BRISBANECITYCOUNCIL
AP219 - PROSECUTION POLICY2016
TRIM REF: CA16/446356Date Printed: 24 November 2018
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CONTENTS
1.0Introduction...... 4
1.1.Scope...... 4
1.2.Approach...... 4
1.3.Cooperation...... 4
1.4.Purpose...... 4
1.5.Independent Advice...... 4
2.0General Principles...... 4
2.1.Principles...... 4
3.0The Decision to Prosecute...... 5
3.1Purpose...... 5
3.2Other Enforcement Tools...... 5
3.3No Warning...... 5
3.4Proper Consideration...... 5
3.5Sufficiency of Evidence to Prosecute...... 5
3.6Discretion to prosecute...... 5
3.7Public Interest...... 6
3.8Determining the Public Interest...... 6
3.9 Not Exhaustive...... 7
3.10Overall Assessment...... 7
3.11Defence...... 7
3.12Impartiality and the Purpose of Prosecution...... 7
3.13Presentation of Facts...... 7
3.14Council's interest in Prosecution...... 7
3.15Sentencing...... 8
4.0 Selecting the Appropriate Defendant...... 8
4.1Selection...... 8
4.2. Prosecuting Companies Generally...... 8
4.3Prosecuting Company Officers...... 8
4.4Prosecuting Employees...... 8
5.0Information about a Prosecution...... 9
5.1Requests for Information...... 9
5.2Confidentiality...... 9
6.0Specified Legislation...... 9
6.1Companiesand Individuals...... 9
6.2Liabilityof DirectorsandExecutiveOfficersfor actsofcorporations...... 10
6.3Defencesto ExecutiveOfficerLiability...... 10
6.4Vicarious Liability of Persons and Corporations forActsofAgentsand Contractors
7.0Prosecution Delegations
7.1Independence.
7.2Initiating Prosecutions.
7.3Conducting and Finalising Prosecutions.
7.4Consultation.
7.5 Charge Negotiation
TRIM REF: CA16/446356Date Printed: 24 November 2018
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1.0INTRODUCTION
1.1.Scope.ThispolicyisabouttheexerciseofCouncil'sdiscretiontoprosecutefor alleged offencesunderCouncil's local laws,and anystatelegislation forwhichCouncil hasresponsibilityto administerandenforceincluding, but not limited to,theSustainablePlanningAct2009, theEnvironmentalProtectionAct 1994, andFood Act 2006.
1.2.Approach.Council'sapproachtoitssignificantregulatoryresponsibilitiesisbased onpromotingvoluntarycomplianceanddeterringnon-compliance. Councilis committed todischarging its regulatory responsibilities in a mannerthat is lawful, ethical, fair,efficient, consistentand customer focused. In discharging its responsibilities, Councilusesasuiteofregulatorytools,includingeducation, incentives,licensing,auditingandenforcementinanintegratedmanner.Council activelypursuespartnerships withindustry andthecommunitywhichfacilitate beneficial outcomes for the city and residents. Where enforcementaction is required,Council'sresponsewillbeproportionate totheseverityofthenon- compliance.
1.3.Cooperation.Councilencouragesvoluntary disclosure and cooperation in the interestsofminimisingharmtotheenvironment, health, safety and amenity of Brisbane
1.4.Purpose.Thepurposeofthispolicyistoprovideanunderstanding ofhowCouncil ordinarilyexercisesthediscretiontoprosecute.Whilstthispolicyisnotlegallybinding onCouncil anddoesnotconfine orlimitCouncil'sdiscretiontotakeanyaction,it willonlydepartfromthispolicywheresuchdepartureiswarranted inthepublic interest.
1.5.Independent Advice.Thispolicyisnotasubstituteforobtainingindependent legaladvice.
2.0GENERAL PRINCIPLES
2.1.Principles.SetoutbelowarethegeneralprinciplesCounciladoptsinrelationto theinstitutionandconductofprosecutions forallegedoffences ofspecified legislation.Regardishadfor:
(a)InternalGuidelines.RelevantinternalguidelinesaboutthedischargeofCouncil'sregulatoryrolesandresponsibilitiesincluding:
(i)Thesettingandmonitoringofstandards;
(ii)Theconductof investigationsintoallegedoffences;
(iii)Optionstoredressthe effectsof allegedoffences;and
(iv)Thetakingof enforcementactionotherthanprosecution.
(b)Commensurate Response.Whether the proposedprosecution is a commensurate response totheallegedoffence,thedamagecausedasa resultoftheunlawfulact(orfailuretoact)andanyadverse impact on membersthe community.
(c)Consistency.Theneedforconsistencyofapproachwherepossiblein relationto similartypesof allegedoffences.
(d)TransparencyandFairness.The need to ensure the case is presented properly and with fairness to the alleged offender. Council is entitled to act firmly when serious breaches are detected, but this authorityis tempered by the needtoprovide informationtoenablethe allegedoffenderto understand:
(i)Council'sexpectations;
(ii)Theactionsrequiredtoremedyanallegedoffence;
(iii)Thecircumstanceswhereprosecutionswill be taken;
(iv)Therights of theallegedoffendertodefendaprosecution.
(e)Responsibility.Prosecutions are taken against thosewho are legally responsiblefortheallegedoffenceandthosewhoarebestplacedto controlit.
(f)Achieving Outcomes. Commencingprosecutionsthatarelikelytobemost relevanttoachievingtheoutcomesenvisagedbythespecifiedlegislation.
3.0THE DECISION TO PROSECUTE
3.1Purpose.Prosecutionisanimportantpartoftheenforcementprocess.Itaimsto punishwrongdoing,toavoidarecurrencebythe offenderand toact asadeterrentto others.
3.2Other Enforcement Tools.Prosecutionmaybeappropriatetoconsiderinstead oforinconjunctionwithother enforcement tools.Thesemayincludewarning notices, infringement notices, statutory notices and remediationorders. Voluntaryactionstakenorcovenantsmadebytheoffendertomitigatedamage andpreventrecurrencewillalsobeconsideredindetermining appropriate enforcementaction.
3.3No Warning.Wherecircumstanceswarrantit,prosecutionwithoutpriorwarning orrecoursetoalternativeactionswillbeundertaken.Circumstancesmayinclude for example:
(a)Apreviousconvictionforasimilaroffence;
(b)Thepublicinterestrequiresaprosecutionbeundertaken.
3.4Proper Consideration.Councilrecognisesthattheinstitutionofaprosecution is aseriousmatterthatshouldbeundertakenonlyafterproperconsiderationofthe implicationsandconsequences.
3.5Sufficiency of Evidence to Prosecute.Councilwillnotcommenceorcontinuea prosecutionunlessitissatisfiedthatthereissufficientadmissible and reliable evidence that thealleged offencehasbeencommitted. There also needs to be a realistic prospect of a conviction againstthe person or corporationnominatedinthecomplaintandsummons.
3.6Discretion to prosecute.Wheretheevidencemeetsthesufficiencytestoutlinedin paragraphnumbered3.5above,Councilstillretainsthediscretionastowhetherit willproceedtoprosecution.
3.7Public Interest.Councilrecognisesthatwhereadiscretiontoprosecuteexists, thedominantfactorinexercisingthat discretionisthepublicinterest.[1]
3.8Determining the Public Interest.So far as theyare relevant to the alleged offenceandsofarastheyarereasonablyascertainable atthetimeofexercisingthediscretiontoprosecute,Councilwillconsiderarangeoffactors indetermining publicinterest,includingthefollowing:
(a)The seriousnessof the allegedoffenceandits likely impact on the environmentand the community;
(b)The foresee-ability of the alleged offence and the circumstances leading to it;
(c)Theintentof theallegedoffender,individuallyand/orcorporately;
(d)Theattitudeof the alleged offender and cooperation during the investigationphase;
(e)Measurestakenbytheallegedoffendertopreventtheallegedoffence from occurring;
(f)Measurestaken bytheallegedoffendertominimisetheimpactofthe alleged offence;
(g)History of previous compliance;
(h)History of offending;
(i)The effectiveness and deterrent effect of enforcement action other than prosecution;
(j)Disregard for relevant standards and guidelines;
(k)Failure to supply information without reasonable excuse;
(l)Knowingly supplying false information;
(m)Obstruction of Council staff;
(n)The deterrent effect of a prosecution on the alleged offender and others;
(o)The personal circumstances of the alleged offender;
(p)Mitigating or aggravating circumstances;
(q)The potential for remedial action, restitution or compensation;
(r)Trivial or technical nature of the alleged offence;
(s)The extent to which the alleged offender or its executive officers was able to control and/or influence the employees or contractors who may have perpetrated the alleged offence;
(t)Any entitlement or liability of a victim or other person to criminal compensation, reparation or forfeiture if prosecution action is taken;
(u)The prevalence of the particular offence;
(v)The need to maintain public confidence in the administration of justice by Council;
(w)The resource implications and costs of undertaking the prosecution.
Councilwillconsider options otherthanprosecution iftheywillbemoreeffectivein achievingtheobjectivesofthelegislationbeingadministeredandareinthepublic interest.
3.9 Not Exhaustive.The factors set out in paragraph 3.8 above are not intended to
be exhaustive and those factors that are deemed relevant will necessarily depend
on the particular circumstances of each case.
3.10Overall Assessment.Decidingonthepublicinterestisnotsimplyamatterof addingupthefactorsoneachside.Councilofficerswilldecidehowimportant eachfactorisinthecircumstances ofeachcaseandgoontomakeanoverall assessment.
3.11Defence.Councilwillalsohaveregardtoanylinesofdefencewhichareplainly opentoorhavebeenindicatedbytheallegedoffenderandanyotherfactors whichwouldinCouncil'sviewaffectthelikelihoodorotherwiseofsecuring a conviction.
3.12Impartiality and the Purpose of Prosecution.Counciladoptstheoverriding principlethataprosecutionmustnotbeinstituted(ornotinstituted)forimproper purposes.Adecisionwhetherornottoprosecutewillnotbeinfluencedby:
(a)Any elements of discrimination against the person suchas ethnicity, nationality,politicalassociations,religion,sex or beliefs;
(b)Personalfeelingstowardsthe allegedoffender;
(c)Possible political advantage or disadvantage to a government,or any politicalgrouporparty, or individual;
(d)The possible effect of the decision on the personalorprofessional circumstancesofthoseresponsiblefor theprosecutiondecision;
(e)The possible effect of the decisiononthepersonalorprofessional circumstances ofthosethesubjectoftheprosecution(unlessaspartofthe considerationofthe publicinteresttest).
3.13Presentation of Facts.Onceadecisionhasbeenmadetoprosecute,Councilmust presentfactsfairlyandimpartiallyto the Court.
3.14Council's interest in Prosecution.Councilshouldhavenointerestinsecuringa conviction, otherthantoensure thattherightpersonisconvicted, thatthetruthis knownandthatjusticeisdone(Rule 29.1 Australian Solicitors Conduct Rules, and RvHayandLindsay(1968)QdR459at476and the QueenslandBarristersRules).
3.15Sentencing.Inmakingsentencingsubmissions,Councilmustensurethatit providescompleteand accurateinformationon likelypenaltiesincludingmaterialboth favourableandunfavourable.
4.0SELECTING THE APPROPRIATE DEFENDANT
4.1Selection.Prosecution willbeconsideredagainstallpersonsresponsible forthe allegedoffence.Inmakingthedecisionastowhowillbeprosecuted, thefollowing generalconsiderationsapply:
(a)Who wasprimarilyresponsiblefortheallegedoffence-thatiswho committedtheact, who formedtheintentionandwhocreated orallowedthe materialcircumstancesleadingtothebreach;
(b)Whobenefitsfromcarryingouttheactivitythatgaverisetothealleged offence;
(c)Who had the control of the premises or the site and was able to develop andimplementmanagementsystemstoensurecompliance;
(d)Whereaperson isliablebecause thelawcreates strictliability,whatwas therole ofthepotentialdefendant;
(e)Thelikelyeffectivenessofcourtordersagainstthepotentialdefendant;
(f)Theobjectsof thegoverninglegislation.
4.2.Prosecuting Companies Generally.Whereacompanyisinvolved, it willbeusual practice to prosecute the company wherethe offence resultedfrom that company'sactivities.
4.3Prosecuting Company Officers.Councilwillalsoconsideranypartplayedinthe allegedoffencebytheofficersofthecompanyincludingdirectors, managersand companysecretaries. Factors to be considered in determining whether prosecutionswillbeinstituted againsttheofficerinclude:
(a)Whetherthealleged offencewascommittedwiththeconsent(express, impliedorostensible) oftheofficerorduetotheofficer'sneglectand/or recklessness;
(b)Whethertheofficerturneda"blindeye";
(c)Whetherthecompanyhasa historyof offending.
Thisprinciplemaybedepartedfromwherespecificlegislationappliesastricterliability thanas statedabove.
4.4Prosecuting Employees. Council willnotordinarily prosecuteemployeesof companiesactingunderorders, exceptwheretheemployeeisculpable.
To ascertainculpability,the followingfactorswillbe considered:
(a)Whetherthe employeeknew orshould haveknown that the activity was illegal;
(b)Whethertheemployeefearedlossoflivelihoodiftheydidnotcontinue actingin breachof thelegislation;
(c)Theseniority of the employeeand the scope of the employee'swork
duties;
(d)Whether havingregardtotheabovewhethertheemployeehadtaken reasonablestepstodrawtheattentionoftheemployeroran appropriate person to the illegality of the practice;
(e)The officer was not in a position to influence the conduct of thepersonto the
illegalityof the practice;
(f)Whethertheemployeehastakenreasonablestepstomitigateorprevent anyharm.
5.0INFORMATION ABOUT A PROSECUTION
5.1Requests for Information.Councilwillprovideatimelyresponsetorequestsfor informationaboutaprosecutionwithintheruleswhichapplytotheproceeding andinaccordancewiththerequirementsof applicablelegislation.
5.2Confidentiality.Councilofficerswilltaketheutmostcarenottodisclose confidentialinformationotherthaninaccordancewithandaspermitted by legislation,andhavingregard toBrisbaneCityCouncilprivacypolicies.
6.0SPECIFIED LEGISLATION
6.1Companiesand Individuals
(a)TheEnvironmentalProtectionAct1994, theSustainablePlanning Act2009, the Food Act 2006andotherlegislationimposeliabilityoncorporationsaswellas individuals.[2]
(b)Whereanallegedoffenceiscommittedbyemployees,agentsorofficersof acorporationinthecourseoftheiremployment,proceedingswillusually becommencedagainstthecorporation.
(c)Where,however, theallegedoffencehas occurred becauseanemployee, agentorofficerofthecorporation hasembarkedonaventureoftheirown making or volition, and outsideof the scope of their employment, proceedingsmaybeinstitutedagainsttheindividualemployee, agentor officer.
(d)Theseproceedingsmaybeeitherinsubstitutionfororinaddition to proceedingsagainstthecorporation.
6.2Liabilityof DirectorsandExecutiveOfficersfor actsofcorporations
(a)TheEnvironmentalProtectionAct1994andtheSustainablePlanning Act2009[3], the Food Act 2006 andotherlegislationrecognisethatwhilecorporations arelegal entities, nevertheless it is the executiveofficers who represent the directingmindandwillofthecorporationandcontrolitsactivities.
(b)Executiveofficershaveanobligationtoensurethatthecorporation complies withstatutoryrequirements.
(c)Ifacorporationcommitsanallegedoffenceagainstastatutoryprovision eachofthecorporation'sexecutiveofficerscommitstheallegedoffence offailingtoensurethatthecorporationcomplieswiththe provision.
(d)Councilwillinstituteproceedingsundertheexecutiveofficerliability provisionsonlywhere evidencelinks the person withthecorporation'sillegal activity.
6.3Defencesto ExecutiveOfficerLiability
(a)The lawprovides defencesto executiveofficer/representativeliability where:
(i)The officer was not in a position to influence the conduct of the corporationinrelationtotheallegedoffence;or
(ii)Theofficerwasinapositiontoinfluencethecorporation's conductin relationtotheallegedoffence;and
(iii) Theofficer exercisedreasonable diligencetoensurethecorporation compliedwiththe relevantlegislation.
(b)Councilwillhaveregardtothefollowingconsiderationsindetermining whethertoprosecute:
(i)Thecorporationhasacompliancesysteminplacewhichidentified statutoryrequirementsandapprovalconditions;
(ii)Allstaff,agentsandofficersofthecorporationwereawareof the system;
(iii)The system had been effectively implemented throughoutthe corporation and across all sitesunderthe controlofthe corporation, sothatthereisaneffectivetranslationofthosesystems toitsvarioussitessubject tothespecifiedlegislation;
(iv)The systemwas under regularreviewandwas amended where necessary.
(c)Councilwillnotordinarilyprosecute Executive Officers for a corporation's firstoffence unlessthereisstrongevidencethattherelevant officerswerecomplicitin thatoffence.
6.4Vicarious Liability of Persons and Corporations forActsofAgentsandContractors
(a)UndertheSustainablePlanningAct2009, EnvironmentalProtectionAct1994and the Food Act 2006apersonorcorporation ismadevicariouslyliablefortheactionsofits officers,employeesoragents,ifthose actions aredonewithinthescopeof theiractualorapparentauthority.
(b)Thelaw provides adefencetovicariousliabilitywheretherepresentativetook allreasonablesteps to preventtheoffendingactsoromissions.
(c)Councilwillnotcapriciouslyorarbitrarilyseektoenforcethisvicarious liability unless it is satisfied that it has made it clear to the affected personsorcorporationswhatstandardsofreasonablediligenceitwould requiretodecidenottoprosecute.
(d)Indeterminingwhethertoprosecuteforanallegedoffence causedbytheaction ofacontractororagent Councilwillconsider:
(i)Specificstatutoryobligations;
(ii)Thechapter 2 provisions of the Criminal Code Act 1899governingparties toanoffence;
(iii)Evidenceofcontrolofthesiteorpremiseswheretheallegedoffence occurred;
(v)The person who obtained the relevant approval, accepted itsconditionsandbenefitsfromcarryingouttheactivitythatgaverise tothe allegedoffence;
(vi)Whetherthecorporationwasinthepositiontoinfluencethecontractors oragent's conduct,thenthecorporationexercised reasonable diligenceortookreasonable stepstoensurethatthecontractors complied withtherelevantlegalrequirement.
(e)Councilwillhaveregardtothefollowingconsiderationsindetermining whethertoprosecute:
(i)Whetherthecorporationhadacompliance systeminplace which identifiedstatutoryrequirementsandapprovalconditions;
(ii)Whetherallstaff,agentsandofficersofthecorporationwereawareof the compliancesystem;
(iii)Whether the compliancesystem had been effectively implemented throughoutthecorporationandacrossallsitesunder thecontrolofthecorporation,sothatthereisaneffectivetranslation ofthesystemtoits varioussites;
(iv)Whetherthecompliancesystemwasunderregularreviewandwas amendedwherenecessary.
(f) HoweverCouncilhasalegitimateexpectationthatanypartyseekingtoinvokeareasonablediligencedefencewilltakepositivestepstoadvise thedetailsofthatdefenceas soonaspossibleifitwishestoavoid prosecution.
(g)Councilwillnotordinarilyprosecutepersonsorcorporations(orofficersof thatcorporation) underthevicariousliabilityprovisions, ifthisisthefirst allegedoffencefortheagentorcontractorunlessthereisstrongevidence thattherelevantpersons,corporationorofficerswerearguablycomplicitin thatoffence.
7.0PROSECUTION DELEGATIONS
7.1Independence.Councilexercisesitsprosecutorialfunctionindependentlyofthe investigatoryfunction.This isensured by prosecutionbriefsbeingreferred to BrisbaneCityLegalPracticefor adviceon whethertheevidencesupportsa chargebeinginitiatedorcontinued.
7.2Initiating Prosecutions. TheManager Compliance and RegulatoryServices, Brisbane LifestyleistheOfficer delegated thepower tomake decisionstoinitiateprosecutions underthisPolicyincludingtheSpecified Legislationandwillinitiateprosecutionsafterconsultingwith the Chief Legal Counsel,BrisbaneCityLegalPractice.
7.3Conducting and Finalising Prosecutions.Brisbane City Legal Practice will undertakeandfinaliseprosecutionsreferredunderSection7.1uponreceivingthe instructionsof theManagerComplianceandRegulatoryServices.
7.4Consultation.InexercisingprosecutorialfunctionsunderthisPolicy,theChiefLegalCounsel,BrisbaneCityLegalPracticeandtheManagerComplianceand RegulatoryServiceswill:
(a)Comply with this Policy;
(b)Consult with relevant areas of Council that have an interest in the issues the subject of the prosecution;
(c)Have regard to relevant legislation, local laws, planning instruments and standards as well as Council Policies and Procedures that govern the issues the subject of the alleged offences;
(d)Seek to ensure consistency of approach and strategy with regards to prosecutions.
7.5Charge Negotiation. In determining whether a plea to a lesser offence, or to part of a complaint only can be accepted, relevant factors may include the following:
(a)Whether the public interest is better served or satisfied, having regard to the evidence available to support the complaint, the resources required to obtain further evidence and the difficulty of obtaining further evidence;
(b)Whether the plea reasonably reflects the offending conduct and serves as an appropriate basis for sentencing;
(c)Whether the ordeal associated with giving evidence for special or vulnerable witnesses may reasonably be avoided;
(d)Whether the cost savings to the community of finalising the prosecution without the need for the expense of a trial weigh in favour of accepting the plea;
(e)Whether acceptance of the plea would distort the facts disclosed by the available evidence and result in an artificial basis for sentence; and
(f)Whether the accused person intimates that he or she is not guilty of any offence.
AUTHORITY
Council - last reviewed, amended, approved byresolution of Council3 May 2011
POLICY OWNER
Manager Compliance and Regulatory Services
FURTHER ASSISTANCE
Principal Officer
City Safety Enforcement and Legislation
RELATED INFORMATION
Director’s Guidelines: Office of the Director of Public Prosecutions (Queensland)
REVIEW DATE
20 May 2018
(Last reviewed 20 May 2016)
TRIM REF: CA16/446356Date Printed: 24 November 2018
[1]This is a well-established principle of law and has been enunciated in the Director’s Guidelines of the Queensland Office of the Director of Public Prosecutions.
[2]SPA s.624, EP Act s.492
[3]SPA s.611, EP Act s.493