Publications

Probity and Managing Procurement: how to avoid corrupting the process

Textbook. Hard Cover. ISBN9780409324075 Publisher: Lexis Nexis Butterworths Date November 2007 This textbook is somewhat unique as a reference text for professionals, including probity practitioners, lawyers, technical advisers, procurement practitioners, risk and compliance managers, and project managers. This work provides those exposed to procurement processes with the essential information to understand the statutory, policy, and good practice requirements of probity and ethics in both the public and private sectors. The book discusses the nature and role of probity consultants with respect to issues such as professional privilege, confidentiality, process integrity, conflict of interest, corruption, behaviour, transparency and access to information. Chapters include: – The ethics environment – Probity in government – Commercial probity – Conflict of interest – Ethical practices in tenders and contracts – Planning for probity in tenders and contracts – Probity services – Administrative law: its effect on the tendering process – International probity Source: http://www.lexisnexis.com.au It is a practical reference text, well-laced with case studies, legal case references. This publication can be obtained through the Publisher's approved book suppliers – search your browser on the title or ISBN – or through the Publisher's online website.

Probity Services Provider Handbook Edition 13

This handbook is the latest edition published in 2024. It is a primary reference for practitioners of probity services, procurement managers, legal advisers, and project managers to procurement projects. This edition updates legislation and policies in the Australian jurisdiction particularly to note the anti-corruption/ anti-trust authorities now established in the Commonwealth and across all Australian jurisdictions. It is comprehensively indexed, with detailed Contents and extensive Footnotes. It includes several Annexures including indicative examples of plans and procedures for probity processes, as well as several guides to good probity practice and probity risk management. The text is supported by hints, highlights, and case studies. In the absence of a standard for probity practice in Australia, it serves as an ideal and reliable reference and skills-development text.

Evaluation Methods Guide

Edition 5 27 pages A4 This is an essential guide to evaluation methods. It was developed by the Author in response to a low level of understanding by procurement staff and probity practitioners of options for evaluating tenders; and the interest by project and procurement staff in using more effective evaluation techniques to demonstrate best value for money. The booklet is commonly used on training and workshops for procurement, project, legal, and probity practitioners. It examines evaluation models, value methods, scoring methods, and weighting methods, including some examples of the effect of low-ball pricing, and spreadsheet screen shots.

Conflicts of Interest – a concise guide

This is a one page concise summary of what constitutes a conflict of interest.. The Guide is to provide users or readers with a fundamental understanding of conflicts of interest. This Guide is particularly useful in briefing individuals or groups and/or being used a a hand-out.

Guide for 1 to 10 scoring regimes

This is a Scoring Guide which has been found useful by many project evaluation teams to guide their score selections when differentiating scores on a 1 to 10 score regime.

Guide to content of Evaluation Plans

The content of this guide is drawn mostly from the Probity Practitioner Handbook; and is a list-based guide to persons preparing Evaluation Plans for procurement.

Paired Analysis Guide

Paired Analysis methods have been frequently been used in a wide range of assessment and selection processes. It is not so commonly used in procurement processes, but when used has been found to be a superior tool for both establishing Weightings for Evaluation/ Selection Criteria, and for evaluating tenders against the nominated criteria. It can be applied in two methods – a simple model, and a quantitative differentiation model. It is most useful to focus the evaluation to what really matters in setting priority weightings; and/or what really matters in comparative and merit assessment of tenders and tender selection.

Probity and Process Deed – Guide to probity issues

Projects, particularly those involving Relationship Contracting (Alliances, ECI), Managing Contractor tenders, and Public Private Partnerships should use a Probity Deed (aka Probity & Process Deed) at stages of the project where it is important to bind vendors to probity and integrity issues that arise or might arise. These Deeds are a legal document and legal professionals should prepare these documents. This guide lists the probity issues that should be considered and included as a minimum where they might apply in a Probity Deed.

Probity Briefing Checklist

Probity Advisers normally would provide a briefing to s project/ procurement Evaluation Panel prior to the commencement of any tender evaluation. The purpose is to ensure a common understanding if the probity and integrity requirements, and to heighten awareness of ethical standards and behaviour that should apply. The checklist also can be used for evaluation team members who are not directly briefed, to complete and sign, and return to the Project Manager prior to commencement of evaluation. Probity Auditors also might use the checklist as a basic audit guide.

Probity Guide to Business and Industry Functions

Project and procurement staff often attend or are invited by suppliers to attend business functions, such as social functions, conferences, and seminars, where they may be exposed to undue influence or other probity risks, particularly where projects and procurement are being planned, are imminent, or are underway. These business activities are a normal part of the course of business; however the timing and/ or purpose of such functions can present real or perceived probity and integrity issues. This is a guide to the related circumstances, particularly on how persons should conduct themselves when attending such activities.

Probity Guide to Referee Checks & Reference Site Checks

The conduct of Reference checks and reference site checks can expose a procurement process to probity risks. It is important that procurement and project staff involved in these activities well understand the probity risks and follow some basic probity protocols to ensure fairness and confidentiality. This is a guide to the conduct of Referee Checks and Reference Site Checks.

Probity Guide to Vendor Interviews, Presentations, & Demonstrations

Projects and procurement processes commonly call shortlisted tenders for an interview, presentation, or demonstration. These processes can lead to probity breaches if not managed sensitively and with attention to the integrity and ethical conduct. If mishandled, it can prejudice the procurement or project, perhaps critically. This is a practical guide that includes probity protocols, principles and confidentiality issues.

Procurement Planning Guide

This is a 2 page guide to assist procurement planning.

Project Site Visit Probity Guide

A Guide for Project Managers and Probity Practitioners to probity protocols for vendor site visits. Projects frequently conduct site visits for interested vendors whoc are prospective contractors for the project. The site visit is a forum where there is significant potential for probity breaches which could prejudice the integrity of a project. The guide provides information on probity protocols, confidentiality and strategies.

Vendor Debrief Guide (protected).pdf

It is good project and procurement practice to offer a debrief or feedback to unsuccessful tenders in a procurement process. The conduct of a debrief presents both legal and probity risks if not handles with integrity and with understanding the risks and implications. Feedback to unsuccessful suppliers is important not only to ensure good faith with the supply market and supplier development, but also for transparency and accountability. This guide provides protocols and strategies for the conduct of debriefing/ feedback sessions.

Vendor Site Visit Probity Statement

Project site visits can be an opportunity for vendors to exercise their marketing skills to their advantage, and if not effectively managed can result in breaches of probity, confidentiality, and fair dealing. When a project proposes to invite vendors to a site visit, it may be prudent to issue a probity statement to the vendor attendees to state the probity principles and probity expectations that will apply. This Guide provides such a statement. It is not intended to replace any Confidentiality Deed with the vendor representatives, which may be required as a legal undertaking; but rather established the probity environment that should apply.

Vendor Viability/ Due Diligence Checklist

A guide on due diligence checks on suppliers. This is a guide for procurement and probity practitioners on matter that should be condidered in a procurement and evaluation process to assess the commercial viability and risks that a supplier might present. Both corporate and government organisations have a responsibility to ensure that they do not do business with questionable or commercially risky suppliers; or if they do it is in full knowledge of the circumstances and the risks.