11.1 Reporting Alleged Misconduct in DFAT

All Staff

• 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 always close public scrutiny of the work of the department in Australia and overseas. This places an obligation on all APS employees, LES employees and contractors to maintain the highest standards of conduct and ethical behaviour. The department has been able to maintain high standards as a result of its workplace culture, which does not tolerate misconduct or unethical behaviour. All APS employees, LES employees and contractors therefore have a responsibility to report 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 through procedures set out in Chapter 11 of this Manual and has his or her privacy protected;
• any person reporting the alleged misconduct is protected under the department's policy on "Public Interest Disclosures", set out in section 11.2 of this Manual;
• 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 staff to behave honestly and with integrity. The department may decline to assess or investigate an allegation of misconduct which is clearly frivolous, false or malicious, or where the matter has already been the subject of a proper examination. Making knowingly frivolous, 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 staff 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  — by "OFFICIAL: Sensitive" email to conduct@dfat.gov.au, by telephone on ext 1557, 3713 or ext 2318, or in person at 44 Sydney Avenue, on the ground floor in Barton. 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. Staff can be assured any information provided to EES in good faith will be treated confidentially in accordance with relevant Commonwealth legislation.

11.1.5 If for any reason it is not possible to report the alleged misconduct directly to EES, staff should direct allegations of misconduct to other authorised persons in the department.

11.1.6 Authorised persons in the department for reporting alleged misconduct by an APS employee, LES employee or a contractor in the department are:

• EES
• HOM/HOP only in cases of alleged misconduct at the relevant post
• CPO PPD
• the Secretary
• EES in cases of alleged harassment, bullying or discrimination
• A-based manager / supervisor (who must refer the report directly to one of the above, usually EES).

To ensure appropriate protection of information provided, any allegations of misconduct should generally be made to these persons in the first instance by "OFFICIAL:Sensitive" email.

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

11.2 Public Interest Disclosures in DFAT

All Staff

• 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; and
• 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 interim 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.  This is an 'interim' policy that 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 staff 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 Staff

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

HOMs/HOPs

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

11.3.1 APS employees, LES employees 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 by "OFFICIAL:Sensitive" email at conduct@dfat.gov.au, by telephone on ext 1557, 3713 or ext 2318, or in person on the ground Floor, 44 Sydney Avenue, Barton.

11.3.3 At post, APS employees, LES employees 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 the first instance by "OFFICIAL:Sensitive" email at conduct@dfat.gov.au, by telephone on ext 1557, 3713 or ext 2318, or in person 44 Sydney Avenue on the ground floor. 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 staff 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

All Staff

• In Australia, email information regarding alleged offence/s to DFAT’s Transnational Crime Section (TNC)
• Overseas, report information regarding alleged territorial offences to HOM/HOP

HOMs/HOPs

• Cable information to DFAT’s Transnational Crime Section (TNC) in consultation with an AFP liaison officer at post or the accredited post, as appropriate.

11.4.1 APS employees, LES employees 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 staff of the department and other APS agencies.

11.4.2 APS employees, LES employees and contractors also have a responsibility to report certain alleged criminal offences by third parties. They must ensure that where they become aware of information that they reasonably suspect relates to the commission of a serious criminal offence under Australian law by third parties, they report it to the appropriate Australian authorities.

11.4.3 We consider that a 'serious' offence under Australian law is an offence which carries a penalty of five years or more in prison. Serious extraterritorial offences under Australian law include, but are not limited to, those associated with:

• bribery of foreign public officials
• transnational organised crime (such as drug trafficking, money laundering, people smuggling, human trafficking, wildlife smuggling and cybercrime)
• child sex offences
• slavery and slavery-like practices (such as forced marriage, servitude and forced labour)
• female genital mutilation
• terrorism (such as participation in terrorist acts, membership of a terrorist organisation, providing support to a terrorist organisation or financing terrorism)
• engaging in hostile activities in foreign countries (including recruitment of persons to engage in hostile activities and entering or remaining in a ‘declared area’)
• breach of United Nations Security Council sanctions or Australian autonomous sanctions (see http://www.dfat.gov.au/ sanctions/)
• threats to / breaches of international peace and security (such as war crimes, crimes against humanity, genocide and proliferation of weapons of mass destruction)
• passports fraud (offences provided for in the Australian Passports Act 2005 and
• offences against Commonwealth officials.

11.4.4 APS employees, LES employees and contractors who become aware of information which could reasonably be suspected to relate to an extraterritorial offence under Australian law must observe the following procedures:

• In Canberra and State/Territory Offices: report the matter by e-mail marked ‘sensitive: legal’ to transnational.crime@dfat.gov.au marked for the attention of Director, Transnational Crime Section (TNC).
• If the relevant information relates to the conduct of a current or potential consular client, please also copy the Assistant Secretary of the Consular Operations Branch (CNB).
• If the relevant information relates to passport fraud, please also copy the Director of the Passport Fraud Investigation Section (PFS).
• If the matter relates to child abuse or exploitation, including allegations of child sex offences, please report the matter at first instance to the Ethics, Integrity and Professional Standards Section via childwelfare@dfat.gov.au.
• At post: report the matter immediately to a senior SES officer at post (usually the Head of Mission/Post (HOM/HOP), Deputy Head of Mission/Post (DHOM/DHOP) or Senior Administrative Officer (SAO). Where the SES officer considers appropriate, post will then cable all information in its possession relating to the matter to Canberra (attention Director, TNC) by HOM, DHOM or SAO-approved cable. The ODIN topic of the cable should be ‘LEGAL\Allegations’. If the information being reported has been obtained through a consular client, and relates to child sex offences, consular officers must follow the process and manage children’s issues as set out in Chapter 11 of the DFAT Consular Operations Handbook. 
• For all other extraterritorial offences, consular officers must include the LEGAL\Allegations ODIN topic in line with the reporting responsibilities outlined in Chapter 3 of the DFAT Consular Operations Handbook. If the relevant information relates to a DFAT-administered program (such as a development program), post should also include the ODIN Special Distribution List“DFAT Fraud Related Matters”. At posts with an accredited Australian Federal Police (AFP) Liaison Officer (AFPLO), the SES officer may wish to consult AFPLO in preparing the cable to Canberra. In doing so, the SES officer should take into account privacy considerations.

In the unlikely scenario  HOM or another senior manager at post is suspected of committing an extraterritorial offence, officers should refer the matter immediately to  the Employee Conduct and Ethics Section and by email or phone call to Director, TNC.

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

11.4.6 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.

11.4.7 Further information is available in the relevant AC0072/17 on Australian Extraterritorial Offences and the Responsibility to Report; AC0257/18 — DFAT guidance and procedures for dealing with fraud.