Chapter 10: Reporting Alleged Misconduct and Criminal Offences

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 directs staff 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.

Staff should contact the Conduct and Ethics Unit 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.

10.1 Reporting Alleged Misconduct in DFAT

What do I need to do?

All Staff

A-based Supervisors

Refer any reports of alleged misconduct directly to CEU, HOM/HOP or FAS CMD.

10.1.1 There is always close public scrutiny of the work of the department in Australia and overseas. This places an obligation on all staff members (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 staff members (APS employees, LES employees and contractors) therefore have a responsibility to report alleged misconduct in the department promptly, should it occur.

10.1.2 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:

10.1.3 The APS Code of Conduct and the standard 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. 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?

10.1.4 APS employees, LES employees and contractors in the department should report alleged misconduct in the department directly to the Conduct and Ethics Unit (CEU) – by "staff-in-confidence" e-mail to the Conduct and Ethics Unit, by telephone on ext 9202 or ext 1519, or in person at N2.501-2 in the R G Casey Building. Where alleged misconduct may also constitute criminal or other unlawful behaviour, CEU may refer the matter to relevant law enforcement authorities for assessment and possible investigation and prosecution. Staff can be assured that any information provided to CEU in good faith will be treated confidentially in accordance with relevant Commonwealth legislation.

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

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

To ensure appropriate protection of information provided, any allegations of misconduct should generally be made to these persons in the first instance by "staff-in-confidence" e-mail.

10.1.7  In addition, section 16(1) of the Public Service Act 1999 provides that APS employees may report alleged misconduct of an APS employee in the department to:

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

10.2 Public Interest Disclosures in DFAT

What do I need to do?

All Staff

A-based Supervisors

10.2.1 The department recognises the importance of public interest disclosures. The spirit and intent of the department's public interest disclosure policy is to assist and protect staff (APS employees, LES employees and contractors) who are acting in good faith when reporting alleged misconduct with a public interest element. The policy is in accordance with the Public Interest Disclosure Act 2013 (the PID Act). Provisions for procedural fairness and natural justice for staff who are the subject of whistleblower reports are set out in Chapter 11 of this Manual.

10.2.2 The department's procedures on reporting and investigating public interest disclosures is a publicly available document and can be found on the intranet or the department's external website.

10.2.3 The department is committed to the highest standards of conduct and accountability. All DFAT staff have a responsibility to report suspected wrongdoing by DFAT staff, other government agencies and government contractors. The department encourages and supports the reporting of wrongdoing in the Australian Public Service (APS) in line with the procedures established under the PID Act.

10.2.4 The procedures promote the integrity and accountability of the APS by:

10.2.5 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.  

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

What do I need to do?

All Staff

HOMs/HOPs

10.3.1APS employees, LES employees and contractors have a responsibility to report alleged misconduct by employees or contractors of other APS agencies.

10.3.2 In Australia, APS employees and contractors should report the alleged misconduct to CEU for referral to the relevant APS agency for possible investigation. They should do so in the first instance by "staff-in-confidence" e-mail at the Conduct and Ethics Unit, by telephone on ext 9202 or ext 1519, or in person at N2.501-2 in the R G Casey Building.

10.3.3 At post, APS employees, LES employees and contractors should report the alleged misconduct to HOM/HOP. HOM/HOP should then pass the information to CEU for referral to the relevant APS agency for possible investigation. HOM/HOP should do so in the first instance by "staff-in-confidence" e-mail at the Conduct and Ethics Unit, by telephone on ext 9202 or ext 1519, or in person at N2.501-2 in the R G Casey Building. 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 11.2 of this Manual, would apply.

10.3.4  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 FAS CMD and should document any directions made in this regard.

10.4 Responsibility to Report Alleged Criminal Offences by Third Parties

What do I need to do?

All Staff

HOMs/HOPs

10.4.1 APS employees, LES employees and contractors should follow the procedures set out in sections 10.1-10.3 of this Manual for reporting alleged misconduct and criminal behaviour by staff of the department and other APS agencies.

10.4.2 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 which 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.

10.4.3 Australia's criminal law applies to certain serious offences committed overseas by Australian citizens, permanent residents or companies. These Australian extraterritorial offences include, but are not limited to, those associated with:

10.4.4 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:

10.4.5 The department has no investigatory or law enforcement role in relation to Australian extraterritorial offences. It is the responsibility of AFP and other Australian law enforcement authorities 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.

10.4.6 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. 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 which relates to an extraterritorial offence must be reported in accordance with section 10.4.4 above. Chapters 11 and 12 of the Consular Handbook provide useful guidance in this respect.

10.4.7 Further information is available in Administrative Circular N543/09 – Australian Extraterritorial Offences and the Responsibility to Report, and from Sanctions and Transnational Crime Section (STC).