Corporate enforcement policy

3.1 The Council will ensure that the allocation of regulatory efforts and resources will be targeted so resources are focused on those least likely to comply and where risk is highest. This supports the Council’s vision of providing strong local leadership.

3.2 The following principles will be applied in respect of any advice given:

1. Advice given will distinguish between statutory requirements and advice or guidance aimed at improvement above minimum standards;
2. Response to requests for advice on non-compliance will be provided without directly triggering enforcement action and will seek primarily to provide the advice and guidance necessary to help ensure compliance;
3. Information and advice will be provided in plain language on the rules that we apply;
4. We will provide information and advice in a way that enables individuals and businesses to clearly understand what is required by law.

Fair Enforcement

3.3 The Council is committed to fair and objective enforcement ensuring that all its policies are applied in a non-discriminatory manner and in a way which seeks to enhance good community relations.

3.4 The Regulators’ Code states principles that we will have regard to:

• Regulators should carry out their activities in a way that supports those they regulate to comply and grow;
• We will choose proportionate approaches when dealing with those we regulate and consider if similar outcomes can be achieved by less burdensome means. When we design policies and operational procedures we will consider how we can minimise the costs of compliance for those we regulate to encourage and promote compliance;
• Regulators should provide simple and straightforward ways to engage with those they regulate and hear their views; Before changing policies and procedures we will consider the impact on those we regulate and we will clearly explain what the non-compliant item or activity is, the advice given, actions required or decisions taken and the reasons for this;
• Appeal mechanisms and complaints procedures will be clearly explained and publicised;
• Regulators should base their regulatory activities on risk;
• Risk priorities will be based on evidence and resources allocated appropriately. Intervention types will vary according to the risk level and we will recognise the compliance record of those we regulate, including earned recognition and external quality assurance schemes. We participate in the Primary Authority partnership approach which seeks to provide consistent advice that has been agreed with a single regulator;
• Regulators should share information about compliance and risk: Where it is legal to do so, we will work with other internal and external regulators to help target resources and minimise duplication;
• Regulators should ensure clear information, guidance and advice is available to help those they regulate meet their responsibilities to comply. We will provide advice and guidance in a clear, accessible and concise format to help those we regulate understand and meet their responsibilities;
• Regulators should ensure that their approach to their regulatory activities is transparent. We will publish service standards that provide clear information on how we will communicate with those we regulate, how we can be contacted and our approach to compliance checks.

What is Enforcement?

3.5 There are 3 broad stages to any enforcement action taken by the Council. These are:

• Investigation
• Assessment
• Action

Investigation

3.6 Where the Council becomes aware of activities suspected to be in breach of relevant legislation, the first step will be to carry out investigations to ascertain whether, and to what extent, activities are being carried out in breach of the relevant controls. The nature of those investigations will be specific to the circumstances and may or may not be protracted. Where necessary, the Council may also appoint external consultants to assist in the investigation and in evidence gathering.

Assessment

3.7 Once the Council has obtained sufficient information, it will assess the information obtained to reach a view on whether there has in fact been a breach of any legislative provision and, if so, what action if any it might be appropriate to take. This may be done in consultation with the Council’s in-house legal team or external legal support where necessary.

Action

3.8 Following assessment of the issues, the Council may have a range of options in terms of the action it can take. These are set out in the “enforcement options” section below.

3.9 The nature of the Council’s investigations may require that details are kept confidential. However, where possible and appropriate we will advise relevant parties of the current status of an investigation at appropriate stages.