Senior Executive Private Interest Declaration (SEPID ...

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Senior Executive Private Interest Declaration

(SEPID) Policy and Procedure

Table of contents

1 Purpose ............................................................................................................. 2

2 Definitions .......................................................................................................... 2

3 Scope................................................................................................................. 4

4 Policy statement ................................................................................................ 4

5 Procedure .......................................................................................................... 5

5.1 Completing the SEPID form .................................................................... 6

5.2 Approving a SEPID form ......................................................................... 6

5.3 Ongoing SEPID ...................................................................................... 6

5.4 External/new hire SEPID ........................................................................ 6

5.5 Annual declarations ................................................................................ 6

6 Related legislation and documents .................................................................... 7

7 Responsibilities .................................................................................................. 7

7.1 The Secretary and the DCJ Executive Board ......................................... 7

7.2 Supervisors ............................................................................................. 8

7.3 Senior executives and nominated non-senior executives ....................... 8

7.4 Business Ethics and Compliance Unit (BECU) ....................................... 8

7.5 Records .................................................................................................. 8

8 Security of information ....................................................................................... 9

9 Document information ........................................................................................ 9

10 Support and advice .......................................................................................... 10

Senior Executive Private Interest Declaration (SEPID) Policy and Procedure

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1 Purpose

The purpose of this policy and procedure is to support the government’s objective to

create a world class public service that can manage complexity and conflict while

maintaining the highest standards of ethics. It promotes and enhances governance

and probity management of senior executives through the establishment of a

consistent and centralised approach in the reporting of private interests.

Senior executives are expected to act and be seen to act, in the public interest.

Moreover, senior executives are expected to take responsibility for their own

behaviour and to lead by example in promoting and upholding ethical behaviour and

our core values (service, trust, accountability, integrity and respect) in carrying out

their official duties.

This policy and procedure sets the requirements and responsibilities of the

Department of Communities and Justice (DCJ) senior executives (as well as any

nominated non-senior executives to whom the Secretary or his/her delegate/s

considers the requirement should apply) to report and systematically manage these

matters.

2 Definitions

Term Definition

accountability This is one of the department’s core values. DCJ endeavours to:

Recruit and promote staff on merit.

Take responsibility for decisions and actions.

Provide transparency to enable public scrutiny.

Observe standards for safety.

Be fiscally responsible and focus on efficient, effective and prudent

use of resources.

employee Those who perform work in any capacity for the DCJ and includes:

Ongoing, temporary, casual workers.

Members of councils or committees managed by the DCJ.

Interns and graduates.

Consultants.

Contractors/contingent labour workers (agency staff).

Persons on work experience.

Students over 18 years of age.

Volunteers.

conflict of interest

(COI)

A conflict of interest exists when a reasonable person might perceive

that an employee’s personal interests could be favoured over their

public duties.


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Term Definition

integrity This is one of the department’s core values. DCJ endeavours to:

Consider people equally without prejudice or favour.

Act professionally with honesty, consistency and impartiality.

Take responsibility for situations, showing leadership and courage.

Place public interest over personal interest.

non-pecuniary

interest

Non-pecuniary interests do not have a financial component. These

may arise from personal relationships, or involvement in sporting,

social or cultural activities. They include any tendency toward favour or

prejudice resulting from friendship, animosity, or other personal

involvement with another person or group.

pecuniary interest Pecuniary interest (known as ‘material personal interests’ in some

jurisdictions) involves an actual or potential financial gain or loss.

Money does not need to change hands for an interest to be pecuniary.

People have a pecuniary interest if they (or a relative or other close

associate) own property, hold shares, have a position in a company

bidding for government work, or receive benefits (such as

concessions, discounts, gifts or hospitality) from a particular source.

private interests Private interests that can bring benefits and personal gain, or

disadvantage and personal loss, to public officials as individuals, or to

others whom public officials may wish to benefit or disadvantage.

Private interests can be divided into two categories, pecuniary and

non-pecuniary interests.

respect This is one of the department’s core values. DCJ endeavours to:

Be courteous in our dealings with colleagues, clients, stakeholders

and the citizens of NSW.

Proactively collaborate and value the contributions of others.

Seek out alternative perspectives and put our shared interests

ahead of any individual or team to achieve the best possible

outcome.

Treat our colleagues, clients and stakeholders with dignity.

Embrace and seek to increase the diversity of our organisation.

senior executive All DCJ Public Service Senior executives (PSSE) and includes any

non-senior executive staff acting in a senior executive position

(irrespective of how long they will be acting in the position) and any

contingent labour staff employed in (or who are acting in) a senior

executive position.

SEPID register The DCJ online platform for declaring and recording all SEPIDs.

service This is one of the department’s core values. DCJ endeavours to:

Provide services fairly with a focus on client needs.

Be flexible, innovative and reliable in service delivery.


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Term Definition

Engage with the not-for-profit and business sectors to develop and

implement service solutions.

Focus on quality while maximising service delivery.

supervisor The line manager for a senior executive who currently approves

SAP/ELLIPSE/etc. requests (including line managers in acting/relief

positions).

Note: For employees who are not senior executives, a supervisor must

be at least at a Director level.

trust This is one of the department’s core values. DCJ endeavours to:

Appreciate difference and welcome learning from others.

Build relationships based on mutual respect.

Uphold the law, institutions of government and democratic

principles.

Communicate intentions clearly and invite teamwork and

collaboration.

Provide apolitical and non-partisan advice.

3 Scope

This policy and procedure applies to all DCJ senior executives and nominated non-

senior executives.

The Senior Executive Private Interest Declaration (SEPID) Program excludes all

Independent Statutory Office Holders.

4 Policy statement

Staff across DCJ provide government services that are of paramount public interest.

The DCJ is committed to maintaining an ethical work environment; it is essential that

the community is confident that staff will not be influenced by their personal interests.

Senior executives, as leaders, are required to lead by example by ensuring that

there is accountability, transparency and suitable action for all relevant personal

interests (actual, potential or perceived) in the proper exercise of their duties.

External declarations - External declarations must be completed prior to a potential

candidate (including contingent labour) being offered a senior executive role, even in

a temporary capacity and irrespective of the duration.

Internal declarations - Internal declarations must be completed prior to a senior

executive moving into another senior executive role irrespective of band movement,

for example, temporarily relieving for a colleague on leave or taking a temporary

acting assignment (TAA) irrespective of the duration and even if the TAA is at the

same grade.


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Non-senior executives must complete a declaration prior to transitioning into a senior

executive position irrespective of the duration. This also includes TAAs. Declaration

of private interests also applies to any non-senior executive nominated by the

Secretary, or his/her delegate/s.

5 Procedure

Senior executives (and other nominated non-senior executives) must declare all

private interests known to them at the time of declaration.

A SEPID must be completed:

At least annually.

As soon as practicable, following any change in your private interests.

Prior to commencing a new senior executive role/position.

Prior to an assignment to a senior executive role or responsibility (including

temporary acting arrangements irrespective of how long you will be in the role

for).

As directed by the Secretary or his/her delegate/s.

Non-senior executives moving to a senior executive role must also complete a

declaration prior to moving into a senior executive role. This includes contingent

labour and TAAs irrespective of the duration. Supervisors should ensure that

movements to senior executive roles are not approved until a declaration has been

made and approved.

There are requirements for a SEPID Form to be completed for employees sitting

against a senior executive position, including staff acting in a senior executive role

regardless of the duration.

Supervisors will not be able to approve a TAA etc. until a new declaration has been

made and where required, appropriate strategies developed and endorsed to

address any actual, potential or perceived conflict/s of interest with regards to a

declarant’s private interest/s.

It is the responsibility of the senior executive to ensure that a SEPID is completed

and approved before the commencement date of a TAA. Any declaration that is

made and/or approved after the date a TAA commences, will require Deputy

Secretary Corporate Services (or his/her delegated officer) approval for non-

compliant declarations.

Where there is any actual, perceived or potential conflict of interest identified, a

decision on the appropriate action should be formally agreed upon consistent with

the Conflicts of Interest Policy and Procedure.


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5.1 Completing the SEPID form

Part 1 of the SEPID Quick Reference Guide has been prepared to assist declarants

to complete a declaration. A link to both the SEPID form and the quick reference

guide can be found on both the former FACS and Justice SEPID intranet pages.

Once the SEPID form has been completed, it must be submitted for review and

approval by the supervisor (Director and above). Declarants must ensure that the

elected supervisor sits at a higher grade than the declarant. That is, a Director must

elect a supervisor that is at a minimum of an Executive Director level.

It is the responsibility of declarants to ensure that their SEPID is completed and

approved during the annual rollout and by 30 November at the latest. The Business

Ethics and Compliance Unit (BECU) provides the Secretary with a report on

compliance levels for the annual rollout.

For senior executives who are on leave during the annual rollout, the BECU will

follow-up with them once they return to work.

A snapshot of the process is available in Appendix 1.

5.2 Approving a SEPID form

Part 2 of the SEPID Quick Reference Guide has been prepared to assist supervisors

to approve a submitted declaration.

Supervisors must review assigned declarations and where required, discuss and

document on the relevant form any strategies required to manage any actual,

potential or perceived conflicts of interest before approving a declaration.

A snapshot of the process is available in Appendices 2 and 3.

5.3 Ongoing SEPID

A snapshot of the process is available in Appendices 2 and 3.

5.4 External/new hire SEPID

External candidates eligible for a senior executive position must complete a SEPID

prior to moving into the senior executive position. The People Branch will email the

eligible candidate an external link to the SEPID Form to complete prior to issuing the

‘letter of offer’. Once the hiring manager has reviewed and approved the SEPID,

recruitment to the senior executive position may be processed.

A snapshot of the process is available in Appendix 4.

5.5 Annual declarations

It is mandatory for all senior executives (as well as any other nominated non-senior

executives) to provide an annual declaration in relation to their private interests. The


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annual declaration must be completed and approved by their supervisor by no later

than 30 November of each calendar year, for commencement on 1 December.

All declarations will expire on 30 November each year, irrespective of when the last

declaration was made. The annual rollout is mandatory for all senior executives

including nominated non-senior executives. Declarations are to be completed via the

online, secure, web-based SEPID form.

The DCJ Secretary is to submit a completed SEPID form to the Secretary of the

Department of Premier and Cabinet each calendar year.

6 Related legislation and documents

This policy supports adherence to:

Code of Ethical Conduct.

Conflicts of Interest (COI) Policy and Procedure.

Government Sector Employment (GSE) Act 2013 (NSW).

Government Sector Employment Regulation 2014 (NSW).

Independent Commission Against Corruption (ICAC) Act 1988 (NSW).

Gifts, Benefits and Bequests (GBB) Policy and Procedure.

Government Sector Employment (GSE) Act 2013 (NSW).

Government Sector Employment Regulation 2014 (NSW).

PSCC2015-08 Declaration of private interests – supplementary information.

Secondary Employment and Unpaid Work (SEUW) Policy and Procedure.

The Code of Ethics and Conduct for NSW Government sector employees (issued

by the Public Service Commission).

7 Responsibilities

7.1 The Secretary and the DCJ Executive Board

The Secretary is responsible for the overall governance of DCJ’s SEPID Program.

The execution of this policy is delegated to the DCJ Executive Board and senior

management, and it is the responsibility of these officers to implement the SEPID

Program within their areas of responsibility.

DCJ Executive Board members are responsible for:

Providing ongoing support for the SEPID Policy and Procedure.

Implementing governance processes to ensure senior executives and nominated

non-senior executives in their area comply with the requirements of this policy.

Educating their employees on the SEPID Program requirements, as required.


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7.2 Supervisors

Supervisors who manage senior executives or nominated non-senior executives are

responsible for:

Developing, endorsing and monitoring agreed actions to manage a declarant’s

private interests as outlined in the SEPID Policy and Procedure and other related

documents.

Where a declarant has indicated that they also need to complete a Conflict of

Interest (COI) declaration and/or a Secondary Employment and Unpaid Work

(SEUW) application, that these are submitted by the declarant prior to the

supervisor reviewing and approving the declarant’s SEPID declaration.

Approving declarations prior to employees starting/acting in a senior executive or

nominated position.

Educating their employees on the SEPID Program requirements, as required.

7.3 Senior executives and nominated non-senior executives

Senior executives and nominated non-senior executives are responsible for:

Complying with the SEPID Policy and Procedure requirements. Assisting in the

development and implementation of agreed actions to manage any private

interests.

7.4 Business Ethics and Compliance Unit (BECU)

The BECU will manage and administer the SEPID Program by:

Maintaining appropriate security and confidentiality of SEPID applications.

Preparing reports to the Secretary on compliance with this policy as required.

Preparing reports for the Executive Board, and the Audit and Risk Committee/s

as required.

Maintaining up-to-date register/s of SEPID applications.

Maintaining and updating the SEPID Program (policy, procedure, guide etc.).

Providing reports, as required, to the Deputy Secretary Corporate Services on

non-compliance matters.

Providing information as required by Professional Standards Units and external

bodies such as the Independent Commission Against Corruption (ICAC).

Monitoring the system negotiated with the Records Team for placing a notation of

the declaration on the employee’s P-File.

7.5 Records

Place a notation of the outcome of a SEPID declaration on the employee’s P-File.


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8 Security of information

The BECU is responsible for maintaining appropriate security and confidentiality over

information declared. The information provided in relation to private interests

declared via the online web-based SEPID form will be encrypted and will only be

available to the following:

• Secretary and his/her nominated staff.

• Chief Audit Executive (CAE) and Director, Audit, Risk and Compliance.

• Chief Risk Officer, Corporate Services.• BECU employees who manage the SEPID Program.

• Nominated ICT staff who assist with the maintenance of and any trouble- shooting

issues with the online SEPID form.

• Deputy Secretaries (for their divisions only).

• Professional standards units or an external agency (e.g. ICAC) or an independent

investigator.

Any hardcopy (paper) information received by the BECU will be stored in a

confidential TRIM container and destroyed in line with the department’s privacy

policy.

9 Document information

Document name Senior Executive Private Interest Declaration Policy and Procedure

Applies to Limited application within DCJ

Replaces FACS Senior Executive Private Interest Declaration Policy

Justice Senior Executive Probity Management Procedure

Document reference AFACS/3595

Approval 25 October 2019 (the Secretary)

Version 1.0

Commenced 25 October 2019

Due for review 24 October 2022

Policy owner Business Ethics and Compliance Unit


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10 Support and advice

You can get advice and support about this policy and procedure from the BECU

team who has carriage of this document.

Business unit Business Ethics and Compliance Unit (BECU)

Audit, Risk and Compliance

Corporate Services

Email [email protected]

This policy and procedure is subject to change. The latest published version of the

policy and procedure is available on the DCJ intranet.

Senior Executive Private Interest Declaration (SEPID) - Annual Roll-out (November) APPENDIX 1

PaySES Business Ethics & Compliance Unit (BECU) Declarant Supervisor Personnel Files (P-Files) Team

End

Start

Request list of all PSSE positions in SAP from

PaySES

Reviews & approves

SEPID

Provide information or discuss strategies with supervisor to manage

private interest

PaySES contacts the BECU via [email protected]

u to obtain SEPID reference number

Email notification received from SEPID

email inbox. File-note placed on the

declarant’s P-file

SEPID details obtained via the PaySES SEPID

dashboard

Send email via SEPID dashboard to all PSSE

(including TAA and nominated staff)

SEPID reference number entered into SAP

qualification with new end date

(30 November the following year)

BECU follows-up until SEPID is approved

Notification received that their SEPID has

been approved

Sets SAP SEPID qualifications with end date 30 November (including TAAs that extend

beyond 30 November)

SEPID completed

Briefing Note (BN) to the Secretary re annual

rollout results

Reject / Request further information

No issues

Approved

Issues

EndEnd End End

Senior Executive Private Interest Declaration (SEPID)- for Temporary Acting Assignment (TAA) APPENDIX 2Senior Executive Declarant (employee applying for TAA) PaySES Business Ethics & Compliance Unit (BECU)

Start

Enter SEPID qualification details

into SAP

SEPID reference number obtained from the PaySESSEPID dashboard

Follows-up until SEPID is approved

Completes a Senior Executive Private Interest Declaration (SEPID)

Note* declarant should nominate the supervisor of the TAA role.

Example- if you are acting in a ‘director’ position, you must nominate the ‘executive director’ as the supervisor

Decision

Process and finalise TAA request

End

Identifies a potential employee to fill a Senior Executive

position as a TAA & requires them to complete a SEPID

SEPID workflows to nominated supervisor*

(band level above position grade) of the

TAA for review & approval

Supervisor to select a different potential

employee for the TAA(start process again)

Declined

Submit the TAA request via SAP Self

Service

Approved

Approves TAA in Manager Self Service

(MSS) system via SAP

End

Yes

End


u to obtain SEPID reference numberNo

Approved

End

Senior Executive Private Interest Declaration (SEPID)- for non-senior executives permanently moving to a Senior Executive position APPENDIX 3

Hiring Manager (People) Declarant (Candidate)Supervisor

*Note – Supervisor MUST always be one level higher i.e. for aDirector position the supervisor is the Executive Director

PaySES Business Ethics & Compliance Unit (BECU)

EndEnd EndEnd

Start

Email internal SEPID link to the potential candidate/s

Completes SEPID

SEPID reviewed & approved

DeclinedRecruit eligible

candidate

SEPID reference number obtained

via the PaySES SEPID dashboard

ApprovedPaySES contacts the BECU via

[email protected] to obtain SEPID reference number

Issues

follows-up until SEPID is approved

End

Notifies the hiring manager that the SEPID has been

approved

No Issues

Offer senior executive position

to eligible candidate

Offer accepted

Commence Hire Part 1 in SAP

SEPID reference number entered

into SAP

Complete Hire Part 2 in SAP

External New Hire to a Senior Executive Position APPENDIX 4

Hiring Manager (People) Declarant (Candidate) Supervisor PaySES Business Ethics & Compliance Unit (BECU)

End

Start

Email external SEPID link to

potential candidate/s

Completes SEPID

SEPID reviewed & approved

Select potential eligible

applicant

SEPID reference number obtained via

the PaySES SEPID dashboard


to obtain SEPID reference number

follows-up until SEPID is approved

notifies the hiring manager that the SEPID has been

approved

Offer senior executive position

to eligible candidate

Offer accepted

Commence Hire Part 1 in SAP

SEPID reference number entered

into SAP

Complete Hire Part 2 in SAP

Declined

Approved Issues

No Issues

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