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Statement of Business Ethics

Introduction by Director General

Dealings between NSW Transport and Infrastructure (NSWTI) and the private sector must be undertaken with the highest ethical standards, transparency and integrity so as to enhance public confidence in doing business with the NSW Government. These ethical standards are an integral part of sound commercial practices.

This Statement of Business Ethics sets out the appropriate standards for conducting business with NSWTI. It provides guidelines on what to expect from NSWTI and explains the mutual obligations, roles and constraints of all parties involved in the business partnership.

All individuals and organisations that deal with NSWTI are to adopt these standards of ethical behaviour. The standards comply with NSW Government guidelines for procurement, contracting and market testing. All contractors must also ensure that sub-contractors adhere to the principles set out in this Statement.

NSWTI is committed to promoting fairness, ethical conduct and accountability in all areas of our operations.

Les Wielinga
Director General
September 2009

Our business principles

NSWTI expects its permanent, part-time and contract staff to behave ethically and comply with its Code of Conduct and this Statement of Business Ethics.

The four key business principles that form the basis of NSWTI business agreements include:

  • Best value for public money
  • Impartiality through all stages and processes
  • Fairness, and
  • Effective communication.

These key business principles enable suppliers to promote their interests effectively but avoid unproductive and potentially questionable activities. All potential providers of goods and services are subject to the same ethical operating environment and must comply with this Statement. These four key business principles are discussed below.

Principle 1: Best value for money

Best value for money is determined by considering the impact of factors such as quality, reliability, timeliness, service, initial and ongoing costs. It does not necessarily mean 'lowest price'.

Procurement processes should be structured to minimise costs for all parties consistent with the standards of behaviour required by this Statement of Business Ethics.

Principle 2: Impartiality

Impartiality means being objective and even-handed. For example, an impartial person will objectively establish the criteria for determining best value for money and then assess each bid against these criteria.

Principle 3: Fairness

Fairness overlaps with impartiality in the sense of being even-handed, unbiased and reasonable. Conditions of tendering must be the same for each tenderer on any particular tender. All requirements must be clearly specified in the tender documents and criteria for evaluation must be clearly indicated.

Principle 4: Ethical communication

All communication should be clear, direct and accountable and respectful to all parties including adherence to relevant intellectual property and confidentiality requirements.

Relationship to the Code of conduct

The NSWTI Code of Conduct also sets out the following key principles, with which all staff are expected to comply:

  1. Responsibility to the Government of the day
  2. Respect for people
  3. Integrity and public interest
  4. Responsive service
  5. Economy and efficiency
  6. Ethical decision making
  7. Avoidance of conflicts of interest
  8. Fairness and equity, and
  9. Protection of confidential information.

NSWTI requires its staff and contractors to:

  • Comply with NSWTI and other government policies and procedures (http://www.dpc.nsw.gov.au/)
  • Act at all times with due care and diligence
  • Conform to all legal obligations
  • Show fairness in their treatment of all individuals or organisations that supply goods or services, this includes conducting all tendering processes with honesty and fairness at all levels
  • Encourage fair and open competition while seeking value for money
  • Minimise costs to suppliers participating in the procurement process
  • Protect commercial-in-confidence information
  • Deal honestly with suppliers and pay accounts on time
  • Be accountable and act in the public interest
  • Avoid situations where private interests conflict with public duty and declare any conflict of interest as soon as it becomes known
  • Not solicit or accept financial or other benefits from a supplier for performing official duties
  • Respond to reasonable requests for advice and information without delay
  • Behave as a model litigant in the event that a genuine dispute and litigation arises
  • Where suppliers to NSWTI assign or sub-contract their obligations to other suppliers or sub-contractors, it is expected that the relevant contractors and/or subcontractors will be made aware of and will comply with the Statement of Business Ethics.

What NSWTI expects of its business partners:

  • Act ethically, fairly and honestly in all dealings
  • Respect the conditions and requirements stated in documents supplied by NSWTI
  • Present full and concise information
  • Comply with any codes of tendering, procurement and practice that apply
  • Respect the obligation of staff to comply with government policies, including the requirement to act in accordance with this statement
  • Act with integrity, accountability and transparency and in accordance with relevant legislation
  • Ensure privileged or confidential information, such as commercial-in-confidence information is not released without prior authorisation
  • Maintain confidentiality, including consulting with NSWTI prior to discussing business dealings with the media
  • Respond to reasonable requests for advice and information
  • Ensure that NSWTI staff and contractors are not offered any financial or other inducements which may lead to, or be seen as leading to, gaining an unfair advantage in dealings with NSWTI
  • Comply with NSWTI's post separation employment guidelines
  • Maintain business relationships based on open and effective communication, respect and trust and adopt where appropriate a non-adverserial approach to dispute resolution.

Why is compliance important?

If all parties comply with this Statement good ethical practice can be achieved in daily business dealings leading to additional confidence in NSWTI.

This Statement also highlights that when engaged by NSWTI contractors and consultants are subject to ICAC's jurisdiction and are within the term "public official" for the purposes of the Independent Commission Against Corruption (ICAC) Act 1988.

Confidentiality and intellectual property rights

Confidential information is information disclosed by NSWTI during the term of the engagement or during contractual negotiations or of which the recipient becomes aware during the engagement. It does not include information that can be proved to be in the public domain.

Official information must only be used for the work-related purpose intended and not for personal benefit. Unless authorised to do so by legislation, staff must make sure that they do not disclose or use any confidential information without official approval.

Unauthorised disclosures may cause harm to individuals or give an individual or an organisation an improper advantage.

Staff must only provide facts, not personal opinion about official policy and practices. If information is requested under the Freedom of Information Act 1989, the request is to be referred to their Supervisor / Manager. Staff may have to prepare the information, but it must not be released directly by that staff member.

As a general rule, staff are to only provide information to the public or other organisations if it is a specific requirement of the job.

Incentives

NSWTI staff should not accept a gift, invitation or benefit that is intended to, or is likely to, cause them to act in a partial manner in the course of their duties. If staff believe that they have been offered a bribe, favour, gift, invitation or benefit they must advise their Director. The Fraud and Corruption Prevention Strategy indicates that any fraud or corruption attempts or plans to commit fraud and corruption must be reported.

Protected disclosures

Disclosures about corrupt conduct, maladministration or waste of public funds are protected under the Protected Disclosures Act 1994.

Persons who report unethical behaviour that is conduct covered by this Act can seek protection from any reprisal or detrimental action.

Further assistance

If you require any further information about this Statement or are concerned about a possible breach of this Statement please contact:

Manager, Business Strategy and Reporting
NSW Transport and Infrastructure
Level 21, 227 Elizabeth Street
Sydney NSW 2000
Telephone: (02) 9268 2223
Fax: (02) 9268 2892
Email: wendy.barrett@transport.nsw.gov.au