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Last updated: 9 July 1996
Circular 1996/4: SES - Registration of financial and other private interests
Please note: This document is for reference purposes only and is no longer considered by the APS Commission to be current. It may contain good practice advice and/or advice on the transitional arrangements between the 1922 and 1999 Public Service Acts.
This Circular provides guidance to agencies for reviewing their pro forma statements to be used by SES staff who are required to declare their private financial and other interests and those of their immediate families.
Background
The current pro forma statements in use throughout the APS will, in most cases, have been developed from the suggested format included in the now superseded 1987 Guidelines on Official Conduct of Commonwealth Public Servants issued by the former Public Service Board. In relation to this pro forma, the Privacy Commissioner has recommended, as a privacy 'best practice', that it it would be desirable if provision was made for the concerned family members to personally acknowledge (or consent to) the disclosure of their personal interest information. Information Privacy Principles (IPPs) 1 to 3 concern the manner and purpose of the collection of personal information and avoidance of unreasonable intrusion into the personal affairs of third parties. They do not require that consent be obtained from the concerned individuals when information is being collected for a lawful purpose.
Action taken by PSC
In March 1995, the PSC issued the revised Guidelines on Official Conduct of Commonwealth Public Servants after consultation with departments and agencies. Copies were distributed to all SES staff. (Summaries of the Guidelines were distributed to all non-SES staff.)
In relation to the statement of private interests, the revised Guidelines address the issue of the privacy of family members in the collection of information concerning private interests. Some chapters (chapters 8,12 and 13) are particularly relevant.
The Guidelines suggest that agencies should issue their own guidelines for managing conflict of interest situations and should usually have provided pro forma statements for staff to register their interests and those of their immediate families.
The Guidelines also suggest that the SES officer who collects the private information on his or her family's financial and other personal interests is responsible for seeking the consent of those family members and to inform them of possible disclosure practices.
Review of agencies' guidelines and private interests forms
Therefore, in the light of the Privacy Commissioner's concerns, it is suggested that agencies immediately review their guidelines on managing conflict of interest and the registration of private interests to ensure that these include a clear reference to the need for SES staff collecting information on the private interests of their immediate families to inform the individuals concerned that the information is being held in the agency and to whom the information may reasonably be expected to be released.
In reviewing this documentation, agencies should have regard to the Privacy Act 1988, relevant guidelines issued by the Privacy Commissioner (such as the Plain English Guidelines to Information Privacy Principles 1-3, October 1994) and the PSC's 1995 Guidelines on Official Conduct of Commonwealth Public Servants.
In addition, forms for the registration of private interests should clearly and prominently include a certification signed by the SES officer that family members have been advised of the reasons for the information being collected and its possible disclosure. It should also state that he or she has provided a copy of the information to the family member(s) concerned.
The Privacy Commissioner suggests that family members concerned sign an acknowledgement of their interests being disclosed to indicate their consent to this disclosure. It is recognised that it will not be possible in all cases for a written consent to be obtained. However, in most cases, SES officers will be able to obtain this consent in writing and it is strongly recommended that they do so.
For those agencies that have not adopted their own pro forma for the registration of private interests, the PSC has developed the attached new pro forma which incorporates a declaration of consent by the SES officer's spouse and/or family members as well as minor amendments to update references.
Immediate action required
You should advise your SES staff immediately of their obligations to inform family members of the above matters in relation to information that may already have been collected. After reviewing your agency's guidelines and registration forms, you should then provide amended documentation to your SES staff as soon as possible.
For further advice on this matter, please contact the Commission on telephone (02) 6202 3859.
Peter Kennedy
Acting Public Service Commissioner
January 1996
Attachment: Senior Executive Service Record of private interests
Suggested proforma for statements of registration of interests
Secretary / Head of Agency
Return of private interests
Particulars of my private interests and those of my immediate family of which I am aware are set out in the attachment. Particulars of any other personal interests (other than pecuniary interests) and/or those of my immediate family are included.
In preparing these details, I have had regard to the requirements of the relevant provisions of the Public Service Act 1922, the Public Service Regulations and the Guidelines on Official Conduct of Commonwealth Public Servants (1995), particularly:
- the requirement to avoid financial and other conflicts of interests;
- the requirement to register my private interests and those of my immediate family; and
- the provisions relating to the privacy of personal information.
In collecting and reporting information on the pecuniary and other private interests of my immediate family, I have had regard to relevant provisions of the Privacy Act 1988, in particular Information Privacy Principles 1 and 3(d) and relevant guidelines on the collection of private information.
Where I have collected and recorded information on the personal interests of a member or members of my immediate family, I have provided a copy of the information to them, and I have explained the reasons and authority for the collection and recording of the information, and the possibility that this information may be disclosed to other authorised persons.
The consent of my family member(s) to the release of personal information is shown below. (Delete as necessary)
It was not possible to obtain the consent in writing of one/some/all of my family members. (Delete as necessary)
I confirm that I shall advise you should a situation arise where an interest of mine or an interest of a member of my immediate family of which I am aware, whether pecuniary or otherwise, conflicts, or may reasonably be thought to conflict, with my public duty.
...............................................................
Signature
................................................................
Position
.................................................................
Date
Declaration by officer's spouse and/or family member(s)
I certify that I am aware of the requirements of the Information Privacy Principles 1- 3 and I have consented to the providing of information regarding my personal and financial interests and am aware that there may be circumstances where this information is disclosed to other authorised persons.
......................................................
Signature Spouse/family member
......................................................
Date
.......................................................
Signature Family member
.......................................................
Date
Explanatory notes
The purpose of this return of private interests is to place on record any interests you may have that may conflict, or may be seen to conflict, with your public duty.
You should include under all headings the interests of immediate family members to the extent that you or they are aware of them (family includes spouse or de facto spouse, and dependent children). When interests are held jointly with spouse or dependants you should note such as 'jointly owned with spouse'.
Where interests could be included under more than one heading, they need be included only under the most specific heading, unless two aspects need to be disclosed (eg., real estate, plus a mortgage liability on that real estate).
This statement will need to cover financial, personal and other interests where these may have a potential to conflict with your official duties. These may include sporting, social or cultural activities as well as family, or other personal relationships. Because these are likely to include sensitive personal information, you should consult Chapter 8 of the Guidelines on Official Conduct of Commonwealth Public Servants and the Information Privacy Principles (IPPs) issued under the Privacy Act 1988 and associated guidelines issued by the Privacy Commissioner.
When disclosing to the Secretary or Chief Executive Officer information concerning the private interests of immediate family, you should note particularly Information Privacy Principles 1 and 3(d). These concern the manner and purpose of the collection of personal information. You should declare in your statements that you have provided details to your family members of any personal information you have collected about them and the possibility that the information may be released to the Minister or other authorised person in accordance with the law.
Returns will be made available to the Minister only on his or her request and you will be informed of any such request.
Any request for access from the Parliament or a committee of the Parliament, a Court or Tribunal or from a person pursuant to the FOI Act, will be dealt with according to law.
Please read the explanatory notes carefully before completing this form
1. Real Estate
I, or members of my family, have an interest in:
Location:
Owner:
Purpose for holding:
There is no need to specify street address - general location (eg. suburb or area, and State) is all that is required.
Specify whether property is used as a residence, a holiday home, a farm, or is held for investment or other business purposes.
2. Share holdings
Shares owned by:
Name of company:
Name of company should include holding companies and subsidary companies if applicable.
Notify any interest in shares other than membership shares held with credit unions, building societies or other co-operative societies. Include equitable as well as legal interests, whether held directly or indirectly, that enable staff or members of their families to exercise control over the right to vote or dispose of those shares. This includes interests held on behalf of staff or their families by a nominee or by a nominee company.
Where interests are held in a 'private holding company' (ie., a private company formed for the purpose of investing in subsidiary companies) any such subsidiary company should also be named.
3. Trusts/nominee companies
a) Beneficial interest held in a family or business trust or a nominee company
Trust or nominee company name:
Nature of interest:
Nature of operations:
Person holding interest:
Both beneficial interests and trusteeship responsibilities should be specified.
4. Directorships in companies (whether remunerated or not)
Name of director:
Name of company:
Activites of company: (whether public or private)
Under section 91 of the Public Service Act 1922, officers require the Secretary's approval before acting as directors, whether such activity is remunerated or not.
5. Partnerships etc.
Person holding interest:
Nature of operations:
Nature of business interest:
Under 'Nature of operations' specify purpose of operations of partnership or joint business undertaking (eg., investment, consultancy).
Under 'Nature of business interest' specify level of current involvement in partnership or joint business interest (eg., 'financial (sleeping) partner', 'consultant').
Under section 91 of the Public Service Act 1922, officers require approval to engage in outside employment.
6. Investments
Person holding investment:
Type of interestment:
Agency in which investment is held:
'Investments' means any placement of moneys that attracts interest or other benefits.
Non interest-bearing accounts should not be included, but savings accounts, investment accounts, bonds, debentures, etc. should be included.
Where the cumulative amount held in savings accounts, portfolios and other investments does not exceed $5000, disclosure is not required.
7. Other assets
Owner of asset:
Nature of asset:
List each asset valued at $5,000 or more, including collections (eg., stamps, paintings, antiques). Do not list such household items and personal effects as family car(s), caravan and/or trailer.
Do not include items that might be listed under more specific headings (e.g. investments, gifts received).
Private life assurance policies should be included. Commonwealth Superannuation entitlements need not be included.
Items of under $5,000 value need not be included unless they are of a nature that might be judged to represent a conflict of interests.
8. Other substantial sources of income
Person receiving income:
Nature of income:
Do not include your own Commonwealth salary
Include spouse's income from employment and any income by self, spouse, or dependants from investments, annuities, pensions or government sources. A reference to 'income from investments as set out above' is sufficient for investment income.
Income over $5,000 per annum should be notified, but smaller amounts from sources that have potential to create a conflict of interests should be included.
Under section 91 of the Public Service Act 1922, officers require Secretary approval to engage in outside employment.
9. Any gifts, substantial sponsored travel or hospitality
Person receiving gift etc:
Nature of gift etc.
You need to comply with the Guidelines on Official Conduct of Commonwealth Public Servants in relation to the receipt of official gifts. Inclusions under this heading would normally relate only to gifts received by a spouse or dependants.
Gifts etc. received in a personal capacity during employment and up to 12 months prior to taking up Commonwealth employment should be declared. However, it is not necessary to declare gifts received by you and your families from family members or personal friends in a purely personal capacity unless an appearance of a conflict of interests might exist.
You also need to comply with the above guidelines on sponsored travel and acceptance of hospitality.
10. Liabilities
Person concerned:
Nature of liability:
Creditor:
Include all substantial and ongoing liabilities (eg., mortgages, hire purchase arrangements, personal loans and overdraft facilities), but not short-term credit arrangements (eg., credit cards or department store accounts).
