GENE 5.1.3 Giving documents to Regulatory Authority — general requirements

(1) This rule applies if a person is required or permitted under any law, regulations or rules to give a document (however described) to the Regulatory Authority, whether the word "give", "lodge", "serve", "tell" or some other word is used.

Note A "document" includes anything in writing (see INAP, glossary, def document).
(2) To remove any doubt, this rule applies in relation to a document (including a document in electronic form) if it includes or contains information (however described), or another communication, that a person is required or permitted under any law, regulations or rules to give or make to the authority.

Example

See examples of application of rule 5.1.1.
(3) The Regulatory Authority may, by written notice published on an approved website:
(a) prescribe requirements (including requirements mentioned in subrule (4)) that must be complied with in relation to the giving of a document to the authority (the lodgement requirements); and
(b) provide that stated requirements applying to the document under any rules are taken to be satisfied if the lodgement requirements are satisfied in relation to the document.

Examples of requirements for paragraph (b)
1 a requirement that information be given to the authority in writing
2 a requirement that a document be signed by a particular person or in a particular way
3 a requirement that a document or information in a document be verified in a particular way
(4) Without limiting subrule (3) (a), a notice under that provision may:
(a) require a document to be given to the Regulatory Authority in a stated way or form;
(b) require a stated person or persons to sign the document;
(c) require a person who is required or permitted to sign a document to sign and keep the signed document and to give a copy of the signed document in any form (including electronic form) to the Regulatory Authority;
(d) require a person who is required or permitted to sign a document, to give a declaration or certificate (however described) in or with a document, or to verify (however described) a document or any information in or with a document, to take stated steps:
(i) to confirm his or her identity; or
(ii) to indicate the person's agreement to, and acceptance of responsibility for the accuracy and completeness (however described) of, the document, information in the document, or any other document (or information in any other document); or
(e) prescribe consequential or ancillary requirements in relation to the document or the giving of the document to the authority.
(5) The Regulatory Authority may permit a person to give a document to the authority even though a lodgement requirement has not (or may not have) been complied with in relation to the document.
(6) A permission under subrule (5) may be given subject to conditions.
(7) If a person gives a document to the Regulatory Authority in contravention of:
(a) a lodgement requirement (and without a permission under subrule (5)); or
(b) a condition of a permission given under that subrule;
then, for the purpose of satisfying any requirement to give the document to the authority, the person is taken not to have given the document to the authority.
(8) Without limiting subrule (7) and any other remedies available to the Regulatory Authority in relation to that contravention, the authority may require the person to give the document to the authority in accordance with any requirement or condition under this rule within a stated time.
(9) The person must comply with the requirement under subrule (8).
Editorial changes (as from 1st January 2016).