Ombudsman Regulations 2019

For the purposes of section 26C(2)(a) of the Act, the prescribed form of a confidentiality notice is Form 3 in Schedule 1.

Schedule 1—Forms

Form 1

Regulation 5(1)

Ombudsman Act 1973

Witness Summons

To: [insert name of person to whom witness summons is directed]

Address: [insert address]

THIS WITNESS SUMMONS IS IMPORTANT.

PLEASE READ IT CAREFULLY.

FAILURE TO COMPLY WITH THIS WITNESS SUMMONS MAY BE AN OFFENCE. PENALTIES INCLUDING IMPRISONMENT MAY APPLY.

*A CONFIDENTIALITY NOTICE IS ATTACHED TO THIS WITNESS SUMMONS. PLEASE READ IT BEFORE DISCUSSING THIS WITNESS SUMMONS WITH ANYONE.

*You should note that your right to disclose the existence of this witness summons may be limited by the attached confidentiality notice.

The Ombudsman is conducting an investigation under section [insert relevant section number] of the Ombudsman Act 1973 in relation to [insert details].

In accordance with section 18 of the Ombudsman Act 1973, the Ombudsman requires your attendance.

When is the attendance?

You 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.

What will you be required to do?

You will be required:

* 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];

* to produce the following documents or things to the Ombudsman:

[specify documents or things]

* 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:

[specify documents or things]

Do you have to comply with the summons?

Yes, by law you must comply with this witness summons unless you have a reasonable excuse.

If you refuse or fail to comply with this witness summons without reasonable excuse, you may commit an offence to which penalties apply.

[See the Ombudsman Act 1973, sections 18(2)(c)(i) and 18G]

What may be a reasonable excuse for failing to comply with this summons?

The Ombudsman Act 1973 specifies a number of reasonable excuses for failing to comply with a witness summons.

For 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—

• a proceeding for an offence with which you have been charged but which has not been finalised; or

• a proceeding for the imposition or recovery of a penalty that has been commenced against you but has not been finalised.

This excuse may only be claimed by an individual served with a summons, and not by a company or other body corporate.

[See the Ombudsman Act 1973, section 18B(2)]

In 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.

[See the Ombudsman Act 1973, sections 18B(3) and 18E]

How can I object to this witness summons?

If you wish to object to this witness summons, you should do so in writing addressed to:

[insert postal address, email address, fax no. etc. to which persons should direct written objections to witness summons]

Other information about your rights and other information relevant to your appearance before the Ombudsman

The 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.

[See the Ombudsman Regulations 2019, regulations 5(2) and 6]

[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]

[signature]

[name]

[title]

Date: [insert date]

*Delete if not applicable.

Sch. 1 Form 2 amended by S.R. No. 10/2025 reg. 4.

Form 2

Regulations 6 and 7(2)

Ombudsman Act 1973

Statement OF RIGHTS AND OBLIGATIONS OF a Person Attending a Compulsory Appearance

Read this Statement carefully. It contains important information about your legal rights, duties and OBLIGATIONS.

Why have I been given this statement?

*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).

*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.

*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.

The 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).

As you have been served with a witness summons, this statement has been provided with and attached to that summons.

[See the Ombudsman Regulations 2019, regulation 5(2)]

What is a "compulsory appearance"?

"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.

I have been served with a witness summons. Do I have to appear before the Ombudsman to give evidence and/or produce documents?

As 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.

The Act sets out some examples of a reasonable excuse for failing to comply with a witness summons.

For

 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—

 a proceeding for an offence with which you have been charged but which has not been finalised; or

 a proceeding for the imposition or recovery of a penalty that has been commenced against you, but which is not completed.

The excuse described in section 18B(2), outlined above, may not be claimed by a company or other corporation, but only by individuals.

[See the Ombudsman Act 1973, section 18B(1) and (2)]

If 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.

For example, you could provide—

 an Australian birth certificate or certified birth extract; or

 an Australian passport; or

 a passport issued by another country; or

 any other document or evidence that satisfies the Ombudsman about your age.

[See the Ombudsman Act 1973, sections 18B(3), 18E(2) and 18P(2)(b)(i) and (2)(b)(ii)]

If 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:

 clearly set out the "reasonable excuse" you believe applies; and

 quote the summons number (listed on the front page of the summons).

Your written objection should be addressed to the Ombudsman's postal or email address.

What happens if I refuse to comply with a summons without a reasonable excuse?

If 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.

When 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.

[See the Ombudsman Act 1973, sections 18(2)(c)(i), 18G and 18H]

What rights do I have under the Act in relation to my compulsory appearance?

The 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.

Legal advice and representation

You have the right to seek legal advice and representation in relation to—

• the investigation being conducted by the Ombudsman;

• the witness summons that has been issued to you;

• a compulsory appearance;

• your rights, liabilities, obligations and privileges under the Act or the Public Interest Disclosures Act 2012; and

• a proposed report, or draft or part of a proposed report under the Act which you have received.

[See the Ombudsman Act 1973, section 18M(1) and (2)]

However, 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—

 already appearing at a compulsory appearance; or

 already representing another person who is appearing at a compulsory appearance; or

 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

 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.

[See the Ombudsman Act 1973, section 18M(3) and (4)]

If the Ombudsman directs you not to seek legal advice or representation from a specified legal practitioner—

• the Ombudsman must give you at least 3 days to obtain representation from another legal practitioner; and

• the Ombudsman must inform Integrity Oversight Victoria of the Ombudsman's direction and the reasons for the direction.

[See the Ombudsman Act 1973, section 18M(5) and (6)]

If 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.

Other support persons

You 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.

If you wish to bring a support person with you to the compulsory appearance, please contact us first to discuss.

[See the Ombudsman Act 1973, section 18P(9)]

Other support needs

Please bring any of the following issues to the Ombudsman's attention before the date of the compulsory appearance:

 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.

[See the Ombudsman Act 1973, section 18P(6)]

 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.

[See the Ombudsman Act 1973, section 18P(8)]

 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.

[See the Ombudsman Act 1973, section 18P(7)]

What will happen prior to my compulsory appearance?

If 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.

[See the Ombudsman Act 1973, section 18(2)(b)]

Can I leave the compulsory appearance once it has begun?

You 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.

You 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.

How will evidence be taken at the compulsory appearance?

The compulsory appearance will be conducted by 2 appropriately authorised Ombudsman officers and will be audio or video recorded.

You may be required at the start of the compulsory appearance to either:

 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

 make an affirmation (non-religious swearing to tell the truth).

The 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.

[See the Oaths and Affirmations Act 2018, section 50]

When 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.

If 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.

[See the Ombudsman Act 1973, sections 22 and 30]

The Act overrides many obligations to maintain confidentiality or secrecy that might otherwise apply to you, including—

• Victorian laws that prohibit the disclosure of information; or

• Victorian laws that impose obligations to maintain secrecy; or

• 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

• any privilege of the Crown; or

• journalist privilege.

[See the Ombudsman Act 1973, section 18K(1) to (4)]

However, 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.

[See the Ombudsman Act 1973, section 18K(5)]

Further, 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.

[See the Ombudsman Act 1973, section 19D]

If 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.

Confidentiality

Investigations conducted by the Ombudsman are conducted in private. They are not open to the public in the way courts or tribunals are.

[See the Ombudsman Act 1973, section 17(2)]

Public interest complaints

If 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.

[See the Public Interest Disclosures Act 2012, Part 7]

Further information about confidentiality requirements in relation to public interest complaints can be found on the Ombudsman's website, or by asking us.

Will I get a copy of the audio or video recording?

We must ensure that an audio or video recording is made of the compulsory appearance.

With 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.

With 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.

[See the Ombudsman Act 1973, section 18Q]

The Ombudsman must also give Integrity Oversight Victoria a copy of the audio or video recording and any transcript made.

[See the Ombudsman Act 1973, section 18Q(7)]

What will my evidence be used for?

The 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.

Not 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.

What will happen at the end of the investigation?

The Ombudsman is likely to complete a report of the investigation.

If 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.

The 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.

[See the Ombudsman Act 1973, section 25A(2)]

If you have any questions about this Statement, please contact [insert name of Ombudsman officer] on [insert contact number].

Email: ombudvic@ombudsman.vic.gov.au.

Website: www.ombudsman.vic.gov.au.

*Delete if not applicable.

Sch. 1 Form 3 amended by S.R. No. 10/2025 reg. 5.

Form 3

Regulation 8

Ombudsman Act 1973

Confidentiality Notice

To: [insert name of person subject to confidentiality notice]

Address: [insert address details]

THIS CONFIDENTIALITY NOTICE IS IMPORTANT. PLEASE READ IT CAREFULLY.

FAILURE TO COMPLY WITH THIS CONFIDENTIALITY NOTICE MAY BE AN OFFENCE.

PENALTIES INCLUDING IMPRISONMENT MAY APPLY.

1. What is this notice?

This confidentiality notice is issued under section 26C(1) of the Ombudsman Act 1973 (Vic) in respect of the following restricted matters:

[specify restricted matter or matters]

Because 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?".

If 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.

[See the Ombudsman Act 1973, section 26F(1)]

*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.

2. Why have you been given this notice?

You 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:

* • an investigation that is being conducted by the Ombudsman;

[See the Ombudsman Act 1973, section 26C(1)(b)]

* • an investigation that is being conducted by the Independent Broad-based Anti-corruption Commission ("IBAC") or Integrity Oversight Victoria;

[See the Ombudsman Act 1973, section 26C(1)(a)(i)]

* • the safety or reputation of a person;

[See the Ombudsman Act 1973, section 26C(1)(a)(ii)]

* • the fair trial of a person who has been, or may be, charged with an offence.

[See the Ombudsman Act 1973, section 26C(1)(a)(iii)]

3. When are you authorised to disclose information?

Please read this section carefully. You can only disclose a restricted matter in the circumstances stated below.

If 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.

[Repeat table as necessary for any restricted matter that can be disclosed in different circumstances than above.]

Can you disclose in any other circumstances?

You are always permitted to disclose a restricted matter in the following circumstances:

 to the IBAC, if the IBAC:

 referred the complaint to which the restricted matter relates to the Ombudsman; and

 has withdrawn that referral;

[See the Ombudsman Act 1973, section 26F(2A)]

 for the purposes of making a complaint to Integrity Oversight Victoria or the IBAC;

 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;

 to Victoria Police if:

 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

 the restricted matter is relevant to an investigation by Victoria Police of the actual or potential criminal conduct;

[See the Ombudsman Act 1973, section 26F(2B)]

 if the Ombudsman directs you or authorises you to disclose a restricted matter;

[See the Ombudsman Act 1973, section 26F(2)(a)]

 if the disclosure is authorised or required by the Ombudsman Act 1973;

[See the Ombudsman Act 1973, section 26F(2)(g)]

 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:

 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;

 to a parent, guardian or independent person if you are under the age of 18 years;

 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;

[See the Ombudsman Act 1973, section 26F(2)(b)]

 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:

 the Ombudsman Act 1973;

 the Public Interest Disclosures Act 2012;

 the Independent Broad‑based Anti-corruption Commission Act 2011;

 the Integrity Oversight Victoria Act 2011;

 the Fair Work Act 2009 of the Commonwealth;

 the Local Government Act 1989;

 the Racing Act 1958; or

 the Freedom of Information Act 1982;

unless the Ombudsman has restricted you from being represented by or obtaining advice from that legal practitioner;

[See the Ombudsman Act 1973, sections 18M(3) and 26F(2)(c)]

 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;

[See the Ombudsman Act 1973, section 26F(2)(d)]

 if the restricted matter disclosed is information that has been made public in accordance with the Ombudsman Act 1973 or any other Act;

[See the Ombudsman Act 1973, section 26F(5)]

 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:

 the IBAC;

 Victoria Police;

 Integrity Oversight Victoria;

 the Judicial Commission, including an investigating panel appointed by the Judicial Commission;

 the Racing Integrity Commissioner;

 the Information Commissioner;

 the Chief Municipal Inspector;

 the Parliamentary Workplace Standards and Integrity Commission.

[See the Ombudsman Act 1973, section 26F(5)]

Your obligations if you make a permitted disclosure

If 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.

In 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.

4. When does this confidentiality notice expire?

This confidentiality notice expires on the date when the first of the following events occurs:

• the Ombudsman cancels this confidentiality notice and issues you with a new one that includes different restricted matters;

[See the Ombudsman Act 1973, section 26C(3) and (7)]

• 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—

 an investigation by the IBAC or Integrity Oversight Victoria; or

 the safety or reputation of a person; or

 the fair trial of a person who has been, or may be, charged with an offence; or

 the Ombudsman's investigation;

[See the Ombudsman Act 1973, section 26C(4) and (7)]

• 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—

 an investigation by the IBAC or Integrity Oversight Victoria; or

 the safety or reputation of a person; or

 the fair trial of a person who has been, or may be, charged with an offence; or

 the Ombudsman's investigation;

[See the Ombudsman Act 1973, section 26C(5) and (7)]

• 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;

[See the Ombudsman Act 1973, section 26C(6)]

• if the date on which this confidentiality notice expires is extended by the Supreme Court, the date on which the period of extension expires.

[See the Ombudsman Act 1973, sections 26C(7) and 26D(2)]

5. Where can you get more information about this confidentiality notice?

A copy of the relevant law about confidentiality notices is attached to this confidentiality notice.

You 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.

[attach:

• 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;

• if applicable, a copy of Part 7 of the Public Interest Disclosures Act 2012.]

[signature]

[name]

[title]

[date]

*Delete if not applicable.

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