This chapter sets out how to report alleged misconduct and criminal offences (including Australian exterritorial offences) in the Department, elsewhere in the APS and by third parties. It also outlines and directs employees to the Department's policy on reporting and investigating public interest disclosures, which can be found on the intranet and on the Department's external website.

Employees should contact EES (conduct@dfat.gov.au) if they require clarification of the contents of this Manual or if they are uncertain about the ethical implications of a proposed course of action.

11.1 Reporting Alleged Misconduct in DFAT

All Employees

• Report alleged misconduct in the Department directly to EES; or
• Report it directly to another authorised persons - including HOM/HOP, CPO or your A-based supervisor

A-based supervisors

Refer any report of alleged misconduct directly to EES, HOM/HOP or CPO.

11.1.1 There is an obligation on all APS employees, LES employees and contractors to maintain the highest standards of conduct and ethical behaviour. We all have a responsibility to contribute to a positive workplace culture, which does not tolerate misconduct or unethical behaviour and encourages reporting of alleged misconduct in the Department promptly, should it occur.

11.1.2 It is important that reports of alleged misconduct in the Department are made discreetly and directed only to authorised persons. This is to ensure that:

• Any person against whom allegations of misconduct are made is treated fairly and their privacy protected; and
• Confidentiality is maintained and no unauthorised disclosure of official or personal information occurs in reporting the alleged misconduct.

11.1.3 The APS Code of Conduct and the LES Code of Conduct require employees to behave honestly and with integrity. The Department may decline to assess or investigate an allegation of misconduct which is clearly vexatious, false or malicious, or where the matter has already been the subject of a proper examination. Making knowingly false or malicious allegations of misconduct has the potential to undermine trust and morale in the workplace. Subject to the provisions of the Public Interest Disclosure Act, where applicable, disciplinary action under the relevant Code of Conduct may be taken against employees found to have made allegations of misconduct which are knowingly frivolous, false or malicious.

To Whom Should I Report Alleged Misconduct?

11.1.4 APS employees, LES employees and contractors in the Department should report alleged misconduct in the Department directly to the EES via the Reporting Suspected Internal Misconduct Form.

11.1.5 Where alleged misconduct may also constitute criminal or other unlawful behaviour, EES may refer the matter to relevant law enforcement authorities for assessment and possible investigation and prosecution. Employees can be assured any information provided to EES in good faith will be treated confidentially to the extent possible and in accordance with relevant Commonwealth legislation.

11.1.6 If for any reason it is not possible to report the alleged misconduct directly to EES, employees should direct allegations of misconduct to other authorised persons in the Department, including:

• Your manager/supervisor (either direct or indirect).
• The HOM/HOP or SAO for DFAT employees posted or travelling overseas and LES.
• Safe Space: safespace@dfat.gov.au +61 2 6178 4688(AEST). For out of hour emergencies contact Safe Space 24/7 line on +61 481 093 402 (also available via WhatsApp)
• A Work Health and Safety incident report, including in relation to psychosocial hazards, can be submitted to the Employee Health and Safety Section (EHS) incident management system.

11.1.7  If the matter relates to child abuse or exploitation, including allegations of child sex offences, please report the matter at first instance to Human and Environmental Safeguards Section (HMS) via childprotection@dfat.gov.au.

11.1.8 APS employees, LES employees and contractors may also directly report alleged criminal or other unlawful behaviour in the Department to relevant Australian law enforcement authorities.

11.2 Public Interest Disclosures in DFAT

All Employees

Report suspected wrongdoing to an authorised officer or your supervisor.

11.2.1 The Department is committed to the highest standards of ethical and accountable conduct. Public Officials (disclosers) who suspect wrongdoing within the Commonwealth public sector can raise their concerns under the Public Interest Disclosure Act 2013 (PID Act). The Department will act on disclosures as appropriate and protect disclosers from any reprisals or threats of reprisals as a result of making a disclosure.

11.2.2 Disclosures should be made to a supervisor or an Authorised Officer who is trained to receive public interest disclosures and can provide information on the process, and the protections given to disclosers under the PID Act. Under the PID Act, supervisors who receive public interest disclosure reports have specific obligations in dealing with disclosures. Supervisors play a key role in ensuring that the Department's workplace culture supports the making of public interest disclosures in a safe environment.

Supervisors also have the following obligations:

• Inform the discloser that their disclosure could be treated as an internal disclosure.
• Explain to the discloser the next steps in the PID process – referring their disclosure to an Authorised Officer, the potential allocation of the PID, and investigation of the PID.
• Advise the individual about the circumstances in which a PID must be referred to an agency, or other person or body, under another law of the Commonwealth
• Explain the civil and criminal protections the PID Act provides to disclosers and those assisting with the handling of the PID.

11.2.3 A list of the Department's Authorised Officers is in the HR Delegations and Authorisations on the Department's intranet. Authorised Officers can be contacted by email at PID@dfat.gov.au

11.2.3 The Departments Policy and Procedures for Managing Public Interest Disclosures in DFAT provides advice and guidance to Departmental employees, and the public, about the procedures that have been established to deal with public interest disclosures made by a public official under the PID Act. The policy reflects reforms to the Public Interest Disclosure Act 2013 (PID Act) which came into effect on 1 July 2023 as part of wider integrity reforms establishing the National Anti-Corruption Commission (NACC Act).

11.2.4 The NACC Act, along with the PID Act, provides pathways for public officials to report corruption and other integrity-related wrongdoing, as well as protections for those who do so, and have been designed to operate together. If a corruption issue is identified, the PID Officer must refer the corruption issue to the NACC as soon as reasonably practicable. Please refer to the Department's Fraud and Corruption Control Framework for further information and guidance.

11.2.5 As is the case with any official information to which employees have access, the unauthorised public disclosure (directly or indirectly) of a discloser's report or identity may constitute a breach of section 70 of the Crimes Act 1914, as well as the APS Code of Conduct or the applicable LES Code of Conduct.

11.3 How to Report Alleged Misconduct by Employees of Other APS Agencies

All Employees

• In Australia, report alleged misconduct to EES
• Overseas, report alleged misconduct to HOM/HOP or EES.

HOMs/HOPs

• Provide report to EES for referral to relevant APS agency, or
• Pending possible investigation by that agency, document any direction to relevant employee regarding their actions and behaviour.

11.3.1 APS employees, LES and contractors have a responsibility to report alleged misconduct by employees or contractors of other APS agencies.

11.3.2 In Australia, APS employees and contractors should report the alleged misconduct to EES for referral to the relevant APS agency for possible investigation. They should do so in the first instance via the Reporting Suspected Internal Misconduct Form. If there particularly sensitive issues, reports can be made directly to Director EES by addressing correspondence to "Director EES" and sending to conduct@dfat.gov.au.  

11.3.3 At post, APS employees, LES and contractors should report the alleged misconduct to HOM/HOP. HOM/HOP should then pass the information to EES for referral to the relevant APS agency for possible investigation. HOM/HOP should do so in accordance with procedures set out in section 11.3.2 of this Manual. In the case of alleged misconduct by a non-DFAT LES, DFAT may assist the relevant agency, where necessary and on a cost recovery basis, to manage the alleged misconduct. DFAT's procedures for managing alleged misconduct, as set out in section 11.1 of this Manual, would apply.

11.3.4 Pending possible investigation by the relevant APS agency, HOMs/HOPs reserve the right under the Prime Minister's Directive on the Guidelines for the Management of the Australian Government Presence Overseas to make directions regarding the actions and behaviour of relevant employees at post to ensure that the reputation of the post and the Australia Government is maintained. In doing so, HOMs/HOPs should consult CPO PPD and should document any directions made in this regard.

11.4 Responsibility to Report Alleged Criminal Offences by Third Parties

11.4.1 APS employees, LES and contractors should follow the procedures set out in sections 11.1-11.3 of this Manual for reporting alleged misconduct and criminal behaviour by employees of the Department and other APS agencies.

Extraterritorial offences

11.4.2 Any information relating to the commission or attempted commission of a serious extraterritorial offence under Australian law must be reported to the Transnational Crime Section (transnationalcrime@dfat.gov.au). For further guidance, see the Administrative Circular - Australian extraterritorial offences and the responsibility to report.

Consular reporting

11.4.3 The existence of information suggesting that an Australian may have committed an Australian extraterritorial offence does not diminish that Australian's entitlement to appropriate consular assistance. At the same time, the provision of consular assistance to Australian clients does not extend to protecting them from the consequences of actions that are prohibited under Australian (or local) law. Consular clients must be made aware that, as allowed for under the Privacy Act 1988, any information provided to the Department will be disclosed to the AFP where the disclosure is reasonably necessary for the enforcement of a criminal law or of a law imposing a pecuniary penalty. There is no concept of 'consular client confidentiality' with respect to admissions of possible criminal conduct made by a consular client. Information that relates to an extraterritorial offence must be reported in accordance with section 11.4.4 above. Chapters 11 and 12 of the Consular Handbook provide useful guidance in this respect.

11.4.4 Other than in circumstances involving passport fraud and fraud committed by external parties against DFAT, the Department has no investigatory or law enforcement role. It is the responsibility of AFP and other relevant Australian agencies to conduct investigations into credible allegations. Departmental employees have a responsibility to report allegations, but under no circumstances should they seek to investigate the allegations of offences themselves.