Planning - Planning - ENFORCEMENT...planning scheme, or a planning permit, or an agreement under...
Transcript of Planning - Planning - ENFORCEMENT...planning scheme, or a planning permit, or an agreement under...
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ENFORCEMENT 7Contents
7.1 Enforcement and the planning system ................................................................... 37.1.1 Why is enforcement important? .............................................................................. 37.1.2 Whenisenforcementactionappropriate? .............................................................. 37.1.3 Whatenforcementoptionsareavailable? .............................................................. 47.1.4 Whatadministrativearrangementsshouldaresponsibleauthoritymake? ............ 57.1.5 WhatistheroleoftheLocalGovernmentAct1989? .............................................. 57.1.6 Monitoringcomplianceandrespondingtocontraventions .................................... 67.1.7 SiteInspections ........................................................................................................ 77.1.8 Negotiatingcompliance ........................................................................................... 87.1.9 Officialwarnings ...................................................................................................... 9
7.2 Planninginfringementnotices .............................................................................. 107.2.1 Whenisaplanninginfringementnoticeappropriate? .......................................... 107.2.2 Whatmustaninfringementnoticeinclude? ......................................................... 107.2.3 Whatcananinfringementnoticerequire? ............................................................ 107.2.4 Whathappensifaninfringementnoticeisserved? .............................................. 107.2.5 Cananinfringementnoticebewithdrawn? .......................................................... 127.2.6 Whenmightwithdrawalofanoticebeappropriate? ............................................ 127.2.7 InternalReviews .................................................................................................... 127.2.8 Payingpenalties ..................................................................................................... 13
7.3 Enforcement orders ............................................................................................... 137.3.1 What is an enforcement order? ............................................................................. 137.3.2 Howisanenforcementordermade? .................................................................... 147.3.3 Optionsfortherespondenttoanenforcementorder........................................... 147.3.4 Objectionstoanapplicationforanenforcementorder ........................................ 147.3.5 Awardingcosts ....................................................................................................... 157.3.6 Interim enforcement orders .................................................................................. 167.3.7 Whathappensifanenforcementorderisnotcompliedwith? ............................. 16
7.4 ProsecutionforabreachoftheAct ...................................................................... 177.4.1 Theroleofprosecutioninplanningenforcement ................................................. 177.4.2 Whenisitappropriatetoprosecuteforanoffence? ............................................. 177.4.3 Procedureinprosecution ...................................................................................... 18
7.5 Injunctions ............................................................................................................. 197.5.1 Typesofinjunctionproceedings ............................................................................ 197.5.2 Section125injunctions ......................................................................................... 207.5.3 Generalcommonlawinjunctions .......................................................................... 20
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7.6 Cancellationandamendmentsofpermits............................................................ 207.6.1 Canapermitbecancelledoramended? ............................................................... 207.6.2 Whomayapplyforcancellationoramendment? ................................................. 217.6.3 Hearingandorder .................................................................................................. 217.6.4 Compensationobligations ..................................................................................... 22
7.7 Evidence ................................................................................................................. 227.7.1 Proofofformalmatters ......................................................................................... 227.7.2 Evidenceofothermatters ..................................................................................... 23
7.8 Brothels .................................................................................................................. 23
7.9 Usingotherlegislationforenforcement ............................................................... 24
7.10 Otherinformationsources .................................................................................... 24
7.11 Enforcement checklist ........................................................................................... 25
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ENFORCEMENT 77.1 Enforcement and the planning system
7.1.1 Why is enforcement important?
Planningschemesaredesignedtoregulatetheuseanddevelopmentoflandsothatitmeetsagreedcommunityobjectives.Aplanningschemeisalaw(technically,asubordinateinstrument)thatregulatesthewaylandcanbeusedanddeveloped.Aswithanyotherlaworregulation,planningschemesareonlyeffectiveiftheirrequirementsareenforced.
Theresponsibleauthorityisrequiredbylawtoefficientlyadministerandenforcetheplanningscheme.
Theresponsibleauthoritywilltypicallybethecouncilofthemunicipaldistricttowhichtheplanningschemeapplies.
Theobjectivesofenforcementareto:
• ensurecompliancewith
• avertorpreventthreatenedbreachesof
• stopexistingbreachesof,and
• punishforbreachesof
theplanningscheme,planningpermitsandtheirconditionsandagreementsmadeundersection173ofthePlanning and Environment Act 1987(theAct).
7.1.2 Whenisenforcementactionappropriate?
Anypersonwhousesordevelopslandincontraventionoforfailstocomplywithaplanningscheme,oraplanningpermit,oranagreementundersection173isguiltyofanoffence.
EnforcementshouldoccurwhenthereisaclearbreachoftheAct,aplanningscheme,permitconditionorsection173agreementandthebreachwarrantsenforcement,especiallyifitcausesdetrimenttothecommunity.Themainemphasisofenforcementshouldbeonobtainingcomplianceratherthanonprosecutingoffenders.Adoptingaconciliatoryapproachthroughaprocessofeducation,communicationandnegotiationwillmoreoftenprovideapositiveoutcome.Thevariousenforcementoptionsshouldbeviewedwiththisinmind.
PEA s. 14(a)
PEA s. 126
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7.1.3 Whatenforcementoptionsareavailable?
Dependingonthenatureandseriousnessoftheproblem,theresponsibleauthoritycandooneormoreofthefollowing:
• Preliminarynegotiation:Negotiateinformallywiththeallegedoffender.Theroleofenforcementoftenincludeseducatinganallegedoffenderwhomaynotbeconversantwithplanningconsiderationsandlaws.Thistypeofpositiveconciliationmayavoidtheneedforformalactionandshouldusuallybethefirststeptaken.
• Officialwarning:Issueanofficialwarningpursuanttothe Infringements Act 2006 whereaninfringementnoticeisconsideredexcessiveunderthecircumstances.
• Planninginfringementnotice:Issueaplanninginfringementnotice,whichprovidesamonetarypenaltyandprovidestheresponsibleauthoritywiththeoptiontorequireremedialaction.Thisisusuallyforlessseriousbreaches.
• Enforcementorder:MakeanapplicationtotheVictorianCivilandAdministrativeTribunal(VCAT)foranenforcementordertoachievecompliance.
• Interimenforcementorder:MakeanapplicationtoVCATforaninterimenforcementorderwherethereisaneedforimmediateaction.
• Prosecution:CommenceprosecutionproceedingsintheMagistrates’Court.Thismustbecommencedwithin12monthsoftheallegedoffence.Thistimelimitmeansthataresponsibleauthorityshouldnotcontinuenegotiationtosecurecomplianceifthereisariskthattheopportunitytoprosecutewillbecomeunavailable.ProsecutionintheMagistrates’Courtmaybeneededtofollowupnon-compliancewitheitheraninfringementnoticeoranenforcementorder.
• Courtinjunction:Seekaninjunctionfromacourtofcompetentjurisdiction(Supreme,CountyorMagistrates’Court)torestrainapersonfromcontraveninganenforcement order or interim enforcement order.
• Commonlawinjunction:Seekacommonlawinjunctionfromacourtofcompetentjurisdictiontorestrainapersonfromcontraveningalaw.
• Canceloramendapermit:MakeanapplicationtoVCATtocanceloramendapermit–forexampleforasubstantialfailuretocomplywiththeconditionsofapermit.
• Carryoutwork:Undertakeworktosecurecompliancewithanenforcementorderorinterimenforcementorderandrecoverthecostofdoingso.
THEENFORCEMENTSYSTEM-CorrectiveActionversusProsecutionTheenforcementsystemseparatesthefunctionsofVCAT(whichdealswiththeplanningissuesinrelationtoenforcementordersanddisputes)andthecourts(whichdealwithprosecutions).
Enforcementorderproceedingsaredesignedtopreventorstopexistingunlawfulplanningactivitiesandtoachievecompliance,reinstatementorremedialworks.Theyarenotdesignedtopunish.Onlyasection126prosecutionunderthePlanning and Environment Act 1987 willdothat.
IA 2006 s. 8
PEA s. 130
PEA s. 114
PEA s. 120
MCA 1989 s. 25, CPA s.7
PEA s. 125
PEA ss. 87, 88, 89
PEA s. 123
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Asection126prosecutionisdesignedtopunishforwhathasoccurredandprovideadeterrentagainstarecurrence.Itcannotdirectlyachieveacessationoftheactcomplainedof(orrectificationorreinstatement)unlessthepersonwhoisprosecutedvoluntarilydoesthisinanattempttolessenapenalty,oragreestodoitasaconditionofanybondimposedbywayofpenalty.
Itisthereforenecessarytochoosewhichoftheenforcementmechanismsisthemostappropriateinthecircumstances.Thischoicewillbeinfluencedbyconsideringanydifferencesinprocedureandstandardsofproof,thedelayinvolvedingettingtoafinalhearinganddecisionandwhatissoughttobeachievedbytheenforcement.
Inacriminalproceeding,forexampleaprosecutionintheMagistrates’Court,theoffencemustbeprovedbeyondareasonabledoubt.Inacivilproceeding,forexampleapplyingtoVCATtohaveaplanningpermitcancelled,theburdenofproofistoacivilstandardonthebalanceofprobabilities.
7.1.4 Whatadministrativearrangementsshouldaresponsibleauthoritymake?
Tomakeitsenforcementactioneffective,aresponsibleauthorityshouldconsidertraininganofficerinenforcementmethodsandskills.Appropriatedelegationsandauthorisationsshouldalsobeinplacetoenabletheofficertotakeanynecessaryaction,including:
• entrytopropertiestocarryoutandenforcetheAct,regulations,planningscheme,planningpermits,enforcementordersoragreementsmadeundersection173
• issuingplanninginfringementnotices
• applyingforenforcementordersandinterimenforcementorders
• applyingforthecancellationoramendmentofplanningpermits
• institutingproceedingsonbehalfofthecouncilunderanyAct,regulationorlocallaw.
7.1.5 What is the role of the LocalGovernmentAct1989?
Section224oftheLocal Government Act 1989allowsacounciltoappointanofficertobeauthorised‘forthepurposesoftheadministrationofanyAct,regulationsorlocallawswhichrelatetothefunctionsandpowersoftheCouncil’.
ThepowersofanofficerauthorisedundertheLocal Government Act 1989 are extensive.TheauthorisedofficermayenteranylandorbuildingatanyreasonabletimetocarryoutandenforcetheLocal Government Act 1989 oranyActwithoutnotice.
WhileanofficercouldbeauthorisedundertheprovisionsofboththeLocal Government Act 1989 and the Planning and Environment Act 1987,theofficershouldbecarefulnottoconfusethepowersanddutiesundereachAct.ItwouldbeunwiseforanofficerauthorisedundertheLocal Government Act 1989 to enter property usingprovisionsofthePlanning and Environment Act 1987unlessthatwastheonlyauthorisationrelevanttothecircumstances.AlthoughthereisaninconsistencybetweenthetwoActs,themorespecific(andrestrictive)provisionsofthePlanning and Environment Act 1987arelikelytoprevailinthesecircumstances.
PEA s. 126
PEA ss. 133, 134
PEA s. 130
PEA ss. 114, 120
PEA s. 87
LGA ss.224, 232
LGA s. 224(7)
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7.1.6 Monitoringcomplianceandrespondingtocontraventions
Regularchecksandinspectionscanbecarriedoutbyanauthorisedofficerofaresponsibleauthoritytoensurethattheuseordevelopmentoflanddoesnotcontraveneaplanningscheme,section173agreementorplanningpermit.However,duetotheextentofuseanddevelopmentactivitythatgoesonacrossamunicipality,mostresponsibleauthoritiesrelyonacomplaintallegingaplanningbreachtotriggeraninvestigation.Alessernumberofinvestigationsarecarriedoutasroutineinspectionstomonitorplanningschemecompliance.
Thecomplaintmayraisemattersthatrequirereferraltoothercouncilbranches,suchashealth,buildingorlocallawsoritmayfallunderthejurisdictionofotherauthoritiesoragencies,including:
• VictoriaPolice(forexample,wilfuldamage)
• DepartmentofJustice(forexample,prostitutionandliquorlicensing)
• EnvironmentProtectionAuthority(forexample,majorindustrialnoise/odour,contaminatedland)
• Serviceauthoritiesandproviders(forexample,infrastructuredamage)
• WorkCoverAuthority(unsafeworkingenvironment)
• DepartmentofImmigration(suspectedillegalimmigrantworkers).
Insomecircumstancesitmaybeappropriateforajointsiteinspectiontobeconducted.Thiswouldbeparticularlyrelevantwherethecauseofcomplaintfallsacrossmorethanonejurisdiction.
Wheretheownerofthelandisnottheoccupier,theinvestigatingofficermayconsideradvisingtheownerofthematteratthispreliminarystage.Thisgivestheownertheopportunitytoundertakemeasurestoresolvetheissueandmayresultinamoretimelyresolution.
AssemblingInformationIneachcase,theinvestigatingofficershouldstartwithadesktopauditandaninitialassessmenttoassemblerelevantfacts,including(asrelevant):
• zoneandoverlaysapplicabletothelandandrelevantprovisionsoftheplanningscheme
• occupancyandusehistory(particularlywhereexistinguserightsmaybeaconsideration)
• planningandbuildinghistory,includingplanningpermits,endorsedplansorsection173agreementsrelevanttotheland
• consultationwiththeplannerwhoprovidedanyadviceorassessedanyapplicationsrelevanttotheland(wherepossible)
• aerialandstreetphotography(bothcurrentandhistoric).
Thedesktopauditwillassisttheinvestigatingofficertoformaninitialviewonthenatureofthesuspectedbreach,basedoninformationfromtheinitialcomplaintandtheresearchconducted.
Eyewitnessaccountscanestablishwhenanoffencewascommitted.Intheabsenceofawitness,aerialphotography,physicalevidenceonthegroundandreceiptsorotherdocumentsmayprovideproofthatsomethinghappenedonaday,orbetweendates.
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7.1.7 SiteInspections
Followingadesktopaudit,aninitialinspectionofthelandwillhelpobtainfirsthandevidenceofacontravention.Anofficermustbeauthorisedtoentertheland.
ThefollowingpersonsareauthorisedtoenteranylandatanyreasonabletimetocarryoutandenforcetheAct,theregulations,aplanningscheme,apermitcondition,anenforcementorderoranagreementundersection173oftheActor,ifthepersonhasreasonablesuspicion,todeterminewhetheranyofthemhasbeenorisbeingcontravened:
• anauthorisedpersonoftheDepartmentofEnvironment,Land,WaterandPlanning
• anauthorisedofficeroftheresponsibleauthority
• anyotherpersonwhomtheMinisterauthorisestoassistanauthorisedofficeroftheMinistryorauthority.
Priortoenteringapropertyforenforcementpurposesanauthorisedofficerisrequiredtoeither:
• obtaintheoccupier’sconsent,or
• providetwodayspriornoticeifthelandisnotabrothel(specialentryprovisionsinthe Sex Work Act 1994 applytobrothels)or
• obtainawarrant.
AnauthorisedofficermayrequesttheassistanceoftheVictoriaPolicetogainentrytolandwhereanoccupierrefusestoallowentryfollowingtheprovisionoftwodaysnotice.
Theoptiontotakeoutawarrantmaybenecessarywhereentrytoapropertyisrequiredwithoutgivingtwodaysnoticeandtheoccupierrefusesconsent.AwarrantisobtainedfromtheMagistrates’Court.
Cautionshouldbeexercisedwhenenteringallconstructionsites.Theofficershouldseekoutanysiteofficeoron-siteconstructionsmanagerinthefirstinstancetoadviseofthereasonfortheinspection,toobtainconsent,andtoobtainahardhatandvestifnecessary.
Allevidencecompiledshouldbeassembledandrecordedmethodicallyandclearlybytheauthorisedofficertofacilitateafairandaccurateassessmentoftheallegedcontravention.Thisdocumentationandmaterialisimportantasitisthebasisonwhichanauthorisedofficerorresponsibleauthoritydecidesiffurthermonitoringorenforcementiswarranted.Itwouldalsobepartoftheresponsibleauthority’ssupportinginformationforanycasetheauthoritymaymakeinahearingbeforeVCATorduringthecourseoflegalproceedings.
Onenteringland,theActprovidesforevidencetobeobtainedthroughavarietyofmeans.Theinspectionrecordshoulddetailtheaddressofthelandandthemattersbeinginvestigated,togetherwith:
• timeanddateoftheinspection
• personsinattendance
• detailsofactivitiesordevelopmentnotedatthetimeoftheinspection
• namesofanypersonsinterviewed
PEA s. 133
PEA ss. 134(1)
PEA s. 136
MCA s. 75
PEA s. 135
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• detailsofanyinterviews
• photographs,measurements,sketches,recordingsandsamples,asrequired.
Insomeinstances,regularinspectionsofasitemayberequiredtomonitoractivitiesorchanges.Eachinspectionistoberecorded.
Whatifanauthorisedofficerisobstructedwhentryingtoinspectaproperty?Ifthebreachorelementsofthebreacharenotclearlyapparentfromoutsidetheland,theinvestigatingofficershouldrequestconsenttoenterthelandfromtheoccupier.Theofficershouldidentifyhimselforherselfbynameasanofficerofthecouncilandexplainthereasonfortheinspection.Itisgoodpracticefortheofficertoprovideabusinesscard.Formalidentification,suchasproofofauthorisation,awarrantornotice,shouldbemadeavailableifrequested.
Apersoninattendanceatapremisesunderinvestigationmaychoosetocooperatewiththeinvestigatingofficerandallowimmediateentrytotheproperty,butcaninsistonbeinggiventwocleardaysnotice-unlesstheofficerhasawarrantortheofficerbelievesonreasonablegroundsthepremisesisbeingusedforthepurposesofabrothel.
ItisanoffencetoobstructanauthorisedofficerfromtakingactioninaccordancewiththeAct,includingobtainingentrytolandtoconductaninspection.Apenaltyof60penaltyunitsappliestosuchanoffence.
PENALTYUNITSPenaltyunitsareusedtodefinetheamountpayableforfinesinrelationtooffencesunderVictorianActsandRegulations.Thevalueofapenaltyunitisseteachyearinaccordancewithsection6oftheMonetary Units Act 2004.FortheFinancialYearof2014-2015,thevalueis$147.61.
Therateforapenaltyunitisindexedeachfinancialyearsothatitisraisedinlinewithinflation.Anychangetothevalueofapenaltyunitoccurson1JulyeachyearandispublishedintheVictoriaGovernmentGazette.
7.1.8 Negotiatingcompliance
Forlessseriousorlessurgentbreachestheresponsibleauthoritymayconsidernegotiatingcompliancebywritingtotheallegedoffenderadvisingthemofthebreach.Thelettershouldexplain:
• thenatureofthebreach/complaint
• thefindingsoftheinvestigation
• whatneedstobedonetoachievecompliance
• specifictimeframestoachievecompliance
• ifanyreferralshavebeenmadetootherdepartmentsorexternalagencies
• detailsoftheenforcementoptionsavailabletotheresponsibleauthorityshouldcompliancenotbeachievedandassociatedpenaltyprovisions.
TheresponsibleauthoritymayalsoconsiderservinganofficialwarningundertheInfringements Act 2006 andincludethisintheletter.MoreinformationaboutOfficialWarningsisprovidedbelow.
Attheendoftheperiodspecifiedfortheachievementofcompliance,theenforcement
PEA ss. 134, 135, 137; MUA 2004 s.6; SWA 1994 s. 78
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officershouldconductasecondinspection.(Thismaybecarriedoutatanearlierdatewheretherespondenthascontactedcounciladvisingthatnecessaryactionshavebeentakentoobtaincompliance).
Wherecompliancehasnotbeenachievedatthetimeofthesecondinspection,thefollowingactionsmaybetaken:
• whereappropriate,discussthenon-compliancewiththeallegedoffenderand:
x negotiateanextendedtimeframefortheachievementofcompliance
x reaffirmotherenforcementconsequencesifcomplianceisnotachieved.
• providefurthercorrespondencetotheallegedoffenderdetailingthefailuretocomplywithinthespecifiedperiodandemphasisetobothownerandoccupierthatcontinuednon-complianceisevidenceofabreachwhichmayresultinfurtheractions,includingpunitivemeasuresandthepotentialforprosecution.Thecorrespondenceshouldprovideasecondopportunitytoachievecompliance,againprovidinganextendedtimeframeforcompliancetobeachieved.
Wherecomplianceisstillnotachievedandallattemptstonegotiatecompliancehavefailed,itmaybenecessarytoemployotherenforcementoptions.
7.1.9 Officialwarnings
Iftheresponsibleauthoritybelievesonreasonablegroundsapersonhascommittedanoffencebutinconsideringallthecircumstances,decidesaninfringementnoticeisnotappropriate,theycanserveanofficialwarninginwritinginaccordancewithsection8of the Infringements Act 2006(withprescribeddetailsoutlinedintheInfringements(ReportingandPrescribedDetailsandForms)Regulations2006.
Issuinganofficialwarningcanalsobeusedinnegotiatingcomplianceasdetailedabove.
Theprescribedformatofanofficialwarningdoesnotprovideforanyscopetodirectanoffendertorectifyabreach,toceaseanon-compliantuseand/ordevelopmentorshow-causewhytheresponsibleauthorityshouldnottakefurtheraction.Thesetypesofdirectionsshouldbespecifiedinacoveringletteraccompanyingtheofficialwarning.
Anofficialwarningdoesnotaffectthepoweroftheresponsibleauthorityto:
• commenceproceedingsagainstthepersonuponwhomtheofficialwarningwasserved
• serveaninfringementnotice
• takenofurtheraction
• takeanyotherenforcementactionprovidedforintheAct.
However,theresponsibleauthoritymustwithdrawanofficialwarningifitisgoingtocommenceproceedingsorserveaplanninginfringementnotice.
Anofficialwarningmaybewithdrawnatanytimewithinsixmonthsoftheservingoftheofficialwarning.
Anofficialwarningmustbewithdrawnbyservingawithdrawalofanofficialwarningonthepersononwhomtheofficialwarningwasserved.Awithdrawalofanofficialwarningmustbeinwritingandcontaintheprescribeddetails.
IA s. 8; I(RPD&F) Regs r. 6
IA s. 10
IA s. 11
I(RPD&F) Regs r. 7(2)
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7.2 Planninginfringementnotices
7.2.1 Whenisaplanninginfringementnoticeappropriate?
Planninginfringementnoticesprovideresponsibleauthoritieswithameansofdealingquicklyandmoreeasilywithsomelessseriousbreachesofplanningschemes,planningpermitsandagreements.Theyalsoprovideanowneroroccupieroflandwhohascommittedanoffenceameansofexpiatingthatoffence,withoutconvictionorafindingofguilt.
Ifanauthorisedofficerofaresponsibleauthorityhasreasontobelievethatapersonhascommittedanoffenceagainstsection126oftheAct,theofficercanserveaplanninginfringementnoticeontheallegedoffender.
7.2.2 Whatmustaninfringementnoticeinclude?
Undersection13oftheInfringements Act 2006aninfringementnoticemust:
• beinwritingandcontaintheprescribeddetails,includingtheinfringementpenalty(theprescribeddetailsarecontainedinregulation8oftheInfringements[ReportingandPrescribedDetailsandForms]Regulations2006)
• statethatthepersonisentitledtoelecttohavethematteroftheinfringementoffenceheardanddeterminedintheMagistrates’Court(additionalrequirementsalsoapplytoaninfringementnoticeservedonachild).
Inadditiontotheserequirements,thedetailsoftheadditionalsteps(ifany)requiredtoexpiatetheoffencemustbeincludedinaninfringementnotice.Anyformofinfringementnoticecanbeusedaslongasitincludestheprescribedinformation.
7.2.3 Whatcananinfringementnoticerequire?
Inadditiontorequiringthepaymentofaninfringementpenalty,additionalstepsthatcanberequiredunderaninfringementnoticetoexpiateanoffencemayinclude,butarenotlimitedto:
• stoppingthedevelopmentoruse
• modifyingthedevelopmentoruse
• removingthedevelopment
• preventingorminimisinganyadverseimpactsoftheuseordevelopmentthatconstitutedtheoffence
• enteringintoanagreementundersection173oftheAct
• anythingelserequiredtoremedythecontravention.
7.2.4 Whathappensifaninfringementnoticeisserved?
Apersonservedwithaninfringementnoticecaneither:
• choosetopaythepenaltyandtakeotherstepsrequiredbythenotice
• electtohavethematteroftheinfringementoffenceheardanddeterminedintheMagistrates’Court
• applytohavethedecisiontoservetheinfringementnoticeinternallyreviewedby
PEA s. 130
IA s. 13; I(RPD&F) Regs r. 8
PEA s. 130(2A)
PEA s. 130(4)
IA s. 16
IA s. 22; I(RPD&F) Regs r. 8(m)
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theresponsibleauthority(therequirementsforinternalreviewsiscontainedinDivision3oftheInfringements Act 2006)
• ignoretheinfringementnotice.
Ifaplanninginfringementnoticerequiresadditionalstepstobetakentoexpiateanoffenceandbeforetheendofthespecifiedremedyperiod,thepersonservedwiththenoticeinformstheresponsibleauthoritythatthosestepshavebeentaken,anauthorisedofficermust,withoutdelay,findoutwhetherornotthosestepshavebeentaken.Thatofficeristhenrequiredtoserveontheoffenderafurthernoticeconfirmingwhetherornottherequiredstepshavebeentaken.
Oncethepenaltyhasbeenpaidandanyrequiredadditionalstepstaken,theoffenderhas‘expiated’theoffenceandnofurtherproceedingscanbetaken.Itisthereforeimportantforanoticetostatepreciselywhatstepsareneeded,suchasstopping,modifyingorremovingthedevelopmentorusethatconstitutedtheoffence.
Ifthepersonbelievesthattheyhavenotcommittedanoffence,itisadvisablethattheycontacttheresponsibleauthoritytoclarifythesituationand,ifnecessary,obtainlegaladvice.However,ifthepersonrecognisesthatanoffencehasbeencommittedandthattherequirementsofthenoticeareareasonablewayofrectifyingthesituation,itiswisetopaythepenaltyandcomplywiththeotherrequirementsofthenotice.
Thefailuretopaytheinfringementpenaltybythedatespecifiedintheinfringementnoticemayresultinfurtherenforcementactionbeingtaken.
Aresponsibleauthorityproposingtouseplanninginfringementnoticeproceduresshouldnotethat:
• Servinganinfringementnoticegivesanallegedoffendertheopportunitytoexpiateanoffencebypayingthepenaltyandcarryingouttheotherrequirements.Anybodyreceivinganinfringementnoticecanchoosetoignoreit,althoughthisactioncouldresultinprosecutionbytheresponsibleauthorityandtheincurringoffurthercosts.However,unlikeotherinfringementoffences,aplanninginfringementoffenceisnota‘lodgeable’infringementoffenceundertheInfringements Act 2006.
ThismeansthatanyfailuretocomplywithaplanninginfringementnoticecannotbereferredtothePerincourtsystemforresolution.ItmustinsteadbeheardattheMagistrates’Courtbyprosecutingtheoriginaloffence(forabreachofsection126oftheAct)thatgaverisetotheissueoftheplanninginfringementnotice.Itisnotaprosecutionofanyfailuretocomplywiththeplanninginfringementnoticeitself.Anunsatisfiedplanninginfringementnoticedoesnotgenerateanewoffence,soitcannotbeprosecuted.
• Unlessthenoticeiswithdrawn,theresponsibleauthoritymustbepreparedtoprosecuteanoffenderthroughtheMagistrates’Courteverytimeapenaltyisnotpaidortherequiredadditionalstepsarenotcarriedout.Failuretoprosecutewillrenderinfringementnoticesanemptythreat.AninfringementnoticeshouldnotbeservedunlessthereisenoughevidenceabouttheoffencetotakethecasetocourtastheoffenderisentitledtohavethematteroftheinfringementoffenceheardanddeterminedintheMagistrates’Court.
• Ifaprosecutionfollowsaninfringementnotice,thecourtcannotforcetheoffendertocarryouttherequiredadditionalstepssetoutinthenotice.Iftheresponsibleauthoritywantstotryanddirectlyachievethecarryingoutoftheseadditionalsteps,itneedstoapplyforanenforcementorderatVCAT.
PEA s. 130 (5), (6)
IA s. 32
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• The12monthperiodallowedforcommencingaprosecutionrelatingtothesubjectmatterofaninfringementnoticeiscalculatedfromthetimeoftheoffence,ratherthanfromthediscoveryoftheoffenceorthedeadlineforacontravenedplanninginfringementnotice.
Formoreinformationontheinfringementnoticeprocess,refertotheInfringements Act 2006,theInfringements(ReportingandPrescribedDetailsandForms)Regulations2006andtheVictorianDepartmentofJusticewebsitewww.justice.vic.gov.au.
7.2.5 Cananinfringementnoticebewithdrawn?
Theresponsibleauthoritymaywithdrawaninfringementnoticebyservingawithdrawalnotice.Awithdrawalnoticecanbeservedwithin12monthsofthedatethattheoffencewascommitted,beingthe‘statuteoflimitations’foroffencesundertheActandthereforethetimepermittedforbringingaproceedingintheMagistrates’Court.
7.2.6 Whenmightwithdrawalofanoticebeappropriate?
Anoticecannotbewithdrawninsituationswheretherequiredstepshavebeentakenbytheoffenderandthepenaltyhasbeenpaid.
Withdrawalmaybeappropriateiftheallegedoffendercanconvincetheresponsibleauthoritythattherewasnooffence,orthattheywillrectifytheallegedoffenceifthenoticeiswithdrawn.
Withdrawinganoticemayalsobenecessaryiftheresponsibleauthorityrealises,afterservingit,thatthenoticewasaninappropriateactioninthecircumstances.Theauthoritymaydecidethatitwantspositiveactiontofixtheproblemandshouldhavesoughtanenforcementorder.Itmayrealisethattheevidenceavailablecouldnotleadtoafindingofguiltbythecourt.
Aresponsibleauthorityshould,whereverpossible,avoidhavingtowithdrawanotice.Ifthepointsabovearecarefullyconsideredbeforeanoticeisserved,aresponsibleauthorityshouldrarelyhavetowithdrawaninfringementnotice.
Awithdrawalnoticemustbeinwritingandcontaintheprescribeddetailsandstatethattheresponsibleauthorityintendstoproceedinrespectoftheinfringementoffenceby:
• continuingproceedingsandissuingasummons;or
• issuinganofficialwarning;or
• takingnofurtheraction;or
• takinganyotherspecifiedactionpermittedundertheInfringements Act 2006 or the Planning and Environment Act 1987i.e.commencingproceedingsintheMagistrates’CourtorapplyingforanenforcementorderatVCAT.
7.2.7 InternalReviews
Anallegedoffenderortheirrepresentativemayapplytotheresponsibleauthorityforreviewofthedecisiontoservetheinfringementnotice.
Thereviewmustbeundertakenbyanofficernotinvolvedintheissuingoftheinfringementnotice.Usuallythisisamoreseniorpersonintheagency.Reviewsmustbecompletedwithin90daysaftertheagencyreceivestheapplication.However,thiscanbeextendediftheagencyseeksadditionalinformationtoconsiderthematter.
CPA s.7
IA s. 18, CPA s.7
IA s. 18(4)
IA Act s. 19
IA Act s. 22
IA Act s. 24; I(RPD&F) Regs r.10
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Oncethedecisionismade,theagencymustprovidetheapplicantwithwrittenconfirmationofthedecisionwithin21days.
YoucanfindmoreinformationaboutinternalreviewsintheAttorney-General’sGuidelinestotheInfringements Act 2006availableontheDepartmentofJusticewebsite,www.justice.vic.gov.au.
7.2.8 Payingpenalties
Penaltiesaretobepaiddirectlytotheresponsibleauthority.Mostcouncilsprovideforpaymentsonline,overthephone,bypostorinperson.Contacttherelevantcounciltodeterminetheirpaymentmethodoptions.
Theresponsibleauthorityshouldbereadytotakefurtheractionpromptly(suchasservingapenaltyremindernotice,prosecutionorseekinganenforcementorder),ifapenaltyisnotpaidoranyrequiredadditionalstepsarenottakenbythedatespecified.
7.3 Enforcement orders
7.3.1 What is an enforcement order?
Anenforcementorderisintendedtopreventorstopunlawfulplanningactivityandtoachievereinstatement.Enforcementorderproceedingsarenotdesignedtopunishbywayofafinancialpenalty.Part6-Division2oftheActaddressesprosecutionwhichisdiscussedbelowinSection7.4ofthischapter.
Anyperson,includingaresponsibleauthority,mayapplytoVCATforanenforcementordertorectifyabreachofaplanningscheme,planningpermitorsection173agreement,ortoavoidthecommissionorcontinuanceofsuchabreach.
Itisimportantthatthesystemallowsanypersontoapplyforanenforcementorder,asitprovides:
• aformofsanctionagainstanauthoritythatisnotproperlyenforcingtheplanningscheme,(suchasifaresponsibleauthorityisreluctanttotakeactiononaparticularcaseorwhereitisitselfactingincontraventionofplanninglaws)
• protectiontoanauthorityfromunwarranteddemandsthatittakeenforcementaction,(thatmaynotbeappropriateorinthepublicinterest).
AnindividualcantakethematterdirectlytoVCATratherthanrelyingontheresponsibleauthority.
AresponsibleauthorityisabletoseekanenforcementorderthroughVCATatthesametimeasitprosecutesaplanningoffenceintheMagistrates’Court(andseekanappropriatepenalty).
Anyenforcementorderorinterimenforcementorderisbindingoneverysubsequentownerandoccupiertothesameextentasiftheorderhadbeenservedonthem,sothereisnoneedtoservenewnotices.
PEA ss. 129
IA s. 29
PEA s. 114
PEA s. 124
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7.3.2 Howisanenforcementordermade?
ApersonseekinganenforcementordermayapplytoVCATfortheorder.Anenforcementordercanbeissuedagainstanowner,occupieroranyotherpersonwhohasaninterestinthesubjectland,suchasadeveloper.
AnapplicationforanenforcementorderismadetoVCATusingtheApplicationforEnforcementOrderandInterimEnforcementOrderForm.AfeeispayableandVCATprovidesvariouslodgementoptions.TheformandVCAT’sPractice Note PNPE4 – Enforcement Orders and Interim Enforcement Orderswhichprovidesguidanceontheproceduretobefollowedinrelationtoenforcementorders,areavailableonVCAT’swebsite,www.vcat.vic.gov.au.
Whenapersonappliesforanenforcementorder,VCATwilldirecttheygivenoticeoftheirapplicationtotheresponsibleauthority,thepersonagainstwhomtheorderissought,theownerandtheoccupieroftheland,andanyotherpersonsthatmaybeaffectedbythegrantoftheenforcementorder.
VCATrequiresastricterstandardofevidenceintheseapplicationsthaninothertypesofappeals.Evidenceisnormallygivenonoathoraffirmationratherthanbyassertionorwrittensubmissions.Theapplicant’scaseneedstobeprovenonthebalanceofprobabilities–butthedegreeofproofrequiredmust reflectthegravityofthefactstobeproved.
7.3.3 Optionsfortherespondenttoanenforcementorder
Onbeingservedwithanapplication,apersonagainstwhomanorderissought(‘therespondent’)hastwooptions:
1. Contesttheapplication:ThisisdonebylodginganobjectionwithVCATunderschedule1,clause56oftheVictorian Civial and Administrative Act 1998.VCATmustthengivespecifiedpersonsareasonableopportunitytobeheardortomakewrittensubmissionsinrespectoftheapplication.
2. Takenoaction:Ifnootherobjectionsarelodgedfromotherrelevantparties,VCATmaydirectlymakeanorderundersection116ormayrejecttheapplication.TheordermaybeinthetermssetoutintheapplicationorindifferenttermsiftheTribunalthinksfit.
7.3.4 Objectionstoanapplicationforanenforcementorder
RelevantinterestedoraffectedpartiesmayobjecttothegrantofanenforcementorderbylodgingastatementwithVCATwithin14daysfromthedateofserviceoftheapplication.Thisincludesapersonagainstwhomanorderissought(forsituationswheretheymaybelievethereisnocontraventionoranorderoughtnottohavebeenmadeinthecircumstances).
AnobjectionmustbeinwritingandmustsetoutthegroundsformakingtheobjectionusingVCAT’sForm B - Statement of Grounds.ThisFormwillbeincludedwiththecopyofanyapplicationforenforcementorderthatisservedonrelevantparties.Acopyofanyobjectionmustalsobeservedontheapplicantandtheresponsibleauthority(ifnottheapplicant)withinthe14dayperiod.
IfVCATdoesnotreceiveanyobjectionstoanapplicationforanenforcementorder,itcanmakeanyorderitthinksfit(inaccordancewithsection119oftheAct–seebelow),oritcanrejecttheapplicationaltogether.
PEA s. 114
PEA s. 115
PEA s. 117
PEA s. 116
VCATA Sch. 1 Cl. 56
PEA s. 116
15
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IfVCATreceivesanobjectiontotheapplicationwithintheperiodspecifiedinthenotice,itmustgivethefollowingpersonsareasonableopportunitytobeheardortomakewrittensubmissionsinrespectoftheapplication:
• theresponsibleauthority
• anypersonagainstwhomtheenforcementorderissought
• theowneroftheland
• theoccupieroftheland
• theapplicantfortheenforcementorder
• anyotherpersonwhomitconsidersmaybeadverselyaffectedbytheenforcementorder
• anypersonwhomitconsidershasbeenormaybeadverselyaffectedbythecontravention.
VCATwilltypicallyscheduleahearingtoconsiderthematter.Allrelevantpartieswillbesentanoticeofthehearing.Iftheapplicant,respondentoranyotheraffectedpersondoesnotattendthehearingVCATmaymakeordersinthatperson’sabsence.
FollowingtheconsiderationofallrelevantmattersVCATmayrejecttheapplication,orissueanenforcementorderinaccordancewithsection119oftheActto:
• directapersontostopauseordevelopmentwithinaspecifiedtime
• directapersonnottostartauseordevelopment
• requirethatabuildingbemaintainedinaccordancewiththeorder
• directthatotherthingsbedonewithinaspecifiedperiodtorestoretheland:
x ascloselyaspossibletoitsconditionbeforethecontraventionoccurred;or
x tosomeotherspecifiedcondition;or
x tosomeotherconditionacceptabletotheresponsibleauthorityoraspecifiedagency,or
x otherwiseensurecompliancewiththeAct,scheme,conditionofplanningpermitorsection173agreement.
Acopyoftheordermustbeservedonallrelevantpersons.ThisisdonebyVCATorbyapartyspecifiedbyVCAT.
7.3.5 Awardingcosts
VCAT’sapproachtoawardingcostsinapplicationsforenforcementordersisdifferenttoitsapproachinothermatters.VCAThasawardedcostsinenforcementmattersmorecommonlythaninnormalplanningreviewsespeciallywhere,despiterequestsandwarnings,thereisa‘persistentandunjustified’failuretocomplywithplanningcontrols.
Althoughenforcementproceedingswarrantadifferentapproachtocoststhanthattakeninnormalplanningreviews,thesuccessfulpartyisnotentitledasamatterofcoursetobeingawardedcosts.Eachcasemustbeviewedonitsmerits.
PEA s. 117(1)
PEA s. 117(2), PEA s. 119
VCATA s. 116(2)
VCATA s. 109
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7.3.6 Interim enforcement orders
Wherecircumstancesrequiremoreimmediateaction,aresponsibleauthorityorpersonwhohasappliedtoVCATforanenforcementorderundersection114,mayalsoapplyforaninterimenforcementorder.
Theapplicationform,availablefromVCAT,allowsforanapplicationtobemadeforaninterimorderatthesametimeastheenforcementorder.ReferabovetoSection7.3.2ofthischapterforinformationabouttheformandprocedures.
Interimenforcementordersaresimilartointerlocutoryinjunctionsmadebycourts.Thepurposeoftheseproceedingsistopreservethestatusquountilthehearingandsubsequentdeterminationofthecase.
TheimportantdistinguishingfeatureofaninterimenforcementorderapplicationisthatitmaybeconsideredbyVCATwithoutnoticetoanyperson.Hencetheseapplicationscanensureapromptresponse.
BeforemakinganInterimenforcementorder,VCATmustconsider:
• theeffectofnotmakingtheinterimenforcementorder
• whethertheapplicantshouldgiveanyundertakingastodamages
• whetherornotitshouldhearanyotherpersonbeforetheinterimenforcementorder is made.
Othermatterswhichmaybeconsideredincludetheurgencyofthematterandwhetherirreparableharmwillbecausediftheorderisnotgranted.
IfVCATmakesaninterimenforcementorderwithoutnoticetoaperson,itmustgiveanyaffectedpersonanopportunitytobeheardwithinsevendaysaftermakingtheorder.
Theserviceofaninterimenforcementorderandthetypesofremedialmeasuresitmayrequirearesimilartothoseofanenforcementorder,andmayincludestoppingorpreventingcommencementofauseordevelopment.
VCAThasthepowertocanceloramendanenforcementorderorinterimenforcementorderatanytime.
TheActsmakespecificprovisionforpaymentofcompensationforlossordamageasaresultofproceedingswhichhavebeenbroughtvexatiouslyorfrivolously,orinordertosecureormaintainadirectorindirectcommercialadvantageforthepersonwhobroughttheproceedings.Thisshouldbeconsideredbeforeseekinganinterimenforcementorderwhichmaycausesignificantlosstoaffectedparties.
7.3.7 Whathappensifanenforcementorderisnotcompliedwith?
Aresponsibleauthorityhasastatutorydutytoenforceanyenforcementorderorinterim enforcement order.
Ifapersonhasnotcompliedwithanorder,theycanbeprosecutedintheMagistrates’Courtforthisoffence.Insuchaprosecution,itisnotnecessarytoprovetheschemeandcontrolsorthebreachofthem,onlythattheorderwasproperlymadeandhadnotbeencompliedwith.Toassistinobtainingcompliance,thepenaltiesforfailuretocomplywithanenforcementorderorinterimenforcementorderaresubstantial.TheyinvolvebothimprisonmentundertheVictorian Civil and Administrative Tribunal Act 1998(whichisnotapenaltyavailableforprosecutionundersection126oftheAct)andfines.
PEA s. 120(1); VCATA s. 68(3)
PEA s. 120(2)
PEA s. 120(3)
PEA s. 120(9)
PEA s. 120(4)
PEA ss. 120(10), 121
PEA s. 150(4); VCATA ss. 75(2), 78(1)
PEA s. 14
PEA s. 122(5); VCATA s. 133
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AnenforcementorderthathasbeencontravenedcanbefiledintheSupremeCourt.TheenforcementordereffectivelybecomesanorderoftheSupremeCourtandcanbeprosecutedaccordingly.
Furthermore,theresponsibleauthoritycancarryoutanyworkrequiredbyanenforcementorderorinterimenforcementorderthatwasnotcarriedoutwithinthespecifiedperiod.WiththeconsentofVCAT,anyotherpersonmayalsocarryouttheseworks.Thecostofcarryingouttheseworksisthenrecoverableasadebtfromthepersonindefault.
Anyresponsibleauthorityorotherpersoncontemplatingtakingsuchdirectactionshouldproceedwithgreatcautionandonlyonthebasisofwell-informedlegaladvice.
7.4 ProsecutionforabreachoftheAct
7.4.1 Theroleofprosecutioninplanningenforcement
ThestatutoryplanningsystemultimatelyreliesonthefactthatplanningschemesarepartofthelawofVictoriaandthatanypersonwhousesordevelopslandincontraventionof,orfailstocomplywithaplanningscheme,planningpermitorsection173agreement,oranenforcementorder,isguiltyofanoffence.Penaltiesapplyandarereferredtoinmoredetailbelow.
Prosecutionforabreachundersection126oftheActtakeplaceintheMagistrates’Court.Prosecutionforabreachofanenforcementorderorinterimenforcementorderundersection133oftheVCATAct,takesplaceintheSupremeCourt.Itisaformofcriminalproceedingandoffencesmustbeprovedonthesamestandardasanyothercriminalproceeding–thatis,beyondareasonabledoubt.
7.4.2 Whenisitappropriatetoprosecuteforanoffence?
Ifapersonhasnotcompliedwithaninfringementnotice,somefurtheractionmustbetaken.Itisnotanoffencetoignoreaninfringementnotice.However,apersonwhoignoresanoticedoesnotexpiatetheoffenceandsoremainsopentoprosecutionorotheractionrelatingtotheinfringementnotice.
Alternatively,theresponsibleauthoritymayconsiderthebreachtobesosignificant,orthatbecauseoftheriskoffuturebreaches,aninfringementnoticewouldbeinappropriateandprosecutionwouldbethemostappropriateactiontotakeinthefirstinstance.
Iftheresponsibleauthorityisconcernedaboutcontinuingunlawfuluseofland,prosecutionfortheoffencemaybethemostappropriateremedy.Apenaltyofupto1200penaltyunitsisprovided.Iftheoffencedoesnotstopwhenapersonisconvicted,afurtherpenaltyofupto60penaltyunitsperday,foraslongastheoffencecontinues,maybeapplied.Thecontinuingpenaltywillmostoftenmaketheoffenderceasetheoffendinguse.(SeeSection7.1.6ofthischapterforinformationaboutpenaltyunits).
Thisdoesnothelpverymuchiftheoffencewastocarryoutdevelopmentwhichhasbeencompleted,andtheresponsibleauthoritywishestoseethedevelopmentremovedormodifiedtocomply(oratleast,nearlycomply)withthescheme.Theoffencewastocarryitoutandprosecutiondoesnotprovideabasistosecureitsremovalorrequirerestorationworks.
VCATA s.122
PEA s. 123
PEA ss. 126, 127
PEA s. 127
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Insuchcases,itmaybemoreappropriatetoseekanenforcementordertodirectthatthedevelopmentberemovedormodified.Ifthisisnotcompliedwith,therewouldbeanongoingoffenceoffailingtocomplywiththeorder.However,rememberingthatbothprocessesmayhappensimultaneously,prosecutionmaystillbeappropriateiftheresponsibleauthorityconsidersthatthenatureoftheoffencemakesitappropriatethatthepersonbefinedand/orconvicted.
Eveniftheoffencerelatestoanallegedunauthoriseduse,itmaystillbepreferabletoseekanenforcementordertodirectthattheusecease,especiallyifthereisroomforsomedisputeastowhethertheuseinfactbreachestheplanningscheme.ThestandardofproofnecessaryatVCATisacivilstandard(balanceofprobabilities)whichislessthanthecriminalstandard(beyondareasonabledoubt)whichappliesintheMagistrates’Court.Additionally,VCATmaybebetterplacedthantheMagistrates’Courttoconsidertechnicalinterpretationmatters.Thereistheaddedconsiderationthat,ifVCATmakesanenforcementorder,anyfailuretocomplywiththatordercanbeseparatelyprosecutedintheMagistrates’Courtwithouttheneedtoseparatelyprovetheoriginalbreachoftheschemetocriminalstandards.
Section126isnottheonlyoffencesectionintheAct.Otheroffencesinclude:
• section137,whichcreatesanoffenceofobstructinganauthorisedpersonormemberofthepoliceforcetakingactionundersections133-136(powersofentry).Thepenaltyprovidedforinsection137is60penaltyunits.
• section169,whichcreatesanoffenceofbehavinginaninsultingorobstructivemanneratapanelhearing.Thepenaltyprovidedforinsection169is60penaltyunits.
(SeeSection7.1.7ofthischapterforinformationaboutpenaltyunits.)
7.4.3 Procedureinprosecution
ProsecutionnormallytakesplaceintheMagistrates’Courtwhichholdsjurisdictiontohearanddetermine(amongstotherthings)allsummaryoffences.Anoffenceunderthe Planning and Environment Act 1987 is a summaryoffence-anoffencethatcanbeheardbyamagistratesittingalone,ratherthanajudgeandjury.
TheActissilentonwhocanprosecuteforanoffence.Atleast,forthepurposesofsection126,itwouldbetheresponsibleauthorityanditsauthorisedofficer.Aswellasthepersonbreachingtheplanningcontrolbeingguiltyofasection126offence,theownerandtheoccupierofthelandarealsoguiltyofthatoffence.
Ifabodycorporate(alsoknownasacorporation)commitsanoffenceagainstaspecifiedprovisionoftheAct,anofficerofthebodycorporatealsocommitsanoffenceagainsttheprovisioniftheofficerfailedtoexerciseduediligencetopreventthecommissionoftheoffencebythebodycorporate.Thespecifiedprovisionsaresections48(2),93(3),126(1),126(2),126(3)and137.Section128(3)oftheActsetsoutthemattersacourtmayhaveregardtoindeterminingwhetheranofficerofabodycorporatefailedtoexerciseduediligence.Anofficerofabodycorporatemay:
• relyonadefencethatwouldbeavailabletothebodycorporateifitischargedwiththesameoffence,andindoingso,bearsthesameburdenofproofasthebodycorporate
• commitanoffencewhetherornotthebodycorporatehasbeenprosecutedfor,orfoundguiltyof,thatoffence.
PEA ss. 122(5)
MCA s. 25
PEA s. 128
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Ifanoffencehasbeenprosecutedbytheresponsibleauthority,anypenaltyispaidtotheresponsibleauthority.
Iftheprosecutionissuccessful,anorderforcostswillusuallybemadeagainstthedefendantinfavourofthepersonwhohasbroughtthecharge.However,ifthedefendantissuccessfulandtheprosecutionfails,thedefendantisnormallyentitledtoanorderforcosts.Thecosts,whichareusuallyorderedbyacourttobepaid,arecalledparty/partycostsanddonotprovideafullindemnityforthecostsincurredbyasuccessfulparty.
IncomparisontoseekinganenforcementorderatVCAT,prosecutingaplanningnon-complianceoffenceintheMagistrates’CourtismoredifficulttoprovebecauseithastobeprovenbeyondareasonabledoubtwhereasatVCATtheburdenofproofisthelowercivilstandard.Additionally,intheMagistrates’Courtthenormalrulesofevidenceapply,whereasVCATisnotboundbytherulesofevidence.
ItisbeyondthescopeofthisguidetogiveadviceonCourtprocedure.Ifprosecutioniscontemplated,legaladviceshouldbesought.Similarly,apersonwhoisbeingprosecutedundertheActneedstotakethematterseriouslyandobtainlegal(andpossiblyotherprofessional)assistance,becausethepenaltieswhichmaybeimposedaresignificant.
7.5 Injunctions
7.5.1 Typesofinjunctionproceedings
Aninjunctionisacourtorderthatrequiresapartytodoorrefrainfromdoingaspecificact.Apartythatfailstocomplywithaninjunctionfacespenaltiesandmayhavetopaydamagesoracceptsanctions.
Inplanning,therearetwowaysaninjunctioncanbeobtainedfromacourttorestrainnon-complyingactivities.TheActonlymentionsoneofthese.Section125allowsanapplicationtoacourtortheTribunalforaninjunctionrestraininganypersonfromcontraveninganenforcementorinterimenforcementorder.Theotheroptionisageneralcommonlawinjunction.
TheSupremeCourt,theCountyCourtandtheMagistrates’Court(subjecttosomelimitations)havepowertograntinjunctionsundersection125andofthegeneralcommonlawvariety.
TheTribunalalsohasthepowertograntaninjunctionappliedforundersection125.
Inadditiontoasection125injunction,aresponsibleauthorityhastheoptiontoseekageneralcommonlawinjunction.Thetwotypesofinjunctionarediscussedinmoredetailbelow.
PEA s. 129
VCATA s. 98(1)
SCA ss. 31, 33, 37; CCA s. 37; MCA s. 100
VCATA s. 123
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7.5.2 Section125injunctions
Asection125injunctionisusedtorestrainapersonfromcontraveninganenforcementorder or interim enforcement order.
TheActgivesaresponsibleauthorityoranyotherpersontherighttoapplyfortheinjunction.TheActavoidsthetechnicalargumentswhichgeneralcommonlawinjunctionsattractsuchaswhethertheinterventionorfiat(consent)oftheAttorney-Generalisnecessary.
Section125injunctionsmaybeappliedforwhetherornotproceedingshavebeeninstitutedforanoffenceagainsttheAct.However,theremustbeacontraventionofanexistingenforcementorderorinterimenforcementorder.
7.5.3 Generalcommonlawinjunctions
Thegeneralcommonlawinjunctionisan‘interlocutoryinjunction’whichisintendedtooperateandpreservethepresentstateofaffairsorstopsomeonefromdoingsomethinguntilafinalorpermanentinjunctionismadeafterafullhearingofthecase.
Aprimafaciecase(incommonlaw,evidencethatwouldbesufficienttoproveaparticularpropositionorfact,unlessrebutted)mustbemadeoutforaninterlocutoryinjunctionandthecourtmayrequireanundertakingastodamagesfromthepersonseekingtheinjunction.
Legaladviceshouldgenerallybesoughtbeforecommencingsuchactionandinpreparingtherequiredcourtdocuments.
Ifaninjunctionisbreached,thepersonindefaultcanbechargedwithcontemptofcourt.
InviewoftheavailabilityoftheenforcementorderandinjunctionmechanismatVCAT,itisunlikelythatapersonwouldseekageneralcommonlawinjunctionforaplanningenforcementmatter.
Injunctionproceedingsunderthegeneralcommonlawtorestrainabreachofthelaw(inthiscase,abreachoftheplanningcontrols)must,inmostcases,betakeneitherbytheAttorney-Generalpersonally,orbyapersonauthorisedtoactfortheAttorney-GeneralwiththeAttorney-General’sknowledgeandconsent.AresponsibleauthorityisusuallyregardedashavingasufficientpublicinterestnottorequiretheAttorney-General’sfiat,(consenttoactonhisorherbehalf)butadecisionaboutthisneedstobemadeonacase-by-casebasis.
7.6 Cancellationandamendmentsofpermits
7.6.1 Canapermitbecancelledoramended?
Whennon-compliancewithaplanningschemeinvolvesapermit,VCATmay,ifrequestedtodoso,canceloramendthepermit.
VCATmayonlydothiswhentherehasbeen:
• materialmis-statementorconcealmentoffactsintheoriginalpermitapplication;or
• asubstantialfailuretocomplywiththeconditionsofthepermit,or
PEA s. 125
PEA s. 87
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• amaterialmistakeinthegrantingofthepermit,or
• amaterialchangeofcircumstancessincethepermitwasgranted,or
• afailuretogivenoticeasrequiredbytheAct.
Cancellationisprobablytheultimatesanctionagainstthepersonwishingtouseordevelopthelandunderaplanningpermit.
7.6.2 Whomayapplyforcancellationoramendment?
TheresponsibleauthorityorspecifiedpersonscanapplytoVCATforanordercancellingoramendingapermit.
Anapplicationneedstobemadeassoonaspossible.VCATmayrefusetohearanapplicationunlessthepersonmakingithasdonesoassoonastheybecameawareofthefactssupportingtheapplication.
Further,VCATisunabletocanceloramendapermit(atleastinrelationtodevelopment)ifthedevelopmenthasalreadybeensubstantiallycarriedout,or,inrelationtoasubdivision,iftheplanofsubdivisionhasbeenregistered.
Thereisnoprescribedformofapplication,butVCAThasrecommendedoneinit’sPractice Note PNPE3 - Cancellation and Amendment of Permits and Stop Orders. Thepracticenotegivesguidanceastotheproceduretobefollowedinrelationtoapplicationsforthecancellationandamendmentofplanningpermits.TheformisavailableonVCAT’sformsandguideswebpageatwww.vcat.vic.gov.au.
Thereisprovisionforaninterimstopordertobemadependingthefinalhearingoftheapplication.Thisislikeaninterimenforcementorderandusuallyattractsanundertakingastodamages.SeeSection7.6.4ofthischapterformoredetails.
7.6.3 Hearing and order
Apersonseekingtoopposeanapplicationforcancellationoramendmentmustfilea‘statementofgrounds’withVCAT.VCAT’sForm B - Statement of Groundsshouldbeusedwhenfilingastatement.
TheActspecifieswhatVCATmusttakeintoaccountincomingtoitsdecision.Thesearesetoutinsection84B(2).
Theapproachtocostsinthesetypesofproceedingsismuchthesameasthatinenforcementorderproceedings.SeeSection7.3.5ofthischapter.
Ifanorderismadecancellingoramendingapermit,theresponsibleauthoritymustservenoticeofthatwithin7daysofreceivingVCAT’sdecision.Thenoticemustbegivento:
• theresponsibleauthority
• theownerandtheoccupierofthelandconcerned
• anypersonwhoaskedforthecancellationoramendmentofthepermit
• anyrelevantreferralauthority
• anyotherpersonwhoVCATconsidersmayhaveamaterialinterestintheoutcome.
PEA ss. 87(3), 89(1)
PEA ss. 88, 89(3), 91(5)
PEA s.93
VCATA Sch 1 Cl 56
PEA s. 90A
PEA s. 92; PE Regs r. 38, 39
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7.6.4 Compensationobligations
Whereastoporderismade,pendingahearingofarequesttocanceloramendapermitandVCATultimatelydecidesnottocanceloramendthepermit,anapplicantisliabletocompensatethepermitholderforanylossordamagesufferedasaresultofthe stop order.
Irrespectiveofwhetherastoporderismade,ifapermitiscancelledoramendedbyVCAT,aresponsibleauthorityisliableforextensivecompensationtothe(former)permitholder,unlessthereasonforcancellationoramendmentwasdueto:
• substantialnon-compliancewithapermitcondition,or
• materialmis-statementorconcealmentoffactsintheoriginalpermitapplication,or
• amaterialmistakeinthegrantingofthepermitthatarosebecauseofthepermitapplicant’sconduct.
7.7 Evidence
Oneoftheproblemswithenforcementproceedingsistoobtainevidencewhichisappropriate,relevant,sufficientandaccurateenoughtoshownon-compliancehasoccurredor,insomecases,isgoingtooccur.
Theevidencenecessaryforthesepurposesandtogainasuccessfuloutcomeisoftenquitecomplicated.
Basically,theevidenceneedstoprovetheexistenceoftheplanningcontrol,anyactivitycontrarytotheplanningcontrolandtheliabilityfacingthepersonwhoisthesubjectoftheproposedorexistingproceedings.
Apartfromtheevidencenecessarytoproveformalmatterssuchastheplanningcontrols,evidenceofothermattersisneeded.Thatevidencecanconsistofdirectobservations,photos,notes,admissionsandinformationgainedduringaninspection.Mereassertionsarenotenough.
VCATrequiresamorestringentstandardofevidenceinenforcementproceedingsandinpermitcancellationandamendmentproceedingsthaninothertypesofreviews.Evidenceisnormallygivenonoathoraffirmationratherthanbyassertionorwrittensubmissions.Theapplicant’scaseneedstobeprovenonthebalanceofprobabilities-butthedegreeofproofrequiredmustreflectthegravityofthefactstobeproved.
ThestandardofevidencerequiredatVCATisacivilstandard-‘onthebalanceofprobabilities’whichislessthanthecriminalstandard-‘beyondareasonabledoubt’whichappliesintheMagistrates’Court(relevantinplanningprosecutions).
7.7.1 Proofofformalmatters
Aspartofprovingtheingredientsoftheoffenceornon-compliance,itisfrequentlynecessarytoprovidedetailsofaplanningscheme,permit,section173agreement,ownershipandoccupationoftheland,thatthelandisinthemunicipaldistrictoftheresponsibleauthorityandothersimilarmatters.
PEA s. 93, 94(1), (4)
23
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Short-cutstotheproofofsuchmattersareprovidedbythelegislation,eitherdispensingwithproofofthemaltogetherorprovidingforcertificatestoconstituteconclusiveorprimafacieevidenceofthosematters.
Ifthepersonproceededagainstisnotahumanbeing(forexample,acorporation,whichisstillalegal‘person’),itisnecessarytoprovethatthepersonlegallyexists.Inthecaseofthecorporation,acompanysearchoftherelevantcorporationobtainedfromtheAustralianSecuritiesandInvestmentsCommission(orASIC)isgenerallysuchproof.
Sometimestherewillbeaquestionofwhetherexistinguserightsprotectaparticularactivity.Theproofofsuchrightsistheresponsibilityofthepersonseekingtotakeadvantageofthem.
Wherelegislationcontainsexceptions,provisos,exemptionsorqualifications,theburdenofprovingthattheyapplyinanyprosecutionistheresponsibilityoftheaccused.
7.7.2 Evidenceofothermatters
Becauseofthepassageoftimebetweenaneventoccurringandthegivingofevidenceinrelationtoit,proposedwitnesses(includingcomplainants)shouldmakerunningnotesofwhattheyobservedandexperienced.Thewitnessescanthenusethesenotestorefreshtheirmemorieswhengivingevidence.
Agreatdealofvaluableevidenceisusuallyobtainedintheformofadmissionsmadebythecontravenerwheninterviewedbyanofficeroftheresponsibleauthority.Thoseadmissionscanbeusedasevidenceagainstthecontravener.
Wherethepersonproceededagainstisabodycorporate,suchasacompany,careneedstobetakenthatthepersoninterviewedisapersonlegallycapableofspeakingandmakingadmissionsonbehalfofthecorporatebody.
Interviewsareusuallymorefruitfulwheretheofficerhasformalproofandotherrelevantdocumentstoshowtotheallegedcontravenerduringtheaskingofquestions.
Frequently,itisnecessaryforentrytobemadetoandaninspectionmadeofpremisestoascertainifnon-complianceexists.Valuableevidencecanalsobegatheredduringsuchavisit.Inthecaseofbrothels,theSex Work Act 1994givesspecialrightsofentry,discussedimmediatelybelow.
7.8 Brothels
A‘brothel’meansanypremisesmadeavailableforthepurposeofsexworkbyapersoncarryingonthebusinessofprovidingsexworkservicesatthebusiness’spremises.
The Sex Work Act 1994createsnumerousoffencesinrelationtotheoperationofbrothels.Onlysomeofthesestrictlyrelatetoplanninglaws.
Inadditiontothenormalenforcementmechanismsgenerallyavailable,theSex Work Act 1994hassomespecialmechanismsforbrothels.TheseincludethepowerforaMagistrates’Courttodeclarepremisestobeaproscribedbrothel,thus‘quarantiningthepremises’fromoccupationoruse.Breachofthedeclarationisanoffence.
PEA ss. 139 – 146; LGA s. 242
CPA s. 72
PEA ss. 135
SWA s. 3
SWA ss. 21A, 75
SWA ss. 80 – 85
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Thedeclarationapplicationismadebyamemberofthepoliceforceoranauthorisedofficeroftheresponsibleauthority,dependingonwhatgroundisreliedontosupporttheapplication.AuthorisationofacouncilofficerisnotprovidedundertheSex Work Act 1994.Insuchcircumstancescouncilwouldrelyupontheoverarchingauthorisationsetoutinsection232oftheLocal Government Act 1989.
OtherprovisionsoftheSex Work Act 1994 facilitateenforcementbyprovidingproceduralaidsnotfoundin,ormoreflexiblethanthosecontainedin,thePlanning and Environment Act 1987.
7.9 Usingotherlegislationforenforcement
AlanduserelatedoffencemaynotnecessarilybewithinthejurisdictionoftheAct.Alternativecoursesofactionunderotherlegislationmaysometimesbemoreappropriate.Otherlegislationthatmayberelevantincludes:
• the Heritage Act 1995(suchasfordemolitionofahistoricbuilding)–contactHeritageVictoria
• the Health Act 1958(suchasforunsanitarypremisesandnuisances)–contacttherelevantstatehealthdepartmentorthecouncil’shealthdepartment
• locallawsundertheLocal Government Act 1989(suchasforparkinginfringements)–contactthecouncil.Inmostcasesthesamecouncilwillalsobetheresponsibleauthorityfortheplanningscheme
• the Environment Protection Act 1970(suchasforexcessivenoiseanddisposalofwastes)–contacttheEnvironmentProtectionAuthorityorthecouncil,dependingonwhichbodyhasresponsibilityfortheparticularpartofthatAct
• the Sex Work Act 1994(forillegalbrothels)–contactthecouncilortheVictoriaPoliceForce.
Individualsmayalsobeabletobringcivilproceedingsinnuisancecasesifstatutoryremediesarenotavailable,orasanalternativetothem.Legaladviceshouldbesoughtinsuchcases.
7.10 Otherinformationsources
FurtherreadingandassistancecanbefoundontheVCATwebsite.ThePlanningandEnvironmentListpracticenotesareespeciallyhelpful(Refer:www.vcat.vic.gov.au).Inparticular:
• VCATPractice Note PNPE3 - Cancellation and Amendment of Permits and Stop Orders.
• VCATPractice Note PNPE4 - Enforcement Orders and Interim Enforcement Orders.
AnotherusefulsourceofotherinformationisLexisNexis’guidetoplanningandenvironmentlawinVictoria.
SWA s. 80(1)
SWA ss. 80(3A), 83, 85, 89
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ENFORCEMENT
7.11 Enforcement checklist
Delegationandauthorisation � Hasanofficerofaresponsibleauthoritybeenauthorisedordelegatedtoperformthenecessaryenforcementpowersandduties,suchassiteinspections?
Natureofoffence � Havethenatureandeffect(s)oftheallegedcontraventionbeenclarifiedforexample,activity,personresponsible,identityoftheland?
Appropriatemethodofenforcement � Whatmethodofenforcementisappropriateinthefirstinstanceforaparticularoffence:
• negotiation
• officialwarning
• planninginfringementnotice
• enforcement order
• interim enforcement order
• injunction
• prosecution
• cancellationoramendmentofapermit?
Othersmaybeneededsubsequently.
Enteringaproperty � Hastheconsentoftheoccupieroflandbeenobtainedtoenteraproperty?Alternatively,ifthepropertyisnotabrothel,hastwocleardaysnoticebeengiventotheoccupierorawarrantobtainedbeforeenteringaproperty?
Evidence � CansufficientdocumentaryandotherevidencebeobtainedtoupholdacontraventionoftheAct,planningscheme,planningpermitoragreement?
Compliance � Hasallevidenceandactionbeenreviewedtodeterminewhethercompliancehasbeenachievedorfurtherenforcementactionisrequired?
Paymentofpenalty � Hastheappropriatepenaltypaymentbeenreceived?