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Re-thinking Systems of Inquiry, Investigation, Review and Audit in Defence

Annex H Current Defence reporting requirements

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Contents Introduction ............................................................................................................................1

Defence Instructions (General) ADMIN ................................................................................3

Defence Instructions (General) PERS ..................................................................................8

Defence Instructions (General) FIN ....................................................................................17

Defence Instructions (General) OPS ..................................................................................18

Defence Manuals ..................................................................................................................19

CDF Directives......................................................................................................................27

Defence Instructions (Army) and Army Directives ...........................................................29

Defence Instructions (Air Force) and Air Force Directives ..............................................36

Defence Instructions (Navy) and Navy Directives.............................................................39

Re-thinking systems of inquiry, investigation, review and audit in Defence Stage B Report for Secretary and CDF

Annex H: Current Defence reporting requirements

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Introduction

1.1.1. The requirements relating to the reporting of incidents or trigger events in Defence is varied and complex. There are a multitude of policies which set out general reporting obligations (for example, notifiable incidents) as well as subject matter-specific reporting requirements (for example, fraud incidents). These policies set out the requirements to notify different areas within Defence of the occurrence of a trigger event, and some stipulate different formalities with respect to the reporting of trigger events.

1.1.2. The following table provides a breakdown of some of the applicable Defence policies which contain reporting requirements. These have been grouped by policy type, including:

• Defence Instructions (General) ADMIN

• Defence Instructions (General) PERS

• Defence Instructions (General) FIN

• Defence Instructions (General) OPS

• Defence Manuals

• CDF Directives

• Defence Instructions (Army) and Army Directives

• Defence Instructions (Air Force) and Air Force Directives

• Defence Instructions (Navy) and Navy Directives

1.1.3. Policies in each of these categories for inclusion in the table were identified through the use of the online intranet search function. The table is not intended to be a comprehensive list of all policies that contain reporting requirements in Defence, nor is it intended to comprehensively set out the processes to be followed in reporting an incident. It is instead intended to demonstrate the wide variety of policies which contain reporting requirements, the wide scope of trigger events that give rise to reporting obligations, the different areas within Defence to whom those trigger events must be reported, and the different formalities that must be followed when completing the reporting requirements.

1.1.4. The focus of the table is on the current reporting requirements for the types of trigger events that could be reported through the recommended model in Phase 1: Recording, Reporting and Initial Assessment. The table therefore does not include other reporting requirements such as those relating to performance assessment reports or chain of command reporting on the outcome of exercises or activities.

1.1.5. It is notable that many of the subject matter-specific reporting policies simply cross-refer to other reporting policies, often with the imposition of additional requirements. For example, in Army, the Commander Forces Command Directive



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118/11 Incident Management and Reporting states that its aim is to establish a single, common FORCOMD incident management framework in which all of the Command’s incidents will be notified, reported and managed. However, it merely lists the reporting requirements contained in other Defence Instructions and policy documents and adds additional layers of complexity. Given this, there is scope for streamlining the numerous reporting requirements that currently exist through creating a single reporting policy and simply referring users to that single reporting policy in subject matter-specific policies as appropriate. This proposal is addressed in the discussion of Phase 1: Recording, Reporting and Initial Assessment.

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Who has the initial action / reporting obligation?

What is the trigger event?

What is the area to whom the trigger event must be initially reported for action or otherwise?

What is the area to whom the trigger event must be reported for information or secondary action?

What are the formalities for reporting?

Defence Instructions (General) ADMIN

DI(G) ADMIN 10-8 Conduct Reporting and Tracking System

Issued: 10 Jul 2008

IGADF *Commanders and COs must ensure the entry of data

*Report of DFDA offence *Commencement of process to impose an administrative sanction under DI(G) PERS 35-6 *Civil conviction

Defence personnel with assigned data entry responsibilities - all CRTS users will be provided with access to the incident and investigation capture component and either the DFDA or administrative sanction component, or both, as determined by their chain of command. Data entry responsibility is assigned to the parent unit of ADF members under investigation, charged with a DFDA offence or subject of administrative sanctions.

*Single Service DG PERS to assist in maintenance of currency of data and policy *Command and unit LOs to ensure accurate data entry and assist in training. *IGADF has overall responsibility for CRTS maintenance and operation

Conduct Reporting and Tracking System (CRTS): *from the time the alleged DFDA offence is reported through the investigation and action phase until the case is closed *in relation to incidents of unsatisfactory conduct, from the time the process to impose an administrative sanction under DI(G) PERS 35–6 begins *the outcome of civil convictions NB: DI(G) says that CRTS is not an alternative or replacement system for DPSMS. In relation to NIs, CRTS data entry is not to

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occur until the DIA has approved.

DI(G) ADMIN 45-2 Reporting and Management of Notifiable Incidents

Issued: 26 Mar 2010

OSCDF

*Individuals to report NIs to their commanders or managers and can also report directly to the DIA in some circumstances. *Commanders and managers must report NIs to DIAs.

Reasonable suspicion of DFDA offence

*ADFIS for possible investigation *DSA for possible investigation

*Chain of Command *Relevant PM *DIR if fraud related

*Quickest means possible then confirmed in writing

Reasonable suspicion of criminal offence

*ADFIS for liaison, assistance or referral *DSA for possible investigation (if security related) *IGD for possible investigation (if fraud related)

*Chain of Command *Relevant PM


Allegations of corrupt practices and behaviour,

*IGD for possible *Chain of Command *Quickest means possible then

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collusive tendering, lack of probity or conflict of interest issues

investigation *ADFIS confirmed in writing

Suspected security incidents *DSA for possible investigation

*ADFIS (if suspected DFDA offence) *Chain of command/line management *Relevant PM

*Quickest means possible then confirmed in writing *Form XP188 or direct DPSMP entry.

Death, serious injury or disappearance

*Chain of Command for possible investigation *ADFIS/Service Police for possible investigation (if suspected DFDA offence or to attend and secure scene)

*Relevant PM (if suspected DFDA offence or to attend and secure scene)


Other serious, sensitive or urgent incidents

*Chain of Command / line management for possible investigation


DI(G) ADMIN 61-1 Inspector-

IGADF Persons wishing to make submissions on matters relating to the Military Justice

*Issues regarding the military justice system, including

The chain of command, line management or other specialist area, to attempt to resolve the issue at the

The DI(G) states that should a person make a submission to the

There is no particular form in which

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General of the Australian Defence Force - role, functions and responsibilities

Issued: 27 Aug 03

System abuse of authority; abuse of process; Procedural Fairness/denial of natural justice; denial of legal rights; avoidance of due process and specified procedures; cover up or failure to act; errors in the disciplinary process including unreasonable delay; unlawful punishments; victimisation, harassment, threats, intimidation and bullying; bastardisation; ‘rough justice’ including assault; and general suggestions regarding the Military Justice System particularly in relation to examples of systemic failure and/or suggestions for improvement. *When individuals feel unable to report concerns to, or have lost confidence in, their chain of command, line management or other specialised agencies within the ADO where: a. the person making the submission believes that

lowest possible level IGADF on a matter that is already the subject of investigation by another agency or appointment, the IGADF will not normally deal with the matter until those other investigations are complete. Exceptions are where it appears that there are shortcomings in the process which are likely to result in unfairness to the complainant if not addressed immediately.

submissions should be made to the IGADF. They may be written (for example, letter, minute, facsimile or email) or oral (by telephone or in person), although it is preferable that any oral submission be followed by one in written form as soon as convenient. The submission should clearly state the facts on which it is based and the outcome sought, if any. Submissions should, wherever possible, be supported by evidence and should include any relevant supporting documentation.

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they, or any other person, may be victimised, discriminated against or disadvantaged in some way if they make a report through the normal means; b. the person making the submission has no confidence that the chain of command will properly deal with their Military Justice concern, for instance, if the chain of command is perceived to be part of the problem; or c. the established complaint mechanisms for specific Military Justice issues or the chain of command have been tried and have failed to properly address the problem

DI(G) ADMIN 65-1 Administrative Inquiry Tracking

Issued: 4 Jul 2006

IGADF *Appointing Officers and Appointing Authorities must ensure the capture of directed inquiries (IOIs and above)

*Commencement of an administrative inquiry - recording of all IOIs is mandatory and recording of QAs and RIs is at the discretion of the chain of command

*Superior Officers appoint and seek access for an independent point of contact with responsibility for entering Superior Authority directions/modifications to inquiry recommendations

*IGADF has overall ownership responsibility of ADFAITS

*Entry into ADFAITS database

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DI(G) ADMIN 67-2 Quick Assessment

Issued: 7 Aug 2007

VCDF *Commander or line manager

Where following an occurrence (any significant incident, allegation or problem) it is considered that there may be a requirement for a subsequent investigation or inquiry

*Commander or line manager to appoint a Quick Assessment Officer to conduct a QA.

Depending on the outcome of the QA: *ADFIS *Code of Conduct *Public affairs *NI DIA

*Annex B contains an example of a QA brief *ADF units must file all QAs

Defence Instructions (General) PERS DI(G) PERS 11-2 Notification of ADF and non-ADF casualties

Issue date: 20 May 08

PSP The Military Unit that received the initial advice

Death, missing-believed-dead, missing, VSI, SI or captured

HQJOC Joint Control Centre (JCC)

*JCC watchkeeper must contact the relevant Service Chief(s), CJOPS, HQ DCO and the Director-General Public Affairs duty public affairs officer immediately upon receipt of a FATALCAS or NOTICAS with a casualty classification of either Missing-believed dead, Missing, VSI, SI, or Captured via telephone, Blackberry and/or SMS alert *Service will coordinate notification to PEC and NOK

FATALCAS/NOTICAS containing the highlighted serials in annex B

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DI(G) PERS 15-1 Misuse of Alcohol in the Defence Force

Issue date: 24 Oct 1980

DSPSP Service medical authorities

*An ADF member being officially noted as an alcoholic by Service medical authorities*Discharge of an ADF member due to unrehabilitated alcoholism

Service Offices *Maintenance of a central register of statistics

DI(G) PERS 15-5 Management of the use or involvement with prohibited substances in the Australian Defence Force

Issue date: 3 Apr 2011

DMPP CO or OC Positive prohibited substance test

*DSA in order for them to conduct an assessment regarding the Defence person’s security classification *DIA if an NI *Service career management agency in accordance with DI(G) PERS 03-4

Other DIAs in accordance with NI DI(G)

*Completion of Form XP 188 within two days *DI(G) states that a positive result may also be reported as an NI

DI(G) PERS 16-26 Management of a Suicidal Episode

Issue date: 5 Feb 2007

VCDF Not clear from DI(G), but presumably anyone who becomes aware of an 'at risk' ADF member.

Suicidal ideation and non-fatal suicidal behaviour.

*For suicidal ideation - individual to undergo a risk assessment by a Mental Health Professional *For non-fatal suicidal behaviour - commander or supervisor/ manager to implement risk

*May be requirement for a referral to a Medical Officer using Form PM008 *Details of the risk assessment, management plans and practices must be clearly

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assessment, undertake QA and establish a Risk Management Team.

documented and file in accordance with the DI(G).

DI(G) PERS 20-6 Death of ADF Personnel


PSP Commander Death of an ADF member *Commander *ADFIS *State/Territory Coroner *Civilian Police *OH&S Branch *Comcare *BOI or COI to be initiated

*Form AD604 *Form AD563 *NOK notification

DI(G) PERS 25-2 Employment and voluntary activities of Australian Defence Force Members in off-duty hours

Issue date: 22 Sept 2005

DMPP All Defence Personnel

Offer of off-duty employment with actual or perceived conflict of interest

CO/Supervisor Service Chief Application for approval

DI(G) PERS 25-4 Notification of post separation employment

DMPP All Defence Personnel

Offer of post separation employment with actual or perceived conflict of interest

CO/Supervisor Service Chief Letter of Notification

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Issue date: 10 Aug 2011

DI(G) PERS 25-6 Conflicts of Interest and declarations of interest

Issue date: 9 Mar 2011

IGD All Defence personnel must report to their Branch Head or CO through their manager or commander

*Actual conflict of interest - where there is a conflict between a person's official duties and responsibilities and their private interests *Potential conflict of interest - where a person has private interests that may conflict with their official duties *Perceived conflict of interest - where a third party could reasonably form a view that a person's private interest may influence the performance of their official duties

*Branch Heads and COs must assess and determine if a conflict exists *Contract manager (if relevant)

IGD in accordance with NI DI(G) As provided in NI DI(G) if applicable

DI(G) PERS 25-7 Gifts and Hospitality


CFOG All Defence personnel

Acceptance of gifts and hospitality

*Group Finance Officers *Area responsible for Gifts and Hospitality Register

CFO or CFO DMO if endorsement required

*Record on of Gifts and Hospitality Register

Sponsorship *Group Finance Officers CFO or CFO DMO if endorsement required

Sponsorship to be recorded in ROMAN

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DI(G) PERS 34-1 Redress of Grievance


PSP Member's CO Submission of an ROG by a member regarding a decision, act or omission in relation to the member’s service that is perceived as adverse or detrimental to them (may include UB)

*Commander or Supervisor/Manager or next level Commander or Supervisor/Manager *Service Chief in some circumstances

*Service Chiefs *CDF *Directorate of Complaint Resolution

Submission, reporting and tracking of ROGs through Comtrack

DI(G) PERS 34-2 Complaints of discrimination and harassment through the Australian Human Rights Commission


PSP Fairness and Resolution, where the AHRC approaches Defence in relation to a complaint of discrimination or breach of human rights.

Complaint made to the AHRC of discrimination or breach of human rights.

In accordance with the CDFs and Secretary’s Joint Directive 1/2006, DGFR acts as the point of contact within Defence for all complaints to the AHRC.

Units must, among other things, provide information and comment to FR in response to complaints as required

Any area within Defence that receives a complaint direct from the AHRC must immediately forward the correspondence to FR

DI(G) PERS 34-3 Inquiries and investigations by the Commonwealth Ombudsman and the Defence Force Ombudsman

Issue date: 10

PSP *Fairness and Resolution, where the Cth Ombudsman or DFO approaches Defence in relation to a complaint or an own motion investigation.

Complaint made to the Cth Ombudsman or DFO of a routine nature and serious nature relating to defective administration, fraud and probity issues.

CDF and Secretary are 'principal officers' under the legislation and DGFR, through CR, investigates and responds to Ombudsman complaints of a routine nature.

Units, functional areas or Service headquarters when requested by CR to provide information

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Feb 2009

DI(G) PERS 35-3 Management and Reporting of Unacceptable Behaviour

Issue date: 28 Jun 2009

PSP

*All Defence personnel must promptly report to their supervisor, commander or manager (as appropriate), incidents of UB that are beyond their ability or authority to manage *Manager or commander following a complaint being made to them verbally, in writing, formally, informally, or where they determine that an incident should be addressed as a complaint of UB

Behaviour that, having regard to all of the circumstances, would be offensive, belittling, abusive or threatening to another person or adverse to morale, discipline or workplace cohesion, or otherwise not in the interests of Defence.

*Commander or manager*Fairness and Resolution*OH&S Branch (and Comcare)

*If a notifiable incident, relevant DIA *Public Affairs

*AC875-1 *AC875-2 *AC875-3 *AC563 *Comtrack

DI(G) PERS 35-4 Management and Reporting of Sexual

PSP Manager or commander where there has been a disclosure of an

Allegation of a sexual offence *ADFIS *State/Territory or Defence Investigative Authorities

*State/Territory or Defence Investigative Authorities *Case manager

*AC875-1 *AC875-2 *AC875-3

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Offences

Issue date: 22 Nov 2011

alleged sexual offence by any person or through any other means

*Fairness and Resolution

DI(G) PERS 35-7 Defence Equity Adviser Network


PSP Commanders and line managers

Unacceptable behaviour incident

*Comply with reporting requirements in accordance with policy instructions *Report on the Defence Workplace Equity and Diversity Plan

Senior Equity Advisers may assist with ensuring compliance with reporting requirements in accordance with policy instructions

As required by DI(G) PERS 35-3

DI(G) PERS 35-6 Formal warnings and censure in the Australian Defence Force


DMPP Unclear - initiating or imposing authority

The issue of a formal warning or censure to an ADF member whose conduct, performance or standards are unsatisfactory and whose actions or behaviour have adversely impacted, or are likely to impact, on the efficiency, reputation or operational effectiveness of the ADF.

Unclear - CO? *Relevant career manager *Head of Defence Staff where the member is serving overseas

Once a formal warning or censure has been imposed it must be recorded on PMKeyS under the heading ‘Manage Labour Relations’. Copies of all documentation are then to be sent to the career manager.

DI(G) PERS 36-2 Australian Defence Force Policy on Individual

DMPP CO 31 Mar and 30 Sep each yearFailure of Individual Readiness

Service Chiefs COSC PMKeyS IR Status

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Readiness


DI(G) PERS 45-5 Defence Whistleblower Scheme

Issue date: 1 Jul 2002

IGD Any person confronted by circumstances that warrant making a report

*Any conduct suspected of directly or indirectly affecting the health or effectiveness of Defence or a person’s professional behaviour *Misconduct, including criminal activity or unethical behaviour *fraud or any other activity that may breach Commonwealth legislation, including the DFDA *misconduct under the Public Service Act 1999 *unethical behaviour *misuse or mismanagement of departmental resources *harassment or unlawful discrimination *breaches of security *behaviour that could jeopardise the good reputation of Defence and that of its members *practices that compromise occupational health and

*Persons who wish to report suspected misconduct should normally raise these concerns through their chain of command or line management. On receipt of a report, a commander or manager must assess whether it is within their power to address, whether it should be referred up the chain of command or line management or referred to the appropriate DIA in accordance with DI(G) ADMIN 45–2 *If the person making the report wishes to be included in the DWS, the commander or manager must refer the person making the report to IGD.*IGD

IGD may refer a report on to another area in Defence for the actual investigation, including the relevant chain of command and line management, Service Police, Defence Security Authority and Defence Safety Management Agency, with appropriate guidance on the management of the matter provided by the IG Division.

*DWS hotline *In writing to the Director Investigation and Recovery in IGD

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safety.

DI(G) PERS 50-1 Equity and Diversity in the Australian Defence Force


PSP Commanders and line management

Unacceptable behaviour Report in accordance with DI(G) PERS 35-3

Report in accordance with DI(G) PERS 35-3

Responsible areas Equity and diversity data Collation of data for inclusion in Annual Report, reports to Minister, State of the Service report, etc

DI(G) PERS 55-4 Reporting, recording and dealing with Civil Offences, Service and Civil Convictions and Diversionary Programs

Issue date: 16

DMAL Enlisting/appointing authority

*When a decision has been made to appoint/enlist a person who has a Recordable Conviction (a Recordable Conviction is a Civil Conviction that is not a Spent Conviction)

*Service Career Management Agency *DSA

Part C of Form PD 052—Report of Arrest, Charge for Civilian Offence and/or Civil Offence. *Record on a member’s Conduct Record *Form PD 103 *Record on PMKeyS.

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Jan 2012

ADF member Where they have been arrested and/or charged with a Civil Offence; have been placed on a Diversionary Program; or has a Recordable Conviction

Commanding Officer for determination as to whether it is an NI, likely to attract media or Parliamentary interest, referral to DSA, or Service CMA if the member’s availability is affected or administrative action is taken.

*DIA if reported as an NI *Service headquarters if likely to attract media interest *DSA for consideration of security incident *CMA

*Part A of Form PD 052 to be placed on member's personnel file (not conduct record). Where member is found not guilty, form is to be removed. *Provide details of the nature of the arrest and/or charge, including pending court dates and any further requirements that may affect their availability for duty. *Other reporting requirements as relevant

*Officer, warrant officer, or senior non-commissioned officer*Service Police

Becoming aware of a Member posted to their unit being arrested and/or charged with a civil offence

Commanding Officer for determination as to whether it is an NI, likely to attract media or Parliamentary interest, referral to DSA, or Service CMA if the member’s availability is affected or administrative

*DIA if reported as an NI *Service headquarters if likely to attact media interest *DSA for consideration of security incident *CMA

*Other reporting requirements as relevant

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action is taken.

Defence Instructions (General) FIN DI(G) FIN 12-1 The Control of Fraud in Defence and the Recovery of Public Monies


IGD *All Defence personnel, including contractors, must report fraud to a DIA, usually through the chain of command *Commanders and managers must report suspicions of fraud as NIs in accordance with DI(G) ADMIN 45-2

Various indications of what a trigger event is, including: *allegations of fraud, waste and abuse *all suspicions or allegations of misapplication or improper use of public money or property by contractors, their officers and employees performing duties as officials under the FMA Act by virtue of authorities, rights or delegations exercised by them under contract with Defence *an allegation concerning seemingly fraudulent activity, or where indications of potentially fraudulent activity are detected

*Senior Officers who receive reports must examine the report and form a judgment as to whether it is reasonable to believe that fraud may have occurred. They must then either refer the matter to a superior for a decision or refer the matter directly to IGD or Service Police as appropriate. *The relevant DIA to conduct investigations include IGD, Service police that report to the PMs, and DSA. *If the allegation exceeds $20k or is sensitive, the commander/manager/Service Police must report to DMJ.

*Civilian police (after consultation with the relevant DIA) *IGADF *Defence Signals Directorate if it involves an intrusion or attempted intrusion into a computer system of Defence

*Reports can be orally or in writing *Report as NI in accordance with DI(G) ADMIN 45-2 *Can be reported through the Whistleblower Scheme *Report statistical data to IGD in relation to fraud matters as required by the fraud control policy of the Commonwealth and by AGD *DPSMS which collates information into a Corporate Fraud Database

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Defence Instructions (General) OPS DI(G) OPS 13-14 Australian Defence Force Investigative Service - Service Police Central Records Office


ADFIS While this is not clear, presumably ADFIS and Service Police, following completion of an investigation

Completion of investigation by ADFIS or Service Police and closure of matter on DPSMS.

SPCRO *When file closed, it must be sent to SPCRO

DI(G) OPS 13-15 Incident Scene Initial Action and Preservation


ADFIS ADF members / Defence Civilians who are the first at an incident scene

Incidents that may result in subsequent inquiry or investigation including those that: *involve serious injury or death *have political significance or are likely to attract adverse publicity *involve damage to civilian property or significant damage to Defence property *are a dangerous occurrence *are an NI

*ADFIS *Service Police *IO *Civilian Police *Other DIA in accordance with the NI DI(G)

*Report containing, among other things, the date, time and location of the incident, a description of the scene, who was present, other actions taken

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Defence Manuals Administrative Inquiries Manual

DMAL Inquiry officer Administrative inquiry Progress reports and final report to Appointing Authority/Officer

Frequency of progress reports is ultimately a matter for the discretion of the Appointing Authority/Officer.

Defence Aviation Safety Manual

DDAAFS All ADF members *When a hazard is identified in the workplace *After a hazard has resulted in an aviation safety occurrence There are also references to 'accidents, 'serious incidents', 'incidents' and 'events'.

*All commanders *Appointing authority where relevant *DDAAFS Duty Officer

Notify other Defence and Commonwealth agencies in accordance with the reporting requirements and timeframes for certain aviation occurrences to satisfy OH&S management and Commonwealth-legislated requirements, including ATSB, Comcare, OHSC, or ARPANSA

*ISR *Defence Aviation Hazard Reporting and Tracking System Report, comprising Operational Hazard Report; Aviation Safety Occurrence Report; and Supplementary Aviation Safety Occurrence Report (SASOR). *Confidential Incident Report

Defence Security Manual

DSA A person who has experienced a contact of security concern

Contact of security concern which require reporting include, but are not limited to, representatives / members of:*foreign intelligence and

Security officer Through chain of command to DSA

*Form XP168 *For frequent contact, the form XP167 – Contact Record. *Security register

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security services *foreign government agencies and state sponsored enterprises *terrorist groups or organisations which may be supporting them *extremists, subversive groups and anyone promoting civil violence *criminal groups, outlaw clubs and organisations *media representatives including journalists *disgruntled Defence and ex-Defence personnel *those without a need to know seeking information *contractors (including offers to tender) seeking illegitimate commercial advantage.

*Defence personnel and exeternal service providers *All commanders and managers

*Minor security incident: An accidental or unintentional failure to observe the requirements of the DSM that does not fall under the category of a major security incident, including an accidental or unintentional failure to observe the

Security officer Security Incident Centre (DSA) *Form XP122-2 by duty officers or guards performing after hours security checks *Form XP188 Security Incident Report

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requirements for handling official resources involving material security classified up to a certain point.

*Defence personnel and external service providers *All commanders and managers

Major security incidents: A deliberate action that leads, or could lead, to the loss, damage, corruption or disclosure of official Defence information or assets. A major security incident may also involve negligence, reckless behaviour or intent to harm the Australian Government or an officer of the Australian Government; or may be a minor security incident involving, but not restricted to, material classified above a certain point.

*SIC *Relevant DIA in accordance with DI(G) ADMIN 45-2.

*Form XP188 Security Incident Report *Relevant DI(G) 45-2 reporting procedures

Person in charge *Loss or suspected loss, theft or attempted theft, recovery, discovery or suspicious incidents involving Defence weapons, cadet firearms, associated equipment related to weapons, or explosive ordnance

*Appropriate authority in their Group or Service *Civilian police *Stock Item Owner within 24 hours *SIC immediately

An information copy of the report to the Group Head or Service Chief must also be supplied to the CSO

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Defence personnel (?)

COMSEC and cryptography breaches, including the loss or recovery of any Cryptographic Controlled Item where there is no suspicion of espionage

*DCCA *SIC

ACSI 107 Reporting and Evaluating COMSEC Incidents and ADFP 6.0.3.1

Defence personnel (?)

Suspicious behaviour including persons engaged in reconnais-sance, surveillance, photography or trespass of or on Defence or Defence industry sites

SIC

Chief Information Officer

Any successful ICT attacks including unauthorised intrusion into a Defence ICT system (hacking), the compromise or corruption of official or classified information on a Defence ICT system, the introduction of viruses to a Defence ICT system, the intentional or accidental disruption to an ICT service, and the loss or theft of Defence ICT equipment

SIC *DPSMS *Procedures contained in Australian Communications Security Instruction (ACSI) 107 Reporting and Evaluating COMSEC Incidents and Australian Defence Force Publication (ADFP) 6.0.3.1

SAFETYMAN DGWHS All Defence Incidents that occurred during Commanders and line *WHS Branch *Form AC 563 –

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personnel and contractors

the course of work activities, such as normal duties, approved work related travel, approved study leave and associated travel. Incidents and injuries are to be reported where they are related to an individual’s employment or a pre-existing employment-related condition. A work related OHS incident - any accident or event that occurs during the conduct of Defence’s undertaking, or work performed by an employee in connection with Defence’s undertaking.

managers *Relevant DIA in accordance with DI(G) ADMIN 45-2 *ARPANSA where radiation involved

Defence OHS Incident Report is used to report to Defence and notify to the applicable Commonwealth regulator (where appropriate) all work related OHS incidents and fatalities that occur, either at work or in the workplace *Other reporting requirements in accordance with DI(G) ADMIN 45-2 *Safety Report of Defective or Unsatisfactory Materiel (RODUM) if an injury has occurred or there is a likelihood that an injury may occur as a result of defective or unsatisfactory material.

Cadet organisation Any incident involving a Navy, Army or Air Force Cadet, the

Reported to Defence and Form AC563

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consequence of which requires the Cadet to receive medical treatment by a registered medical practitioner, or at a hospital Emergency Department or other medical facility

notified to COMCARE

PACMAN DPP All Defence Personnel

Change of circumstances Commanding Officer / Supervisor

DE AD150 – ADF Personal Data AA157 – Application to Live In, Live Out and Categorisation AD160 – ADF Dependant Details AD291 – Application for Categorisation as a MWD(U) PE057 – Standard Application PE357 – Application for Recognition of Interdependent Partnership

FINMAN5, Chapter 6.3 Loss and recovery of public money

CFOG An official Loss of Public Property *Unit Commander / Branch Head for an initial investigation *Relevant DIA where it constitutes an NI *DSA where it constitutes

*Defence Insurance Office *Relevant delegate for subsequent action

Record details in loss register

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a security incident *Reporting requirements under DI(G) FIN 12–1

Contract manager Loss of Public Property in the custody of an Outsider who has a formal arrangement with Defence

*Defence Insurance Office *Relevant delegate for subsequent action *Relevant DIA where it constitutes an NI *DSA where it constitutes a security incident *Reporting requirements under DI(G) FIN 12–1

Record details in loss register

Intranet guidance

OH&S Person involved in an accident

Defence-owned vehicle is involved in an accident

*National Claims Centre *Defence OH&S Branch *Civilian police if applicable

Defence Insurance Office *Call National Claims Centre hotline *AC 626—Vehicle Accident Report and provide to OHS Branch

Service Police Manual

ADFIS Driver Service vehicle involved in a minor motor vehicle accident on a base. Minor motor vehicle accident is defined as involving minor vehicle damage and/or minor property damage

*Base Transport Manager (who will interview the driver and determine whether it is a possible DFDA offence) *Civilian police

Service police, if Transport Manager recommends to the CO that the matter be referred for DFDA investigation

*Service Police to complete a Form PD 035—Service Police Traffic Accident Report if they attend the accident

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Unclear

Service vehicle involved in a serious motor vehicle accident on a base. Serious motor vehicle accident is defined as involving personal injury, significant damage to property and/or disabling damage to vehicle(s)

*Service Police for investigation *Civilian police where there is a death, serious injury, or when a civilian driver is at fault for investigation

*Service Police to complete a Form PD 035—Service Police Traffic Accident Report if they attend the accident

Driver A motor vehicle accident (minor and serious) that occurs outside a base

*Civilian police in accordance with local reporting requirements *Base Transport Manager who will assess the matter and take action as for an on-base accident

*Complete Form AC 626—Vehicle Accident Report

CDF Directives CDF Directive 4/2010 Quick Assessments and Administrative

CDF ADF units Conduct of a QA Units must maintain a QA register and send a copy of the register to their next formation / higher level headquarters on a

Enclosure 1 provides a template for a QA register

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Inquiries

Issue date: 23 April 2010

monthly basis

Unclear Conduct of a QA in relation to a potentially serious or complex issue. This is defined as: *the death of, or serious injury to, a civilian *the death of, or serious injury to a member of the ADF, or the death of or serious injury to a member of the armed forces of another country *significant damage to property *more than two complainants and/or respondents *more than ten material witnesses *more than two potentially adversely affected persons *a commander or supervisor has been directly involved in the incident or is otherwise a potentially adversely affected person *a clear likelihood for an ADF member to be removed from

A copy of the QA must be sent to their next formation / higher level headquarters for consideration

The formation/higher level headquarters is strongly encouraged to consult with either IGADF or DMJ if in any doubt about their proposed course of action

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his or her unit as a result of the incident *involvement of other Federal or State government agencies, or an agency of a foreign government *a clear likelihood of litigation *a clear likelihood of a claim against the Commonwealth *an incident report or incident brief was raised in respect of the incident

ADF units Conduct of an Inquiry Officer inquiry

Units Record on ADFAITS

Defence Instructions (Army) and Army Directives DI(A) ADMIN 23-2 Management of Reportable Incidents


Army An incident is reportable if it: *impacts on the unit's ability to perform its assigned tasks (these matters should be reported as On Occurrence Preparedness Reports in accordance with reference A)*is considered desirable and/or in the interest of the Army, including issues or activities of a positive nature that are likely to promote Army's standing in the

IIR, SIR and CIR must be reported to: *BDEHQ/TRGCENTREHQ *Div HQ *LHQORHQTC–A *AHQ *LOCALCOMCAREREP *MP and/or CIVPOL

AHQ may then report the IIR, SIR and CIR to: *Senior ADF PERS *MIN, MIN ASST, PARL SEC *PACC *MP *DPE (DEO) *DSMA *Other agencies as required

Three types of reports at different intervals: *Initial Incident Report (IIR) to provide what facts are available - who, what, where, when, why. They are written in plain English and transmitted by the fastest means

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community; *has political significance or is likely to attract adverse publicity *involves discrimination, harassment, sexual offences, fraternisation or unacceptable behaviour (in accordance with references B to D) *impacts significantly on the career management of an individual *is a serious civil offence (in accordance with reference D)*involves any financial adjustment that exceeds the unit commander’s delegation (in accordance with reference E) *involves ammunition (as defined in reference F) *involves air delivery equipment (as defined in reference G) *involves damage to civilian property or significant damage to military property (reference D details reporting requirements for incidents where an offence may have been committed)

possible. IIRs are submitted on occurrence plus every time new facts are revealed during the first 24 to 36 hours. Format at Annex B *Subsequent Incident Report (SIR) to be submitted within 24 to 36 hours of the first IIR being submitted. Provide a detailed account of the incident and a summary of the commander’s intent/evaluation. SIRs will consolidate all information and fill the gaps in knowledge left by IIRs. They are completed as formatted responses and they can be submitted as an email, facsimile or message. Format at Annex C.

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*involves serious personal injury or is defined as a dangerous occurrence in references D, H and I *involves a fatality including the sudden death of a member through suicide or accidental death whilst performing military duties *is deemed reportable by any commander

*Closure Incident Report (CIR) to be submitted when all matters stemming from the incident are finalised. CIRs are submitted by any means and are written in plain English. Format at Annex D.

Unclear Death, injury or missing persons

Unclear Form AC 563—Incident and Fatality Report

CO

Military police complete an investigation and forward it to a unit

Central Records Office Form AB 813—Report on Action Taken on Alleged Offence

DI(A) ADMIN 30-1 Communication protocols for Comcare and the Australian Army regarding investigations

Army All individuals in Army and Defence, including Defence employees (Australian Defence Force (ADF), civilian and Reservists) as well as Army cadets,

WHS Incidents (Note reflects OHS Act, etc,)

OH&S Branch Comcare for possible investigation.

Form AC 563—Defence OHS Incident Report

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conducted by Comcare under the Occupational Health and Safety Act 1991


contractors and visitors.

DI(A) ADMIN 63-3 Losses of Non-Public Moneys


DPSA Individuals Where a loss in a non-public money account is suspected it is to be immediately reported

to the president or supervising officer who is to advise the CO.

Supervisor/CO *Unit/MP Investigation *Court of Inquiry

Not clear

Individuals Losses in excess of $100 or

those suspected of being occasioned by theft, fraud or misappropriation are to be immediately reported

In accordance with DI(A) ADMIN 23-2

DI(A) ADMIN 70-4 Reporting Procedures for

HQs Support Command

Unit Commander Discharge of Halon Environmental Protection Officer (EPO), Headquarters Support Command Australia,

Halon Discharge Report

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the Discharge of Halons

Issue date: 8 Jan 1999

Australia Chief of the Army Fire Service, Headquarters Support Command Australia.

DI(A) ADMIN 89–1 Army Small Arms Weapon Proficiency Policy

Issue date: 5 Dec 2008

DGPP–A

Not clear OHS incidents involving small arms training.

Chain of Command, WHS reporting lines, etc,

COMDT CATC is appointed as the OHS Advisor for ADF small arms training and is therefore responsible for the oversight of all OHS matters involving small arms weapon and range training.

COMDT CATC is to be forwarded a copy of Form AC 563—Defence OHS Incident Report , Quick Assessment, Administrative Investigation, Service Police Investigation, Ammunition Technical Officer Investigation or Board of Inquiry findings as applicable, by the quickest means immediately on its completion to enable an analysis of the incident to occur.

DI(A) PERS 66-7 Alcohol Testing in the Australian

DGPERS–A

Testing coordinator Results of alcohol test Commanding Officers Medical Officer or Allied Health Professional for positive test

*AD 508—Alcohol Test Results to Form *AD 510—

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Army


results. Authorisation to Conduct Alcohol Test

*PMKeyS

DI(A) PERS 67-5 Theft


SO1 PERS SPT

DGPS&C-A

Army members Incidents of theft Reporting in accordance with DI(A) ADMIN 23-2 - Inquiries into Matters Affecting the Defence Force.

All incidents of theft are to be investigated and reported upon in accordance with DI(A) ADMIN 23-2 - Inquiries into Matters Affecting the Defence Force

In accordance with DI(A) ADMIN 23-2 - Inquiries into Matters Affecting the Defence Force

DI(A) PERS 130–21 Defence Injury Prevention Program in the Australian Army


DOHS–A All personnel who attend a unit’s designated health facility

Injuries as a result of physical conditioning and other military activities.

*Directorate of Injury Prevention in DHSD

*OH&S Branch

Defence Safety Management Agency; Defence Health Services; member’s Commanding Officer

*Form AC563 OHS Incident Report; *DIPP Injury Report Form

*HealthKEYS database

CA Directive 17/11 Formation of the Army Administrative Inquiry Cell


CA Unit Serious or complex matters Army Administrative Inquiries cell for an inquiry to be undertaken

Form Annexed to CA Directive

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CA Directive 05/07 OHS Incident Reporting and Notification


CA Commanders and Supervisors

OHS Incident. Defence Occupational Health Safety and Compensation Branch

Notification to the Commonwealth OHS regulators

Form AC563

CA Directive 24/2008 Management of Asbestos within the Australian Army


CA Commanders Identification of asbestos Notify DSG; ArmySAFE Advisory Services

Maintain a register of asbestos locations and conditions

COMD FORCOMD Directive 118/11

Incident Management and Reporting


HQFORCOMD

Units Incidents including:

a. Critical: An incident of an urgent nature that requires commanders and key staff to immediately cue to respond to this situation and tasks over all others e.g. A fatality or casualty with low survival expectancy.

b. Very Significant: An incident that requires rapid

HQ FORCOMD Outside chain of command as appropriate, depending on the nature of the incident.

* Critical incidents are to be handled immediately and notified to HQ FORCOMD within two hours.

* Very significant

incidents are to be handled as fast as possible and notified to HQ FORCOMD for

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action within the command chain at the operational and strategic levels e.g. a soldier arrested for alleged rape, an incident resulting in immediate adverse media attention, etc.

c. Significant: An incident that requires immediate attention by staff engaged in IM e.g. A training accident resulting in a serious injury, assault where a victim is hospitalised, etc.

d. Minor: All other incidents that will be monitored by the command chain via AIMS e.g. minor personal injuries, a soldier arrested for drunk and disorderly behaviour, etc

actioning at operational and strategic levels within 12 hours.

* Significant incidents are to be handled as fast as possible, take

precedence over minor incidents and are notified to HQ FORCOMD for actioning at operational and strategic levels within 24 hours.

*Minor incidents are to be handled during normal business and do not require notification to HQ FORCOMD.

Army Fair Go Hotline

Army AFGHL Report by an ADF member of anything they consider

CO of Unit None

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Defence Instructions (Air Force) and Air Force Directives DI(AF) ADMIN 9-32 Reporting of Members Absent Without Official Leave


DMA–AF Unit Commander Members Absent Without Official Leave

*Director of Personnel Officers—Air Force (DPO–AF) / Director Personnel Airmen (DPA), as applicable

*Director Security and Policing—Air Force (DSP–AF)

*DEFPAC

*Emergency contact

If AWOL for 22 days:

*Investigating officer

*DPO–AF/DPA, as applicable and DCOORD–AF.

(NB: there are other actions where the member is AWOL for longer)

Email or message format in accordance with annex.

DI(AF) PERS 4-14 The use and abuse of alcohol in the RAAF


DMPP-AF

Supervisors and COs Identification of problem drinkers

*CO must interview him, inform him of the specific incidents which led to the interview and that the interview is an initial attempt to resolve the problem. *Must be reported to Medical Officer for assessment to exclude any undiagnosed pathology and/or determine existence of alcohol problem.

Coordination of RAAF Health, Psychology, Education, Police and Chaplains

CO conducts ROC and reports to MO (See Part IV)

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DI(AF) PERS 4-19 Administrative sanctions in the RAAF


DGPERS-AF

CO A range of conduct/behaviour/performance - including specifically for criminal/DFDA offences, alcohol misuse, prohibited substance use, discriminatory behaviour, unacceptable behaviour, sexual offences, unsuitability on medical or psychiatric grounds, unsuitability of aircrew for further training, Physical Fitness test failure, indebtedness and bankruptcy, loss of civilian driver's licence.

Commanding officer / AFHQ

PMC Adverse Reports Unsuitability Reports

DI(AF) PERS 5-6 Reversion or reduction in rank


DGPERS-AF

Not clear Testing positive for prohibited substances

CAF & Delegates? Unclear

DI(AF) PERS 24-6 Royal Australian Air Force Active Reserve Contingency

DPOL–TC (SORT)

Chain of Command Incidents involving Contingency Operations Reserve Group training (e.g. civil offences, serious disciplinary breaches)

Command Headquarters and the parent Reserve squadron

Unclear

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Operations Reserve Group- training

Issue date: 10 Feb 2000

DI(AF) PERS 56-1 Environmental Health and Occupational Hygiene


OC HSW Air Force Environmental Health Personnel

Hazard and Safety threats (e.g. chemical hazards, radiation hazards etc,)

Chain of command CO Report in accordance with other instructions as required (eg. SAFETYMAN)

DI(AF) OPS 3-7 Aircraft Noise Nuisance


DCCM–AF (DD–ARMP)

The unit or, if applicable, Detachment Commander who receives a complaint

Aircraft Noise Complaints When completed, Form OA 39 is to be distributed as indicated on the form.

OA 39—Record of Aircraft Noise Complaint within five working days.

DI (AF) OPS 6-9 Airfield emergency services


DFS–ADF (DDFS)

Not clear An aircraft accident involving Air Rescue and Fire Fighting (ARFF)

action.

Unclear, presumably Incident Site Commander (ISC).

Air Force Headquarters and parent command headquarters.

Form AB 47—Fire Service Incident Report

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CAF Directive 18/10 Alcohol Reporting


CAF Warrant Officer- Air Force

Report on alcohol related incidents

Notify Chief of Air Force Advisory Committee

CAF Directive 21/11 New RAAF Incident Reporting Process


CAF Chain of Command Serious or sensitive issues that may potentially need to be reported to the Government/Ministers

Notify AFHQ

Defence Instructions (Navy) and Navy Directives DI(N) ADMIN 18-3 Reports of Proceedings, Haul-down and Operational Reports


SNHO (ROP) Commander Australian Fleet (COMAUSFLT), commissioned ships, commissioned Naval Shore Commands and Regional Naval Headquarters, Naval Air Squadrons, Clearance Diving Teams, ancillary units, organisations, naval representatives

(ROP) Periodic unit activities Listed authorities must submit a quarterly ROP to reach addressees by the week of the following quarter specified.

Records of proceedings in Minute format; haul-down reports; operational reports. Content in accordance with the Instruction.

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and detached parties.

DI(N) ADMIN 35-8 Absentees


CN Supervisor Absence, suspect absence OOD and Departmental Regulators

OOD and Departmental Regulators are to ensure that the matter is reported through the chain of command for action

Report in Format provided at Annex B; PMKEYS for 24 Hour+ absences

DI(N) ADMIN 44-2 Accident and Incident Investigation


CN Routine Inquiry Officer or Inquiry Officer appointed to undertake a safety investigation

Safety incident *RIO or IO must submit an initial progress report to the Appointing Authority, followed by a final report.

*RIO or IO must work in consultation the Safety Assurance Section and DGNCS in forming recommendations and finalising the investigation report

*DGNCS is to report the number of safety investigations conducted to the Navy Safety and Regulatory Council, the findings of those investigations, implementation status of recommendations and any emerging trends or significant issues.

Format in accordance with the Administrative Inquiries Manual.

DI(N) LOG 21-4 Policy for the reporting and management of oil spills


MA OOD/OOW and/or designated crew member

All probable and actual oil spills

*Port Services Manager

*Harbour Master

*if Naval contact unavailable SO3 Maritime

*Relevant Watchkeeper

*Quickest means to appropriate Authority; *Pollution Report at Annex E

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DI(N) PERS 05-2 Casualties – Injuries, death, board of inquiry, inquests and post-mortems


CN CO Any personal injury caused by:

a. accident arising out of or in the course of employment by the Commonwealth Government (including participation in games or other forms of recreation organised by a naval authority), or

b. accident whilst travelling to or from his/her place of employment by the Government

Medical Department of his/her ship or establishment on whose books the member is borne

Commanding Officers are to ensure that all accidents which result in personal injury to naval personnel whether on duty or not are investigated and Form PM278 is forwarded in accordance with DI(N)

OPS 60-3

DI(N) PERS 13–1 Illegal use of drugs and drug education in the Royal Australian Navy


DPPC (DGNPT)

All individuals Instances of suspected illegal use of drugs

Commanding Officer *When there is evidence available in relation to illicit drugs CO should seek advice and assistance from Naval Police Coxswain (NPC) or Head Defence Investigative Authority—Navy (HDIA–N) as appropriate

*Report as an NI where relevant.

*No formalities for reporting to CO

* As a NI in accordance with DI(G) ADMIN 45–2.

DI(N) PERS 31-9 Management of Alcohol and the

DHRM (NAVSYSCOM)

CO or supervisor Incidents involving alcohol abuse

CO, Medical Officers to refer to Alcohol and Drug Program Advisor

Alcohol and Drug Program Counsellor assess and refer the Member for a course of treatment.

Performance Assessment Report should be completed

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Prevention and Management of Alcohol Abuse in the Royal Australian Navy


where a member’s work performance has declined.

DI(N) PERS 31-51 Alcohol testing in the Royal Australian Navy


COS NAVSYSCOM

Individuals Where they believe a member may be exceeding the prescribed BAL limit

Supervisor/CO Inclusion on member’s health record.

Person undertaking the test

Results of test The ADF Alcohol Testing Record in DI(G) PERS 15–4, annex D is to be input into PMKeyS ASAP after the test is undertaken.

Trend analysis data may be distributed.

PMKeys

CN Directive - Serious Offences and Positive Tests


CN CO ADF member is:

*arrested and/or charged with a civil offence;

*placed on a diversionary program;

Navy HQ Where a Navy member has been convicted of a serious offence or is found to have engaged in serious misconduct, COs must provide a brief to the DG Navy People as to:

Navy Draft Issues Brief

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*convicted of a civil offence;

*or the matter is likely to attract media or Parliamentary interest (emphasis added).

a. whether the termination or discharge of the member was considered; and

b. whether such a notice was issued, and if not, record and report their reasons why

AF Memorandum 48/10 Management and reporting of issues of potential strategic communications importance to Navy Strategic Command


COMSPT Navy personnel *Any incident which has

involved, or will involve, local, state or federal agencies, another Service or the general public, including court appearances on civil charges.

*Other issues likely to attract media or political interest or relating to other Defence matters of a topical nature.

Navy Strategic Command Navy Draft Issue Brief Template at Enclosure 1 (which is a modified version of the Hot Issues Brief format).

annex h - department of defence€¦ · annex h current defence ... assessment reports or chain of...

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