Reports of a breach of the Code may be received by the Authority as a result of mandatory reporting by an industry participant or as a result of voluntary reporting by any person.

If the Authority decides that a reported breach should be investigated, it appoints an investigator.

The investigator—

If a settlement is reached, it is submitted to the Authority, which must either accept or reject it.

If a settlement is not reached, or if the Authority rejects a settlement, the Authority may lay a formal complaint with the Rulings Panel, in which case the investigator formulates the complaint and submits it to the Rulings Panel on the Authority’s behalf.

If the Authority decides not to lay a formal complaint, an industry participant that was a party to the investigation and that has suffered loss as a result of it may independently lay a formal complaint with the Rulings Panel.

This regulation is by way of explanation only. If any other provision of the Act or these regulations conflicts with it, the other provision prevails.

Any person may complain, in writing, to an industry participant about any business activity of the industry participant that the person believes might constitute a breach of the Code.

An industry participant to which a complaint is made under regulation 5 must ensure that the complaint is promptly, thoroughly, and fairly investigated by the industry participant, and that appropriate action is taken.

The industry participant must promptly give written notice of the result of the investigation and the action (if any) taken by the industry participant to both—

If an industry participant believes on reasonable grounds that it or another industry participant has breached a provision of Part 7, 8, 9, or 13 of the Code that is about common quality or security, or any related provision in Part 17 of the Code, the industry participant must report the alleged breach to the Authority as soon as practicable after it becomes aware of the alleged breach.

The report must be in writing and must specify—

This regulation does not limit any specific obligation to report a breach that is imposed on an industry participant elsewhere in these regulations or the Code.

An industry participant that fails to comply with subclause (1) commits an offence and is liable on conviction to a fine not exceeding $20,000.

An industry participant that believes, on reasonable grounds, that another industry participant or a specified person has breached the Code must report the breach or possible breach to the Authority as soon as possible.

The report must be in writing and must specify—

This regulation does not limit any specific obligation to report a breach that is imposed on an industry participant elsewhere in these regulations or the Code.

Any person other than an industry participant who believes on reasonable grounds that an industry participant or a specified person has breached the Code may report the alleged breach to the Authority.

The Authority must keep confidential all information provided or disclosed to it under this Part except to the extent that disclosure is required to enable the Authority to carry out its obligations and duties under the regulations or the Code or is otherwise compelled by law.

The Authority may decline to take action on any report of an alleged breach if—

If the Authority decides not to take further action, it must inform the industry participant or other person that reported the breach—

Unless the Authority decides, under regulation 11, to take no further action in relation to a reported breach, the Authority—

The Authority may appoint as investigator any person who it thinks has the requisite skills and experience to carry out the investigation.

The appointment must be made in writing and may be on a permanent or a temporary basis.

An investigator has and may exercise—

In appointing an investigator, the Authority must take reasonable steps to ensure that the appointed person is free of conflicts of interest in carrying out the investigation.

For the purpose of carrying out an investigation, the investigator may appoint any external auditor, technical expert, or other person whom the investigator thinks fit to give advice or assistance to the investigator.

In appointing a person under this regulation, the investigator must take reasonable steps to ensure that the appointed person is free of conflicts of interest in carrying out the investigation.

Investigators must keep, and must ensure that all persons appointed under regulation 14 keep, confidential all information provided or disclosed to them, except to the extent that disclosure—

An investigator who requires an industry participant or a specified person to disclose information must also require the participant or specified person to identify which of that information the participant or specified person—

Before commencing an investigation, an investigator must promptly notify the industry participant or specified person alleged to have breached the Code of the allegations that are being investigated.

The notice must be in writing and must specify—

The investigator must use reasonable endeavours to give the notice within 5 working days after being appointed in relation to the breach.

Within 10 working days after receiving the notice (or any longer period that the investigator allows in writing), the recipient must respond to the allegations, in writing, to the investigator.

At the same time as the investigator sends a notice under regulation 16, the investigator must publicise the information about the matter under investigation, including the content of the notice given under that regulation.

Within 10 working days after the investigator publicises the matter under investigation under subclause (1), any industry participant may notify the investigator that it considers that it was or is affected by the matter being investigated and wishes to become a party to the investigation.

On giving notice, the industry participant is joined as a party to the investigation.

The parties to an investigation are as follows:

This regulation applies to a report provided by an investigator to the Authority under any of the following regulations:

A report to which this regulation applies must set out sufficient detail to enable the Authority to decide whether a formal complaint on the matter should be made to the Rulings Panel.

To the extent that is reasonably practicable and appropriate to the circumstances applying to the report, the report must set out or specify the following:

An investigator appointed to investigate an alleged breach must conduct an investigation of the facts surrounding the alleged breach.

If an industry participant or a specified person that has received notification under regulation 16(1) does not respond within the time allowed under regulation 16(4), the investigator must proceed to investigate the facts surrounding the alleged breach (as required by regulation 20) and then give the Authority a report that—

As soon as practicable after receiving the report and recommendation, the Authority must decide whether to—

An investigator must endeavour to effect an informal resolution (a settlement) of every matter under investigation, by agreement between the parties to the investigation.

The investigator must endeavour to effect the settlement within 30 working days after the notification referred to in regulation 16, or any longer period agreed to in writing between the investigator and any party.

The investigator may, after consultation with the parties to the investigation, use any process that the investigator thinks fit for the purpose of effecting a settlement between the parties.

If the parties to an investigation do not enter into a settlement within 30 working days after the notification referred to in regulation 16, or within any longer period agreed by the investigator in writing, the investigator must prepare a report that—

If, within 10 working days after the notification referred to in regulation 16, the only party to the investigation is an industry participant that self-reported under regulation 7, the investigator must prepare a report that complies with subclause (1) as soon as practicable.

As soon as practicable after receiving the report, the Authority must decide whether to—

Every settlement must—

The parties to the investigation must notify their acceptance of the terms of the settlement in writing to the investigator.

The investigator must provide to the Authority—

On receiving a settlement, the Authority must either—

The Authority must publicise the terms of every settlement approved under regulation 24(4)(a).

However, the Authority may decide not to publicise any part, or all, of a particular settlement if the Authority considers that there are special circumstances that justify the non-publication.

An industry participant that was not a party to a settlement may make a further report to the Authority under regulation 7 or 8 in relation to a matter dealt with in the settlement only if it can demonstrate to the Authority’s satisfaction that—

If the Authority rejects a settlement under regulation 24(4)(b), it must decide whether a formal complaint should be laid.

If the Authority decides that a formal complaint should be laid, regulation 30 applies.

If the Authority decides that no complaint should be laid, it must—

If the investigator endeavours to effect a settlement under a direction under this regulation, regulations 22 to 26 apply again, except that the time referred to in regulation 22 must be taken to be 15 working days from the date of the direction, and the investigator may not allow further time.

If the Authority decides, under regulation 21, 23, or 27, to discontinue an investigation, it must—

The Authority must publicise every decision made under regulation 21(2), 23(3), or 27(1), together with the reasons for the Authority’s decision.

However, the Authority may decide not to publicise any part, or all, of a particular decision if the Authority considers that there are special circumstances that justify the non-publication.

If the Authority decides to lay a formal complaint with the Rulings Panel, the investigator must—

The investigator must use reasonable endeavours to provide the complaint and report to the Rulings Panel within 5 working days after the Authority’s decision to lay a formal complaint.

A copy of the complaint and report must also be sent to each party to the investigation.

An industry participant may lay a formal complaint with the Rulings Panel against another industry participant or a specified person allegedly in breach if—

The industry participant must lay the complaint in writing with the Rulings Panel—

The complaint may contain any additional evidence or material that the industry participant laying the complaint thinks fit.

The Minister may recommend a person to be appointed as a member of the Rulings Panel only if the person has, in the Minister’s opinion, the appropriate knowledge, skills, and experience to assist the Rulings Panel to perform its functions.

A person may be appointed as a member of the Rulings Panel only if he or she has—

A person is disqualified from being a member of the Rulings Panel if the person—

A member of the Rulings Panel holds office for the term specified in his or her notice of appointment, which may be up to 5 years.

A member—

This regulation is subject to regulation 94.

No vacancy in, or failure to appoint a member of, the Rulings Panel affects the ability of the Rulings Panel to act.

The acts of a person as a member are valid even if—

A member ceases to hold office if he or she—

A member may resign from office by written notice to the Minister (with a copy to the Rulings Panel) signed by the member.

The resignation is effective on receipt by the Minister of the notice, or at any later time specified in the notice.

The Governor-General may at any time, for just cause, on the advice of the Minister given after consultation with the Attorney-General, remove a member from office.

The removal must be made by written notice to the member (with a copy to the Rulings Panel) that states—

The Minister must give public notice of the removal, by notice in the Gazette, as soon as practicable after the notice referred to in subclause (2) is given.

In this regulation, just cause includes misconduct, inability to perform the functions of the office, and neglect of duty.

A member of the Rulings Panel is not entitled to any compensation or other payment or benefit relating to his or her removal from office.

The chairperson and the deputy chairperson each hold that office from the date stated in the notice of appointment until he or she—

A chairperson or deputy chairperson may, without resigning as a member, resign from that office by written notice to the Minister (with a copy to the Rulings Panel).

The resignation is effective on receipt by the Minister of the notice, or at any later time specified in the notice.

If there is no chairperson or, for any reason, the chairperson is unable to perform his or her functions, duties, and powers as chairperson, the deputy chairperson has all the functions, duties, and powers of the chairperson.

A member is interested in a transaction of, or other matter relating to, the Rulings Panel or any industry participant if, and only if, the member—

A member who is interested in a transaction or proposed transaction of, or in another matter relating to, the Rulings Panel or any industry participant must disclose the nature of the interest in accordance with regulation 103 as soon as practicable after the member becomes aware that he or she is interested.

If regulation 102 applies, the member must disclose the details listed in subclause (2) in an interests register and to—

The details are—

A member who is interested in a transaction or proposed transaction of, or in another matter relating to, the Rulings Panel or any industry participant—

A contract or other enforceable obligation may be entered into by the Rulings Panel as provided in subclauses (2) to (4).

An obligation that, if entered into by an individual, is required to be by deed, may be entered into on behalf of the Rulings Panel in writing, signed under the name of the Rulings Panel by—

An obligation that, if entered into by an individual, is required to be in writing may be entered into on behalf of the Rulings Panel in writing by a person acting under the Rulings Panel’s express or implied authority.

An obligation that, if entered into by an individual, is not required to be in writing may be entered into on behalf of the Rulings Panel in writing or orally by a person acting under the Rulings Panel’s express or implied authority.

This regulation applies to a contract or other obligation—

The Rulings Panel may, by an instrument in writing executed in accordance with regulation 105(2), appoint a person as its attorney either generally or in relation to a specified matter.

An act of the attorney in accordance with the instrument binds the Rulings Panel.

The validity or enforceability of any deed, agreement, right, or obligation entered into, or incurred by, the Rulings Panel is not affected by a failure of the Rulings Panel to comply with any provision of these regulations.

A person purporting to execute any documentation on behalf of the Rulings Panel under any authority is, in the absence of proof to the contrary, presumed to be acting in accordance with that authority.

The Rulings Panel must, if it employs employees,—

For the purposes of this regulation, a good employer is an employer who operates a personnel policy containing provisions generally accepted as necessary for the fair and proper treatment of employees in all aspects of their employment, including provisions requiring—

For the purposes of this regulation, an equal employment opportunities programme means a programme that is aimed at the identification and elimination of all aspects of policies, procedures, and other institutional barriers that cause or perpetuate, or tend to cause or perpetuate, inequality in respect of the employment of any persons or group of persons.

If the Governor-General, by Order in Council, requires it, the Rulings Panel must not agree to the terms and conditions of employment, or an amendment to those terms and conditions, for an employee without—

The Order in Council may relate to all employees or classes of employees.

A failure to comply with this regulation does not invalidate the acts of an employee of the Rulings Panel.

No person is, by reason only of that person’s appointment as a member of, or employment by, the Rulings Panel, deemed to be employed in the State services for the purposes of the Public Service Act 2020 or in the Government service for the purposes of the Government Superannuation Fund Act 1956.

No member or employee of the Rulings Panel is personally liable for—

The Rulings Panel may effect insurance cover for the Rulings Panel, and for a member and office holder of the Rulings Panel, in relation to the acts or omissions of the Rulings Panel, member, or office holder, except an act or omission that is—

As early as practicable before the beginning of each financial year, the chairperson of the Authority and the chairperson of the Rulings Panel must agree on a budget for the expenses anticipated by the Rulings Panel, and on any performance objectives for the next 12 months.

Each month, the Rulings Panel must provide the Authority with a written report on actual costs incurred during the month compared with budgeted costs.

If the Rulings Panel anticipates incurring expenditure in excess of any budgeted amount, it must notify the Authority and apply for a variation to the agreed budget.

At the end of each quarter of the financial year, the Rulings Panel must provide the Authority with—

At the end of each financial year, the Rulings Panel must provide the Authority with an annual report—

The Rulings Panel must keep confidential all information provided or disclosed to it under these regulations or the Code except to the extent that disclosure—

A member who has information in his or her capacity as a member that would not otherwise be available to him or her must not disclose that information to any person, or make use of or act on that information, except—

The Rulings Panel may prohibit the publication or communication of any information or document—

The Rulings Panel may make the prohibition only after it has had regard to the following factors:

The Rulings Panel may make the prohibition—

The Rulings Panel must publicise its procedures for dealing with matters before it, including summaries of procedures prescribed by these regulations and the Code and any other procedures determined by the Rulings Panel itself.