Forms and schedules

SCHEDULE A – Schedule of Designated Approvers

CANBERRA
Recipient Gifts, Benefits, Hospitality and Sponsored Travel Designated approver

Secretary

All reportable gifts and benefits

All significant hospitality

All sponsored travel

FAS CMD

Deputy Secretaries

All reportable gifts and benefits

All significant hospitality

All sponsored travel

The Secretary

Division Heads, ED OPO, ED APO, DG ASNO, AS PRB, AS EXB, AS GIB

All reportable gifts and benefits

All significant hospitality

All sponsored travel

Relevant Deputy Secretary

All other staff

(APS employees and contractors)

All reportable gifts and benefits

All significant hospitality

All sponsored travel

Relevant Division Head or equivalent

STATE AND TERRITORY OFFICES
Recipient Gifts, Benefits, Hospitality and Sponsored Travel Designated approver

State Director

Gifts and benefits valued above AUD500 (official source) and above AUD200 (private source)

All significant hospitality

All sponsored travel

FAS CMD

State Director

Reportable gifts and benefits valued below AUD500 (official source) and below AUD200 (private source)

Deputy Director

All other staff (APS employees and contractors)

All reportable gifts and benefits

All significant hospitality

All sponsored travel

State Director

OVERSEAS MISSIONS
Recipient Gifts, Benefits, Hospitality and Sponsored Travel Designated approver

HOM/HOP

Gifts and benefits valued above AUD500 (official source) and above AUD200 (private source)

All significant hospitality

All sponsored travel

FAS CMD

HOM/HOP

Reportable gifts and benefits valued below AUD500 (official source) and below AUD200 (private source)

SAO

All other staff

(APS employees, LES employees and visiting staff)

All reportable gifts and benefits

All significant hospitality

All sponsored travel

HOM/HOP

SCHEDULE B – Summary of Conduct and Ethics Directions for Contractors in DFAT

Policies, Values and Codes of Conduct

Contractors in DFAT must comply with all departmental policies and directions which apply to them. These include directions in DFAT’s Conduct and Ethics Manual, as amended from time to time. The Manual is available on DFAT’s SATIN Low information system or from DFAT’s Conduct and Ethics Unit (conduct@dfat.gov.au).

Contractors in DFAT must maintain conduct consistent with the APS Values (http://www.apsc.gov.au/values) and the APS Code of Conduct (http://www.apsc.gov.au/conduct/).

When performing duties overseas for DFAT, contractors in DFAT must maintain conduct consistent with the DFAT Code of Conduct for Overseas Service http://intranet.titan.satin.lo/Documents/DFAT-code-of-conduct-overseas-service.docx

Conflicts of Interest

Contractors in DFAT must take reasonable steps to avoid real or apparent conflict of interests in the course of their duties in DFAT, as well as situations where their private, financial or other interests (or those of immediate family members, such as spouses, partners or dependants) could or could be perceived to conflict with their duties in DFAT. They must not allow their interests to influence the decisions they make, the actions they take or the advice they provide in the course of their duties in DFAT. They must regularly assess whether their interests could or could be perceived to influence the decisions they make, the actions they take or the advice they provide in the course of their duties in DFAT.  They must disclose any real or potential conflicts of interest to their supervisors as soon as they arise.

Contractors in DFAT must complete a “Disclosure of Private, Financial and Other Interests Form” and submit it to the delegate in DFAT responsible for their contract within 14 days of their initial engagement with DFAT, annually thereafter and additionally if their circumstances change resulting in a new conflict of interest. Guidance on completing and submitting the “Disclosure of Private, Financial and Other Interests Form” is found in Chapter 5 of the DFAT Conduct and Ethics Manual.

Gifts, Benefits, Hospitality and Sponsored Travel

Contractors in DFAT should, wherever possible, avoid accepting gifts or benefits offered in the course of their duties in DFAT or because of their position with DFAT. They must report to DFAT certain gifts and benefits accepted in the course of their duties in DFAT or because of their position with DFAT. Guidance on reporting gifts and benefits is found in Chapter 6 of the DFAT Conduct and Ethics Manual.

Contractors in DFAT must never accept money as a gift in the course of their duties in DFAT or because of their position with DFAT. They must never accept discounts on liquid assets (such as shares) as a benefit in the course of their duties in DFAT or because of their position with DFAT.

Contractors in DFAT may be offered hospitality in the course of their duties in DFAT or because of their position with DFAT. They should, wherever possible, avoid hospitality which carries an implication that a favour is expected in return, or which falls outside the normal pattern of hospitality appropriate to their position and responsibilities in DFAT. They must report to DFAT offers of significant hospitality they wish to accept. Guidance on reporting offers of significant hospitality is found in Chapter 6 of the DFAT Conduct and Ethics Manual.

Contractors in DFAT should generally not accept offers of sponsored travel. Sponsored travel refers to cases where the costs of transport, accommodation and/or travel/living expenses to enable work undertaken for DFAT are met from sources other than official funds or a staff member’s own resources. (It does not refer to situations where a contractor’s own company pays for travel to enable work undertaken for DFAT.) Contractors in DFAT must report to DFAT offers of sponsored travel they wish to accept. Guidance on reporting offers of sponsored travel is found in Chapter 6 of the DFAT Conduct and Ethics Manual.

Appropriate Use of Official Information and Official Resources

Contractors in DFAT must at all times use official information (including personal information of individuals which is held by DFAT) appropriately. They must protect against and not make unauthorised disclosures of official information. Official information should only be used by, accessed by or made available to staff who have a legitimate need to know in order to fulfil their duties. Unauthorised disclosure of official information is an offence under the Crimes Act 1914.  Inappropriate access or use of personal information of individuals which is held by DFAT may constitute a breach of the Privacy Act 1988.

Contractors in DFAT must at all times use official resources appropriately. They must comply with the Financial Management and Accountability Act 1997 and DFAT’s Financial Management Manual, which govern the appropriate use of Commonwealth resources in the department. Misuse of official resources may constitute fraud against the Commonwealth which is an offence under the Crimes Act 1914.

Guidance on appropriate use of official information and official resources is found in Chapter 7 of the DFAT Conduct and Ethics Manual.

Upholding the Reputation of the Department and Australia

Contractors in DFAT have a responsibility to uphold the reputation of DFAT at all times and perform their functions in an impartial and professional manner in accordance with the APS Values. When performing duties overseas for DFAT, they must at all times to behave in a way that upholds the good reputation of Australia. They must ensure that any public comments they make in a private capacity, including on the internet, do not undermine DFAT’s or Australia’s reputation. Guidance on upholding the reputation of DFAT and Australia is found in Chapter 8 of the DFAT Conduct and Ethics Manual.

Misconduct

DFAT takes misconduct very seriously and investigates alleged misconduct promptly and fairly. Misconduct can include failure to comply with departmental policies and directions (including codes of conduct); criminal and other unlawful behaviour; harassment, bullying and discrimination; fraud and offering bribes. Misconduct in the department should be reported directly to DFAT’s Conduct and Ethics Unit (CEU) at conduct@dfat.gov.au.

Misconduct by contractors in DFAT represents a failure to meet contractual obligations and may result in the termination of their contract.

Guidance on what constitutes misconduct in DFAT, how to report alleged misconduct to authorised persons in DFAT and how DFAT manages alleged misconduct in DFAT is found in Chapters 9-11 of the DFAT Conduct and Ethics Manual.