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CATA CONFERENCE 2006

CATA CONFERENCE 2006. Roddy Marr HR & Learning Directorate UNITED KINGDOM. TOPIC 2: Practical approaches towards ensuring integrity in tax administration. Ensuring effective management of integrity by tax administrations. INTRODUCTION. · UK Civil Service

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CATA CONFERENCE 2006

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  1. CATA CONFERENCE 2006 Roddy Marr HR & Learning Directorate UNITED KINGDOM

  2. TOPIC 2: Practical approaches towards ensuring integrity in tax administration Ensuring effective management of integrity by tax administrations

  3. INTRODUCTION ·UK Civil Service ·HM Customs and Revenue - a new Government Department • Human Resources HR&L Conduct, Discipline & Grievance - 12-07-06

  4. Overview • What integrity is • Why integrity is important • How to maintain/improve integrity in a tax administration • Summary & conclusion HR&L Conduct, Discipline & Grievance - 12-07-06

  5. What Integrity Is (cont.) • “Integrity is a lofty attitude assumed by someone who is unemployed” Oscar Levant, American pianist and actor (1906-72) Memoirs of an Amnesiac HR&L Conduct, Discipline & Grievance - 12-07-06

  6. What Integrity is (cont.) • “[Nixon has] the integrity of a hyena and the style of a poison toad” Hunter S Thompson, American writer and journalist (1939 –2005). Attributed remark • Integrity - n. wholeness; soundness; uprightness, honesty [F intégrité or L integritas] Concise Oxford Dictionary HR&L Conduct, Discipline & Grievance - 12-07-06

  7. What Integrity is (cont.) Definition: Under the Civil Service Code for a UK civil servant: • Integrity is about putting the public good above their own personal interests in whatever they do as civil servants • Honesty involves being truthful and transparent HR&L Conduct, Discipline & Grievance - 12-07-06

  8. What Integrity is (cont.) Definition: For HM Revenue & Customs, integrity is: • Honesty, moral probity, propriety, fairness, equal treatment, ethical behaviour and wider management responsibilities • Public confidence secured & maintained • A core value HR&L Conduct, Discipline & Grievance - 12-07-06

  9. What Integrity is (cont.) Within UK’s Seven Principles of Public Life: ·Integrity – Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might influence them in the performance of their official duties Honesty – Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve and conflicts arising in a way that protects the public interest. HR&L Conduct, Discipline & Grievance - 12-07-06

  10. Why Integrity is Important Political • The public has a right to expect a high standard from their Civil Service / tax administration • Public confidence • Reputation can be seriously harmed if only a few fail • The bad behaviour of a small minority of staff can easily and significantly affect public and political confidence and operational effectiveness HR&L Conduct, Discipline & Grievance - 12-07-06

  11. Why Integrity is Important (cont.) Economic and socio-cultural factors • In the UK the Civil Service forms an integral and key part of Government • It supports the Government of the day in formulating and implementing policies, and in the delivery of public services • Civil servants are appointed on merit through fair and open competition HR&L Conduct, Discipline & Grievance - 12-07-06

  12. Why Integrity is Important (cont.) • The government and the public, particularly taxpayers, expect high standards from tax administrators • The UK HMRC core values are: • Being professional and helpful • Acting with integrity and fairness • Improving the customer experience • Achieving success by appreciating differences and working together HR&L Conduct, Discipline & Grievance - 12-07-06

  13. Why Integrity is Important (cont.) Promoting integrityhelps ensure: • Fairness, impartiality, administration transparency, honesty, sense of organisational belonging, emphasis on professionalism in performance and career planning ·Organisational effectiveness and delivery of outputs • The development of professional staff and their continuous improvement HR&L Conduct, Discipline & Grievance - 12-07-06

  14. Why Integrity is Important (cont.) • The application of natural justice in dealing with the public and staff • Good governance. Organisation can stand up to internal and external scrutiny HR&L Conduct, Discipline & Grievance - 12-07-06

  15. Why Integrity is Important (cont.) Social standpoint Integrity is one of the most important values that determines the perception of the public sector • Because of the nature of the tax administration function, integrity is the most important value; it is the core value for both staff and the public in administering taxation effectively and fairly • History has shown this • Integrity is the core value of the World Customs Organisation HR&L Conduct, Discipline & Grievance - 12-07-06

  16. How to maintain integrity HMRC – Outline of Code of Conduct • Honesty & Impartiality • Confidentiality and customer privacy • Managing gifts, hospitality and other benefits • Conflicts of interest • Private conduct / Conduct & behaviour at work • Outside work / political activities • Care and use of HMRC property • Reporting concerns • Disciplinary procedures HR&L Conduct, Discipline & Grievance - 12-07-06

  17. How to maintain integrity (cont.) Examples of strategies that are being developed and in some cases implemented: • Personnel strategies • Induction and Probation • Training • Vetting and screening • Grievance • Confidentiality HR&L Conduct, Discipline & Grievance - 12-07-06

  18. How to maintain integrity (cont.) •  Senior management • Monitoring • Confidential reporting arrangements and investigation • Leadership HR&L Conduct, Discipline & Grievance - 12-07-06

  19. How to maintain integrity (cont.) The appellate and scrutiny functions provide for: • public transparency and operational feedback • some measure of integrity • opportunities to correct mistakes, identify potential wrongdoing and lessons to be learned, salvage public reputation, and improve ’customer’/client service and integrity • test operational accountability HR&L Conduct, Discipline & Grievance - 12-07-06

  20. How to maintain integrity (cont.) Key features that impact on integrity issues: • Effective leadership and senior management commitment (including risk management) – deeds rather than words. • supervisory officers should be significantly more active in raising the standard of behaviour of all staff ensuring everyone is treated with dignity and respect, regardless of their circumstances. • Good communications between staff and between all levels. HR&L Conduct, Discipline & Grievance - 12-07-06

  21. How to maintain integrity (cont.) • Clear contract/terms and conditions (emphasising the importance of trust and confidence) • Accessible and clear code of conduct, guidance and advice • Integrity checking at recruitment and internal appointment where appropriate. Tax administrations should exercise greater robustness in assessing individual integrity, and identify those high-risk posts where a higher level is required. HR&L Conduct, Discipline & Grievance - 12-07-06

  22. How to maintain integrity (cont.) • Induction and probation arrangements and procedures • Training and continuous professional development. Tax administrations should secure the proactive capacity to maintain integrity and high professional standards • Performance management (including the regular assessment of performance and behaviour) • Tax administrations should embrace more closely a culture of confidentiality, whilst freely sharing information with partnership agencies in compliance with legislation HR&L Conduct, Discipline & Grievance - 12-07-06

  23. How to maintain integrity (cont.) • Monitoring and maintaining integrity • Procedures for reporting/raising concerns, including internal grievances and “whistleblowing”. Chief officers should create and sustain a regime that is seen by all staff to support them if they have a concern about integrity as it affects them, their colleagues or the public • Criminal and discipline referral policies and procedures • Governance and effective internal investigation arrangements HR&L Conduct, Discipline & Grievance - 12-07-06

  24. Summary and Conclusion • Integrity is important for maintaining public, political, social, economic and organisational confidence – public confidence is key • Integrity is the core value for tax administrators • The integrity code and values must be “manifest” (i.e. clear, obvious, visible) and evident to tax administration staff and to the public • Strong integrity culture is necessary • A small number of individuals can damage the reputation of the many HR&L Conduct, Discipline & Grievance - 12-07-06

  25. Summary and Conclusion (cont.) • Effective management is vital for integrity to be maintained and improved • Monitor and measure integrity performance and address any shortcomings • Maintaining integrity can be a narrow line – the difference between getting it right and doing it wrong can be narrow one • Tax accountability requires good governance; good governance requires integrity HR&L Conduct, Discipline & Grievance - 12-07-06

  26. Thank You

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