Annex 1
ENFORCEMENT CONCORDAT
Issued by the Cabinet Office. The Concordat
was formally signed on 5 March 1998 by Peter Kilfoyle—on
behalf of central government—and by Councillor John Ryan—on
behalf of the Local Government Association.
THE PRINCIPLES
OF GOOD
ENFORCEMENT: POLICY
AND PROCEDURES
This document sets out what business and others
being regulated can expect from enforcement officers. It commits
us to good enforcement policies and procedures. It may be supplemented
by additional statements of enforcement policy.
The primary function of central and local government
enforcement work is to protect the public, the environment and
groups such as consumers and workers. At the same time, carrying
out enforcement functions in an equitable, practical and consistent
manner helps to promote a thriving national and local economy.
We are committed to these aims and to maintaining a fair and safe
trading environment.
The effectiveness of legislation in protecting
consumers or sectors in society depends crucially on the compliance
of those regulated. We recognise that most businesses want to
comply with the law. We will, therefore, take care to help business
and others meet their legal obligations without unnecessary expense,
while taking firm action, including prosecution where appropriate,
against those who flout the law or act irresponsibly. All citizens
will reap the benefits of this policy through better information,
choice, and safety.
We have therefore adopted the central and local
government Concordat on Good Enforcement. Included in the term
"enforcement" are advisory visits and assisting with
compliance as well as licensing and formal enforcement action.
By adopting the concordat we commit ourselves to the following
policies and procedures, which contribute to best value, and will
provide information to show that we are observing them.
PRINCIPLES OF
GOOD ENFORCEMENT:
POLICY
Standards
In consultation with business and other relevant
interested parties, including technical experts where appropriate,
we will draw up clear standards setting out the level of service
and performance the public and business people can expect to receive.
We will publish these standards and our annual performance against
them. The standards will be made available to businesses and others
who are regulated.
Openness
We will provide information and advice in plain
language on the rules that we apply and will disseminate this
as widely as possible. We will be open about how we set about
our work, including any charges that we set, consulting business,
voluntary organisations, charities, consumers and workforce representatives.
We will discuss general issues, specific compliance failures or
problems with anyone experiencing difficulties.
Helpfulness
We believe that prevention is better than cure
and that our role therefore involves actively working with business,
especially small and medium sized businesses, to advise on and
assist with compliance. We will provide a courteous and efficient
service and our staff will identify themselves by name. We will
provide a contact point and telephone number for further dealings
with us and we will encourage business to seek advice/information
from us. Applications for approval of establishments, licenses,
registrations, etc, will be dealt with efficiently and promptly.
We will ensure that, wherever practicable, our enforcement services
are effectively co-ordinated to minimise unnecessary overlaps
and time delays.
Complaints about service
We will provide well publicised, effective and
timely complaints procedures easily accessible to business, the
public, employees and consumer groups. In cases where disputes
cannot be resolved, any right of complaint or appeal will be explained,
with details of the process and the likely time-scales involved.
Proportionality
We will minimise the costs of compliance for
business by ensuring that any action we require is proportionate
to the risks. As far as the law allows, we will take account of
the circumstances of the case and the attitude of the operator
when considering action.
We will take particular care to work with small
businesses and voluntary and community organisations so that they
can meet their legal obligations without unnecessary expense,
where practicable.
Consistency
We will carry out our duties in a fair, equitable
and consistent manner. While inspectors are expected to exercise
judgement in individual cases, we will have arrangements in place
to promote consistency, including effective arrangements for liaison
with other authorities and enforcement bodies through schemes
such as those operated by the Local Authorities Co-Ordinating
Body on Food and Trading Standards (LACOTS) and the Local Authority
National Type Approval Confederation (LANTAC).
PRINCIPLES OF
GOOD ENFORCEMENT:
PROCEDURES
Advice from an officer will be put clearly and
simply and will be confirmed in writing, on request, explaining
why any remedial work is necessary and over what time-scale, and
making sure that legal requirements are clearly distinguished
from best practice advice.
Before formal enforcement action is taken, officers
will provide an opportunity to discuss the circumstances of the
case and, if possible, resolve points of difference, unless immediate
action is required (for example, in the interests of health and
safety or environmental protection or to prevent evidence being
destroyed).
Where immediate action is considered necessary,
an explanation of why such action was required will be given at
the time and confirmed in writing in most cases within five working
days and, in all cases, within 10 working days.
Where there are rights of appeal against formal
action, advice on the appeal mechanism will be clearly set out
in writing at the time the action is taken (whenever possible
this advice will be issued with the enforcement notice).
March 1998
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