77795-COI-DTI Enforcement2

Enforcement Concordat:
Good Practice Guide for
England and Wales

SMALL BUSINESS SERVICE
AN EXECUTIVE AGENCY OF THE DTI
Working with the public, private
and voluntary sectors to make
the UK the best place to start and
grow a business.
The DTI drives our ambition of
‘prosperity for all’ by working to create
the best environment for business
success in the UK. We help people
and companies become more
productive by promoting enterprise,
innovation and creativity.
We champion UK business at home
and abroad. We invest heavily in
world-class science and technology.
We protect the rights of working
people and consumers. And we
stand up for fair and open markets
in the UK, Europe and the world.
PRODUCED IN COLLABORATION WITH

Foreword
“Good enforcement brings beneﬁ ts to
Melanie Johnson MP, Parliamentary
business, enforcers and consumers. Since
Under-Secretary of State for
the launch of the Enforcement Concordat
Competition, Consumers and Markets
in 1998, enforcers and business have
been working to realise these beneﬁ ts
through the Concordat’s Principles of Good
Enforcement.
Nigel Grifﬁ ths MP, Parliamentary Under-
Secretary of State for Small Business
The Principles of Good Enforcement are
best carried out through a partnership
approach to enforcement, with enforcers
and business working together to achieve
Rt Hon Lord Macdonald of Tradeston,
regulatory compliance. This approach
CBE, Minister for the Cabinet Ofﬁ ce and
particularly helps small business to
Chancellor of the Duchy of Lancaster
understand and meet its responsibilities
more easily. It also helps to achieve higher
levels of compliance and gives greater
consumer and employee safety.
Andrew Davies AM, Minister for
Economic Development and Transport
Ultimately this also contributes to the
economic vitality of our local communities.
With compliance made easier, and with
enforcers able to focus their resources on
businesses who break the law, law-abiding
businesses will be free to compete on a
level playing ﬁ eld.
We therefore welcome this Good Practice
Guide for England and Wales. It both
celebrates the good work that is being
done and demonstrates to all enforcement
bodies what can be achieved by applying
the Concordat’s Principles of Good
Enforcement.”
1

Contents
Foreword
1
Summary of the Good Practice Guide
4
Introduction
7
Policy, procedures and good practice
10

Standards 10

Openness 12

Helpfulness 14

Complaints about service
22

Proportionality 25

Consistency 28
What enforcement bodies can expect from business
32
Adoption and implementation
33

What is entailed once an enforcement body has agreed to adopt?
33

Setting the adoption process in motion
33
Monitoring
36

Monitoring through internal processes
36

Monitoring for local authority enforcers
37

Monitoring for central government enforcers
37
Review of the Good Practice Guide
38
Text of the Enforcement Concordat
39
3

Summary of the Good
Practice Guide
1
This table summarises the options open to enforcement bodies as they work to
implement the Enforcement Concordat’s Principles of Good Enforcement.
Principles of Good Enforcement
Implementation
Policy
Procedures
Options
Good Practice examples
Standards
Consult with business
Publish openly
Harnessing the web (p11)
and stakeholders in
Collaborative auditing Achieving a joined-up
setting standards for
approach through a
level of service and
Look for feedback
proactive ‘reach-out’
performance
survey (p11)
Monitor performance
Openness
Provide information
Disseminate
Accompanying inspections
on regulations and
information widely
with helpful information
enforcement practice
(p12)
Be approachable to
Discuss compliance
business
Well-researched and
failures or problems
relevant compliance
with anyone
guidance (p13)
experiencing difﬁ culties
Following up contact with
businesses to avoid repeat
problems (p14)
4

Principles of Good Enforcement
Implementation
Policy
Procedures
Options
Good Practice examples
Helpfulness
Clear advice conﬁ rmed
Provide clear
Plain English information
in writing
information
packs (p15)
on regulatory
Distinguish between
Face-to-face advice and
requirements
best practice advice and
consultancy (p16)
legal requirements
Engage with
Using technology for smart
business
Consider providing
compliance (p16)
an opportunity for
Co-ordinate with
Assisting compliance with
discussion before
other enforcers
dedicated teams (p17)
formal enforcement
where appropriate
action
Improving the ﬂ ow of
information (p18)
Give a clear explanation
of the need for any
Using partnerships to
immediate action
improve business–enforcer
relationships (p19)
Focus on preventative
activity
Regular contact with
stakeholders (p20)
Creating a higher proﬁ le
for initiatives to improve
awareness (p20)
Endorsing best practice by
business (p21)
A Charter Mark for motor
traders (p21)
One-stop-compliance-shop
(p22)
Complaints about
Explain complaints
Collate complaints
Using a complaints/
service
procedure at the time
and action taken,
comments database (p24)
any formal action is
build evidence base
Joined-up complaints
taken
to guide future
process (p24)
activity
User-friendly complaints
Easy-to-use,
and feedback systems
accessible system
(p25)
Proportionality
Tailor enforcement
Publish prosecution
Explaining the Code for
action to risks to
guidelines
Crown Prosecutors (p26)
minimise costs of
Target higher risk
Priority planning for low-
compliance
business activities for risk activities (p27)
Prosecute when
formal action
Sectorally-targeted risk
proportionate to bring
assessment (p27)
serious offenders to
account
Identifying problem
traders (p27)
5

Principles of Good Enforcement
Implementation
Policy
Procedures
Options
Good Practice examples
Consistency
Have effective
Liaise with other
Providing a single point of
arrangements to
enforcement bodies
contact for large national
promote consistency
businesses (p28)
External auditing
Joined-up benchmarking
Internal process
(p28)
improvements
Sector-speciﬁ c business
Quality accreditation
liaison (p29)
Co-ordination between
enforcers for regional
consistency (p29)
Sharing information and
experience (p29)
Improving services
through evaluation from
business groups (p30)
Using an ‘Enforcement
Management Model’ (p31)
6

Introduction
2
In March 1998 the Cabinet Ofﬁ ce, in
•  Consistency: ensuring consistent
partnership with the Local Government
enforcement practice.
Association (and other principal local
authority associations), business and
4
See pages 39–41 for the full text of
consumer groups, published the central
the Concordat.
and local government Concordat on Good
Enforcement (the Enforcement Concordat).
5
Implementing the Principles of Good
Since then a signiﬁ cant number of local
Enforcement brings signiﬁ cant beneﬁ ts
authorities, government departments
to enforcers, business and society as
and government agencies have signed
a whole. By facilitating compliance,
up to the Enforcement Concordat (an
enforcers can achieve higher compliance
up-to-date list is available on the Cabinet
rates and reduce the number of costly
Ofﬁ ce website at http://www.cabinet-
prosecutions they have to undertake. This
ofﬁ ce.gov.uk/regulation/PublicSector/
will allow them to target those who ﬂ out
enforcement/Enforcement.htm).
the law or act irresponsibly. Business, in
particular small to medium enterprises,
3
The Enforcement Concordat is a
will also ﬁ nd it easier to get compliance
voluntary, non-statutory code of practice.
right ﬁ rst time, which will contribute to the
It sets out the best practice that many
safety of consumers and employees.
enforcers had adopted in their dealings
with business before 1998, in terms of the
6
By encouraging enforcers and
Principles of Good Enforcement:
business to work together, without
undermining enforcers’ duty to take formal
•  Standards: setting clear standards
action where necessary, the Concordat will
create a level playing ﬁ eld for competition
•  Openness: clear and open provision
between law-abiding businesses, which
of information
will help to enhance the economic vitality
of local communities.
• Helpfulness:
helping
business
by advising on and assisting with
7 The
Enforcement Concordat: Good
compliance
Practice Guide for England and Wales sets
out a range of options drawn from current
•  Complaints about service: having a
good practice, which enforcers can use
clear complaints procedure
to help them apply the Principles of Good
Enforcement. It does not adopt a one-
•  Proportionality: ensuring that
size-ﬁ ts-all approach to implementation,
enforcement action is proportionate to
but instead presents practical examples of
the risks involved
what has worked for various enforcement
bodies. These form a non-exhaustive
7

range of options for enforcement bodies
that is needed to protect the public and
to consider as they work to implement
preserve fair competition.
the Concordat’s Principles of Good
Enforcement.
Scope of the Enforcement
Concordat
8 The
Good Practice Guide also
details the steps an enforcement body
11  Good enforcement is often about
should take once it has signed up to
building good partnerships between
the Enforcement Concordat. These
enforcers and business. The adoption
are: determining lead responsibility;
and application of the Enforcement
reviewing existing policies; consulting
Concordat should be the responsibility of
with business; and drawing up a strategy
all enforcement bodies, national and local,
for implementation. Finally, it suggests
working in partnership with the relevant
possible monitoring systems, involving
business community. Indeed, a wide
continuous assessment and consultation.
range of national and local enforcement
The Department of Trade and Industry
bodies have signed up to the Enforcement
(DTI) is undertaking a separate review
Concordat, and many businesses have
of how future compliance with the
played an active role in applying the
Enforcement Concordat should be
Enforcement Concordat’s Principles (see
monitored.
‘What enforcement bodies can expect
from business’ on page 32).
Deﬁ ning enforcement
12  The Enforcement Concordat should
9
The Enforcement Concordat adopts
be applied across all the regulatory
a broader deﬁ nition of ‘enforcement’ that
functions of an enforcement body. For
combines advisory visits and assisting
local authorities this means all regulatory
compliance with formal action. The
services which affect the business
Principles of Good Enforcement are based
community. Key services include trading
on this deﬁ nition, and are intended to
standards, environmental heath, planning
encourage co-operation with business and
and building control; but ﬁ re, highways,
fair and consistent enforcement practice
registration and inspection units, licensing
by enforcement bodies. The goal is
departments and social work should all be
higher levels of voluntary compliance
considered for inclusion. This list is non-
with regulations.
exhaustive, and authorities are encouraged
to extend the Concordat to cover other
10  Helping business to comply with
services.
regulations and to meet their legal duties
is therefore the goal of the Enforcement
13 The
Good Practice Guide has no legal
Concordat. However, it recognises that
force and is intended to complement
enforcers must be able to take immediate
the Enforcement Concordat by providing
action when required (for example, to
examples of good enforcement practice
ensure public health and safety or to
and procedure. Neither the Enforcement
protect the environment) and does not
Concordat nor the Good Practice Guide are
restrict enforcers’ ability to take ﬁ rm
legally binding documents, and decisions
action against those who ﬂ out the law
to take enforcement action remain the
or act irresponsibly. This combination of
responsibility of individual enforcement
assistance and quick, ﬁ rm action when
bodies.
necessary will ensure the compliance
8

14 The
Good Practice Guide covers
minimum.1 The Concordat helps to
England and Wales. The Scottish
reduce the burden of regulation by
Executive and Northern Ireland Executive
making compliance easier for business.
plan to draw on the Good Practice Guide
in producing their own documents for
•  Central government’s ‘Think Small
Scotland and Northern Ireland.
First’ initiative – the Government is
committed to taking small business
Wider policy context
into account. The principles of good
enforcement will make it easier for
15  The Enforcement Concordat and good
small businesses to get the information
enforcement contribute to a wide range
they need in order to comply with
of central and local government agendas,
regulations. Through the Whitehall
including:
Group, senior government ofﬁ cials
regularly share good practice relating to
•  Local authorities’ new power to
the interface between government and
promote economic, social and
small business.
environmental well-being – good
enforcement will help economic
Who owns the Enforcement
regeneration in both urban and rural
Concordat?
areas, and will help to encourage,
develop and sustain vibrant businesses
16  The Enforcement Concordat is owned
in a local authority’s area.
and operated by its signatories – local and
national enforcement bodies. They have
•  Best value – good enforcement
been putting its principles into practice
practice by a local authority will feed
since 1998 and this Good Practice Guide is
into the Corporate Performance
intended to help them, and the businesses
Assessment.
they regulate, to realise the beneﬁ ts of
good enforcement.
•  Local government modernisation
– following the Principles of Good
17 The
Good Practice Guide is jointly
Enforcement in the Concordat will
published by the DTI, its Small Business
assist local authorities in achieving
Service (SBS) and the Cabinet Ofﬁ ce. For
consistency across services as well as
further information on the Enforcement
ensuring easy access for businesses to
Concordat, please contact the SBS who
help and advice.
is administering the list of signatories and
the sign-up process (www.sbs.gov.uk).
•  Central government’s ‘Better
Regulation’ initiative – the
Enforcement Concordat is a natural
complement to the Government’s
‘Better Regulation’ agenda, which
recognises the need for regulation
but also recognises that the burden
on business should be kept to a
1
Under ‘Better Regulation’ the Government has committed itself to only regulating when absolutely necessary and when similar
ends cannot be achieved by less intrusive means (e.g. self-regulation, codes of conduct, etc); consolidating or deregulating where
appropriate; and making existing regulation work better.
9

Policy, procedures and
good practice
18  Good enforcement secures
Concordat’s Principles out on the street
compliance with regulations by using a
and in enforcement ofﬁ cers’ day-to-day
combination of help, advice and formal
dealings with business and others.
action. The Enforcement Concordat’s
‘Principles of Good Enforcement’ help
Standards
enforcement bodies to make good
enforcement a reality. The Principles of
The Enforcement Concordat states:
Good Enforcement are broken down into
policies and procedures that enforcers can
‘In consultation with business and other
use in their everyday work. The policies
relevant interested parties, including
(Standards, Openness, Helpfulness,
technical experts where appropriate, we
Complaints about service, Proportionality
will draw up clear standards setting out
and Consistency) act as a guide for
the level of service and performance
enforcers, whilst the procedures set out
the public and business people can
the minimum requirements for putting the
expect to receive. We will publish these
policies into practice.
standards and our annual performance
against them. The standards will be
19  To illustrate the value of implementing
made available to businesses and others
the Principles of Good Enforcement
who are regulated.’
through policies and procedures, this
section takes each policy in turn, quotes
the full text that signatories to the
21  It is important that businesses know
Enforcement Concordat have agreed to,
what to expect when they deal with
then:
enforcement bodies. Enforcement bodies
can achieve this by being transparent
•  looks at the reasoning behind it; and
about their standards of service, and
involving the business community in
•  gives options for implementing the
drawing them up. This will help to foster
policy and its procedures through good
productive working relationships with law-
practice examples (see boxes).
abiding businesses. It will also encourage
businesses to seek help and advice, and
20  These are real-life examples of good
will make it clear to businesses that ﬂ out
practice, drawn from the good work that
the law or act irresponsibly that they can
enforcement bodies are doing to make the
expect proportionate punishment.
Enforcement Concordat’s Principles work
for them. They demonstrate what can be
done by enforcers rather than what should
be done. The aim is to illustrate a range of
possibilities for applying the Enforcement
10

Providing and distributing information
Achieving a joined-up approach through
a proactive ‘reach-out’ survey
22  An effective way to achieve
transparency about standards of
Basingstoke and Deane Borough
service is to publish, and comply with,
Council conducted a survey of business
an enforcement policy (in line with
attitudes to the enforcement of food
the Enforcement Concordat). This will
safety regulations. This helped them
inform business what it can expect from
to assess their performance and to
enforcement ofﬁ cers, and should be made
determine future priorities.
available by enforcers both in print form
and on their website.
Businesses were approached through a
questionnaire included in the Food and
Safety Group’s bi-annual newsletter, and
Harnessing the web
through the health and safety seminars
Many enforcement bodies have
that are held every two months.
published enforcement policies on their
websites. Good examples include:
The responses were analysed, together
with those from other authorities
•  West Sussex County Council; see
in Hampshire undertaking similar
http://www.tradingstandards.gov.uk/
exercises. The results indicated that
westsussex/pdf/TSEnforcement.pdf
the strategy of ‘business friendly’
enforcement, which had been in place
•  Cheltenham Borough Council; see
for some time, was recognised by
http://www.cheltenham.gov.uk/
business. This was used to inform the
libraries/templates/ourservice.asp?
Food and Safety Group Service Plan
FolderID=194
for 1999/2000, especially in the area
of information delivery to businesses.
•  Hampshire County Council; see
Most businesses wanted to comply with
http://www.hants.gov.uk/regulatory/
health and safety legislation, but many
bsp/enforcea.html
found the level of information daunting.
•  Durham County Council; see
As a result of these comments the Food
http://www.durham.gov.uk/durhamcc/
and Safety Group, led by the health
usp.nsf/pws/consumer+services+-
and safety lead ofﬁ cer, undertook to
+enforcement+policy
apply a more ‘joined-up’ approach to
the information being produced. This
will entail a ﬁ ne-tuning of existing
Looking for feedback
information and training material, and the
addition of a self-audit checklist and a
23  One method of monitoring
small business information pack (cross-
performance against standards of service
referenced to the checklist). This will
is to conduct business/user surveys.
include, where appropriate, references
The results can help to highlight areas of
to Health and Safety Executive leaﬂ ets
success and areas that need improvement.
and priced publications, plus information
about targeted training sessions.
It is expected that this approach will not
only assist businesses to comply with
11

obligations are, how to fulﬁ l them and
their legal duties, but will also reduce
what enforcement bodies can do to help.
the direct ofﬁ cer involvement because
the business community will be better
26  Clear communication from
informed and prepared. The process
enforcement bodies about what they do
of consulting business has increased
will help businesses to understand what
conﬁ dence in the approach that the
is required of them. This can be achieved
service has been taking, and has helped
by distributing general information on
to inform future action. The Group
legal requirements, discussing compliance
Service Delivery Plan has been written
issues with speciﬁ c businesses, and fully
following consideration of the survey
explaining formal action when it is taken.
results. Overall, the project has resulted
It is important that enforcers make a clear
in a better-informed and more focused
distinction in all contact with businesses
regulatory service.
(for example in advice or guidance)
between what businesses are legally
See http://www.basingstoke.gov.uk/
required to do, and what is desirable but
business/foodsafety.asp
not compulsory.
Disseminating information on
24  Liaison with other enforcement
regulations
bodies is also a valuable way of assessing
performance against service standards,
27  This can be done by publishing advice
for example through benchmarking groups
leaﬂ ets, placing information on websites,
(see ‘Consistency’ below for more details).
producing newsletters, and using business
liaison/collaboration bodies to distribute
Openness
information on new legal developments,
enforcement initiatives, etc. See
‘Helpfulness’ below for more examples of
The Enforcement Concordat states:
good practice in disseminating information.
‘We will provide information and advice
in plain language on the rules that we
Accompanying inspections with helpful
apply and will disseminate this as widely
information
as possible. We will be open about
Moray Council Trading Standards
how we set about our work, including
Service sends all businesses who are
any charges that we set, consulting
the subject of inspection visits a letter
business, voluntary organisations,
which outlines Moray’s commitment to
charities, consumers and workforce
working in partnership with business
representatives. We will discuss general
to achieve regulatory compliance (and
issues, speciﬁ c compliance failures or
pointing recipients towards the advice
problems with anyone experiencing
pages on its website). The letter also
difﬁ culties.’
summarises the Enforcement Concordat,
and includes a short questionnaire that
aims to assess Moray’s compliance with
25  Enforcement bodies should be open
the Enforcement Concordat.
and transparent about the nature of their
enforcement activities, and the laws that
See http://194.217.0.19/inform/published/
they enforce. Businesses need to have
councilservices/1370/1392.html
a clear understanding of what their legal
12

Well-researched and relevant
housing advisers in advising on tenants’
compliance guidance
rights, and to be of help to tenants
themselves.
The Ofﬁ ce of Fair Trading (OFT) publishes a
wide range of material to help businesses
It will be reviewed periodically to reﬂ ect
comply with legislation for which they
OFT’s developing views on unfair terms
have enforcement responsibility. A good
in tenancies, and the views of those
example of advice for traders is OFT’s
who use the guidance. Landlords have
Guidance on unfair terms in tenancy
asked for examples of unfair terms and
agreements (OFT356) published in
how they have been revised. These
November 2001 with the accompanying
were not available for the original
consumer leaﬂ et, Unfair tenancy terms.
guidance but OFT plans to publish some
as an annex to the main guidance.
Before preparing this material, OFT
consulted a wide range of stakeholders
The main beneﬁ t of the guidance has
on the guidance, including NACAB
been that it addresses a widespread
and Shelter, the Housing Forum of the
compliance problem in a cost-effective
Ofﬁ ce of the Deputy Prime Minister,
way. It applies to assured and assured
(which includes the trade), and the
shorthold tenancies. The Ofﬁ ce of the
Law Commission. After consultation,
Deputy Prime Minister estimates that
the guidance was written to explain
there are 1.4 million private assured
why OFT considers some types of
tenancies in England with a total
standard contract terms in tenancy
annual rental value of £5.7 billion. The
agreements to be unfair under the
estimated number of all private rented
Unfair Terms in Consumer Contracts
sector landlords is about 600,000 plus
Regulations 1999. This was needed
some 13,000 letting agencies.
because the relationship between the
Regulations and landlord and tenant
The guidance was widely distributed
law was extremely complex and poorly
and is in considerable demand. As of
understood, and there was widespread
January 2003 nearly 3,000 hard copies
non-compliance as a result.
of the guidance and 28,500 copies
of the leaﬂ et have been distributed.
The guidance is intended to clarify the
The guidance has led to most of the
position, and to explain OFT’s views
major trade associations and those
and the basis on which OFT would
businesses that publish standard
take enforcement action. But the aim
tenancy agreements revising their terms
is also to put landlords, letting agents
to comply with the requirements of the
and publishers of standard contracts in
Regulations.
a position where they can successfully
review and revise their own contracts
See http://www.oft.gov.uk/
without OFT intervention. The guidance
therefore reduces the need for landlords
to seek specialist legal advice. It is
also intended to be of help to trading
standards services as co-regulators and
to help promote consistent enforcement
by them. Furthermore, it aims to assist
13

Being approachable to business
Helpfulness
28  This involves being open to discussing
The Enforcement Concordat states:
potential and actual compliance failures,
i.e. both before and after formal
‘We believe that prevention is better
enforcement action has been taken. For
than cure and that our role therefore
example, in cases that do not require
involves actively working with business,
immediate action but that are the subject
especially small and medium sized
of formal action, some enforcers inform
businesses, to advise on and assist with
the business of their intention to take
compliance. We will provide a courteous
action and offer them the chance to
and efﬁ cient service and our staff will
discuss the speciﬁ c compliance issue
identify themselves by name. We will
and put it right before action is taken.
provide a contact point and telephone
number for further dealings with us and
Following up contact with businesses
we will encourage business to seek
to avoid repeat problems
advice/information from us. Applications
for approval of establishments, licenses,
West Yorkshire Trading Standards
registrations, etc, will be dealt with
Service has adopted a practice of
efﬁ ciently and promptly. We will
offering follow-up visits after any
ensure that, wherever practicable, our
formal action resulting from compliance
enforcement services are effectively
failures. The aim is to offer advice and
co-ordinated to minimise unnecessary
education on how businesses can
overlaps and time delays.’
ensure that they do not repeat the
infringement.
29  Implementing the policy of
See http://www.westyorks.trading-
Helpfulness essentially means letting
standards.org.uk/downloads/
businesses know what they need to do
enforcement%20policy%202002.pdf
to comply with regulatory requirements.
The best enforcement services are
therefore responsive, open and polite, and
they provide persuasive evidence that in
enforcement matters prevention is better
than cure.
30 Helpfulness
can
mean
providing
information and advice, or providing a form
of regular contact between enforcement
bodies and the business community.
Providing information on regulatory
requirements
31  A key aspect of helpfulness is
providing clear information on regulatory
requirements. This can entail creating an
advice function within (or alongside) an
enforcement body to work in tandem with
the formal enforcement function.
14

At the simplest level it can entail
Plain English information packs
publishing guides for local businesses
to assist them in meeting regulatory
•   Aberdeenshire Council is launching a
requirements. This should:
‘Business Information Pack’ as part
of its ‘Business Friendly Initiative’ to
•  help to enhance the image of enforcers
guide businesses through regulatory
with business (as providing assistance
requirements and to provide points of
as well as pursuing rule-breakers); and
contact for council services. The pack
will be written in plain language and
•  raise awareness of regulation among
have advice and information on most
businesses which should mean that
of the major regulatory services and
less time will be spent on explaining
will be expanded to cover all local
basic requirements.
authority regulatory activities. It will
initially be published in hard copy, but
32  Guidance notes on legislation should
Aberdeenshire Council is exploring
be written in clear, accessible language
ways of publishing it electronically
(technical material should be written
(via its website or possibly on CD-
with the layman in mind), and drawn up
ROM).
in consultation with key members of the
business community so that their areas of

See http://www.aberdeenshire.gov.uk/
concern are covered.
web/business.nsf/html/
57EPH2?OpenDocument
33  All guidance or information should
be available in a range of media: print
•  East Hertfordshire District Council’s
(leaﬂ ets, newsletters), telephone (to
Environmental Health Unit has
request leaﬂ ets, etc), electronic (websites),
developed a ‘Guide to Law and
Braille, and languages other than English
Practice’ to help local businesses
(as appropriate). This allows business and
meet their legal obligations. Its
the general public to obtain a range of
ring-bound format allows for easy
information on regulations that may affect
updating (cost £5,000 for 750 sent to
them, at their leisure and without the
SMEs).
need to come into formal contact with an
enforcement body.

See http://www.eastherts.gov.uk/
business/regulations/regulations_
and_your_business.htm
•   Winchester City Council has
produced a simple guide for local
businesses on health and safety
at work.

See http://www.winchester.gov.uk/
enviro_health/health&safety/
index.shtml
15

Face-to-face advice and consultancy

A copy of this can be ordered from
http://www.dti.gov.uk/publications
•   Creating a separate regulatory advice
or by calling the DTI Publications
function can also have good results.
order line on 0870 1502 500 and
Kirklees Business Partnership has
quoting reference URN 03/662.
enjoyed great success with its
Regulatory Advice Team which
provides advice, training and
consultancy services on regulatory
Using technology for smart compliance
issues to small and medium-sized
•   The Environment Agency has set up
businesses (in particular it offers
a website that provides sectorally-
two hours’ free consultation to any
targeted information to businesses
business to assist with regulatory
about their legal obligations.
compliance, mainly health and safety,
and food safety). A telephone hotline

NetRegs at: http://www.environment-
also provides a one-stop-shop for
agency.gov.uk/netregs/
advice from a range of enforcement
bodies.
•   Norfolk County Council has set up a
similar website, Superuk.com, which

See http://www.kbp.org.uk/
allows businesses to access and
query information on all regulations
•   Stockton-on-Tees Borough Council
enforced by local authorities.
has followed a similar path to that
of Kirklees by setting up a Food and

See http://www.superuk.com
Environmental Business Advice Unit
which complements enforcement
•   The Health and Safety Executive
activity by providing training and
(HSE) provides rapid access to
advice to businesses to help them
its wealth of health and safety
meet their obligations and become
information, and access to expert
more competitive.
advice and guidance via Infoline.
Infoline is HSE’s public enquiry

See http://www.feau.co.uk/
contact centre, which takes enquiries
by telephone, e-mail, minicom, fax
•   The Small Business Service provides
and letter. Enquiries can be sent via
a consultancy service to government
HSE’s website at www.hse.gov.uk
departments on communicating
(click on ‘contact us’). All callers can
regulatory requirements to a small
remain anonymous, which makes
business audience, and has compiled
the service accessible to everyone.
a database of small business owners,
Infoline receives 280,000 contacts
managers and administrators
a year, 90% of which are dealt with
willing to participate in relevant
at ﬁ rst point of contact. The service
consultations. In addition to this, the
was awarded Cabinet Ofﬁ ce Beacon
How to Get the Message Across
Status for Customer Relationship
booklet was re-issued in March 2003.
Management in late 2001.
This provides help to government
departments in producing their
guidance for small businesses.
16

•  In order to reduce routine user–
Assisting compliance with dedicated
enforcer interface time (thus cutting
teams
costs and allowing staff to focus
Inland Revenue’s Right Track Teams
on key tasks), enforcement bodies
(RTTs) embody the Policy of Helpfulness
could have downloadable forms on
their websites (or send regular users
by encouraging and managing
forms on ﬂ oppy disks), include ‘fees
compliance. Their primary role is to
calculators’ on websites, and publish
make contact with people who appear
e-newsletters.
to be operating in the hidden or informal
economy as ‘ghosts’ or ‘moonlighters’.
•  For lengthy or ongoing compliance
RTTs are then tasked with bringing these
procedures, enforcers could consider
individuals into the formal economy,
providing a single point of contact
overseeing their registration with Inland
for users/businesses. For example,
Revenue and ensuring they pay their tax
the Building Control section of the
and NICs on time for at least two years
London Borough of Newham has put
or return cycles, through proactively
in place a dedicated ‘checking ofﬁ cer’
assisting them to ﬁ le their returns on
to deal with all building control
time. During 2001/02, 34,864 ‘ghosts’
applications.
and ‘moonlighters’ were registered and
all of those who continue in business

See http://www.newham.gov.uk/
will receive follow-up customer service
environment/buildingcontrol/
contacts during the following two return
index.htm
cycles.
•  HSE launched the Incident Contact
Upon discovery, i.e. once the RTT ofﬁ cer
Centre (ICC) in April 2001. This is
has established liability, through letter,
a user-friendly way for businesses
phone calls and if required meetings (at
in England, Scotland and Wales to
the customer’s convenience), all
meet their statutory obligation to
co-operative customers are allocated to
report speciﬁ c kinds of health and
a Customer Manager (CM) to support
safety incidents. Businesses can now
them within the Customer Assistance
telephone their reports to a single
Programme. At this stage a tax record
contact point – without having to ﬁ ll
is created, and all applicable returns
in a form or identify the enforcing
are issued. A letter is issued to the
authority. They can also report via a
customer to introduce their CM and
website (www.riddor.gov.uk) using
outline the CM’s role. During the two-
an interactive form, or by e-mail, fax
cycle period the CM will liaise with the
or post. The ICC helps businesses
during the reporting process and
customer or their nominated agent and
can direct them to HSE’s Infoline
provide guidance on the return process.
or HSE staff for more information.
They ensure that their customers
The ICC provides businesses with a
understand all applicable deadlines and
simple, fast, effective and integrated
the consequences of non-compliance,
reporting service – reducing
and deal with any basic enquiries that
paperwork and giving businesses
arise. If required and appropriate, the
greater choice when reporting.
CM will also suggest and arrange help
from Inland Revenue’s Business Support

See http://www.hse.gov.uk
Teams and Enquiry Centres, etc.
17

Inland Revenue’s Business Support
As a result, Taunton Deane Council now
Teams (BSTs) also provide help and
attaches to the advance notiﬁ cation
assistance with compliance to small
of inspection letter an information
businesses. They offer national support
sheet that details what the inspector
to new/small businesses and employers
will expect to ﬁ nd, and gives guidance
in view of the Government’s recognition
on how to ﬁ nd health and safety
of the signiﬁ cant burdens these sectors
information. There are separate versions
have to cope with. Although their
for micro-businesses and branches of
primary responsibility is to new/small
larger companies. With the inspection
businesses and employers, the BSTs
report, businesses are also given an
will provide education to all types of
information sheet on what they are
business and employers on speciﬁ c
expected to do with the report and a
new Government initiatives such as
pro-forma action plan. All documents are
tax credits. The BSTs provide free help
in plain English.
to customers through specially trained
Business Advisors in two main ways:
See http://www.tauntondeane.gov.uk
•  one-to-one consultations, usually at
the business premises but also at any
location convenient to the customer.
Engagement with business
The BSTs will also, if asked, check
that the customer’s record-keeping
34  Forms of regularised engagement
systems or payroll processes are
between enforcers and the business
adequate; and
community (for example, through Local
Business Partnerships) can be beneﬁ cial in
•  half-day workshops covering a range
fostering an atmosphere of trust and good
of subjects relating to payroll or
working relationships between enforcers
business tax matters.
and business. In particular they can help
to overcome any perception by business
See http://www.inlandrevenue.gov.uk
that enforcement bodies are unnecessarily
prescriptive or adversarial.
35  Businesses are often reluctant to ask
Improving the ﬂ ow of information
enforcement bodies for advice because
A Best Value review undertaken by
they are afraid of admitting that they do
Taunton Deane Borough Council revealed
not know how to comply with the law
that many small businesses in its area
(and of opening themselves up to possible
felt that health and safety communication
enforcement action). Regularised contact
was not always clear. This was reinforced
in the form of newsletters, seminars,
by the Council ﬁ nding that its inspectors
open meetings, advice sessions,
were having to spend a lot of time either
e-mail discussion groups, etc, can
dealing with businesses that had no idea
help to encourage enforcer–business
what an inspection entailed, or chasing
and enforcer–enforcer dialogue. It can
up businesses that had not taken action,
also become a mechanism for helping
or had taken insufﬁ cient action following
businesses to understand and comply with
inspections.
their legal obligations.
18

Using partnerships to improve business–
–  ensuring fair competition for all
enforcer relationships
local businesses, whatever the
size of the company; and
•  Basingstoke and Deane Borough
Council, Hampshire County Council,
–  helping regulators target
Fire and Rescue Services and local
enforcement on those ﬂ outing
Police have set up a Local Business
the law.
Partnership to enable businesses and
regulators within the Basingstoke
See http://www.basingstoke.gov.
and Deane area to work more
uk/business/localbusinesspartner
closely together. The Local Business
ship.asp
Partnership aims to create a new
relationship between businesses and
•  A business partnership was set
the regulators by:
up in Cardiff in response to local
businesses’ desire that the Cardiff
–  cutting out any red tape when
Trading Standards Service should
applying regulations to business;
actively help business by being
available for informal discussions
– encouraging
better
two-way
of the problems faced by business
communication between the
– thereby resolving issues without
local business community and
the need for formal action.
the regulators, to make it easier
for the business community
See http://www.cbp.org.uk/content/
to comply with regulations by
frames.htm
ensuring they are given clear
information and good, user-
•  Barnsley Local Business Partnership
friendly advice;
has had great success with its
‘Business Alive’ all day events that
–  helping to improve mutual
provide businesses with a chance
understanding of needs;
to get up to date information on
regulatory issues.
–  making it easier for businesses
to comply with regulations,

See http://www.barnsley.gov.uk/
by helping them understand
business/lbpartnerships/
their responsibilities under the
background.asp
legislation;
–  developing clear standards of
service that businesses can
expect from the regulators;
–  providing a mechanism for
businesses to receive early
notiﬁ cation of forthcoming new
legislation, and enabling them to
assess its likely impact;
19

•  The Government’s and the Health
reduce hydrocarbon leaks succeeded
and Safety Commission’s Revitalising
in reducing major releases by 16%
Health and Safety Strategy recognises
compared to April 2000. A number
that to continue improving health and
of other sectors have also set their
safety in Great Britain, the Health
own targets, including: construction,
and Safety Executive (HSE) needs to
electrical, the food and drink industry,
work together with businesses and
textiles, mining and quarries.
others to prevent and control risks to
employees, the self-employed and
See http://www.hse.gov.uk
members of the public.
36 Targeted
or
business-speciﬁ c contact
   The strategy is built upon key
is also a useful method of reaching out to
themes, one of which emphasises
businesses and communicating to them
the need for ‘partnership on health
the beneﬁ ts of compliance.
and safety issues’. This includes
co-operation between public sector
bodies, companies of all sizes,
Regular contact with stakeholders
trade unions, professional and
Crewe and Nantwich Borough Council
standards-setting bodies, designers,
set up a Landlords Forum which meets
manufacturers and suppliers. HSE
every three months and allows landlords
encourages, helps set up and
to seek information on issues of concern
becomes part of these relationships.
to them, and allows the Council to
disseminate information.
   A prime example of this is HSE’s
work to help and encourage industry
See http://www.crewe-nantwich.gov.uk/

sectors and companies in setting their
own health and safety performance
targets. Certain sectors have achieved
Creating a higher proﬁ le for initiatives to
notable improvements. Employers,
improve awareness
trade unions and HSE, working
HM Customs and Excise Business
together through the Health and
Liaison Team has set up the ‘Building
Safety Commission’s Paper and
Bridges to Small Businesses’ initiative to
Board Industry Advisory Committee,
draw together advice from government
have achieved welcome progress in
ofﬁ ces and provide the answers that
reducing injuries and deaths in the
small businesses need to their VAT and
paper industry.
customs questions. The Business Liaison
Team markets the initiative through open

Through this joint initiative, fatal and
days which demonstrate the service it
major accidents reduced by 30%
provides.
overall in the three years 1998 to
2001. Those ﬁ rms who have involved
See http://www.hmce.gov.uk/business/
their employees in all aspects of
health and safety have achieved
37  Accreditation schemes for business
reductions of more than 50%. A
can also be a possible way forward
further challenging three-year target
for enforcement bodies to engage
has been agreed. In the offshore oil
regularly with businesses and facilitate
and gas industry, a programme to
compliance with regulation. Successful
accreditation schemes can contribute
20

to improved levels of compliance and
consultation and by the involvement
bring beneﬁ ts to consumers in the form of
of service users.
product quality and safety.
See http://www.eastriding.gov.uk/
Endorsing best practice by business
•  The East Riding of Yorkshire Council’s
Housing Standards Team has
A Charter Mark for motor traders
introduced a Private Rented Sector
•  The London Borough of Enﬁ eld has
Accreditation Scheme to encourage
developed the Enﬁ eld Responsible
good practice and high standards
Motor Trader Scheme, which aims to
from private landlords.
beneﬁ t both traders and consumers
by raising the standard of trading
   This is a voluntary scheme initiated by
within the motor trade sector.
the Council in partnership with private
sector landlords and managing agents,
   Consumers beneﬁ t by being able
but also involving Building Control and
easily to recognise scheme members
Planning sections, the Humberside
by a clear logo. This assures them
Fire and Rescue Service, Humberside
that the trader abides by a code of
Police, the North Yorkshire and East
practice in selling and servicing cars,
Riding Energy Efﬁ ciency Advice
and has a clear process for dealing
Centre, Smart Moves, Housing
with complaints. Traders beneﬁ t by
Beneﬁ t, Housing Services and the
having a positive public image and by
Yorkshire Coast Landlords Association
having in-house training and quality
and Trading Standards.
checks externally audited.
   The scheme has three levels:
   Finally, the local authority beneﬁ ts
accreditation, commended and highly
by improving relationships with car
commended. Following accreditation,
traders and improving standards
a landlord/agent will be invited to
within the car trade.
apply for the ‘commended’ award.
‘Highly commended’ is usually

See http://www.enﬁ eld.gov.uk/
awarded on recommendation.
resmotor.htm
   The scheme was established
• Similarly,
West
Yorkshire
Trading
following consultation, through
Standards Service’s Motor Trade
a working group, with landlords,
Partnership Scheme aims to ensure
agents, ofﬁ cers and tenants. Findings
greater customer satisfaction
from a tenant satisfaction survey
and a reduction in the number
were also used to shape the scheme.
of complaints received by West
As tenants expressed particular
Yorkshire Trading Standards.
concern about the costs of heating,
Members of the scheme
security and ﬁ re safety, these
demonstrate a commitment to be
elements were incorporated into
fair, safe and honest in their dealings
the commended standard within the
with their customers.
scheme. The Private Rented Sector
Accreditation Scheme is an excellent

See http://www.ts.wyjs.org.uk/
example of what can be achieved by
mtpindex.htm
21

Co-ordinate with other enforcement
•  The SBS has also produced a series
bodies
of summary guides to regulation
in poster form. These provide
38  Making linkages with other
information on a range of areas that
enforcement bodies can greatly help in
are of interest to new businesses and
providing a co-ordinated service in speciﬁ c
cover some topics not touched upon
areas.
in The No-nonsense Guide. Topics
covered in this series are: setting up
One-stop-compliance-shop
in business, employing staff, health
and safety, sale of goods, insolvency
•  The Driver and Vehicle Licensing
and business succession.
Agency and HM Customs & Excise
have teamed up to provide a one-
stop-shop for personal importers
of new vehicles from the EC. This
Complaints about service
enables them to make a prior
customs declaration so that they can
The Enforcement Concordat states:
license and register their vehicle on
arrival in the UK (previously users
‘We will provide well-publicised,
were having to wait some weeks
effective and timely complaints
for the issue of customs forms for
procedures easily accessible to
the registration and licensing of new
business, the public, employees and
vehicles purchased in Europe).
consumer groups. In cases where
disputes cannot be resolved, any right
See http://www.dvla.gov.uk/faq/faq_
of complaint or appeal will be explained,
imports_exports.htm
with details of the process and the likely
time-scales involved.’
•  The DTI’s Small Business Service
(SBS) has worked with other
government departments and
39  It is vital that enforcement bodies
agencies to produce an accessible
gather feedback on the services they
and straightforward guide to save
provide. Positive feedback serves to
new businesses time and money
reinforce good practice, whilst comments
in getting to grips with regulatory
from business and others can help
requirements. The result is the
to reﬁ ne and improve enforcement
ﬁ rst single reference source of
activity. Negative feedback in the form
government requirements and
of complaints is no less valuable – it can
support for those thinking of or
provide useful information for enforcers
about to set up a new business in
when they periodically review the quality
the UK. The No-nonsense Guide was
of their services.
published in March and is available in
hard copy and electronically through
40  Listening to and acting on feedback,
www.businesslink.org and other
whether positive or negative, is also
business intermediaries.
a good way of putting the policies of
Openness and Helpfulness into practice.
It shows that an enforcement body is
open to the views of business, learns from
22

its mistakes and is continually trying to
Handling complaints
improve its service.
•  Encourage front-line staff to ‘own’
41  The proper handling of feedback
complaints.
is therefore an important part of good
enforcement practice. Businesses should
•  Have clear, written procedures that
be fully informed not only of what to
focus on sorting out complaints quickly.
expect from an enforcement body/ofﬁ cer,
but also how they can submit praise,
•  Consult staff and users when drawing
comments or complaints about the service
up and revising complaints procedures.
they receive. Here are some key aspects
of an effective complaints procedure:
•  Make sure that the procedures are fair
to staff and users, and that information
Access to the complaints procedure
is treated as conﬁ dential.
•  Encourage complaints and
•  Recognise the importance of good
compliments by advertising procedures
communication skills when recruiting
and making them easy to use. For
and training staff who handle
example, include a leaﬂ et outlining the
complaints.
complaints procedure and standards of
service (which also allows recipients
•  Make sure that all staff, especially
to make comments on the service
those who have most contact with
they receive) with all correspondence.
users, know your policy and receive
Details of complaints procedures can
training.
also be published on websites, which
could also allow for complaints to be
•  Draw up a menu of remedies and make
submitted over the web.
sure that staff and users understand
the options, including the role of any
•  Tell users about service standards and
ombudsman.
how to complain if they are not met.
•  Provide support to staff, and get senior
•  Make it clear that complaints and
managers’ commitment to handling
comments are welcomed and will
complaints properly.
be used to assess and improve
enforcement activity. For example,
Results
make available on a website information
on how complaints have been handled
•  Record all complaints and analyse
in the past, what went wrong and what
them to understand users’ views and
was done to put matters right.
the improvements they want.
It is important that an evidence base
•  Be aware of users who have special
of complaints is built up to inform
difﬁ culties, for example those with
decisions about enforcement activity.
a reading disability or whose ﬁ rst
language is not English.
•  Publish information at least once a year
on the number and type of complaints;
•  Carry out surveys to check that
how quickly they were dealt with;
complaints systems really are easy
users’ satisfaction; and actions taken
to use.
as a result.
23

•  Pass information from complaints to
Ofﬁ cers can check the history of the
policy makers.
complaint, who dealt with it, and any
action taken. This means that customers
•  Take advantage of new information
do not have to repeat their story to
technology, including putting
different members of staff.
complaints procedures on the Internet.
The system has been running since
•  Have complaints reviewed by someone
July 1996, and is so successful that
not responsible for the person or
Kirklees Housing Service has sold it to
service complained about.
the company who provided the original
software. The company has since sold
42  More information on effective
the system to other organisations.
complaints procedures can be found
on the Cabinet Ofﬁ ce’s ‘Better
See http://www.kirklees.gov.uk/you-
Public Services’ website at: http://
kmc/complaints/complaints.shtml
www.serviceﬁ rst.gov.uk/1998/complaint/
b5summ.htm
Using a complaints/comments database:
Joined-up complaints process
efﬁ cient for enforcers and customers
The Blackpool District of the Beneﬁ ts
Kirklees Metropolitan Borough Council’s
Agency has introduced its own local
Housing Service has designed its own
Customer Complaints Policy to achieve
system, called ACE, which records,
uniformity across the district and to
monitors and reports on approvals,
ensure that all users are treated fairly.
complaints and enquiries. ACE can
The document is designed to achieve
be used with the service’s existing
uniformity when staff receive either a
software. Many of the system’s
complaint or a compliment, and includes
features are a result of past guidance
Service Level Agreements between each
on good practice; general issues that
command manager and the customer
affect society and local authorities (for
service manager, agreeing targets for
example, nuisance and harassment); and
all types of complaints including MP
consultations with front-line staff.
enquiries. The policy document also
gives staff guidance on procedure,
Customers’ views are also taken
desk aids to follow, and aide-memoires,
into account. For example, the
and is envisaged to ensure higher
system produces an automatic
levels of performance than the national
acknowledgement to a written
procedures in productivity and speed of
complaint or query. However, staff found
clearance. All complaints are handled
that people making oral complaints or
in the same way, thus ensuring fair
enquiries preferred just to be told their
treatment for all customers.
ACE reference number. This saves the
council a lot of money on postage.
The procedure is considered to make
the complaints policy more relevant for
Customer relationships and the image
staff and certainly gets attention from
of the service have improved because
staff because it is recognised as locally
customers can discuss problems with
produced to meet their needs and those
any housing ofﬁ cer in any location.
of their users.
24

Monthly surveys are issued to
Proportionality
customers who have submitted a
complaint and have received a written
The Enforcement Concordat states:
response, to ascertain if they felt the
complaint was fully answered, if the
‘We will minimise the costs of
reply was clear, and also if they were
compliance for business by ensuring that
happy with the length of time taken to
any action we require is proportionate to
deal with the complaint.
the risks. As far as the law allows, we
will take account of the circumstances
See http://www.blackpool.gov.uk/
of the case and the attitude of the
operator when considering action.
We will take particular care to work
User-friendly complaints and feedback
with small businesses and voluntary
systems
and community organisations so that
The Environmental Health and Licensing
they can meet their legal obligations
Services Division of Cheltenham
without unnecessary expense, where
Borough Council has developed a user-
practicable.’
friendly complaints process, which is
available electronically to make it open
43 Proportionality is an important part of
and accessible to all.
the Enforcement Concordat’s partnership
approach to enforcement. The Concordat
Cheltenham Borough Council is
recognises that most businesses want
committed to providing high-quality
to comply with the law. This means
services that meet the needs of users.
that the proportionate response to
To ensure that it is able to do this, it
most enforcement situations will be for
seeks to identify what people think of
enforcers to co-operate with business
services so that it can constantly review
to achieve compliance by being open
and improve them. The Environmental
and helpful, offering informal advice,
Health and Licensing Services part of
and providing the chance to discuss
the Council website makes very clear
compliance problems. The overall aim is
that the service welcomes complaints
the highest possible levels of compliance
as an opportunity to put matters right.
with the law coupled with proportionate
enforcement, in which prosecution is
In addition to clear information on how
generally reserved for the most serious
to complain, comment or compliment
offenders.
the service, the website includes details
of service levels that users have a right
44 Being
proportionate
also
means
to expect and reports on complaints that
applying the principles of risk assessment
have been handled in the past, what
to enforcement activity. Enforcement
went wrong, and what was done to put
bodies should focus their attention on
matters right.
those whose activities give rise to the
most serious risks, or where potential
See http://www.cheltenham.gov.uk/
hazards are least well controlled.
Compliance in lower-risk business
activities should be encouraged by being
open and helpful.
25

45  Therefore action should be
balance helping businesses and others
proportionate to the seriousness and
to meet their legal obligations without
persistence of the infringement and should
unnecessary expense, with taking ﬁ rm
be the minimum action necessary to
action (including prosecution in those
secure future compliance. For example, in
cases where advice and assistance
some instances the circumstances of an
are clearly an insufﬁ cient response in
infringement and the enforcement body’s
themselves to the conduct displayed).
own policy will mean that prosecution is
But in the majority of cases involving
a disproportionate form of action to deal
law-abiding businesses, enforcers
with the matter.
should be able to use the Concordat’s
partnership approach to achieve regulatory
46  Formal enforcement action (up
compliance.
to and possibly including prosecution)
is proportionate in some cases. The
49  Some examples of proportionate
procedure for investigating suspected
enforcement are described below.
offences is set out in the Police and
Criminal Evidence Act 1984 (PACE) and
Publish prosecution guidelines
the Codes of Practice made under it, and
the Criminal Procedure and Investigation
Explaining the Code for Crown
Act 1996 (CPIA). The criteria for deciding
Prosecutors
whether to bring a prosecution following
an investigation are set out in Code for
Northamptonshire County Council,
Crown Prosecutors and enforcers’ own
like many enforcers, has published on
enforcement policies. Nothing in the
its website the criteria it will apply in
Enforcement Concordat or the Good
deciding whether or not to prosecute.
Practice Guide changes these provisions.
These are based on the Home Ofﬁ ce
Indeed PACE and CPIA provide important
guidelines (the ‘Code for Crown
safeguards for the public by laying down
Prosecutors’) that detail a two-stage
strict standards that the police and other
decision-making process involving an
enforcement ofﬁ cers have to apply in
evidential and a public interest test.
carrying out their investigations.
The ﬁ nal decision on the outcome of an
infringement is always made in the light
47  In the context of the Concordat’s
of all the circumstances, and even if the
partnership approach to securing
evidence warrants a prosecution, the
regulatory compliance, enforcers should
public interest test allows for discretion
note the effect of PACE Code C: if an
not to proceed automatically with a
enforcement ofﬁ cer obtains information
prosecution.
without cautioning which gives the ofﬁ cer
reasonable grounds to suspect an offence
See http://www.tradingstandards.gov.uk/
has been committed for which prosecution
northants/about.htm#pros
may well be a proportionate response,
the ofﬁ cer may caution the individual and
continue the interview in accordance with
PACE, its Codes and any requirements
imposed under the CPIA.
48  Ultimately, applying the policy of
proportionality will help enforcers to
26

Target higher-risk business activities
For this group Inland Revenue decided
that it made sense to use its risk
Priority planning for low-risk activities
assessment information, identifying
‘risky’ cases (not the very high-risk cases
The Health and Safety Executive/Local
that it wanted to take up for enquiry) to
Authority Liaison Committee (HELA) has
increase compliance coverage over a
introduced a priority-planning regime for
large group of customers. A proactive
health and safety enforcement which
contact, accompanied by an offer of help
recommends the approach of engaging
if the customer wants it, which results
those involved in low-risk business
in better voluntary compliance by even
activities by means other than the
modest amounts across a large group, is
traditional method of inspection.
a good use of scarce resource. it means
that Inland Revenue can concentrate its
regulatory effort on serious cases.
Sectorally-targeted risk assessment
Inland Revenue has set up a ‘Small
See http://www.inlandrevenue.gov.uk/
Business Initiative’. Between April and
budget2001/revce1.htm
July 2002, just under 17,000 letters
were issued by Inland Revenue Area
Ofﬁ ces around the country to self-
employed people whose 2000/01
Identifying problem traders
tax returns indicated potential tax at
The London Borough of Camden
risk. The letters aimed to help these
has implemented a ‘Problem Trader’
individuals improve their compliance
scheme, whereby any business which
proﬁ le on the 2001/02 return, by
is subject to eight or more justiﬁ ed
including guidance on how to avoid
consumer enquiries in a rolling year,
some frequent errors in completing tax
is visited by a consumer advisor and
returns; by making an offer of help with
a trading standards ofﬁ cer, in order to
the 2001/02 return; and by mentioning
discuss any underlying problems and to
Inland Revenue’s enquiry strategy.
remind the business of its obligations
under the civil and criminal consumer
Why were letters sent to this group of
law that the Trading Standards Team
customers?
enforces.
Around 44% of Inland Revenue’s self-
See http://www.camden.gov.uk
employed Income Tax Self Assessment
customers declare a turnover of less
than £15,000 and are eligible to submit
three-line accounts, i.e. gross proﬁ t
less expenses = net proﬁ t. 20% of this
number (about 616,000 people) do not
employ an agent to prepare their returns.
Inland Revenue has discovered from
recent research that this group sends the
highest proportion of poorly completed
returns (50%, as compared with 19%
from those who employ a qualiﬁ ed agent).
27

Consistency
their own performance. Ensuring that
enforcement bodies liaise in dealing with
businesses will encourage efﬁ ciency,
The Enforcement Concordat states:
promote uniformity, reduce duplication and
assist business in complying with the law
‘We will carry out our duties in a fair,
(the Trading Standards Home Authority
equitable and consistent manner.
Principle is a good example of how this
While inspectors are expected to
liaison can work in practice).
exercise judgement in individual cases,
we will have arrangements in place
to promote consistency, including
Providing a single point of contact
effective arrangements for liaison with
for large national businesses and the
other authorities and enforcement
enforcers that deal with them
bodies through schemes such as those
The Trading Standards Home Authority
operated by the Local Authorities
Principle is designed to encourage
Co-ordinators of Regulatory Services
efﬁ ciency, promote uniformity, reduce
(LACORS) and the Local Authority
duplication and assist enterprises
National Type Approval Confederation
to comply with the law. The main
(LANTAC).’
aim of the Principle is to prevent
infringements by offering advice at
50 It is important to ensure, and
source and by encouraging enforcement
to demonstrate, that enforcement
authorities and enterprises to work
activities are consistent both within a
in liaison with a particular authority
single enforcement body and between
called the ‘home authority’ in order
enforcers regionally and nationally.
to retain high standards of protection
Whilst consistency of approach does not
whilst minimising duplication and
mean uniformity, it does mean taking a
public expenditure. A similar scheme
similar approach in similar circumstances
operates in the area of health and
to achieve similar ends. Those being
safety regulation, the Lead Authority
regulated should reasonably expect a
Partnership Scheme.
consistent approach from enforcing
authorities in the advice they give.
See http://www.lacors.gov.uk for more
information on the Trading Standards
Home Authority Principle and Health
Liaison between enforcement bodies
and Safety Lead Authority Partnership
Scheme.
51 A particularly effective way of
achieving consistency is through inter-
enforcement body benchmarking and
Joined-up benchmarking
liaison agreements whereby a group of
enforcers undertake to regularly assess
Benchmarking allows enforcers to
their performance relative to each other,
compare critical aspects of their
and to ensure that they deal with large
performance, including the application
national businesses in a consistent way.
of the Concordat’s Principles. It can help
to identify gaps in their performance,
52 Benchmarking is a highly visible way
to highlight fresh approaches to
of assuring the business community that
implementing the Concordat, and to
enforcement is consistent, and a valuable
monitor progress.
way for enforcers to monitor and assess
28

The North of England Benchmarking
Sharing information and experience
Group brings together Trading Standards
•
The Quality Networks Scheme.
ofﬁ cers from Cumbria County Council,
Quality Networks are locally run by
Durham County Council, Lancashire
groups of people from all areas and
County Council, Northumberland County
levels of public service (national
Council, North Yorkshire County Council,
and local) which aim to: share
and West Yorkshire Trading Standards
information on developments in
Service.
best practice; compare progress
in areas of common interest; build
The Core Cities Group brings together
partnerships between public service
Birmingham, Bristol, Leeds, Liverpool,
organisations; and encourage
Manchester, Newcastle, Nottingham
problem sharing and solving.
and Shefﬁ eld.

There are 24 Quality Networks
throughout the UK, with over 2,000
Sector-speciﬁ c business liaison
members from across the public
sector. Networks are not intended
The Kent Food Liaison Group provides
to replace existing contacts, but
a forum for the food enforcement
to give enforcers and other public
representatives of the 13 borough
servants the opportunity to expand
councils in Kent to meet regularly to
the knowledge and expertise
discuss enforcement issues and share
available to their organisation.
good practice. It has developed and
published codes for business regulation

The greatest potential beneﬁ t of
that will be used by enforcers in Kent.
joining a Quality Network will be the
It also provides a co-ordinated way of
opportunity to meet other enforcers
engaging with food businesses in Kent
to discuss quality of service issues.
through a business partnership that is
Most public service organisations
made up of a network of food business
have similar problems to overcome.
consultees.
By pooling experience and facilitating
partnerships between enforcers,
See http://www.kent.gov.uk
Quality Networks can help ﬁ nd
solutions to common problems, and
perhaps avoid reinventing the wheel.
Co-ordination between enforcers for
They also provide an opportunity to
regional consistency
benchmark performance against that
The four district councils in Suffolk
of others.
(including Waveney District Council’s
Environmental Services Department)
•

The Public Sector Benchmarking
have worked together to produce a code
Service provides a web-based
for business regulation that sets out the
resource that enforcement bodies
approach that enforcers will use across
can use to disseminate and gather
the county.
information on best practice in
enforcement.
See http://members.benchmarking.
gov.uk for more information.
29

•
The Ofﬁ ce of Fair Trading (OFT)
Improving services through evaluation
Consumer Regulations Website
from business groups
(CRW) is an example of enforcers
Barnsley Council has had a very
helping each other to achieve good
positive experience of being audited
enforcement by being proportionate
against the Enforcement Concordat
and consistent in their action.
by representatives from the Barnsley
Business Partnership. The auditors
The CRW allows enforcers to share
noted a marked improvement between
information about cases they are
their ﬁ rst and second audits and praised
working on. Initially this applies
the attitude of the Council’s services,
to ‘Stop Now’ work. The website
which it said were ‘more than willing to
has been developed using Invest
take on criticism and showed a strong
to Save funding and a dedicated
willingness to improve their services’.
project team has worked with a pilot
group of enforcers to ensure the
See http://www.barnsley.gov.uk/docs/
site is as effective as possible. Good
econcord.doc
lines of communication have been
set up by members of the project
team travelling around the country
to demonstrate the site. The project
Internal processes
is being rolled out to all enforcers
and training is being carried out in
54 Enforcement
bodies
can:
regional locations.
•  build good enforcement practice
The CRW will cut down on
(i.e. facilitating compliance, targeting
duplicated effort, and should make
formal proceedings) into corporate/
contact with businesses more
organisational business plans, and
targeted and enforcement action
use the EFQM Excellence Model to
more consistent. A spin-off of this
measure and review performance;
project is the creation of better
working relationships between OFT
• consider
producing
a
‘Good
and the other enforcers.
Enforcement Practice’ brieﬁ ng pack for
enforcement ofﬁ cers; and
See http://www.crw.gov.uk/
•  consider applying for a Charter Mark
to demonstrate the excellence of their
External auditing
enforcement activities.
53  Another option for ensuring the quality
and consistency of enforcement activity is
for enforcers to submit to external auditing
by business representatives.
30

Using an ‘Enforcement Management
enforcement decisions. The EMM has
Model’
been extensively trialled to ensure that
it is ﬁ t for purpose and is now publicly
As part of the Health and Safety
available on HSE’s website at
Executive’s (HSE) quality assurance
http://www.hse.gov.uk/enforce/emm.pdf
policy, HSE has set out how it manages
enforcement in line with the Health
and Safety Commission’s ‘Enforcement
Policy Statement’ (EPS) and therefore
the Enforcement Concordat. As part
of this process, an Enforcement
Management Model (EMM) has been
developed to help ensure proportionate
and consistent decisions.
The EMM provides inspectors with a
step-by-step decision-making process,
which guides inspectors in exercising
their professional judgement. It
is written for inspectors but may
assist others (e.g. employers) in
their understanding of the principles
inspectors follow when deciding on a
particular course of action. The EMM,
together with the procedure for its
application, ensures that the principles,
criteria and practices required by the
EPS are adhered to. The EMM shows
how enforcement action is related to the
seriousness of risks which have been
created, and the extent of failure to
comply with what the law requires.
The EMM allows managers to review
the decision-making process and their
inspectors’ enforcement actions to
ensure the purpose and expectations
of the EPS have been met. It also helps
experienced inspectors assess their
decisions in complex cases, allows
peer review of enforcement action, and
can be used to guide less experienced
and trainee inspectors in making
enforcement decisions.
The EMM is being applied to HSE
and local authority health and safety
31

What enforcement bodies
can expect from business
55 The
Enforcement
Concordat
•  Businesses would be proactive in
recognises that most businesses want
seeking advice about regulatory
to comply with the law. The Principles
compliance from enforcement bodies,
of Good Enforcement therefore aim to
and try to take every opportunity
make compliance easier for business
to participate in initiatives/projects/
by fostering a partnership approach to
schemes set up by enforcers to
enforcement in which enforcers and
encourage regulatory compliance.
business have a mutual interest in working
Enforcement bodies cannot compel
together to achieve compliance. This
businesses to seek advice. Businesses
approach brings beneﬁ ts for business
should not wait for enforcers to contact
in the form of a better relationship with
them but should take the initiative and
enforcers, easier compliance and a level
make contact as early as possible.
playing ﬁ eld for law-abiding businesses;
and signiﬁ cant beneﬁ ts for enforcers in the
•  Businesses would establish an open
form of higher compliance levels, which
relationship with enforcers. For
frees resources to tackle businesses that
example, adopting a co-operative, non-
ﬂ out the law or act irresponsibly.
confrontational approach to advice from
enforcement ofﬁ cers, and exhibiting
56  In order for the Enforcement
a willingness to co-operate with
Concordat’s partnership approach to
suggestions and discuss problems.
regulatory compliance to be effective,
enforcement bodies can legitimately
57  By working with enforcement
expect that:
bodies that apply the Principles of Good
Enforcement, businesses will beneﬁ t from
•  Businesses would actively enter into
constructive working relationships that will
constructive working relationships
enable them to get regulatory compliance
with them. This essentially means
right ﬁ rst time and not have to go through
businesses themselves applying the
the costly process of correcting mistakes.
policy of Openness. For example,
a business seeking advice from an
enforcement body should expect to
disclose relevant details of its operating
procedures and, if necessary, to supply
supporting evidence.
32

Adoption and
implementation
58  Many central and local enforcement
in the Enforcement Concordat and a
bodies have already signed up to, adopted
commitment to work towards achieving
and implemented the Enforcement
the required standards.
Concordat. In the case of those who have
not yet gone through this process, the
60  A majority of local authorities in
following section offers a good practice
England and Wales, enforcement agencies
guide to the adoption and implementation
and government departments have already
of the Enforcement Concordat, in
signed up to the Enforcement Concordat.
terms of:
Those who have not adopted the
Concordat and wish to do so should send
•  What is entailed once an enforcement
formal notiﬁ cation of adoption to the DTI’s
body has agreed to adopt?
Small Business Service (SBS).
• Setting the adoption process in motion
Setting the adoption process in
motion
–  determining lead responsibility
Determining lead responsibility
–  ensuring the involvement of all
regulatory functions
61  Senior management has a key role to
play in getting the whole process off the
–  reviewing existing enforcement
ground. The starting point for adoption
policies
should be their full endorsement of the
Enforcement Concordat. They should
– consulting
with
business
work jointly to promote adoption, and
to demonstrate the good enforcement
–  working with other regulators
culture that should underpin the
enforcement body’s regulatory approach.
–  drawing up a strategy for
implementation
62  Senior management also needs to
take an early decision about who will
What is entailed once an
assume lead responsibility for the adoption
enforcement body has agreed
process. This lead ofﬁ cer should be a
to adopt?
senior manager, with some corporate
responsibilities. The lead ofﬁ cer should
59  By formally adopting (or ‘signing
work closely with the managers of the
up to’) the Enforcement Concordat, an
enforcement body’s regulatory functions.
enforcement body is demonstrating a
commitment to the Principles set out
33

Ensuring the involvement of all
Concordat Principles. Therefore, if the
regulatory functions
enforcement body prefers at this stage
to give a commitment to undertake this
63  It is essential that the adoption of the
work following formal adoption, then
Enforcement Concordat is an inclusive
the drafting of the core policy document
exercise and that all an enforcement
and any supplements to it needs to be
body’s regulatory functions are involved
undertaken at the implementation stage of
in the adoption process. The lead ofﬁ cer
the process (see below).
should request each regulatory function in
the enforcement body to appoint a senior
Consulting with business
manager to serve on an Enforcement
Concordat Working Group that should
67  When the draft core enforcement
oversee adoption and implementation of
policy document and (if required) the
the Concordat.
draft supplementary policies have
been prepared, the lead ofﬁ cer and the
Reviewing existing enforcement policies
Working Group should arrange to consult
with business and other stakeholders.
64  An enforcement body is not required
‘Business’ can be interpreted in the widest
to provide evidence that it has all
sense as those affected by regulation.
necessary policies and procedures in place
Any suggestions generated by this
before it can signal support for (adopt)
consultation should be openly considered
the Enforcement Concordat’s Principles.
and, where appropriate, incorporated into
However, some enforcement bodies may
the enforcement policy document. Bodies
prefer to proceed on this basis. If this is
an enforcement body might want to
the case, then the Working Group should
consult include: Chambers of Commerce,
now begin to review the enforcement
trade associations, the Federation of Small
policies of all regulatory departments and
Businesses, local Business Centres and
to develop a corporate ‘core’ enforcement
Forums, the British Retail Consortium,
policy document for use across the
the Confederation of British Industry,
enforcement body.
town centre management initiatives, the
National Farmers’ Union, local tourist
65  If necessary, this core document
boards, the Building Employers’ Federation
should be supplemented by policies for
and others from the local area, as
individual regulatory functions. The core
appropriate.
policy document should be comprehensive
and should aim to be as helpful as possible
Working with other regulators
to any regulated business. Supplementary
policies should make reference to
68  Consideration should be given to
commitments to national co-ordination and
liaison with local representatives of other
consistency mechanisms (e.g. for local
enforcement bodies. At this stage, this will
authorities, LACORS, LANTAC, the Home
aid the ‘joining up’ of regulatory services
Authority Principle and the Lead Authority
operating within the local community.
Partnership Scheme).
Drawing up a strategy for
66  However, adoption of the
implementation
Enforcement Concordat, at its most basic
level, simply demonstrates a commitment
69  Once formal adoption has been
to implementing the Enforcement
agreed, an enforcement body should
34

draw up a strategy for implementation.
71  To ensure continuity an enforcement
This exercise will effectively deﬁ ne the
body’s lead ofﬁ cer, in conjunction with the
co-ordinated corporate mechanism for the
Enforcement Concordat Working Group,
delivery of the Enforcement Concordat
should oversee preparation of the strategy
Principles. If no work has been undertaken
for implementation.
at the adoption stage to draw up a core
enforcement policy document and
72  The strategy is intended to guide the
(if required) any relevant supplements, nor
work of enforcement bodies in applying
to consult with business and others on the
the Principles of the Enforcement
policies proposed, then this work should
Concordat. Consequently it is for the
form part of drawing up the strategy for
enforcement body to decide whether or
implementation.
not to publish it.
70  Working to produce the strategy
should help to clarify what action the
relevant areas of the enforcement body
need to take in order to deliver the
Enforcement Concordat’s Principles. For
example, within an enforcement body one
function may already have an enforcement
policy in place for certain aspects of its
work but not for others; another function
may never have looked at bringing in
such policies. In all cases, policies will
need to be developed and circulated to
all relevant parties for comment and a
timetable drawn up specifying target
dates for completion. The strategy for
implementation should set out:
•  what enforcement functions are
covered;
•  what changes will be made, and what
training might be needed in order to
fulﬁ l the policies and procedures of the
Enforcement Concordat;
•  how, and when, these changes will be
achieved; and
•  how the enforcement body will monitor
performance against the Enforcement
Concordat Principles in the future.
35

Monitoring
73  It is important that enforcement
that is chosen should suit the individual
bodies should monitor their performance
enforcement body; for example, sharing
in applying the Principles of Good
and learning from the experiences of other
Enforcement to their enforcement
enforcers can be extremely beneﬁ cial.
activities. It is only through some form
Enforcement bodies should be committed
of monitoring that they can assess the
to transparency throughout. The process
impact of the Enforcement Concordat on
could follow any one of the ﬁ ve methods
their day-to-day work.
set out below, or could be a combination
of all or some:
74  The need for monitoring of
voluntary compliance with the
• Self-assessment
by
enforcement
Enforcement Concordat is emphasised
function lead ofﬁ cers, or inter-function
by the Regulatory Reform Act 2001. By
assessments, or by a corporate ofﬁ cer
establishing a reserve power for ministers
with a cross-function Enforcement
to set out a binding code of good practice
Concordat responsibility.
in enforcement, the Regulatory Reform
Act 2001 provides assurance to business,
• Inter-enforcement
body
assessment
the voluntary sector and others that
by arrangement with at least two other
unjustiﬁ ably over-zealous or inﬂ exible
enforcement bodies.
enforcement is not acceptable.
•  For local authorities monitoring by an
75  This section suggests some ways
independently appointed assessment
for enforcement bodies to monitor their
team.
performance through internal processes,
and offers speciﬁ c suggestions for
•  Business monitoring involving a third-
local authority and central government
party assessment process led by a
enforcers.
business team appointed through
suitable local mechanisms. This might
Monitoring through internal
be especially useful where a Local
processes
Business Partnership is in operation.
Continuous assessment
• Surveys
of
businesses.
76  Enforcement bodies should develop
Measuring performance
a process of continuous assessment of
how they are applying the Enforcement
77  Enforcement bodies should seek to
Concordat’s Principles of Good
develop a suite of Performance Indicators
Enforcement. The assessment process
through internal and external discussions
(for example, the number of complaints
36

from business about non-compliance
where this is not possible, they should
with the Enforcement Concordat). These
not impose signiﬁ cant extra burdens on
will provide a basis for the objective
enforcers.
measurement of implementation and
improvement.
82  DTI is currently exploring, with ODPM,
whether and how Best Value Performance
Continuous consultation
Indicator 166 could be modiﬁ ed to monitor
local authority compliance with the
78  To ensure that the transparency and
Enforcement Concordat.
value of assessment is maintained, the
Enforcement Concordat could be the
Monitoring for central
subject of periodic consultation processes
government enforcers
with business, and internally with
enforcement ofﬁ cers. Client panels, focus
83  As a result of recent consultation, the
groups or questionnaires might be vehicles
Government has decided that an annual
for this.
report on compliance with the Concordat
would create an unnecessary burden for
Recommending and reviewing
central government enforcers. However,
improvements
the SBS will work with central government
bodies to ensure the best possible
79  The assessment and audit
compliance, and will periodically review
process should encourage and result
central government’s performance against
in recommendations for improvement,
the Concordat.
across the enforcement body or for local
authorities within individual regulatory
service areas. It is important that any
recommendations are implemented and
a review procedure is in place to ensure
implementation.
Co-ordinating the monitoring process
80  A lead ofﬁ cer could co-ordinate the
process of continuous monitoring and
assessment by an enforcement body.
This ofﬁ cer should have the appropriate
corporate authority to manage the
assessment procedures and continuous
improvement processes.
Monitoring for local authority
enforcers
81  Local authority enforcers are already
involved in much monitoring activity.
Where possible, arrangements for
monitoring the Enforcement Concordat
should work with existing arrangements;
37

Review of the Good
Practice Guide
84 The
Good Practice Guide will be subject to continuous review and further enhanced
and expanded as might be most helpful to enforcement bodies.
38

Text of the Enforcement
Concordat
The Principles of Good
88  We have therefore adopted the
Enforcement: Policy and
central and local government Concordat
Procedures
on Good Enforcement. Included in the
term ‘enforcement’ are advisory visits
and assisting with compliance as well as
85  This document sets out what business
licensing and formal enforcement action.
and others being regulated can expect
By adopting the Concordat we commit
from enforcement ofﬁ cers. It commits
ourselves to the following policies and
us to good enforcement policies and
procedures, which contribute to best
procedures. It may be supplemented by
value, and will provide information to show
additional statements of enforcement
that we are observing them.
policy.
86  The primary function of central and
Principles of Good Enforcement:
local government enforcement work is
Policy
to protect the public, the environment
and groups such as consumers and
Standards
workers. At the same time, carrying out
enforcement functions in an equitable,
89  In consultation with business and
practical and consistent manner helps
other relevant interested parties, including
to promote a thriving national and local
technical experts where appropriate, we
economy. We are committed to these
will draw up clear standards setting out
aims and to maintaining a fair and safe
the level of service and performance the
trading environment.
public and business people can expect to
receive. We will publish these standards
87  The effectiveness of legislation in
and our annual performance against them.
protecting consumers or sectors in society
The standards will be made available to
depends crucially on the compliance
businesses and others who are regulated.
of those regulated. We recognise that
most businesses want to comply with
Openness
the law. We will, therefore, take care
to help business and others meet their
90  We will provide information and advice
legal obligations without unnecessary
in plain language on the rules that we
expense, while taking ﬁ rm action,
apply and will disseminate this as widely
including prosecution where appropriate,
as possible. We will be open about how
against those who ﬂ out the law or act
we set about our work, including any
irresponsibly. All citizens will reap the
charges that we set, consulting business,
beneﬁ ts of this policy through better
voluntary organisations, charities,
information, choice, and safety.
consumers and workforce representatives.
39

We will discuss general issues, speciﬁ c
94  We will take particular care to work
compliance failures or problems with
with small businesses and voluntary and
anyone experiencing difﬁ culties.
community organisations so that they
can meet their legal obligations without
Helpfulness
unnecessary expense, where practicable.
91  We believe that prevention is better
Consistency
than cure and that our role therefore
involves actively working with business,
95  We will carry out our duties in a
especially small and medium sized
fair, equitable and consistent manner.
businesses, to advise on and assist with
While inspectors are expected to
compliance. We will provide a courteous
exercise judgement in individual cases,
and efﬁ cient service and our staff will
we will have arrangements in place to
identify themselves by name. We will
promote consistency, including effective
provide a contact point and telephone
arrangements for liaison with other
number for further dealings with us and
authorities and enforcement bodies
we will encourage business to seek
through schemes such as those operated
advice/information from us. Applications
by the Local Authorities Co-ordinators of
for approval of establishments, licenses,
Regulatory Services (LACORS) and the
registrations, etc, will be dealt with
Local Authority National Type Approval
efﬁ ciently and promptly. We will
Confederation (LANTAC).
ensure that, wherever practicable, our
enforcement services are effectively
Principles of Good Enforcement:
co-ordinated to minimise unnecessary
Procedures
overlaps and time delays.
96  Advice from an ofﬁ cer will be put
Complaints about service
clearly and simply and will be conﬁ rmed
in writing, on request, explaining why any
92  We will provide well publicised,
remedial work is necessary and over what
effective and timely complaints procedures
time-scale, and making sure that legal
easily accessible to business, the public,
requirements are clearly distinguished
employees and consumer groups. In
from best practice advice.
cases where disputes cannot be resolved,
any right of complaint or appeal will be
97  Before formal enforcement action is
explained, with details of the process and
taken, ofﬁ cers will provide an opportunity
the likely time-scales involved.
to discuss the circumstances of the
case and, if possible, resolve points of
Proportionality
difference, unless immediate action is
required (for example, in the interests
93  We will minimise the costs of
of health and safety or environmental
compliance for business by ensuring that
protection or to prevent evidence being
any action we require is proportionate to
destroyed).
the risks. As far as the law allows, we will
take account of the circumstances of the
98  Where immediate action is considered
case and the attitude of the operator when
necessary, an explanation of why such
considering action.
action was required will be given at the
time and conﬁ rmed in writing in most
40

cases within 5 working days and, in all
cases, within 10 working days.
99 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
41