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 case officer. 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 the case officer. The Disclosure Officer will examine retained material 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 nor, 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 is deciding whether formal enforcement action should be instigated, they type of formal action that should be instigated, and 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 the 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.

Requests for extensions to formal notice compliance dates must be in writing with appropriate reasons and representations. These will be considered by an authorised officer and the decision provided in writing.

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 officers 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 the common 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

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. 

11.4.1

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.

11.4.2

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.

11.4.3

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.

11.4.4

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.

11.4.5

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.

11.4.6

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

Certain legislation enables the council, as the local housing authority  the power to issue a financial penalty.

13.2

The following breaches are subject to a civil penalty with a statutory maximum of £7,000: 

• Failure to give a written statement of terms and any other prescribed information under section 16D of the Housing Act 1988. 
• Attempting to let a property for a fixed term under section 16E of the Housing Act 1988. 
• Attempting to end a tenancy by service of a notice to quit under section 16E of the Housing Act 1988. 
• Attempting to end a tenancy orally or requiring that it is ended orally under section 16E of the Housing Act 1988. 
• Serving an eviction notice that attempts to end a tenancy outside the prescribed section 8 process under section 16E of the Housing Act 1988. 
• Relying on a ground where the landlord does not reasonably believe that the landlord is/will be able to obtain possession under section 16E of the Housing Act 1988. 
• Failing to provide a tenant with prior notice that a ground which requires it may be used under section 16E of the Housing Act 1988. 
• Failure to give an existing tenant prescribed information about changes made by the Renters' Rights Act 2025 in the prescribed form and timeframe under paragraph 7(2) of schedule 6 to the Renters' Rights Act 2025. 
• Discrimination relating to children in the lettings process under section 33 of the Renters' Rights Act 2025. 
• Discrimination relating to benefits in the lettings process under section 34 of the Renters' Rights Act 2025. 
• Failure to specify proposed rent within a written advertisement or offer under section 56 of the Renters' Rights Act 2025. 
• Inviting, encouraging or accepting any offer of rent greater than the stated rate under section 56 of the Renters' Rights Act 2025. 

13.3

The following breaches are subject to a civil penalty with a statutory maximum of £40,000: 

• Breach of duty under Regulation 3, 3B, 3C, and 3D of The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector (England) Regulations 2020. 

13.4    

The following offences are subject to a civil penalty with a statutory maximum of £40,000: 

• Unlawful eviction and harassment of occupier under section 1 of the Protection from Eviction Act 1977. 
• Continuation of conduct subject to a relevant penalty (under s.16I or s.16K Housing Act 1988) after the 28-day period (or, if appealed, after conclusion of the appeal) where the final notice has not been withdrawn under section 16J of the Housing Act 1988 
• Conduct giving rise to liability under s.16I, where within the preceding five years the landlord has either (i) had a relevant penalty (under s.16I or s.16K Housing Act 1988) imposed for different conduct and the final notice has not been withdrawn, or (ii) been convicted under s.16J for different conduct under sec on 16(J) of the Housing Act 1988. 
• Relying on a ground knowing the landlord would not be able to obtain possession or being reckless as to whether they would under section 16J of the Housing Act 1988. 
• Breach of restrictions relating to reletting (s16(E)(2) Housing Act 1988) or remarketing (s16(E)(3) Housing Act 1988) a property within restricted period after using Grounds 1 or 1A of Schedule 2 Housing Act 1988 under section 16J of the Housing Act 1988. 
• Breach of a banning order under section 21 of the Housing and Planning Act 2016. 
• Failure to comply with an Improvement Notice under section 30 of the Housing Act 2004. 
• Contravention of an overcrowding notice under section 139 of the Housing Act 2004. 
• Failure to obtain a selective licence under section 95 of the Housing Act 2004. 
• Failure to obtain an HMO licence under section 72 of the Housing Act 2004. 
• Knowingly permitting over-occupation of an HMO under sec on 72 of the Housing Act 2004. 
• Failure to comply with management regulations in respect of HMOs under section 234 of the Housing Act 2004. 
• Failure to comply with HMO licence conditions under section 72 of the Housing Act 2004. 
• Failure to comply with selective licence conditions under section 95 of the Housing Act 2004. 

13.5    

The following offences are subject to a civil penalty with a statutory maximum of £5,000:

• Prohibition on letting sub standard property Regulation 23 and 27 of The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015
• Providing false or misleading information on the Private Rented Sector (PRS) Exemption Register Regulation 36(2) of The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015
• Failure to comply with a compliance notice Regulation 37 (4)(a) of The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015
• Failure to comply with a remedial notice served under The Smoke and Carbon Monoxide Alarm (England) Regulations 2015

13.6    

The following offences are subject to a civil penalty with a statutory maximum of £30,000

• Failure to comply with Regulation 3 of The Electrical Safety standards in the Private Rented Sector (England) Regulations 2020

13.7

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.

13.8

If there is more than one offender 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.

13.9

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.

13.10

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.

13.11

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.

13.12

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

13.13

Where the recipient of a civil penalty notice fails to pay a civil penalty fee, the council will refer the case to the county court. The council shall submit an application requesting permission to enforce the civil penalty notice. The court will then likely issue a judgement for the civil penalty fee. If necessary, the council may  instruct the county court bailiffs to enforce the judgement  and recover the debt. The court may add additional costs onto the amount payable to the council.

13.14

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

13.15

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.

13.16

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.

13.17

Penalty amounts will be proposed by authorised Officers and checked and confirmed by the Penalty Enforcement Panel which will consist of the Principal Environmental Health Officer and HMO Team Leader or alternatively a line manager from within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head as an alternative to one of the aforementioned officers. Advice will be sought from the Legal Services Team prior to service of the Notice of intent.

13.18

In determining the level of a civil penalty, officers will have regard to the process and procedure set out in Appendix 2 of this policy.

14.1

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.

14.2

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.

15.1

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. 

16.1

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

16.2

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. 

16.3

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

17.1

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.

17.2

(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/Renters Rights Act 2025/Housing Act 1988/Protection from Eviction Act 1977/Housing and Planning Act 2016

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 

17.3

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.

17.4

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.

17.5

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.

18.1

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.

18.2

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. An investigation could be commenced before the initial plea and case management hearing takes place.

18.3   

The council may instigate a proceeds of crime application should an offender plead guilty, or they are found guilty of a crime.

18.4

The council shall seek to recover all reasonable costs from any offender who is found guilty of an offence. The costs will include the following:       

a. Costs of the investigation including officer time

b. The council's solicitor's fees incurred as a result of the prosecution

c. Fees of counsel, or any other legal professional in relation to the prosecution

d. Costs of other agencies or companies who conduct work for the council as part of the investigation or prosecution

19.1

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, as amended by the Renters Rights Act 2025, 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
• Knowingly or recklessly misusing a possession ground Housing Act 1988 Section 16J(1)
• Breach of restriction on letting or marketing dwelling house Housing Act 1988 Section 16J(2)
• Tenancy Reform: continuing breaches Housing Act 1988 section 16J(3)
• Landlord redress schemes: continuing breaches Renters Rights Act 2025 section 67 (1)
• Private rented sector database: provision of false or misleading information Renters Rights Act 2025 section 92 (1)
• Private rented sector database: continuing breaches Renters Rights Act 2025 section 92(2)

19.2

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 24 months' rent paid via either housing benefit or universal credit. 

19.3

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

20.1

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.

Additional HMO Licensing

Table Caption

A valid and complete application submitted within 3 months of commencement of an additional HMO Licensing Scheme, or a property falling within the scope of the scheme	Licence issued for up to a maximum five year duration
A valid and complete application submitted where a property is found to have been operating as an Additional HMO licensing scheme HMO (including s257 HMOs) without a licence for more than three months.	Licence issued with reduced duration (1-4 years)
A valid and complete application submitted where a property is found to have been operating as an Additional HMO licensing scheme HMO (including s257 HMOs) without a licence for more than one year.	Licence issued for one year duration
Where a licensable property is found to have been operating in breach of Management regulations or other Housing related legislation.	Licence issued with reduced duration (1-4 years)

Mandatory HMO Licensing

Table Caption

A valid and complete application submitted within 3 months of the property becoming licensable	Licence issued for up to a maximum five year duration
A valid and complete application submitted where a property is found to have been operating without a licence under the mandatory HMO licensing scheme for more than three months	Licence issued for one year duration
Where a licensable property is found to have been operating in breach of Management regulations or other Housing related legislation.	Licence issued with reduced duration (1-4 years)

20.2

The responsible person may also be subject to enforcement action, for example prosecution or issuing of a civil penalty notice (CPN). They may also be subject to a Rent Repayment Order.

20.3

A valid and complete application is one where the applicable fee has been paid and all the required documentation has been submitted.

21.1

In the event that any court case is lost in full or in part (i.e. dismissed with or without costs) the following action needs to be taken:

(i) A review of the case will be undertaken by a manager within Environmental Health, Private Sector Housing, Licensing, Cleansing, Communities, Building Control or a Group Head, a representative of Legal Services and the case officer(s) to identify difficulties and learning points.  As part of any review the possibility of appeal will be considered if it is appropriate.

(ii) In considering the value of an appeal the following needs to be evaluated:

a) the likelihood of the council being able to establish a valid ground of appeal

b) the extent of new evidence available 

c) the potential benefits of securing a conviction on appeal;

d) the likely costs of any appeal.

e) Whether it is in the interest of the public and/or the council to pursue an appeal.

(iii) In determining whether to appeal a judgement, Counsel's advice may       be sought.

(iv) Officers, in consultation with the Chairman/Vice Chairman of the Licensing Committee will make the decision about whether to appeal. 

22.1    

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

22.2    

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. 

23.1    

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. 

23.2    

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.

23.3    

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

23.4    

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.

23.5    

In April 2020 the “Emergencies” Section was added.

23.6    

Review in January 2022 adding additional civil penalties and clarifications.

23.7    

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

23.8    

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 was added.

23.9    

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.

23.10

Review in September 2026 to incorporate changes introduced by the Renters Rights Act, significantly around the service of civil penalty notices.

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.
• Statutory Guidance - Civil Penalties under the Renters Rights Act 2025 and other Housing Legislation (published 13 November 2025)

Table Caption

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.
1 September 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.
18 November 2025	Environment Committee	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

Fixed penalty notices

Offence	Legislation	Adopted FPN amount	Recommended discounted amount if paid within time specified	Maximum permitted FPN	Max Penalty on conviction in court
Littering	Environmental Protection Act 1990	£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	£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)	£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)	£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)	£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  (Min full penalty £60)	£1,000
Unauthorised distribution of printed matter	Environmental Protection Act 1990	£150	£115 if paid within 10 days	£150	£2,500
Vehicles for sale on the highway	Clean Neighbourhoods and Environment Act 2005	£100	Penalty not reduced	£100	£2,500
Repairing vehicles on the highway	Clean Neighbourhoods and Environment Act 2005	£100	Penalty not reduced	£100	£2,500
Abandoning a vehicle	Refuse Disposal (Amenity) Act 1978	£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	£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	£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)	£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	£225 if paid within 14 days	£400	£5,000
Failure to produce authority to transport waste	Environmental Protection Act 1990 s5/s5(b)	£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	Penalty not reduced	£100	£2500 (individual)
Breach PSPO - alcohol restriction	Anti-social Behaviour, Crime and Policing Act 2014	£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	£75 if paid within 14 days#	£100	£1,000
Dog fouling	Anti-social Behaviour, Crime and Policing Act 2014	£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	£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	£75 if paid within 14 days#	£100	£1,000
Dog Exclusion	Anti-social Behaviour, Crime and Policing Act 2014	£100	£75 if paid within 14 days#	£100	£1,000
Nighttime Noise	Noise Act 1996    The Environmental Offences (Fixed Penalties) (England) Regulations 2017	£110	£75 if paid within 7 days	£110  (Lesser amount minimum £75)	£1,000
Nighttime noise - other premises	Noise Act 1996	£500	£300 if paid within 7 days	£500	Unlimited
Animal Licensing	Animals (Penalty Notices) Act 2022	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	£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	£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	£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	£200*	£150* if paid within (15 days#)	£200*  Discounted amount £150* within (15 days#)	£1000

If an FPN is paid in full, within the specified timeframe, the council will not prosecute the recipient of the FPN for the  offence which resulted in the FPN being issued.. The monetary value of FPNs cannot be reduced in any circumstances, they are fixed. As a general rule the council will not accept part payments or enter into payment plans for FPNs, except for juveniles or where exceptional circumstances can be demonstrated or evidenced. 

1.1 This applies once the Council has made a decision to commence civil penalty proceedings.

1.2 The term 'landlord' should be read as including letting agents, managing agents, licensors, property owners, corporate landlords, directors of corporate landlords, registered providers of social housing and any other person involved in the letting or management of accommodation.

1.3 The term 'corporate landlord' should be read as referring to a body corporate that meets the definition of 'landlord' above.

1.4 The terms 'House in Multiple Occupation' or 'HMO' are defined by the Housing Act 2004.

1.5 If a landlord has committed multiple breaches or offences, a separate civil penalty can, and usually will, be imposed for each breach and offence. In each case, the level of any civil penalty imposed will be determined in accordance with this policy.

1.6 If multiple landlords have committed the same breach or offence at the same property, a separate civil penalty can, and usually will, be imposed on each offender. In each case, the level of civil penalty imposed on each offender will be in accordance with this policy. 

1.7 This policy outlines the Council's methodology and mechanism for assessing and setting the level of a civil penalty at all stages where a civil penalty is under consideration, including the preparation of a notice of intent, and where a final decision has been made to impose a civil penalty.

1.8 When applying the civil penalties matrix, interim calculations at individual stages may result in figures that exceed the statutory maximum. Where the final amount reached following application of all relevant steps exceeds the statutory maximum, the civil penalty will be reduced to the applicable statutory maximum.

1.9 The Council considers the need for transparency and consistency to be of primary importance to ensure fairness in the discharge of its functions. The general objective of this policy is, therefore, to promote both transparency and consistency in the imposition of financial penalties so that those involved in the letting or management of accommodation (a) know how the Council will generally penalise relevant breaches and offences and (b) are assured that, generally, like cases will be penalised similarly, and different cases penalised differently. The council reserves the right to exercise its discretion in all cases. Each case will have is own unique facts and circumstances which should be duly considered.

1.10 The Council recognises that, despite its best efforts, landlords may operate unlawfully for a significant period without detection, and that only a proportion of those committing relevant breaches and offences will be identified. Accordingly, the Council seeks to ensure that civil penalties are set at a level that makes it clear to the landlord concerned and to others that operating unlawfully as a landlord is financially disadvantageous when compared to operating lawfully.

1.11 The Council has a duty to act fairly, transparently and consistently when assessing civil penalties. To maintain fairness between all landlords, the Council will not give weight to claims advanced as factors that might reduce the amount of a civil penalty unless those claims are supported by evidence that the Council reasonably considers to be relevant, reliable, credible, and sufficient in scope and detail to enable proper assessment of the claim, having regard to the nature of the claim, the information ordinarily available to the landlord, and the need for consistent and fair decision making. Allowing inadequately evidenced assertions to influence outcomes would risk rewarding those who provide incomplete or misleading information and would create an unfair advantage over landlords who provide a full and properly evidenced account. Accordingly, the Council expects landlords against whom a civil penalty is being considered to provide all documents and records that would ordinarily exist if their account were accurate. Where such evidence is not provided, and no explanation that the Council considers adequate is given, the Council may draw an adverse inference. 

1.12 Where claims are advanced without sufficient supporting evidence, the Council may request specified supporting material before determining whether to issue a final notice or whether any mitigation has been sufficiently evidenced so as to justify a lower civil penalty.

1.13 The further objectives of using financial penalties in particular as a means of enforcing the above breaches and offences are explained below.

2.0 Statutory Guidance

2.1 The Government has issued statutory guidance entitled “Civil penalties under the Renters' Rights Act 2025 and other housing legislation”. The Council has regard to this guidance in the exercise of their functions in respect of civil penalties.

2.2 The Council has considered the following factors in developing this policy to help ensure that the civil penalty is set at an appropriate level.

• Severity of the breach or offence. The more serious the breach or offence, the higher the penalty should be.  
• Culpability and track record of the offender. A higher penalty will be appropriate where the offender has a history of failing to comply with their obligations and/or their actions were deliberate and/or they knew, or ought to have known, that they were in breach of their legal responsibilities.  
• The harm caused to the tenant. This is a very important factor when determining the level of penalty. The greater the actual harm or the potential for harm, principally to the tenant but also potentially the local community, the higher the penalty should be.
• Punishment of the offender. The penalty should, in a way that is fair, both punish the offender and demonstrate the consequences of not complying with their responsibilities.   
• Deter the offender from repeating breaches or offences. The ultimate goal is to prevent any further offending and help ensure that the offender fully complies with all of their legal responsibilities in the future. The level of the penalty should therefore be set at a level that it is likely to have a very significant deterrent effect.
• Deter others from committing similar breaches or offences. While the fact that someone has received a civil penalty may not be in the public domain, the enforcement policy itself will be and local authorities should consider how their formal enforcement activity can be effectively publicised.
• An important part of deterrence is the realisation on the part of landlords that the local housing authority is proactive in levying civil penalties where the need to do so exists and the civil penalty will be set at a high enough level such that operating lawfully will be the sensible financial choice.
• Remove any financial benefit the offender may have obtained as a result of committing the breach or offence. The principle here is that it should not be in the offender's financial interest to commit a breach or offence rather than comply, for example that the penalty for breaching licensing conditions in respect of occupancy of a property is less than the additional rent received as a result of the overcrowding. The absence of any financial benefit to the landlord does not mean though that the penalty should be reduced. 

3.0 Civil Penalties Matrix

3.1 In determining the level of a civil penalty, officers will have regard to the matrix set out below. The matrix consists of the following sequential steps:

• Determining the starting point based on the seriousness of the breach or offence
• Adjustment for factors relating to the type of landlord; size and type of portfolio controlled, owned or managed; experience of the landlord (“Landlord Type”)
• Mitigating and aggravating 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
• Financial considerations
• Applying the totality principle
• Applying any early payment discount

4.0 Starting point based on seriousness of the breach or offence

4.1 The Ministry of Housing, Communities & Local Government has provided statutory guidance that prescribes starting points for all breaches and offences based on the seriousness of the breach or offence. The exception to this prescription is for breaches of licensing conditions under sections 72(3) where the Council has determined its own starting levels based on the seriousness of the specific licence condition or type of licence condition that has not be complied with.

5.0 Adjustment for factors relating to the type of landlord; size and type of portfolio controlled, owned or managed; experience of the landlord (“Landlord Type”)

5.1 While all landlords are expected to comply fully with their legal obligations, the Council considers that a higher standard of professionalism and regulatory awareness is reasonably expected of landlords who operate at greater scale, who have greater experience, or who are involved in more complex forms of letting. Where such landlords fail to comply with their obligations, this will ordinarily justify a higher civil penalty.

5.2 In particular, a higher degree of professionalism is expected of landlords who:

• Control, own, or manage a significant portfolio of properties;
• Have significant experience in the letting or management of property;
• Are or have been involved in the letting or management of Houses in Multiple Occupation (HMOs);
• Are corporate landlords; or
• Are or have been directors of corporate landlords

5.3 An upward adjustment of 20% of the applicable starting point will be applied where the landlord meets any one or more of the following criteria:

• The landlord has, at any point in time, controlled, owned, or managed six or more properties. These properties need not have been held concurrently or at the time civil penalty proceedings are brought
• The landlord has, at any point in time, controlled, owned, or managed three or more properties that operated as HMOs, whether or not concurrently
• The landlord is, or has previously been, a director of a corporate landlord
• The landlord is a corporate landlord
• The landlord has, in the Council's assessment and by reference to the available evidence, significant experience in the letting or management of property

5.4 A downward adjustment of 20% of the applicable starting point will be applied only where all of the following criteria are met:

• The landlord has, at any point in time, controlled, owned, or managed no more than two properties
• The landlord has controlled, owned, or managed no more than one property that has operated as an HMO, at any point in time
• The landlord has, in the Council's assessment and by reference to the available evidence, very limited experience in the letting or management of property

6.0 Mitigating and aggravating 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

6.1 To promote fairness and consistency in the administration of civil penalties, the Council will apply a structured and consistent framework when determining the extent to which mitigating and aggravating factors affect the quantum of any civil penalty.

7.0 General approach

7.1 Each breach or offence may have offence-specific mitigating and/or aggravating factors, which will be considered alongside the generic factors set out below.

7.2 Where multiple civil penalties are issued under this policy against the same landlord at the same time, and except where expressly stated otherwise, mitigating and aggravating factors will be considered and applied separately to each civil penalty when determining the quantum of each penalty.

8.0 Mitigating factors

8.1 The Council may reduce the level of a civil penalty by up to 20% of the applicable starting point to reflect the presence of mitigating factors.

8.2 Only in exceptional circumstances may the Council depart from the application of this policy in respect of mitigating factors and apply a reduction in excess of 20%. Exceptional circumstances are rare and unusual and are not established merely by the presence of multiple mitigating factors.

8.3 Within the framework of this policy, the Council has not sought to provide an exhaustive list of mitigating factors, recognising that a wide range of circumstances may potentially give rise to mitigation. However, the following generic mitigating factors will be considered in respect of each breach or offence:

8.4 Steps taken to remedy the basis of the breach or offence

Non-exhaustive examples include:

• Promptly remedying all elements of the breach or offence after receiving communication from the Council.
• Promptly remedying all the significant elements of the breach or offence leaving only less significant elements of the breach or offence.

8.5 A high level of cooperation

Non-exhaustive examples include:

• Proactive provision of significant information the Council reasonably considers relevant beyond that required by statutory notice.

8.6 Acceptance of liability

Non-exhaustive examples include:

• Accepting liability before or within the period for representations.
• Where a landlord relies on a reasonable excuse defence or otherwise contests liability, this mitigating factor will not usually apply.

8.7 Health circumstances

Non-exhaustive examples include:

• A serious health condition or medical incident experienced by the landlord during, or in the period immediately preceding, the breach or offence, where there is clear and reliable evidence that the condition had a direct and material impact on the landlord's ability to comply with the relevant legal obligation. Examples may include, but are not limited to, a heart attack, stroke, cancer diagnosis, or other acute or serious medical event causing significant incapacity or impairment. This does not include long term medical conditions which do not impact the ability of the landlord to engage with the council, or instruct another entity to engage with the council and take action.

8.8 Diminished culpability (limited responsibility)

Non-exhaustive examples include:

• A joint landlord who has evidenced that compliance arrangements for the subject property were directed and controlled by another joint landlord, and not by them. (This is not applicable if the landlord, without control, had knowledge of the offending, but failed to take action to remedy the offending).
• A landlord who became involved only after an unforeseen change in circumstances (such as the death of the previous landlord) and who committed the breach or offence only for a limited period while putting their affairs in order.

8.9 The instruction of a managing or letting agent, or reliance on an agent's actions or omissions, will not of itself constitute diminished culpability.

9.0 Aggravating factors

9.1 The Council may increase the level of a civil penalty by up to 20% of the applicable starting point to reflect the presence of aggravating factors.

• 9.2 Only in exceptional circumstances may the Council depart from the application of this policy in respect of aggravating factors and apply an increase in excess of 20%. Exceptional circumstances are rare and unusual and are not established merely by the presence of multiple aggravating factors.

9.3 The following generic aggravating factors will be considered in respect of each breach or offence:

9.3.1 Previous history of non-compliance.

Non-exhaustive examples include:

• Previous successful prosecutions (including relevant spent convictions), previous civil penalties, previous rent repayment orders, previous works in default, previous simple cautions. 
• Concurrent investigations or proceedings relating to other civil penalties, prosecutions, or rent repayment orders will not be treated as previous non-compliance.

9.3.2 Non-cooperation with the Council.

Non-exhaustive examples include:

• Failure to comply with notices issued under section 16 of the Local Government (Miscellaneous Provisions) Act 1976, section 235 of the Housing Act 2004, or section 114 of the Renters' Rights Act 2025.
• Failing to respond to correspondence from the council in any format, without justification. (The Council will determine whether there is justification, or not using the facts and evidence available).
• Failing to attend previously agreed meetings or property visits.

Where the Council has prosecuted, or is pursuing a prosecution, in respect of the same act or omission involving failure to provide legally required information (including failure to comply with a statutory notice), that conduct will not also be treated as an aggravating factor for the purposes of setting the civil penalty, in order to avoid double counting.

Where multiple civil penalties are imposed against the same landlord at the same time, this aggravating factor will be applied only to the civil penalty with the highest starting point, unless there is a clear and reasoned basis for applying it differently. 

9.3.3 Deliberate intent or negligence when committing the offence.

Non-exhaustive examples include:

• Knowledge that the breach or offence was occurring.
• Continuation of offending after communication from the Council.
• Premeditation or planning, including steps taken to prevent detection or effective investigation.
• Providing false or misleading information to the Council.
• Applying pressure to occupants to deter cooperation with the Council.

9.3.4 The number of occupants affected

Non-exhaustive examples include:

• 3 or more occupants affected.

9.3.5 Duration of non-compliance

Non-exhaustive examples include:

• The duration of the breach or offence is in excess of 3 months.

9.3.6 Vulnerability of occupants

Non-exhaustive examples include children and young adults, persons vulnerable by reason of age, disability or sensory impairment, persons with drug or alcohol dependency, victims of domestic abuse, children in care, persons with complex health needs, persons who do not speak English as a first language, victims of trafficking or sexual exploitation, refugees, asylum seekers, and pregnant women.

10.0 Financial considerations

10.1. The Council will review the quantum of the civil penalty and consider whether it is sufficient to act as an effective deterrent to future non-compliance. Where the Council has evidence that it considers to be sufficiently reliable regarding rental income and/or asset value from the landlord, it may determine that an increase in the level of the penalty is appropriate in order to achieve effective deterrence.

10.2 It is essential that, as an absolute minimum, landlords do not financially benefit from their offending behaviour.

10.3 Financial circumstances will ordinarily be considered after any written representations have been received and as part of the determination of any final notice.

10.4 Where a landlord seeks to rely on a strained or limited financial position as a basis for reducing the level of a civil penalty, that position must be supported by appropriate and verifiable evidence sufficient to enable the Council to assess the landlord's financial position consistently, objectively, and transparently. Unsupported assertions, partial disclosure, or selective provision of information will not be considered.

10.5 At a minimum, and where such information exists, the following should be provided as part of any written representations:

• The last three full tax years full self-assessment tax returns filed with HMRC, including all additional and supplemental pages;
• The last three full tax years' SA302 documents & tax year overviews;
• The last three months' payslips;
• The last three years P60 certificates;
• The last twelve months' Universal Credit payment statements;
• A list of all property assets owned or jointly owned (not limited to rental properties), together with corresponding Land Registry title documents;
• A list of all property assets owned, or held on a long lease, by any corporate entity in which the landlord has a beneficial interest, together with corresponding Land Registry documentation;
• The most recent annual mortgage statement for each property, or the last twelve months' mortgage statements where the mortgage has been in place for less than twelve months;
• Valuation statements for all ISAs held;
• Statements from any crypto asset exchange accounts showing balances and valuations;
• A list of all shareholdings;
• Recent bank statements for any account holding a balance in excess of £5,000;
• Recent statements for all secured and unsecured loans;
• Bankruptcy orders and official notifications of bankruptcy.

10.6 Where the Council is not satisfied that it has been provided with sufficiently reliable, complete, and accurate information to assess the landlord's financial position, the Council may draw the inference that the landlord is able to pay the civil penalty as imposed.

10.7 A claimed inability to pay will not, of itself, outweigh the need to ensure effective deterrence or to remove any financial benefit obtained as a result of the breach or offence.

11.0 The totality principle

11.1 The Council will have regard to the totality principle to ensure that the overall outcome of its enforcement action is just and proportionate. In exceptional cases, and having regard to the particular circumstances of the case, the Council may take account of totality at an earlier stage by deciding not to pursue a civil penalty in respect of a specific breach or offence where doing so would render the overall outcome disproportionate.

11.2 In general, however, the application of the totality principle will form the final step in the Council's decision-making process, undertaken after any written representations have been considered and before final notices are issued, once the level of each individual civil penalty has been assessed in accordance with this policy.

11.3 As a final step before issuing final notices, the Council will consider whether multiple civil penalties being imposed under this policy against the same landlord at the same time result in an aggregate amount that is just and proportionate. Where the Council concludes that the aggregate amount would not be just and proportionate, it will consider whether a proportionate reduction of the penalties is appropriate.

11.4 The totality principle does not operate across different legal persons who are separately liable in law, nor does it operate across civil penalties imposed at different times. In general, it applies only to multiple civil penalties imposed under this policy on the same person at the same time. Where, however, legislation provides that an officer of a body corporate, or a person concerned in its management, may be separately liable in relation to the same conduct as the body corporate, and that officer also holds a shareholding interest in the body corporate, the Council will, where civil penalties are imposed at the same time on both the body corporate and the officer arising from that same conduct, consider whether the combined outcome results in punitive duplication and is therefore not just and proportionate.

11.5 Where a reduction is applied under the totality principle, the Council will ordinarily do so by applying a uniform percentage reduction across all relevant civil penalties being issued at the same time, being those civil penalties that form part of the same totality assessment. Where, however, the application of the totality principle is required to address punitive duplication arising from a shared economic interest between a body corporate and an officer, the Council may apply a differential adjustment to ensure that the overall outcome is just and proportionate.

11.6 This approach reflects the statutory guidance on the application of the totality principle and is intended to promote consistency, transparency, and proportionality, while avoiding arbitrary or selective adjustment of individual penalties.

11.7 In accordance with the statutory guidance, any rent repayment orders made in respect of the same breach or offence will be disregarded for the purposes of assessing the totality of civil penalties under this policy.

12.0 Offences and breaches where a civil penalty may be levied and relevant considerations as to the level of that penalty 

12.1 Protection from Eviction Act 1977 offences

Unlawful eviction and harassment of occupier - section 1 of the Protection from Eviction Act 1977

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£35,000	£40,000	£28,000	£35,000	£42,000

Offence-specific mitigating factors:

• None.
• Offence-specific aggravating factors:
• Violence or threats of violence.
• Disposal of possessions or threats to dispose of possessions.
• Breach or evasion of an injunction or undertaking.
• Loss of home.

12.2 Housing Act 1988 breaches and offences

12.2.1 Failure to give a written statement of terms and any other prescribed information -  section 16D of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

• Provision of some of the required terms and prescribed information within the required period.
• Offence-specific aggravating factors:
• None.

12.2.2 Attempting to let a property for a fixed term - section 16E(1)(a) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.2.3 Attempting to end a tenancy by service of a notice to quit - section 16E(1)(b) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• Tenant vacates property within four months of the date of vacation or equivalent specified in the notice to quit.

12.2.4 Attempting to end a tenancy orally or requiring that it is ended orally - section 16E(1)(c) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• Tenant vacates property within four months of the date of vacation or equivalent specified in the notice to quit.

12.2.5 Serving a possession notice that attempts to end a tenancy outside the prescribed section 8 process - section 16E(1)(d) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• Tenant vacates property within four months of the date of vacation or equivalent specified in the notice to quit.

12.2.6 Relying on a ground where the person does not reasonably believe that the landlord is, will, or may be able to obtain possession on that ground and the tenant(s) surrendered the tenancy within the period of four months beginning with the date of the contravention, without an order for possession of the dwelling-house being made - section 16E(1)(e) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.2.6 Failing to provide a tenant with prior notice that a ground which requires it may be used - section 16E(1)(f) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£3,000	£7,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.2.7 Failure to give an existing tenant prescribed information about changes made by the Renters' Rights Act 2025 in the prescribed form and timeframe - paragraph 7(2) of schedule 6 to the Renters' Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

• Provision of some of the required prescribed information within the required period.
• Provision of prescribed information but not in the prescribed form.

Offence-specific aggravating factors:

• None.

12.2.8 Continuation of conduct subject to a relevant penalty (under s.16I or s.16K Housing Act 1988) after the 28-day period (or, if appealed, after conclusion of the appeal) where the final notice has not been withdrawn - section 16J(3) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Double the starting level for the two constituent breaches added together	£40,000	Dependent on the constituent breaches	Dependent on the constituent breaches	Dependent on the constituent breaches

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.2.9 Conduct giving rise to liability under s.16I, where within the preceding five years the person has either (i) had a relevant penalty (under s.16I or s.16K Housing Act 1988) imposed for different conduct and the final notice has not been withdrawn, or (ii) been convicted under s.16J for different conduct - section 16(J)(4) of the Housing Act 1988

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
Double the Starting level for the two constituent breaches added together	£40,000	Dependent on the constituent breaches	Dependent on the constituent breaches	Dependent on the constituent breaches

Offence-specific mitigating factors:

• Dependent on the most recent conduct giving rise to liability to a civil penalty under section 16I of the Housing Act 1988.

Offence-specific aggravating factors:

• Dependent on the most recent conduct giving rise to liability to a civil penalty under section 16I of the Housing Act 1988.

12.2.10 Relying on a ground where the person knows that the landlord would not be able to obtain an order for possession on that ground, or being reckless as to whether the landlord would be able to do so and the tenant(s) surrendered the tenancy within the period of four months beginning with the date the ground was relied on, without an order for possession of the dwelling-house being made - section 16J(1) of the Housing Act 1988

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£30,000	£40,000	£24,000	£30,000	£36,000

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.2.11  Breach of restrictions relating to reletting (s16(E)(2) Housing Act 1988) or remarketing (s16(E)(3) Housing Act 1988) a property within restricted period after using Grounds 1 or 1A of Schedule 2 Housing Act 1988  - section 16J(2) of the Housing Act 1988 

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£25,000	£40,000	£20,000	£25,000	£30,000

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.3 Housing and Planning Act 2016 offences

12.3.1 Breach of a banning order - section 21(1) of the Housing and Planning Act 2016

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£35,000	£40,000	£28,000	£35,000	£42,000

Offence-specific mitigating factors:

• A single, isolated incident.

Offence-specific aggravating factors:

• Concealment or evasion.

12.4 Renters Rights Act 2025 breaches

12.4.1 Discrimination relating to children in the lettings process - section 33(1) of the Renters' Rights Act 2025

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.4.2 Discrimination relating to benefits in the lettings process - section 34(1) of the Renters' Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.4.3 Failure to specify proposed rent within a written advertisement or offer - section 56(2) of the Renters' Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£3,000	£7,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.4.4 Inviting, encouraging or accepting any offer of rent greater than the stated rate - section 56(3) of the Renters' Rights Act 2025

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£7,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• None.

12.5 The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector (England) Regulations 2020 breach of duties

12.5.1 Failure to comply with The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector (England) Regulations 2020 Regulation 3: (3)(b), (3)(d), (3)(e). Regulation 3D: (a), (b), (c), (f)

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£5,000	£40,000	£4,000	£5,000	£6,000

Offence-specific mitigating factors:

• The report or record evidences that the electrical installations were compliant at all points.

Offence-specific aggravating factors:

• The number or nature or severity of the issues observed on the report or record.

12.5.2 Failure to comply with The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector (England) Regulations 2020 Regulation 3: (1)(a), (1)(b), (1)(c), (3)(a), (3)(c), (3)(ca), (5)(b), (5)(c). Regulation 3B: (1)(a), (1)(b), (1)(c). Regulation 3C: (1), (2)(a). Regulation 3D: (d), (e)

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£12,500	£40,000	£10,000	£12,500	£15,000

Offence-specific mitigating factors:

• The report or record evidences that the electrical installations were compliant at all points.

Offence-specific aggravating factors:

• The number or nature or severity of the issues observed on the report or record

12.5.3 Failure to comply with The Electrical Safety Standards in the Private Rented Sector and Social Rented Sector (England) Regulations 2020 Regulation 3: (4), (5a), (6). Regulation 3C: (2)(b), (4)

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• The number or nature or severity of the issues observed on the report or record.

12.6 Housing Act 2004 offences

12.6.1 Failure by the responsible person to secure the removal of a Category 1 hazard at qualifying residential premises, other than the common parts of a building containing one or more flats, where it would have been reasonably practicable for them to do so - Section 6A of the Housing Act 2004.

The Council will impose a penalty where it is satisfied, on the balance of probabilities, that the statutory conditions are met and that it would have been reasonably practicable for the responsible person to secure the removal of the hazard or the meeting of the requirement. When considering whether removal of the hazard would have been reasonably practicable the Council may consider:

• How long the responsible person has known about the existence of the hazard;
• Whether practical steps could have been taken to remedy the hazard without disproportionate expense or disruption
• What steps the responsible person has taken to remove the hazard or reduce its impact, including any efforts made to secure the services of specialist tradespeople
• Whether permission from other parties is needed to remove the hazard and the steps the responsible person has taken to secure that permission
• Whether tenants have provided access to the property in order for remedial works to be carried out
• Whether any failure by tenants or occupiers to provide access was beyond the responsible person's control, or whether the responsible person could reasonably have taken further steps to secure access, such as: explaining in writing the existence and seriousness of the Category 1 hazard, the required remedial works, the need for access, the tenants' or occupiers' legal obligations, and the potential consequences of continued refusal; offering a reasonable range of dates and times for access; and serving appropriate formal notices where reasonable and lawful. Whether the responsible person has instructed a legal professional (without delay) after exhausting other available remedies will be considered, as well as any legal proceedings that have been issued, including any claim documents that are with the court to be issued.

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£6,000	£7,000	£4,800	£6,000	£7,200

Breach-specific mitigating factors:

• Access prevented by occupant(s) despite appropriate landlord steps

Breach-specific aggravating factors:

• None.

12.6.2 Failure to comply with an improvement notice - section 30(1) of the Housing Act 2004

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£25,000	£40,000	£20,000	£25,000	£30,000

Offence-specific mitigating factors:

• The nature and extent of hazard(s) that are present once the deadline for compliance has passed.
• Whether the property is unoccupied once the deadline for compliance has passed.
• Access to the property was prevented by the actions or refusal of the occupant(s) and a landlord can evidence that they took steps to obtain access to the property for the purpose of carrying out the required works, but those steps fell short of establishing a reasonable excuse for non-compliance.

Offence-specific aggravating factors:

• The nature and extent of hazard(s) that are present once the deadline for compliance has passed.

12.6.3 Failure to comply with an overcrowding notice - section 139(7) of the Housing Act 2004

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• The level of overcrowding present.

12.6.4 Failure to obtain an HMO licence - section 72(1) of the Housing Act 2004

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£17,000	£40,000	£13,600	£17,000	£20,400

Offence-specific mitigating factors:

• None.

Offence-specific aggravating factors:

• The landlord has knowledge or experience of licensing requirements.
•  The condition of the unlicensed property.

12.6.5 Knowingly permitting over-occupation of an HMO - section 72(2) of the Housing Act 2004

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

• There are suitable amenity and space provisions in the HMO. 

Offence-specific aggravating factors:

• The level of over-occupation present.

12.7 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 - section 234(3) of the Housing Act 2004

12.7.1 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]

12.7.2 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]

12.7.3 Where there are multiple breaches of a single Management Regulation at a single HMO, a single civil penalty will be imposed which will cover all the breaches of that Management Regulation.

12.7.4 Where multiple Management Regulations have been breached at a single HMO, a separate civil penalty will be imposed for each Management Regulation that has been breached.

12.7.5 Duty of the manager to provide information to occupier

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£3,000	£40,000	£2,400	£3,000	£3,600

Offence-specific mitigating factors:

• The nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The nature and extent of offences within the specific regulation
• The landlord has refused to provide any outstanding contact information more than 48 hours after it has been requested by an occupant or on behalf of an occupant.

12.7.6 Duty of manager to take safety measures

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

• The number, nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The number, nature and extent of offences within the specific regulation

12.7.7 Duty of manager to maintain water supply and drainage

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£10,000	£40,000	£8,000	£10,000	£12,000

Offence-specific mitigating factors:

• The number, nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The number, nature and extent of offences within the specific regulation

12.7.8 Duty of manager to supply and maintain gas and electricity

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£12,000	£40,000	£9,600	£12,000	£14,400

Offence-specific mitigating factors:

• The number, nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The number, nature and extent of offences within the specific regulation

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

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

• The number, nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The number, nature and extent of offences within the specific regulation

12.7.10 Duty of manager to maintain living accommodation

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

• The number, nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The number, nature and extent of offences within the specific regulation

12.7.11 Duty to provide waste disposal facilities

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

• The nature and extent of offences within the specific regulation

Offence-specific aggravating factors:

• The nature and extent of offences within the specific regulation
• The lack of sufficient refuse and/or litter containers either inside and/or outside the property has been previously reported
• The refuse and/or litter that requires disposal includes hazardous materials

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

12.8.1 All granted HMO licences impose a set of conditions on the licence holder. It is important that the licence holder 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.

12.8.2 The starting levels for each different type of licence condition breach is set out below based on the seriousness of the offence. Where a licence condition could be interpreted to fall within two different potential starting levels, the higher starting level will be chosen.

12.8.3 Where multiple licence conditions have been breached at a single property, a separate civil penalty will be imposed for each licence condition that has been breached.

12.8.4 Failure to comply with licence conditions related to:

• Signage or the provision of information for tenants
• Provision of written terms of occupancy for tenants
• Procedures regarding complaints
• Procedures regarding vetting of incoming tenants
• Compliance with deposit protection legislation
• The recording and provision of information regarding rent payments
• Procedures relating to rent collection
• 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
• Requirements relating to the sale of the property
• Attending training courses
• Requirements to hold insurance
• The provision of insurance documentation
• The provision of or obtaining of suitable references
• The provision of keys and alarm codes
• Security provisions for access to the property
• The provision of suitable means for occupiers to regulate temperature 
• Carrying out items on a schedule of works not otherwise mentioned in the HMO licence conditions section of this policy, relating to non-compliance with items on a schedule of works

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£4,000	£40,000	£3,200	£4,000	£4,800

Offence-specific mitigating factors:

• The nature and extent of the licence condition breach 

Offence-specific aggravating factors:

• The nature and extent of the licence condition breach 

12.8.5 Failure to comply with licence conditions related to:

• Procedures and actions regarding Inspections
• Procedures regarding Repair issues
• Maintenance and use of common parts (including gardens,
• outbuildings and property exterior) and living areas
• Safeguarding occupiers and minimising disruption during works
• The provision of information regarding alterations and construction works
• Procedures regarding emergency issues
• Waste and waste receptacles, pests, minor repairs, alterations or decoration.
• Giving written notice prior to entry
• Allowing access for inspections
• Minimising risk of water contamination
• The compliance of furnishings or furniture with fire safety regulations
• Carrying out items on a schedule of works in relation to provision of mechanical extraction or electrical sockets

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£7,000	£40,000	£5,600	£7,000	£8,400

Offence-specific mitigating factors:

• The nature and extent of the licence condition breach 

Offence-specific aggravating factors:

• The nature and extent of the licence condition breach 

12.8.6 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 ASB
• Carrying out items on a schedule of works in relation to the provision of personal hygiene facilities, kitchen facilities or heating

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£12,500	£40,000	£10,000	£12,500	£15,000

Offence-specific mitigating factors:

• The nature and extent of the licence condition breach 

Offence-specific aggravating factors:

• The nature and extent of the licence condition breach 

12.8.7 Failure to comply with licence conditions related to:

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

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£20,000	£40,000	£16,000	£20,000	£24,000

Offence-specific mitigating factors:

• The nature and extent of the licence condition breach 

Offence-specific aggravating factors:

• The nature and extent of the licence condition breach 

12.8.8 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 provision and maintenance of safe means of escape, including requirements to keep escape routes and exits free from obstruction
• Carrying out items on a schedule of works in relation to fire safety or the provision of a Carbon Monoxide detector

Table Caption

Starting point	Statutory maximum civil penalty amount	Landlord Type downward adjustment	No Landlord Type adjustment	Landlord Type upward adjustment
£25,000	£40,000	£20,000	£25,000	£30,000

Offence-specific mitigating factors:

• The nature and extent of the licence condition breach 

Offence-specific aggravating factors:

• The nature and extent of the licence condition breach 

12.9 Failure to comply with The Energy Efficiency (Private Rented Property) (England and Wales) Regulations 2015

12.9.1 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)

12.9.2 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.

Table Caption

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

12.9.3 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.

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

12.9.4 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.

12.9.5 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.

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

Table Caption

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

12.9.7 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 non-compliance with housing-related regulatory requirement. Complex issues partially out of control of the landlord have led to non-compliance.

12.9.8 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.

12.9.9 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.

12.9.10 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.

12.10 Failure to comply with the Smoke and Carbon Monoxide Alarm (England) Regulations 2015

12.10.1 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.

12.10.2 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.

Table Caption

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)

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

12.10.4 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 of £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.

12.10.5 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.

12.10.6 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.

13.0 Process for imposing a civil penalty and the right to make written representations 

13.1 Notice of intent

Before imposing a civil penalty on a landlord, the Council will give the landlord a notice of intent. The notice of intent will set out:

• The amount of the proposed civil penalty  
• The reasons for proposing to impose the civil penalty 
• Information about their right to make written representations

13.2 Right to make written representations

A landlord, agent or any other recipient of a notice of intent may make written representations to the Council about the proposal to impose a civil penalty. Any representations must be made within a period of 28 days beginning with the day after the date on which the notice of intent was given.

13.3 Decision after the representations period

13.3.1 After the end of the period for representations the Council will:

• Decide whether to impose a civil penalty on the landlord; and
• If it decides to impose a civil penalty, decide the amount of the penalty. This amount can be higher or lower than the amount stated in the notice of intent.

13.3.2 A landlord's rectification of the identified breach or offence during the representations period will rarely, of itself, lead the Council to conclude that the imposition of a civil penalty is inappropriate. However, compliance at that stage will usually be relevant to the assessment of mitigating factors that may reduce the level of any civil penalty imposed.

13.3.3 Similarly, an admission of liability will rarely, of itself, lead the Council to conclude that the imposition of a civil penalty is inappropriate. An admission of liability will, however, usually be relevant to the assessment of mitigating factors that may reduce the level of any civil penalty imposed.

13.4 Final notice

13.4.1 If, following the receipt of written representations and/or the expiry of the time period to make written representations, the Council decides to impose a civil penalty, it will give the recipient a final notice imposing that penalty. 

13.4.2 The final notice will set out:

• The amount of the civil penalty
• The reasons for imposing the penalty
• Information about how to pay the penalty
• The period for payment of the penalty
• Information about rights of appeal 
• The consequences of failure to comply with the notice 

14.0 Discount for prompt payment

14.1 Where a civil penalty imposed by a final notice is paid in full within the period specified in that notice (normally 28 days beginning with the day after the final notice is given), the Council will apply a discount of 15% to the amount of the civil penalty.

14.2 The availability of the discount is conditional upon full payment being received within the specified period. The discount period will not be extended or suspended by the bringing of an appeal. A landlord who chooses to appeal may still benefit from the discount by paying the civil penalty in full within the specified period; however, where payment is not made within that period, the discount will not apply.

14.3 Illustrative example of the application of the discount: The landlord of an HMO property fails to obtain a licence. They only operate two HMO properties and there are no other relevant factors or aggravating features. The starting point for the offence under the Council's civil penalties matrix is £17,000.

14.4 Following the issue of a notice of intent proposing a civil penalty of £17,000, the landlord makes written representations. Having considered those representations, the Council determines to impose a civil penalty of £16,000, as set out in the final notice.

14.5 If the landlord pays the civil penalty in full within the payment period specified in the final notice, a 15% prompt payment discount is applied, resulting in a discounted payment of £13,600.

15.0 Appeals

15.1 A landlord, agent or other recipient of a final notice may appeal to the First- Tier Tribunal (Property Chamber) against the decision to impose a civil penalty and/or the amount of the civil penalty. Any appeal must be made within 28 days beginning with the day after the date on which the final notice was given.

15.2 Where an appeal is brought, the final notice is suspended until the appeal is finally determined or withdrawn.

15.3 An appeal to the First-Tier Tribunal is by way of a re-hearing of the Council's decision. In determining an appeal, the Tribunal may have regard to matters of which the Council was unaware at the time the decision to impose the civil penalty was made.

15.4 The Tribunal may dismiss an appeal if it is satisfied that the appeal is frivolous, vexatious, an abuse of process, or has no reasonable prospect of success.

15.5 The First- Tier Tribunal may invite the parties to consider mediation or another form of alternative dispute resolution. As a general rule, the Council will not be willing to engage in mediation for the sole purpose of negotiating the  level of a civil penalty. This is because civil penalties are determined by reference to this Policy to promote fair, consistent, and proportionate outcomes. Agreeing reductions outside the Policy framework would risk undermining consistency and the Council's enforcement objectives. Nonetheless, the Council will review each request for mediation. Consideration will be given to the facts of the matter, grounds of appeal, and any new evidence that has been produced before deciding whether to engage in mediation, or not.

15.6 On determination of an appeal, the Tribunal may:

• Confirm the civil penalty
• Vary the amount of the civil penalty (whether by increase or reduction)
• Cancel the civil penalty

15.7 Where the Tribunal varies a civil penalty by increasing its amount, it may do so only up to the applicable statutory maximum for the relevant breach or offence (£7,000 or £40,000, as applicable).

15.8 A party to the appeal may apply for permission to appeal the decision of the First- Tier Tribunal to the Upper Tribunal (Lands Chamber).

15.9 The Council may seek to recover any costs that it incurs as a consequence of an appeal being submitted to the Tribunal and/or any Tribunal hearing.