2.1.8 Conflict of Interest

2.1.8 Conflict of Interest Policy

Preamble

This policy outlines the principles to apply and the procedures to be followed when workers experience a conflict of interest in carrying out their duties to BigDog Support Services Pty Ltd (BigDog).

All workers and volunteers, in performing BigDog duties are expected to act in good faith towards BigDog. Everyone should be aware of the potential for conflict of interest to arise and should always act in the best interests of BigDog.

When does a conflict of interest arise?

A conflict of interest arises when a worker acts, or appears to act, on behalf of someone other than BigDog; or in carrying out their duties to BigDog has, or appears to have, a selfinterest of which BigDog is unaware, and from which the worker makes a profit or gain, or that is actually or potentially adverse to the best interest of BigDog.

Conflict of interest situations may cover a broad range of matters from minor to extremely serious, and may involve ethical, legal, commercial or other issues. Such situations, if unresolved, may be the cause of damage to BigDog. This policy is designed to protect both the individual and BigDog, not attempt to define all those areas or circumstances in which there is potential for conflict of interest to arise. The onus is on the worker to be diligent in the identification of a potential conflict of interest. The mere existence of a conflict or potential conflict situation does not necessarily imply that the activity must stop however in all circumstances there must be disclosure to a director of BigDog. Workers should aim to avoid being placed in a situation where there may be a conflict between the interests of BigDog and their own personal or professional interests, or those of relatives or close friends.

Definitions

For the purposes of this policy, the definition of “worker” includes the directors of BigDog, paid workers, volunteers and contractors.

For the purposes of this policy, the definition of “family member” includes the following relationships between a client and a support worker:

a. Wife, husband, father, mother, adoptive father, adoptive mother, grandfather, grandmother, step-father, step-mother, son, daughter, grandson, grand-daughter, step-son, step-daughter, brother, sister, half-brother, half-sister, step-brother, stepsister, adoptive brother, adoptive sister, mother-in-law, father-in-law, daughter, daughter-in-law, son, son-in-law, sister-in law, brother-in-law, aunt, uncle, niece, nephew and first cousins.

b. This also includes any legally recognised variation to these relationships, such as de facto, adoptive, ex-nuptial relationships, same sex relationships or changes resulting from separation and/or divorce.

c. Legal Guardians and Administrators (whole or part) will be considered under the same definition of family member as cited.

Gifts or benefits

Workers should not solicit any gifts or benefits or accept any gifts or benefits that might in any way appear to compromise or influence them in their official capacity. As a general rule, a line can be drawn in situations where others could see a gift as an inducement that could place a worker under an obligation. Generally, it is acceptable for workers to accept small token gifts up to the value of $20.00, of a personal nature, for occasions such as Christmas, Easter or a birthday. Gifts of nominal value generally used for promotional purposes by suppliers would also be seen as acceptable.

If in doubt, guidance should be sought from your coordinator in specific instances. All gifts of any value need to be reported to management in the first instance.

Workers must not accept gifts of money or other items from clients or their families.

Workers must also not make gifts to clients or their families or other stakeholders without prior permission from management.

Relations between Workers and Clients

Conflict of interest situations may arise from close personal relationships, including family relationships, between workers and clients for whom workers have a duty of care. This includes workers who have had such relations with clients with whom they also have professional relations. All workers are required to disclose any personal relationships with clients as soon as they are aware of the conflict.

Workers are encouraged to have professional relationships only. Any intentional contact between workers and clients outside of working hours needs to have prior approval of a coordinator or Director. This is to protect both the client and the worker

Family members as paid Support Workers

The replacement of unpaid supports with paid supports has the potential to undermine informal support networks. Family members as paid support workers will only be considered where exceptional circumstances can be demonstrated and where this is allowed by the funding body.

Exceptional circumstances may include, but will not necessarily be restricted to the following:

A client has specific cultural requirements that cannot be met through other community support systems;

A client lives in an isolated or remote locality and there are no alternative support systems available; and all other care options have been explored and there are no suitable alternatives available

The provision of income supports such as Carer Payment and Carer Allowance are the responsibility of the Commonwealth Government.

Protection of the individual’s interests and rights is paramount and paid employment of family members has the potential to create a conflict of interest. Preclusion of payment to

family members assists in ensuring the rights and interests of the individual are safeguarded and informal supports are not compromised.

Employment

A worker should not exercise a delegation of authority where this would involve a conflict of interest such as by bringing personal or financial benefit to them or a member of their family. Family members or close friends of workers should only be employed where an appropriate independent merit selection process has been observed, although it may occasionally be logistically convenient to employ a relative or friend on a casual one-off basis. A person who has the delegated authority to employ a worker cannot authorise the employment of a family member. In such circumstances the employment approval must be gained from a consensus of the management team and duly minuted during a management meeting. Situations should be avoided where family members or close friends are in a direct supervisory relationship to each other. However, the existence of a close personal relationship with a worker should not constitute a bar to the employment or promotion of any individual within the organisation but may require a reassignment of duties.

Financial Decision Making

All workers are advised to carefully consider all the implications of any personal dealings with outside concerns that would appear to involve the financial commitment of BigDog. Only the Directors are authorised to make any financial commitments on behalf of BigDog.

Disclosure

It is a fundamental principle that workers of their own volition should disclose a conflict or potential conflict of interest situation to a coordinator or director of BigDog. (Refer External Interest Declaration)

Director

In managing the business of a company, the directors are subject to a wide range of duties under Section 5.3 of the Corporations Act 2001(Cth).

Workers

1. Avoid being placed in a situation where there is potential for conflict of interest;

2. Declare any conflict of interest to a coordinator or BigDog Director; and

3. Avoid any detrimental outcome to BigDog as a result of a conflict of interest

Where a conflict or potential conflict of interest arises, the Directors shall ensure that a worker is not involved in a decision made for a matter in relation to which the worker has a conflict of interest.

Records and Management

The Directors and any coordinator who becomes aware of a conflict of interest must record all relevant details in enough detail to identify the conflict in minutes of meetings or on a register which will record how that conflict was dealt with.

Disciplinary actions and legal sanctions

Failure to disclose a conflict or a potential conflict of interest by a worker constitutes a breach of BigDog policy and may result in disciplinary action. If a conflict of interest results in economic or financial loss to BigDog through fraud, waste or abuse, then BigDog may pursue administrative, civil or criminal remedies against the worker, as circumstances or policy dictate.

Summary

A conflict of interest (pecuniary or otherwise) arises where a worker’s non-work related activities may unduly influence decisions and conflict with the proper performance of an worker’s duties, or are simply incompatible with the impartial fulfilment their duties. There is an obligation on all workers to avoid conflicts of interest between their personal interests and those of their employer.

In Digital Pulse v Harris Pty Limited 2003 NSWCA 23 in an aspect of his judgment, Palmer J summarised the general law principles applicable to the duty of a worker to his or her employer in the following way:

“A worker has a duty to act in the interests of the employer with good faith and fidelity. That duty is implied in every contract of employment if it is not otherwise imposed by an express term. In addition, the duty is imposed upon every worker by the law of fiduciaries, the relationship of employer and worker being recognised as a paradigmatic fiduciary relationship.”

“The obligations imposed by the duty are not coterminous with the worker’s normal working hours: they govern all the activities of the worker, whenever undertaken, which are within the sphere of the employer’s business operations, and which could materially affect the employer’s business interests. Whether a particular activity could materially affect the employer’s business interests is a question of fact and degree.”

“The duty of loyalty requires that a worker not place himself or herself in a position in which the worker’s own interest in a transaction within the sphere of the employer’s business operations conflicts with the worker’s duty to act solely in the employer’s interest in relation to that transaction. A fortiori, a worker may not take for himself or herself an opportunity within the sphere of the worker’s business operations without the employer’s fully informed consent.”

Supporting Documents

Policies

2.0 Provider Governance and Operational Management

2.1 Governance and Operational Management

External Interest Policy

Forms

Conflict of Interest Register

Worker Confirmation Agreement

Information Sheets

Code of Practice

Human Services Quality Framework October 2021 Version 8

NDIS Practice Standards November 2021 Version 4

NGO Training

CHCCS301A Work within a legal and ethical framework

Legislation

Child Protection Reform and other Legislation Act 2022 (QLD)

Corporations Act 2001 (Cwth)

Corporations (Queensland) Act 1990 (QLD)

Disability Services and Inclusion Act 2023 (Cwth)

Disability Services Act 2006 (QLD)

Financial Accountability Act 2009 (QLD)

National Disability Insurance Scheme Act 2013 (Cwth)

NDIS (Provider Registration and Practice Standards) Amendment Rules 2021

Privacy Act 1988

NDIS Practice Standards and Quality Indicators

BigDog Support Services Pty Ltd (BigDog) is a registered NDIS provider and is required to apply the scheme’s practice standard and quality indicators.

The standards have been developed to create an important benchmark to assess provider performance and ensure that high quality and safe supports and services are provided to NDIS participants.

The four core modules are:

1.0 Rights and Responsibilities;

2.0 Governance and Operational Management;

3.0 The Provision of Supports; and

4.0 The Support Provision Environment.

The supplementary modules cover:

5.0 Specialist Support

5.1 High intensity daily personal activities.

5.3 Implementing behaviour support plans.

2.1 Governance and Operational Management

Each participant’s support is overseen by robust governance and operational management systems relevant (proportionate) to the size, and scale of the provider and the scope and complexity of supports delivered.

2.1.8 Perceived and actual conflicts of interest are proactively managed and documented, including through development and maintenance of organisational policies.

Human Services Quality Standards

The Human Services Quality Standards set a benchmark for the quality of service provision. Each Standard is supported by a set of performance indicators which outline what an organisation is required to demonstrate to meet that standard.

1 Governance and Management

Sound governance and management systems that maximise outcomes for stakeholders.

1.1 BigDog has accountable and transparent governance arrangements that ensure compliance with relevant legislation, regulations and contractual arrangements.

1.4 BigDog management systems are clearly defined, documented and monitored and (where appropriate) communicated including finance, assets and risk.

Delegation of Authority

Name Position Details

Steven Paull Director

Courtney Carroll Director

David Burrett Operations Manager

Monique Paull HR Lawyer

Version Details

Authorise review and implementation

Authorise review and implementation

Ensure information dissemination

Ensure compliance by workers

This policy will be reviewed every twelve (12) months unless circumstances deem it necessary to review earlier. The review process will involve an analysis of the usefulness of the policy and to note any changes which are required to improve the policy.

If minor changes are made in wording or to clarify the intent, the version number will indicate this by adding a ‘point’ i.e. Version 1.0 indicates the original version and 1.1 with the first round of minor changes made. A significant change or intent of the policy will be indicated by a whole new number i.e. Version 2.0.

The following rules also apply in interpreting this policy:

• Headings are for convenience only and do not affect interpretation.

• A singular word includes the plural and vice versa.

• A word that suggests one gender includes the other genders.

Included Operations Manager

HSQF Standards Indicators and Policy matched with NDIS Practice Standards and Quality Indicators

Front cover updated to Standards colour identification Supporting Policies updated

Included Human Services Quality Standards and Child Protection Act and the term “Participant” is returned to “Client” to allow for policies to cover NDIS and Child Safety.

Disability Services Act 1986 replaced with Disability Services and Inclusion Act 2023 and policy review process included.