Key Issues in Corporate Criminal Liability Alistair Wyvill SC & Lyma Nguyen 2 August 2016 CPD for NT Law Society
Key Issues in Corporate Criminal Liability
AlistairWyvillSC&LymaNguyen
2August2016CPDforNTLawSociety
OVERVIEW
• PART1:PrinciplesofCorporateCriminalResponsibility(ModelCode)• CriminalCode1995(Cth)• PartIIAACriminalCode(NT)
• Part2:PrinciplesunderPartIIandCommonLaw• PartIICriminalCode(NT)• CommonLaw
• Part3:Sentencing• Part4:CommonIssuesinProsecuEngandDefendingCorporaEons
• CorporaIonsAct2001(Cth)&CorporaIons(Aboriginal&TorresStraitIslander)Act2006(Cth)• OmissionOffending&LegalDuIes
• StatuteofLimitaIons
• BroaderConsideraIons
PART 1
• PrinciplesofCorporateCriminalResponsibilityundertheModelCode
Criminal Code (Cth) & Criminal Code (NT)
• Ch2,CriminalCode1995(Cth)andPartIIAA,CriminalCode(NT)bothbasedononModelCode• DefiniEonof“person”includesbodycorporate
• s17,Interpreta(onAct(NT)-“personincludesabodypoliIcandabodycorporate”• s2C,ActsInterpreta(onAct1901(Cth)
• (1)“person”,“party”,“somone”,“anyone”,“no-one”,“one”,“another”and“whoever”includesabodypoliIcorcorporateaswellasanindividual
• HowtheCodesdealwithCorporateCriminalResponsibility–iecorporaIonbeingalegalenItybutbeingapersonwithamindofitsown:• CthCode:Div12.1,Part2.5• NTCode:Div5,PartIIAA• CthCode,s12.1(1)/s43BKNTCode–GeneralPrinciples
• Codeappliestobodiescorporateinsamewayasindividuals/naturalpersons(withmodificaIonssetoutinthelegislaIon)
• Bodycorporatemaybefoundguiltyofanyoffence,includingonepunishablebyimprisonment
Physical Elements
• CthCode,s12.2–PhysicalElements• NTCode,s43BL–PhysicalElements
• IfaphysicalelementofanoffenceiscommiYedbyanemployee,agentorofficerofabodycorporateacEngwithintheactualorapparentscopeofhisorheremployment,orwithinhisorheractualorapparentauthority,thephysicalelementmustalsobeaWributedtothebodycorporate.
Fault Elements Other than Negligence
• CthCode,s12.3&NTCode,s43BM• (1)IfintenIon,knowledgeorrecklessnessisafaultelementinrelaIontoaphysicalelementofanoffence,thatfaultelementmustbeaWributedtoabodycorporatethatexpressly,tacitlyorimpliedlyauthorisedorpermiWedthecommissionoftheoffence.• (2)ThemeansbywhichsuchanauthorisaIonorpermissionmaybeestablishedinclude:• (a)provingthatthebodycorporate'sboardofdirectorsintenEonally,knowinglyorrecklesslycarriedouttherelevantconduct,orexpressly,tacitlyorimpliedlyauthorisedorpermiYedthecommissionoftheoffence;• (b)provingthatahighmanagerialagentofthebodycorporateintenIonally,knowinglyorrecklesslyengagedintherelevantconduct,orexpressly,tacitlyorimpliedlyauthorisedorpermiWedthecommissionoftheoffence;or• (c)provingthatacorporatecultureexistedwithinthebodycorporatethatdirected,encouraged,toleratedorledtonon-compliancewiththerelevantprovision;or• (d)provingthatthebodycorporatefailedtocreateandmaintainacorporateculturethatrequiredcompliancewiththerelevantprovision.
Fault Elements Other than Negligence (cont) • CthCode,s12.3&NTCode,s43BM• …• (3)Paragraph(2)(b)doesnotapplyifthebodycorporateprovesthatitexercisedduediligencetopreventtheconduct,ortheauthorisaIonorpermission.• (4)FactorsrelevanttotheapplicaIonofparagraph(2)(c)or(d)include:• (a)whetherauthoritytocommitanoffenceofthesameorasimilarcharacterhadbeengivenbyahighmanagerialagentofthebodycorporate;and• (b)whethertheemployee,agentorofficerofthebodycorporatewhocommiYedtheoffencebelievedonreasonablegrounds,orentertainedareasonableexpectaIon,thatahighmanagerialagentofthebodycorporatewouldhaveauthorisedorpermiYedthecommissionoftheoffence.
• (5)IfrecklessnessisnotafaultelementinrelaIontoaphysicalelementofanoffence,subsecIon(2)doesnotenablethefaultelementtobeprovedbyprovingthattheboardofdirectors,orahighmanagerialagent,ofthebodycorporaterecklesslyengagedintheconductorrecklesslyauthorisedorpermiYedthecommissionoftheoffence.
Relevant DefiniJons
• DefiniEonsinPart2.5,CthCodeandPartIIAA,NTCode
• "boardofdirectors”:thebody(bywhatevernamecalled)exercisingtheexecuIveauthorityofthebodycorporate.
• "corporateculture":anadtude,policy,rule,courseofconductorpracIceexisIngwithinthebodycorporategenerallyorinthepartofthebodycorporateinwhichtherelevantacIviIestakesplace.
• "highmanagerialagent":anemployee,agentorofficerofthebodycorporatewithduIesofsuchresponsibilitythathisorherconductmayfairlybeassumedtorepresentthebodycorporate'spolicy.
Negligence
• CthCode,s12.4;andNTCode,43BN
• (1)ThetestofnegligenceforabodycorporateisthatsetoutinsecIon5.5CthCodeors43ALNTCode.
• (2)If:• (a)negligenceisafaultelementinrelaIontoaphysicalelementofanoffence;and• (b)noindividualemployee,agentorofficerofthebodycorporatehasthatfaultelement
Negligence (cont)
• CthCode,s12.4;andNTCode,43BN
• (3)faultelementofnegligencemayexistonthepartofthebodycorporateifthebodycorporate'sconductisnegligentwhenviewedasawhole(thatis,byaggregaIngtheconductofanynumberofitsemployees,agentsorofficers).
• (4)NegligencemaybeevidencedbythefactthattheprohibitedconductwassubstanEallyaWributableto:• (a)inadequatecorporatemanagement,controlorsupervisionoftheconductofoneormoreofitsemployees,agentsorofficers;or• (b)failuretoprovideadequatesystemsforconveyingrelevantinformaIontorelevantpersonsinthebodycorporate.
Defences • Mistakeoffact(strictliability)CthCode,s12.5;andNTCode,s43BO• (1)Abodycorporatecanonlyrelyons9.2CthCodeORs43AZNTCode(mistakeoffactforstrictliabilityoffences)inrespectofconductthatwould,apartfromthissecIon,consItuteanoffenceonitspartif:• (a)theemployee,agentorofficerofthebodycorporatewhocarriedouttheconductwasunderamistakenbutreasonablebeliefaboutfactsthat,hadtheyexisted,wouldhavemeantthattheconductwouldnothaveconsItutedanoffence;and• (b)thebodycorporateprovesthatitexercisedduediligencetopreventtheconduct.
• (2)AfailuretoexerciseduediligencemaybeevidencedbythefactthattheprohibitedconductwassubstanIallyaYributableto:• (a)inadequatecorporatemanagement,controlorsupervisionoftheconductofoneormoreofitsemployees,agentsorofficers;or• (b)failuretoprovideadequatesystemsforconveyingrelevantinformaIontorelevantpersonsinthebodycorporate.
Defences (cont)
InterveningconductoreventCthCode,s12.6;andNTCode,s43BP• AbodycorporatecannotrelyonsecIon10.1(interveningconductorevent)inrespectofaphysicalelementofanoffencebroughtaboutbyanotherpersoniftheotherpersonisanemployee,agentorofficerofthebodycorporate.
Extended Modes of Liability
• CONSPIRACY• s11.5CommonwealthCode&s43BJNTCodeElements:
• apersonenteringinto“anagreement”withanotherperson• thepersonandatleastoneotherintendthatanoffencewouldbecommiYedpursuanttotheagreementand
• thepersonandatleastanothercommiYedanovertactpursuanttoagreement
• s11.5(3)(b)CthCode/s43BJ(4)(b)NTCode–personmaybefoundguiltyofconspiracytocommitevenif:• theonlyotherpartytotheagreementisabodycorporate
Cth Law – Common Offences • CorporaIonsAct2001(Cth)&CorporaIons(Aboriginal&TorresStraitIslander)Act2006(Cth)–breachesofDirector’sDuIes• GeneralDuEes
• ExercisepowersandduIeswiththecareanddiligencethatareasonablepersonwouldhavewhich• takingstepstoensureyouareproperlyinformedaboutthefinancialposiIonofthecompany• ensuringthecompanydoesn’ttradeifitisinsolvent
• ExercisepowersandduIesingoodfaithinthebestinterestsofthecompanyandforaproperpurpose• DutynottoimproperlyuseposiIontogainanadvantageforselforanother,ortocausedetrimenttothecompany
• DutynottoimproperlyuseinformaIonobtainedthroughposiIontogainanadvantageforselforanother,ortocausedetrimenttothecompany.
• Dutytonottradewhileinsolvent
• Dutytokeepbooksandrecords
• CthCriminalCode:• Dishonestyoffence(PetersandGhoshtest)• S70.2Bribingaforeignpublicofficial
• PenalIesforbodycorporatesetoutins70.2(5)
NT Code - Common Offences
• Division4 Fraudsbytrustees,officersofcorporaIons:falseaccounIng• 232 Trusteesfraudulentlydisposingoftrustproperty• 233 FalseaccounIng• 234 FalsestatementsbyofficersofcorporaIons,&c.• 235 Suppression,&c.,ofdocuments
• Division5 Secretcommissions• 236 SolicitaIonorreceiptofsecretcommissions• 237 IndependentadvisoraccepIngsecretcommission• 269 CirculaIngfalsecopiesofrulesorlistsofmembersofsocieIesorcorporaIons
PART 2
• PrinciplesofCorporateCriminalResponsibility
under• PartIINTCriminalCode• andCommonLaw
Part IIAA NT Code & Common Law
• IfanNTCodeoffenceisnota“schedule1offence”–orisnototherwisea”declaredoffence”towhichPartIIAAapplies,thenprinciplesofcriminalresponsibilityunderPartIIapplies
• NTCode,PartIIPrinciples:• s22:PartIIgenerallydoesnotapplytoregulatoryoffences• ss23,24&25:Personnotguiltyifconductauthorized,jusIfiedorexcused
• NTCodeDefences• s31:unwilledact/accident• s32:Mistakeoffact• s33:SuddenandextraordinaryEmergency• s40:Duress
Common Law Principles
• CommonlawprinciplesapplytooffenceswhichapplyPartII,NTCode
• Offenceswithafaultelementinvolvesastateofmind
• CorporaIonscanbeheldliableby:
• VicariouslyLiabilityforcrimesofemployeesworkingwithintheirscopeofauthority
• DirectLiabilitywheretheactsandstateofmindarethoseofthecorporaIon
Tesco Principle “Acorpora(on…mustactthroughlivingpersons,thoughnotalwaysoneorthesameperson.Thenthepersonwhoactsisnotspeakingorac9ngforthecompany.Heisac9ngasthecompanyandhismindwhichdirectshisactsisthemindofthecompany.Thereisnoques(onofthecompanybeingvicariouslyliable.Heisnotac9ngasaservant,representa9ve,agentordelegate.Heisanembodimentofthecompany,oronecouldsay,hehearsandspeaksthoughthepersonaofthecompany,withininhisappropriatesphere,andhismindisthemindofthecompany.Ifitisaguiltymindthenthatguiltistheguiltofthecompany.Itmustbeaques(onoflawwhether,oncethefactshavebeenascertained,apersonindoingpar(cularthingsistoberegardedasthecompanyormerelyasthecompany’sservantoragentInthatcaseanyliabilityofthecompanycanonlybeastatutoryorvicariousliability”TescoSupermarketsLtdvNaLrass[1972]AC153perLordReidat170
When does it apply?
Meridian Global v Securi1es Commission [1995] 2 AC 500 per Lord Hoffmann at [67]
Thecompany'sprimaryrulesofaLribu(ontogetherwiththegeneralprinciplesofagency,vicariousliabilityandsoforthareusuallysufficienttoenableonetodetermineitsrightsandobliga(ons.Inexcep(onalcases,however,theywillnotprovideananswer.Thiswillbethecasewhenaruleoflaw,eitherexpresslyorbyimplica9on,excludesa@ribu9ononthebasisofthegeneralprinciplesofagencyorvicariousliability.Forexample,arulemaybestatedinlanguageprimarilyapplicabletoanaturalpersonandrequiresomeactorstateofmindonthepartofthatperson"himself,"asopposedtohisservantsoragents.Thisisgenerallytrueofrulesofthecriminallaw,whichordinarilyimposeliabilityonlyfortheactusreusandmensreaofthedefendanthimself.Howissucharuletobeappliedtoacompany?
Meridian Global v Securi1es Commission [1995] 2 AC 500 per Lord Hoffmann at [67] (cont)
Onepossibilityisthatthecourtmaycometotheconclusionthattherulewasnotintendedtoapplytocompaniesatall;forexample,alawwhichcreatedanoffenceforwhichtheonlypenaltywascommunityservice.Anotherpossibilityisthatthecourtmightinterpretthelawasmeaningthatitcouldapplytoacompanyonlyonthebasisofitsprimaryrulesofa@ribu9on,i.e.iftheactgivingrisetoliabilitywasspecificallyauthorisedbyaresolu9onoftheboardoranunanimousagreementoftheshareholders.Buttherewillbemanycasesinwhichneitherofthesesolu(onsissa(sfactory;inwhichthecourtconsidersthatthelawwasintendedtoapplytocompaniesandthat,althoughitexcludesordinaryvicariousliability,insistenceontheprimaryrulesofa@ribu9onwouldinprac9cedefeatthatinten9on.Insuchacase,thecourtmustfashionaspecialruleofa@ribu9onforthepar9cularsubstan9verule.Thisisalwaysama@erofinterpreta9on:giventhatitwasintendedtoapplytoacompany,howwasitintendedtoapply?Whoseact(orknowledge,orstateofmind)wasforthispurposeintendedtocountastheactetc.ofthecompany?Onefindstheanswertothisques9onbyapplyingtheusualcanonsofinterpreta9on,takingintoaccountthelanguageoftherule(ifitisastatute)anditscontentandpolicy.
Cases and Principles
• Meridian• DirectorGeneralofFairTradingvPioneerConcrete(UK)[1995]1AC456• 1168Bilta(UK)vNazir[2015]2WLR1168(UKSC)• Presiden(alSecurityServicesvBrilley(2008)73NSWLR241• DPP(NSW)vFordham,Byrne&TCNChannelNinePtyLtd[2010]NSWSC795
CriEcally…• MuststartwiththeconstrucEonoftherelevantprovisioninitsstatutorycontext• AnalyseanddisEnguishphysicalandfaultelementsandlookatauthority,knowledge,intenEonineachcontext• AlwayskeepinmindthelegalruleswhichapplytoauthorisaEon,e.g.,CorporaEonsAct,thecompany’sconsEtuEon,resoluEonsoftheboard,contractsofemployment/appointment,etc
PART 3
• SentencingCorporaEons
Commonwealth Sentencing
• CrimesAct1914(Cth)• s4B(1):AprovisionofCthlawrelaIngtoindictableorsummaryoffencesshall,unlessthecontraryintenIonappears,bedeemedtorefertobodiescorporateaswellastonaturalpersons• s4B(2):allowscourttoimposefineinsteadof,orinaddiIonto,atermofimprisonment• Forabodycorporate,s4B(3)allowsacourttoimposeafineoranamountnotgreaterthan5Emesthemaximumfineabletobeimposedonanindividualconvictedofthesameoffence• Penaltyunitsdefinedins4AAoftheActas$180• CorporaEonscangoodbehaviourbondsornon-convicEonbondtoo
• Eg.AboriginalCorporaIonsfailingtoreturnannualreports,auditreportsetc• OqenacondiIonofaGBBtocomplyorriskbeingbroughtbacktocourtforbreachofbond
Sentencing of CorporaJons
• s1311:GeneralPenaltyprovisions• s1312CorporaIonsact2001(Cth):setsoutpenalIesforbodiescorporate• s1312(1),ifcompanyisconvictedofanoffenceagainsttheCorporaIonsAct,thepenaltyabletobeimposedisafinenotexceeding5Imesthemaximumamountthat,butforthissecIon,thecourtcouldimpose.• s1312(1)doesnotapplytocertainprovisionsassetout–penalIesfortheseprovisionssetoutinShcedule3.• S1314:ConInuingoffences
Plea by CorporaJon • s337PresenceincourtandpleawhereaccusedisacorporaEon• (1)WhereanindictmentispresentedagainstacorporaIon,thecorporaEonmaybepresentincourtbyitsrepresentaIveanditmay,onarraignment,enterapleainwriEngbyitsrepresentaIve.• (2)AnypleasoenteredbytherepresentaIveshallforallpurposesbetakentobeapleaenteredbythecorporaIon.• (3)IfthecorporaIonisnotpresentincourtbyitsrepresentaIveorif,thoughitissopresent,itdoesnotenterapleainwriIngbyitsrepresentaIve,thecourtshallorderapleaofnotguiltytobeenteredonbehalfofthecorporaIon.• (4)ApleasoenteredhasthesameeffectasifithadbeenactuallypleadedandthetrialofthecorporaIonmayproceedaccordingly.• (5)Inrespectofatrial,anyrequirementbylawthatanythingshallbedoneinthepresenceoftheaccusedpersonorshallbereadorsaidtooraskedoftheaccusedpersonshall,inthecaseofacorporaIonpresentincourtbyitsrepresentaIve,beconstruedasarequirementthatthatthingshallbedoneinthepresenceoftherepresentaIveorreadorsaidtooraskedoftherepresentaIve.
Plea by CorporaJon (cont) • s337 PresenceincourtandpleawhereaccusedisacorporaEon
• (6)IfthecorporaIonisnotpresentincourtbyitsrepresentaIveitshallnotbenecessaryforthethingtobedoneorreadorsaidorasked.• (7)WithoutlimiIngsubsecIon(1)orsecIon360where,inrespectofatrial,anythingisrequiredtobedoneorsaidbytheaccusedpersonpersonally,itmay,inthecaseofacorporaIonpresentincourtbyitsrepresentaIve,bedoneorsaidbytherepresentaIveandanythingsodoneorsaidshallforallpurposesbetakentobedoneorsaidbythecorporaIon.• (8)InthissecIonrepresenta9vemeansapersonappointedbythecorporaIontorepresentitforthepurposesofthissecIon;butthepersonsoappointedisnot,byvirtueonlyofbeingsoappointed,qualifiedtoactonbehalfofthecorporaIonbeforethecourtforanyotherpurpose.• (9)ArepresentaIveneednotbeappointedunderthesealofthecorporaIonandastatementinwriIngpurporIngtobesignedbyamanagingdirectorofthecorporaIonorbyanyotherperson,bywhatevernamecalled,having,orbeingoneofthepersonshaving,themanagementoftheaffairsofthecorporaIontotheeffectthatthepersonnamedinthestatementhasbeenappointedastherepresentaIveofthecorporaIonforthepurposesofthissecIonshallbeadmissiblewithoutfurtherproofasprimafacieevidencethatthatpersonhasbeensoappointed.
Sentencing under Specific Provisions of Statute
• LooktotheoffenceandsentencingprovisionsinthespecificAct• DifferentpenalIesforindividualsandcorporaIons• DifferentpenalIesfordifferent“levels”ofoffending• ”ConInuous”offencesmaycarrythesamepenaltyforeachdaythebreachcon(nues(usuallyappliestoomissionoffending)
• ApplypenaltyunitsattheImetheconductoccurred
• Example–offenceagainsts76oftheWaterAct(NT)• WaterActisaprescribedActunderEnvironmentalOffencesandPenal(esAct• EOPAprescribespenalIesforan“environmentaloffencelevel3”• s6(2)EOPA:abodycorporatethatisfoundguiltyofanoffencedesignatedanenvironmentaloffencelevel3ispunishablebyapenaltyofnotlessthan385penaltyunitsandnotmorethan3850penaltyunits.
• s6(1)oftheEOPAprovidesthattheminimumpenaltyis77penaltyunitsandmaximumpenaltyis770penaltyunits.
• S104WaterActprovidesforconInuingoffencesforeverydaythattheoffenceconInuesaqerthecomplaintallegingtheoffenceislaid,byvirtueofinclusionofthedefiniIonoftheterm“Maximumdefaultpenalty”
• ThemaximumdefaultpenaltyapplicabletoanoffenceagainstsecIon76(1)oftheWaterActis4penaltyunitsor20penaltyunitsforabodycorporate.
Chemeq Sentencing Principles
• AustralianSecuri(esandInvestmentsCommission,inthemaLerofChemeqLimited(CAN009135264)vChemeqLimited(CAN009135264)[2006]FCA936• FrenchJ:“…[i]nconsideringtheappropriatepenaltyforthecontraven(onbyacorpora(onofaregulatoryrequirement..Itisrelevanttoconsiderwhetherthecorpora(onhasinplacepoliciesandproceduresdesignedtoachievecompliancewithsuchrequirements.”• “…[t]heCourtwillconsidertheformandcontentofthepoliciesandproceduresandalsothemeasuresadoptedbythecorpora(ontoensurethattheyareunderstoodandapplied.AwelldranedsetofpoliciesandprocedureswillmeanliLleifthereisnofollowupintermsoftrainingofcompanyofficers(includingdirectors)…”• “acultureofcompliance”is“adegreeofawarenessandsensi(vitytotheneedtoconsiderregulatorobliga(onsasarou(neincidentofcorporatedecision-making”.
Does a convicJon have to be recorded?
• Cans.7(a)ands.8(1)oftheSentencingAct(NT)apply?• Ifso,whatprinciplesapply?• KrucibleMetalsLtdvDepartmentofMinesandEnergy[2015]NTSC71• SeealsothedefiniIonof“person”ins.17oftheInterpretaIonAct(NT)and,inrespectoftheequivalenttos.8(1)ins.19BoftheCrimesAct1914(Cth),seeJohnCMorishPtyLtdvLuckman(1977)16SASR143at144-5;SheenvGeo.CornishPtyLtd(1978)2NSWLR162at164-6;LanhamvBrambles-RuysPtyLtd(1984)37SASR16at18.• HalesvAdams[2005]NTSC86at[18],[34]
PART 4
• CommonIssuesinProsecuEngandDefending
CorporaEons
Omission Offending
• OmissionOffending(failuretodosomething)• CouldacorporaIonbedeemedtohavedone(oromiYedtodo)anact?• DoesaproperconstrucIonofthecharge(andelementsoftheoffence)supportacommissionbythecompanyofanoffence?
• LegaldutytoperformtheactoromissionmusthaveexistedattherelevantIme• DPP(Cth)vPoniatowska(2011)244CLR408–omissiontoperformanactwhichapersonhasnolegalobligaIontoperformcannotbeaphysicalelementofanoffence
• Note:s1311CorporaIonsAct2001(Cth)statesthatanycontravenIonoftheActconsItutesanoffence• Ch2CriminalCodeapplies,sedngoutgeneralprinciplesofcriminalresponsibility
• IDENTIFY:• Istheconductallegedtobecharacterisedas“commission”or“omission”?• Didalegaldutyexistobligingthepersontoperformadutythatthepersonfailedtoperform?
• Whataretheelementsoftheoffence?• Howdotheelementssitwiththeapplicableprinciplesofcorporatecriminalresponsibility?
Statute of LimitaJons
• CORPORATIONSACT2001-SECT1316• TimeforinsEtuEngcriminalproceedings
• Despiteanythinginanyotherlaw,proceedingsforanoffenceagainstthisActmaybeinsItutedwithintheperiodof5yearsaqertheactoromissionallegedtoconsItutetheoffenceor,withtheMinister'sconsent,atanylaterIme.
• CRIMESACT1914(Cth)–SecEon15B(1A)re:BodyCorporate• Ifmaxpenaltyforbodycorporateisfineof150penaltyunitsormoreinthecaseofafirstconvicIon–atanyIme–s15B(1A)(a)• Inanyothercase–anyImewithin1yearaqercommissionofoffence–s15B(1A)(b)
• MustlooktoindividuallegislaEonfirst• Eg.ProsecuIonunderWorkHealthandSafetyActmustbebroughtwithin2yearsaqeroffencefirstcametothenoIceoftheregulator–s232,WHSAct
Privilege against Self-IncriminaJon
• CORPORATIONSACT2001-SECT1316A• Privilegeagainstself-incriminaEonnotavailabletobodiescorporateinCorporaEonsActcriminalproceedings
• (1)InaCorporaIonsActcriminalproceeding,abodycorporateisnotenItledtorefuseorfailtocomplywitharequirement:
• (a)toansweraquesIonorgiveinformaIon;or• (b)toproduceabookoranyotherthing;or• (c)todoanyotheractwhatever;• onthegroundthattheanswerorinformaIon,producIonofthebookorotherthing,ordoingthatotheract,asthecasemaybe,mighttend:
• (d)toincriminatethebody(whetherinrespectofanoffencetowhichtheproceedingrelatesorotherwise);or
• (e)tomakethebodyliabletoapenalty(whetherinrespectofanythingtowhichtheproceedingrelatesorotherwise).
• (2)SubsecIon(1)applieswhetherornotthebodyconcernedisadefendantintheproceedingorinanyotherproceeding.
• (3)InthissecIon:• "Corpora9onsActcriminalproceeding"meansaproceedinginacourtwhenexercisingjurisdicIoninrespectofacriminalmaYerarisingunderthisAct.
Broader ConsideraJons
• Consider
• MakingrepresentaIonsforalternaIvestoprosecuIons–eg.EnforcementUndertakingsforWHSbreaches• ThebroaderpoliIcalenvironment(publicinterest)andhowthatcanbeframedinrepresentaIonstodisconInue• LikelypenalIesimposed• WhethermaYersshouldappropriatelygotoadefenceorapleainmiIgaIon