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Code of conduct

Self-evaluation

Commissioner’s Instruction No. 8 – Codes of conduct and integrity training (CI No. 8) requires all public sector bodies to develop, implement and promote a code of conduct and ensure compliance with that code.A well-developed code of conduct will facilitate accountable and ethical decision making by providing clear guidance on the expected, minimum standards of workplace conduct. It can also provide a framework by which any breaches can be identified and an understanding of the code’s requirements enforced.This resource is a self-evaluation tool to assist public sector bodies when developing or reviewing their code of conduct. Read it in conjunction with the Commission’s Conduct guide – Developing a code of conduct.

The Commission gratefully acknowledges the Independent Commission Against Corruption, New South Wales, in the development of this resource.

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Evaluation criteria Good practice context and references Criterion is… (tick) Comments

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IMPORTANT CONSIDERATIONS – In developing or reviewing the code have you…

considered the Public Sector Commission’s Conduct guide – Developing a code of conduct?

The Conduct guide – Developing a code of conduct (‘Conduct guide’) assists public sector bodies to develop, implement and promote their code of conduct in accordance with CI No. 8.

ensured the code is consistent with current legislative and regulatory obligations?

Ensure the code is consistent with the Public Sector Management Act 1994 (particularly sections 7, 8 and 9), your public sector body’s enabling legislation (if any) and other relevant legislation.

Regulatory obligations include Commissioner’s Instructions, Premier’s Circulars, Public Sector Commissioner’s Circulars and Treasurer’s Instructions. Further information can be found in section three of the Conduct guide.

considered your public sector body’s role, responsibilities, practices and activities to identify your risks?

In tailoring the code, focus on identified risk areas to increase its relevance and effectiveness. CI No. 8 provides that the code’s conduct requirements are identified through a risk assessment.

Considerations may include:

Is there a likelihood conflicts of interest may be

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prevalent for decision makers?

Does your public sector body manage a large budget or regularly run large procurement processes, or award contracts or licenses?

Is there a likelihood employees may be offered, or need to provide gifts, benefits or hospitality?

Are the decisions of your public sector body subject to strong stakeholder, public or media scrutiny?

IMPORTANT CONSIDERATIONS – In developing or reviewing the code have you…

included information from your consultations and research?

In tailoring the code, consult with employees to understand the ethical issues that affect them in their daily work and consider any other relevant information.

road-tested the code to ensure it provides enough guidance to employees?

Have employees across your public sector body review the code to ensure it is useful and relevant, and that it gives enough guidance to help them make decisions. A road-test may also identify any conduct issues the code does not address.

had the code endorsed by your

Ensure the code proceeds through all approval channels,

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Corporate Executive? including your Corporate Executive.

CONTENT – Does the code…

have an overarching or welcome statement from your CEO endorsing the code?

Support from senior management is important to a code’s success. The code should be practised and promoted by management as an example to other staff. A statement from your CEO will assist to demonstrate senior management value and promote the code.

include your public sector body’s values?

Everything in the code should link to your public sector body’s values, which usually relate to its specific work. These values must be consistent with Commissioner’s Instruction No. 7 – Code of Ethics and any other applicable legislation or whole of government requirements.


state the code’s objectives?

Objectives explain what a public sector body intends to achieve with its code. Link the objectives to expected outcomes so your public sector body can assess the code’s effectiveness and whether the objectives are being

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achieved.

The rest of the code should be consistent with these stated objectives.

explain to whom the code applies?

Under CI No. 8, the code must specify to whom it applies. Is it clear the code applies to all employees, including permanent, full time, part time, casual and fixed term contractors?

In some instances the code may also apply to other people, such as statutory office holders, temporary staff and board or committee members.

provide information about the need to comply with the code?

Explain why it is important that employees comply with the code as required by section 9 of the Public Sector Management Act 1994. The code sets the minimum, mandatory standards of conduct.

outline expected standards of conduct in relation to the seven conduct areas in CI No. 8?

Further information about the seven conduct areas can be found in the Conduct guide. They are:

1. Personal behaviour2. Communication and official information3. Fraudulent or corrupt behaviour4. Use of public resources5. Record keeping and use of information

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6. Conflicts of interest and gifts and benefits7. Reporting suspected breaches of the code


reflect the principles of Commissioner’s Instruction No. 7 – Code of Ethics?

CI No. 8 requires the code is consistent with the three principles of the Code of Ethics:

Personal integrity

Relationships with others

Accountability.

explain the mandatory nature of any policy or other document that prescribes conduct and is considered part of the code?

Under CI No. 8, where a policy or other document, such as guidelines, is used to prescribe conduct requirements, the mandatory nature of such conduct must be explained within the code of conduct itself to become formally part of the code.

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reference legislation or other requirements either within the code or applicable policy or other document, such as guidelines?

Ensure employees are aware of all requirements relating to the code, and that further information about these requirements is easily accessible.

define key terms and acronyms?

Provide definitions for key terms and acronyms. Use terms consistently throughout the policy and supporting documents, and ensure they are consistent with any relevant statutory definitions.

include a decision making model to assist employees to make accountable and ethical decisions?

For example, the First Steps questions help employees to make appropriate decisions by asking themselves:

Am I doing the right thing? How would others judge my actions? How could my actions impact on others? Should I discuss this with someone else?


outline what may occur as a result of non-compliance with the code?

CI No. 8 requires the code to specify what may or will occur as a result of non-compliance. A good code will be enforceable, and expected behaviour will be clearly outlined so breaches can be identified. Your public sector

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body must deal with suspected breaches of the code if it is to be effective.

Sanctions can show that employees are accountable for their actions, and the consequences for non-compliance. How to manage a suspected breach of the code should also be provided in the code or a linked policy.

identify who employees can go to with questions about decision making or conduct issues?

Include contact details for people who are knowledgeable about the code and can answer any questions. For example, employees may want to speak with someone about a possible conflict of interest or if they are unsure of what to do in a certain situation.

STYLE – Does the code…

use a positive tone that doesn’t focus on non-compliance?

Avoid having a code that reads like a list of what not to do, or that focuses too heavily on compliance and discipline.If employees view the code as a set of rules, they may assume only those issues addressed in the code are of concern.

Use positive language and focus on positive actions, still remembering the code’s mandatory nature. For example, consider using ‘we will…’ or ‘we must…’ rather than ‘we will not…’ or ‘we must not…’ where possible.

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STYLE – Does the code…

use plain English? Avoid using bureaucratic language and jargon. Simplify language and remove words that do not add meaning. Reflect the composition of your workforce, including education levels.

use active and inclusive language to make it feel personal to the reader?

Use active language that is direct and assigns responsibility for actions (e.g. A will make B), rather than just stating an action will be done (e.g. B will be made).

Inclusive and gender-neutral language will also help to make the code feel more personal to employees. For example, consider words such as ‘we’ and ‘our’, and ‘they’ or ‘their’ instead of ‘his’, ‘him’ or ‘her’.

have an easy to read format to help find information or topic areas?

Consider headings so employees can easily find information in the code. Also ensure sections and statements are ordered in a logical sequence. For example, put broader principles before details and overarching rules before exceptions.

Use short sentences and paragraphs for good readability. Don’t try to include too much information. Consider

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creating a separate policy document, or another document such as guidelines, if you need to address some issues in detail.

COMMUNICATION

Have you considered how you will promote the code to employees and integrate it into other relevant documents?

Thorough implementation is important to the code’s success. Integrating the code into behaviour in the workplace involves communicating the code to all employees and providing guidance to ensure they understand it. Successfully integrating the code will also require ongoing promotion. Don’t rely on one-off communication or training.

Before you implement the code, identify and allocate any extra resources required. Also consider what your public sector body will need to do to integrate the code’s values in all other relevant documents.

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Is the code accessible to all employees?

Ensure employees know where they can access the code and it is available in hard copy and electronic format (e.g. on your public sector body’s intranet).

Will the code also be available to external stakeholders?

Your public sector body may consider publishing the code on its website.

Making the code available to external stakeholders, such as suppliers, clients and other members of the public can provide reassurance to the community that standards of conduct for employees are clear and will be upheld.

FUTURE REVIEWS – Does the code…

include a review date? Regularly reviewing and updating the code will ensure it continues to address current and emerging conduct risks.

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identify how and who will undertake the review and provide updates as required?

Designate a position or employee to review the code and outline the process for doing so, including key tasks. The code may also need to be reviewed and updated outside scheduled review dates, in response to:

new or amended legislation or subsidiary legislation changes to your public sector body’s or government

policy findings by integrity agencies that identify risk areas

the code does not address findings from reviews or feedback from employees complaints about how your public sector body

manages part or all of its functions.

identify who will maintain any links and ensure associated policies or other documents such as guidelines remain up to date?

Designate a position or employee to ensure other documents and links remain up to date.

Avoid including information that may quickly become outdated. For example, refer to individuals by title/role rather than name.

Avoid duplicating or repeating content across documents. Instead include links to relevant documents so any updates will only be needed for one document.

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