Human Resources Manual
9.0 Conflicts of Interest Policy
and/or the Privacy Act 2020
Information released under the Official Information Act 1982
and/or the Privacy Act 2020
Information released under the Official Information Act 1982
Contents
Policy application ..................................................................................................................... 1
Policy statement ...................................................................................................................... 1
Conflicts of interest ................................................................................................................. 1
Process for disclosing conflicts of interest .............................................................................. 2
Process where disclosure of a personal interest relates to a particular complaint ................ 3
Additional process in relation to gifts ..................................................................................... 4
Use of HDC name ..................................................................................................................... 4
and/or the Privacy Act 2020
Information released under the Official Information Act 1982
\\hdc-fps01\data$\Staff Folders\Commissioner's EA\9.0-Conflicts-of-Interest-Policy_2023-08-31_Final.docx
and/or the Privacy Act 2020
Information released under the Official Information Act 1982
Human Resources Manual: Conflicts of Interest Policy
Policy application
1.
This Policy applies to employees and other workers.
Policy statement
2.
HDC acknowledges its obligations under the State Services Code of Conduct (included as an
appendix to this Human Resources Manual), which requires its employees and other workers
to act with impartiality, fairness, responsibility, trustworthiness and neutrality in carrying out
HDC’s functions.
3.
In order to ensure that these obligations are met, employees and other workers are required
to disclose any personal interests that may compromise or appear to compromise HDC’s
impartiality and/or neutrality. To assist employees and other workers in fulfilling this
requirement, this Policy provides an overview of:
· what may constitute a conflict of interest; and
· the process for declaring/managing conflicts of interest appropriately.
Conflicts of interest
4.
The following are examples (without limitation) of personal interests that may conflict with
the interests of HDC:
· Outside employment or volunteer work.
· Outside business activities and/or obligations, including but not limited to, shareholdings,
directorships, honorary work, membership in a society, club or association, and/or trustee
activities.
· Non-work-related publications, presentations, and/or speeches.
· Involvement in decision-making processes at HDC, where that involvement may result in
personal gain/benefit for an employee or other worker, or for someone with whom that
employee or other worker has a close personal relationship (including, but not limited to,
spouses, partners, and children). For example:
and/or the Privacy Act 2020
— where an employee or other worker has a close personal relationship with another
employee or other worker, involvement in any matter relevant to the terms and
conditions of that person’s employment or engagement at HDC (including, but not
limited to, appointment, promotion, salary or performance review, or leave);
— where an employee or other worker has a close personal relationship with a
Information released under the Official Information Act 1982
complainant or a provider, or involvement in any matter that relates to that
complainant or provider;
— where an employee or other worker makes a complaint to HDC, involvement in any
matter that relates to that complaint.
Effective Date: 31 August 2023
1
Approved By: The Health and Disability Commissioner
Health and Disability Commissioner Policy
· The receiving of gifts (either in the employee’s or other worker’s personal or professional
capacity) where there is the potential for acceptance of the gift to suggest
partiality/favouritism on behalf of HDC.
· Any other commitments, roles, positions, connections or involvements in decision-making
processes that may compromise or appear to compromise HDC’s impartiality and/or
neutrality in the course of carrying out its functions.
Process for disclosing conflicts of interest
5.
Employees and other workers must disclose to their Employing Manager, in writing, any
personal interest that may conflict with HDC’s interests. This disclosure must occur before an
employee or other worker takes on any such personal interest, or as soon as they become
aware that any such personal interest may already be held. Simply disclosing a personal
interest will not resolve the conflict of interest.
6.
Employing Managers will consider disclosures of personal interests, and whether they conflict
with HDC’s interests, on a case-by-case basis.
7.
Where an Employing Manager:
· does not consider that a personal interest conflicts with HDC’s interest, they will grant
approval, in writing, for the employee or other worker to proceed with taking on the
personal interest, or continuing to hold the personal interest.
8.
Where an Employing Manager:
· considers that a personal interest conflicts with HDC’s interests, they will consider whether
the conflict can be managed appropriately by:
— ensuring that the matter is entered onto the Conflicts and Declarations of Interest
Register; and
— if necessary, imposing restrictions on the employee or other worker; and
— if necessary, directing the employee or other worker to take certain actions.
9.
Where an Employing Manager considers that the above steps would result in the conflict of
interest being managed appropriately, they will grant approval, in writing, for the employee
or other worker to proceed with taking on the personal interest or
and/or the Privacy Act 2020continuing to hold the
personal interest, will ensure that the matter is entered onto the Conflicts and Declarations
of Interest Register, and will action any restrictions/directions as are considered necessary.
10.
Where an Employing Manager does not consider that the above steps would result in the
conflict of interest being managed appropriately, they will decline approval, in writing, and
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the employee or other worker will not be permitted to proceed with taking on the personal
interest, or continuing to hold the personal interest.
2
Effective Date:
Approved By: The Health and Disability Commissioner
Human Resources Manual: Conflicts of Interest Policy
11.
An Employing Manager may consult the Associate Commissioner, Legal in the course of
undertaking the above process, and will notify the Associate Commissioner, Legal of any
potential conflict of interest identified, and the steps that will be taken to avoid that conflict
arising. The Associate Commissioner, Legal is responsible for entering the matter on the
Conflicts and Declarations of Interest Register.
12.
Where a conflict of interest is suspected to involve criminal activity, HDC has an obligation to
report the matter to the Police or the Serious Fraud Office.
13.
Employees and other workers are encouraged to contribute articles to professional journals
and to speak to interested consumer or provider groups. For the avoidance of doubt, if any
such communication is, or could be, construed as representing or undermining the
Commissioner’s or HDC’s position or opinion on any subject, or relates to the employee’s or
other worker’s work, prior written approval must be obtained from their Employing Manager.
Process where disclosure of a personal interest relates to a
particular complaint.
14.
For the avoidance of doubt, an employee or other worker must disclose to their Employing
Manager (in accordance with the process set out above) where they have a close personal
relationship with a complainant or a provider (who has been complained about) and may be
exposed to information relating to that complaint, or where they have made, or are going to
make, a complaint to HDC themselves.
15.
In the above circumstances, an Employing Manager is likely to consider that a conflict of
interest does exist. The Employing Manager will manage the conflict by noting the conflict on
the file and by immediately informing the Associate Commissioner Complaints Resolution and
Investigations, and/or the Associate Commissioner, Legal (as appropriate, depending on the
stage of the complaint), requesting that they:
· inform any employees and/or other workers handling the complaint that they are not to
discuss the identity of the complainant/the complainant’s connection with the employee
or other worker with any other employee or other worker;
· personally sign out any communications between HDC and the parties in relation to the
complaint;
· ensure that the employee or other worker to whom the complaint relates is not in any way
and/or the Privacy Act 2020
involved in the complaints assessment process, including (but not limited to) any decision-
making processes associated with the complaint;
· anonymise the complaint file on ECDS and on the exterior of the hard copy file, where this
is considered necessary, and ensure that the employee or other worker to whom the
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complaint relates cannot access that information;
· brief out, to an external provider, any interviews with the employee or other worker that
may be necessary in the course of assessing the complaint (i.e., in the context of an
investigation); and
· inform the provider of the above steps, where this is considered necessary.
Effective Date: 31 August 2023
3
Approved By: The Health and Disability Commissioner
Health and Disability Commissioner Policy
Raising concerns about how a disclosure of personal interest is
managed
16.
Where an employee or other worker has disclosed a personal interest and feels that their
declared interest has not been managed appropriately, the employee or other worker should
raise their concerns with the Associate Commissioner, Legal. If the concerns relate to how the
Associate Commissioner, Legal has managed a conflict of interest, then the employee or other
worker should raise their concerns with their Employing Manager or with the Commissioner.
17.
Upon receipt of the concerns, the Associate Commissioner Legal, or if appropriate, the
Commissioner will record the concerns in the Conflicts and Declarations of Interests Register
and will ensure the concerns are appropriately assessed. Concerns will be addressed as soon
as reasonably practicable.
18.
If the concerns are about serious wrongdoing in relation to how a declared conflict of interest
is being managed, refer to the Protected Disclosures (Whisleblower) Policy.
Additional process in relation to gifts
19.
Where an employee or other worker receives a gift in their professional capacity at HDC (and
in addition to the process set out above), an Employing Manager will consider what action is
necessary. As a general rule, all gifts must be entered on the Gifts Register, along with
information about who received the gift originally, and what has been, or will be, done with
it. The Gift Register is maintained by the Finance Manager.
Use of HDC name
20.
Employees and other workers are not permitted to use the official title of HDC or the
Commissioner except in connection with legitimate HDC purposes. This is particularly
important when the employee or other worker (or someone with whom they have a close
personal relationship) is receiving, or seeking to access, health or disability services.
and/or the Privacy Act 2020
Information released under the Official Information Act 1982
4
Effective Date:
Approved By: The Health and Disability Commissioner
