Concordat on Good Enforcement
This document sets out the general enforcement principles,
policies and approach which the authority expects its officers to
follow in all their dealings with the public, colleagues in other
authorities or agencies and with businesses, no matter how large or
small they may be. We believe that carrying out these enforcement
functions in a fair, consistent, independent and practical manner
will help to promote a thriving local and national
economy.
Within this document "enforcement" includes advisory visits and
assisting with compliance as well as more customary methods and
formal enforcement actions.
This document is a public document, containing public statements
and will be distributed as widely as possible. It has been drawn up
after wide consultation with representatives of those likely to be
affected by it and it is an authoritative statement of the current
policies, practices and standards. Anyone who wishes to express an
opinion about the Service, the manner of its delivery, its officers
or their personal experience of any element of its activities is
therefore positively encouraged to do so.
Principles of Enforcement
The authority and its officers must seek to secure compliance
with the law and must act at all times with due regard to the
relevant UK and, where appropriate, European legislation and legal
precedents including the law regarding Human Rights. However, the
Service subscribes to the policy of "prevention through advice,"
freely providing guidance to businesses on legislative requirements
and associated best practice in an attempt to maximise the level of
compliance at the minimum expense. Criminal and administrative
sanctions are available to enforce this legislation and this
document aims to spell out the policies which will influence how,
when and to what extent such enforcement action will be applied.
Enforcement is not undertaken to assist or support civil claims for
redress or compensation.
The aim is to carry out the authority's enforcement
responsibility in a fair but firm manner, with due regard to the
principles of proportionality in applying the law
and securing compliance; consistency of approach;
targeting the enforcement action and with
transparency of operation.
Proportionality - means relating the
enforcement action to the potential risks, costs and implications
of the actual or possible breach. The more serious the breach, the
greater the likelihood of one or more of the formal enforcement
actions being taken.
Consistency - means taking a similar approach
in similar circumstances to achieve similar ends. It does not mean
simple uniformity. Officers are required to take into account many
variables when using their professional judgement to make decisions
on the action they consider appropriate to a specific set of
circumstances. Arrangements are in place to promote consistency in
the interpretation and application of legislation. This is achieved
through liaison with other authorities in Greater Manchester, the
North West region and nationally through support of the Local
Authorities Co-ordinators of Regulatory Services (LACORS) and
particularly its Home Authority Principle.
Targeting - means attempting to direct
regulatory effort towards those businesses or business sectors
whose activities impact most upon the safety, health or wealth of
consumers or the economic viability of other businesses. The
Service has a system to assess these risks in a consistent and
objective manner. This takes into account such things as the size
and history of the business, the type of goods or services it deals
with and the procedures and controls it has in operation. The
Service must also have regard to both local and national
performance standards and indicators.
Transparency - means making it clear why
particular action has been taken and what or when remedial action
is required. Whenever possible, or requested, advice or guidance
will be given in writing with a distinction made between legal
requirements and best practice. An opportunity will be provided to
discuss the matter and any rights of appeal, complaint or further
representation will be advised. Transparency is important in
maintaining public confidence in the Service's ability to
regulate.
Requests for Advice
When a business requests advice or makes an enquiry we will
respond positively and, without charge, provide expert and
impartial advice. All information will be treated with the maximum
confidentiality that the law permits. Of course only the courts can
give authoritative interpretation of legislation but our aim would
be to give, and publicly stand by, advice and guidance which
carries the highest degree of certainty that proceedings are
unlikely to result if the advice is followed.
