These procedures outline the steps that will be taken by the AEC when investigating a breach of the APS Code of Conduct, and when determining any sanctions that arise from that investigation.
1.1 The Procedures apply in determining whether an APS employee, has breached the Code in section 13 of the Act.
1.2 In these Procedures, unless the contrary intention appears, a reference to:
1.3 In accordance with subsection 15(7) of the Act, these procedures are publicly available on the AEC's website.
Note: The Procedures apply only in relation to a suspected breach of the Code by an APS employee in respect of which a determination is to be made. Not all suspected breaches of the Code may need to be dealt with by way of a determination. In particular circumstances, another way of dealing with a suspected breach of the Code may be more appropriate.
These Procedures are not legislative instruments (see subsection 15(8) of the Act).
Note: clause 40 of the Australian Public Service Commissioner's Directions 2016 provides that where the conduct of an APS employee raises concerns that relate both to effective performance and possible breaches of the Code, the Agency Head must, before making a decision to deal with a suspected breach under the formal misconduct provisions (being these Procedures), have regard to any relevant standards and guidance issued by the Australian Public Service Commissioner.
Investigations of suspected misconduct by former employees can be undertaken, but sanctions cannot be imposed on former employees.
2.1 As soon as practicable after a suspected breach of the Code has been identified, the Electoral Commissioner or the Deputy Electoral Commissioner may deal with a suspected breach, in accordance with the Procedures, by:
2.2 An internal or external investigator may be appointed by the breach decision maker to investigate the alleged breach, gather evidence and present a report of factual findings, including recommendations.
2.3 The person making the decision on sanction must hold a delegation under the Act to do so (the sanction delegate).
2.4 Subject to sub clause 2.3 above, these Procedures do not prevent the breach decision maker from being the sanction decision maker in the same matter.
2.5 The breach decision maker and sanction decision maker must have regard to the Australian Public Service Commission publication 'Handling misconduct: a human resource manager's guide', in making the determination and sanction decision.
3.1 The process for determining whether an APS employee has breached the Code must be carried out with as little formality, and with as much expedition, as a proper consideration of the matter allows.
3.2 The process must be consistent with the principles of procedural fairness.
3.3 A formal hearing is not required in order for a person to determine whether an APS employee has breached the Code.
4.1 A determination may not be made in relation to a suspected breach of the Code by an APS employee unless reasonable steps have been taken to inform the employee of:
4.2 A person who is making a determination in relation to a suspected breach of the Code by an APS employee must give that employee a reasonable opportunity to make an oral or written statement, or both, in relation to the suspected breach:
4.3 An APS employee who does not make a statement in relation to the suspected breach is not, only for that reason, to be taken to have admitted committing the suspected breach.
4.4 The breach decision maker or the investigator may agree to a request made by the APS employee who is suspected of breaching the Code to have a support person present in a meeting or interview they conduct. The support person is not a representative or advocate for the APS employee.
5.1 The breach decision maker, any investigator assisting the breach decision maker and the sanction delegate must be, and must appear to be, independent and unbiased.
5.2 A person must not determine whether an APS employee has breached the Code if the person has previously made a report in relation to all or any matter suspected of constituting the breach by the employee.
6.1 If a determination is made that an APS employee has breached the Code, the APS employee may be subject to the imposition of a sanction under section 15 of the Act.
6.2 Sanctions are intended to be proportionate to the nature of the breach, and provide a clear message to the relevant employee that their behaviour was unacceptable.
6.3 The process for deciding on sanction must be consistent with the principles of procedural fairness.
6.4 If a determination is made that an APS employee has breached the Code, a sanction may not be imposed on the employee unless reasonable steps have been taken to:
7.1 If a determination is made in relation to a suspected breach of the Code by an APS employee, a written record must be made of:
8.1 This clause applies where an APS employee is suspected of having breached the Code and a determination has not been made in relation to the suspected breach before:
8.2 If the basis of the APS employee's engagement in the AEC has changed before a determination is made in relation to the suspected breach, the determination must be made in accordance with the procedures applicable to the basis of the employee's engagement in the AEC at the time the process for determining whether the employee has breached the Code is commenced.
8.3 Movements (including promotions) will not take effect until the matter is resolved, unless both Agency Heads agree otherwise.
Note: The matter is taken to be resolved when: