{"id":"sr:ombudsman-regulations-2019","name":"Ombudsman Regulations 2019","slug":"ombudsman-regulations-2019","collection":"regulation","jurisdiction":"vic","status":"in_force","isInForce":true,"actNumber":null,"makingDate":null,"administeringDepartment":null,"currentVersion":{"id":181519,"registerId":"vic-sr:ombudsman-regulations-2019-current","compilationNumber":null,"startDate":"2026-04-05","status":"InForce","reasons":null,"registeredAt":null},"sections":[{"sectionNumber":"1","sectionType":"section","heading":"Ombudsman Regulations 2019","content":"Version No. 002\n\n**Ombudsman Regulations 2019**\n\n**S.R. No. 157/2019**\n\nVersion incorporating amendments as at  \n25 March 2025\n\n**TABLE OF PROVISIONS**\n\n*Regulation Page*\n\nPart 1—Preliminary 1\n\n1 Objectives 1\n\n2 Authorising provision 1\n\n3 Commencement 1\n\n4 Definition 1\n\nPart 2—Compulsory and voluntary appearances 2\n\n5 Witness summons 2\n\n6 Form of statement to be provided to a person making a compulsory appearance 2\n\n7 Additional actions to be taken before questioning a person or requiring production of documents or things at a compulsory or voluntary appearance 2\n\nPart 3—Confidentiality notices 4\n\n8 Confidentiality notices 4\n\nSchedule 1—Forms 5\n\n═════════════\n\nEndnotes 23\n\n1 General information 23\n\n2 Table of Amendments 25\n\n3 Explanatory details 26\n\n**Version No.** **002**\n\n**Ombudsman Regulations 2019**\n\n**S.R. No. 157/2019**\n\nVersion incorporating amendments as at  \n25 March 2025\n\nPart 1—Preliminary\n\n\t1 Objectives\n\nThe objectives of these Regulations are—\n\n(a) to prescribe additional actions to be taken by a presiding officer before a person is asked any questions or to produce a document or thing at a compulsory appearance or a voluntary appearance; and\n\n(b) to prescribe other matters necessary to be prescribed under the **Ombudsman Act 1973**.\n\n\t2 Authorising provision\n\nThese Regulations are made under section 31 of the **Ombudsman Act 1973**.\n\n\t3 Commencement\n\nThese Regulations come into operation on 1 January 2020.\n\n\t4 Definition\n\nIn these Regulations—\n\n***the Act*** means the **Ombudsman Act 1973**.\n\nPart 2—Compulsory and voluntary appearances\n\n\t5 Witness summons\n\n(1) For the purposes of section 18(2)(a) of the Act, the prescribed form of a witness summons is Form 1 in Schedule 1.\n\n(2) For the purposes of section 18(2)(c)(iv) of the Act, a witness summons issued by the Ombudsman must include, as an attachment, a copy of the statement referred to in regulation 6.\n\n\t6 Form of statement to be provided to a person making a compulsory appearance\n\nFor the purposes of section 18P(2)(c) of the Act, the prescribed statement in relation to a compulsory appearance is Form 2 in Schedule 1.\n\n\t7 Additional actions to be taken before questioning a person or requiring production of documents or things at a compulsory or voluntary appearance\n\n(1) For the purposes of section 18P(2)(f) of the Act, a presiding officer must take the following prescribed actions before the person appearing is asked any questions or required to produce any document—\n\n(a) if the person appearing is to take an oath or affirmation and is using an interpreter, administer an oath or affirmation to the interpreter in accordance with the requirements of the **Oaths and Affirmations Act 2018**;\n\n(b) if the person appearing is between 16 and 18 years of age or has a mental impairment and is accompanied by a parent, guardian or an independent person, inform the parent, guardian or independent person of the rights and obligations of the person appearing set out in Form 2 in Schedule 1.\n\n(2) The presiding officer may comply with subregulation (1)(b) by providing the parent, guardian or independent person with a copy of the statement set out in Form 2 in Schedule 1.\n\nPart 3—Confidentiality notices\n\n\t8 Confidentiality notices\n\nFor the purposes of section 26C(2)(a) of the Act, the prescribed form of a confidentiality notice is Form 3 in Schedule 1.\n\nSchedule 1—Forms\n\nForm 1\n\nRegulation 5(1)\n\n**Ombudsman Act 1973**\n\nWitness Summons\n\nTo: [*insert name of person to whom witness summons is directed*]\n\nAddress: [*insert address*]\n\n**THIS WITNESS SUMMONS IS IMPORTANT.  \nPLEASE READ IT CAREFULLY.**\n\n**FAILURE TO COMPLY WITH THIS WITNESS SUMMONS MAY BE AN OFFENCE. PENALTIES INCLUDING IMPRISONMENT MAY APPLY.**\n\n***A CONFIDENTIALITY NOTICE IS ATTACHED TO THIS WITNESS SUMMONS. PLEASE READ IT BEFORE DISCUSSING THIS WITNESS SUMMONS WITH ANYONE.**\n\n*You should note that your right to disclose the existence of this witness summons may be limited by the attached confidentiality notice.\n\nThe Ombudsman is conducting an investigation under section [*insert relevant section number*] of the **Ombudsman Act 1973** in relation to [*insert details*].\n\nIn accordance with section 18 of the **Ombudsman Act 1973**, the Ombudsman requires your attendance.\n\n***When is the attendance?***\n\nYou must attend at [*insert address*] on [*insert date*] at [*insert time*] *a.m./*p.m. and from day to day unless excused or released from further attendance.\n\n***What will you be required to do?***\n\nYou will be required:\n\n* to give evidence before the Ombudsman *in relation to [*state nature of the matters about which the witness is to be questioned, except to the extent that the Ombudsman considers that this disclosure would prejudice the conduct of the investigation or be contrary to the public interest*];\n\n* to produce the following documents or things to the Ombudsman:\n\n[*specify documents or things*]\n\n* to give evidence before the Ombudsman *in relation to [*state nature of the matters about which the witness is to be questioned, except to the extent that the Ombudsman considers that this disclosure would prejudice the conduct of the investigation or be contrary to the public interest*] and to produce the following documents or things to the Ombudsman:\n\n[*specify documents or things*]\n\n***Do you have to comply with the summons?***\n\nYes, by law you must comply with this witness summons unless you have a reasonable excuse.\n\nIf you refuse or fail to comply with this witness summons without reasonable excuse, you may commit an offence to which penalties apply.\n\n[*See the* ***Ombudsman Act 1973****, sections 18(2)(c)(i) and 18G*]\n\n***What may be a reasonable excuse for failing to comply with this summons?***\n\nThe **Ombudsman Act 1973** specifies a number of reasonable excuses for failing to comply with a witness summons.\n\nFor example, section 18B(2) of the **Ombudsman Act 1973** provides that it would be a reasonable excuse for you to refuse to give information to the Ombudsman if the information might tend to incriminate you or make you liable to a penalty in relation to—\n\n• a proceeding for an offence with which you have been charged but which has not been finalised; or\n\n• a proceeding for the imposition or recovery of a penalty that has been commenced against you but has not been finalised.\n\nThis excuse may only be claimed by an individual served with a summons, and not by a company or other body corporate.\n\n[*See the* ***Ombudsman Act 1973****, section 18B(2)*]\n\nIn addition, under section 18B(3) of the **Ombudsman Act 1973**, it would be a reasonable excuse if you are under the age of 16 at the time this summons was issued to you, and you provide satisfactory proof of age to the Ombudsman. If you provide satisfactory proof that you are under the age of 16, you are not required to comply with this summons.\n\n[*See the* ***Ombudsman Act 1973****, sections 18B(3) and 18E*]\n\n***How can I object to this witness summons?***\n\nIf you wish to object to this witness summons, you should do so in writing addressed to:\n\n[*insert postal address, email address, fax no. etc. to which persons should direct written objections to witness summons*]\n\n***Other information about your rights and other information relevant to your appearance before the Ombudsman***\n\nThe attached \"*Statement of Rights and Obligations of a Person Attending a Compulsory Appearance*\" outlines rights that you may have and other information that may be relevant to your appearance before the Ombudsman.\n\n[*See the Ombudsman Regulations 2019, regulations 5(2) and 6*]\n\n[*attach a copy of the statement set out in Form 2 in Schedule 1 to the Ombudsman Regulations 2019, outlining specified matters with respect to the witness summons*]\n\n[*signature*]\n\n[*name*]\n\n[*title*]\n\nDate: [*insert date*]\n\n*Delete if not applicable.\n\nSch. 1 Form 2 amended by S.R. No. 10/2025 reg. 4.\n\nForm 2\n\nRegulations 6 and 7(2)\n\n**Ombudsman Act 1973**\n\nStatement OF RIGHTS AND OBLIGATIONS OF a Person Attending a Compulsory Appearance\n\n**Read this Statement carefully. It contains important information about your legal rights, duties and OBLIGATIONS.**\n\n***Why have I been given this statement?***\n\n*A witness summons has been issued to you that requires you to give evidence before the Ombudsman in relation to an investigation being conducted pursuant to section 15B, 15C, 16 or 16A of the **Ombudsman Act 1973**  (Vic) (the Act).\n\n*A witness summons has been issued to you that requires you to give evidence before the Ombudsman and to produce documents or things in relation to an investigation being conducted pursuant to section 15B, 15C, 16 or 16A of the Act.\n\n*A witness summons has been issued to you that requires you to produce documents or other things to the Ombudsman in relation to an investigation being conducted pursuant to section 15B, 15C, 16 or 16A of the Act.\n\nThe purpose of this statement is to provide you with information about your legal rights, duties and obligations. You should read this statement carefully. For further information you should refer to the Act and the Ombudsman Regulations 2019 (the Regulations).\n\nAs you have been served with a witness summons, this statement has been provided with and attached to that summons.\n\n[*See the Ombudsman Regulations 2019, regulation* *5(2)*]\n\n***What is a \"compulsory appearance\"?***\n\n\"Compulsory appearance\" is the legal term used in the Act that means a witness summons has been issued to you compelling you to give evidence or to produce a document to the Ombudsman, or both.\n\n***I have been served with a witness summons. Do I have to appear before the Ombudsman to give evidence and/or produce documents?***\n\nAs you have been served with a witness summons, then by law you must comply with the witness summons unless you have a reasonable excuse or you object and your objection is allowed.\n\nThe Act  sets out some examples of a reasonable excuse for failing to comply with a witness summons.\n\nFor example:\n\n under section 18B(1)(b) it would be a reasonable excuse for failing to comply with a witness summons to produce a document or other thing if the document or thing is not relevant to the subject matter of the investigation.\n\n under section 18B(2) of the Act, it would be a reasonable excuse for you to fail to comply with this witness summons by refusing to give information to the Ombudsman if the information might tend to incriminate you or make you liable to a penalty in relation to—\n\n a proceeding for an offence with which you have been charged but which has not been finalised; or\n\n a proceeding for the imposition or recovery of a penalty that has been commenced against you, but which is not completed.\n\nThe excuse described in section 18B(2), outlined above, may not be claimed by a company or other corporation, but only by individuals.\n\n[*See the* ***Ombudsman Act 1973****, section 18B(1) and (2)*]\n\nIf you receive a witness summons and you were under 16 years of age on the date that the summons was issued, then you need not comply with it provided you provide satisfactory evidence of your age to the Ombudsman.\n\nFor example, you could provide—\n\n an Australian birth certificate or certified birth extract; or\n\n an Australian passport; or\n\n a passport issued by another country; or\n\n any other document or evidence that satisfies the Ombudsman about your age.\n\n[*See the* ***Ombudsman Act 1973****, sections 18B(3), 18E(2) and 18P(2)(b)(i) and (2)(b)(ii)*]\n\nIf you wish to object to a witness summons, you should do so in writing before the date on which the summons states you are required to attend for a compulsory appearance and/or provide documents. Your written objection should:\n\n clearly set out the \"reasonable excuse\" you believe applies; and\n\n quote the summons number (listed on the front page of the summons).\n\nYour written objection should be addressed to the Ombudsman's postal or email address.\n\n***What happens if I refuse to comply with a summons without a reasonable excuse?***\n\nIf you fail to comply with the witness summons without a reasonable excuse, you may commit an offence to which penalties apply. Possible penalties include a fine of up to 240 penalty units (over $38 000) or imprisonment for up to 2 years.\n\nWhen you appear in response to a witness summons, you may be required to take an oath or make an affirmation. If you refuse without reasonable excuse to take an oath or make an affirmation when required, or if you refuse or fail to answer a question when required, you may commit an offence to which penalties apply, as outlined above.\n\n[*See the* ***Ombudsman Act 1973****, sections 18(2)(c)(i), 18G and 18H*]\n\n***What rights do I have under the Act in relation to my compulsory appearance?***\n\nThe Act confers several rights on you in relation to your compulsory appearance. These are outlined below. You may wish to obtain your own legal advice about your rights before the compulsory appearance.\n\n*Legal advice and representation*\n\nYou have the right to seek legal advice and representation in relation to—\n\n• the investigation being conducted by the Ombudsman;\n\n• the witness summons that has been issued to you;\n\n• a compulsory appearance;\n\n• your rights, liabilities, obligations and privileges under the Act or the **Public Interest Disclosures Act 2012**; and\n\n• a proposed report, or draft or part of a proposed report under the Act which you have received.\n\n[*See the* ***Ombudsman Act 1973****, section 18M(1) and (2)*]\n\nHowever, at any time the Ombudsman may direct you in writing not to seek legal advice or representation from a specified legal practitioner. This may happen if the Ombudsman considers that your engagement of that lawyer could prejudice the investigation because your nominated lawyer is—\n\n already appearing at a compulsory appearance; or\n\n already representing another person who is appearing at a compulsory appearance; or\n\n involved or suspected of being involved in a matter that is the subject of an enquiry or investigation by the Ombudsman, or a matter that is being investigated by the IBAC or Integrity Oversight Victoria; or\n\n representing a person involved or suspected of being involved in a matter that is the subject of an enquiry or investigation by the Ombudsman, or a matter that is being investigated by the IBAC or Integrity Oversight Victoria.\n\n[*See the* ***Ombudsman Act 1973****, section 18M(3) and (4)*]\n\nIf the Ombudsman directs you not to seek legal advice or representation from a specified legal practitioner—\n\n• the Ombudsman must give you at least 3 days to obtain representation from another legal practitioner; and\n\n• the Ombudsman must inform Integrity Oversight Victoria of the Ombudsman's direction and the reasons for the direction.\n\n[*See the* ***Ombudsman Act 1973****, section 18M(5) and (6)*]\n\nIf you wish to seek the advice of a legal representative and/or have a legal representative attend with you at the compulsory appearance, please contact us first to discuss.\n\n***Other support persons***\n\nYou may also request the Ombudsman to allow you to choose an independent person to be present with you at the compulsory appearance to provide you with support. The Ombudsman has discretion whether to approve this request, however most reasonable requests are allowed.\n\nIf you wish to bring a support person with you to the compulsory appearance, please contact us first to discuss.\n\n[*See the* ***Ombudsman Act 1973****, section 18P(9)*]\n\n***Other support needs***\n\nPlease bring any of the following issues to the Ombudsman's attention before the date of the compulsory appearance:\n\n If you need an interpreter, please tell us before the compulsory appearance, so that we can arrange for one to be present during the compulsory appearance.\n\n[*See the* ***Ombudsman Act 1973****, section 18P(6)*]\n\n If you have a mental impairment, please tell us before the compulsory appearance as the Ombudsman's office must arrange for an independent person to be present during the compulsory appearance. We may also ask you to provide medical evidence of the impairment.\n\n[*See the* ***Ombudsman Act 1973****, section 18P(8)*]\n\n If you are between the ages of 16 and 18 years, please contact us before the compulsory appearance as you must be accompanied by a parent, guardian or independent person.\n\n[*See the* ***Ombudsman Act 1973****, section 18P(7)*]\n\n***What will happen prior to my compulsory appearance?***\n\nIf you are required to give evidence, the witness summons issued to you will include information about the nature of the matters about which you are to give evidence, except in certain circumstances.\n\n[*See the* ***Ombudsman Act 1973****, section 18(2)(b)*]\n\n***Can I leave the compulsory appearance once it has begun?***\n\nYou may not leave a compulsory appearance except with the permission of the Ombudsman officer conducting the appearance or in one of the circumstances set out in the Act.\n\nYou will of course be allowed comfort breaks and to leave the appearance temporarily to consult with your legal representative or support person if one is present.\n\n***How will evidence be taken at the compulsory appearance?***\n\nThe compulsory appearance will be conducted by 2 appropriately authorised Ombudsman officers and will be audio or video recorded.\n\nYou may be required at the start of the compulsory appearance to either:\n\n swear an oath (swearing the truth on a religious or spiritual belief. It can be made using a religious text, such as a Bible, Tanach or Koran, but does not require one); or\n\n make an affirmation (non-religious swearing to tell the truth).\n\nThe oath and affirmation have the same effect in law. If you refuse without reasonable excuse to take an oath or make an affirmation when required, you may commit an offence to which penalties apply. Possible penalties include a fine of up to 240 penalty units or imprisonment for up to 2 years. It may also be a criminal offence, for which there are penalties associated, if you fail to tell the truth once you have taken an oath or made an affirmation.\n\n[*See the* ***Oaths and Affirmations Act 2018****, section 50*]\n\nWhen providing any information or answers to questions you must not in any way obstruct the Ombudsman or make a statement to the Ombudsman or the Ombudsman's delegate that you know is false or misleading. This could include giving an answer you know to be false or leaving out information or details.\n\nIf you mislead or obstruct the Ombudsman, you may commit an offence and could be liable to a fine of up to $1000, a penalty of 12 months' imprisonment, or both.\n\n[*See the* ***Ombudsman Act 1973****, sections 22 and 30*]\n\nThe Act overrides many obligations to maintain confidentiality or secrecy that might otherwise apply to you, including—\n\n• Victorian laws that prohibit the disclosure of information; or\n\n• Victorian laws that impose obligations to maintain secrecy; or\n\n• duties of confidentiality in relation to the disclosure of information or the production of a document or thing imposed by or under an Act or a rule of law; or\n\n• any privilege of the Crown; or\n\n• journalist privilege.\n\n[*See the* ***Ombudsman Act 1973****, section 18K(1) to (4)*]\n\nHowever, you cannot otherwise be compelled to give evidence, or to produce any document or thing, that you could not be compelled to give evidence about or produce in court proceedings.\n\n[*See the* ***Ombudsman Act 1973****, section 18K(5)*]\n\nFurther, if the investigation relates to a public interest complaint, you cannot be compelled to disclose information that is the subject of legal professional privilege. However, you may choose to waive legal professional privilege in relation to legal advice that you have been given.\n\n[*See the* ***Ombudsman Act 1973****, section 19D*]\n\nIf you believe that a particular secrecy provision may prevent you from answering certain questions, please bring this to the attention of the Ombudsman officer conducting the compulsory appearance prior to or during the appearance. You may also wish to seek legal advice prior to the appearance.\n\n***Confidentiality***\n\nInvestigations conducted by the Ombudsman are conducted in private. They are not open to the public in the way courts or tribunals are.\n\n[*See the* ***Ombudsman Act 1973****, section 17(2)*]\n\n***Public interest complaints***\n\nIf the investigation relates to a public interest complaint, it may be an offence under the **Public Interest Disclosures Act 2012** to disclose certain information about the investigation.\n\n[*See the* ***Public Interest Disclosures Act 2012****, Part 7*]\n\nFurther information about confidentiality requirements in relation to public interest complaints can be found on the Ombudsman's website, or by asking us.\n\n***Will I get a copy of the audio or video recording?***\n\nWe must ensure that an audio or video recording is made of the compulsory appearance.\n\nWith limited exceptions, the Ombudsman cannot use the evidence you give in your compulsory appearance against any person in a proceeding of a court or tribunal unless an audio or video recording is made and available as evidence.\n\nWith limited exceptions, the Ombudsman must provide you with a copy of the audio or video recording, together with a transcript if one is made. You may not be given a copy of the recording or transcript if the Ombudsman considers on reasonable grounds that it may prejudice an investigation. If you are not given a copy, you will in any case be allowed to listen to or view the recording.\n\n[*See the* ***Ombudsman Act 1973****, section 18Q*]\n\nThe Ombudsman must also give Integrity Oversight Victoria a copy of the audio or video recording and any transcript made.\n\n[*See the* ***Ombudsman Act 1973****, section 18Q(7)*]\n\n***What will my evidence be used for?***\n\nThe evidence you give in your compulsory appearance may be used as evidence for the purposes of the Ombudsman's investigation. In some instances, this may include the referencing or quoting of parts of your evidence in a final report.\n\nNot all people we ask to give evidence or produce documents are the subject of a complaint or investigation. However, if you provide information during the course of your compulsory appearance which raises concerns about your own conduct, the Ombudsman may choose to investigate these matters further.\n\n***What will happen at the end of the investigation?***\n\nThe Ombudsman is likely to complete a report of the investigation.\n\nIf the Ombudsman intends to include in the report an adverse comment or opinion about you, the Ombudsman will write to you and provide you with the relevant sections of the draft report. You will then have the opportunity to provide a response to that material.\n\nThe Ombudsman will take your response into account when completing the final report and is required to fairly set out your response in the report. Your response may also lead to changes to the report, such as omitting comments made about you.\n\n[*See the* ***Ombudsman Act 1973***, *section 25A(2)*]\n\nIf you have any questions about this Statement, please contact [*insert name of Ombudsman officer*] on [*insert contact number*].\n\n**Email:** <ombudvic@ombudsman.vic.gov.au>**.**\n\n**Website:** [**www.ombudsman.vic.gov.au**](http://www.ombudsman.vic.gov.au).\n\n*Delete if not applicable.\n\nSch. 1 Form 3 amended by S.R. No. 10/2025 reg. 5.\n\nForm 3\n\nRegulation 8\n\n**Ombudsman Act 1973**\n\nConfidentiality Notice\n\nTo: [*insert name of person subject to confidentiality notice*]\n\nAddress: [*insert address details*]\n\n**THIS CONFIDENTIALITY NOTICE IS IMPORTANT. PLEASE READ IT CAREFULLY.**\n\n**FAILURE TO COMPLY WITH THIS CONFIDENTIALITY NOTICE MAY BE AN OFFENCE.**\n\n**PENALTIES INCLUDING IMPRISONMENT MAY APPLY.**\n\n***1. What is this notice?***\n\nThis confidentiality notice is issued under section 26C(1) of the **Ombudsman Act 1973** (Vic) in respect of the following restricted matters:\n\n[*specify restricted matter or matters*]\n\nBecause you have been given this confidentiality notice, you are not permitted to disclose the above restricted matters except as described below in the section headed \"*When are you authorised to disclose information?*\".\n\nIf you disclose a restricted matter when you are not permitted to, you can face penalties including up to 12 months in prison or a fine of up to 120 penalty units or both.\n\n[*See the* ***Ombudsman Act 1973****, section 26F(1)*]\n\n*You should also note that additional obligations under sections 52 and 53 of the **Public Interest Disclosures Act 2012** relating to confidentiality of assessable disclosures and people who make assessable disclosures may apply to you.\n\n***2. Why have you been given this notice?***\n\nYou have been given this confidentiality notice because the Ombudsman considers that your disclosure of any of the restricted matters described above would be likely to prejudice:\n\n* • an investigation that is being conducted by the Ombudsman;\n\n[*See the* ***Ombudsman Act 1973****, section 26C(1)(b)*]\n\n* • an investigation that is being conducted by the Independent Broad-based Anti-corruption Commission (\"IBAC\") or Integrity Oversight Victoria;\n\n[*See the* ***Ombudsman Act 1973****, section 26C(1)(a)(i)*]\n\n* • the safety or reputation of a person;\n\n[*See the* ***Ombudsman Act 1973****, section 26C(1)(a)(ii)*]\n\n* • the fair trial of a person who has been, or may be, charged with an offence.\n\n[*See the* ***Ombudsman Act 1973****, section 26C(1)(a)(iii)*]\n\n***3. When are you authorised to disclose information?***\n\nPlease read this section carefully. You can **only** disclose a restricted matter in the circumstances stated below.\n\nIf a person or an organisation does not appear under \"You **can** disclose this restricted matter:\" or under \"Can you disclose in any other circumstances?\", then you **cannot** disclose the restricted matter to that person or organisation. For example, if \"your spouse or domestic partner\" does not appear under those headings, then you **cannot** disclose the restricted matter to your spouse or domestic partner.\n\n| **Restricted matter:**<br>[*Specify restricted matter or matters*] | You **can** disclose this restricted matter:<br>* ✓ to your spouse or domestic partner.<br>* ✓ to your employer or your manager or both.<br>* ✓ to a registered health practitioner for the purpose of seeking advice or support in relation to the investigation in respect of which this notice has been issued.<br>* ✓ to a trade union, if you are a member of that union, for the purpose of seeking advice or support in relation to the investigation in respect of which this notice has been issued.<br>* ✓ to an employee assistance program, for the purpose of seeking advice or support in relation to the investigation in respect of which this notice has been issued. |\n| --- | --- |\n\n|  | * ✓ to the Victorian WorkCover Authority for the purpose of a workers' compensation claim.<br>* ✓ for the purpose of an application to the Fair Work Commission, including any related proceeding. |\n| --- | --- |\n|  | The Ombudsman has directed that you **cannot** disclose this restricted matter:<br>* ✗ to your spouse or domestic partner.<br>* ✗ to your employer or your manager.<br>* ✗ to a registered health practitioner.<br>* ✗ to a trade union.<br>* ✗ to an employee assistance program.<br>* ✗ to the Victorian WorkCover Authority for the purpose of a workers' compensation claim.<br>* ✗ for the purpose of an application to the Fair Work Commission, including any related proceeding. |\n\n\n[*Repeat table as necessary for any restricted matter that can be disclosed in different circumstances than above.*]\n\n***Can you disclose in any other circumstances?***\n\nYou are **always** permitted to disclose a restricted matter in the following circumstances:\n\n to the IBAC, if the IBAC:\n\n referred the complaint to which the restricted matter relates to the Ombudsman; and\n\n has withdrawn that referral;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(2A)*]\n\n for the purposes of making a complaint to Integrity Oversight Victoria or the IBAC;\n\n for the purposes of complying with a witness summons served on you by Integrity Oversight Victoria under the **Integrity Oversight Victoria Act 2011** or by the IBAC under the **Independent Broad‑based Anti‑corruption Commission Act 2011**;\n\n to Victoria Police if:\n\n the Ombudsman has disclosed information relating to actual or potential criminal conduct to the Chief Commissioner of Police under section 16L of the **Ombudsman Act 1973**; and\n\n the restricted matter is relevant to an investigation by Victoria Police of the actual or potential criminal conduct;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(2B)*]\n\n if the Ombudsman directs you or authorises you to disclose a restricted matter;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(2)(a)*]\n\n if the disclosure is authorised or required by the **Ombudsman Act 1973**;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(2)(g)*]  \n\n if the disclosure is necessary for you to obtain any information, document or other thing to comply with a witness summons, a confidentiality notice, a notice cancelling a confidentiality notice or an order of the Supreme Court extending a confidentiality notice, including:\n\n to an interpreter if you do not know enough English to understand the nature of the witness summons, confidentiality notice, notice cancelling a confidentiality notice or order extending a confidentiality notice;\n\n to a parent, guardian or independent person if you are under the age of 18 years;\n\n to an independent person, if you are illiterate or have a mental, physical or other impairment that prevents you from understanding the witness summons or confidentiality notice, notice cancelling a confidentiality notice or order extending a confidentiality notice;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(2)(b)*]\n\n to a legal practitioner for the purpose of obtaining legal advice or representation in relation to an enquiry or investigation conducted by the Ombudsman under the **Ombudsman Act 1973**, or your rights, liabilities, obligations and privileges under:\n\n the **Ombudsman Act 1973**;\n\n the **Public Interest Disclosures Act 2012**;\n\n the **Independent Broad‑based Anti-corruption Commission Act 2011**;\n\n the **Integrity Oversight Victoria Act 2011**;  \n\n the Fair Work Act 2009 of the Commonwealth;\n\n the **Local Government Act 1989**;  \n\n the **Racing Act 1958**;  or  \n\n the **Freedom of Information Act 1982**;\n\nunless the Ombudsman has restricted you from being represented by or obtaining advice from that legal practitioner;\n\n[*See the* ***Ombudsman Act 1973****, sections 18M(3) and 26F(2)(c)*]\n\n if you are a legal practitioner, for the purpose of complying with a legal duty of disclosure or a professional obligation arising from your relationship with your client;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(2)(d)*]\n\n if the restricted matter disclosed is information that has been made public in accordance with the **Ombudsman Act 1973** or any other Act;\n\n[*See the* ***Ombudsman Act 1973****, section 26F(5)*]\n\n if the restricted matter disclosed is information that has been published in a report by the Ombudsman, the Integrity and Oversight Committee or any of the following investigating entities:\n\n the IBAC;\n\n Victoria Police;\n\n Integrity Oversight Victoria;\n\n the Judicial Commission, including an investigating panel appointed by the Judicial Commission;\n\n the Racing Integrity Commissioner;\n\n the Information Commissioner;\n\n the Chief Municipal Inspector;\n\n the Parliamentary Workplace Standards and Integrity Commission.\n\n[*See the* ***Ombudsman Act 1973****, section 26F(5)*]\n\n**Your obligations if you make a permitted disclosure**\n\nIf you disclose information about a restricted matter to another person because the disclosure is permitted, you must, when making that disclosure, give that person a copy of this confidentiality notice, and any order extending this confidentiality notice, unless you have a reasonable excuse for not doing so. If you do not have a reasonable excuse, you can face penalties, including up to 12 months in prison or a fine of up to 120 penalty units or both.\n\nIn addition, if this confidentiality notice is replaced by a new confidentiality notice or if it is cancelled or extended, you must give a copy of the new confidentiality notice or the notice of cancellation or extension to each person to whom you have made a disclosure, unless you have a reasonable excuse for not doing so. If you do not have a reasonable excuse, you can face penalties, including up to 12 months in prison or a fine of up to 120 penalty units or both.\n\n***4. When does this confidentiality notice expire?***\n\nThis confidentiality notice expires on the date when the first of the following events occurs:\n\n• the Ombudsman cancels this confidentiality notice and issues you with a new one that includes different restricted matters;\n\n[*See the* ***Ombudsman Act 1973****, section 26C(3) and (7)*]\n\n• the Ombudsman cancels this confidentiality notice and issues you with a new one because the Ombudsman considers on reasonable grounds that disclosure of a restricted matter specified in this notice would no longer have the effect of prejudicing—\n\n an investigation by the IBAC or Integrity Oversight Victoria; or\n\n the safety or reputation of a person; or\n\n the fair trial of a person who has been, or may be, charged with an offence; or\n\n the Ombudsman's investigation;\n\n[*See the* ***Ombudsman Act 1973****, section 26C(4) and (7)*]\n\n• the Ombudsman cancels this confidentiality notice because the Ombudsman considers on reasonable grounds that disclosure of the restricted matter or restricted matters specified in this notice would no longer have the effect of prejudicing—\n\n an investigation by the IBAC or Integrity Oversight Victoria; or\n\n the safety or reputation of a person; or\n\n the fair trial of a person who has been, or may be, charged with an offence; or\n\n the Ombudsman's investigation;\n\n[*See the* ***Ombudsman Act 1973***, *section 26C(5) and (7)*]\n\n• unless the Supreme Court has ordered the extension of this confidentiality notice, when the Ombudsman cancels this confidentiality notice at the conclusion of the investigation;\n\n[*See the* ***Ombudsman Act 1973****, section 26C(6)*]\n\n• if the date on which this confidentiality notice expires is extended by the Supreme Court, the date on which the period of extension expires.\n\n[*See the* ***Ombudsman Act 1973****, sections 26C(7) and 26D(2)*]\n\n***5. Where can you get more information about this confidentiality notice?***\n\nA copy of the relevant law about confidentiality notices is attached to this confidentiality notice.\n\nYou can also obtain legal advice about this confidentiality notice from a legal practitioner, unless the Ombudsman has restricted you from being represented by or taking advice from a specified legal practitioner.\n\n[*attach:*\n\n• *a copy of sections 26C(3) to (7), 26D and 26F of the* ***Ombudsman Act 1973*** *and an explanation of the effect of those provisions;*\n\n• *if applicable, a copy of Part 7 of the* ***Public Interest Disclosures Act 2012***.]  \n\n[*signature*]\n\n[*name*]\n\n[*title*]\n\n[*date*]\n\n*Delete if not applicable.\n\n═════════════\n\nEndnotes\n\n1 General information\n\nSee [www.legislation.vic.gov.au](http://www.legislation.vic.gov.au) for Victorian Bills, Acts and current Versions of legislation and up-to-date legislative information.\n\nThe Ombudsman Regulations 2019, S.R. No. 157/2019 were made on 17 December 2019 by the Governor in Council under section 31 of the **Ombudsman Act 1973**, No. 8414/1973 and came into operation on 1 January 2020: regulation 3.\n\nThe Ombudsman Regulations 2019 will sunset 10 years after the day of making on 17 December 2029 (see section 5 of the **Subordinate Legislation Act 1994**).\n\nINTERPRETATION OF LEGISLATION ACT 1984 (ILA)\n\nStyle changes\n\nSection 54A of the ILA authorises the making of the style changes set out in Schedule 1 to that Act.\n\nReferences to ILA s. 39B\n\nSidenotes which cite ILA s. 39B refer to section 39B of the ILA which provides that where an undivided regulation, rule or clause of a Schedule is amended by the insertion of one or more subregulations, subrules or subclauses the original regulation, rule or clause becomes subregulation, subrule or subclause (1) and is amended by the insertion of the expression \"(1)\" at the beginning of the original regulation, rule or clause.\n\nInterpretation\n\nAs from 1 January 2001, amendments to section 36 of the ILA have the following effects:\n\n• Headings\n\nAll headings included in a Statutory Rule which is made on or after  \n1 January 2001 form part of that Statutory Rule. Any heading inserted in a Statutory Rule which was made before 1 January 2001, by a Statutory Rule made on or after 1 January 2001, forms part of that Statutory Rule.  \nThis includes headings to Parts, Divisions or Subdivisions in a Schedule; Orders; Parts into which an Order is divided; clauses; regulations; rules; items; tables; columns; examples; diagrams; notes or forms.  \nSee section 36(1A)(2A)(2B).\n\n• Examples, diagrams or notes\n\nAll examples, diagrams or notes included in a Statutory Rule which is made on or after 1 January 2001 form part of that Statutory Rule. Any examples, diagrams or notes inserted in a Statutory Rule which was made before 1 January 2001, by a Statutory Rule made on or after 1 January 2001, form part of that Statutory Rule. See section 36(3A).\n\n• Punctuation\n\nAll punctuation included in a Statutory Rule which is made on or after  \n1 January 2001 forms part of that Statutory Rule. Any punctuation inserted in a Statutory Rule which was made before 1 January 2001, by a Statutory Rule made on or after 1 January 2001, forms part of that Statutory Rule.  \nSee section 36(3B).\n\n• Provision numbers\n\nAll provision numbers included in a Statutory Rule form part of that Statutory Rule, whether inserted in the Statutory Rule before, on or after  \n1 January 2001. Provision numbers include regulation numbers, rule numbers, subregulation numbers, subrule numbers, paragraphs and subparagraphs. See section 36(3C).\n\n• Location of \"legislative items\"\n\nA \"legislative item\" is a penalty, an example or a note. As from 13 October 2004, a legislative item relating to a provision of a Statutory Rule is taken to be at the foot of that provision even if it is preceded or followed by another legislative item that relates to that provision. For example, if a penalty at the foot of a provision is followed by a note, both of these legislative items will be regarded as being at the foot of that provision. See section 36B.\n\n• Other material\n\nAny explanatory memorandum, table of provisions, endnotes, index and other material printed after the Endnotes does not form part of a Statutory Rule. See section 36(3)(3D)(3E).\n\n2 Table of Amendments\n\nThis publication incorporates amendments made to the Ombudsman Regulations 2019 by statutory rules, subordinate instruments and Acts.\n\n–––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––\n\nOmbudsman Amendment Regulations 2025, S.R. No. 10/2025\n\n| *Date of Making:* | 25.3.25 |\n| --- | --- |\n| *Date of Commencement:* | 25.3.25 |\n\n\n–––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––\n\n3 Explanatory details\n\n**Penalty Units**\n\nThese Regulations provide for penalties by reference to penalty units within the meaning of section 110 of the **Sentencing Act 1991**. The amount of the penalty is to be calculated, in accordance with section 7 of the **Monetary Units Act 2004**, by multiplying the number of penalty units applicable by the value of a penalty unit.\n\nThe value of a penalty unit for the financial year commencing 1 July 2024 is $197.59.\n\nThe amount of the calculated penalty may be rounded to the nearest dollar.\n\nThe value of a penalty unit for future financial years is to be fixed by the Treasurer under section 5 of the **Monetary Units Act 2004**. The value of a penalty unit for a financial year must be published in the Government Gazette and a Victorian newspaper before 1 June in the preceding financial year.","sortOrder":0}],"analysis":{"kimi_summary":{"content_quality":"ok","complexity_score":4,"scope_assessment":{"changed":false,"description":"The regulations remain tightly focused on their original purpose: prescribing procedural and administrative matters for Ombudsman investigations. The 2025 amendments (Version 002) appear limited to technical updates to Forms 2 and 3 rather than expansion into new substantive areas. The scope aligns with the authorising provision (section 31 of the Ombudsman Act 1973) which specifically empowers regulations for 'prescribing matters required or permitted to be prescribed' and 'matters necessary or convenient to be prescribed'."},"complexity_factors":["Extensive cross-referencing to the Ombudsman Act 1973 (at least 25 distinct section references)","Multiple conditional disclosure pathways in Form 3 (confidentiality notice) with permitted/prohibited recipient categories","Nested exceptions within exceptions for confidentiality (e.g., disclosure permitted to lawyers unless Ombudsman restricts specific practitioner)","Age-based conditional logic (under 16 exempt entirely, 16–18 requires accompaniment)","Overlapping statutory schemes requiring navigation between Ombudsman Act, Public Interest Disclosures Act 2012, IBAC Act, and Integrity Oversight Victoria Act","Prescribed forms with extensive instructional text and multiple optional/deletion clauses marked with asterisks"],"plain_english_summary":"**What this legislation does:**\n\nThese regulations set out the practical rules for how the Victorian Ombudsman can compel people to give evidence or produce documents during investigations. They create standard forms and procedures to ensure people understand their rights and obligations when summoned to appear.\n\n**Who it affects:**\n\n- **People summoned by the Ombudsman** — anyone required to attend a compulsory appearance or produce documents\n- **Vulnerable witnesses** — children aged 16–18, people with mental impairments, and those needing interpreters\n- **Parents, guardians and support persons** — who may need to accompany or assist witnesses\n- **Legal practitioners** — who may represent witnesses, subject to some restrictions\n\n**Key things the regulations cover:**\n\n- **Witness summonses** — the standard form that must be used, including warnings about penalties for non-compliance (fines up to around $47,000 or 2 years imprisonment)\n- **Rights statements** — a detailed form explaining what witnesses can and cannot do, including:\n  - When they can refuse to answer (self-incrimination, irrelevance)\n  - Right to legal advice and representation\n  - Right to interpreters and support persons\n  - How evidence will be recorded and used\n- **Special protections** — extra steps for young people (16–18) and those with mental impairments, requiring parents/guardians/independent persons to be informed of rights\n- **Confidentiality notices** — strict rules about who witnesses can talk to about the investigation, with criminal penalties for breaches (up to 12 months prison or $23,000+ in fines)\n\n**Why it matters:**\n\nThese regulations balance the Ombudsman's power to investigate serious misconduct against important safeguards for individual rights. They ensure people know what they're getting into when summoned, understand when they can say \"no,\" and are protected from undue pressure. The confidentiality rules are particularly significant — they can prevent witnesses from discussing the investigation even with family members, creating real legal risks for accidental disclosure."},"flash_summary_failed":{"failed":true,"reason":"A positive credit balance is required for all requests, including BYOK, so fallback providers remain available. Add credits at https://vercel.com/d?to=%2F%5Bteam%5D%2F%7E%2Fai%3Fmodal%3Dtop-up to continue.","source":"analysis-cron"},"summary":{"complexity_score":2,"scope_assessment":{"changed":false,"description":"Based on the available content, there is no evidence that the scope of this legislation changed from its original intent. It appears to remain a standard set of supporting regulations for the Ombudsman Act, consistent with its 'as made' version."},"complexity_factors":["Very limited substantive content was provided — mostly metadata, version history, and structural formatting","Regulations of this type are generally straightforward subordinate legislation (rules that support a parent Act)","No complex cross-references, technical definitions, or multi-layered provisions are visible in the provided text","Standard statutory rule format with no apparent novel or contentious legal mechanisms"],"plain_english_summary":"The Regulations set out the administrative and procedural details that support Victoria’s Ombudsman Act, governing how the Ombudsman’s office operates, including processes, forms and fees. They affect members of the public who make complaints, government agencies and public servants under oversight, and the Ombudsman’s staff. These rules matter because they shape how complaints are handled and ensure consistent, fair administration."},"flash_summary":{"complexity_score":3,"scope_assessment":{"changed":false,"description":"The Regulations do not expand the Ombudsman’s substantive investigatory powers. They implement the Ombudsman Act 1973 by prescribing forms, specified pre-questioning actions, and a standard confidentiality notice (regs 5–8; Schedule 1). Amendments noted in 2025 modify form content (Forms 2 and 3) and administrative detail but do not alter the statutory scope of the Ombudsman’s functions as authorised under section 31 of the Act."},"complexity_factors":["Cross-references to multiple statutes increase interpretive work (Ombudsman Act 1973, Oaths and Affirmations Act 2018, Public Interest Disclosures Act 2012, Integrity Oversight Victoria Act 2011, IBAC Act 2011, Sentencing Act 1991, Monetary Units Act 2004)","Detailed prescribed forms and attached statements (Forms 1–3) require precise completion and attachment (reg 5(1)–(2); Schedule 1)","Procedural prescriptions for presiding officers before questioning (oath for interpreters; informing parents/guardians/independent persons) create discrete compliance steps (reg 7)","Discretion for the Ombudsman to restrict legal representation or disclosure creates case-by-case administrative decision-making (Form 2 references Ombudsman Act s18M)","Confidentiality notice contains layered permitted disclosures, mandatory notice-giving obligations and expiry/cancellation rules—complex exceptions and authorised recipients (Form 3; reg 8; Ombudsman Act s26C/26F referenced)","Criminal and monetary penalties attach to non-compliance and unauthorised disclosure, tied to penalty units and sentencing rules (Forms 1–3; Endnotes on penalty unit value)","Special provisions for minors and persons with mental impairment impose additional procedural safeguards and evidentiary steps (reg 7(1)(b); Form 2)","Obligations about audio/video recordings and provision of copies create administrative burdens on the Ombudsman’s office (Form 2; Ombudsman Act s18Q cited)","2025 amendment references update form content (Sch. 1 notes amendments by S.R. No. 10/2025) which requires keeping templates and practice current"],"plain_english_summary":"These Regulations set out the exact forms and narrow procedures the Ombudsman must use when issuing witness summonses, giving a statement of rights for compulsory appearances, taking certain steps before questioning (for example administering an oath to interpreters and informing parents/guardians/independent persons), and issuing confidentiality notices (Forms 1–3). They apply to people served with summonses, their support or legal representatives, and Ombudsman officers. The Ombudsman issues summonses and notices, may restrict representation or disclosure, and non‑compliance or unauthorised disclosure carries statutory penalties. 2025 amendments update some forms but do not expand investigative powers."},"issue_detection":{"absurdities":[],"contradictions":[]}},"importantCases":[],"_links":{"self":"/api/acts/ombudsman-regulations-2019","history":"/api/acts/ombudsman-regulations-2019/history","analysis":"/api/acts/ombudsman-regulations-2019/analysis","conflicts":"/api/acts/ombudsman-regulations-2019/conflicts","importantCases":"/api/acts/ombudsman-regulations-2019/important-cases","documents":"/api/acts/ombudsman-regulations-2019/documents"}}