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Enforcement Policy

Swale Borough Council - Enforcement Policy

  1. Introduction

    1. This enforcement policy helps to promote efficient and effective approaches to regulatory inspection and enforcement, which improve regulatory outcomes without imposing unnecessary burdens. This is in accordance with the Regulator’s Compliance Code*.
    2. In certain instances we may conclude that a provision in the Code is either not relevant or is outweighed by another provision. We will ensure that any decision to depart from the Code will be properly reasoned and based on evidence.
    3. The policy is an umbrella policy and applies to all service areas, though additional requirements apply to specific enforcement activities according to the service, such as health and safety, licensing and planning.
    4. Detailed service-specific policies and procedures, where needed, are held, updated and reviewed by the relevant service, from which Information about these may be obtained.

  2. Council aims and vision

    1. Swale Borough Council has set out its strategic aims and vision in the Corporate Plan and the enforcement services of the council carry out their duties in support of these. The specific aims that relate to enforcement services are found in service plans together with the core enforcement activities of the service.

  3. Types of enforcement action

    1. A range of activity is used to ensure compliance with legislation. We carry out inspections of premises on a routine, programmed basis and as a response to complaints and enquiries about businesses and individuals. We also carry out education and intelligence-based activities. Where non-compliance is discovered, options to seek and promote compliance include:
      • Verbal warnings, advisory letters, statutory notices or prohibitions detailing non-compliance;
      • Fixed Penalty Notices, seizing documents or goods, closing premises, simple cautions, prosecution or injunction.

  4. Principles of enforcement

    1. The decision to use enforcement action will be taken on a case by case basis according to this and more specific policies that may be relevant. The action taken will be proportionate to risk and the gravity of the non-compliance.
    2. Factors that will be taken into consideration include, but are not limited to:
      • The risk that the non-compliance poses to the safety, health or economic welfare of the public at large or to individuals;
      • Evidence that suggests that there was premeditation in the commission of an offence;
      • The offence involves a failure to comply with the requirements of a statutory notice or order;
      • There is a history of previous warnings/cautions, or the commission of similar offences;
      • Aggravated circumstances such as obstruction of, or aggressive behaviour towards, an officer;
      • The offence, although not serious itself, is widespread in the area where it is committed;
      • There has been reckless disregard of health and safety requirements;
      • False information has been supplied wilfully, or there has been an intent to deceive.
    3. When taking enforcement action, we will:
      • Deal with the public and businesses in an open and honest way;
      • Provide a courteous, efficient and helpful service;
      • Target resources towards those activities that give rise to the most serious risks and take action primarily against those who have the greatest responsibility for dealing with those risks;
      • Seek to adopt the most effective and consistent approach to enforcement by co-ordinating action between other regulatory services, both internal and external to the council;
      • Clearly explain what needs to be done, why and by what date it needs to be done, considering reasonable timescales to achieve compliance;
      • Distinguish between requirements that are stated in law and recommendations that are desirable but not compulsory;
      • Provide clear reasons for formal enforcement at the time it is taken;
      • Provide an opportunity to discuss issues before formal action is taken, unless it would provide an unacceptable delay in achieving compliance or in removing danger;
      • Seek to resolve disagreements about contraventions and remedies;
      • Explain any rights of appeal that exist where formal enforcement action is taken, for example where a legal notice is served, and confirm in writing;
      • Respond promptly and positively to complaints about the service.
    4. Before taking action the council will normally consider whether there is a shared or complimentary role with another agency, for example the police, and liaise with that agency as far as is practicable and the urgency of the matter permits.

  5. Legal and Policy context

    1. Enforcement actions are taken within the context of a legal and policy framework. We will carry out enforcement-related work with due regard to the Government’s Enforcement Concordat (a non-statutory code of practice that we have signed up to) and The Local Better Regulation Office Statutory Regulators’ Compliance Code, for those services specified in The Legislative and Regulatory Reform (Regulatory Functions) Order 2007. Both lay out the principles of good enforcement.
    2. These principles help to promote efficient and effective approaches to regulatory inspection and enforcement, to improve regulatory outcomes without imposing unnecessary burdens. We will only depart from these principles with good reason, based on material evidence, that will be documented.
    3. Where a decision to prosecute is made we will consider the Code for Crown Prosecutors, before commencing proceedings.
    4. Enforcement decisions and actions will also be made with due regard to:
      • Human Rights legislation;
      • Crime and Disorder legislation;
      • Equal rights and anti-discrimination legislation;
      • All other relevant, applicable legislation.
    5. If it is in the public interest we may share, where appropriate, with other enforcement agencies matters of non-compliance. Any such action will comply with the Data Protection Act 1998.
    6. We are aware of the need to make sure that all members of the community are allowed equal access to services. We will offer assistance to those who do not speak English as their first language and make appropriate arrangements to assist those who consider themselves disabled within the meaning of the Disability Discrimination Act 1995.

  6. Authorisation of Officers

    1. Only officers who are competent by training, qualification and/or experience will be authorised to take enforcement action. Officers will also have sufficient training and understanding of this enforcement policy to ensure a consistent approach to their duties. Officers are required to show their authorisations on demand.
    2. Officers dealing with the public will identify which service area they represent.

  7. Status and Review

    1. This policy will be in force from the date of its adoption by the Council’s Executive.
    2. This is a public document. Further copies of this and associated documents can be downloaded from the council’s website. It is also available from Customer Services.
    3. Complaints about how we apply this enforcement policy are dealt with according to the council’s customer complaints procedure. Details of the procedure are available from Customer Services or the website.
    4. This policy will be reviewed when changes in legislation or in central guidance dictates.

* Better Regulation Executive Regulator’s Compliance Code (December 2007)

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