This Chapter provides information about the Ethics, Integrity and Professional Standards Policy Manual, its contents, who the Manual applies to and how it is amended. Employees should contact the Ethics, Integrity and Professional Standards Section (EES) at conduct@dfat.gov.au if they require clarification on the contents of this Manual or if they are uncertain about the ethical implications of a proposed course of action.
1.1 What is in this Manual?
1.1.1 The Ethics, Integrity and Professional Standards Policy Manual (the Manual), contains Departmental policies on gifts and benefits, sponsored travel and conflicts of interest, as well as being the principal source of Departmental guidance on conduct and ethics issues. It replaces all Administrative Circulars on conduct and ethics issues previously maintained by the Conduct and Ethics Unit (CEU) and the Employee Conduct and Ethics Section (EES) and now the Ethics, Integrity and Professional Standards Section (EES).
1.1.2 There are several Administrative Circulars and other Departmental policy documents with relevance to conduct and ethics which are linked to this Manual. While these documents are maintained by units in the Department other than EES, they operate in conjunction with this Manual.
1.1.3 In the event of any inconsistency between this Manual and the Public Service Act 1999, Public Service Regulations 2023 or The Australian Public Service Commissioner's Directions 2022, the Act, Regulations and Directions will apply.
Case Studies
1.1.4 To guide employees, this Manual contains case studies about misconduct and ethical issues. The advice contained in these case studies is fictional, does not constitute legal advice, and is not exhaustive. Employees should note that different solutions and outcomes may apply in individual circumstances. For further guidance on how to interpret integrity policies as they relate to individual circumstances, employees should contact EES at conduct@dfat.gov.au
Case study - Sample conduct and ethics issues
Each case study poses a problem or question relevant to conduct and ethics.
The case study then sets out a possible response, including an explanation.
1.2 Does this Manual Apply to Me?
1.2.1 This Manual applies to all categories of employee in the Department – APS (i.e. A-based) employees, Locally Engaged Employees (LES) and contractors. Where the Manual expressly directs employees to carry out an action or to refrain from specified forms of behaviour, they must comply.
APS Employees
1.2.2 APS employees of the Department – ongoing, non-ongoing, those on probation and those on secondment from other APS agencies – are bound by the APS Values, the Employment Principles and the APS Code of Conduct (sections 10, 10A and 13 of the Public Service Act 1999) as part of their conditions of service. Under the APS Code of Conduct, they must comply with any lawful and reasonable direction given by the Secretary or someone in the Department who has authority to give the direction (section 13(5) of the Public Service Act 1999). The directions contained in this Manual and any DFAT policy documents linked to this Manual constitute lawful and reasonable directions in this regard. Failure to comply with these directions may constitute a breach of the APS Code of Conduct, for which sanctions may apply, and may also be considered in the context of performance management.
LES
1.2.3 Under the Prime Minister's Directive on the Guidelines for the Management of the Australian Government Presence Overseas the Department of Foreign Affairs and Trade is the employer of all LES at DFAT-managed posts, except for Austrade LES.
1.2.4 LES are not APS employees. However, the Department expects LES to observe the same high standards of conduct, ethics, probity and integrity as required of all other employees and contractors. LES employed by DFAT are obliged as part of their conditions of service to comply with the LES Code of Conduct in place at their post. Under the standard LES Code of Conduct, they must comply with any lawful and reasonable direction given by a person at post who has the authority to give the direction. HOMs/HOPs should ensure that LES are aware that the directions relating to LES contained in the Manual, and in any DFAT policy documents linked to this Manual, are lawful and reasonable directions for the purposes of their LES Code of Conduct. Failure to comply with these directions may constitute a breach of the applicable LES Code of Conduct for which sanctions may apply and may also be considered in the context of performance management.
Contractors
1.2.5 For the purposes of this Manual, a contractor is defined as an individual engaged in Australia to perform specific services for the Department in Australia or overseas under a contract, including:
- Specified personnel nominated under a head agreement/contract (or Deed of Standing Offer) with an intermediary company to which payment is made; or
- Individual contractors who are directly engaged as the service provider (including sole traders).
1.2.6 Contractors are not APS employees. However, the standard terms and conditions of DFAT contracts include a specific obligation that contractors, or labour hire companies who provide employees to the Department, comply with Departmental practices, policies, procedures and reasonable directions, including the APS Values and Employment Principles, the APS Code of Conduct and the DFAT Code of Conduct for Overseas Service. Failure to comply with these obligations may constitute a failure to meet their contractual obligations.
1.2.7 To help ensure contractors understand their obligations, a summary of Department practices, policies, procedures and reasonable directions (as set out in Chapter 1.2.6 of this Manual) must be included in all head agreements, contracts or deeds of standing offer.
1.3 Amendments to this Manual
1.3.1 This Manual is maintained by EES and all changes to this Manual must be authorised by Director EES. Significant changes to this Manual are announced through Administrative Circulars. All superseded versions of this Manual are archived in EES.
A copy of the Amendments Schedule can be obtained from EES by contacting conduct@dfat.gov.au.
1.4 Summary of this Manual
1.4.1 The following is a summary of key guidance and policies in this Manual. Employees should of course refer to the relevant chapters for complete guidance and policies, including as they apply to different categories of employees in the Department.
Policies, Values and Codes of Conduct (Chapters 1 and 3)
Contact:
conduct@dfat.gov.au
1.4.2 DFAT employees (APS, LES and contractors) must comply with all relevant Departmental policies and directions, including directions in this Manual. APS employees and contractors must maintain conduct consistent with the APS Values, Employment Principles and APS Code of Conduct. When performing duties overseas for DFAT, employees must maintain conduct consistent with the DFAT Code of Conduct for Overseas Service. LES employees must maintain conduct consistent with the LES Code of Conduct in place at their post.
Ethics, Integrity and Professional Standards Section (Section 2.1) / Conduct and Ethics Training (Chapter 4)
Contact:
1.4.3 EES provides an ethical advisory service, investigates allegations of misconduct by DFAT APS employees, and refers allegations of criminal behaviour to relevant law enforcement authorities. EES' ethical advisory role is central to its work. Employees and work areas are encouraged to contact EES if they are uncertain about the ethical implications of a proposed course of action or about whether they have a real or apparent conflict of interest. This is good risk management practice, and consistent with DFAT's culture of appropriate reflection, disclosure and discussion on ethical issues.
Conflicts of Interest (Chapter 5)
Contact:
COI@dfat.gov.au
1.4.4 DFAT employees must take reasonable steps to avoid real or apparent conflicts of interest in connection with their duties, as well as situations where their private, financial or other interests (or those of immediate family members) could or could be perceived to conflict with their duties. They must not allow their interests to influence the decisions they make, the actions they take or the advice they provide in connection with 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 connection with their duties in DFAT. They must disclose any real or potential conflicts of interest to their supervisors as soon as they arise.
1.4.5 All employees must annually complete an acknowledgement of conflicts of interest via their Lumi Mandatory Training. Employees that also have a conflict to declare must also complete an Annual Declaration of Conflicts of Interest and/or Outside Employment Request. This must be updated annually and in line with their Annual Acknowledgement of Conflicts of Interest.
SES are subject to a specific reporting regime which requires them to complete, at least annually, an Acknowledgement of Conflicts of Interest via Lumi Mandatory Training, and Declaration of Conflicts of Interest and/or Outside Employment Request . SES that do not have an conflicts to declare more complete a complete a Nil Declaration in Lumi rather than the Declaration of Conflicts of Interest and/or Outside Employment Request.
Gifts, Benefits, Hospitality and Sponsored Travel (Chapter 6)
Contact:
giftsandbenefits@dfat.gov.au
1.4.6 DFAT employees should, wherever possible, avoid accepting gifts or, benefits offered in connection with their official duties or because of their position with DFAT. All gifts and benefits valued over AUD100 and received in connection with official duties must be declared via the Gifts and Benefits Register. DFAT employees must never accept money or items that have, or could have, a monetary value including gift cards, lottery tickets or lottery scratch cards as a gift in connection with their duties or because of their position with DFAT.
1.4.7 The Department recognises that reciprocity of hospitality is an integral part of diplomacy. Hospitality is not reportable, and does not require approval via the Gifts and Benefits Register, if the following three criteria are all met:
- It is in accordance with official duties.
- There is a genuine business need to accept hospitality
- It passes the Gift Test (outlined in section 6.2 of this Manual).
Hospitality proposed to be accepted that does not meet these three criteria must be approved via the Gifts and Benefits Register within 14 days of being accepted.
1.4.8 Generally, and in accordance with the Australian Public Service Commission (APSC) guidance, the Commonwealth should pay for employees to travel as part of their official duties. However, there may be limited situations where it is appropriate to accept all, or part of a sponsored travel offer. All requests for sponsored travel must be reported and approved via the Gifts and Benefits Register, prior to acceptance.
Appropriate Use of Official Information and Official Resources (Chapter 7)
Contact:
conduct@dfat.gov.au
1.4.9 Official information is held by the Department on behalf of the Government and includes personal information of those who use the services of the Department. APS employees, LES and contractors must always collect, use or disclose official information (including personal information) appropriately. They must protect against, and not make, unauthorised collections, uses or disclosures of official information. Official information (including personal information) should only be collected, used (including making it available to other employees) or disclosed by employees who have a legitimate need to know to fulfil their duties.
1.4.10 DFAT employees must at all times use official resources appropriately. They must comply with the Public Governance, Performance and Accountability Act 2013 which governs the appropriate use of Commonwealth resources. Misuse of official resources may constitute fraud which is an offence against the Commonwealth under the Crimes Act 1914.
Upholding the Reputation of the Department and Australia (Chapter 8)
Contact:
conduct@dfat.gov.au
1.4.11 DFAT employees have a responsibility to always uphold the reputation of DFAT and perform their duties in an impartial and professional manner. Employees performing duties overseas for DFAT must always behave in a way that upholds the good reputation of Australia. Any public comments made in a private capacity, including on the internet, must be appropriately approved and not undermine DFAT's or Australia's reputation.
Misconduct including Child Welfare Notifications (Chapters 9-12)
Contact:
1.4.12 DFAT takes allegations of misconduct seriously and investigates alleged misconduct promptly and fairly (see procedures set out in Chapter 11 of this Manual). 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. Sanctions may apply to employees found to have committed misconduct.
1.4.13 Misconduct in DFAT should only be reported to authorised persons (as set out in section 11.1.4-7 of this Manual), including EES via the Reporting Suspected Internal Misconduct Form or conduct@dfat.gov.au . DFAT recognises the legitimacy of public interest disclosures and assists and protects disclosers who are acting in good faith when reporting alleged misconduct to authorised persons in accordance with the Public Interest Disclosure Act 2013. Public Interest Disclosures can be made to an Authorised officer and by contacting PID@dfat.gov.au.
1.4.14 All reports relating to external child protection incidents must be submitted to childprotection@dfat.gov.au. In the event they involve a DFAT employees/family member as the perpetrator, they must be reported via the via the Reporting Suspected Internal Misconduct Form or conduct@dfat.gov.au.