Environmental Health and Licensing Enforcement Policy

In the event of non-compliance with statutory requirements, a range of enforcement actions are available, these include:

6.1 Informal Action

Enforcement procedures such as verbal & written advice, providing information leaflets and warning letters.

6.2 Formal Action

Statutory notices, requiring compliance immediately or within a specified time, and prosecutions will normally be confined to serious, repeated or cumulative breaches of the law. For breaches posing a nuisance or considerable risk to the health of the public or specific individuals, the Council will serve formal enforcement notices, such as Improvement or Abatement Notices, requiring compliance immediately or within a specified time.

In view of the provisions enacted by the Deregulation Act 2015 governing retaliatory eviction of tenants who have made complaints about their accommodation, where a landlord has been made aware of deficiencies by a tenant, and his inadequate response or failure to respond results in the involvement of the Council, in most cases the local authority will not take informal action in respect of Category 1 hazards identified under the Housing Act 2004.

Where there is imminent or serious risk of personal injury, prohibition powers in the form of prohibition notices/orders may be used to stop the activity or close down the premises or property. These powers may involve seizure and detention of the offending equipment where necessary. In addition the proprietor, landlord, business operator or individual responsible can be prosecuted in the Magistrates Court for non-compliance with a notice or other such offence.

6.3 Simple Caution where an offence is admitted:

This procedure is an alternative to taking action in the Courts. Should a further offence be committed, it may be cited in any subsequent Court proceedings. A Simple Caution is a serious matter and it is recorded by the Council and where applicable on the Police National Computer. Cautioning is recognised as an important way of keeping offenders out of Court and in many circumstances reducing the risk that they will re-offend. In considering and issuing simple cautions we will have regard to the Ministry of Justice Guidance April 2013 – Simple Cautions for Adult Offenders, as well as the Environmental Health Enforcement Decision Matrix, a copy of which is attached as Appendix 1 to this Enforcement Policy.

The caution will be administered by a Senior Officer who has been designated a ‘Cautioning Officer’ (e.g. the Environmental Health Manager).

6.4 Community Protection Notices

Community Protection Notices under the Anti-social Behaviour, Crime and Policing Act 2014 may be served in circumstances where appropriate to do so. Non-compliance may lead to prosecution in line with the relevant paragraph below.

6.5 Fixed Penalty and Penalty Charge Notices

Where provided for in legislation (such as in the Clean Neighbourhoods and Environmental Act 2005) in circumstances where is appropriate to do so, the Council may deal with some offences by way of fixed penalty notices. Penalty Charge Notices may also be served under the Smoke and Carbon Monoxide Alarm (England) Regulations 2015, where these apply and following non-compliance with a Remedial Notice.

6.6 Works in Default

In certain circumstances it may be necessary and appropriate for the Council to undertake works in default. This is where there is a strong public health imperative to complete works to resolve a serious legal contravention. This is generally likely to be limited to scenarios involving filthy and verminous properties. It is not the Council’s policy to undertake works in default action in respect of housing disrepair matters, but all works in default will be considered on a case by case basis.

Works in default can only be carried out where the contravention still exists following non compliance with a correctly served formal enforcement notice. It will be necessary to obtain quotations for the works required, and to serve a further notice on the duty holder, stating that works in default will be undertaken by the Council, when they will start and the cost.

The Council will always seek to recover in full the costs incurred in completing works in default, including placing a charge upon the property where the costs are not recovered in full at the time the original demand is made. Carrying out works in default does not preclude the taking of further enforcement action against the duty holder, for example, prosecution, but this will be considered on a case by case basis.

6.7 Civil Penalties

The Housing and Planning Act 2016 allows local housing authorities to impose a civil financial penalty on an individual or organisation as an alternative to prosecution for certain offences under the Housing Act 2004. Civil penalties may be imposed up to £30,000 for the following offences:

• Failure to comply with an Improvement Notice (section 30);
• Offences in relation to licensing of Houses in Multiple Occupation (section 72);
• Offences in relation to licensing of houses under Part 3 of the Act (section 95);
• Offences of contravention of an overcrowding notice (section 139)
• Failure to comply with management regulations in respect of Houses in Multiple Occupation (section 234).

Regard will be had to the circumstances of the offence in deciding whether prosecution or a civil penalty would be the most appropriate way of dealing with the offence and the level of penalty. This will include reference to the Environmental Health Enforcement Decision Matrix, a copy of which is attached as Appendix 1 to this Enforcement Policy, as well as to the Environmental Health Policy on the use of Civil Penalties under the Housing & Planning Act 2016.

6.8 Prosecutions

The decision to prosecute does not preclude the issue of legal notices as well. Prosecutions have a preventative role in drawing attention to the need for compliance and the maintenance of good standards.

We will apply the principles of “Criminal Procedures & Investigations Act 1996” and “Crown Prosecutors” statutory Code of Practice as well as Home Office Guidance, when making decisions on the course of action to be taken in any particular case.

In deciding whether to prosecute or not, we will consider the following matters:
The gravity of the offence/s, for example whether:

• there has been blatant disregard for the law, deliberate intent or negligence
• there are persistent poor standards and malpractice
• there has been an injury or a case of ill health as a result of a substantial legal contravention
• a particular contravention has caused serious public alarm
• those affected are particularly vulnerable

The general record and approach of the offender, for example:

• repeated breaches of legal requirements or license conditions or various breaches of a multiple concern and, where it appears that an individual or a company is neither willing nor able to deal adequately with these
• failure to comply with statutory notices where matters of significant concern are persistent rather than transitory
• previous convictions or cautions which are relevant to the offence.

In cases where consideration is being given to prosecution or administration of a Simple Caution, or in the case of certain specified Housing Act 2004 offences the administration of a civil penalty, the Environmental Health Enforcement Decision Matrix will be used to help reach a conclusion. A copy of this is attached as Appendix 1 to this Enforcement Policy.

6.9 Referral of a matter to the Council’s Licensing & Regulatory Committee.

Where such a matter warrants referral to one of the above Committees, a panel of Councillor’s will hear the case and make a decision based on this policy and issue such sanctions as are available to them, including no action, warnings, suspension or revocation of a licence.

6.10 Suspension, Revocation or Refusal of Licence

This may take place when an individual or organisation has:

• Engaged in fraudulent activity
• Deliberately or persistently breached legal obligations
• Deliberately or persistently ignored warnings or formal notices
• Endangered the health, safety or wellbeing of people animals or the environment
• Obstructed an officer whilst undertaking their duties
• Deliberately or persistently failed to comply with Licence Conditions

With Licences under the Licensing Act 2003, where an individual or organisation has:

• Deliberately or persistently failed to promote the Licensing Objectives, a licence may be cancelled or conditions varied following a hearing to consider an application to vary or review the licence, or a successful prosecution.