Prosecution
Regulators take the decision to investigate very seriously. A premature, unplanned investigation will only embarrass Regulators. When the Regulator knocks on your door, they know what they are looking for. However, in most cases, you can easily deal with the concerns of the Regulators by producing your systems, processes, policies, and procedures and evidence of their level of compliance with those internal documents. It is important to take action to ensure that the investigation is well-managed where the concerns of the Regulators remain and they determine that action is warranted. Our consultants can give you the right advice regarding this matter.
If you want to clarify your position with the Regulator, you must collate your information early. Ongoing demonstrated corrective action is an integral part of “reasonable steps defence” in larger organisations and complex prosecutions. You must collect your information that supports “reasonable steps defence” while the Regulator is investigating your Chain of Responsibility activities.
Fines
The implementations of the CoR framework throughout your organisation will help you improve the safety of your contractors, employees, and the public, meet your legal obligations, meet your social responsibility as a good corporate citizen, and avoid penalties.
Under the Chain of Responsibility heavy vehicle national law, there is a range of fines and penalties that can be imposed on an organization or individual. Fines are specific to each offence and depend on the extent of the offence.
|
Corporate |
Individual |
|
$15-20,000 |
$3-4,000 |
|
$25-30,000 |
$5-6,000 |
|
$50,000 |
$10,000 |
|
$75-100,000 |
$15-20,000 |
|
Example offence |
Minor breach |
Substantial breach |
Severe breach |
Extra loading |
Critical breach |
|
Exceeding mass requirements |
$4,000 |
$6,000 |
$10,000 |
Plus $500 for every 1% over a 120% overload to a maximum of $20,000 |
|
|
Exceeding driver work hours |
$4,000 |
$6,000 |
$10,000 |
$15,000 |
There are many offences that have different limits based on the heavy vehicle involved:
|
Type of heavy vehicle |
Exceeding a speed limit by less than 15km/h |
Exceeding a speed limit by 15km/h or more |
|
Heavy Vehicle |
$3,000 |
$5,000 |
|
Road Train |
$5,000 |
$10,000 |
|
Corporate |
Individual |
|
|
Fines are added together |
For example: $50,000 per offence |
For example: $10,000 per offence |
Penalties are ‘per offence’:
|
One investigation may have multiple offences |
3 offences = $150,000 (3 x $50,000) |
3 offences = $30,000 (3 x $10,000) |
|
One entity may have multiple offences |
10 offences = $0.5 million (10 x $50,000) |
10 offences = $100,000 (10 x $10,000) |
The Only Defence
These are not a defence and can be admissions of liability for offences:
|
Corporate |
Individual |
Contractor |
|
We didn’t have a proper register of our legal obligations |
I didn’t realise we were not compliant |
It was not my responsibility |
|
We have always done it this way |
I thought someone else was responsible |
The driver was a rogue operator |
|
It was a rogue member of staff we did not know about |
I wasn’t involved in the decision |
This was covered off in the contract, drafted by the lawyers |
|
Fines are the cost of doing business |
I didn’t think that was a real risk |
It was outside the control of my company |
|
It wasn’t on our Risk Register |
How could I know if nobody told me |
The contract penalties apply to stop time wasters, not to encourage speeding |