Home > About us > Policies and practices > Conflicts of interest
Introduction
This document sets out the policy of the Ombudsman on conflicts of interest.
The policy should be read in conjunction with:
The policy is based on the following principles that underpin our work:
1. We aim to operate open transparent, fair, customer-focused processes.
2. We aim to understand complaints and investigate them thoroughly, quickly and impartially, and secure appropriate outcomes.
3. We expect Office employees to exemplify the key values of
- Excellence
- Leadership
- Integrity
- Diversity.
4. In particular, living out the value of Integrity means that:
- We are open, honest and straightforward in all our dealings and use time, money and resources effectively.
- We are consistent and transparent in our actions and decisions
- We take responsibility for our actions and hold ourselves accountable for all that we do
- We treat people fairly.
5. We seek to ensure a proper balance between transparency and privacy. The aim of this policy is not to satisfy curiosity but to support probity and inspire confidence in the work of the Ombudsman.
Specific areas of conflict of interest are covered elsewhere in this policy. We have adopted the following general definition:
Potential conflicts of interest arise when staff enter into any official, professional or personal relationships which may, or could reasonably be perceived to, cause them inappropriately or unjustifiably to limit the scope, extent or rigour of their
work or impair the objectivity of their judgement.
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The policy applies to all employees of the Ombudsman plus contractors and secondees. In addition, those covered by the policy are required to consider whether their family and other personal relationships create any actual or potential conflicts. Family is taken to include brothers, sisters, spouse or partner, aunt, uncle, nephew, niece, parents, grandparents, children and grandchildren.
This section sets out the types of situation covered by the policy where staff should make a declaration of a potential conflict. It is not a definitive list and the overriding test to be used is the definition set out above. Where staff are in doubt concerning any situation, they should initially seek advice from their line manager. Further advice may be obtained from the Human Resources
Department.
A conflict of interest may arise from an employee’s financial interests. This will be the case if an employee has a position or a financial interest directly or through a family or personal relationship with an organisation which:
- transacts business with the Ombudsman or
- is linked to any investigation being undertaken by the Ombudsman.
A conflict of interest may also arise from an employee’s personal interests. These will include:
- a non-executive directorship of a body under investigation
- membership of any organisation not open to the public without formal membership and commitment of allegiance and which has secrecy about rules, membership or conduct (e.g. Freemasonry)
- employment within the last 12 months in an organisation which has
- commercial contracts with the office
- involvement in matters that are the subject of a complaint or recent close involvement with an organisation complained of.
Staff should also be aware of the potential conflict of interest arising from the acceptance of gifts and hospitality. This will apply both in relation to investigations and to purchasing or other contracts entered into by the Ombudsman. The rules set out in our Policy on Conduct and Behaviour must be
rigorously applied in such cases.
Staff should also be aware of the restrictions on political activities set out in the Conduct and Behaviour Policy. Adherence to these restrictions should ensure avoidance of conflicts of interest.
Similarly, application of the Conduct and Behaviour rules on Relationships at Work are designed to avoid actual or potential conflicts of interest and should be followed by staff and their managers.
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In dealing with actual or potential conflicts of interest, the first responsibility lies with the member of staff to:
- identify that potential for a conflict exists
- report this to his/her line manager
- where the line manager deems it appropriate, declare it on our Register of Interests.
Line managers have responsibility for advising staff on whether an actual or potential conflict is sufficient to require a declaration. Where there is a genuine conflict of interest in relation to an actual situation – or where it may be
reasonably perceived that such a conflict exists – it is the responsibility of the line manager to take appropriate action to resolve the conflict. This may involve reorganisation of work responsibilities or an agreement that the employee takes action to remove the source of conflict (e.g. by disposing of an inappropriate financial interest). Line managers should seek advice where necessary from their Director and/or from Human Resources staff.
The Human Resources Department is responsible for advising on the application of the policy, reviewing it no less than every three years and ensuring that all staff complete an annual Declaration of Interests. The Register of Interests section for senior staff will be included within the our publication scheme,
and will therefore be openly available. The section for all other staff will not be published but the Ombudsman reserves the right to disclose interests on request, subject to any health and safety considerations.
Where staff feel that they have been unfairly disadvantaged by the application of the policy, they should make use of the Ombudsman’s grievance procedure.
It is a requirement that all staff co-operate in adhering to the policy. If a complainant requests information about any specific interests of an employee and there is nothing to declare in the Register of Interests he/she may be asked to confirm whether they have any such interests. If the employee does not co-operate with this request, after exploring the reasons the Ombudsman reserves the right to remove the employee from the case in question in order to guarantee the perception of independence.
In exceptional circumstances where staff refuse to co-operate with the policy, this will be regarded, after due discussion and attempts to reach an agreed way forward, as a cause for disciplinary action, using the agreed disciplinary procedure. All efforts will be made to avoid such a situation. Any decisions
about such action will only be taken at Deputy Ombudsman/Deputy Chief Executive/Director of Strategy and Communications level after consultation with the Director of Human Resources.
Staff applying to join the Ombudsman’s office will be required to complete a Declaration of Interests. Contractors and secondees will also be required to complete the Declaration. If there are interests which create an immediate conflict in relation to the job applied for, this will be discussed with them to agree a resolution. It is expected that only in the most exceptional circumstances will a Declaration lead to the withdrawal of a job offer. An example might be a candidate offered a post involving purchasing decisions who was unwilling to sever links with a key supplier.
Explanations of the Ombudsman’s Policy on Conflicts of Interest will form part of the induction training for all staff.
The policy will be subject to review no less than once every three years.
December 2004
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