Standards Evidence Documents Moderation Criteria Level Department has no mechanism or Level 1 standard of providing/ communicating the Code of Conduct to employees Less than 25% of SMS members completed financial disclosures, these were signed by EA and submitted to PSC by due date Mechanism or standard of Moderators to Department has a mechanism or Level 2 providing Code of Conduct verify existence of standard of providing/ to employees-such as mechanism or communicating the Code of training and induction standard Conduct to employees programme PSC secondary At least 75% of SMS members Report that financial data to verify completed financial disclosures, disclosures have been submission of these were signed by EA and submitted to PSC SMS financial submitted to PSC on time (31 May disclosure of every year) Report confirming that new Moderators to Department provides all new Level 3 employees received Code of verify distribution employees with a Code of Conduct Conduct of Code of Department provides training on Conduct, and Attendance register of understanding and applying the training training conducted Code of Conduct. PSC secondary List showing number and All SMS members completed data to verify percentage of SMS financial submission of financial disclosures, these were disclosures submitted to SMS financial signed by EA and submitted to PSC PSC, and date of disclosures on time, and disciplinary action submission taken for non-compliance Verify that Report on disciplinary action disciplinary action for non-compliance has been taken for non-compliance Level 3 plus: Level 3 plus: Level 3 plus: Level 4 Document showing that Moderators to Department analyses financial analysis has been done and verify that actions disclosures, identifies potential kind of action taken to address specific conflicts of interests and takes risks emanating action to address these from the assessment of the disclosures are appropriate
Standards Evidence Documents Moderation Criteria Level Department has no mechanism or standard of providing/ communicating the Code of Conduct to employees Less than 25% of SMS members completed financial disclosures, these were signed by EA and submitted to PSC by due date Level 1 Department has a mechanism or standard of providing/ communicating the Code of Conduct to employees At least 75% of SMS members completed financial disclosures, these were signed by EA and submitted to PSC on time (31 May of every year) Mechanism or standard of providing Code of Conduct to employees-such as training and induction programme Report that financial disclosures have been submitted to PSC Moderators to verify existence of mechanism or standard PSC secondary data to verify submission of SMS financial disclosure Level 2 Department provides all new employees with a Code of Conduct Department provides training on understanding and applying the Code of Conduct. All SMS members completed financial disclosures, these were signed by EA and submitted to PSC on time, and disciplinary action taken for non-compliance Report confirming that new employees received Code of Conduct Attendance register of training conducted List showing number and percentage of SMS financial disclosures submitted to PSC, and date of submission Report on disciplinary action for non-compliance Moderators to verify distribution of Code of Conduct, and training PSC secondary data to verify submission of SMS financial disclosures Verify that disciplinary action has been taken for non-compliance Level 3 Level 3 plus: Department analyses financial disclosures, identifies potential conflicts of interests and takes action to address these Level 3 plus: Document showing that analysis has been done and kind of action taken Level 3 plus: Moderators to verify that actions to address specific risks emanating from the assessment of the disclosures are appropriate Level 4
ab_mpat_20112_results_report_20_july_2013_final.docx