A primary function of the Environmental Services
Section of the Technical Services Department is to safeguard the
health, safety and welfare of workers, consumers or residents
within the District.
By carrying out enforcement activities in an
equitable and consistent manner, the intention is to promote a
sustainable local economy and to maintain a safe and fair business
and domestic environment.
Most people want to comply with the law and
Officers will always be willing to help traders and others meet
their legal obligations without unnecessary costs.
However, those who flout the law or act
irresponsibly will be dealt with firmly, by prosecution if
appropriate.
This policy of improved information, choice, and
safety will benefit residents and visitors to Eden.
The Council has adopted enforcement policies on
food safety, health and safety and the central and local government
Concordat on Good Enforcement which demonstrates commitment to the
following policies and procedures, which aid best value and will
provide information to show that the Council is adhering to
them.
1.0. Introduction
The purpose of this policy is to make clear the
approach of the Environmental Services Section to its various
enforcement roles (see Appendix 1). The policy is based around the
general principles of the Government Enforcement Concordat, ie
- Standards of service provision
- Openness about the service
- Helpfulness to service users
- Complaints about the service
- Proportionality of the service response
- Targeting of enforcement action
- Consistency of the service.
1.1 Definitions
Service Complaint
A "Service Complaint" means a criticism of any
aspect of the service provided by the Environmental Services
Section.
Enforcement
Enforcement covers a wide range of actions and
activities other than prosecutions and includes the service of
Statutory Notices and Orders, the cancellation or variation of a
licence, authorisation or order, the issue of a caution and the
carrying out of work in default. Enforcement in this policy means
any action taken about contravention of statutory requirements with
the aim of:
- securing compliance with statutory provisions;
or
- imposing a sanction for
contraventions.
2.0. General Principles
2.1. Standards
The Council has established standards for the
levels of service which include measurable targets. Details of
these standards and targets are freely available together with
reports on performance against the stated targets through the
Council's Performance Plan. To this end the Council will;
- Produce written statements defining what level
of service can be expected. Where appropriate performance targets
exist they will be clearly stated in the Service Plan.
- Each service will as necessary, and not less
than annually review its performance with respect of (a) above and
make changes as necessary.
2.2 Openness
Within the restraints of the confidentiality
residents and visitors have a right to expect and the requirements
of law, the Council will endeavour to be open about its work. To
this end each service will:
- Ensure that documents are produced in clear
language, are readily available and in a format accessible to
all.
- If requested, provide a written account of its
actions or proposed actions to persons or organisations
affected
- Always ensure that users are aware of the
existence of any appeals procedures or methods to review
actions/decisions where they are available.
2.3. Helpfulness
The Council believes that prevention and
co-operation is preferable to cure and confrontation and will
assist all users in their efforts to understand and comply with the
requirements placed on them. To this end each service will:
- Ensure staff deal with customers courteously
and always identify themselves by name.
- Provide clear details of who is dealing with a
case and how and when they may be contacted.
- Review at least annually all standard
correspondence to ensure it is clear and contains all relevant
information to the matter that it aims to address.
- Undertake customer satisfaction surveys to
check performance and identify areas for improvement. The Council
will undertake visits and inspections outside normal working hours
where this is considered necessary to undertake a statutory
enforcement role.
2.4 Service Complaints
The Council accepts that despite its best
efforts users may occasionally be unhappy with the service provided
and recognises the role service complaints can play in identifying
areas for improvement. To this end each service area will:
- Ensure that at the earliest opportunity all
users are made aware of the existence of and the method by which
they may register a service complaint.
- Ensure that should an investigation reveal a
defect in the service that defect will be rectified as soon as
possible.
2.5. Proportionality
The Council will endeavour to ensure that the
requirements imposed; the approaches adopted and the action taken
are proportionate to the seriousness of the matter/s in hand.
2.6 Targeting
The Council will ensure that resources are
targeted primarily towards those activities which give rise to the
most serious risks or where the risks are least well controlled or
against deliberate crime. Action will be primarily focused on
lawbreakers or those directly responsible for the risk and who are
best placed to control it.
2.7 Consistency
The Council will endeavour to promote consistency
in both the level of service users receive and the response ie
taking a similar approach in similar circumstances to achieve
similar ends. To this end each service will:
- ensure that any documents referred to in this
policy are made known and are readily accessible to all staff.
- Review on at least an annual basis
operational, supervisory and management practices to identify and
address issues of inconsistency.
- Compare and audit its practices and standards
with other Councils.
3.0. Enforcement Procedures
3.1 The Council will consider enforcement action
during inspections or following incidents or complaints where a
contravention or potential contravention of statutory requirements
has been identified. The Council will take either informal or
formal action as detailed below having given consideration to all
aspects of the incident or occurrence. The factors to be considered
are detailed in the following paragraphs.
3.2 Where the Council and another enforcement
body both have or share an enforcement role, the Council will
liaise with that body to ensure effective co-ordination, to avoid
inconsistencies and to ensure that enforcement action is
appropriate to the circumstances of the incident. Other
organisations with whom the Council share significant enforcement
roles include:
- Cumbria Fire Authority (01900) 822503
- Cumbria County Council Trading Standards
(01228) 607447
- Cumbria County Council Emergency Planning Unit
(01228) 817500
- Cumbria Police (01768) 891999
- The Food Standards Agency (020 7276 8000)
- The Health and Safety Executive (01228)
539321
- The Environment Agency (through a nationally
agreed protocol) (01768) 866666
3.3 Informal Action
The Council will consider Informal action
where:
- The contravention is minor in effect,
- There is no risk to health and safety;
and
- From the offenders past history it can be
reasonably expected that informal action will result in
compliance.
Informal action will:
- Contain all the information necessary to
understand what is required, why it is necessary, alternative
courses of action and the timetable for completion.
- Clearly indicate the legislation contravened
and any recommendations.
- Give a point of contact for the purpose of
further clarification or query.
Formal Action
Where the circumstances described above do not
apply, formal action by service of statutory notice, fixed penalty
or order will occur (where appropriate).
Statutory notices or orders will include the
following information:
- The legislation which has to be complied
with
- The works or other action needed to
comply
- The time period for compliance
- The time period for appeal (if
appropriate)
Where the law allows it, the Council will also
charge administration costs for service.
Where notices or orders are not complied with
within the time period allowed, the Council will consider carrying
out the work in default and undertaking prosecution (see
below).
Work in default means that the Council will carry
out any work and charge the full cost, plus administrative charges
and daily interest to the appropriate person(s). If this is not
paid, it will be registered as a debt against the property and the
Council will consider taking action through the Courts to secure
recovery, where entitled to do so.
Immediate action without any prior notice will be
considered in situations where there is a risk of danger or a
danger to public health.
Where the law allows the Council to act
immediately, an explanation will be given at the time (if
appropriate) and a written confirmation will be given within ten
working days.
Cancellation or variation of an authorisation,
order, licence or membership will include the following
information:
- The legislation which has not been complied
with
- The time period for appeal (if
appropriate).
Where the law allows the Council will also
recover any grant monies and will also consider prosecution or
formal caution.
4. Prosecution
4.1 A decision to prosecute is a serious matter
which the Council will only take after full consideration of the
implications and consequences. The decision will have regard to the
evidential and public interest tests set down by the Director of
Public Prosecutions in the Code for Crown Prosecutors and the Human
Rights Act 1998.
4.2 DIV offender.< the of circumstances or
offence seriousness on depend usually prosecute to decision affect
can that factors interest Public so. do public in is it unless
continued commenced be not will prosecution a evidence, sufficient
there Where be. may serious important how matter no ahead, go test,
evidential this pass does case conviction. prospect reasonable and
committed been has evidence reliable admissible sufficient,
satisfied Council div Prosecutions
- The legislation which has to be complied
with
- The works or other action needed to
comply
- The time period for compliance
- The time period for appeal (if
appropriate)
4.3 The Council will consider the following
public interest factors in deciding whether or not to
prosecute:
- effect of the offence or
action.
- foreseeability of the offence
or the circumstances leading to it
- intent of the offender,
individually and/or corporately
- history of offending
- attitude of the offender
- deterrent effect of a
prosecution, on the offender and others
- personal circumstances of the
offender
4.4 These factors are not exhaustive and those
which apply will depend on the particular circumstances of each
case.
4.5 Criminal proceedings will be taken against
those persons responsible for the offence. Where the offence has
resulted from a Company's activities the Council will usually
prosecute the Company and will also consider any part played by the
officers of the Company and may take action against those officers
as well as the Company. This will usually be where it can be shown
that the offence was committed with their consent, due to their
neglect or that they "turned a blind eye" to the offence or the
circumstance leading to it.
4.6 Where there is sufficient evidence the
Council will normally recommend prosecution in any of the following
circumstances:
- incidents which have significant
consequences
- failure to comply with fixed penalty payment
requirements
- knowingly carrying out operations without a
relevant licence
- excessive or persistent breaches of regulatory
requirements
- failure to comply or to comply adequately with
formal remedial requirements
- reckless disregard for management or quality
standards
- failure to supply information without
reasonable excuse or knowingly or recklessly supplying false or
misleading information
- obstruction of officers in the course of their
work
5 Alternatives to Prosecution
5.1 In cases where a prosecution is not the most
appropriate course of action the alternative of a caution will be
considered, the choice depending on the factors referred to
above.
5.2 A caution is the written acceptance by an
offender that they have committed an offence and may only be used
where a prosecution could properly have been brought. A caution
will be brought to the attention of the Court if the offender is
convicted of a subsequent offence.
Appendix 1
The Section covers a significant range of
functions most of which carry with them the potential for
enforcement action either by service of notice, fixed penalty or
order, or the institution of legal proceedings. This Appendix
outlines the majority of areas which are subject to enforcement by
the Section and which are covered by this enforcement policy.
- Abandoned Vehicles
- Animal Boarding and Breeding
- Caravan and Camping Sites
- Contaminated Land Registration
- Control of Pollution
- Dangerous Wild Animals
- Dogs (fouling of land)
- Drainage Nuisances
- Environmental Protection Act
Authorisations
- Envirnomental Education
- Food Safety & Hygiene
- Grants for Home Repair/Improvement &
provision of facilities for the Disabled
- Health and Safety at Work
- Infectious Disease
- Noise Nuisances
- Pet Shops
- Prevention of Damage by Pests
- Private Housing Conditions
- Private Water Supplies
- Recycling
- Riding Establishments
- Swimming Pools and Bathing Waters
- Zoos
