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