
  • SES Employees ………………………………………………………………………………………………………………………. 4
  • Types of conflicts of interest ………………………………………………………………………………………………………. 4
  • Gifts ………………………………………………………………………………………………………………………………………. 4
  • Outside employment ………………………………………………………………………………………………………………… 4
  • What other information is relevant to this policy? ………………………………………………………………………….. 5
  • Review of employment actions …………………………………………………………………………………………………… 5
  • Version control ………………………………………………………………………………………………………………………… 6

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FOI 20/21-0857

Why do we have this policy?

  1. To provide guidance to all National Disability Insurance Agency (NDIA) employees and managers to ensure that the management of conflicts of interest is applied in conjunction with NDIA policies, practices and business processes.

Who does this policy apply to?

  1. This policy applies to all employees covered by the NDIA Enterprise Agreement (EA) including SES employees.

  2. Labour Hire employees and consultants are required to comply with conflicts of interest obligations as per relevant sections of their contracts.

Who holds delegations under this policy?

  1. Please refer to the HR Delegations Matrix to identify who has the authority for decision making relating to this matter.

Policy Statement

  1. The APS Code of Conduct (the Code) requires all employees to take reasonable steps to avoid any conflict of interest, real or apparent, in connection with their employment.

  2. The appearance of a conflict can be just as damaging to public confidence in public administration as a conflict which gives rise to a concern based on objective facts.

  3. Employees need to be aware that their private interests, both financial and personal, could conflict with their official duties and that it is their responsibility to notify their manager about any real or apparent conflicts of interest, and any changes to already declared real or apparent conflicts of interest.

  4. This policy includes identifying, disclosing and managing conflicts of interest (real or apparent). It supports the implementation of procedures to prevent these situations occurring and/or introduces measures to mitigate the risk of future potential conflicts of interest.

  5. A real conflict of interest occurs where there is a conflict between the public duty and personal interests of an employee that improperly influences the employee in the performance of his or her duties.

  6. An apparent conflict of interest occurs where it appears that an employee’s personal interests could improperly influence the performance of his or her duties but in fact, this is not the case.

  7. Conflicts of interest, real or apparent, cannot always be avoided. Where this is the case, employees are required to fully disclose details of any material personal interest in connection with their employment in accordance with the Code of Conduct.

  8. Where a personal relationship or interest may conflict, or appear to conflict, with an employee’s official duties, or where the employee has a material personal interest that either relates to the affairs of the NDIA, or is in connection with the employee’s APS employment, the interest must be disclosed and reasonable steps taken by the manager and employee to manage the conflict. Disclosures will be handled confidentially by the NDIA.

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  1. Real or apparent conflicts of interest that are not disclosed may, depending on the facts, amount to a breach of the APS Code of Conduct and/or the employee’s duties under the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and be subject to a formal investigation and sanctions. Criminal law proceedings may also be initiated for more serious conflict of interest breaches.

Authority

  1. All employees are required by the APS Code of Conduct to behave with integrity and to avoid and manage conflicts of interest within their employment. The APS Code of Conduct is binding on all APS employees.

  2. The APS Code of Conduct, as set out in section 13 of the Public Service Act 1999, requires that an APS employee must (relevantly):

a. behave honestly and with integrity in the course of APS employment;

b. take reasonable steps to avoid any conflict of interest (real or apparent) in connection with the employee’s APS employment;

c. disclose details of any material personal interest of the employee in connection with the employee’s APS employment; and

d. not improperly use inside information or the employee’s duties, status, power or authority:

  i. to gain, or seek to gain, a benefit or an advantage for the employee or any other person; or

  ii. to cause, or seek to cause, detriment to the employee’s Agency, the Commonwealth or any other person.

16. In addition, section 29 of the PGPA Act requires an official of a Commonwealth entity who has a material personal interest that relates to the affairs of the entity, to disclose details of that interest. The NDIA is a Commonwealth entity for the purposes of the PGPA Act.

Declaration of interests

  1. It is the responsibility of all employees to consider and declare personal interests or relationships that may, or may be seen to, improperly influence or impact on the decisions they are making or the advice they are giving. This includes personal interests that could be considered to be a material personal interest that either relates to the affairs of the NDIA, or that is in connection with the employee’s APS employment.

  2. A ‘Conflict of Interest - Disclosure form’ should be used by employees to make a conflict of interest disclosure. These completed forms should be stored on the employee’s personnel record.

  3. Completion of a ’Conflict of Interest – Disclosure form’ does not absolve an employee from their obligation to avoid a conflict. If the statement discloses a conflict, arrangements need to be developed to manage the conflict. All conflicts of interest will be managed transparently with joint participation of the employee and manager(s).

  4. If a conflict arises subsequently through a change of duties or because of a particular job or project, it is the employee’s responsibility to draw attention to the conflict and to take reasonable steps to avoid it.

  5. Conflict of Interest disclosures should be reviewed at least annually, or at any time a real or apparent conflict of interest arises. All employees need to alert their manager if there is any real or apparent

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FOI 20-21-0857

conflict of interest that arises at any time, or if they gain a material personal interest that either relates to the affairs of the NDIA, or that is in connection with the employee’s APS employment.

  1. A register will be maintained and held in confidence at the regional level (divisional for National Office) which will track conflict of interest declarations and the appropriate actions and decisions taken to mitigate any real or apparent conflicts of interest.

  2. The information you provide on the ‘Conflict of Interest - Disclosure form’ will be provided to your manager to enable appropriate management of work relationships and duties. This may also be disclosed for the same purpose to your EL2 Director, Branch Manager, General Manager and/or the Chief Executive Officer. The People and Culture Division will be provided with your original form for storage on your personnel file.

SES Employees

  1. Commonwealth Government policy requires all Agency Heads and SES employees to submit a written declaration of their interests annually (financial and personal). An ‘SES Declaration of Interests form’ has been developed for this purpose.

Types of conflicts of interest

  1. The following types of conflicts of interest are provided as a guide but are not an exhaustive list. Each instance should be reported to the relevant employee’s manager.

a. social relationships

b. personal relationships

c. private/corporate business;

d. outside employment including voluntary/unpaid work

e. gifts.

Gifts

  1. As a general rule, it is not appropriate for employees to accept gifts, hospitality or other benefits while performing official duties. The main risk of accepting a gift or other benefit is that it may result in a real or apparent conflict of interest. At the extreme, it could be perceived as a bribe, which is an offence under the Criminal Code Act 1995 and a breach of the APS Code of Conduct.

  2. The NDIA Finance Policies which are owned by the Finance Division provide processes for disclosing details of all gifts and benefits received and made by the NDIA and principles for sponsorship arrangements. Gifts or benefits may include hospitality, meals, entertainment, discounts and promotional materials. These policies are found on the Finance policies intranet page.

Outside employment

  1. Employees are generally able to engage in outside employment provided it does not conflict with or adversely affect the performance of their official duties, involve a real or apparent conflict of interest, or bring the NDIA or APS into disrepute.

  2. Unpaid or voluntary outside work can present the same potential for conflict of interest as paid outside employment, and should therefore be subject to the same conflict of interest considerations.

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  1. The NDIA Outside Employment Procedure provides employees and managers with information about their rights and responsibilities related to outside work and the application and approval process that must be applied.

What other information is relevant to this policy?

  1. This policy is covered by the following legislation:
  • a. Public Service Act 1999
  • b. Fair Work Act 2009
  • c. APS Values and Code of Conduct
  • d. Criminal Code Act 1995
  • e. Public Governance, Performance and Accountability Act 2013
  1. The following policies and documents should be read in conjunction with this policy:
  • a. NDIA Enterprise Agreement 2020-2023
  • b. HR Delegations Matrix
  • c. Conflict of Interest Fact sheet
  • d. Conflict of Interest Disclosure Form
  • e. Conflict of Interest Integrity Framework
  • f. Code of Conduct in practice (external): A guide to official conduct for APS employees and agency heads
  • g. NDIA Values
  • h. NDIA Outside Employment Procedure
  • i. NDIA Finance Policies
  • j. Social Media Policy (DOCX 1.4MB)
  • k. NDIA Community Volunteering Factsheet

Review of employment actions

  1. Employees should speak to their manager in the first instance in relation to employment related decisions and actions.

  2. Employees may be entitled to request a review of decisions and/or actions as per the NDIA Review Rights Policy.

  3. People and Culture Division can provide support and assistance to both employees and managers involved in a review process.

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Version control

Version Action Consulted Date Approved
V1.0 260414 Sign off Initial release 26 April 2014
V1.0 300415 Tabled at ACN - 30 April 2015
V1.1 100517 Reviewed Draft updated 10 May 2017
V1.1 180517 Tabled at ACN Draft updated 18 May 2017
V2.0 171117 Release First issue of Policy to Agency 17 November 2017 17 Nov 17
V2.01 280818 Updated delegations Formatting 28 Aug 2018
V2.02 211019 New template, review and update —for new EA 2020-23 Enterprise Agreement and Policy Team 21 Oct 2019
V 2.03 14022020 Feedback incorporated People & Culture Directors 14 Feb 2020
V2.04 21022020 Review and feedback Director, Enterprise Agreement and Policy Team 21 Feb 2020
V2.05 21022020 Review and feedback Branch Manager, Workplace Integrity 21 Feb 2020
V2.06 14042020 Sign Off Chief People Officer 14 April 2020 Hamish Aikman
V2.07 25032021 Links updated Branch Manager HRAS 25 March 2021 Brad Nash

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