VCGLR compliance policy/ VCGLR appoint corrupt Adam Toma/
The corrupt Adam Toma has been appointed Director of Licensing and approvals of the Victorian Commission for Gambling and Liquor Regulation.
This department requires its staff to have a level of ethics and integrity that would ensure that the Victorian public has a high confidence.
However clearly it appears that the integrity of this commission has gone to a new low with the appointment of a corrupt director.
Following is the Compliance policy of the VCGLR).
As the corrupt National Enforcement Manager for the Australian Financial Security Authority or previously Insolvency Trustee Service Australia Adam Toma protected Fraud. As member of the Audit Committee he also protected the failure of compliance with the Bankruptcy Act.
He and Veronique Ingram ( Inspector General in Bankruptcy ) also protected atrocious systemic corrupt conduct.
This conduct was also protected by the Commonwealth Ombudsman and the Australian Public Service Commission
Compliance and enforcement
The Compliance Division is responsible for promoting, investigating, auditing and enforcing compliance with Victoria's gambling and liquor laws. This includes:
- carrying out inspections and investigations
- ensuring the probity and conduct of licensees and permittees
- ensuring the integrity and reliability of the gambling systems operated by the key gaming operatives and the casino
- providing compliance information, guidance and advice to regulated entities on how to comply
- initiating timely, appropriate and proportionate enforcement and licensing actions where breaches are detected
- minimising harm and promoting responsible gambling and the responsible service of alcohol.
Compliance policy
Compliance Division
Date: 18 June 2013
Version: 0.3
18 June 2013
Page 2 of 9
Contents
1. Introduction.................................................................................................................... 3
2. Purpose .......................................................................................................................... 3
3. Public value.................................................................................................................... 3
3.1 Mission....................................................................................................................... 3
3.2 Substantive value ...................................................................................................... 3
3.3 Authorising legislation................................................................................................ 4
3.4 Operational capability ................................................................................................ 4
4. Risk based approach to compliance ........................................................................... 4
4.1 Compliance prioritisation and qualifying risk.............................................................. 4
4.2 Regular review of risk ................................................................................................ 4
5. Activities used to monitor compliance........................................................................ 5
5.1 Inspections................................................................................................................. 5
5.2 Inspector responsibilities ........................................................................................... 5
5.3 Information from the public ........................................................................................ 5
5.4 Intelligence gathering................................................................................................. 5
5.5 Internal referrals......................................................................................................... 5
6. Enforcement tools and escalation for compliance..................................................... 5
6.1 Chain of responsibility................................................................................................ 6
6.2 Escalation of enforcement ......................................................................................... 6
6.3 Enforcement tools...................................................................................................... 6
7. Compliance measures................................................................................................... 8
8. Relationship with other government agencies ........................................................... 8
9. Compliance standards .................................................................................................. 8
9.1 Inspector standards ................................................................................................... 8
9.2 Accountability............................................................................................................. 8
9.3 Other relevant legislation ........................................................................................... 9
10. Legal advice ................................................................................................................... 9
11. Policy approval .............................................................................................................. 9
18 June 2013
Page 3 of 9
1. Introduction
The Victorian Commission for Gambling and Liquor Regulation (VCGLR) is responsible for ensuring
that gambling activities and the supply of alcohol are conducted in accordance with the
Victorian
Commission for Gambling and Liquor Regulation Act
2011(the Act).
The VCGLR’s strategic priorities for 2012-2015 outline the key long-term strategies for delivering
community-wide benefits to Victorians through the regulation of Victoria’s gambling and liquor
industries.
The four key priorities are:
•
modern in our regulatory approach; demonstrating VCGLR’s leadership and innovation
•
efficient in our practices and in the way we regulate
•
high performing and dynamic in our workplace; where our people are respected, supported and
model integrity
•
networked to improve our gambling and liquor regulatory outcomes.
2. Purpose
The purpose of this policy is to establish a fair, consistent and appropriate approach to the
compliance activities undertaken by the VCGLR. The policy can be applied to the decision-making
processes of those activities to ensure they are aligned with the VCGLR’s intentions and priorities.
The VCGLR reserves the right to amend this document at any time.
3. Public value1
Public value defines the responsibilities of an organisation carrying out activities on behalf of the
public. It is about defining the ‘social return on investment’ for the expenditure of funds.
For this to occur it is important that the public body, in this case the VCGLR, follows a set of
standards, which provide clear direction and intention when carrying out any compliance activities.
•
Mission – what is it that is intended to be delivered?
•
Value – what is the value in undertaking that intention with respect to community benefit?
•
Authority – what formal authority exists to deliver on the mission?
•
Capability – what capabilities are available to deliver on the mission?
3.1 Mission
The VCGLR will use ‘effective compliance measures to ensure gambling activities and the supply of
alcohol are done responsibly and in accordance with the requirements of the relevant legislation’.
3.2 Substantive value
To achieve this mission, the VCGLR works with the hospitality industry to ensure the responsible
service of gambling and alcohol, and to minimise the harm associated with these activities.
This provides further focus on the VCGLR’s compliance activities to ensure they are conducted in a
way that supports the strategic priorities.
1
Moore, M 1995, Creating Public Value: Strategic Management in Government, Harvard University Press, Cambridge
18 June 2013
Page 4 of 9
3.3 Authorising legislation
Should the VCGLR (when carrying out its regulatory function) become aware of potential breaches
against other legislative or regulatory schemes, it will refer the issue to the appropriate enforcement
agency. The VCGLR will cooperate with the requests of those bodies to provide statements and
evidence if requested, and will ensure that it meets relevant privacy standards and confidentiality
requirements.
Other legislative or regulatory schemes include:
•
Victorian Commission for Gambling and Liquor Act 2012
•
Gambling Regulation Act 2003
•
Liquor Control Reform Act 1998
•
Casino Control Act 1991
•
Casino (Management Agreement) Act 1993
•
Racing Act 1958.
3.4 Operational capability
In accordance with the
Victorian Commission for Gambling and Liquor Regulation Act 2012 inspectors
are authorised to carry out compliance activities related to gambling and the supply of alcohol.
Compliance inspectors are Victorian Public Servants appointed under the
Public Administration Act
2004
, and are subject to the Victorian Public Sector Code of Conduct, and the VCGLR’s Conduct and
Ethics Policy.
The compliance inspectors must have detailed knowledge of the liquor and gambling legislations and
be able to conduct risk assessment when carrying out compliance activities.
4. Risk based approach to compliance
The VCGLR apply a risk based approach to service delivery to produce a coordinated and effective
compliance program.
The VCGLR identifies risk priority areas through a review of its intelligence gathering and
engagement with industry, community and other regulators. These priority areas are then integrated
into the key performance indicators for the Compliance Division.
4.1 Compliance prioritisation and qualifying risk
The VCGLR places great priority on:
•
the actions of licensees and approved parties that place any person at risk of significant harm
•
matters of significant public concern
•
matters demonstrating deliberate disregard for the law
•
systemic or industry wide compliance issues
•
matters which have the potential to become industry wide
•
matters that are associated with a person, licensee or business with a history of licence
infringements
•
matters that the Commission or the Chief Executive Officer of the VCGLR requests action on.
4.2 Regular review of risk
Every financial year the VCGLR reviews its compliance activities and develops a service delivery
position, which provides a description of the compliance risk priorities for the next 12 months.
Focusing on the specific risk priorities does not mean that other breaches will not be dealt with should
they be identified. The VCGLR will focus activities on risk priorities and, if other breaches are detected
then they too will be resolved.
18 June 2013
Page 5 of 9
5. Activities used to monitor compliance
The VCGLR carries out a number of activities to monitor compliance. These activities, include, but are
not limited to the following.
5.1 Inspections
There is an inspection program aimed at addressing risks associated with gambling and the supply of
alcohol. This program is reviewed every 12 months and is captured in a service delivery document,
which is approved by the Commission.
5.2 Inspector responsibilities
Compliance inspectors are required to:
•
conduct inspections and monitor licensees to ensure they are compliant with the gambling and
liquor legislation in accordance with inspection system
•
conduct investigations into gambling and liquor matters (as required, and when approved)
•
contribute to the assessment and development of ongoing compliance programs
•
ensure they meet relevant standards and guidelines
•
identify and recommend appropriate compliance strategies and outcomes
•
provide relevant information to assist in compliance
•
work with other regulatory agencies in addressing gambling or liquor compliance issues.
5.3 Information from the public
The VCGLR welcomes any information from the public about gambling or liquor compliance issues.
This information can be provided either by:
•
email at contact@vcglr.vic.gov.au
•
post to Director, Compliance Division, Victorian Commission for Gambling and Liquor Regulation,
GPO Box 1988, Melbourne, Victoria, 3001
•
phone on 1300 182 457.
5.4 Intelligence gathering
The VCGLR gathers information from a range of different sources including other law enforcement
bodies. The intelligence is analysed on whether a further investigation and/or enforcement action is
required.
5.5 Internal referrals
On occasion internal referrals are made to those responsible for compliance activities in the VCGLR.
The source of these requests or directions can range from the Commission, the Chief Executive
Officer, or in other areas of the VCGLR. Any such referral or direction is prioritised in accordance with
this policy.
6. Enforcement tools and escalation for compliance
When responding to breaches of legislation, the VCGLR must:
•
consider the risk or harm to the community, industry or integrity of the regulatory framework
•
ensure the conduct has stopped
•
deter future breaches for similar behaviour by those responsible for the regulated activity or
employees
•
use enforcement tools appropriately and proportionately
18 June 2013
Page 6 of 9
•
consider the circumstances of the breach
•
consider the culpability of the regulated entity
•
send a clear message to the industry as to acceptable standards of conduct.
6.1 Chain of responsibility
The chain of responsibility is to ensure that all who bear responsibility for conduct that affects
compliance, should be made accountable for failure to discharge that responsibility.
2
For example, if an employee commits a breach, the licensees or approved party may also be required
to face review and possible enforcement action from the VCGLR. This applies to both the gambling
and liquor industries.
The VCGLR focuses its compliance activities on those who are given authority in the liquor and
gambling industry to ensure they meet their obligations.
6.2 Escalation of enforcement
In the case that the desired outcome is not achieved or if the circumstances require a different
approach, the type of enforcement may need to be escalated.
6.3 Enforcement tools
There are specific enforcement tools that the Compliance Division use when carrying out compliance
activities. These tools are provided in detail on page 7.
Note
: These tools may be used independently or in combination to achieve the appropriate outcome
of compliance. There may be some cases where these enforcement tools are not required.
2
www.vicroads.vic.gov.au
18 June 2013
Page 7 of 9
Enforcement tools
No action
Inspectors may not find any breaches or they may use their discretion
in reviewing the circumstances of the breach to take no further action.
Note:
The use of discretion by inspectors is qualified. If inspectors
intend to use discretion, they are required to record the breach and
detail the reason for using discretion.
Risk management
discussion
This highlights areas of operation that need to be addressed
voluntarily. This includes improvement of practices or environment
identified by information and intelligence gathering. This may include a
verbal warning. This also provides an opportunity to document the
avenues available and used to educate licensees or approved parties.
Written warnings
These relate to identified breaches that are deemed to be relatively
minor in nature and the relevant facts of the case, including the history
of the party, deem a written warning sufficient. They do not form an
official part of the legislation. However, they are an important method
in tracking the history of parties in terms of non-compliance. They may
be used in later proceedings if the non-compliance continues.
Infringement notices
3
These will be used when the offence is a prescribed offence for which
an infringement notice can be issued. They are used for breaches that
are deemed not to require a court appearance and where there are no
special circumstances in relation to the breach.
Enforceable undertakings
4
Enforceable undertakings are designed to acknowledge and remedy
the behaviour causing concern. They also allow consensual programs
to be developed to avoid a repeat of the behaviour while avoiding
formal court/tribunal proceedings. These programs may range from a
technical response to identified breaches through to lifting the level of
understanding through formal education of licensees or approved
parties. They are a public record document.
Disciplinary action
Disciplinary action is focused on altering the behaviour for the
protection of the public through a more tailored response. It is used to
produce outcomes that include (but not limited to) censure,
suspension, disqualification or the imposition or variation of licence
conditions.
Criminal prosecution
These matters are heard in the Magistrates’ Court. This will be
restricted to matters deemed serious in nature and/or where the
behaviour is conscious and deliberate.
Injunction
An injunction is a court order requiring a party to do or refrain from
doing specific acts. For gambling and liquor matters they will only be
considered in the most serious of matters, where a party has failed to
heed all other warnings or instructions from the VCGLR. Failing to
comply with an injunction may result in the imposition of significant
financial penalties or arrest and a period of incarceration.
3
ibid
4
Only available for breaches of the Liquor Control Reform Act 1998
18 June 2013
Page 8 of 9
7. Compliance measures
The VCGLR measures its compliance activities in two ways:
1. by meeting the service delivery requirements of the Victorian Government (these are measured by
outputs, e.g. number of compliance activities)
2. by meeting internal service delivery requirements developed through a review of previous
activities and intelligence gathering, (these are measured by outcomes, e.g. focusing on risk
priority areas to change behaviour).
8. Relationship with other government agencies
The VCGLR collaborates with other statutory authorities and government to ensure that the most
effective method of behavioural change is used. This also ensures that gaming and liquor venues are
managed in accordance with the relevant legislation.
9. Compliance standards
The VCGLR is committed to continuous improvement and as such aligns its compliance activities to
the following standards and guidelines:
•
Australian Government Investigation Standards
•
Australian Standard AS8000 – 2003 Fraud and Corruption Control
•
Director of Public Prosecutions (Victoria) – Prosecutorial Discretion Guidelines
•
Administrative Review Council (Australia) – The Coercive Information-gathering Powers of
Government Agencies.
9.1 Inspector standards
Inspectors must follow a code of conduct that demands the highest levels of professionalism and
etiquette when carrying out compliance activities on behalf of the VCGLR.
•
Ethics and integrity – Act with integrity at all times, and demonstrate the highest standards of
ethical behaviour.
•
Transparent – Work in a transparent and open fashion, by being clear about how compliance
activities work within the VCGLR and the industry.
•
Firm but fair – Make appropriate decisions and enforce the law in a manner consistent with the
objectives of the Act and with the right of fair process.
•
Constructive relationships - Work in a constructive and positive manner with industry and VCGLR
partners to achieve beneficial outcomes for the community.
•
Professionalism – Deliver an accountable and well-led compliance service on behalf of the
VCGLR.
These standards are designed to support the VCGLR’s organisational values and strategic priorities.
9.2 Accountability
Most enforcement tools used by the VCGLR have systemic rights of appeal or review included. The
employment of these tools will be communicated either in writing or in person. Most enforcement
actions undertaken by the VCGLR are subject to review by the courts and the
Infringements Act 2006.
18 June 2013
Page 9 of 9
If it is believed the actions of the VCGLR or employees are unjust and there is no mechanism to
address through a right of appeal or review then the VCGLR encourages, in the first instance, write to:
Director Compliance Division
Victorian Commission for Gambling and Liquor Regulation
GPO Box 1988
Melbourne VIC 3001
Alternatively, email the VCGLR at
contact@vcglr.vic.gov.au.
Details about the nature of the enforcement action, the outcome, how the concerns were not
addressed by existing systems, the basis of the request for review and how the circumstances
support a review should be provided.
It is strongly recommended that contact is made with the Compliance Director to raise any concerns
about an Compliance Inspector’s behaviour.
However, contact may also be made with the following integrity bodies:
•
Independent Broad-based Anti-corruption Commission
•
Ombudsman Victoria.
9.3 Other relevant legislation
When conducting compliance activities, the VCGLR is committed to meeting its requirements under
the following legislation:
•
Criminal Procedure Act 2009
•
Evidence Act 2008
•
Charter of Human Rights and Responsibilities Act 2006
•
Information Privacy Act 2000
•
Freedom of Information Act 1982
•
Public Administration Act 2004.
10. Legal advice
The information in this policy is not intended to constitute legal advice, but is for interested parties.
Readers of this policy should seek their own legal advice if necessary. The VCGLR and its employees
are not legally bound to the contents of this document.
11. Policy approval
This policy was approved by the Commission on 14 May 2013.
Main Navigation
You are here:
Compliance and enforcement
The Compliance Division is responsible for promoting, investigating, auditing and enforcing compliance with Victoria's gambling and liquor laws. This includes:
- carrying out inspections and investigations
- ensuring the probity and conduct of licensees and permittees
- ensuring the integrity and reliability of the gambling systems operated by the key gaming operatives and the casino
- providing compliance information, guidance and advice to regulated entities on how to comply
- initiating timely, appropriate and proportionate enforcement and licensing actions where breaches are detected
- minimising harm and promoting responsible gambling and the responsible service of alcohol.
Compliance work in partnership with the gambling and liquor industry, as well as Victoria Police and other government agencies. More information about the division's functions is available below.
This policy explains how the Victorian Commission for Gambling and Liquor Regulation (VCGLR) conducts its compliance activities.
Understand the various powers of compliance inspectors.
Information about Compliance and Audit's inspections of licensed premises.
.
ShareThis Copy and Paste
- See more at: http://www.vcglr.vic.gov.au/home/laws+and+regulations/compliance+and+enforcement/#sthash.wkdqzzr3.dpuf
