> About OCBA  > Compliance and enforcement  > Dealing with OCBA

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• Conducting Investigations
• Co-operation by Alleged Offenders
• Without Prejudice Communications

Conducting Investigations

OCBA will strive to conduct investigations in a manner that:

• is professional and appropriate
• is timely and effective
• has due regard for public expectations and the rights of individuals, but bearing in mind the importance of gathering and maintaining the integrity of evidence and
• will maintain the integrity of evidence.

When using statutory powers to obtain evidence, OCBA will ensure that it does so in accordance with its obligations as set out in the applicable legislation. OCBA will ensure that it does not abuse or misuse its investigative powers.

All parties that are the subject of a material substantiated allegation will be given an opportunity to respond to the allegation and the allegation will be reasonably particularised.

When a complaint is received, OCBA will acknowledge receipt of the complaint and advise the complainant as far as possible whether it will be investigated.

When an investigation is completed, OCBA will inform the complainant and the alleged offender of the outcome.

Section ll of the Fair Trading Act 1987 prevents OCBA providing information about investigations or complaints to a third party except in particular situations.

Co-operation by Alleged Offenders

Without in any way limiting OCBA's ability to deal appropriately with any illegal activity, it may be appropriate to deal leniently with a person who co-operates with OCBA in its investigations or court actions. Such leniency may take the form of complete or partial immunity from action, agreed submissions to court on penalty, or administrative resolution in lieu of litigation.

Leniency is most likely to be considered appropriate for persons who:

• come forward with valuable and important evidence of a contravention of which OCBA is otherwise unaware or has insufficient evidence to initiate proceedings

• provide OCBA with full and frank disclosure of the activity and relevant evidence available to them

• take prompt and effective action to stop the illegal conduct, or their part in it, and do something such as an internal-compliance program, to ensure that the conduct is not repeated

• undertake rectification or restitution or both for victims of the illegal conduct

• undertake to co-operate throughout OCBA's investigation and comply with any such undertaking

• have not acted as ring-leaders or originators of the conduct

• do not have a prior record of breaching the legislation administered by OCBA.

Without Prejudice Communications

OCBA will not generally engage widely in ‘without prejudice' discussions or correspondence. However, OCBA does not wish to discourage any person from approaching it to discuss potentially unlawful conduct, and to resolve matters in the public interest and within the spirit and intent of this policy. There are some circumstances in which such communication is both appropriate and desirable, for example, in resolving litigation and the timely cessation of unlawful conduct.

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