Central recording of conflict declarations and management plans

Contents

APS agencies are expected to take steps to ensure that their conflict of interest policies are being appropriately administered and that staff are complying with requirements. Central recordkeeping and oversight assists agencies to identify areas for improvement, using evidence of compliance, concerns, trends and patterns that can be addressed through education and training.

Minimum requirements

Recording – Central recording of general conflict of interest declarations and management plans for all staff. All declarations and management plans must be contained within the one document or appropriately linked.

Monitoring and assurance – Annual reminders for all staff to regularly review conflict of interest declarations and management plans, and update them when changes in circumstances occur or new conflicts arise.

Oversight – Internal random spot-checks for conflict of interest declaration and management plan records, including rates and frequency of completions, and whether management plans and strategies are appropriate, and are being complied with on an ongoing basis. This must be reviewed by the business area responsible for managing agency conflict of interest policy, with trends (where identified) to be shared across the agency as an opportunity for awareness and training uplift.

Note – sample size of spot checks will differ depending on agency size and oversight capability. Agencies may wish to conduct ‘spot-checks’ on employees with no declarations. This will be at the agency’s discretion based on risk appetite and agency capacity.

Reporting:

  • Individual conflict management concerns – Reported as per agency’s integrity concern reporting processes.
  • Compliance and trends – Bi-annual reporting to executive. Wider agency communications not required.

Good practice

Recording – As per minimum requirements plus central recording of conflict of interest declarations and management plans for all high-conflict risk activities.

Monitoring and assurance – As per minimum requirements, plus prompts to review conflict of interest declarations and management plans when an individual moves into a new position (linked to position number), or at specific review points within an activity as applicable. Acting arrangements to be monitored to identify when a conflict of interest declaration is triggered by an extension of an acting period (such as acting in an SES role).

Oversight – As per minimum requirements, plus a representative sample of conflict of interest declarations across staff levels and business areas are reviewed annually. Activity-based declarations can be cross-referenced with SES annual declarations and the gifts and benefits register to identify conflict of interest management gaps. Trends are shared across the agency as an opportunity for education uplift.

Reporting:

  • Individual conflict management concerns – As per minimum requirements, plus regular agency communications on conduct management outcomes (de-identified or aggregate).
  • Compliance and Trends – As per minimum requirements, plus executive and wider agency communications.

Excellent practice

Recording – As per good practice, plus periodic touchpoints for review with the employee and delegate (approver) are recorded in the system (outside of any annual reporting requirements). Staff are required to report each occasion when a conflict of interest is managed in a ‘business-as-usual’ environment (e.g. service delivery). Conflict of interest declarations, and management plans where appropriate, are built into all case management systems relating to decision-making, including assessor/user and delegate/decision maker.

Monitoring and assurance – as per good practice.

Oversight – As per good practice plus conflict of interest management plans are pressure tested for suitability, findings are shared with relevant business areas, and trends are shared across the agency as an opportunity for education uplift. Agencies may conduct annual reviews of conflict of interest policies with a focus on emerging or changing risks.

Reporting:

  • Individual conflict management concerns – As per good practice plus a platform (such as tips inbox/hotline or ICT platform) is made available for staff to raise confidential and anonymous conflict of interest concerns.
  • Compliance and Trends – As per good practice, plus quarterly reporting to executive (including internal boards or committees where appropriate) and wider agency communications.

Note – Standards for recording, monitoring and assurance, oversight and reporting will be dependent on individual agencies’ systems capability.

Further Information and Resources

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Acknowledgement of Country

The APSC acknowledges the Traditional Custodians of Country throughout Australia and recognises the continuing connection to lands, waters and communities. We pay our respect to Aboriginal and Torres Strait Islander cultures and to Elders both past and present.