2.1 Roles and responsibilities

Having clear roles and responsibilities for how the integrity framework is coordinated helps the framework deliver on its intended purpose.

While a team or individuals may be responsible for parts of the framework, ultimate accountability for it rests with the authority head. Responsibility can be delegated and shared; accountability cannot.

Why are roles and responsibilities important?

An integrity framework needs to be well coordinated. Arrangements for this should be based on the authority’s size, risks and resources.

There may be other roles across the authority that are responsible for specific integrity actions or initiatives and noted in the framework. Some roles and responsibilities for integrity and oversight are guided by legislation and government policy, for example the role of the principal officer to notify minor and serious misconduct under the Corruption, Crime and Misconduct Act 2003.

Ideas for good and better practice for roles and responsibilities

Good practice

  • Assign responsibility to custodians who:
    • monitor implementation of the framework’s elements
    • evaluate the framework’s effectiveness and make improvements where required
    • deal with matters related to the framework as they arise.
  • Guarantee continuity by assigning custodianship to an appropriately senior position rather than an individual officer.
  • Check custodians have the appropriate skills and experience and give them time to fulfil their responsibility.
  • Have custodians or other representatives provide advice about the framework. This may include supporting and guiding the authority head, senior leadership team and board or other committee where needed.
  • Document delegations in an accessible schedule. Delegations need to be made according to any legislative requirements and at appropriate levels for efficient operations. Responsibilities and relationships should be communicated so delegated officers do not act beyond their power and authority.
  • Use the framework to reinforce that integrity is everyone’s responsibility. Encourage individuals to hold themselves and their colleagues accountable for the highest standards of integrity. A good starting point is the actions for individual officers in the Integrity Strategy.

Better practice

  • Optimise integrity with a well-designed organisation structure. This is an important control for:
    • roles that need separation to avoid conflicts of interest
    • appropriate supervision and approval.
  • Depending on the size of the authority and its risk profile, consider a:
    • discrete integrity unit, conduct and standards team or an officer whose primary role is to promote integrity and prevent integrity breaches
    • fraud and corruption control or integrity committee to inform the senior leadership team about integrity.

Completing the integrity framework template

In this section of the framework, outline roles and responsibilities under the framework – who does what (custodians). Responsibilities could be carried out by a position (individual), group or committee.

Choose an approach that best enables your authority to summarise roles and responsibilities under the framework. This might include a table – 2 examples are provided. The first assigns roles based on the elements of the framework while the second assigns roles by position.

Whatever approach is used, it should provide assurance to your authority head that the framework is being managed. Responsibilities may also be described in job descriptions.

Include details about:

  • how the framework is managed and controlled
  • recordkeeping requirements
  • who has accountability for the framework, who can update it, who monitors it, who promotes it and how improvements are tracked.

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