Environmental health enforcement policy

1.1

The council, through its services and officers, has both a duty and a desire to secure compliance with the law.  Through our enforcement activity, we seek to ensure that minimum standards prescribed by law are achieved by individuals and businesses who have legal responsibilities to protect and enhance public health and the environment.  We recognise that a key element of our activity will be to support those we regulate to comply and thereby support business growth.  It is nevertheless a council priority to maintain enforcement activity where appropriate to protect and enhance public health and the environment and to maintain a “level playing field” for businesses.  Wherever possible, enforcement activity will be co-ordinated with other agencies and will aim to align with other council policies.

2.1

Effective well targeted regulation can play an important role in promoting fairness, competition and addressing market failure, in particular protection from harm. We aim to ensure good regulation acts to enable beneficial economic activity.  We will ensure that the action we take is proportional to the risk identified, is consistent in application, is targeted to areas where hazards are least well controlled and is transparent to those who are subject to our enforcement action. All enforcement action we involve ourselves with, even when not expressly referred to in the policy e.g. anti social behaviour control, will follow these principles.

2.2 Proportionality

2.2.1

We will relate our enforcement action to the actual and foreseeable risks to health, safety, wellbeing or maintenance of community and wider environments. Those whom the law protects and those on whom it places a duty should be assured that the enforcement action we take to achieve compliance will be proportionate to the risk. In deciding what is reasonably practical to control risks, we will exercise judgement and discretion, recognising that the final determination of the reasonableness of our actions is made by the Courts. Where appropriate models exist to assess risk and relate action to it, we will use these.

2.2.2

We aim to ensure our interventions impose the minimum burden compatible with achieving the desired objectives of regulation. Enforcement action will not be taken in cases of trivial or purely technical contraventions. We will take care to work with small businesses, voluntary and community organisations so they can meet their legal obligations without unnecessary expense where practicable. We will consider the costs and benefits of regulatory measures and where the costs of any measure significantly outweigh its benefit alternatives will be sought.

2.2.3

The degree of risk will be balanced by considerations of statutory requirements, relevant good practice, the significance of the risks (both in extent and likelihood) and finally cost. Serious irreducible risks will not be tolerated, irrespective of the economic consequences.

2.3 Consistency

2.3.1

Consistency of approach does not mean uniformity. We will endeavour to carry out our duties in a fair and equitable manner and take a similar approach in similar circumstances to achieve similar ends. We will have procedural and managerial arrangements in place to promote consistency of approach and judgement. We will liaise with other Local Authorities and enforcement bodies to assist in this. We will investigate complaints of inconsistency made against us.

2.4 Openness and helpfulness

2.4.1

We believe prevention is better than cure and we will actively work with businesses and individuals to advise, encourage and assist them to comply with their legal obligations. As well as on an individual basis, wherever possible we will inform industry sectors of new legal requirements which affect them at the earliest opportunity using media appropriate for those we regulate. We will ensure that the advice we provide is reliable, where possible, not in conflict with advice provided by other regulators. Wherever possible we will avoid charging for the advice or guidance we provide, and we will seek to minimise the costs of legal compliance. Officers will also seek to share best practice where will believe this will easily assist operators to comply with obligations.

2.4.2

We will help those who are subject to, or affected by, our regulatory activity to understand what is expected of them and what they should expect from us; we will make clear not only what they have to do, but, where it is relevant, what they do not have to do. In particular, we will clearly differentiate between legal requirements and advice, guidance and recommendations that are desirable but not compulsory. We will clearly specify any changes or time deadlines in any action we take. Where appropriate, required by law, or required by Codes of Practice, we will set out the detail of the Act or Regulation which is the subject of our enforcement action, together with any appropriate sources of information which will assist the recipient to comply with or challenge our enforcement action. Where it would assist those, we enforce against, and if they request it, we will provide a follow-up visit to further explain enforcement action underway and to review action following enforcement activity.

2.4.3

We will provide a courteous and efficient service. Our staff will identify themselves by name and provide contact points and telephone extension numbers, e-mail and Minicom addresses to assist in reaching us. We will discuss general issues, specific compliance failures or problems with anyone experiencing difficulties. We will offer translation, interpretation or large print versions of our documents as appropriate. We aim to co-ordinate what we do to prevent overlap and unnecessary delay. We will provide simple and straightforward ways for those we regulate to comment on their perception of our service. This will be undertaken through a variety of means including use of customer feedback questionnaires and where appropriate industry forums. We will use these to ensure Officers have insight into those we regulate and how our regulatory activity affects our customers.

2.4.4

We will explain the purpose of our visits and what rights of complaint are open to those visited. This will include the provision of standard leaflets as appropriate. We will offer advice and/or direct those we deal with to sources of helpful information to enable their compliance. We will not treat requests for information as a need for a direct intervention or visit by us.

2.4.5

Where Statutory Notices and determinations are served, the appeals process will be clearly set out.

2.4.6

Where there is dissatisfaction with our enforcement actions the council's Corporate Complaints procedure, details of which are clearly available on the council's website https://www.arun.gov.uk/corporate-complaints, will be followed so that our enforcement action may be scrutinised against our policy.

2.4.7

We will continue to work within the council and with other regulators to reduce information requirements of business and individuals and to share data available between regulators for that purpose, where the law allows. Where we collect data we will attempt to do this in a way that best suits those it is collected from where we can do so reasonably.

2.5 Transparency

2.5.1

We publish a clear set of service standards so that those we regulate and other service users know what to expect, and what not to expect, from our service. This information will include how we communicate, how we can be contacted, how we provide guidance and advice, and how we check compliance. This information, along with this enforcement policy and links to fees which we charge for aspects of our service, will all be made available from a single point on the council's website, www.arun.gov.uk and the information kept up to date. We will also publish information on how we perform against our service standards, and customer feedback.

2.6 Targeting

2.6.1

We will concentrate our enforcement activities (including prioritising our inspections/visits) on those individuals and businesses whose actions give rise to the most serious risk or where hazards are least well controlled. Where we take formal enforcement action, we will concentrate on the person or persons who are responsible for creating the risk or those we regard as being primarily in breach.

2.6.2

We will utilise a risk-based prioritising system for determining our regulatory practice, the frequency of our visits, the scope of our inspection and action. We will consider both the likelihood of non-compliance and the impact of non-compliance on the outcome we wish to achieve through our intervention. In doing so we will take into account the compliance history of a business or individual, including whether a business has a Primary Authority relationship. Where we determine that the hazards/risks are low, we will consider alternatives to visiting for ensuring that businesses or individuals continue to effectively manage the risks.

2.6.3

In undertaking inspection we will generally avoid random inspection except to test methodology or gather intelligence. Where two or more Officers are likely to visit the same entity we will do our utmost to draw up joint inspection programmes to minimise burdens by sharing data. We will work with others to reduce the need for businesses to provide unnecessary information or to provide it more than once.

2.6.4

In applying the above principles, we will also take account of guidance contained in Codes of Practice, Industry Guides to compliance, recommendations of local and national co-ordinating bodies and inter-Authority standards.

2.6.5

Where we consider that the action we intend to take is inconsistent with the above, the matter will first be referred to the appropriate body for ratification, unless there is significant risk to the public in delaying enforcement.

2.6.6

The effectiveness of interventions at securing compliance will be reviewed.

3.1

All Officers will be authorised through the council's Constitution and Scheme of Delegation. Officers will receive their authority in writing and will produce this when requested to do so.

3.2

Officers undertaking enforcement action will be suitably competent through qualification, training and experience. Competence training will be provided both “in-house” and externally. The training objectives will always include legal, technical, proportionality and consistency aspects. Management arrangements will include periodic checks on the competencies and consistency of Officers carrying out enforcement duties and will include a “peer review” procedure for Notices and other formal enforcement action (see Section 7.0 and Section 11.0). An Officer authorisation matrix will be maintained and used to review authority given to Officers by the relevant Manager of the service area.

3.3

All authorised Officers will abide by this Policy. Any departure from this Policy must be exceptional, justified to and sanctioned by a manager within Environmental Health, Licensing, Private Sector Housing, Cleansing, Communities, Building Control, or a Group Head unless there is a demonstrable, significant and imminent risk to public health or the environment in delaying enforcement.

3.4

Where the case Officer determines that a case should not proceed beyond formal action to prosecution, this decision must be agreed and signed off by a manager within Environmental Health, Licensing, Private Sector Housing, Cleansing, Communities, Building Control or a Group Head using the appropriate pro forma. 

3.5

In the case of licences, registrations and approvals, these should where reasonably practicable be checked by a different authorised officer to the authorised officer granting/approving prior to issuing any licence, registration or approval.

3.6

In any investigation we will respect human rights and dignity in general compliance with the European Convention on Human Rights and Human Rights Act.

3.7

Fully acknowledge rights such as right to respect for private, home and family life; right against discrimination; right to protection of property and right to a fair trial. We will, however, balance these against the legitimate rights and responsibilities prescribed by the law which we will uphold, especially in areas such as public safety, prevention of serious crime and disorder, protection of health or morals and protection of rights and freedom of others.

3.8

In carrying out our regulatory functions we will only interfere with human rights if there is lawful justification to do so and where it is necessary and proportionate. We will demonstrate this by adherence to the Regulation of Investigatory Powers Act 2000 and any code or guidance provided under it.

3.9

In all cases where prosecution is considered to be necessary or highly likely to be the only effective action (see later for criteria), administrative arrangements will comply with the Criminal Procedure and Investigations Act 1996 (CPIA) and Regulation of Investigatory Powers Act. (RIPA). Evidence will be gathered in accordance with the requirements of the Police & Criminal Evidence Act (PACE).

3.10 Surveillance

3.10.1

3.10.1 While day-to-day reaction to events is allowed, any specific surveillance work of a covert nature, i.e. when investigations are carried out in a manner that is calculated to ensure that persons who are subject to the surveillance are unaware of it taking place, have to be authorised in advance.

3.10.2

In considering a proposed surveillance activity, due regard must be given to a number of factors, in order to comply with appropriate legislation (e.g. RIPA, Human Rights Act, etc.), including:-

• what is to be subject to surveillance
• the purpose and potential outcome of the surveillance
• consideration of the impact on the privacy of individuals
• whether the activity can be demonstrated as being necessary and proportionate
• v  whether the activity falls within the definitions of RIPA, requiring approval by both an Authorising Officer (members of the council's Corporate Leadership Team) and a Magistrate.

Further information may be obtained from the council's policy on the Regulation of Investigatory Powers Act and Guidance on the Use of social media in Investigations and advice may be obtained from Corporate Leadership Team members, Legal Services and/or Internal Audit.

3.10.3

A central register of RIPA authorisations is kept by the Chief Internal Auditor and retained for a period of three years for audit and Investigatory Powers Commissioner's Office (IPCO) inspection purposes. All authorisations must be forwarded to the Chief Internal Auditor within one week of the authorisation, review, renewal, cancellation or rejection.

3.10.4

As part of recent legislative changes, it has also been recommended that any non-RIPA surveillance activities are documented, authorised (by a Corporate Leadership Team member), and registered in a similar way. Procedures and documentation for this will be agreed by the Corporate Leadership Team and provided to appropriate staff within the council.

3.10.5

Where activities are undertaken jointly with another body e.g. the Police, Trading Standards, Department Work and Pensions, etc., the written authorisation should be confirmed as adequately covering the activities of all parties involved. Third party authorisations covering activities of council staff should be obtained and passed to the Chief Internal Auditor as above

3.11 Body Worn Video Cameras (BWVC)

3.11.1 The council will use body worn cameras for the purpose of:

• protecting officer safety and the council's duty of care to officers.
• reducing fear.
• securing best evidence (including gathering evidence to support enforcement and prosecution casework).
• reducing incident escalation (and/or recording evidence of aggressive or confrontational behaviour which may require follow up by either the council and/or the Police).
• reducing complaints.
• promoting and supporting safety of officer and other members of the public.
• providing assistance with civil claims.

3.11.2

BWVC can record both sound and pictures which will help officers gather unambiguous evidence and add an extra level of security given they are clearly overt and visible when worn.

3.11.3

In addition to the primary function of gathering evidence, the use of the device will help to make the council's operations more transparent to the public with live footage being available (where a recording has been made) when investigating customer complaints. Any evidence captured through use of a BWVC can also be used by police to support investigations into matters where it has been necessary for an officer to report a criminal offence.

3.12 Criminal Investigations

3.12.1

At the commencement of a criminal investigation, that is any investigation where an Officer is ascertaining whether a person should be cautioned with a view to a possible prosecution, or where the caution is administered in order to gather evidence for a possible prosecution, the following “roles” must be established:

• the Investigator
• the Officer in Charge of the investigation
• the Disclosure Officer
• the Prosecutor

3.12.2 The Investigator

This can be any duly authorised Officer. The investigator will pursue all reasonable lines of enquiry, whether these point towards or away from any suspect. The investigating Officer must remain open-minded to all relevant information obtained. Relevant information must be recorded, collated and retained at the time it is obtained or as soon as practicable after that time in accordance with CPIA (Criminal Procedure and Investigations Act 1996) and its associated Code of Practice.

3.12.3 The Officer in Charge of the Investigation (OIC)

This will be any Officer designated by the Chief Executive but will usually be the Team Manager. However, if the Team Manager is the investigating Officer, then the relevant Group Head will assume the role of OIC. The OIC will direct the investigation and will ensure that effective procedures exist and are followed so that all relevant material is retained and made available to the Disclosure Officer (see CPIA and Code for details).

3.12.4 Disclosure Officer (DO)

This will usually be a manager within Environmental Health, Licensing, Private Sector Housing, Cleansing, Communities or Building Control. In the event that these Officers are the investigating Officer or OIC, then this role will be assumed by another Manager within these services. The Disclosure Officer will examine retained material gathered by the IO and OIC and ensure it is revealed to the Prosecutor in the preparation for taking proceedings. The DO will seek advice from the Prosecutor on relevant material for disclosure and draw up and maintain schedules of material to be disclosed, not disclosed and sensitive (in line with the CPIA and Code).

3.12.5 The Prosecutor

Will be a lawyer in Legal Services or other individuals acting on behalf of the council.

3.11.6

Management arrangements will include periodic checks to ensure that the CPIA and its Code are being appropriately and effectively applied.

4.1

We will decide on the appropriate enforcement option by having regard to the Principles of Enforcement mentioned in section 2.0 above, together with the following considerations:

• Evidential Sufficiency. Whether there is a realistic prospect of conviction on each charge against each suspect.
• That the public interest will be served;
• The likelihood that action proposed will reduce the significant risks;
• The requirements of specific council policy;
• That vulnerable groups will be protected;
• The seriousness of the offence and risk presented;
• The past history of individuals, businesses and informants involved  and potential future risk;
• Confidence in those involved in the issue, whether as individuals, representatives of the business/enterprise or informants (this will be assessed by consideration of relevant factors including any system of managing risk, external accreditation, competence and willingness to comply);
• The intentions of those involved in non-compliance;
• Consequences of non-compliance;
• The likely effectiveness of the option to secure compliance.

4.2

Except in cases of wilful non-compliance or where immediate action is necessary to prevent a serious regulatory breach, we will allow those in suspected breach reasonable opportunities to discuss the circumstances of the case and to achieve compliance before taking formal enforcement action.

4.3

We will seek to reward good performers through positive incentives, including “lighter” inspections, where risk profiling justifies this, and less onerous reporting requirements where practicable.

4.4

We will also ensure that clear reasons for any formal enforcement action are given at the time and confirmed in writing at the earliest opportunity. Complaints procedures must also be explained at the time any enforcement action is taken.

5.1

In assessing “the public interest”, we will consider whether the proposed action will produce a net benefit to the wider community in terms of reducing environmental impact risks, in targeting public resources on the most serious risks, and in the opportunity costs of pursuing a particular course of action.

5.2

Those factors which will tend towards formal action and prosecution include positive answers to any or all of the following, which may not be an exhaustive list:

(a) number of people affected by the offence;

(b) degree to which people are/were affected (seriousness of the offence)

(c) evidence that the offence was committed deliberately, maliciously or for clear economic advantage;

(d) evidence that the defendant intimidated or harassed those affected;

(e) evidence of previous or on-going offences of a similar type;

(f) likelihood of repeated offence which may be deterred by prosecution;           

(g) defendant was in a position of authority;

(h) lack of co-operation on the part of the defendant;

(i) offence is widespread, at least in the general area in which it was committed;

(j) failure to settle fixed penalty or comply with other statutory notices.

5.3

Factors which might argue against formal action and prosecution will include:

(a) Court is likely to impose a very small penalty on conviction;

(b) offence appears to have been the result of a genuine misunderstanding or mistake;

(c) harm done was minor and was the result of a single incident, particularly if it was caused by a misjudgement;

(d) willingness on the part of the defendant to co-operate and to ensure that no future offences of a similar nature are committed;

(e) long delay between offence and trial, unless:

(i) the offence is serious;

(ii) the delay has been caused, at least in part, by the defendant;

(iii) the offence has only recently come to light;

(iv) the complexity of the investigation results in unavoidable delays.

(f) defendant is in poor health or confused or lacking the appropriate mental capacity(unless there is a real possibility that the offence will be repeated);

(g) defendant has, so far as possible, put right the harm caused by the offence;

(h) a key witness has refused to testify or to provide a Witness Statement or, if they are the only victim, they have strongly indicated opposition to a prosecution;

 (i)   the defendant is a juvenile and under the age of 17 (see Section 5.7)

5.4

Whether a particular decision meets the public's expectations can only be judged in the circumstances by the staff involved. Public expectation should not determine the action taken, since the public do not have possession of all the facts in any particular case or, indeed, the professional training, experience or organisational support which Enforcement Officers utilise in their decisions.

5.5

This is a difficult area to assess, but it may be possible to apply a “reasonableness test” to the questions: what would a reasonable person expect from the Local Authority in the circumstances? A further test may be whether the particular decision could be justified in any public forum or Inquiry.

5.6

Having carefully considered all these criteria, we will choose one or more of the following courses of action:

• to take no action, giving reasons to all parties concerned; this will only be appropriate where there have been no contraventions of relevant legislation and the Officer does not feel it necessary to give further advice or recommendations. All necessary inspection forms and computer records must be completed indicating Officer activity and confirming why no further action needed. This is to be formally agreed and “signed off” by the Officer in charge of the investigation and investigating Officer; or
• to take informal action, clearly separating those items which are legal requirements and those which are not compulsory; and/or
• to serve Statutory Notices (including “intention to serve” Notices); and/or
• to seize or detain items or to suspend or revoke individuals' right to exercise a duty or permission; and/or
• to accept voluntary closure of a premises/activity and/or;
• to issue a fixed penalty fine where available; and/or
• for offences under the Housing Act 2004 consider serving a civil penalty notice (see Section 13) and/or
• to issue a financial penalty where legislation permits
• to prosecute or recommend prosecution through the appropriate Court or by way of Simple Caution; and/or
• to refer the matter to another body where they possess a more effective procedure for securing compliance (e.g. Applying to the Court for an Injunction). In the majority of cases, the Primary / Home Authority (as defined and registered by Department of Business, Energy & Industrial Strategy) will be consulted prior to the institution of formal action; and/or to consider instigation of work in default; and/or
• To exercise any other legislative power pertaining to the particular circumstances of the case.

5.7 Juveniles

5.7.1

The council is aware of its duty to ensure that it is acting in accordance with the Children's Act 2004 and in particular to have regard to the need to safeguard and uphold the welfare of children. Alongside this duty, the council takes seriously its role in making sure young people are aware of their responsibilities and its role in educating them to encourage good behaviour in the first instance. The council will cooperate with the Youth Justice Service and Sussex Police.

5.7.2

If the council issues fixed penalty notices it will go down the route of enforcing these through prosecution in the Youth Court and hope to recover unpaid penalties. Any fixed penalty notice served on a young person will be reported to the Youth Justice Service.

5.7.3

A fixed penalty notice will not be issued if a young person is suffering from mental impairment, mental health problems or if they appear stressed or confused or appear to be under the influence of alcohol or drugs. In such circumstances, the relevant support agency and/or the police will be contacted.

5.7.4

This policy differentiates between various age bands when dealing with juveniles. No formal action will be taken against anyone under 10, however, separate approaches are taken for those aged 10 - 15 and those of ages 16 and 17.

5.7.5

The differential approach to different age groups is set out below:

DEALING WITH DIFFERENT AGE GROUPS

Age Group	Action
All young people	On approach, following an alleged offence, the name, address, age and date of birth of the alleged offender should be sought, together with the name and address of their parents or legal guardian. They should be informed that this information will be shared with the local Youth Justice Service and/or Sussex Police. In all instances, a young person's parents or legal guardian of this age group should be informed at the earliest opportunity, ideally by letter, explaining the action taken, and to give the opportunity to discuss the case with a relevant officer. No caution should be given or interview be undertaken without the presence of a 'responsible' adult unless the young person is 17 (a further explanation is given below).
10-15 year olds	When an offence is straightforward and 'clear cut' (such as a littering offence) and a formal interview is not required, a fixed penalty notice or warning fixed penalty notice may be issued. (see section 5.7.2 and 5.7.3 above). Any fixed penalty notice would be issued at a later date, i.e. through the mail.  In all instances, a young person's parents or legal guardian of this age group should be informed at the earliest opportunity, ideally by letter, explaining the action taken, and to give the opportunity to discuss the case with a relevant officer. The Youth Justice Service will be informed that a fixed penalty notice has been issued and given the chance to comment, where appropriate, on any follow-up action including prosecution that might be necessary.
16-17 year olds	Once the age of the alleged offender has been ascertained, fixed penalty notices can be issued to this age group. However, if there are any doubts over the alleged offender's age, i.e. they could be aged under 16, the procedures set out above for 10-15 year olds should be followed. As with 10-15 year olds, where an offence is straightforward and 'clear cut' and a formal interview is not required, a fixed penalty notice may be issued. The local Youth Justice Service should be informed of the offence and given the chance to comment, where appropriate, on any follow up action including prosecution to be taken. In all instances, a young person's parents or legal guardian of this age group should be informed at the earliest opportunity, ideally by letter, explaining the action taken, and to give the opportunity to discuss the case with a relevant officer.

5.7.6

Where formal action of any sort is considered against the juvenile, such as issuing a fixed penalty notice it will be appropriate in instances of the first offence to consider cancelling the Notice if the parent or guardian provides proof of age of the child to the authority.

5.7.7

If fixed penalty notices are issued payment may be allowed in instalments over a longer than normal payment window to be agreed with the offender. 

6.1

We will take informal action where:

• the act or omission is not serious enough to warrant formal action; and/or
• the organisation is a “not-for-profit” organisation with predominantly volunteer staff; unless this is deemed to be a serious breach; and/or
• from the individual's/enterprise's past history it can be reasonably expected that informal action will achieve the desired standard/ compliance; and/or
• we have high confidence in the individual/management of the enterprise; and/or
• the consequences of non-compliance, or accepting a reduced standard, will not pose a significant risk to any individual or to the environment;

6.2

Where informal action by way of advice, verbal warnings and request for actions is made, we will confirm in writing the advice, warning or required action, within 7 working days of the decision wherever possible.

6.3

We will ensure that all verbal and written informal action:

• contains clear and sufficient information so that WHAT is required and WHY it is required is understood;
• specifies in detail the legislation/regulation contravened, and specifies measures which will enable compliance and options available for achieving the desired effect;
• clearly differentiates between legal requirements and advice, guidance and recommendations that are desirable but not compulsory. In the latter case, we will use explicit wording so that the person in receipt of the information realises that they are under no obligation to take any action.

6.4

The council may take account any past informal action against an offender, should it become necessary for the council to pursue formal enforcement action at any time in the future, against the same offender. The informal action may be considered when (but is not limited to) the council in deciding whether formal enforcement action should be instigated, they type of formal action that should be instigated, ad also when determining the amount of fine or civil penalty to be imposed on the offender

7.1

We will serve Statutory Notices where, in line with the “Principles of Enforcement” in Section 2.0 above, we believe there is sufficient evidence to justify their use and where one or more of the following criteria apply:

• Where we are obliged to by law or required to by council policy;
• Standards are generally poor with little individual or management awareness of legal duties and responsibilities;
• We have little confidence that the individual concerned or the representative of the business/enterprise will respond to an informal approach;
• There is a history of non-compliance or reluctance to comply with timescales suggested in the past;
• The consequences of non-compliance might potentially put the health of an individual at risk or threaten the environment;
• We intend to prosecute to secure compliance but immediate action is required to remedy conditions which are serious or deteriorating.

7.2

In cases where an “intention to serve” Notice is a legal requirement, the above criteria must still be used. In addition, the “intention to serve” Notice will also contain details of how and to whom the person receiving the Notice can ask for a meeting so that their point of view may be heard prior to the service of any follow-up Statutory Notice.

7.3

These representations will be heard by a manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head. These Officers will consider the following criteria in reaching a decision on whether the “intention to serve” Notice is to remain in force or be withdrawn:

• whether the investigating Officer explicitly considered the “Principles of Enforcement” and the criteria above governing Statutory Notices;
• whether the investigating Officer was correct in fact and in the application of these principles and criteria;
• whether the recipient of the Notice has a genuine grievance and not just an issue of principle;
• whether the recipient of the Notice has demonstrated compliance prior to or shortly after the service of the “intention to serve” Notice;
• whether there are other factors which render the Notice obsolete.

7.4

A manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head will confirm their decision as soon as possible after the “appeal” and confirm this in writing within 7 working days.

7.5

All Notices will be subjected to the following “peer review” process:

• Notices will only be signed by authorised Officers;
• Where the Notice has been drafted by non-authorised Officers, it may only be signed by authorised Officers if they have witnessed the contravention/offence or can adequately deduce the circumstances from the evidence provided AND agree that the “Principles of  Enforcement” and the criteria for Statutory Notices (above) have been applied appropriately;
• Notices will give realistic time limits for compliance and, where appropriate, these time limits should be discussed and agreed with the intended recipient.
• Notices will only be signed when all relevant schedules accompany the Notice;
• All Notices, except those listed below, will be checked by a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head who will authorise the Notice prior to it being served. In their absence the notice can be peer reviewed by a Senior Officer within the team.
  • Local Government Miscellaneous Provisions Act 1976 Section 16 - Requisition for Information
  • Housing Act 2004 Section 239 - Power of Entry
  • Housing Act 2004 Section 235 - Power to require documents to be produced
  • The Microchipping of Cats and Dogs (England) Regulations Regulation 13 - Power to require microchipping
  • The Environmental Permitting (England and Wales) Regulations 2016 Regulation 61 - Power to require the provision of information
• All Notices must be accompanied by a clear, detailed explanation of whom to contact for further information, how to appeal where an appeal mechanism exists, and information on the implications of non-compliance.

7.6

All Notices should be served by hand wherever practicable. Where this is not possible, they will be sent by 1st Class post or “Royal Mail Signed For” service or sent to the Local Authority in whose district the recipient resides with a request for them to serve on our behalf. Other means of service may be used where they recipient has confirmed they will accept service by alternative method. 

7.7

Checks will be made with any relevant 'Primary Authority' prior to service of Notice unless in emergency situations.

7.8

We will check on the situation at the expiry of the period given in the Notice (or any agreed extension to that time) or such lesser time as seems appropriate in the circumstances. We will extend time for compliance only when this is likely to secure compliance and only after receiving a written request for such an extension from the recipient. Where received, such requests would be considered on their merits taking into consideration the following factors:

• the requirements of specific council policy;
• the seriousness of the offence;
• the past history of individuals, businesses and informants involved;
• confidence in those involved in the issue whether as individuals, representatives of the business/enterprise or informants;
• consequences of non-compliance; and
• the likely effectiveness of the option to secure compliance.

Agreement to time extension will be sought from a team manager in Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head.

7.9

In all cases where there is a failure to comply with the Notice after a reasonable time, the matter will be put forward for prosecution and/or works in default in accordance with procedures outlined in Sections 11.

7.10

We will keep a record of all Notices served and report these and any outcomes to the appropriate co-ordinating body or Government Department.

8.1

Approval/refusal/revocation of licence, registration or similar permissive authority will be assessed by authorised Officers against statute, conditions applied, codes of practice, industry standards and similar standards.

8.2

Approval will only be given if relevant standards are achieved. All approvals will be subject to a vetting system whereby the person processing the applications for approval will not authorise its approval. (See Section. 3.5).

8.3

Contentious applications, requests for review, revocation and refusals that can be determined by an authorised officer within the law will normally be determined by a manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head except where the law does not permit this. Such decisions may, at the discretion of a manager, be referred to a Licensing Subcommittee. Where revocation or refusal is of an administrative nature, such as for non-payment of fees, it shall be undertaken by an authorised officer.

8.4

In this context, “contentious” means applications which have been formally objected to or relevant representations have been made, have contravened licence etc. conditions, or are subject to complaint.

8.5

Review, refusal or revocation of permissive authorities will be considered on the basis of appropriate prescribed grounds and may include:

• closure of premises following the issue of a Prohibition or Emergency Prohibition Order (primarily in relation to premises authorised under the auspices of assimilated EU legislation relating to products of animal origin);
• a serious and manifest breach of conditions, limitations, or statutory objectives, subject to which the authority was granted and which is unlikely to be corrected;
• the conviction of a Licence holder for breach of Licence conditions;
• conviction for offences of dishonesty, indecency or violence, or other relevant legislation;
• conviction for relevant offences as defined in the appropriate statute.
• evidence of a recent previous revocation/refusal;
• the number of other similar permissive Authorities issued to persons or premises already excessive;
• the person applying is not “fit and proper” as defined by the appropriate statute; 
• those persons and organisations that have no right to work in the UK 
• the application is inappropriate to the relevant locality;
• false or inadequate information has been provided as part of the application;
• fees due have not been paid;
• the premises/activity is conducted in a manner so as to cause nuisance, or disorder or public safety issues or safe guarding issues or risk to animal welfare as relevant to the particular case.

8.6

We will revoke a licensed driver and/or vehicle owner if we find evidence of the following:

• Driving without insurance
• Driving without road tax
• Driving in an unsafe vehicle
• Failure to disclose a prosecution or caution subsequent to the issue of a Licence
• When requested to by the Police and the evidence meets with our “Principles of Enforcement”
• A licensed driver driving an unlicensed vehicle
• A licensed vehicle being driven by an unlicensed driver
• Repeated failure to comply with a request for vehicle or driver checks.
• Licence holder no longer meets the requirement to be a fit and proper person.

8.7

A driver will be invited to re-apply or the remaining licensed period when officers are satisfied that there has been compliance and/ or there is no danger to public safety. 

8.8

Revocation decisions will be confirmed in writing and explain the reasons for revocation. An explanation of the recipient's rights of appeal, and how that appeal might affect the revocation, will also be given.

8.9

This section does not apply to any Private Sector Housing functions.

9.1 Seizure and detention

9.1.1

We will only use the powers to seize or detain items (goods, equipment, records, etc.) where we believe that a clear blatant breach of statute has or is about to occur AND that there is a power which authorises such seizure and/or detention OR where we need to secure compliance with a Notice.

9.1.2

We will consider the “Principles of Enforcement” in Section 2.0 above, refer to Codes of Practice and guidance issued by co-ordinating and other recognised authorities and apply the following detailed criteria in coming to our decision:

• There is a clear need to protect individuals, relevant animals or the  environment from imminent risk;
• Failure to act will result in vital evidence being destroyed;
• Other remedies (such as voluntary surrender) will not achieve the desired level of compliance;
• Previous history or other information in our possession indicates a repeat incident is likely to occur;
• We are formally requested to use our powers in support of other enforcement agencies.

9.1.3

We will inform all interested parties of the effect of our intention to seize and/or detain, the legal basis for such action, the processes involved in such action and any rights they have to appeal, make representation and/or seek compensation. We will confirm these matters in writing either at the time or as soon as practicable after such action and, in any event, not later than one working day after taking the action. Where time permits, then the “peer appraisal” process outlined in Section 7.5 above should be followed.

9.1.4

In most cases, we will put the matter forward for prosecution in accordance with procedures outlined in Section 11.0.

9.2 Suspension

9.2.1

Powers to suspend permissive authorities will be used in accordance with the relevant statutory requirements and the general principles of enforcement set down in Section 2 of this policy.

9.2.2

Grounds for suspension are various and often specific to the type of Authority concerned; they may, however, include:

• conviction of an offence of a relevant statute
• breach of conditions
• imminent risk of serious pollution
• serious risk to public safety or wellbeing
• lack of adequate procedures, records and trained staff
• non-payment of fees

9.2.3

Suspension will normally be authorised by a manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities or Building Control or a Group Head but can also be authorised by a Licensing Subcommittee. 

9.2.4

We will inform the person who has had their permission suspended in writing including the reason their permission has been suspended and that they have the right to appeal.

9.2.5

Suspensions will only be lifted as and when authorised officers are satisfied that reasons for initial suspension have been rectified. Lifting of a suspension will be granted by a manager within Environmental Health, Private Sector Housing, Licensing or a Group Head when satisfied compliance has been achieved. This will be confirmed in writing within 5 working days of such a decision being made.

10.1

Where an authorised Officer believes that an imminent risk of injury to health exists in respect of a premises, a piece of equipment or a process, then he/she may serve a Hygiene Emergency Prohibition Notice.

10.2

When this occurs, an application will be made by the Officer to the Court for a Hygiene Emergency Prohibition Order to be made.

10.3

Proprietors must be given at least one-days' notice of such an application.

10.4

Before taking prohibition, action involving chemical contamination, medical and other expert advice should be sought. Similar action should also be considered in respect of microbiological hazards or in respect of unusual or complex processing situations.

10.5

Remedial Action Notices may also be used to prohibit use of equipment, or any process, or impose other conditions or restrictions within food premises subject to requirements of assimilated regulation 853/2004 relating to products of animal origin

10.6

The situations below are illustrative of where an authorised Officer may consider closure or prohibition action:

10.7

Conditions where Prohibition of Premises may be appropriate:

(a) Infestation by rats, mice, cockroaches or other vermin (including birds) or a combination of these infestations resulting in actual food contamination or a significant risk of food contamination;

(b) Very poor structural condition and poor equipment and/or poor maintenance of routine cleaning and/or serious accumulations of refuse, filth or other extraneous matter resulting in an actual or significant risk of food contamination;

(c) Serious drainage defects or flooding of the premises leading to actual contamination or a significant risk of food contamination;

(d) Premises or practices which seriously contravene the Food Laws and have been or are implicated with an outbreak of food poisoning;

(e) Any combination of (a), (b), (c) and (d) or the cumulative effect of contraventions which together represent an imminent risk of injury to health.

10.8

Conditions when Prohibition of Equipment may be appropriate

10.8.1

In addition to the above, the following circumstances may be in existence:

(a) Use of defective equipment, for example, a pasteuriser incapable of achieving the required pasteurising temperature;

(b) Use of equipment involving high-risk foods which has been inadequately cleaned or disinfected or which is obviously grossly contaminated and can no longer be properly cleaned.

10.9

Conditions when Prohibition of a Process may be appropriate.

10.9.1

In addition to the above, the following circumstances may be in existence:

(a) Serious risk of cross-contamination

(b) Inadequate temperature control, for example, failure to achieve sufficiently high cooking temperatures

(c) Operation outside critical control criteria, for example, incorrect pH of a product which might allow clostridium botulinum to multiply

(d) The use of a process for a product to which it is inappropriate.

10.10

In general, authorised Officers will issue Hygiene Emergency Prohibition Notices. Under no circumstances will they try to persuade proprietors to voluntarily close their premises/processes or necessary equipment. However, should the proprietor offer to close it down, then the following criteria must be fulfilled before agreement is reached:

(i) There must be no risk of the premises, process or piece of equipment being re-opened without the express agreement of the council;

(ii) The proprietor must be willing to sign and date the Voluntary Closure Form setting out the extent of the offer to close;

(iii) The person signing the form, if not the proprietor, must have the authority of the proprietor/employer to agree to such voluntary action;

(iv) The informal offer to close the premises/practice voluntarily must have at least the equivalent effect of any appropriate prohibition action.

10.11

It must be remembered that authorised cfficers have no legal sanction against a proprietor who re-opens for business, even if they have signed a Voluntary Closure Form.

10.12

It must be pointed out to the proprietor that, by making the offer to close, he is relinquishing his rights to compensation.

10.13

Checks must be carried out to ensure that a premises, process or piece of equipment which has voluntarily closed remains closed until such times as a written statement is issued by the authorised Officer to confirm that the premises can re-open.

10.14

Upon agreeing to voluntary closure, the Officer must make it very clear to the person in charge why the premises, process or piece of equipment have been closed and what works must be carried out. This must be confirmed in writing and served on the proprietor along with a copy of the agreement.

10.15

The above considerations will be applied in respect of closures of food premises. The council may seek to use powers available under other legislation for closure on grounds of health and safety, licensing, housing or other issues to which this policy applies.

10.16

Where an authorised officer is of the opinion that an activity is or may involve a risk of serious personal injury then they may issue a health and safety Prohibition Notice. 

11.1
We will restrict the use of prosecutions to those cases where, having considered the “Principles of Enforcement” in Section 2.0 above, we believe an individual or person(s) having control of the business/enterprise has:

• obviously disregarded a foreseeable risk and/or
• deliberately sought to gain an economic advantage by disregarding/ breaking the law and/or
• created a serious nuisance and/or
• seriously or repeatedly threatened another's health, safety, quality of life or the maintenance of community environments and/or
• refused to comply with a Statutory Notice or conditions and/or
• failed to achieve the basic minimum legal requirements after receiving written advice or a Statutory Notice and/or
• blatantly breached a council order/Byelaw

11.2

Evidence will be gathered in accordance with Sections 3.0 above. If evidence is established suggesting manslaughter, we will liaise with the Police, Coroner and/or CPS as appropriate.

11.3

The evidence will initially be reviewed by the relevant Officer and a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities or Building Control (i.e. the investigator and the Officer in charge of the investigation). A request to authorise prosecution will not be referred to Legal Services:

(i) If the above-mentioned criteria are not met;

(ii) If there is insufficient relevant, admissible, substantial and reliable evidence that an offence has been committed by an identifiable person or Company;

(iii) Where other enforcement action would be more appropriate;

(iv) where the breach is not a legal one but rather one of an industry guideline or Code of Practice;

(v) Where the offence involves an organisation operated by volunteers, except in extreme circumstances;

If a decision is made not to consider prosecution, an alternative enforcement action will be decided upon and agreed to by the Investigating Officer in conjunction with a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head in writing using the appropriate pro forma.

In general there is a presumption against prosecution of juveniles, the mentally or severely physically infirm.

Directors

In serious cases where offences are committed with the consent or connivance of, or to have been attributable to any neglect of, any director, manager, secretary or other similar officer of the body corporate, then formal action will be considered against that person. On the conviction of a director connected with the management of a company, we will, in appropriate cases, draw to the court's attention their powers to make a Disqualification Order under the Company Directors Disqualification Act 1986.

Offence of obstructing

Some legislation makes it an offence to obstruct an officer of the council during the course of their duties. Generally, if obstruction is encountered it will lend weight towards taking a more formal approach which may include criminal proceedings. Where an officer is obstructed during the course of gathering evidence as part of a criminal investigation, or in cases where evidence is removed or destroyed, the Police will be asked to intervene in order to preserve that evidence and to bring charges under thecommon law offence of perverting the course of justice. The council takes any form of verbal harassment or physical abuse directed at an officer during the course of his or her duties very seriously. Where an officer is subjected to such harassment or abuse, the Police will be asked to consider bringing a Public Order offence against the perpetrator(s).

11.4.1

In cases where prosecution is considered to be the preferred option, Investigating Officers, following discussion with a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities or Building Control  will prepare a case file and instruction for submission to Legal Services. 

11.4.2

The file will contain the following details:

• A summary of the background history to the case (if  any), this includes
  • a. Details of previous involvement by the instructing officer's team ;
  • b. Details of previous warnings/actions issued to the offender by the council for the same or similar offences
  • c. Details of any previous convictions for the same or similar offences
• If more than one offence is alleged, a list of alleged offences indicating who the offender is in relation to each alleged offence. The list should include the dates of the alleged offending.
• any mitigating circumstances, representations from the accused or  similar material which ensures that a balanced and impartial decision can be attempted by Legal Services;
• any specific defences available to the accused;
• witness Statement(s) from any witness to the offending including a witness statement from the council's officer evidencing the alleged offences;
• transcripts of all taped interviews under caution (Police & Criminal Evidence Act 1984);
• relevant photographs;
• other supporting and evidential material.

11.4.3

Legal Services will review the case and consideration will be given to the evidence having regard to the “Principles of Enforcement” mentioned in Section 2.0 above, relevant Codes of Practice and guidance including any guidance issued by the Crown Prosecution Service and the following criteria:

• That evidence presented is valid and relevant, that continuity is complete and quality is satisfactory;
• There must be a realistic prospect of conviction;
• That it is in the public interest to prosecute and/or that demonstrable public benefit will accrue from conviction (e.g. It may establish an important legal precedent);
• That the offence is sufficiently serious;
• That the previous history of the accused indicates that other remedies are unlikely to secure compliance;
• That the accused will be unlikely to establish a defence in law (e.g. “All due diligence”, “best practicable means”, “reasonably practicable”);
• That the accused appears unwilling to prevent a recurrence of the   problem;
• That important witnesses are both credible and willing to co-operate;
• Any explanation offered by the accused.

11.4.4

Legal Services will review the file and decide the appropriate course of action, namely, one of the following:

(1) to refuse to authorise prosecution and to return the file to the investigating Officer for other, alternative enforcement action or no action

(2) to defer or to agree in principle a decision subject to the Lawyer of the council's opinion on a legal technicality;

(3) to defer a decision until further evidence is supplied by the investigating Officer or the Officer in charge of the investigation;

(4) to authorise prosecution, revocation, review and/or suspension with or without the option for Simple Caution - see Section 12.0 below);

(5) to prosecution, revocation and/or suspension as above and to request the investigating Officer to take further enforcement action/investigations;

(6) to authorise prosecution as above, but with a further recommendation that a simple caution be offered in lieu of prosecution;

(7) a combination of the above; and/or;

(8) to issue a fixed penalty in lieu of prosecution

(9) To issue a civil penalty notice in lieu of prosecution (where permitted by the Housing Act 2004)

(10) To issue a financial penalty where legislation permits.

11.4.5

Where there are multiple offenders and the relevant legislation does not preclude the council from doing so, the council may decide to implement a different course of action for each offender, if there are reasons for doing so. Those reasons shall be recorded.

11.4.6

In all cases, the decision will be recorded. wherever reasonably possible the offender (s)will be notified either via post, telephone or email within fourteen days of the decision being made by Legal Services informing them of the decision.

11.4.7

If the council is unable to contact the offender(s), effectively serve notice of the decision, or ensure the offender is aware of the decision made by Legal Services for any reason the council shall not be expected to incur unreasonable expense or resource in order to notify the offender(s) of the decision made by Legal Services.

12.1

A Simple Caution is not an alternative to a Fixed Penalty Notice, or vice versa. They are however both alternatives to prosecution for less serious offences, and their use is governed by some shared principles. A Simple Caution will not be recommended or Fixed Penalty Notice issued where there is judged to have been potential for or actual serious harm or a reckless disregard for standards. 

12.2

We will consider recommending a Simple Caution or issuing Fixed Penalty Notice in lieu of a prosecution in the following circumstances:

• the offence has been clearly committed or there are no aggravating circumstances
• there is sufficient evidence of the offender's guilt to make conviction a realistic prospect; and
• there is a clear and reliable admission of the offence; and
• the offender clearly understands the significance of the offence and is likely to give informed consent to the caution or agree to the issue of a fixed penalty; and
• that public interest may be best served by this course of action. (In this respect, Simple Cautions or Fixed Penalty Notices may be appropriate to consider where: the offence is trivial (e.g. a dropped crisp), likely penalties will be low; where there is genuine remorse and commitment to correction, and/or no previous history of offending. There is also a general presumption against prosecuting juveniles, the elderly, the infirm or the mentally or severely physically impaired. Cautions will not generally be given to the under 18's except as in line with the options in 5.7 above).
• In addition, Fixed Penalty Notices will not be issued when the person is under 10, or is obstructive or non-co-operative or is confused, either through impairment, drugs or alcohol in which case other appropriate agencies should be involved. Simple Cautions will not normally be given to a suspect under 18 - see Section 5.7 above in relation to Juveniles. 

12.3

Where a decision is made by Legal Services that a Simple Caution should be issued or a Fixed Penalty should be served, the balance of reasons for and against this preference in lieu of prosecution must be recorded. If subsequently the offender does not accept the Simple Caution or fixed penalty, the matter will be dealt with as a prosecution (see Criminal Investigation Procedures in section 3.0 above).

Simple Cautions

12.4

Simple Cautions aim to deal quickly and simply with offences, divert offenders, where appropriate, from appearing in the criminal courts and/or reduce the likelihood of re-offending. Before considering a caution national and local records must be checked and Primary Authority consulted. If a Simple Caution has been given previously this will count against the issue of a further one. A further caution can still be administered if subsequent offences are trivial or unrelated.

12.5

Where a Simple Caution is considered, the reason for it and its implications should be explained and the caution outlined to the individual or organisation concerned.

12.6

Under no circumstances should a suspect be pressed or induced in any way to admit offences in order to receive a Simple Caution as an alternative to being prosecuted. 

12.7

Where a Simple Caution is accepted, it will be issued using a Standard Written Admission format by a manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities or Building Control and details will be retained on file. The Simple Caution will normally be issued in person.

Fixed Penalty Notices

12.8

Fixed Penalty Notices will be issued by authorised Officers having considered the principles of enforcement and Section 5.2 above. See also Section 5.7 above in relation to action against juveniles.

12.9

Fixed Penalty Notices will not normally be repeatedly issued against the same individual or organization. The issue of more than two such Notices within the same 6 months will require agreement of a relevant manager.

12.10

Fixed penalty levels together with early payment discount and warning fixed penalty notices will be kept under review. Unresolved fixed penalty notices will be considered by the Investigating Officer and relevant Manager to determine action. Receipts from fixed penalties are allowed to be kept by local authorities for supporting enforcement activities and will therefore be used as agreed by the Group Head of Technical Services in consultation with the Section 151 Officer. 

12.11

Fixed penalties can be authorised by a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head. Where appropriate the relevant Group Head may delegate issuing of specific penalty notices without further reference to a manager.

13.1

Section 249A Housing Act 2004 enables the council as the local housing authority the power to issue a financial penalty for certain Housing Act 2004 offences after 06 April 2017 as an alternative to prosecution.

13.2

The offences include:

• Failing to comply with an Improvement Notice (Section 30)
• Offences in relation to licensing of Houses in Multiple Occupation (Section 72)
• Offences in relation to licensing of houses under part 3 of the Act - Selective licensing (Section 95)
• Offences in relation to the contravention of an overcrowding notice (Section 139)
• Failure to comply with management regulations in respect of a House in Multiple Occupation (Section 234)
• Breach of a banning order

13.3

A civil penalty can only be imposed as an alternative to prosecution. The legislation does not permit the council to impose a civil penalty and prosecute for the same offence. If a person has been convicted or is currently being prosecuted the council cannot impose a civil penalty in respect of the same offence. Similarly, if a civil penalty has been imposed, a person cannot then be convicted of an offence for the same conduct.

13.4

Where there are more than one offenders in respect of the same offence, the council has the discretion to decide what action should be taken in respect of each offender separately. For example: where it is appropriate to prosecute Offender A, but not Offender B. The council could prosecute Offender A, and may decide to issue a civil penalty notice to Offender B.

13.5

Where, for example, two Improvement Notices have been served on the same person to deal with different categories of hazard the council will take account of this when assessing the level of civil penalty that may apply and any decisions made in this regard will be documented.

13.6

Overall, each case will be considered on an individual basis, however, the principles in determining the form of action will be:

• What outcome is the council trying to achieve - e.g. Set an example, get the works completed or a deterrent to committing future offences (a civil penalty will not be in the public domain unlike prosecution).
• Severity of the offence - is prosecution a better option based on the significance of the offence and the impact it has had.
• Type of property and its occupiers - are the occupiers particularly vulnerable.

13.7

The same burden of proof is required for a civil penalty as for a prosecution. This means that before formal action is taken the council must be satisfied that if there was a prosecution there would be a realistic prospect of conviction.

13.8

The council must determine beyond reasonable doubt that the offence has been committed and this evidence would be required if an appeal is made against the civil penalty.

13.9

Where the landlord or property agent fails to pay a civil penalty the council will refer the case to the county court for an Order of the Court. If necessary the council will use the county court bailiffs to enforce the order and recover the debt.

13.10

The council's powers to conduct works in default under the Housing Act 2004 are unaffected by the civil penalty provisions.

13.11

If a landlord receives a civil penalty that fact can be taken into account if considering whether the landlord is a fit and proper person to be the licence holder for a House in Multiple Occupation (HMO) or any other property subject to licensing.

13.12

Where a landlord receives two or more civil penalties over a 12 month' period, the council will include that person's details in the database of rogue landlords and property agents. Government Guidance issued by the Ministry of Housing, Communities and Local Government strongly encourages councils to participate in this practice. This will help ensure that other councils are made aware that formal action has been taken against the landlord.

13.13

Penalty amounts will be proposed by authorised Officers and checked and confirmed by a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head. When making their proposal consideration must be given to the following factors:

• Severity of the offence - the greater the harm or potential for harm the higher the level of fine should be when imposing a civil penalty.
• Culpability and track record of the offender - It will be appropriate to issue a higher penalty where the offender has a history of failing to comply with their legal duties. If a Landlord is a running a housing or property business, owns multiple properties which are let or tenanted, or the landlord has been warned (formally or informally) on a previous occasion(s) that he needs to take steps to comply with his or her legal duties a higher penalty will be imposed.
• The harm caused to the tenant - For this purpose, harm includes: the potential harm that could have been caused, the harm that was or is perceived by the tenant, as well as any actual harm caused.
• Proportionate punishment of the offender - A civil penalty is not to be regarded as an easier or lesser option compared to prosecution. The penalty should be proportionate and reflect both the severity of the offence and whether there is a pattern of previous offending.
• Deter the offender from repeating the offence - The ultimate goal is to prevent any further offending commissioned by the landlord, or any other persons liable for the offences listed in 13.2 of this policy. The objective of issuing a civil penalty notice is to help ensure that the landlord and/or any person liable listed at 13.2 fully complies with all of their legal responsibilities in future. The level of the penalty should therefore be set at a high enough level such that it is likely to deter the offender from repeating the offence.
• Deter others from committing similar offences
• Remove any financial benefit the offender may have obtained as a result of committing the offence 
• Make an assessment of the offender's assets and income

13.14

The Government has issued statutory guidance under Schedule 9 of the Housing and Planning Act 2016 entitled “Civil penalties under the Housing and Planning Act 2016. Guidance for Local Authorities”. The council has regard to this guidance in the exercise of their functions in respect of civil penalties.

13.15

In determining the level of a civil penalty, officers will have regard to the matrix set out below, which is to be read in conjunction with the associated guidance. The matrix is intended to provide indicative “starting level” under the various offence categories, with he final level of the civil penalty adjusted in each case, taking account aggravating and mitigating factors the council deems significant including, but not limited to, factors relating to the track record and culpability of the landlord and the actual or potential harm to the occupants.

13.16

In deciding what level of penalty to impose, officers will conduct the following four stage process. First, they will consider the seriousness of the relevant housing offence to identify a starting level of the penalty. Second, an assessment of the number of rental properties controlled or owned or managed by the landlord and/or their experience in the letting/management of property will be considered, which may have the effect of increasing or decreasing the penalty. Third, aggravating and mitigating factors that may relate to a number of factors including, but not limited to, culpability, track record and harm will be considered, which may have the effect of increasing or decreasing the penalty. Fourth, if any of the Discounts, as set out below, apply, the penalty will be decreased.

13.17

Once the seriousness of the relevant housing offence has been identified, the starting level of the penalty will be identified using the table below with the headings 'Seriousness of offence' and 'Starting level [£]'. Consideration of the number and type of rental properties controlled or owned or managed may adjust the penalty.

13.18

To reflect the seriousness of the offence(s) in question, the presence of one or more mitigating factors will rarely result in the penalty being decreased in excess of a total of £5,000. In exceptional circumstances, officers may determine that the presence of one or more mitigating factors justify a decrease in the penalty in excess of £5,000. The presence of numerous mitigating factors will not automatically be considered as exceptional circumstances.

13.19

Matrix for establishing seriousness of offence and starting level (£)

Matrix for establishing seriousness of offence and starting level (£)

Seriousness of Offence	Starting Level (£)
Mild	2,500
Moderate	7,500
Serious	12,500
Very serious	17,500
Severe	22,500
Very severe	27,500

13.20

Offences where a civil penalty may be levied as an alternative to prosecution and relevant considerations as to the level of that penalty

13.21

Failure to comply with an Improvement Notice - Section 30 of the Housing Act 2004 Maximum Court fine following prosecution that can be levied for failure to comply with an Improvement Notice - Unlimited.

13.22

An Improvement Notice served under Part 1 Housing Act 2004 specifies repairs/improvements that the recipient should carry out in order to address one or more identified Category 1 and/or Category 2 hazards in a property. Category 1 hazards are the most serious hazards, judged to have the highest risk of harm to the occupiers; the council has a duty to take appropriate action where a dwelling is found to have one or more Category 1 hazards present.

13.23 

In some cases, the service of an Improvement Notice will have followed an informal stage, where the landlord had been given the opportunity to carry out improvements without the need for formal action. In such cases, an identified failure to comply with an Improvement Notice will represent a continued failure on the part of the landlord to deal appropriately with one or more significant hazards affecting the occupier[s] of the relevant dwelling.

13.24

The council would view the offence of failing to comply with the requirements of an Improvement Notice as a significant issue, exposing the tenant[s] of a dwelling to one or more significant hazards

13.25

The seriousness of the offence is viewed by the council as being a Severe matter, attracting a financial penalty with a starting level of £22,500.

13.26

Under the council's policy, the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features [see below], will reduce by £5,000, attracting a civil penalty of £17,500.

13.27

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features [see below], will attract a civil penalty of £22,500.

13.28

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £27,500.

13.29

Aggravating features/factors specific to non-compliance with an Improvement Notice:

• The nature and extent of hazards that are present. Multiple hazards and/or severe/extreme hazards that are considered to have a significant impact on the health and/or safety of the occupant[s] in the property or their guests would justify an increase in the level of the civil penalty. 

13.30

Failure to License offences 

Maximum Court fine following prosecution that can be levied for failure to license an HMO or Part 3 House - Unlimited

13.31

Failure to license a Mandatory 'HMO' - Section 72(1) of the Housing Act 2004 

Under Part 2 Housing Act 2004, most higher risk HMOs occupied by 5 or more persons forming 2 or more households are required to hold a property licence issued by the local authority.

13.32

The council would view the offence of failing to license an HMO as a significant failing; Licensing was introduced by the Government in order to regulate management, conditions, standards and safety in the properties considered to represent the highest risk to tenants as regards such matters as fire safety and overcrowding.

13.33

This seriousness of the offence is viewed by the council as being a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

13.34

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £12,500.

13.35

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £17,500.

13.36

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors [see below], will increase by £5,000, attracting a civil penalty of £22,500.

13.37

Aggravating features/factors specific to failure to licence offences

• The condition of the unlicensed property. The nature and extent of any significant hazards that are present would justify an increase in the level of the civil penalty. Equally, an HMO that was found to be poorly managed and/or lacking amenities/fire safety precautions and/or overcrowded would also justify an increased civil penalty. 
• Any demonstrated evidence that the landlord/agent was familiar with the need to obtain a property licence e.g. the fact that they were a named licence holder or manager in respect of an already licensed premises. 

13.38

Failure to license a property under the council's Additional [HMO] Licensing Scheme - Section 72(1) of the Housing Act 2004 

The council has designated the wards of River in Littlehampton and Marine and Hotham in Bognor Regis as an additional licensing area. The scheme came into force on 1 February 2025 and expires on 31 January 2030. 

13.39

The council would view the offence of failing to license an HMO under its additional licensing scheme as a significant failing. The Council has introduced additional HMO licensing, amongst other reasons, in order to regulate management, conditions, standards and safety in the properties considered to represent a higher risk to tenants as regards such matters as fire safety and overcrowding compared with properties that do not fall under any HMO licensing scheme.

13.40  

This seriousness of the offence is viewed by the council as being a Serious matter, attracting a financial penalty with a starting level of £12500.

13.41  

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features [see below], will reduce by £5000, attracting a civil penalty of £7500.

13.42  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features [see below], will attract a civil penalty of £12500.

13.43

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors [see below], will increase by £5000, attracting a civil penalty of £17500.

13.44

Aggravating features/factors specific to failure to licence offences

• The condition of the unlicensed property. The nature and extent of any significant hazards that are present would justify an increase in the level of the civil penalty. Equally, an HMO that was found to be poorly managed and/or lacking amenities/fire safety precautions and/or overcrowded would also justify an increased civil penalty 
• Any demonstrated evidence that the landlord/agent was familiar with the need to obtain a property licence e.g. the fact that they were a named licence holder or manager in respect of an already licensed premises 

13.45  

Failure to Comply with The Management of Houses in Multiple Occupation [England] Regulations 2006 and The Licensing and Management of Houses in Multiple Occupation (Additional Provisions) (England) Regulations 2007 

Maximum Court fine following prosecution that can be levied for failure to comply with each individual regulation - unlimited.

13.46  The Management of Houses in Multiple Occupation (England) Regulations 2006 impose duties on the persons managing HMOs in respect of:

• Providing information to occupiers Regulation 3 
• Taking safety measures, including fire safety measures Regulation 4 
• Maintaining the water supply and drainage Regulation 5 
• Supplying and maintaining gas and electricity, including having these services/appliances regularly inspected Regulation 6 
• Maintaining common parts Regulation 7 
• Maintaining living accommodation Regulation 8 
• Providing sufficient waste disposal facilities Regulation 9 

13.47

The Licensing and Management of Houses in Multiple Occupation (Additional Provisions) (England) Regulations 2007 impose duties on the persons managing HMOs as defined by Section 257 Housing Act 2004 in respect of:

• Providing information to occupiers Regulation 4 
• Taking safety measures, including fire safety measures Regulation 5 
• Maintaining the water supply and drainage Regulation 6 
• Supplying and maintaining gas and electricity, including having these services/appliances regularly inspected Regulation 7 
• Maintaining common parts Regulation 8 
• Maintaining living accommodation Regulation 9 
• Providing sufficient waste disposal facilities Regulation 10 

13.48

 It is important that the manager of an HMO complies with all regulations, but the council recognises that a failure to comply with certain regulations is likely to have a much bigger impact on the safety and comfort of residents than others.

13.49 

Failure to comply with the duty of manager to provide information to occupier 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to provide information to occupier as a Mild matter, attracting a financial penalty with a starting level of £2,500

13.50

 Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £2,000, attracting a civil penalty of £500.

13.51

 Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £2,500.

13.52

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £2,000, attracting a civil penalty of £4,500.

13.53  

Aggravating features/factors specific to Management Regulation breach offences:

• The number and/or nature and/or extent of the management regulation breach(es) and/or the deficiencies within each regulation. 

13.54  

Duty of manager to take safety measures 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to take safety measures as a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

13.55  

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £12,500.

13.56

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £17,500.

13.57

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £22,500.

13.58  

Aggravating features/factors specific to Management Regulation breach offences:

• As set out under 'Failure to comply with the duty of manager to provide information to occupier' above.

13.59  

Duty of manager to maintain water supply and drainage 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the water supply and drainage as a Serious matter, attracting a financial penalty with a starting level of £12,500.

13.60

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £7,500.

13.61

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £12,500.

13.62  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £17,500.

13.63  

Aggravating features/factors specific to Management Regulation breach offences:

• As set out under 'Failure to comply with the duty of manager to provide information to occupier' above.

13.64  

Duty of manager to supply and maintain gas and electricity 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the gas and electricity supply as a Serious matter, attracting a financial penalty with a starting level of £12,500.

13.65  

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £7,500.

13.66

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £12,500.

13.67  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £17,500.

13.68  

Aggravating features/factors specific to Management Regulation breach offences:

• As set out under 'Failure to comply with the duty of manager to provide information to occupier' above.

13.69

Duty of manager to maintain common parts, fixtures, fittings and appliances 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the common parts, fixture, fittings and appliances as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

13.70

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £2,500.

13.71  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £7,500.

13.72

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £12,500.

13.73 

Aggravating features/factors specific to Management Regulation breach offences:

• As set out under 'Failure to comply with the duty of manager to provide information to occupier' above.

13.74  

Duty of manager to maintain living accommodation 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to maintain the living accommodation as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

13.75  

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £2,500.

13.76  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £7,500.

13.77  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £12,500.

13.78  

Aggravating features/factors specific to Management Regulation breach offences:

• As set out under 'Failure to comply with the duty of manager to provide information to occupier' above.

13.79

Duty to provide waste disposal facilities 

The council would view the seriousness of the offence of failing to comply with the duty of the manager to provide waste disposal facilities as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

13.80  

Under the council's policy the civil penalty for a landlord controlling/owning/managing only one HMO dwelling and no more than one other dwelling that is not an HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £2,500.

13.81  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £7,500.

13.82  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £12,500.

13.83  

Aggravating features/factors specific to Management Regulation breach offences:

• As set out under 'Failure to comply with the duty of manager to provide information to occupier' above.

13.84  

Breach of licence conditions - Section 72(3) Housing Act 2004 

Maximum Court fine following prosecution that can be levied for failure to comply with a licence condition - unlimited

13.85  

All granted HMO licences impose a set of conditions on the licence holder. These conditions impose a variety of obligations relating to the letting, management and condition of the rented property. It is important that the manager of a licensed property complies with all imposed conditions, but the council recognises that a failure to comply with certain licence conditions is likely to have a much bigger impact on the safety and comfort of residents than others.

13.86  

Failure to comply with licence conditions related to:

• Signage or the provision of information for tenants 
• Provision of written terms of occupancy for tenants 
• The provision of information regarding occupancy of the property 
• The provision of information regarding change of managers or licence holder details 
• The provision of information related to changes in the property 
• The provision of a property plan

13.87  

The council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Mild matter, attracting a financial penalty with a starting level of £2,500.

13.88  

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features [see below], will reduce by £2,000, attracting a civil penalty of £500.

13.89  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £2,500.

13.90  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £2,000, attracting a civil penalty of £4,500.

13.91  

Aggravating features/factors specific to Licence Condition breach offences:

• The number and/or nature and/or extent of the licence condition regulation breach(es) and/or the deficiencies within each licence condition breach. 

13.92  

Failure to comply with licence conditions related to:

• Procedures and actions regarding inspections 
• Procedures and actions regarding repair issues 
• Maintenance, cleanliness and use of common parts (including gardens, outbuildings and property exterior) and living areas 
• Procedures regarding emergency issues 
• Waste and waste receptacles, pests, minor repairs, alterations or decoration 
• Minimising risk of water contamination 
• Maintaining services including gas, electricity and water supply
• The compliance of furnishings or furniture with fire safety regulations 

13.93

The council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Moderate matter, attracting a financial penalty with a starting level of £7,500.

13.94  

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £2,500.

13.95  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £7,500.

13.96  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £12,500.

13.97  

Aggravating features/factors specific to Licence Condition breach offences:

• The number and/or nature and/or extent of the licence condition regulation breach(es) and/or the deficiencies within each licence condition breach.

13.98  

Failure to comply with licence conditions related to:

• The provision of documentation regarding energy performance certificates, fire detection and prevention, emergency lighting, carbon monoxide detection, fire risk assessments, gas installations, electric installations and appliances 
• Notification of legal proceedings, contraventions and other relevant information that may affect a fit and proper person status 
• Procedures and actions regarding Anti Social Behaviour

13.99

The council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Serious matter, attracting a financial penalty with a starting level of £12,500.

13.100

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £7,500.

13.101

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £12,500.

13.102            

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £17,500.

13.103            

Aggravating features/factors specific to Licence Condition breach offences:

• The number and/or nature and/or extent of the licence condition regulation breach(es) and/or the deficiencies within each licence condition breach

13.104            

Failure to comply with licence conditions related to:

• Minimum floor areas
• Occupancy rates
• Occupancy of rooms that are not to be used as sleeping accommodation
• Limits on number of households allowed to occupy the property or part of the property

 

13.105

The council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £12,500.

13.106

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £17,500.

13.107      

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £22,500.

13.108        

Aggravating features/factors specific to Licence Condition breach offences:

• The number and/or nature and/or extent of the licence condition regulation breach(es) and/or the deficiencies within each licence condition breach.

13.109          

Failure to comply with licence conditions related to:

The condition or existence of smoke alarms, carbon monoxide alarms, emergency lighting, gas installations, electric installations and appliances, fire detection or other fire safety features or requirements

• The prevention including provision of safe means of escape

13.110            

The council would view the seriousness of the offence of failing to comply with licence conditions relating to the bullet points directly above as a Severe matter, attracting a financial penalty with a starting level of £22,500.

13.111            

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £17,500.

13.112            

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £22,500

13.113            

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £27,500.

13.114

Aggravating features/factors specific to Licence Condition breach offences:

• The number and/or nature and/or extent of the licence condition regulation breach(es) and/or the deficiencies within each licence condition breach.

13.115            

When considering aggravating and mitigating factors the civil penalty imposed must remain proportionate to the offence.

Examples of Generic Mitigating and Aggravating Factors

Below are some examples of matters which may be considered mitigating or aggravating factors. The list is not exhaustive and the council will consider each matter on an individual basis. 

Examples of matters which may be considered mitigating or aggravating factors

Aggravating	Mitigating
Multiple Hazards or severe hazards which may have resulted, or did result in ill-health, injury or disease.	A small number of hazards which have minimal impact on tenants
Previous history of non-compliance or offending (whether the non-compliance was dealt with formally or informally)	No previous record of non-compliance or offending.
The landlord was familiar with the relevant housing or licensing laws eg: the landlord or agent controls numerous properties or has demonstrated experience in letting or managing a property).	The landlord owns one property and does not have experience or a professional role in housing, property management or letting
There is no justification or a lack of justification for the appropriate action not being taken	The hazards were not remedied due to unforeseen circumstances outside of the offender's control.
The offender has made a profit or financial gain from failing to carry out remedial action	Failings were minor and an isolated incident
Non-compliance in relation to a number of properties which puts a number of tenants or families at risk. Eg: A failure to licence a number of properties within a block	The offender co-operates with the council - attends PACE Interview, responds to requests for information and accepts responsibility for offending
An excessive length of non-compliance	Voluntary steps taken to address issues eg: the offender applies for a HMO licence or applies for an HMO exemption
Evidence of threatening behaviour or harassment of the tenant or complainant.	The offender was unable to address the issues in the time frame provided due to ill-health which required urgent, intensive or long-term treatment.
Deliberate concealment of offence or obstructing the investigation being conducted by council Officers
No remorse or responsibility accepted, no steps taken to remedy the situation.

13.116

An offender will be assumed to be able to pay a penalty up to the maximum amount unless they can demonstrate otherwise

13.117

Where the council is satisfied that more than one offence is being committed concurrently in respect of a single property they may issue multiple Civil Penalty Notices for example, where there are multiple breaches of the HMO management regulations.

13.118

However, where satisfied on the merits of the case and/or where the council consider that issuing multiple penalties at the same time would result in an excessive cumulative penalty, nothing in this policy shall require the council to do that. The council may take action in respect of one or some of the offences and warn the offender that future action in respect of the remaining offences will be taken if they continue.

13.119

Income received from a civil penalty can be retained by the council provided that it is used to further the council's statutory functions in relation to enforcement activities covering the private rented sector as specified by The Rent Repayment Orders and Financial Penalties (Amounts Recovered) (England) Regulations 2017.

13.120

Following the council's decision to impose a civil financial penalty the council will serve a notice of intent to impose a financial penalty on the offender. Following service of that notice, the offender will have the opportunity to make representations to the council. Any representations received will be considered by the authorised officer and a line manager from Environmental Health, Private Sector Housing, Licensing, Cleaning, Communities, Building Control or a Group Head when determining the level of fine to be imposed.

13.121

The notice of intent will enclose a Financial Means and Asset Assessment Form. This form is to be completed and returned by the offender. The onus is on the offender to provide supporting documents and evidence to prove his, her, their or the company's financial means and the value of any assets owned. If sufficient, reliable evidence is not provided, the council will be entitled to draw inferences about the financial position of the offender from the evidence received as well as all the circumstances of the case.

13.122

The authorised officer shall complete a penalty assessment form and send their proposal in relation to the penalty amount, and the reasons for the amount proposed (in accordance with this policy and any other relevant statutory guidance) to Legal Services for review. The proposal shall consider any representations and evidence provided by the offender(s).  

13.123

Legal Services shall review the proposal and offer advice to the authorising officer and their line manager (if necessary).

13.124

The authorised officer and their Line Manager shall determine the amount of penalty that will be imposed, in consultation with Legal Services. 

13.125

Discounts

The council will automatically apply a discount of 15% off the original calculated civil penalty imposed at the Final Notice should the penalty be paid within a specified time period (normally 28 days).

14.1

Section 38 of The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015 enables the council as the Enforcement Authority the power to issue a financial penalty if they are satisfied that there is or has been in the 18 months preceding the date of service of the penalty notice a breach of one of more of the following:

• Prohibition on letting sub-standard property (Regulation 23 and 27)
• Providing false or misleading information on the Private Rented Sector (PRS) Exemption Register (Regulation 36(2)
• Failure to comply with a compliance notice Regulation 37 (4)(a)

14.2

The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015 section 40 specifies the maximum financial penalty for each breach in relation to domestic private rented property.

Maximum financial penalty for each breach in relation to domestic private rented property

Renting out a non-compliant property for less than 3 months	£2,000
Renting out a non compliant property for 3 months or more	£4,000
Providing false or misleading information on the PRS Exemption Register	£1,000
Failure to comply with a compliance notice	£2,000

14.3

The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015 section 41 specifies the maximum financial penalty for each breach in relation to non-domestic private rented property.

The maximum financial penalty for each breach in relation to non-domestic private rented property

Renting out a non-compliant property for less than 3 months	Whichever is the greater of £5,000 and 10% of the rateable value of the Property The financial penalty must not exceed £50,000,
Renting out a non compliant property for 3 months or more	Whichever is the greater of £10,000 and 20% of the rateable value of the Property The financial penalty must not exceed £150,000
Providing false or misleading information on the PRS Exemption Register	£5,000
Failure to comply with a compliance notice	£2,000

14.4

The penalty amounts apply per property and per breach of the regulations and the total of the financial penalties imposed must be no more than £5,000 for domestic properties. This is not applicable to non-domestic properties.

14.5

The council is also entitled to impose a publication penalty on the offender in addition to the financial penalty imposed in all cases related to domestic properties.

14.6

The following matrix will be used as a guide to determine the appropriate penalty

A guide to determine the appropriate penalty

	Low Culpability	High Culpability	Notes
Low Harm	25%	50%	% = Proportion of Maximum Penalty
High Harm	50%	100%	% = Proportion of Maximum Penalty

14.7

Factors Affecting Culpability:      

High: Landlord has a previous history of non-compliance with regulatory requirements and/or landlord has failed to comply with requests to comply with these regulations. Knowingly or recklessly providing incorrect information in relation to exemptions to these regulations.

Low: First Offence under these regulations, no previous history of noncompliance with housing related regulatory requirement. Complex issues partially out of control of the landlord have led to non-compliance.

14.8

Factors Affecting Harm

High:  Very low EPC score. Vulnerable tenants occupying property for an extended period of time since non-compliance.

Low: No vulnerable tenants, higher EPC score close to minimum accepted EPC rating.

14.9

Aggravating and Mitigating Factors:

Facts may come to light as part of the investigation for the offences which may warrant adjustments to be made to the Financial Penalty. Certain facts may influence the council's decision about whether the publication penalty should be imposed, or not. Details of these facts will be included in the Penalty Notice. Information may be provided by the Landlord within representations as part of his request to review the Penalty Notice. Officers will have regard to the information or representations provided and adjust the penalty to increase (up to the Maximum of £5000) or to reduce the penalty as they feel appropriate. The landlord will receive a Notice after the review with an explanation of any adjustment made.

14.10

The council does not have a prescribed list of what constitutes an aggravating or mitigating factor for these purposes, and it is not bound to deem any facts or circumstances as aggravating or mitigating, what constitutes aggravating or mitigating factors is different in every case and each case shall be given due consideration.

14.11

Penalty amounts will be proposed by authorised Officers and checked and confirmed by a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head.

15.1

Where the council is satisfied, beyond reasonable doubt, that a private landlord has breached a duty under regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020, the authority may impose a financial penalty (or more than one penalty in the event of a continuing failure) in respect of the breach. A financial penalty may be of such amount as the authority imposing it determines; but must not exceed £30,000.

15.2

Notwithstanding the Civil Penalty Regime under the Housing Act 2004 is not applicable to this legislation and the council shall not seek to issue a Civil Penalty Notice when enforcing the Electrical Safety Standards Regulations 2015.

15.3

The council would view the seriousness of the offence of failing to comply with (3)(b), 3(d) or 3(e) of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 as a Mild matter, attracting a financial penalty with a starting level of £2,500.

15.4    

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £2,000, attracting a civil penalty of £500.

15.5    

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £2,500.

15.6    

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors [see below, will increase by £2,000, attracting a civil penalty of £4,500.

15.7    

Aggravating features/factors specific to Electrical Safety Regulations breaches of duty

• The number and/or nature and/or extent of the Electrical Safety Regulation breach(es) within each sub-regulation. 
• Using an unqualified person lacking appropriate certification to carry out inspection, testing, investigative or remedial work. 

15.8    

Failure to comply with Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 sections (1)(a), (1)(b), (1)(c), (3)(a), (3)(c), (5)(b), (5)(c)

15.9    

The council would view the seriousness of the offence of failing to comply with (1)(a), (1)(b), (1)(c), (3)(a), (3)(c), (5)(b) or (5)(c) of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 as a Serious matter, attracting a financial penalty with a starting level of £12,500.

15.10  

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £7,500.

15.11  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £12,500.

15.12  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £17,500.

15.13

Aggravating features/factors specific to Electrical Safety Regulations breaches of duty

• The number and/or nature and/or extent of the Electrical Safety Regulation breach(es) within each sub-regulation 
• Using an unqualified person lacking appropriate certification to carry out inspection, testing, investigative or remedial work

15.14

Failure to comply with Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 sections (4), (5a), (6)

15.15

 The council would view the seriousness of the offence of failing to comply with (4), (5a) or (6) of Regulation 3 of The Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020 as a Very Serious matter, attracting a financial penalty with a starting level of £17,500.

15.16  

Under the council's policy the civil penalty for a landlord controlling/owning/managing one or two dwellings, including no more than one HMO, with no other relevant factors or aggravating features (see below), will reduce by £5,000, attracting a civil penalty of £12,500.

15.17  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a significant property portfolio, being three, four, or five dwellings, and/or two HMOs, with no other relevant factors or aggravating features (see below), will attract a civil penalty of £17,500.

15.18  

Under the council's policy, the civil penalty for a landlord controlling/owning/managing a large property portfolio, being six or more dwellings, and/or three or more HMOs and/or has demonstrated experience in the letting/management of property (irrespective of the size of the portfolio), with no other relevant factors or aggravating factors (see below), will increase by £5,000, attracting a civil penalty of £22,500

15.19

 Aggravating features/factors specific to Electrical Safety Regulations breaches of duty

• The number and/or nature and/or extent of the Electrical Safety Regulation breach(es) within each sub-regulation 
• Using an unqualified person lacking appropriate certification to carry out inspection, testing, investigative or remedial work.

15.20

 Penalty amounts will be proposed by authorised Officers and checked and confirmed by a line manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head.

16.1

The Smoke and Carbon Monoxide Alarm (England) Regulations 2015 enables the council as the local housing authority the power to issue a financial penalty under Regulation 8 where it is satisfied on the balance of probabilities that a landlord on whom it has served a remedial notice is in breach.

16.2

In determining the amount, the council will take the following into consideration:-

• Cost likely to be incurred by the council in fulfilling its administrative and legal duties by arranging for a suitable person to carry out remedial work; and
• A monetary penalty as permitted within the regulations.

Financial penalty calculator

Factor	Penalty	Amount £
Works Cost	Case specific
Officer Time	Standard Rates
Lack of any smoke detection	£4000
Partial smoke detection (e.g. on one storey only)	£2000
Lack of CO detector	£2000
Failure to Test Alarm on First Day of Tenancy	£500
TOTAL		£ (max. £5000)

16.3

The financial penalty must not exceed the maximum of £5,000.

16.4

Aggravating and Mitigating Factors:

Facts may come to light as part of the investigation for the offences which may warrant adjustments to be made to the Financial Penalty. Details of these facts will be included in the Penalty Notice. Information may be provided by the Landlord within representation as part of his request to review the Penalty Notice. Officers will have regard to the information or representations provided and adjust the penalty to increase (up to the Maximum o £5,000) or to reduce the penalty as they feel appropriate. The landlord will receive a Notice after the review with an explanation of any adjustment made.

16.5

The council does not have a prescribed list of what constitutes an aggravating or mitigating factor for these purposes, and it is not bound to deem any facts or circumstances as aggravating or mitigating, What constitutes aggravating or mitigating factors is different in every case and each case shall be given due consideration.

16.6

In accordance with Regulation 13 of The Smoke and Carbon Monoxide Alarm (England) Regulations 2015 the council will publish a statement of principles which it proposes to follow in determining the amount of penalty charge.

16.7

Penalty amounts will be proposed by authorised Officers and checked and confirmed by a line manager within Environmental Health, Private Sector Housing, Licensing or a Group Head.

17.1

Where we consider that the following criteria apply:

• there has been a conviction for failure to comply with a Statutory Notice; and
• there is no prospect of securing compliance; or
• there would be an unreasonable delay in securing compliance; or
• there has been no previous conviction but the matter is so serious that normal service of Notice and/or prosecution would pose an unreasonable delay in securing compliance; or
• the penalty for non-compliance is insufficient to deter continued non- compliance.

17.2

We will seek a High Court Injunction subject to Legal Services being satisfied of the evidence, and that it is appropriate to seek an injunction, and the Chair of the relevant Committee being consulted.  The Chair may feel it necessary to convene a special meeting of the Committee.

18.1

Officers must ensure that investigations are carried out without long delays, to ensure that any person charged with an offence is given a fair trial, in accordance with the Human Rights Act 1998.  To try to ensure that this happens, each Officer will meet with their line manager regularly (usually monthly) to discuss ongoing cases, to ensure that the next step of the investigation is taken without undue delay. 

19.1

Where powers exist to undertake work in default, these will be considered and such work can be undertaken when:

• there is a reasonable likelihood of recovering the council's costs; or
• work is needed to reduce significant fly-tipping or similar accumulation which is seriously detrimental to the neighbourhood; or
• work is required by Statutory Notice and there is a significant benefit in completing the work required in terms of protecting life or the environment; or
• work is of such small value that the cost of recovery would exceed the value of the work

19.2

In all cases work in default must be authorised by a manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head. 

19.3

However, where Statutory Notices are not complied with, it is the council's policy generally to prosecute, repeatedly if necessary, to secure compliance.

20.1

If any the circumstances listed at 20.2 apply, the Council may take steps to put the following information in the public domain: the type of enforcement that has been used, and if there is a financial penalty attached to the enforcement, the amount of penalty or fine that has been imposed. Publication may take place in any format, and in any source the Council considers appropriate.

20.2

(a) Simple Caution or Fixed Penalty Notice

After a fixed penalty notice has been issued and served, or a simple caution has been administered and both the offender has signed the simple caution as well as the officer administering the simple caution.

(b) A Civil Penalty Notice under the Housing Act 2004

Following service of a civil penalty notice

(c) Civil Penalty - Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015

Following service of a penalty notice and the expiry of the period within which the offender can request a review and no such review has been requested. If the offender did submit a request for a review in the prescribed time frame, after the council has conducted the review and has upheld the penalty notice. This also includes circumstances where the penalty notice has been waived or reduced.

(d) Civil Penalty - Electrical Safety Standards in the Private Rented Sector (England) Regulations 2020

Following service of a penalty notice

(e) Civil Penalty - Smoke and Carbon Monoxide Alarm (England) Regulations 2015

Following service of a penalty notice and the expiry of the period within which the offender can request a review and no such review has been requested. If the offender did submit a request for a review in the prescribed time frame, after the council has conducted the review and either confirmed or varied the penalty notice. 

(f) The results of court proceedings

In certain circumstances, the council will seek to raise awareness and increase compliance levels by publicising unlawful or criminal activity. Where appropriate the results of specific court cases may also be published. Information about enforcement actions may also be publicised online 

20.3

If the recipient of a civil penalty notice or fine issued pursuant to any part of this policy issues an appeal in the Tribunal, then following receipt of the Tribunal's decision, the decision itself or any information in relation to the appeal may be published. This will not be the case where reporting is restricted by a ruling of the Tribunal or a court.

20.4

The council is not bound to publish the fact that a civil penalty, fine or any other enforcement action has been taken, but it retains the right to do so in any format and using any source it considers appropriate.

20.5

The council has included in this policy the provision for putting information in the public domain with the expected outcome of deterring serial offending and offences of a serious nature. It is also in the public interest to alert others who might be affected by these offenders and to raise awareness of the council's enforcement and regulatory activities.

21.1

Wherever possible the council will seek to recover the full costs of enforcement action from those who were responsible for the contravention. This will include seeking to recover costs following prosecutions but will also include making a charge for the service of formal enforcement notices, where legislation exists to facilitate this.

21.2

Action will also be considered in cases where the offender has benefited from the commission of an offence(s). The purpose is to recover the financial benefit obtained. Proceedings are conducted according to the civil standard of proof after a conviction has been obtained.

21.3

In certain cases, a financial investigation may be undertaken by an Accredited Financial Investigator, to determine if action under the Proceeds of Crime Act 2002 is appropriate following prosecution. The findings of a financial investigation may also be used to inform the decision on whether to pursue enforcement of certain offences by means of prosecution or by means of civil penalties. 

22.1

In addition to the powers provided by the Housing Act 2004 to apply Rent Repayment Orders (RROs) in regard to offences related to HMOs as outlined at section 73 and 74 of Housing Act 2004, the Housing and Planning Act 2016 extended the power to apply RROs in respect of the following offences; 

• Failure to comply with an Improvement Notice under Section 30 of the Housing Act 2004 
• Failure to comply with a Prohibition Order under Section 32 of the Housing Act 2004 
• Breach of a banning order made under Section 21 of the Housing and Planning Act 2016 
• Using violence to secure entry to a property under Section 6 of the Criminal Law Act 1977 
• Illegal eviction or harassment of the occupiers of a property under Section 1 of the Protection from Eviction Act 1977

22.2

A criminal standard of proof is required. The council must apply to the First Tier Property Tribunal for an RRO and can claim up to a maximum of 12 months' rent paid via either housing benefit or universal credit. 

22.3

The council will use this where appropriate and having regard to the published guidance.

23.1

To encourage landlords/licensees to submit applications for licenses in good time and before officers discover them through investigative work or complaints received a penalty regime will be in place as detailed below:

Reduced licence periods

Application submitted within 3 months of commencement of an additional HMO Licensing Scheme	Licence issued for 5 year duration
Application submitted after 3 months of the commencement date of the additional HMO licensing scheme but prior to investigation and/or contact by Private Sector Housing team	Licence issues for 3 years
Application submitted after 3 months of the commencement date of the additional HMO licensing scheme but after investigation and/or contact by Private Sector Housing Team	Licence issued for 2 year duration
Application where a property is found to have been operating without a licence under the mandatory HMO licensing scheme for more than 3 months following receipt of a complaint or as a result of other investigations	Licence issued for 1 year duration

23.2

The responsible person may also be subject to enforcement action, for example prosecution or a civil penalty notice.

24.1

Documents related to this policy include:

i. The Code for Crown Prosecutors, Jan 2013 (available from www.cps.gov.uk)

ii. Criminal Procedure and Investigations Act 1996 (CPIA) and associated Code.

iii. Police & Criminal Evidence Act 1984 (PACE), and associated Codes.

iv. DEFRA guidance on use of Fixed Penalty Notices

v. Regulation of Investigatory Powers Act 2000 and associated Codes

vi. The Regulators' Code

vii. Procedure and guidance notes within each team.

viii. Housing and Planning Act 2016 Section 126 and schedule 9.

Amendment Log

Amendment Log

Date	Name	Amendment
09 March 2022	Nat Slade, Group Head of Technical Services	Restricting issuing of civil penalties and fixed penalty notices that are authorised by a manager to those regimes where there is a maximum penalty of £5,000. Removing references to Cabinet Member and replacing where appropriate with Committee Chair or Section 151 Officer.
21 March 2024	Nat Slade, Group Head of Technical Services	Amendment to paragraph 3.5 to reflect that where reasonably practicable licenses, registrations and approvals should be peer reviewed.
August 2025	Nat Slade Group Head of Technical Services	Removing references to Enforcement Review Panel, following Full Council agreement on 16 July 2025 that it should be disbanded from 1 September 2025. A new agreed process for authorising prosecutions has been added

 

25.1    

Local or National Emergencies such as flooding or a pandemic may require the Local Authority to adopt a more pragmatic approach to enforcement reflecting the wider public interest. In such circumstances there may be other overriding public safety issues which need to be considered prior to determining whether or not the public interest is served in commencing enforcement actions. Notwithstanding the principles of this Policy will still be followed and any reasons for departure clearly recorded. Such actions may include but are not limited to:

• extending compliance periods due to an acknowledgement of the practical difficulties in complying within usual timeframes
• providing additional advice, guidance or warnings prior to initiating enforcement actions
• using a lesser form of enforcement action or notice than would usually be undertaken, for example seeking improvement rather than prohibition
• delaying or postponing a decision regarding the most appropriate enforcement action to be taken
• prioritising other enforcement or actions based on public risk

25.2    

In making such decisions officers will adopt a risk-based approach which takes into account the prevailing priorities of any emergency and the impacts of any action proposed. This may include a necessity to take a higher level of enforcement action. 

26.1    

The Policy will be reviewed periodically by managers within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities and Building Control. Views on the Policy and its implementation will be sought to ensure it continues to meet the principles of good enforcement. 

26.2    

The review in April 2014 has taken account of the replacement of the Regulators' Compliance Code by the Regulators' Code, and changes to the Regulation of Investigatory Powers Act 2000 codes of practice.

26.3    

The review in September 2016 took account of the Review of delegations and to the Licensing Committee Terms of Reference.

26.4    

The review in November 2018 took account of additional enforcement options which included civil penalty notices for Housing Act 2004 offences, Community Protection Warnings and Notices and changes to the structure of the council.

26.5    

In April 2020 the “Emergencies” Section was added.

26.6    

Review in January 2022 adding additional civil penalties and clarifications.

26.7    

Review in March 2024 changes made to paragraph 3.5 to reflect that where reasonably practicable licences, registrations and approvals should be peer reviewed.

26.8    

Review in September 2025 to remove references to Enforcement Review Panel following Full Council agreement on 16 July 2025 that it should be disbanded from 1 September 2025. A new agreed process for authorising prosecutions were added.

26.9    

Review in November 2025:

• Added Communities Team and Building Control
• Introduction of a new agreed process for authorising prosecutions
• Amendments to the matrix for issuing civil penalty notices
• Changes to the service of statutory notice process and review
• New Sections:
  • Directors
  • Publishing the results of court proceedings
  • Offence of obstructing
  • Community Protection Notices
  • Use of Body Worn Video Cameras
  • Proceeds of Crime Act 2002 - Recovering the cost of enforcement action
  • Rent Repayment orders
  • HMO Licensing - Reduced Licensing Periods
  • Appendix of offences for which fixed penalty notices can be issued, and their amounts
• Further clarification and simplification of the language and wording within the document.

24.1    

Documents related to this policy include:

• The Code for Crown Prosecutors, Oct 2018 (available from: www.cps.gov.uk)
• Criminal Procedure and Investigations Act 1996 (CPIA) and associated Code.
• Police & Criminal Evidence Act 1984 (PACE), and associated Codes.
• DEFRA guidance on use of Fixed Penalty Notices
• Regulation of Investigatory Powers Act 2000 and associated Codes
• The Regulators' Code
• Procedure and guidance notes within each team.
• Housing and Planning Act 2016 Section 126 and schedule 9.

Fixed penalty notices

Offence	Legislation	Existing FPN amount	Recommended FPN amount	Recommended discounted amount if paid within time specified	Maximum permitted FPN	Max Penalty on conviction in court
Littering	Environmental Protection Act 1990	£80 £50 within 10 days	£250	£150 if paid within 14 days	£500	£2,500
Littering from vehicle	Environmental Protection Act 1990     The Littering from Vehicles Outside London (Keepers: Civil Penalties) Regulations 2018	Not specifically stated	£300, if not paid within 28 days  (legislated must double)	£200 if paid within 28 days	Civil Penalty - maximum amount is the same as the amount specified for the criminal fixed penalty for leaving litter (£500). If the penalty is not paid within 28 days, and the recipient has not made any representation against the penalty notice, the amount doubles.	Civil Penalty if unpaid is recovered via Traffic Enforcement Centre
Fly-tipping and waste deposit offences	Environmental Protection Act 1990 (s33)	£400 £250 if paid within 10 days	£1,000	£600 if paid within 10 days	£1,000  but not less than £150. £200 if not specified. Minimum discounted amount £120. Costs incurred by the council can be recovered in addition to the FPN.	£50,000 and up to 1 year imprisonment (summary) or Unlimited and/or up to 5 years imprisonment (indictment)
Commercial waste receptacles (Duty of care)	Environmental Protection Act 1990 (s47)	Not specified	£110	£85 if paid within 10 days	£110  (Min full penalty £75 min discounted £60	£1,000
Commercial waste (Duty of care)	Environmental Protection Act 1990 (s34)	£400 £250 if paid within 10 days	£600	£350 if paid within 10 days	£600	Unlimited fine
Domestic waste receptacle offences	Environmental Protection Act 1990 (s46)	£100 £60 if paid within 10 days	£100	£60 if paid within 10 days	£100  (Min full penalty £60)	£1,000
Unauthorised distribution of printed matter	Environmental Protection Act 1990	£80 £50 if paid within 10 days	£150	£115 if paid within 10 days	£150	£2,500
Vehicles for sale on the highway	Clean Neighbourhoods and Environment Act 2005	Not specified	£100	Penalty not reduced	£100	£2,500
Repairing vehicles on the highway	Clean Neighbourhoods and Environment Act 2005	Not specified	£100	Penalty not reduced	£100	£2,500
Abandoning a vehicle	Refuse Disposal (Amenity) Act 1978	£200 £120 paid within 10 days	£200	£120 if paid within 10 days	£200	£2,500,  Second offence £2,500 and/or 3 months imprisonment
Graffiti	Environmental Protection Act 1990    Anti-Social Behaviour Act 2003	£80 £50 within 10 days	£250	£180 if paid within 10 days	£500  Default if not specified is £100 minimum permitted £65 min discounted £50	£1,000    Criminal Damage Offences can attract imprisonment
Fly-posting	Environmental Protection Act 1990	£80 £50 within 10 days	£250	£150 if paid within 10 days	£500  Default if not specified is £100 minimum permitted £65 min discounted £50	£1,000
Household waste duty of care	Environmental Protection Act 1990 (s34)	Not specified	£400	£300 if paid within 14 days	£600  (min full penalty £150, min discounted £120)	Unlimited
Not producing waste documents	Environmental Protection Act 1990 s34(5)(6)(a)	£300 £180 if paid within 10 days	£300	£225 if paid within 14 days	£400	£5,000
Failure to produce authority to transport waste	Environmental Protection Act 1990 s5/s5(b)	£300 £180 if paid within 10 days	£300	£225 if paid within 14 days	£300	£5,000/indictment unlimited
Failure to comply with Community Protection Notice (CPN)	Anti-social Behaviour, Crime and Policing Act 2014	£100 no discount offered for early payment	£100	Penalty not reduced	£100	£2500 (individual)
Breach PSPO - alcohol restriction	Anti-social Behaviour, Crime and Policing Act 2014	£100	£100	£75 if paid within 14 days#	£100	£500
Breach PSPO ASB likely to cause nuisance, harassment, alarm or distress	Anti-social Behaviour, Crime and Policing Act 2014	£100	£100	£75 if paid within 14 days#	£100	£1,000
Dog fouling	Anti-social Behaviour, Crime and Policing Act 2014	£100  £75 within 14 days	£100	£75 if paid within 14 days#	£100	£1,000
Dog not on lead by direction	Anti-social Behaviour, Crime and Policing Act 2014	£100	£100	£75 if paid within 14 days#	£100	£1,000
Dog not on lead on specified land	Anti-social Behaviour, Crime and Policing Act 2014	£100	£100	£75 if paid within 14 days#	£100	£1,000
Dog Exclusion	Anti-social Behaviour, Crime and Policing Act 2014	£100	£100	£75 if paid within 14 days#	£100	£1,000
Nighttime Noise	Noise Act 1996    The Environmental Offences (Fixed Penalties) (England) Regulations 2017	Not specified	£110	£75 if paid within 7 days	£110  (Lesser amount minimum £75)	£1,000
Nighttime noise - other premises	Noise Act 1996	Not specified	£500	£300 if paid within 7 days	£500	Unlimited
Animal Licensing	Animals (Penalty Notices) Act 2022	Not specified	To be determined by an authorised officer and manager	50% of determined level if paid within 14 days#	Maximum £5,000, or the maximum fine for which a person convicted of the offence is liable on summary conviction, whichever is lesser.   50% discount if paid within 14 days.   -FPN amount subject to assessment of matters to be taken into account under section 4 and   Statutory guidance on the use of penalty notices for animal health and welfare offences - GOV.UK	Varies by enactment up to for example;    £1000 or £2500 depending on offence; Zoo Licensing Act 2001    Unlimited; Dangerous Wild Animals Act 1976
Smoke free - smoking in a smoke-free place	Health Act 2006; The Smoke-free (Penalties and Discounted Amounts) Regulations 2007	Not specified	£50*	£30* if paid within 15 days#	£50*  Discounted amount £30* within (15 days#)	£200
Smoke free- fail to display correct no-smoking signage	Health Act 2006; The Smoke-free (Penalties and Discounted Amounts) Regulations 2007	Not specified	£200*	£150* if paid within 15 days#	£200*  Discounted amount £150* within (15 days#)	£1000
Smoke free- Smoking in a smoke free vehicle	Health Act 2006; The Smoke-free (Vehicle Operators and Penalty Notices) Regulations 2007	Not specified	£50*	£30* if paid within 15 days#	£50*  Discounted amount £30* within (15 days#)	£200
Smoke free- fail to display no smoking sign - vehicles	Health Act 2006; The Smoke-free (Penalties and Discounted Amounts) Regulations 2007	Not specified	£200*	£150* if paid within (15 days#)	£200*  Discounted amount £150* within (15 days#)	£1000

* Denotes where a fixed FPN amount is specified and the Local Authority does not have discretion to set the level 
# Denotes statutory time limit for discounted amount 
The maximum penalty amount will apply to any fixed penalty notices not listed above, with discounted amounts only as specifically legislated. 

The payment of a FPN for an offence committed means the council cannot prosecute for that offence. The monetary value of FPNs cannot be reduced in any circumstances, they are fixed. The council will not accept part payments or enter into payment plans for FPNs, except for juveniles.