(1) Where it appears to a prescribed supervisor of an officer that a prescribed incident has occurred in such circumstances as to render the officer liable under section 70AB of the Act to pay an amount to the Commonwealth in respect of the prescribed incident, the prescribed supervisor shall, as soon as practicable, cause to be given to the officer a notice in writing signed and dated by the prescribed supervisor that:
(a) specifies:
(i) the name and appointment of the prescribed supervisor; and
(ii) the prescribed incident to which the notice relates;
(b) invites the attention of the officer to the provisions of Part XIIA of the Act and of this Part; and
(c) complies with subregulation (2).
(2) There shall be included in a notice referred to in subregulation (1):
(a) where it appears to the prescribed supervisor that the circumstances of the prescribed incident are such as to warrant the holding of an investigation:
(i) a statement to that effect; and
(ii) if the investigation is, in accordance with this regulation, to be carried out by an investigation committee, a request to the officer to whom the notice is addressed to the effect that, within the period of 7 days following the receipt of the notice, the officer furnish to the prescribed supervisor the name of the organization referred to in paragraph (7) (a) of which he is a member or, if he is not a member of such an organization, that he nominate, within that period, not more than 3 persons (being persons that are not disqualified under subregulation (4) for being appointed or selected as members of the investigation committee) as persons from whom a member of the committee may be selected in accordance with paragraph (7) (b); or
(b) where it appears to the prescribed supervisor that the circumstances of the prescribed incident are such as not to warrant the holding of an investigation:
(i) a statement to that effect;
(ii) a statement to the effect that the officer to whom the notice is addressed may, by notice in writing signed by him and given to the prescribed supervisor not later than 7 days after the receipt by the officer of the first-mentioned notice, request the holding of an investigation into the prescribed incident; and
(iii) if, in the event that the officer were to request the holding of such an investigation, the investigation would, in accordance with this regulation, be carried out by an investigation committee, a request to the effect that, at the time of the giving of any notice under subparagraph (ii), the officer furnish to the prescribed supervisor the name of the organization referred to in paragraph (7) (a) of which he is a member or, if he is not a member of such an organization, that he nominate, at that time, not more than 3 persons (being persons that are not disqualified under subregulation (4) for being appointed or selected as members of such an investigation committee) as persons from whom a member of the committee may be selected in accordance with paragraph (7) (b).
(3) Where:
(a) a prescribed supervisor has given to an officer a notice under subregulation (1), being a notice to which paragraph (2) (a) applies; or
(b) an officer has, within the time specified in subparagraph (2) (b) (ii), given to the prescribed supervisor by whom a notice under subregulation (1) was given to the officer a notice of the kind referred to in that subparagraph;
the prescribed supervisor shall, as soon as practicable after the giving of the notice referred to in paragraph (a) or of the notice last referred to in paragraph (b), as the case requires, cause an investigation into the prescribed incident to be held under this regulation.
(4) Except where subregulation (5) applies, an investigation under this regulation shall be carried out by a committee established for that purpose and consisting of the following members:
(a) a chairman appointed by the relevant supervisor;
(b) a member appointed by the relevant supervisor in accordance with subregulation (6); and
(c) a member selected in accordance with subregulation (7);
none of whom is a person who is, at the time of the appointment of the committee, or was, at the time at which the relevant incident occurred, a prescribed supervisor in relation to the relevant officer.
(5) Where:
(a) an investigation is to be held under this regulation; and
(b) it appears to the relevant supervisor:
(i) in the case of an investigation into a loss of, or deficiency in, public moneys — that the amount of the loss or deficiency does not exceed $100;
(ii) in the case of an investigation into the loss or destruction of other property of the Commonwealth — that the value of the property does not exceed $100; or
(iii) in the case of an investigation into damage to such property — that the expense of repairing the damage or the value of the property does not exceed $100;
the relevant supervisor shall appoint an officer (not being an officer who is at the time of his appointment, or was, at the time at which the relevant incident occurred, a prescribed supervisor in relation to the relevant officer) for the purpose of carrying out the investigation.
(6) The member of an investigation committee referred to in paragraph (4) (b) shall, so far as it is practicable, be a person other than:
(a) in a case where the relevant officer in relation to the investigation is, or was at the time at which the relevant incident occurred, an officer performing duties in a Department — an officer performing duties in that Department;
(b) in a case where the relevant officer in relation to the investigation is, or was at the time at which the relevant incident occurred, a member of an arm of the Defence Force rendering service in a particular unit or at a particular place or establishment — a member of that arm of the Defence Force rendering service in that unit or at that place or establishment;
(c) in a case where the relevant officer in relation to the investigation is, or was at the time at which the relevant incident occurred, a person referred to in paragraph (b), (d), (e), (f) or (g) of the definition of officer in subsection 70AA (1) of the Act — a person referred to in that paragraph; or
(d) in a case where the relevant officer in relation to the investigation is, or was at the time at which the relevant incident occurred, a person included in a class of persons described in the table in subregulation 126B (2) — a person included in that class.
(7) The member of an investigation committee referred to in paragraph (4) (c) shall be:
(a) in a case where the relevant officer is a member of an organization within the meaning of the Industrial Relations Act 1988, being an organization which persons engaged in the employment in which the relevant officer is engaged are, by reason of that employment, eligible to join — a person appointed by that organization or, if that organization fails so to appoint a person within 7 days of a request being made to it by the relevant supervisor to do so, an officer appointed by the relevant supervisor; or
(b) in any other case:
(i) if the relevant officer has, in pursuance of a request referred to in subparagraph (2) (a) (ii) or (2) (b) (iii), nominated only one person for selection as a member of the committee — the person so nominated;
(ii) if the relevant officer has, in pursuance of a request referred to in subparagraph (2) (a) (ii) or (2) (b) (iii), nominated more than one person as persons from whom a member of the committee may be selected — a person appointed by the relevant supervisor from among the persons so nominated; or
(iii) if the relevant officer has failed to make, in compliance with a request referred to in subparagraph (2) (a) (ii) or (2) (b) (iii), any nomination in relation to the selection, in accordance with this paragraph, of a member of the committee, or if the person, or each of the persons, nominated by the relevant officer in pursuance of such a request declines to be a member of the committee — a person appointed by the relevant supervisor.
(8) Upon the appointment of an investigator or the establishment of an investigation committee under this regulation for the purpose of carrying out an investigation, the relevant supervisor shall give to the relevant officer a notice in writing in accordance with subregulation (9).
(9) A notice referred to in subregulation (8) in relation to an investigation shall:
(a) specify the date, time and place appointed for the investigation and the name and address of the investigator or of each member of the investigation committee;
(b) identify the prescribed incident that is to be investigated;
(c) invite the relevant officer in relation to the investigation to make a written submission to the investigator or to the committee within such period, being a period of not less than 7 days after the giving of the notice, as is specified in the notice;
(d) specify the address to which any such written submission may be forwarded; and
(e) inform the relevant officer that he may make oral submissions to the investigator or to the committee instead of, or in amplification of, any such written submission.
(10) Where:
(a) a relevant officer to whom notice of the appointment of an investigator or of the establishment of an investigation committee has been given in accordance with subregulation (9), for a valid reason, has failed to make, or cannot reasonably be expected to make, a written submission to the investigator or to the committee within the period specified in the notice; and
(b) the relevant officer (whether before or after the expiration of that period) applies in writing addressed (as the case requires) to the investigator or to the chairman of the committee and stating the reason for his application for an extension of the period within which he may make such a submission, the investigator or the chairman of the committee may, by writing under his hand, specify a longer period within which the relevant officer may forward a written submission to the investigator or to the committee.
(11) On an investigation under this regulation:
(a) the procedure is, subject to the Act and these Regulations, within the discretion of the investigator or of the chairman of the committee, as the case may be;
(b) the proceedings shall be conducted in private with as little formality and technicality, and with as much expedition, as the requirements of the Act and these Regulations and a proper consideration of the matters being investigated permit;
(c) the investigator or the investigation committee is not bound by rules of evidence;
(d) the investigator or the investigation committee is entitled to full and free access to accounts and records relating to the relevant incident and may make copies of, or take extracts from, any such accounts and records; and
(e) the investigator or the investigation committee shall, subject to subregulation (12):
(i) afford the relevant officer, and any other officer who appears to the investigator or the committee to have caused, or contributed to, the relevant incident, a reasonable opportunity to make such oral or written submissions as that officer thinks fit; and
(ii) accommodate any reasonable request made by an officer referred to in subparagraph (i) for the examination of a witness.
(12) Before:
(a) receiving any submissions from an officer (other than the relevant officer) under subparagraph (11) (e) (i); or
(b) examining any officer as a witness under subparagraph (11) (e) (ii);
an investigator or an investigation committee shall provide that officer with a notice in writing inviting the attention of the officer to the provisions of Part XIIA of the Act and of this Part.
(13) The relevant supervisor may, at the request of an investigator or investigation committee, make available officers, or engage other persons, to assist the investigator or committee in the carrying out of the relevant investigation.
(14) Subject to subregulation (15), an investigator or the chairman of an investigation committee shall, not later than 3 months after the appointment of the investigator or the establishment of the committee, submit to the relevant supervisor a report of the investigation carried out by the investigator or the committee setting out:
(a) the findings of the investigator or of the committee regarding the circumstances in which the relevant incident occurred including, in particular, any defects in official practices and procedures with respect to public moneys and property of the Commonwealth that, in the opinion of the investigator or of the committee, contributed to the relevant incident;
(b) the amount that, in the assessment of the investigator or of the committee, is equal to:
(i) in the case of an investigation into a loss of, or deficiency in, public moneys — the amount of the loss or deficiency;
(ii) in the case of an investigation into loss or destruction of property — the value of the property lost or destroyed; or
(iii) in the case of an investigation into damage to property — the expense of repairing the damage to the property and the value of the property;
(c) where, in the opinion of the investigator or of the committee, subsection 70AB (1) or (2) of the Act applies:
(i) the names of all officers who, in the opinion of the investigator or of the committee, caused, or contributed to, the relevant incident by their misconduct or gross negligence;
(ii) the extent to which, in the opinion of the investigator or of the committee, any such officer should be held responsible for the loss, deficiency, destruction or damage comprised in the relevant incident; and
(iii) the reasons in support of the conclusions of the investigator or of the committee, including, in particular, the reasons in support of a conclusion that an officer displayed, in the performance of his duties, a deliberate or serious disregard of reasonable standards of care;
(d) where, in the opinion of the investigator or of the committee, subsection 70AB (4), (5) or (8) of the Act applies:
(i) the name of the officer who held, or had the control of, the public moneys lost or in which a deficiency occurred or had the control of the property lost, destroyed or damaged, as the case requires; and
(ii) whether, in the view of the investigator or of the committee, subsection 70AB (7) or (9) of the Act applies in relation to that officer;
(e) particulars of any mitigating circumstances that support a reduction in the liability (if any) of any officer, including, in particular:
(i) the extent of the work experience of the officer;
(ii) the extent to which the officer was supervised in the performance of such of his duties as related to the public moneys or property in relation to which the relevant incident occurred;
(iii) the adequacy of official instructions given to the officer with respect to those duties;
(iv) the conditions under which, at the time at which the relevant incident occurred, the officer was required to perform his duties, including his workload and the facilities for the performance of those duties;
(v) the reliability and efficiency of the officer in the performance of his duties generally; and
(vi) the amount of any allowances to which the officer was entitled by way of compensation for the assumption of responsibility for any prescribed incident; and
(f) any other relevant matter that comes to the notice of the investigator or of the committee.
(15) The relevant supervisor may, at the request of an investigator or of the chairman of an investigation committee made before the expiration of time for the submission of a report under subregulation (14), extend that time by such period, not exceeding 3 months, as he thinks fit.
(16) The report of an investigator or of the chairman of an investigation committee under subregulation (14) shall include:
(a) a record of each objection (if any) made by the relevant officer or any other officer or witness appearing before the investigator or the committee in relation to the procedure adopted at the investigation;
(b) an explanation of any refusal by the investigator or committee to accommodate a request for the examination of a witness; and
(c) in the case of a report of an investigation committee — a record of any dissenting opinion of a member of the committee.
(17) Where an investigation committee, after carrying out an investigation into a prescribed incident under this regulation, is of the opinion that an officer is liable under section 70AB of the Act to pay an amount to the Commonwealth in respect of the prescribed incident:
(a) the committee shall invite the officer to furnish the committee with information regarding the current and prospective income and expenditure, and the current and prospective assets and liabilities, of the officer; and
(b) the chairman of the committee shall include in his report under subregulation (14) any information so furnished by the officer.
(18) Upon receipt of a report under subregulation (14), the relevant supervisor shall cause a copy of the report to be given to:
(a) the relevant officer;
(b) any other officer identified in the report as an officer who, in the opinion of the investigator or a member of the investigation committee (as the case may be), should be held liable to make good, in whole or in part, the loss, deficiency, destruction or damage comprised in the relevant incident; and
(c) the Secretary of the Department of Finance;
and may cause a copy of the report to be given, upon request, to any other person.