Corporate enforcement & inspection policy

Aim of the Policy

Our enforcement and inspection approach focuses on customers' needs and the delivery of outcomes. We support local and partnership working, involving council lors and the community in problem-solving.

This policy outlines what everyone can expect when we undertake informal or formal enforcement and inspection activities to deal with such situations.

Policy Statement

1. In developing this policy and operational processes, we regard the Regulators' Code, the Code for Crown Prosecutors, the Food Law Code of Practice, and other legislative requirements.

In undertaking its enforcement and inspection activities, we will ensure that we:

• carry out activities in a way that supports those it regulates to comply and grow
• provide straightforward ways to engage with those it regulates
• base its regulatory activities on risk
• share, where permitted, information about compliance and risk
• provide clear information and guidance to those it regulates, allowing them to meet their responsibilities to comply
• are transparent in our approach to regulation

2. We recognize the importance of our residents and businesses in shaping our approach to enforcement and regulation. Your desire for consistency, equality, and fairness is crucial to us. We will balance this against the need to consider each case on its merits and be flexible in solving problems, ensuring your voices are heard and respected.
3. We will be clear on what you can expect from its enforcement activities and ensure that local councillors are informed and involved in communicating and managing those expectations. We will tell you what it can and cannot do, what processes it will follow, and when and if a problem is outside its control.
4. We will adopt a victim and witness-centered, intelligence-led, risk-based approach to enforcement and regulatory activities, being explicit about the harm and risks and prioritizing speedy action on high-risk, high-impact issues. It will decide what enforcement action is expedient and a priority by considering the following:

• the harm and impact on victims (both individuals and the wider community) and witnesses; how we can reduce that harm or risk of harm
• the vulnerability of victims, witnesses, and "offenders"
• intelligence held by us and partner organisations
• previous action taken by us or partners to tackle a problem, for example, whether a warning letter or a formal notice has been issued
• whether it is a repeated problem
• the likelihood of being able to identify those responsible for a breach and collect evidence to support formal action, including the willingness of witnesses to provide statements
• if there is another way of solving the problem at hand without the need for enforcement intervention
• whether the action assists those we regulate to comply and grow

5. Within the scope of relevant legislation, we will share and exchange intelligence with local councillors and all relevant partners to guide its enforcement prioritisation, decisions, and response. At a minimum, we will always capture and review intelligence.
6. We will focus on prevention so that problems do not occur in the first place. It will resolve matters informally whenever appropriate by providing advice, information, and education to help residents and businesses get it right and having the proper officer available with the right expertise to help and support them. We will also be clear on its role in solving problems, the role individuals and the community must play, and which other agencies are the right ones to help tackle specific issues.
7. Where something is wrong, we will first consider how it can work with individuals, businesses, and the community simply and straightforwardly to regularise and correct the problem without enforcement. It will encourage mediation between parties in a dispute and support local council lor engagement in solving regional issues.
8. The council will not begin enforcement action nor waste valuable, scarce resources being seen to act when there is no realistic anticipation that enforcement action will solve a problem or it will result in focusing on low-risk and low-harm matters. We will let you know if we believe a matter can be put right or regularised. However, it may not enforce this regularisation unless significant harm or risk exists.
9. In undertaking its enforcement work, we will be clear about the non-compliance and not impose unnecessary administrative burdens on residents and businesses. We welcome ideas on how to reduce such burdens.
10. We will generally only undertake inspections where there is an apparent reason. Officers will seek to agree on the date and time of such inspections in advance unless doing so would undermine the purpose of the inspection. In addition to risk-based inspections and visits, the council may conduct 10% random sample inspections to provide intelligence to target future enforcement work and act as a visible deterrent.
11. When the council identifies a breach or problem, the council will adopt a three-step approach based on the following:

1. Do you need help? We are here to help you get it right the first time.
2. Are problems persisting? We will help you to develop a solution.
3. Do you not see any improvement? We will consider taking enforcement action. Timescales for action will depend on the risk identified, legal requirements, and the agreed preferences of residents and businesses.

12. However, we have a zero-tolerance approach and reserve the right to take immediate, formal enforcement action in cases including:

• deliberate, fraudulent, or criminal activity or when people deliberately undermine or play the system (e.g., planning or licensing regimes)
• risk to health, life, and amenity
• where our help and advice are deliberately ignored
• fly-tipping, littering, dog mess, graffiti, and other environmental harm, and damage to or demolition of listed buildings
  when there is significant harm being caused to individuals, communities, or the environment
• when victims or witnesses require our extra support and protection
• obstruction or assault of our staff

13. No one should benefit from illegal, unfair, or unauthorized activities. In such cases, we will actively consider using the Proceeds of Crime Act 2002 to recover and confiscate any money or assets arising from such activities.
14. We can deliver enforcement and regulation with excellent customer service. In our letters and other communications, we will use plain English to give the clearest message to meet the needs of the people with whom we are communicating.
15. We will publicise its enforcement and regulatory activities to keep residents and businesses informed and, where necessary, act as a deterrent.
16. Suppose you are unhappy with how we have acted in enforcement and regulatory activities. In that case, you can raise concerns or complain via our corporate complaints process.

Other detailed policies can be found on the following web pages:

• Enforcement complaints
• Gambling and Lottery Act Policies
• Housing Fraud
• Planning Enforcement