Public Protection Enforcement Policy

5 Investigative procedures

5.1 All investigations into breaches of legislation will follow best professional practice and the requirements of the following:

• GOV.UK: The Human Rights Act 1998 (opens new window)
• GOV.UK: The Regulation of Investigatory Powers Act 2000 (opens new window)
• GOV.UK: Police and Criminal Evidence Act 1984 (PACE) codes of practice (opens new window)
• GOV.UK: Criminal Procedure and Investigations Act 1996 (opens new window)
• Crown Prosecution Service: The Code for Crown Prosecutors (opens new window)

5.2 Regard shall be had to corporate guidance and policies on the specific requirements of the above legislation.

6 Enforcement options

6.1 All officers will have regard to:

• the documented procedures listed in the schedule
• any departmental or organisational procedure notes
• any relevant guidance in Statutory Codes of Practice or guidance notes issued under the relevant statutes or by a recognised body and which are accepted as providing a national standard
• the Public Protection Service Enforcement and Legal Process Manual

6.2 Informal action

6.2.1 Informal action includes offering advice, verbal warnings and requests for action, the use of informal letters and inspection reports. Informal action should be considered against the following criteria:

• the act or omission is not serious enough to warrant formal action and does not pose a significant risk to public health, safety or economic welfare
• the individual or company's history is such that it can be reasonably expected that the informal action will achieve compliance
• the officer has high confidence in the individual or management's ability to correct a defect or contravention and undertake any works which may be required
• standards in general are good, suggesting a high level of awareness of statutory responsibilities
• the consequences of non-compliance are acceptable e.g. minor matters, or the time period allowed to seek compliance does not present a risk to health safety or welfare

6.2.2 Informal action includes education, publicity and media campaigns and working with commercial and community groups.

6.3 Formal actions

6.3.1 Formal action involves the proportionate use of formal mechanisms to achieve compliance. Formal action may be taken where informal action has been unsuccessful or is deemed inappropriate when considering the seriousness of the offence or the urgency of the situation. Administrative penalties, including fixed penalty notices may be used without prior
informal action.

6.3.2 Formal action includes the use of Statutory Notices, Penalty Notices, works in default or direct action, review or revocation of licences or other approvals, simple cautions, or prosecution and any other legal action of any nature.

6.3.3 Decisions to instigate formal actions will be taken in accordance with the Enforcement Options Guidelines (Annexe 1), which will be reviewed and updated as necessary under the authority of the Associate Director.

6.3.4 Decisions to instigate prosecutions will be taken in accordance with the Prosecution Guidelines and all other guidelines and procedures (Annexe 2), which will be reviewed and updated as necessary under the authority of the Associate Director.