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Ethics, Integrity and Professional Standards Policy Manual

Forms and schedules

SCHEDULE A – Schedule of Designated Approvers

Conflicts of Interest – all locations

Recipient Conflicts of Interest Declaration Designated approver
Secretary Conflict of Interest Declaration Australian Minister of Foreign Affairs
Deputy Secretaries Conflict of Interest Declaration The Secretary
Senior Executive Officer (SES) Conflict of Interest Declaration Relevant Deputy Secretary (EES to arrange approval)
Senior Executive Staff (SES) Conflict of Interest Declaration - NIL Ethics, Integrity, and Professional Standards Policy Section (EES)
Directors Conflict of Interest Declaration Branch Head (or SES equivalent at post and state office)
APS employees, LES and contractors Conflict of Interest Declaration Relevant Director or HOM/HOP (or EL2 equivalent at post or state office)
Special Envoy Conflict of Interest Declaration Chief People Officer, relevant Deputy Secretary, or the Secretary

Outside employment – all locations

Recipient Outside Employment Request Designated approver
Secretary Outside Employment Request Chief People Officer (CPO)
Senior Executive Officer (SES) Outside Employment Request Chief People Officer (CPO)
APS employees and LES Outside Employment Request Branch Head (SES Band 1 equivalent at your post) or HOM/HOP
Staff on Leave without pay (LWOP) Outside Employment Request Assistant Secretary

People Culture Branch (PDB)

Gifts, Benefits, Hospitality and Sponsored Travel

Canberra

Recipient Gifts, Benefits, Hospitality and Sponsored Travel Designated approver
Secretary All reportable gifts and benefits

All significant hospitality

All sponsored travel
CPO PPD or AS PDB
Deputy Secretaries All reportable gifts and benefits

All significant hospitality

All sponsored travel
The Secretary
Division Heads, ED OPO, ED APO, DG ASNO All reportable gifts and benefits

All significant hospitality

All sponsored travel
Relevant Deputy Secretary
SES Band 1 All reportable gifts and benefits

All significant hospitality

All sponsored travel
Division Head
All other staff

(APS employees and contractors)
All reportable gifts and benefits

All significant hospitality

All sponsored travel
Branch Head

State and Territory offices

Recipient Gifts, Benefits, Hospitality and Sponsored Travel Designated approver
State Director Gifts and benefits valued above AUD$500 (official source) and above AUD$200 (private source)

All significant hospitality

All sponsored travel
EES for AS PDB approval
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
EES for AS PDB approval
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/SAO

 

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 Policy Manual, as amended from time to time.

The Policy Manual is available on the Department’s external website allowing anyone with an internet connection to have access.

Contractors in DFAT must maintain conduct consistent with the APS Values and Employment Principles and Code of Conduct.

When performing duties overseas for DFAT, contractors in DFAT must maintain conduct consistent with the DFAT Code of Conduct for Overseas Service.

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 and disclose any real or potential conflicts of interest to their supervisors as soon as they arise.

Contractors in DFAT must complete Declaration of Real or Apparent Conflicts of Interest and/or Outside Employment request 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 ‘Declaration of Real or Apparent Conflicts of Interest’ form is found in Chapter 5 of the DFAT Ethics, Integrity and Professional Standards Policy Manual.

Gifts, Benefits, Hospitality and Sponsored Travel

Contractors in DFAT should, wherever possible, avoid accepting gifts or benefits offered in connection with their duties in DFAT or because of their position with DFAT. They must report to DFAT certain gifts and benefits accepted in connection with 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 Policy 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 connection with 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 Policy 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 this Policy Manual.

Appropriate Use of Official Information and Official Resources

Contractors in DFAT must always 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 Public Governance, Performance and Accountability Act 2013 (PGPA Act) and DFAT’s financial management processes, 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 this Policy 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 and Employment Principles. When performing duties overseas for DFAT, they must always behave in a way that upholds the good reputation of Australia. They must ensure 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 this Policy 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 Ethics, Integrity and Professional Standards Section (EES) 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 Ethics, Integrity and Professional Standards Policy Manual.

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