Procurement Assurance Model: Assurance assessment and investigation information guide

In addition to any specific items mentioned elsewhere within this Code, suppliers must comply with all relevant legislation, policies, standards and contractual commitments, for example the Disability Discrimination Act 1992 (Cwlth).

A supplier's regulatory history will be assessed in relation to their adherence to the Code.

Suppliers may further be required to provide information demonstrating their adherence to obligations they hold under legislation, policies, or standards (e.g. the National Association of Testing Authorities [NATA] or International Organization for Standardisation [ISO]).

This may include licences, accreditations, or similar requirements that a supplier must hold as part of a supply arrangement or contract.

You must ensure that all conflicts of interest (whether actual, reasonably perceived or that could arise in future) are disclosed as soon as possible. This disclosure must occur during all stages of the procurement process when a conflict of interest arises, including when selecting suppliers (e.g. conducting a tender process). In addition, suppliers should submit a copy of their conflicts of interest policy where they have one.

Suppliers may be asked to provide information that describes how they manage conflicts of interest. This includes showing that all disclosures are made and appropriately managed in line with the Code.

Examples of documents that may be provided to show how a supplier is managing conflict of interests include, but are not limited to:

• conflict of interest policy
• documented process to manage conflicts of interest
• examples of any identified conflicts of interest which show the process followed including examples of disclosures reports.

A practical approach must be taken to implement appropriate cybersecurity and privacy practices in order to ensure information is safeguarded and services continue to operate.

Suppliers may be asked to demonstrate their practical approach to cybersecurity and provide evidence of measures taken to safeguard information and ensure service continuity.

Examples of documents that may be produced to demonstrate this include, but are not limited to:

• information management and data governance policies, including cybersecurity measures and evidence of implementation, to ensure the secure storage and restricted access of all confidential business, product, and personal information
• internal security audit records
• cyber security risk assessments.

You should encourage innovation and competition and must not act in a manner which involves a misuse of your market power or would be otherwise improper (e.g. collusive arrangements). This includes not procuring or selling dumped goods.

A supplier's regulatory history will be assessed in relation to their adherence to the Code.

If a supplier is found by a regulator to have procured or sold dumped goods, or misused market power, they may be required to provide evidence showing these issues have been addressed in their business operations.

Examples of documents they may asked to produce to demonstrate include but are not limited to:

• Code of Conduct policy
• internal policies on ethical sourcing and procurement practices (e.g. design sourcing strategies that act as tools to deter and disrupt cartel behaviour, such as collusion)
• supplier and partner agreements
• anti-collusion safeguards.

You are expected to respect the ethical and code of conduct requirements that our employees need to meet and not engage in actions which run counter to these obligations. You must not try to influence decision making through the use of inducements (e.g. offering gifts and benefits). Your conduct should recognise the expected integrity and accountability of our employees.

If as part of an assessment a supplier is found to have attempted to influence decision-making, the supplier may be asked to provide information or documents in relation this and, if applicable, how this issue has been addressed in their business operations.

Examples of documents that may be provided include, but are not limited to:

• Code of Conduct policy
• ethical behaviour policies
• tendering policies
• stakeholder engagement policies
• staff training and development.

Information on how any identified matters have been managed in line with the policies, if applicable.

We want to do business with suppliers that offer payment terms to subcontractors that are no less favourable than those provided to you by the Queensland Government (unless otherwise mutually agreed with the subcontractor). This also includes meeting project and retention trust account requirements under the Building Industry Fairness (Security of Payment) Act 2017 where applicable.

A supplier's regulatory history will be assessed in relation to their adherence to the Code.

If a regulator has identified a breach of relevant legislation or contracted subcontractor payment terms have not been met, the supplier may be asked to provide information or documents in relation to this issue and, if applicable, how this issue has been addressed in their business operations.

Examples of documents that relate include, but are not limited to:

• contract and subcontracts (including details of payment terms and specified communication channels between parties)
• payment agreements/terms (e.g. regular communication with subcontractors occurs to enable payment claims and payment schedules to be processed on time and in full)
• payment schedule records
• retention and securities arrangements
• system developed to ensure compliance with establishment and maintenance of Project Bank Accounts, both as a primary contractor and for sub-contractors (if applicable).

Suppliers must comply with all workplace health and safety laws and regulations and must also regularly manage and review workplace hazards and provide any required training to your employees. This includes proactively engaging with employees and industry bodies.

A supplier's regulatory history will be assessed in relation to their adherence to the Code.

Suppliers will be asked to provide information or documents that demonstrates their commitment to meeting their duties and obligations to workplace health and safety included in the Code.

Examples of documents may meet this requirement include, but are not limited to:

• WHS policies and procedures
• risk management and hazard control documents
• training and competency documents
• incident and injury management documents
• relevant accreditation and certification documents.

You must respect every worker's workplace rights and entitlements and ensure compliance with all relevant workplace laws, regulations and instruments. This includes properly paying employees, giving them their entitlements, not discriminating unlawfully, and committing to workplaces free of harassment.

This includes recognising the right of employees to be members or choose not to be members of trade unions.

Suppliers are expected show that they meet their obligations to workplace laws, regulations, and instruments as well as ensuring their workplaces are free from all forms of discrimination and harassment.

Examples of documents that may be produced to show that suppliers are treating their employees fairly include, but are not limited to:

• industrial instruments, such as modern award or registered enterprise agreements, for the workforce engaged on a contract
• methods of engagement, including employment contracts or employee letters of engagement, which outline terms and conditions of employment and other required information (e.g. employee classification, pay rates)
• records such as timesheets, pay advice, payroll reports, documentation showing timely payment of wages, superannuation and other provisions as required
• established policies that prohibit any form of discrimination.

You must make all reasonable efforts to ensure that businesses within your supply chain are not benefiting from, engaged in or complicit with, human rights exploitations such as forced or child labour, coercion, or any type of modern slavery practice as defined in the Modern Slavery Act 2018 (Cwlth). This includes conducting appropriate risk assessments and managing identified risks in vulnerable industries (such as textiles, clothing and footwear), and where relevant, establishing policies and practices that address supply chain risks of modern slavery and other human rights exploitation.

Suppliers must take reasonable efforts to ensure that businesses in their supply chain are not benefitting from human rights violations such as forced or child labour, coercion, or modern slavery, as outlined in the Modern Slavery Act 2018 (Cwlth).

The following are examples of, but not limited to, information or documents a supplier may be asked to produce that demonstrates their reasonable efforts:

• A policy, with evidence of practical implementation, demonstrating how the supplier ensures they and their supply chain actively address, prevent, and avoid benefiting from human rights violations or modern slavery.
• Employment contracts and agreements with clear terms and working conditions.
• Recruitment initiatives and records (e.g. documents that show suppliers cover all recruitment fees and expenses, including agency fees).
• Complaint management systems available to all employees.
• Communication and/or training on addressing human rights and modern slavery issues, including how concerns should be raised and resolved.