Enforcement policy

There are a range of potential enforcement outcomes. The option chosen varies from no action through to proceedings in Court. Examples of the main types of action that can be considered are shown below:

• No action
• Informal Action
• Simple Caution
• Fixed Penalty Notices
• Formal Notice / Orders
• Seizure of goods / equipment
• Refusals / suspension/ revocation of a licence
• Prosecution
• Injunctive Actions

Informal action 

For minor breaches of the law we may give verbal or written advice. Officers will clearly identify those matters that are contraventions of the law and those that are simply recommendations. Persons receiving an informal action will be
given the opportunity to discuss the requirements with the investigating officer. Regular contact with the investigating officer to assist the person or business as the works progress will be encouraged. Failure to comply could result in an enforcement action.

Criteria for adopting formal action 

The use of enforcement action will at all times be consistent with the principles set out in the Regulators’ Code. In coming to a decision officers will
have regard to:

• The seriousness of the offence
• The individual’s or company’s past history in terms of compliance
• Confidence in management
• The consequences of non-compliance in terms of risk and harm to people, property, or the environment
• The likely effectiveness of the various enforcement options, and
• The risk to public health.

Other factors that will be considered, where relevant, include:

• Case law
• The overall record of the company
• The significance of the proposed action in national terms, andThe application of any legislative requirements, statutory guidance,codes of practice and guidance published by relevant professional
• bodies to the matter in question.
• Primary Authority advice