Code of conduct and ethics

Purpose

The purpose of the NSW Independent Casino Commission (NICC) Code of Conduct is to outline the values, principles and standards of behaviour expected of NICC Commissioners (the NICC), staff of the Office of the NICC (ONICC) and contractors employed directly by the NICC.

This Code of Conduct does not extend to staff employed by Liquor & Gaming NSW (L&GNSW), who make decisions under the delegation of the NICC. These delegates act pursuant to the department’s own Code of Conduct.

Introduction

The NICC is a statutory decision maker under the Casino Control Act 1992 (the Act) The role of the NICC is to provide visible and robust regulatory oversight of NSW's two casinos and to make fair and transparent decisions under the Act.

The NICC has functions under casino legislation relating to:

• determining licensing proposals for casinos and casino special employees
• determining disciplinary action to be taken against licensees and close associates
• reviewing certain delegated decisions made on the NICC's behalf by L&GNSW.

In undertaking these statutory functions, commissioners of the NICC must:

• promote fair and transparent decision making
• deal with matters in an informal and expeditious manner
• engender public confidence in its decision making and the conduct of its members.

The Office of the NICC (ONICC) is an administrative office that supports the NICC to carry out its regulatory objectives. While it is part of the NICC, the ONICC does not share all of the obligations that are legislatively imposed on NICC Commissioners.

Principles of conduct

The NICC and ONICC must uphold certain standards of conduct and ethics to maintain public confidence and trust. Public confidence means that the public has the right to expect the NICC and ONICC will demonstrate the highest standards of integrity and competence, treating all citizens fairly, reasonably and equitably.

Personal and professional behaviour

The NICC and ONICC require a clear understanding of their public duties and legal responsibilities and must act for the proper purpose without exceeding their powers or delegations. Both the NICC and ONICC must perform their functions within the relevant statutory powers or legal obligations assigned to their roles.

In carrying out their functions, the NICC and ONICC must act with integrity, impartiality, honesty, conscientiousness, care, skill, diligence, and loyalty to the public interest.

Duties and obligations

The NICC and ONICC:

• have a duty to use care and diligence in fulfilling the functions of office and exercising the powers attached to their position
• have an obligation to be independent in judgement and actions and to take all reasonable steps to be satisfied as to the soundness of all decisions taken by NICC
• should act lawfully, honestly, in good faith and in the best interests of the NICC as a whole
• should not make improper use of information acquired in their role
• should not take improper advantage of their position
• must manage any conflict with the interests
• must not engage in conduct likely to bring discredit to the NICC
• have an obligation to comply with relevant legislation and with the principles of this Code.

An outline of the operational procedures of the NICC is provided in the NICC Charter.

Accountability

The nature of the NICC’s work requires a high standard of accountability, transparency, and fairness.

Public expenditure

NICC and ONICC members must be fiscally responsible, focusing on the efficient and responsible expenditure of the casino supervisory fund and any public monies it has access to in accordance with legislation and NSW Government policies and guidelines concerning financial, asset management and procurement requirements. ONICC staff must refer to the NICC Regulatory Delegations Manual and applicable spending limits in accordance with their role classification.

Decision making

Decisions of the NICC must be made in accordance with applicable legislation under which the NICC has functions, as well as the NICC Charter and NSW Government policy and guidelines. Decisions and outcomes must be in the public interest and be able to withstand public scrutiny. NICC commissioners should attend all meetings of the NICC as far as is possible and allow the necessary time to prepare for meetings. Decisions, reasons for those decisions and NICC processes must be documented, and minutes of all official meetings prepared and retained as official records.

Use of public resources

Under a memorandum of understanding, the Department of Enterprise Investment and Trade (DEIT) may provide equipment and other resources for the NICC to perform its functions. All such resources are to be used for NICC work only and in accordance with any guidelines or rules about those resources. The scope of these services is documented in the NSW Department of Enterprise Investment and Trade and NSW Independent Casino Commission Memorandum of Understanding.

Use of official information

The NICC and ONICC must not disclose official information or documents acquired through their roles, other than as required by law, or when given proper authority to do so. NICC and ONICC members, as individual members of the community, have the right to make public comment and enter public debate on political and social issues. However, there are some circumstances in which this is inappropriate. For example, situations when the public comment, although made in a private capacity, may appear to be an official comment on behalf of the NICC. In such circumstances, the individual should preface their remarks with a comment that they are made in a private capacity and do not represent the views of the NICC.

Site visit register

NICC and ONICC members must record their visits to The Star and Crown Sydney in the NICC’s site visit register for visits in both private and official capacities. The NICC and ONICC are permitted to visit any premises in the casino environs, such as licensed bars and restaurants, but may not engage in gambling activities on the gaming floor. In accordance with the Act, the NICC is responsible for regulating both liquor and gaming within the defined casino environs. The NICC and ONICC are to conduct themselves with integrity and mindfulness of the NICC’s position as a trusted and responsible regulator, when attending any casino venue.

Responsibilities

At all times, the NICC and ONICC must comply with the following responsibilities:

• Refrain from engaging in or contributing to communications that bring the NICC and/or its wider departmental agencies into disrepute or are illegal, unethical, defamatory, or potentially defamatory.
• Obtain permission from Chief Commissioner and inform the Manager Communications and Digital before agreeing to external facing representation of the NICC (unless you are the director of the Office of the NICC or the Chief Commissioner).

This includes (but is not limited to):

• speaking at external events such as webinars and conferences
• secondary stakeholder endorsement of organisations, services, or products through any communication channel, including marketing and social media.

Media relations

The NICC and ONICC should read and comply with the internal NICC Media and Communications Procedures within the Ways of Working framework and contact the NICC Manager Communications and Digital if they are approached by media for comment or are unsure about media or social media engagement.

Media enquiries

The Manager Communications and Digital is the only member authorised to liaise directly with the minister's media advisors and the media (except for staff conducting approved interviews). This is important to ensure enquiries are dealt with efficiently, responses are consistent, and the NICC and ONICC are protected by having one specialist member managing media enquiries coming into and going out of the NICC. From time-to-time the NICC or ONICC may be approached by media asking for information about a project or policy. This can be over the phone, via email or in person, particularly at events. All media enquiries should be directed to the Manager Communications and Digital.

Events and conferences

NICC and ONICC members who are invited to attend or address a public forum or community meeting in their capacity as NICC representatives, should seek the authorisation of the Chief Commissioner when accepting such invitations and before preparing speech notes. Subject to the right to make public comment as outlined in 5.4 Use of official information, NICC and ONICC members should refrain from making statements that have the potential to undermine the impartiality, independence and integrity of the work undertaken by the NICC or cause the NICC undue public criticism.

Gifts and benefits

Section 150 of the Act applies to NICC members. It states that it is an offence for NICC members to corruptly ask for or receive, directly or indirectly, any money, property or benefit of any kind to influence or affect the exercise of their functions (emphasis added).

Accepting a gift or benefit may create a sense of obligation that could compromise impartial and honest decision making. Acceptance or giving of any gifts and benefits may also impact the public perception of the integrity and independence of the NICC, and in some instances can be considered corrupt conduct.

The NICC and ONICC must not accept, offer, or receive monetary gifts of any value, or benefits intended to sway partiality in the course of their duties.

Acceptable circumstances

It is important that the acceptance of a gift does not influence or is not seen to influence NICC decision making. Gifts of nominal value may only be accepted if it is not intended to influence the members public duty; it is an act of gratitude or courtesy; and the NICC or ONICC member is satisfied that their position will not in any way be compromised or appear to be compromised by acceptance.

For example, hospitality that is low-risk or of nominal value may be accepted in limited circumstances where the member is satisfied that their position will not in any way be compromised or appear to be compromised by acceptance. Where there is doubt about whether to accept hospitality, members should always err on the side of caution and decline the hospitality.

Generally, token gifts and benefits may include:

• Free or subsidised meals, beverages, or refreshments in conjunction with:
  • discussion of matters before the Commission
  • conferences
  • social functions organised by groups
  • invitations and attendance at local social, cultural, and sporting events.
• Ties, scarves, coasters, tie pins, diaries, chocolates, or flowers.

Recognising and managing conflicts of interest

NICC and ONICC members are appointed for their expertise and skill in particular areas. Because of their expertise in these areas there may be the potential for conflicts of interest to arise between a member's duties to the NICC, and his or her other interests (or the duties or interests of others). It is recognised that there are risks associated with the regulation of the liquor and gaming industries and anticipated that from time-to-time conflicts of interest will arise for NICC and ONICC members.

A conflict of interest may arise for example from:

• other directorships or employment
• professional and business interests and associations
• investment interests
• family relationships
• personal relationships.

Recognising conflicts of interest

In accordance with Part 2, clause 9 of the Act, NICC members must disclose any direct or indirect pecuniary interest in relation to any matter that is being or may be considered by the NICC. Conflicts of interest are considered relevant if they may raise a perceived, potential or actual conflict of interest in their performance of their duties as a NICC member. NICC members must also disclose non-pecuniary interests that may prejudice decision making. Conflicts of interest are considered relevant if they may raise a perceived, potential or actual conflict of interest in their performance of their duties as a member of the NICC.

Pecuniary interests are those where there is a likelihood or expectation of significant financial gain or loss. Non-pecuniary interests are those where there is an interest based on a personal relationship, association membership, society or trade union involvement. For example, a NICC member may be related to a CEO of an organisation being considered for consultancy work with the NICC.

Managing conflicts of interest

To identify and manage conflicts of interest in relation to matters before the NICC, meetings will include a standard agenda item, and both NICC and ONICC members will be requested to declare any conflicts of interest.  

At any other time that an issue arises, the NICC and ONICC must as soon as possible after the relevant facts have come to their knowledge, disclose full and accurate details of the interest or issue to the NICC. 

Where a conflict is disclosed, NICC and ONICC members will not be present during any deliberation of the NICC in relation to the matter and NICC members will not take part in a decision of the NICC in relation to the matter unless the NICC determines otherwise in the absence of the member. The NICC may further agree on the most appropriate way to manage the conflict which can include:

• Divestment of the interest/issue that is creating the conflict, for example the sale of shares.
• Severing the connection, for example resignation from a position in another organisation giving rise to the conflict.
• Resignation of the member from the board or committee.

Declarations

Disclosure of gifts and benefits

NICC and ONICC members must complete a Gifts and Benefits Declaration form within seven days of receiving or being offered a gift or benefit and forward the declaration with any applicable attachments to the ONICC to record on the Gifts and Benefits Register.

Disclosure of pecuniary and non-pecuniary conflicts of interest

Before appointment to the NICC, NICC and ONICC members must complete a pecuniary and non-pecuniary conflict of interest declaration in the form set out in the NSW Government Boards and Committees Guidelines. Declarations must be updated as necessary throughout the course of their employment, to reflect any changes or new conflicts that arise. Completed declarations are retained by the ONICC and available to the minister as requested.

Disclosures made by NICC members regarding matters before the NICC, will be recorded in meeting minutes, as well as recorded in a (digital) register kept for that purpose. The register is available for inspection upon application by any person and payment of a fee determined by the NICC.

Serious wrongdoing in the public sector

The NICC encourages its members and ONICC members to speak up if they witness conduct in breach of the Act and Code as well as conduct that constitutes serious wrongdoing. The NICC welcomes open and honest discussions about what serious wrongdoing entails and endeavors to provide a culture where the NICC and ONICC can confidently and confidentially speak up.

Public interest disclosures (PIDs) are protected under the Public Interest Disclosures Act 2022 (PID Act). The NICC has a process for receiving and handling PIDs and for protecting public officials who speak up. For more information read the NICC PID Policy and Procedure.

All NICC and ONICC members must:

• report suspected serious wrongdoing or other misconduct
• use their best endeavours to assist in an investigation of serious wrongdoing if asked to do so by a person dealing with a voluntary PID on behalf of the NICC
• treat any person dealing with or investigating reports of serious wrongdoing with respect.

Serious wrongdoing

Serious wrongdoing can include:

• corrupt conduct — such as a public official accepting a bribe
• serious maladministration — such as an agency systemically failing to comply with proper recruitment processes when hiring staff
• a government information contravention — such as destroying, concealing or altering records to prevent them from being released under a Government Information Public Access application
• a local government pecuniary interest contravention — such as a senior council staff member recommending a family member for a council contract and not declaring the relationship
• a privacy contravention — such as unlawfully accessing a person’s personal information on an agency’s database
• a serious and substantial waste of public money — such as an agency not following a competitive tendering process when contracting with entities to undertake government work.

Reporting serious wrongdoing

NICC and ONICC members can confidentially report concerns about suspected serious wrongdoing in the NICC or any public service agency, to their manager, a NICC disclosure officer, the NICC Chief Commissioner, the head of any agency, or a minister (via a letter). NICC and ONICC members can also report serious wrongdoing directly to an integrity agency:

• NSW Ombudsman’s Office (maladministration)
• the Independent Commission Against Corruption (corrupt conduct)
• the NSW Information and Privacy Commission (government information contravention)
• the Audit Office (serious and substantial waste)
• Office of Local Government (local government entities or staff)
• the Law Enforcement Conduct Commission (reports involving NSW Police)

• NICC and ONICC members must not take detrimental action against any person who has made, may in the future make, or is suspected of having made, a PID. Where a report is received by the NICC’s disclosure officers, the officer will assess the information and identify whether the report is a voluntary PID or another type of disclosure. If the report is not a voluntary PID, it will be dealt with in a manner consistent with the NICC’s complaints or grievance handling process or through an alternative process.

Protecting PID makers and others

The NICC will not disclose identifying information unless it is necessary and authorised under the PID Act. The NICC does not tolerate detrimental action being taken by any person against a person who has made a PID, investigators, witnesses or the person the report is about.

Corrective action

If, after an investigation, serious wrongdoing or other misconduct has occurred, the NICC will take the most appropriate corrective action to address that wrongdoing or misconduct.

Lobbying

NICC and ONICC members must comply with the NSW Government Lobbyist Code of Conduct, as published on the Department of Premier and Cabinet's website under M2019-02-NSW Premier's Memorandum. This code regulates contact between registered lobbyists and government representatives and restricts the circumstances in which a lobbyist can be appointed to a NSW Government board or committee.

Diversity and inclusion

The NICC and ONICC must treat members of the public and their colleagues with respect, fairness and consistence, with proper regard to their rights and obligations. NICC and ONICC members must not harass or discriminate against their colleagues or members of the public on the grounds of sex, marital status, race, colour, nationality, ethnic or national origin, ethno-religious identity, descent, age, disability, homosexuality, transsexuality, or carer’s responsibilities. Such harassment or discrimination may constitute an offence under the Anti-Discrimination Act 1977. In addition, NICC and ONICC members must not harass or discriminate on the grounds of political conviction.

Records management and information

The NICC and ONICC must comply with record management obligations. The ONICC has responsibility for creating and maintaining full and accurate records of the activities, decisions, and other business transactions of the NICC. In accordance with the NSW Digital Government Strategy, the ONICC will prioritise digital storage where appropriate and ensure all records are maintained in accordance with relevant system requirements.

Protecting and using information

The NICC collects information for a variety of purposes, to enforce the legislation. This information is used and stored in accordance with the State Records Act 1988 and Department of Enterprise Investment and Trade (DEIT) Information Security Policy. NICC and ONICC members must:

• protect confidential information
• only release confidential information if authorised
• only use confidential information for the purpose intended
• not use confidential information for the purpose of securing a private benefit
• not use confidential information with the intention to cause harm or detriment to any person, body or the NICC
• not disclose information discussed during an in-session meeting.

When dealing with personal information, the NICC and ONICC must comply with the Privacy and Personal Information Protection Act 1998. The NICC meets these obligations through the DEIT Privacy Plan.

Breaches of the Code

As the regulator of a high-risk industry, the NICC must model openness, honesty, and accountability. NICC and ONICC members are thus supported to speak up if they have breached the Code or observed a potential breach by a colleague.

Monitoring compliance and reporting

To foster understanding of and compliance with the Code, the NICC will initiate regular and robust discussions of the matters therein and ensure the Code is updated as necessary to reflect practical situations and scenarios. The NICC’s day to day procedures are formalised in the NICC Charter and the ONICC Ways of Working documents to ensure oversight and transparency of the roles and activities of the NICC. The NICC’s utilisation of committees further aids in frank and fearless decision making and provides certainty that due process has been followed, with members encouraged to hold one another to account.

The NICC and ONICC can confidentially report breaches and suspected breaches of the Code to the Chief Commissioner or Director, ONICC. Breaches of the Code are treated seriously and may result in disciplinary action, performance management or termination of employment.

Review of the Code

The Office of the NICC will coordinate a review of the Code of Conduct on an annual basis and ad hoc, as needed.

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