FOR OFFICIAL USE ONLY
FOI 144/17/18
Item 1, Serial 3
2
s47E(d)
1.2
Potential Offences / Breaches
The potential criminal offences initially identified are:
x Abuse of public office – s.142.2 of the
Criminal Code Act 1995
x False or misleading information – s.137.1 of the
Criminal Code Act 1995
The potential policy or procedural breaches initially identified are:
x Commonwealth Procurement Rules
x Defence Procurement Policy Manual
x Defence Instructions (General) PERS 25-6 Conflicts of interest and declarations of
interests
1.3 Jurisdiction
Jurisdiction for any criminal offences arising from this matter rests with the
Commonwealth Director of Public Prosecutions – Melbourne Office.
Jurisdiction for any administrative breaches arising from this matter rests with Defence
Public Service Delegate.
1.4
Persons of Interest
s47E(d)
1.5 Anticipated
Duration
Depending on competing case priorities it is intended this investigation will be completed
by 25 November 2014.
1.6
Outside Agencies or Departments
x Commonwealth Director of Public Prosecutions
x Australian Federal Police
1.7
Internal Branches Involved
FCPE
The Fraud Risk Assessment and Fraud Control Plan will be assessed in light of the matter
under investigation.
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
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Item 1, Serial 3
3
Directorate of Fraud Control Planning, Analysis and Forensics is to be utilised for IT
captures and analysis.
1.8 Special
Arrangements
Nil.
1.9 Top
Cover
It is recommended that the Vice Chief of the Defence Force, VADM Raymond Griggs is
the appropriate Top Cover. VADM Griggs’ telephone number is 02 6265 2856. His email
address is xxx.xxxxxx@xxxxxxx.xxx.xx. VADM Griggs is not aware of the matter.
ACTION:
Top Cover briefed on:
Signed: ……………………………………………..
Comments:
2. MISSION
s47E(d)
2.1 Focusing
Questions
s47E(d)
3. EXECUTION
3.1
Concept of Execution
The investigation consists of three phases.
Phase 1
x Review and assessment.
x Discuss case with the Recovery Unit to establish debt recovery status and
responsibilities.
Phase 2
x Interview witnesses.
x Execute search warrants (if required).
FOR OFFICIAL USE ONLY
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FOR OFFICIAL USE ONLY
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Item 1, Serial 3
4
x Afford persons of interest opportunity to participate in an interview.
x Evaluate material and conduct follow up.
x Consult with the Recovery Unit to confirm if a debt exists and if so, whether the
debtor has accepted responsibility for the debt.
Phase 3
x Compile a brief of evidence (if sufficient evidence exists).
x Compile a brief for Code of Conduct action (if sufficient evidence exists).
x Compile an investigation report affording procedural fairness to affected
individuals.
x Compile a management report.
4.
ADMINISTRATION AND LOGISTICS
4.1.1
Costing the Investigation
PHASE 1 - ITEM
COST
TOTAL:
$0
Investigator days:
14
PHASE 2 - ITEM
COST
Return Flights (CBR-MEL) – 2 Investigators
$1,400
Accommodation (MEL) – 2 Investigators / 4 nights
$1,500
Meals and Incidentals (MEL) – 2 Investigators / 5 days
$1,100
Car Hire (MEL) – 5 Days
$450
TOTAL:
$4,450
Investigator days:
55
PHASE 3 - ITEM
COST
Transcription $3,000
TOTAL:
$3,000
Investigator days:
21
TOTAL COST
TOTAL:
$7,450
Investigator days:
90
5.
COMMAND AND COMMUNICATIONS
5.1
Investigators
The investigation team composition is as follows.
x Primary Case Officer: James Williams
x Secondary Case Officer: Carl Jarvis
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Item 1, Serial 3
5
5.2
Recording System
The course of the investigation will be recorded on the DPSMS system. Critical Decisions
will be made in conjunction with the Investigations Management Team.
5.3 Communication
There are no specific communication needs.
Investigators can be contacted on listed office and mobile telephone numbers.
5.4 Security
All members will adhere to the Standard Security guidelines.
6. RISK
ASSESSMENT
6.1 WHS
The following work health and safety risks with treatment options have been identified:
No specific risks have been identified. Risks will be treated if and when they arise.
6.2 Discloser
The following risks to the discloser and treatment options have been identified:
Risk:
The discloser has made an allegation of bullying and harassment in the workplace as a
result of making a disclosure.
Treatment:
The Deputy Secretary Defence Support and Reform, Mr Steve Grzeskowiak, has reviewed
the allegation of bullying and harassment and has made an undertaking to review any
future allegations.
James Williams
Assistant Director Investigations
Date / /
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
FOI 144/17/18
Item 1, Serial 3
6
Jason Woods
DIGD-IR
RECOMMENDED
/
NOT
RECOMMENDED
Date / /
DIGD-IR COMMENT:
Michael Callan
IGD
APPROVED
/
NOT
APPROVED
Date / /
IGD COMMENT:
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
2
s47E(d)
1.2 Potential
Offences
The potential criminal offences initially identified are:
x Abuse of public office – s.142.2 of the Criminal Code Act
x Obtaining a financial advantage by deception – s134.2 of the Criminal Code Act
x General dishonesty – s.135.1 of the Criminal Code Act
x Obtaining a financial advantage – s135.2 of the Criminal Code Act
x Conspiracy to defraud – s.135.4 of the Criminal Code Act
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
3
The potential policy or procedural breaches initially identified are:
x Commonwealth Procurement Rules
x Defence Procurement Policy Manual
x Defence Instructions (General) PERS 25-6 Conflicts of interest and declaration of
interests
x Defence Instructions (General) PERS 25-4 Notification of post separation
employment
1.3 Jurisdiction
Jurisdiction for any criminal offences arising from this matter rests with the
Commonwealth Director of Public Prosecutions – Melbourne Office.
Jurisdiction for any administrative breaches arising from this matter rests with the Defence
Public Service Delegate.
1.4
Persons of Interest
s47E(d)
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
4
s47E(d)
1.5 Anticipated
Duration
It is anticipated the investigation will be complete on 23 October 2015.
1.6
Outside Agencies or Departments
x Commonwealth Director of Public Prosecutions
x Australian Federal Police
1.7
Internal Branches Involved
Audit Branch
Audit Branch will assist by providing the most recents47E(d) audit report and other
information as it becomes available.
Fraud Control Policy and Ethics
The Fraud Risk Assessment and Fraud Control Plan will be assessed in light of the matter
under investigation.
1.8 Special
Arrangements
Nil.
1.9 Top
Cover
It is recommended that the Vice Chief of the Defence Force, VADM Raymond Griggs
remains the appropriate Top Cover. VADM Griggs’ telephone number is 02 6265 2856.
His email address is xxx.xxxxxx@xxxxxxx.xxx.xx .
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
5
ACTION:
Top Cover briefed on:
Signed: ……………………………………………..
Comments:
2. MISSION
To investigate a number of allegations that s47E(d)
were conducted
improperly.
2.1 Focusing
Questions
x What were the circumstance surrounding s47E(d)
?
x Was the conduct of any APS employee, Defence member, contractor or civilian,
involved in s47E(d)
x Does evidence exist of criminal or administrative misconduct?
x Is there a debt owed to the Commonwealth?
3. EXECUTION
3.1
Concept of Execution
The investigation consists of three phases.
Phase 1
x Review and assessment.
x Discuss case with the Recovery Unit to establish debt recovery status and
responsibilities.
Phase 2
x Interview witnesses.
x Execute search warrants (if required).
x Afford persons of interest opportunity to participate in an interview.
x Evaluate material and conduct follow up.
x Consult with the Recovery Unit to confirm if a debt exists and if so, whether the
debtor has accepted responsibility for the debt.
Phase 3
x Compile a brief of evidence (if sufficient evidence exists).
x Compile a brief for Code of Conduct action (if sufficient evidence exists).
x Compile an investigation report affording procedural fairness to affected
individuals.
x Compile a management report.
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
6
4.
COMMAND AND COMMUNICATIONS
4.1
Investigators
The investigation team composition is as follows.
x Primary Case Officer: James Williams
x Secondary Case Officers: Carl Jarvis and Terry Riley
4.2
Recording System
The course of the investigation will be recorded on the DPSMS system. Critical Decisions
will be made in conjunction with the Investigations Management Team.
4.3 Communication
There are no specific communication needs.
Investigators can be contacted on listed office and mobile phone numbers.
4.4 Security
All members will adhere to the Standard Security guidelines.
5. RISK
ASSESSMENT
5.1
Work Health and Safety
The following work health and safety risks with treatment options have been identified:
No specific risks have been identified. Risks will be treated if and when they arise.
5.2 Discloser
Risk: The discloser fears reprisals and/or unfair dismissal as a result of making a
disclosure.
Treatment: The discloser has been informed to notify the case officer of any reprisals. The
case officer, in consultation with the IGD, will address any issues if and when they arise.
The discloser is also aware of other support services, including the Employee Assistance
Program (EAP).
James Williams
Assistant Director Investigations
Date / /
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOR OFFICIAL USE ONLY
7
Jason Woods
DIGD-IR
RECOMMENDED
/
NOT
RECOMMENDED
Date / /
DIGD-IR COMMENT:
Michael Callan
IGD
APPROVED
/
NOT
APPROVED
Date / /
IGD COMMENT:
FOR OFFICIAL USE ONLY
Defending Australia and its National Interests
FOI 144/17/18
Item 2, Serial 3
Davidson, Melissa MRS
From:
s47E(d)
Sent:
Wednesday, 4 October 2017 5:44 PM
To:
Williams, James MR 9
Subject:
s47E(d)
Sensitive
HiJames
Asdiscussed,inlightofyouseekingidentificationofactiontaken,s47E(d)
Allegation2:s47E(d) &
failedtodeclareaconflictofinterestwhenexercisingdelegationtoapprovecontractsfor
s47E(d) & 47F
s47E(d)
Allegation4:s47E(d) &
failedtosubmitaletterofnotificationpriortobeingengagedby s47E(d)
Allegation12:s47E(d) & failedtocomplywiththeprovisionsofthes47E(d) and s47F
StandingOffer
s47E(d)
Pleaseletmeknowifyouneedmore.
cheers
s47E(d)
1
FOI 144/17/18
Item 2, Serial 3
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
From: Williams, James MR 9
Sent: Wednesday, 13 September 2017 6:37 AM
To: s47E(d)
Subject: s47E(d)
Sensitive
Thankyous47E and s47F
Ialsoneedtoknow,whatifanyactionwastakeninrelationtotheothersustainedfindings:
Allegation2:s47E(d) & 47F failedtodeclareaconflictofinterestwhenexercisingdelegationtoapprovecontractsfor
s47E(d) & 47F
Allegation4:s47E(d) & 47F failedtosubmitaletterofnotificationpriortobeingengagedbys47E(d) and
47F
Allegation12:s47E(d) & 47F failedtocomplywiththeprovisionsofthes47E(d) and 47F
Offer
Iappreciateyourhelp.
James
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
From: s47E(d)
Sent: Tuesday, 12 September 2017 4:03 PM
To: Williams, James MR 9
Subject: s47E(d)
Sensitive
HiJames
s47E(d)
Cheers
s47E and s47F
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
From: Williams, James MR 9
Sent: Tuesday, 12 September 2017 3:28 PM
To: s47E(d)
Subject: s47E(d)
2
FOI 144/17/18
Item 2, Serial 3
Sensitive
Goodafternoon s47E and s47F
Iknowithasbeenawhilesincewelastdiscussedthismatterbutareyouabletotellmewhatactions47E(d)
MyapologiesifaresponsehasalreadybeenprovidedtoASFC;however,IamtryingtofinalisetheDPSMSrecord
andanoutcomehasnotbeenrecorded.
Regards
James
James Williams
Assistant Director Receipt and Assessment
Manager Defence Public Interest Disclosure Scheme
Fraud Control and Investigations Branch
Audit and Fraud Control Division
Department of Defence
CP2-1-157 | Campbell Park Offices | Northcott Drive | ACT 2610
(02) 6266 2746
xxxxx.xxxxxxxxx@xxxxxxx.xxx.xx
We promote Integrity, Accountability and Efficiency in Defence
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
From: s47E(d)
Sent: Wednesday, 8 March 2017 6:19 AM
To: Clarke, Meryl MRS
Cc: Woods, Jason MR; Williams, James MR 9; s47E(d)
Subject: s47E(d)
Sensitive
ThanksMeryl.
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
From: Clarke, Meryl MRS
Sent: Tuesday, 7 March 2017 9:43 AM
To: s47E(d)
Cc: Woods, Jason MR; Williams, James MR 9; s47E(d)
Subject:s
3
FOI 144/17/18
Item 2, Serial 3
Sensitive
s47E(d
)
James has made contact with s47E(d)
and we will together on this.
regards
Meryl Clarke
Assistant Secretary Fraud Control
Audit and Fraud Control Division
Department of Defence
CP3-2-011 | Campbell Park Offices | Northcott Drive | ACT 2610
(02) 6266 4857 | s22
Fax: (02) 6266 4593
xxxxx.xxxxxx@xxxxxxx.xxx.xx
From: s47E(d)
Sent: Sunday, 26 February 2017 16:14
To: Clarke, Meryl MRS
Cc: Woods, Jason MR; Williams, James MR 9; s47E(d)
Subject: s47E(d)
Meryl,
Thanks. I appreciate the clarification of the current status of this matter, and also the advice on the
procedural fairness and natural justice processes used within FCIB. The quality of the investigative
processes of your team was never in question from me, rather the management of potentially affected
persons was not clear given my potential role to impose administrative or other action. I'm therefore grateful
for your advice, including that personnel have been contacted by your team and that others will be contacted
shortly that a finding of "not sustained" has been made.
s47E(d)
Cheers,
s47E(d)
On 13 Feb. 2017, at 01:09, Clarke, Meryl MRS <xxxxx.xxxxxx@xxxxxxx.xxx.xx> wrote:
Sensitive
s47E(
d)
4
FOI 144/17/18
Item 2, Serial 3
I apologise. I had a draft email which I thought I sent to you. I'm sorry for not getting back
to you.
After speaking with you in November I can confirm that my team contacted the personnel
involved and spoke to them in accordance with your request. That action was completed.
s47E(d)
s47E(d)
s47E(d)
However, those that
were subject to an allegation that had a finding of ‘not sustained’ have not as yet been
5
FOI 144/17/18
Item 2, Serial 3
advised formally of such conclusions. For each person affected, such advice will be
provided.
Please let me know if this information is sufficient.
regards
Meryl Clarke
Assistant Secretary Fraud Control
Audit and Fraud Control Division
Department of Defence
CP3-2-011 | Campbell Park Offices | Northcott Drive | ACT 2610
(02) 6266 4857 | s22
Fax: (02) 6266 4593
xxxxx.xxxxxx@xxxxxxx.xxx.xx
From: s47E(d)
Sent: Saturday, 11 February 2017 17:00
To: Clarke, Meryl MRS
Cc: Woods, Jason MR; Williams, James MR 9; s47E(d)
Subject:s
Sensitive
Meryl,
Thank you. I must admit that I'm a little surprised (and confused) by your email given our discussions
during our meeting of 9 Nov 16. I checked with s47E(d)
, who was also in that meeting. We
are both of the understanding that you were going to consider the points that we raised during our
discussions and that you were subsequently going to respond by email as to the way ahead. As I
recall, you were mostly happy with our observations and agreed that some changes in language
would assist implementation. As a consequence, and consistent with what I thought was our
agreement, I have taken no action pending your response. This is what I had in mind when we briefly
discussed this matter the other day.
Cheers,
s47E(d)
From: Clarke, Meryl MRS
Sent: Friday, 10 February 2017 15:19
To: s47E(d)
6
FOI 144/17/18
Item 2, Serial 3
Cc: Woods, Jason MR; Williams, James MR 9
Subject: s47E(d)
Sensitive
s47E(d)
As you know, my Branch completed an investigation (26 July 2016) into a number of probity and
procurement issues within s47E(d)
The investigation made a number of adverse findings concerning s47F
On 24 October 2016, Acting Assistant Secretary Fraud Control (ASFC), Ms Debbie Pollard,
forwarded you the investigation report concerning thes47E(d) including the findings, for your
deliberation. Ms Pollard also requested that you notify this office of the outcome of your deliberations.
Prior to FCIB closing the investigation and as a matter of course, I would appreciate it if you could
provide me with the details of any action that has been commenced or taken against s47F
thank you
Meryl Clarke
Assistant Secretary Fraud Control
Audit and Fraud Control Division
Department of Defence
CP3-2-011 | Campbell Park Offices | Northcott Drive | ACT 2610
(02) 6266 4857 | s22
Fax: (02) 6266 4593
xxxxx.xxxxxx@xxxxxxx.xxx.xx
IMPORTANT: This email remains the property of the Department of Defence and is subject to the
jurisdiction of section 70 of the Crimes Act 1914. If you have received this email in error, you are
requested to contact the sender and delete the email.
IMPORTANT: This email remains the property of the Department of Defence and is subject to the
jurisdiction of section 70 of the Crimes Act 1914. If you have received this email in error, you are
requested to contact the sender and delete the email.
IMPORTANT: This email remains the property of the Department of Defence and is subject to the
jurisdiction of section 70 of the Crimes Act 1914. If you have received this email in error, you are
requested to contact the sender and delete the email.
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
7
FOI 144/17/18
Item 2, Serial 5
CP2-1-154
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
2
FOI 144/17/18
Item 2, Serial 7
TerryRiley
AssistantDirector
InvestigationsandRecovery
FraudControlandInvestigationsBranch
0262662610
s22
CP2Ͳ1Ͳ154
IMPORTANT:ThisemailremainsthepropertyoftheDepartmentofDefenceandissubjecttothejurisdictionof
section70oftheCrimesAct1914.Ifyouhavereceivedthisemailinerror,youarerequestedtocontactthesender
anddeletetheemail.
IMPORTANT:ThisemailremainsthepropertyoftheDepartmentofDefenceandissubjecttothejurisdictionof
section70oftheCrimesAct1914.Ifyouhavereceivedthisemailinerror,youarerequestedtocontactthesender
anddeletetheemail.
IMPORTANT: This email remains the property of the Department of Defence and is subject to the jurisdiction of
section 70 of the Crimes Act 1914. If you have received this email in error, you are requested to contact the sender
and delete the email.
2