ENVIRONMENTAL HEALTH ENFORCEMENT POLICIES …

WEB EH Enforcement Policies 13/06/02Page 1

ENVIRONMENTAL HEALTH ENFORCEMENT POLICIES

POLLUTION APPENDIX A

PRIVATE SECTOR HOUSING APPENDIX B

FOOD APPENDIX C

HEALTH AND SAFETY APPENDIX D

PEST CONTROL APPENDIX E

LICENSING APPENDIX F

ANIMAL CONTROL APPENDIX G

RESPONSE TO SERVICE REQUESTS APPENDIX H

The Plans have been reviewed and amended as necessary in December 2008


APPENDIX AENVIRONMENTAL HEALTH ENFORCEMENT POLICY – POLLUTION CONTROL

TITLE: ENVIRONMENTAL HEALTH POLLUTION ENFORCEMENT POLICY

1.0 INTRODUCTION

1.1 Good Enforcement Practice

1.1.1 The Council has signed up to the voluntary code, known as the EnforcementConcordat which is a nationally produced standard in promoting best practice inenforcement. It is committed to the principles of the code and to work with all peopleto comply with the law and to take action against those that flout the law and put andothers at risk. The principles of the concordat have formed the basis of the CorporateEnforcement Policy.

1.2 Shared Enforcement

1.2.1 Many aspects of the pollution control work that the Environmental Health Serviceundertakes interacts with other Council services and outside Agencies that carry outenforcement work. Our work also interacts with non-enforcement Council servicesand outside Agencies that provide services that can provide an alternative form ofresolution or can complement or support our enforcement action. These include:

� Three Rivers District Council’s Housing Teams (Public and Private sectors)� Three Rivers District Council’s Commercial Team� Three Rivers District Council’s Animal Control, Pest Control and Licensing Services� Three Rivers District Council’s Development and Building Control service.� Herts. County Council Trading Standards Department� Herts. County Council Social Services� Herts. County Council Environment Unit� The Health and Safety Executive� The Highways Agency� The Environment Agency� Watford and Three Rivers Mediation Service (WA3RMS)� Thames Water

1.2.2 In determining the most appropriate form of enforcement action officers must haveregard to any on-going or potential action of other Council services and Agencies andthe suitability and effect of our action, as opposed to, or combined with their action inaddressing the issues.

1.2.3 Where issues are identified by Officers from the Environmental Health Service thatare the enforcement responsibility of another council service or other agency theperson reporting the matter(s) will be referred to the relevant agency or service. TheOfficer should then refer the matter to the relevant agency or service.

1.2.4 Where enforcement action is being taken by another Council service or outsideAgency, Officers from Environmental Health will provide all assistance that isreasonably requested, including the production of witness statements, collection andsharing of evidence etc.



1.2.5 Where there is a shared enforcement role with another Council service or outsideAgency, Officers from Environmental Health will carry out joint visits where it isappropriate and beneficial to those involved.

1.3 Scope and explanation of the policy

1.3.1 The Environmental Health Department undertakes pollution control work in thefollowing eleven service areas:

I. Noise pollution, including noise/vibration from construction sites, premises,and vehicles (latter subject to specific situations).

II. Out of hours service for Statutory Nuisance

III. Air pollution control, including smoke, odour and dust complaints.

IV. Air pollution monitoring – by means of 14 remote stations for monthly levels ofnitrogen dioxide, and one continuous automatic station providing on-line dataon levels of particles (PM10) and nitrogen oxides.

V. Air pollution research and prediction in respect of Local Air QualityManagement duties required under Environment Act 1995, and thedeclaration of Air Quality Management Areas.

VI. Authorisation of industrial processes having the potential to release harmfulpollutants to the air.

VII. Defective, blocked or collapsed sewers or drains serving commercialpremises.

VIII. Complaints concerning accumulations of rubbish deposited on land and likelyto cause nuisance or shelter for vermin.

IX. The monitoring of private water supplies for bacteriological and physico -chemical quality. There are 17 such supplies within the District.

X. Enforcement of controls over contaminated land, to ensure that contaminantsdo not interfere with human, animal or plant health. Also to assess whethercontaminants are likely to affect rivers or aquifers.

XI. Advice upon the environmental impact of proposed new development, andchange of land use, where a planning application has been made.

1.3.2 Service areas I – X include enforcement roles, area XI is a service that is offered toDevelopment Control on an internal trading agreement but involves no enforcement –this service area is therefore not included in this enforcement policy. Area IVsupports area V, but of itself involves no enforcement. The enforcement policy coversall aspects of the other service areas.

1.4 Associated documents to be considered

1.4.1 Other associated documents that should be read in conjunction with this policy are:

� Out of Hours Procedure – Noise

� Private Water Supplies Procedure

� Contaminated Land Strategy



� Lone Working Procedure

� Regulation of Investigatory Powers Act 2000

� Other written departmental pollution enforcement procedures

1.5 Statement of objectives

1.5.1 Three Rivers District Council has a number of unique demographic, geographic andsocial attributes that impact upon the way that the pollution service is deliveredlocally. This policy is designed to ensure that the broad objectives of the enforcementconcordat underpin the detailed workings of the pollution section in its day to daycontact with all service users.

1.5.2 The council’s pollution policy is to work towards an achievable environmental goal,which would mean that people living or working in Three Rivers largely enjoy:

� good air quality

� clean and wholesome drinking water

� a reasonably quiet and peaceful existence free from excessive noise

� the satisfactory control of health and ecological hazards presented bycontaminated land.

� the deterrence of nuisance caused by anti-social or disruptive personal behaviour,trading practices or leisure activities.

1.5.3 This policy is implicit in the day to day work of many council departments. All of theservice areas mentioned at 3.3 above contribute directly to its achievement, throughthe enforcement of statutory provisions.

1.6 Commitment to the Policy

1.6.1 The Council is committed to ensuring that all authorised officers carrying out pollutionenforcement work are trained and fully acquainted with the requirements of thispolicy. All authorised officers must abide by this policy when making decisions onenforcement. Any departure from this policy will be exceptional, documented,justified and approved by the line manager unless the delaying in decision makingwould result in a significant risk to the public.

1.6.2 Personal, leisure or business related activities that persistently diminish theachievement of the environmental goals, and where a statutory provision is beingbreached, will be dealt with according to the guidance contained in this policy

2.0 AUTHORISATION

2.1 Authorisation of officers is of paramount importance in the effective delivery of thepollution functions of Three Rivers District Council. The ‘proper officer’ of thisauthority who has the delegated responsibility for authorising enforcement officers isthe Chief Environmental Health Officer, on the recommendation of the GroupEnvironmental Health Officer and in consultation with the Director of Housing andEnvironment.

2.2 All authorisations of enforcement officers must be in writing, specifying the limits ofauthorisation and must form part of the identification cards shown on visits.



2.3 The designations of person(s) who may authorise a prosecution or a formal caution inline with the current Home Office Circular are the Chief Environmental Health Officerand the Group Environmental Health Officers. Decisions relating to the instigation ofprosecution proceedings will be taken in consultation with the Solicitor to the Council.

2.4 Competencies

2.4.1 The Council’s policy is to require the following qualifications for officers to carry outpollution work: -

� Degree / Diploma in Environmental Health.� B.Tec, HNC / HND in a pollution related qualification that provides an acceptable

indication of the officer’s ability to perform the duties expected.

2.4.2 Officers who do not possess any of the above must be actively working towardsobtaining them and their work must be appropriately supervised by their linemanager. Appropriate supervision will be dependent on the individuals qualificationsand experience. Increased levels of Authorisation will be given to Officers dependenton qualification and experience in accordance with the career structure.

3.0 ENFORCEMENT APPROACH

3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern pollutionenforcement action, including prosecution. To achieve and maintain consistency, it isimportant that the guidance in Codes of Practice; DTLR and DEFRA Circulars; CIEHGuidance and the Enforcement Concordat is always considered and followed whereappropriate.

3.2 This Authority, in line with the Enforcement Concordat, will seek to ensure thatenforcement decisions are always consistent, balanced, fair and relate to commonstandards that ensure that occupiers and others affected are adequately protected.

3.3 Whenever an enforcement decision needs to be made fair regard shall be made tothe normal hours of trading of any business premises under investigation. Whenevernecessary inspections and investigations will be carried out in the early morning, inthe evening and at weekends, in order to obtain fair and representative evidencepertaining to the alleged breach(s).

3.4 Enforcement investigations may involve obtaining a Warrant of Entry from the Courtin accordance with provisions contained in relevant legislation.

3.5 Prior notification of an impending enforcement inspection will not be made wheresuch notification would defeat the purpose for which the inspection was beingundertaken.

3.6 Whenever enforcement investigations require the attendance of a translator,interpreter, signer or other person to assist with written or verbal communications withthe person(s) under investigation, such reasonable provision will be made.

3.7 The Environmental Health Service will base all pollution control enforcementdecisions on :

� The effect of the legislative breach upon the persons affected, and/or the damagebeing caused or likely to be caused to the land and water environment,ecosystems, flora and fauna generally, air quality.



� The risk to the health of persons that may be affected.

� The future consequences of failing to address the breach at the present time.

� The consequences of our action on the person(s) responsible for rectification, theowner (if not one and the same) occupier(s) and future use of theland/premises/property.

� Any concurrent or potential action by other services and agencies and thesuitability and effect of our action as opposed to or combined with theirs inaddressing the issues

3.8 In making an enforcement decision, we will consider a number of factors. Theseinclude seriousness of offence; the perpetrator’s past history, where a business isinvolved - confidence in management, the consequences of non-compliance; effect ofthe defect on the person(s) affected and the likely effectiveness and consequencesof the various enforcement options.

3.9 Where there are failures to comply with the law, this Authority has a number ofinformal and formal approaches to secure compliance: -

� to take no action (possibly refer the matter to another service or agency)

� to take informal action

� to use statutory notices

� to use formal cautions

� to prosecute

� to carry out work in defaultAny of the above options can also be undertaken alongside appropriate action –enforcement or otherwise - by other Council Services or outside agencies. (seeshared enforcement section 1.2)

4.0 INFORMAL APPROACH

4.1 Informal action to secure compliance with legislation can be by a variety of meansincluding giving advice, verbal warnings, sending informal letters, issuing inspectionreports, etc. This advice will be put clearly and simply.

4.2 These methods of informal action will continue to be used by authorised officers aslong as they believe that these methods will result in compliance within reasonabletimescales. These methods can be used alongside other Council services or outsideAgencies action where appropriate.

4.3 Informal action may be used in the following circumstances: -

� The breach is not serious enough to warrant action.

� The owner’s/manager’s/responsible person’s past history shows that it can bereasonably expected that informal action will achieve compliance.

� Confidence in the owner’s/manager’s/responsible person’s management is high.



� The consequences of non-compliance will not pose a significant risk to thoseaffected.

� In the first instance when dealing with vulnerable persons, the elderly and theyoung (14 – 18 years of age), voluntary and charitable organisations.

� Where formal action may result in undesirable or unproductive consequences forthe persons affected.

4.4 When an informal approach is adopted to secure compliance with pollutionlegislation, it is important that any letter issued explains: -

� The remedial action needed to achieve compliance, why it is necessary and withinwhat timescale.

� Offers the opportunity for discussion or for the owner to make representations,including contact point(s) and name(s).

� Provides the details of any other Council services or outside Agencies that may beable to provide assistance or related services to theowner/occupier/manager/responsible person.

5.0 FORMAL APPROACH

5.1 Notices

5.1.1 The use of a formal notice must be considered when there are significantcontraventions of the legislation and the action is proportionate to:

� The effect of the legislative breach upon the persons affected, and/or the damagebeing caused or likely to be caused to the land and water environment,ecosystems, flora and fauna generally, air quality.





5.1.2 A formal notice will be served when:

� An informal approach has been tried but has not been successful or the officerbelieves an informal approach would not succeed.

� In the case of a new business or new requirement, the officer assesses that theowner/occupier/manager is unwilling or unlikely to comply.



� In the case of Authorised Processes – management or plant has failed andprescribed (harmful) substances are likely to be released to the air.

� A prosecution is to be taken, but effective action is also needed as quickly aspossible to remedy conditions through work in default.

5.1.3 Formal action is not suitable for minor technical contraventions.

5.1.4 Only the authorised officer who has witnessed the contravention and is satisfied thatit constitutes a breach of Statutes must sign the notice.

5.1.5 Any notice that is served must contain all the content requirements detailed in thelegislation and in any case must state:-

� The legislation, including regulation, section, subsection or paragraph that hasbeen contravened.

� In the opinion of the officer, the reason there has been a contravention and whatthe person responsible needs to do.

� The timescale and the mechanisms for appeal.

5.1.6 The person on whom the notice is served must be contacted where possible at thetime of the start date on the notice, before the completion date for the works expiresto remind them of the timescale requirements.

5.1.7 A revisit will be made to a premise as soon as practicable after expiry of a Notice.

5.1.8 Where appropriate, the officer will inform to all interested bodies or agencies,including residents; managers; freeholders; leaseholders and relevant mortgagees ofthe action taken and its outcomes.

6.0 FOLLOW UP VISITS

This Authority will undertake follow up visits to premises to ensure that progress hasbeen made to rectify contraventions of Statutes. The criteria to decide whether afollow up visit is necessary will be the seriousness of the offence and the likelihoodthat further formal action will be taken as a direct result of the visit. Wherepracticable, the officer who undertook the original visit or inspection should carry outthe revisit if there are significant breaches of legislation.

7.0 FORMAL CAUTIONS

7.1 In certain circumstances this authority will issue a formal caution.

7.2 The matters which will be taken into account when deciding whether a formal cautionis appropriate, include:-

� The seriousness of the offence, as a caution is not suitable for serious offences.

� There must be substantial evidence to obtain a realistic prospect of prosecution ifthe offender does not agree to the caution.



� The offender must admit the offence.

� The offender’s attitude to the offence, in particular the wilfulness in which it wascommitted and their subsequent attitude, including willingness to rectify thematters constituting the offence.

� The previous history of the party concerned.

7.3 The officer shall ensure that decisions to issue a Formal Caution are notified to allinterested bodies.

8.0 PROSECUTION

8.1 The Authority recognises that most property owners/managers/persons responsiblewish to comply with the law and prosecution will be restricted to those who flout thelaw. The following circumstances are likely to warrant prosecution: -

� The alleged offence involves a flagrant breach of the law such that the health,safety or well being of persons or others is or has been put at risk.

� The alleged offence involves a failure by the suspected offender to correct anidentified serious potential risk to the health or safety of persons or others, havingbeen given a reasonable opportunity to comply with the requirements of anofficer.

� The offence involves a failure to comply in full or in part with the requirements of astatutory notice.

� There is a history of similar offences.

8.2 The officer must be satisfied that there is relevant, admissible, substantial andreliable evidence that an offence has been committed by an identifiableperson/company. Reference should be made to the Code of Crown Prosecutorsissued by the Crown Prosecution Service who gives guidance.

8.3 The criteria contained in the relevant Code of Practice must be followed whendecisions are being taken on whether to prosecute. The factors to be consideredare:

� The seriousness of the alleged offence.


� The likelihood of the defendant being able to establish a due diligence defence.

� The ability of any important witnesses and their willingness to co-operate.

� The willingness of the party to prevent a recurrence of the problem.

� The public benefit of a prosecution and the importance of the case.

� Whether other action (formal) cautioning, improvement notices will be moreappropriate or effective.

� Any explanation offered by the company or suspected offender.



9.0 STATUTORY NOTIFICATIONS AND REFERRAL TO OTHER REGULATORS

9.1 From time to time matters under investigation are found to fall more appropriatelyunder the enforcement regime of another regulatory body or agency. An example isthe designation of contaminated land as a “special site”, whereupon enforcementresponsibility passes to the Environment Agency. In all cases of referredenforcement the person(s) under investigation will be notified of the reasons forreferral by letter.

9.2 More rarely other agencies may require the statutory notification of serious eventswithin a local authority’s area. An example is an unfit public water supply, whichwould be routinely notified to the Drinking Water Inspectorate. In such instances theperson(s) or corporate body under investigation will be notified of the local authority’sintention to carry out the statutory notification.

10.0 REVIEW

10.1 This policy will be reviewed on an annual basis and in light of any changes inlegislation, Codes of Practice or centrally issued guidance.

Health and Safety Implications:

1. Reference should be made to the Departmental District Working and Lone Working Procedure, particularly when logging in and out. This is imperative when undertaking enforcement action to follow these procedures due to the higher risk nature of this aspect. Where officers anticipate problems, then additional measures should be undertaken, i.e. visit with another officer.

Human Rights implications:

1. Individuals have the right to their possessions or property (which includes a business)unless interference is justified except in accordance with the law, and is necessary in ademocratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health ormorals, or for the protection of the rights and freedoms of others.

PERSONS’ RIGHTS. Data Protection implications:

1. Only publicly available information is the notice register.2. Other Statutory Registers contain public information concerning Contaminated Land,

Authorisations, Radioactive Substances and Private Water Supplies

3. Information may be disclosed to Police, Customs and Excise, other Council Servicesetc. about an individual if they are investigating a specific offence in which thatindividual may be involved.



APPENDIX B

ENVIRONMENTAL HEALTH PRIVATE SECTOR HOUSINGENFORCEMENT POLICY

TITLE: ENVIRONMENTAL HEALTH PRIVATE SECTOR HOUSINGENFORCEMENT POLICY

1.0 INTRODUCTION


The Environmental Health Department undertakes housing work in the following 7service areas:

I. Owner-Occupied Properties that are unfitII. Single occupation private rented properties that are unfit or in disrepairIII. Overcrowding of propertiesIV. Houses in Multiple Occupation (HMO’s)V. Vacant PropertiesVI. Filthy and Verminous PropertiesVII. Mobile Home SitesVIII. Sewers / DrainsIX. Immigration Inspections

Service areas I – VIII include enforcement roles, area IX (immigration inspections) isa service that is offered but involves no enforcement – this service area is thereforenot included in this enforcement policy. The enforcement policy covers all aspects ofthe other service areas.


Other associated documents that should be read in conjunction with this policy are:

� Procedure Guidance for Houses in Multiple Occupation� Empty Homes Strategy� Draft Private housing Strategy � Private rented sector strategy� Public Health Enforcement Policy� Environmental Protection Enforcement Policy� Written departmental private sector housing enforcement procedures


1.3.1 Three Rivers District Council recognises that housing in the private sector plays animportant role in meeting local housing need. Over 80% of the housing stock in ThreeRivers is in private ownership, and continual work on the part of both the owners andthe Council is needed to maintain it in a safe and sustainable condition.

1.3.2 The Council’s policy is to strive to ensure that people in Three Rivers private housingsector have access to safe, healthy, affordable and sustainable accommodation.



1.3.3 This is to be done through supporting and facilitating responsible property owners

and managers who seek to provide good quality, safe accommodation that meets alllegal requirements, while ensuring that those people who do not strive to achievesuch standards face appropriate enforcement action where available.


The Council has signed up to the voluntary code, known as the EnforcementConcordat which is a nationally produced standard in promoting best practice inenforcement. It is committed to the principles of the code and to work with propertyowners and managers to comply with the law and to take action against those thatflout the law and put occupiers and others at risk.


1.5.1 Many aspects of the Housing work that the Environmental Health Service undertakesinteracts with other Council services and outside Agencies that carry out enforcementwork. Our work also interacts with non-enforcement Council services and outsideAgencies that provide services that can provide an alternative form of resolution, orcan complement or support our enforcement action. These include:

� Three Rivers District Council’s Private Sector Housing Team� Three Rivers District Council’s Development Control and Planning Strategy Services� Herts. County Council Trading Standards Department� Herts. County Council Social Services� The Health and Safety Executive� Herts. Fire and Rescue Service� Watford and Three Rivers Mediation Service� Thames Water


1.5.3 Where issues are identified by Officers from the Environmental Health Service thatare the enforcement responsibility of another Council Service or other Agency theowner/manager of the property will be informed of the officer’s concerns and advisedthat the matter will be referred the relevant agency or service. The matter shouldthen be referred to the relevant agency or service by the Officer.






The Council is committed to ensuring that all authorised officers carrying out housingenforcement work are trained and fully acquainted with the requirements of thispolicy. All authorised officers must abide by this policy when making decisions onenforcement. Any departure from this policy will be exceptional, documented,justified and approved by the line manager unless the delaying in decision makingwould result in a significant risk to the public.

2.0 AUTHORISATION

2.1 Authorisation of officers is of paramount importance in the effective delivery of thehousing functions of Three Rivers District Council. The ‘proper officer’ of this authoritywho has the delegated responsibility for authorising enforcement officers is the ChiefEnvironmental Health Officer in consultation with the Director of Housing andEnvironment.


2.3 The designations of person(s) who may authorise a prosecution or a formal caution inline with the current Home Office Circular are the Chief Environmental Health Officerand the Environmental Health Team Leaders. Decisions relating to the instigation ofprosecution proceedings will be taken in consultation with the Solicitor to the Council.

2.4 Competencies

2.4.1 The Council’s policy is to require the following qualifications for officers to carry outhousing work : -

� Degree / Diploma in Environmental Health.� B.Tec, HNC / HND in Housing or equivalent.

2.4.2 Officers who do not posses any of the above must be actively working towardsobtaining them and their work must be appropriately supervised by their linemanager. Appropriate supervision will be dependent on the individuals qualificationsand experience. Increased levels of Authorisation will be given to Officers dependenton qualification and experience in accordance with the career structure.


3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern housingenforcement action, including prosecution. To achieve and maintain consistency, it isimportant that the guidance in Codes of Practice; DEFRA Circulars; CIEH Guidanceand the Enforcement Concordat is always considered and followed whereappropriate.








3.7 The Environmental Health Service will base all housing enforcement decisions on :

� the effect of the legislative breach upon the occupants; � the risk to the health and safety of the occupants and others that may be affected;� the future consequences of failing to address the issues at the property at the

present time;� the consequences of our actions on the owner, occupier(s) and future use of the

property;� any on-going or potential action of other Council services and outside Agencies

and the suitability and effect of our action as opposed to or combined with theirsin addressing the issues.

3.8 In making an enforcement decision, we will consider a number of factors. Theseinclude seriousness of offence; the owner’s/manager’s past history, confidence inmanagement, the consequences of non-compliance; effect of the defect on theoccupiers and the likely effectiveness and consequences of the various enforcementoptions.


� to take no action (possibly refer the matter to another service or agency)� to take informal action� to use statutory notices� to use formal cautions� to prosecute

Any of the above options can also be undertaken alongside appropriate action –enforcement or otherwise by other Council Services or outside agencies. (Seeshared enforcement section 1.5)


4.1 Informal action to secure compliance with legislation can be by a variety of meansincluding giving advice, verbal warnings, sending informal letters, issuing inspectionreports and sending informal notices or ‘minded to notices’. This advice will be putclearly and simply.






� The owner’s/manager’s past history shows that it can be reasonably expected thatinformal action will achieve compliance.

� Confidence in the owner’s/manager’s management is high.� The consequences of non-compliance will not pose a significant risk to those

affected. � In the first instance when dealing with Housing Associations and voluntary and

charitable organisations.� Where formal action may result in undesirable or unproductive consequences for

the occupier(s)

4.4 When an informal approach is adopted to secure compliance with housing legislation,it is important that any letter issued explains: -



� Provides the details of any other Council services or outside Agencies that may beable to provide assistance or related services to the owner/occupier/manager.

5.0 FORMAL APPROACH

5.1 Notices

5.1.1 The use of a formal notice must be proportionate to:

� the effect of the legislative breech upon the occupant(s); � the risk to the health and safety of the occupant(s) and others that may be

affected;� the future consequences of failing to address the issues at the property at the

present time;� the consequences of our action on the owner, occupier(s) and future use of the

property.

5.1.2 Formal action is not suitable for minor technical contraventions. An informal notice or‘minded to notice’ will always be sent prior to the service of an improvement notice(See Informal Approach 4.0). An improvement notice is only appropriate if one ormore of the following criteria apply:

� There are significant contraventions of the legislation and the action isproportionate to : � the effect of the legislative breach upon the occupants; � the risk to the health and safety of the occupants and others that may be

affected;� the future consequences of failing to address the issues at the property at the

present time;� the consequences of our action on the owner, occupier(s) and future use of

the property.� An informal approach has been tried but has not been successful or the officer

believes an informal approach would not succeed.� In the case of a new business or new requirement, the officer assesses that the

owner/occupier/manager is unwilling or unlikely to comply.� In the case of HMOs – no management controls exist or there has been a

breakdown in controls, which are critical for the safety of the occupiers or others.� A prosecution is to be taken, but effective action is also needed as quickly as

possible to remedy conditions.



5.1.3 Before a notice is served, the officer will provide an opportunity to discuss therequirements and the need for the action. In any cases where disputes can not beresolved with the officer, then the proprietor may make representations to the linemanager, either by phone or in writing.

5.1.4 Only the authorised officer who has witnessed the contravention and is satisfied thatit constitutes a breach of the regulations must sign the notice.



� In the opinion of the officer, the reason there has been a contravention and whatthe proprietor needs to do.




5.1.8 Where appropriate, the officer will inform to all interested bodies, including tenants;managers; freeholders; leaseholders and mortgagees of the action taken and itsoutcomes.


This Authority will undertake follow up visits to properties to ensure that progress hasbeen made to rectify contraventions and poor practices found as a result of acomplaint or during programmed inspections of HMOs. The criteria to decide whethera follow up visit is necessary will be the seriousness of the offence and the likelihoodthat further formal action will be taken as a direct result of the visit. Wherepracticable, the officer who undertook the original visit or inspection should carry outthe revisit if there are significant breaches of housing legislation.

7.0 FORMAL CAUTIONS



� The seriousness of the offence, as a caution is not suitable for serious offences.� There must be substantial evidence to obtain a realistic prospect of prosecution if

the offender does not agree to the caution.� The offender must admit the offence.� The offender’s attitude to the offence, in particular the wilfulness in which it was

committed and their subsequent attitude, including willingness to rectify thematters constituting the offence.


7.3 The officer shall ensure that decisions to issue a Formal Caution are notified to allinterested bodies, including tenants; managers; freeholders; leaseholders andmortgagees.



8.0 PROSECUTION

8.1 The Authority recognises that most property owners/managers wish to comply withthe law and prosecution will be restricted to those who flout the law. The followingcircumstances are likely to warrant prosecution: -

� The alleged offence involves a flagrant breach of the law such that the health,safety or well being of occupiers or others is or has been put at risk.

� The alleged offence involves a failure by the suspected offender to correct anidentified serious potential risk to the health or safety of occupiers or others,having been given a reasonable opportunity to comply with the requirements ofan officer.





� The seriousness of the alleged offence.� The previous history of the party concerned.� The likelihood of the defendant being able to establish a due diligence defence.� The ability of any important witnesses and their willingness to co-operate.� The willingness of the party to prevent a recurrence of the problem.� The public benefit of a prosecution and the importance of the case.� Whether other action (formal) cautioning, improvement notices will be more

appropriate or effective.� Any explanation offered by the company or suspected offender.

8.4 In cases where there is clear evidence of serious risk to health & flagrant and/orrepeated disregard of HMO legislation, officers will consider action to declare theperson not a fit and proper person to manage an HMO.

8.5 The officer will ensure that decisions to prosecute and results of any legalproceedings are notified to all interested bodies, including tenants; managers;freeholders; leaseholders and mortgagees.


9.1 From time to time matters under investigation are found to fall more appropriatelyunder the enforcement regime of another regulatory body or agency. In all cases ofreferred enforcement the person(s) under investigation will be notified of the reasonsfor referral by letter.

9.2 In some cases other agencies may require the statutory notification/consultation onissues within a local authority’s area. An example is under S352 of the Housing Act



1985 where a local authority is required to consult with the local Fire Authority beforeserving a statutory notice to improve the means of escape in a house in multipleoccupation. In such instances the person(s) or corporate body under investigation willbe notified of the local authority’s intention to carry out the statutory notification.

10.0 REVIEW



1. Reference should be made to the Departmental District Working and Lone WorkingProcedure, particularly when logging in and out. This is imperative when undertakingenforcement action to follow these procedures due to the higher risk nature of thisaspect. Where officers anticipate problems, then additional measures should beundertaken, i.e. visit with another officer.



TENANTS RIGHTS.

Data Protection implications:

1. Only publicly available information is the notice register.2. Information may be disclosed to Police, Customs and Excise, other Council Services etc. about an individual if they are investigating a specific offence in which that individualmay be involved.



APPENDIX C

ENVIRONMENTAL HEALTH – FOOD ENFORCEMENT POLICY

TITLE: ENVIRONMENTAL HEALTH FOOD ENFORCEMENT POLICY

1.0 INTRODUCTION


It is this Council’s policy to strive to ensure that food and drink which is produced,stored, handled or consumed within this district is without risk to the health or safetyof the consumer.

All enforcement action taken in the pursuit of this objective be it verbal warnings, theissue of written warnings or statutory notices, or prosecution, will be primarily basedupon an assessment of risk to public health. This risk is the likelihood of harm tohealth, which would occur where there is non-compliance with food safety law.

This Policy should be read in conjunction with the Food Law Enforcement ServicePlan approved by Council in December 2001.

1.2.1 Good Enforcement Practice

This Council supports the statutory Codes of Practice and the Local Authorities Co-ordinating Body on Food and Trading Standards (LACOTS) Guidance issued toensure consistency and good practice in enforcement.

In addition, the Council has signed up to the voluntary code, known as theEnforcement Concordat which is a nationally produced standard in promoting bestpractice in enforcement. It is committed to the principles of the code and to work withbusinesses to comply with the law and to take action against those that flout the lawand put consumers at risk. The principles of the Concordat underpin the CorporateEnforcement Policy.

1.2.2 Associated documents to be considered


� Section 40 Code of Practice issued by Food Standards Agency under the FoodSafety Act 1990

� “Framework Agreement on Local Authority Food Law Enforcement”; FoodStandards Agency, September 2000

� FSA Guidance

� LACOTS Guidance (Local Authorities Co-ordinating Body on Food and TradingStandards)


� Written departmental food enforcement procedures




The Council is committed to ensuring that all authorised officers carrying out foodenforcement work are trained and fully acquainted with the requirements of thispolicy. All authorised officers must abide by this policy when making decisions onenforcement. Any departure from this policy will be exceptional, documented, justifiedand approved by the Group Environmental Health Officer (Commercial) or the ChiefEnvironmental Health Officer unless the delay in decision making would result in asignificant risk to the public.


1.4.1 Some aspects of the Food Hygiene work that the Environmental Health Serviceundertakes interacts with other outside Agencies that carry out enforcement work andmay complement or support our enforcement action. These include:

� Other local authorities via Home Authority Principle� Trading Standards� Food Standards Agency� Meat Hygiene Service

1.4.2 In determining the most appropriate form of enforcement action officers must haveregard to any on-going or potential action of other Agencies and the suitability andeffect of our action, as opposed to, or combined with their action in addressing theissues.

1.4.3 Where issues are identified by Officers from the Environmental Health Service thatare the enforcement responsibility of another Agency the owner/manager of theproperty will be informed of the officer’s concerns and advised that the matter will bereferred the relevant agency or service. The matter should then be referred to therelevant agency or service by the Officer.

1.4.4 Where enforcement action is being taken by another Agency, Officers fromEnvironmental Health will provide all assistance that is reasonably requested,including the production of witness statements, collection and sharing of evidenceetc.

1.4.5 Where there is a shared enforcement role with an outside Agency, Officers fromEnvironmental Health will carry out joint visits where it is appropriate and beneficial tothose involved.

2.0 AUTHORISATION

2.1 Authorisation of officers is of paramount importance in the effective delivery of thesafety and hygiene functions of Three Rivers District Council. The ‘proper officer’ ofthis authority who has the delegated responsibility for authorising enforcementofficers is the Chief Environmental Health Officer in consultation with the Director ofHousing and Environment.

2.2 All authorisations of enforcement officers must be in writing, specifying the limits ofauthorisation and must form part of the identification card shown on visits.

2.3 The designations of person(s) who may authorise a prosecution or a formal caution inline with the current Home Office Circular are the Chief Environmental Health Officerand the Group Environmental Health Officer (Commercial). Decisions relating to theinstigation of prosecution proceedings will be taken in consultation with the Solicitorto the Council.



2.4 Competencies

The competency of officers in food enforcement work must follow the guidance in thecurrent revised Food Standards Agency (FSA) Code of Practices (CoP’s) No. 5,6and19.

2.4.1 The Council’s policy is to require the following qualifications for officers to carry outfood inspections : -

� Certificate of Registration of the Environmental Health Officer’s RegistrationBoard (EHORB).

� EHORB Diploma or Degree of the Royal Institute of Scotland (REHIS) � EHORB, Scottish Food Safety Officers Registration Board (SFSORB) or the

Institute of Food Science and Technology (IFST) Higher or Ordinary certificate.

2.4.2 Premises which:

� fall into risk categories A and B (High risk); or� require approval under product specific regulations; or� Are manufacturers/processors who distribute nationally or internationally

can only be inspected by:

� Environmental Health Officers (EHO’s) holding the Certificate of the EHORB or� Officers holding the EHORB/SFSORB/IFST Higher Certificate in Food Premises

Inspection.

2.4.3 Where as a result of an inspection a category C premises falls into a B, officers withthe Ordinary Certificate must validate the outcome of the inspection with an officerholding the qualifications as detailed in 2.4.1.

2.4.4 EHO’s or holders of the Higher Certificate can sign Improvement Notices (IN) for allcategories of premises. Holders of the Ordinary Certificate can only sign notices inrespect of category C-F premises.

2.4.5 Emergency Prohibition Notices (EPN) or voluntary agreements can only be signedby:

� Authorised EHO’s with a Certificate of Registration and who have two years postqualification experience in food safety matters and are currently involved in foodenforcement. (FSA CoP No.6).

� EHO’s are authorised to inspect, detain and seize foodstuff. Other officers will notbe authorised to inspect, detain or seize food unless they hold another additionalqualification, which demonstrates the competence to undertake this work. (FSACoP No. 4 & 9).


3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern food safetyenforcement action, including prosecution. To achieve and maintain consistency, it isimportant that the guidance in statutory Codes of Practice, LACOTS Circulars,Industry Guides to Good Hygiene Practice, the Enforcement Concordat and adviceoffered in relation to the Home Authority Principle is always considered and followedwhere appropriate.



3.2 This Authority, in line with the Enforcement Concordat, will seek to ensure thatenforcement decisions are always consistent, balanced, fair and relate to commonstandards that ensure that the public is adequately protected. The Authority will baseall enforcement decisions on an assessment of risk to public health and will considera number of factors set out in the Code of Practice No 2. These include seriousnessof offence; the enterprise’s past history, confidence in management, theconsequences of non-compliance and the likely effectiveness of the variousenforcement options.






� to take no action� to take informal action� to use statutory notices� to seize food� to suspend or revoke a licence or approval� to use formal cautions� to prosecute

3.8 Where this Authority is considering taking enforcement action, which is inconsistentwith that adopted by other authorities, contrary to advice issued by LACOTS or theFSA, this matter must be referred to the Hertfordshire and Bedfordshire ChiefOfficers’ Food Study Group for a consensus view. Where a consensus view cannotbe achieved then the matter should be further referred to LACOTS or the FSA toensure consistency of enforcement.

3.9 Where an officer is considering giving detailed advice or taking formal action, and inall cases where this relates to an aspect of a company’s policies and procedures, theHome/Originating Authority must be contacted to discuss the proposed action. Wherethe authority is unable to adhere to this principle then concerns should be discussedwith LACOTS or the FSA.




4.1 Informal action to secure compliance with legislation can be by a variety of meansincluding giving advice, verbal warnings, sending informal letters, issuing inspectionreports and sending informal notices. This advice will be put clearly and simply.

4.2 These approaches will continue to be used by authorised officers as long as theybelieve that these methods will result in compliance within reasonable timescales.


� The breach is not serious enough to warrant other action.� From the individual/company’s past history, it can be reasonably expected that

informal action will achieve compliance.� Confidence in the individual/company’s management involved is high.� The consequences of non-compliance will not pose a significant risk to the public.� In the first instance when dealing with voluntary and charitable organisations and

small businesses.

4.4 When an informal approach is adopted to secure compliance with food legislation, itis important that any letter issued explains: -

� What the breach is, with reference to the legislation, including the regulation,chapter, etc as appropriate.

� The remedial action needed to achieve compliance, why it is necessary andsetting out the timescale for compliance against each item.

� Clearly distinguishes any recommendations of good hygiene practice from legalrequirements.

� Offer the opportunity for discussion or for the owner to make representations,including contact point(s) and name(s).

4.5 Each letter or written correspondence will set out the informal arrangements fordiscussion or appeal against the legal matters raised.

4.6 In the case of programmed inspections, an inspection report will always be issuedeven if conditions are found to be satisfactory.

5.0 FORMAL APPROACH

5.1 Improvement Notices

5.1.1 The use of an Improvement Notice must be proportionate to the risk posed to publichealth and is not suitable for minor technical contraventions. An Improvement Noticeis only appropriate if one or more of the following criteria apply: � The business involves high-risk operations.� There are significant contraventions of the legislation and the action is

proportionate to the risk posed to public health.� An informal approach has been tried but has not been successful or the officer

believes an informal approach would not succeed.� There is a documented history of non-compliance with food safety legislation.� In the case of a new business or new requirement, the officer assesses that the

owner is unwilling or unlikely to comply.� No procedural controls exist or there has been a breakdown in controls, which are

critical for food safety.� A prosecution is to be taken, but effective action is also needed as quickly as


5.1.2 Before an Improvement Notice is served, the officer will provide an opportunity todiscuss the requirements and the need for the action. In any cases where disputes



can not be resolved with the officer, then the proprietor may make representations tothe line manager, either by phone or in writing.


5.1.4 The officer serving the notice will follow the guidance in CoP No. 5 and referred toany LACOTS guidance regarding the use of Improvement Notices. In particular thenotice must state:-




5.1.5 A revisit will be made to a premise as soon as practicable after expiry of anImprovement Notice.

5.1.4 The officer will inform the Home/Originating Authority of the action taken and itsoutcomes.

5.2 Seizure or Surrender of Food

5.2.1 An officer will undertake the seizure or surrender of food, which has been sold or isoffered or exposed for sale if the food is: -

� Likely to cause food poisoning or any disease communicable to humans.� Injurious to health� Unfit for human consumption� It is so contaminated that it would not be reasonable to except it to be used for

human consumption in that state.

5.2.2 The voluntary surrender of food will only be accepted by an officer if the proprietor iswilling to confirm in writing the unprompted offer, setting out the nature and extent ofthe offer, dated and signed.

5.2.3 Otherwise, the officer can order the detention of the food in a specified place or seizethe food and have it dealt with by the justice of the peace. If a detention is orderedthen the officer will determine within 21 days, whether the food meets the abovecriteria and seize it or withdraw the detention.

5.2.4 The officer will ensure that the food is examined by the Justice of the Peace as soonas possible who will condemn the food if it meets the above requirements.

5.3 Emergency Prohibition Notices

5.3.1 The use of an Emergency Prohibition Notice is only appropriate if an imminent risk ofinjury to health exists in respect of a food business, its construction, condition, or anyequipment or the use of any treatment or process to prohibit its continuance. Theprime consideration should be the protection of public health and one or more of thefollowing criteria must apply: -

� The consequences of not taking immediate and decisive action to protect thepublic health would be unacceptable.

� An imminent risk of injury to health can be demonstrated.



� The guidance criteria specified in Code of Practice 6 concerning the conditionswhen prohibition may be appropriate are fulfilled.

� There is no confidence in the integrity of any unprompted officer made by theproprietor voluntarily to close premises or cease the use of equipment, process,or treatment associated with the imminent risk.

� A proprietor is unwilling to confirm in writing the unprompted offer of a voluntaryclosure, in particular, to set out the nature and extent of the offer, signed anddated.

5.3.2 The officer will inform the Home/Originating Authority to advise them of the actiontaken and its outcomes and any follow up action.

5.4 Suspension/Revocation of a Licence or Approval

5.4.1 Where breaches of food hygiene regulations are found on an inspection of apremises which holds a licence/approval for food purposes, i.e. a Butcher’s Licence,the suspension or revocation of the licence/approval will not generally be consideredas the first option where other enforcement approaches are likely to securecompliance. The officer will have regard to the nature and seriousness of the breachof the licensing requirements.

5.4.2 In particular, the suspension power will only to be used in exceptional circumstances,i.e. during an extensive refurbishment rending the premises unsuitable to trade. Noconditions, which need to be met prior to the lifting of the suspension, can beattached. Therefore, this approach will be used alongside Improvement Notices, withthe time limits specified for the Notices the same as the suspension period.

5.4.3 Revocation of a licence/approval is a serious step, involving the permanent removalof the licence. This will only be considered if the following applies: -

� Significant or persistent breach of the licensing/approval conditions.

� No confidence in the food safety management arrangements and conditions atthe premises.

� Other enforcement approaches have been taken but have not securedcompliance.

5.4.4 The officer will advise the proprietor of his right of appeal in writing against thesuspension or revocation of a licence/approval.

6. FOLLOW UP VISITS

This Authority will undertake follow up visits to premise to ensure that progress hasbeen made to rectify contravention’s and poor practices found during programmedinspections. The criteria to decide whether a follow up visit is necessary will be theseriousness of the offence and the likelihood that further formal action will be takenas a direct result of the visit. Where practicable, the officer who undertook the originalinspection should carry out the revisit if there are significant breaches of food hygieneregulations.

7.0 FORMAL CAUTIONS



7.1 In certain circumstances this authority will issue a formal caution. The procedureadopted and the form and content of the caution will be in accordance with currentLACOTS guidance and Home Office Circular 18/1994.






7.3 The officer shall ensure that decisions to issue a Formal Caution are notified to allinterested bodies, including Home and Originating Authorities and the Office of FairTrading.

8.0 PROSECUTION

8.1 The Authority recognises that most businesses wish to comply with the law andprosecution will be restricted to those who flout the law. The following circumstancesare likely to warrant prosecution: -

� The alleged offence involves a flagrant breach of the law such that the publichealth, safety or well being is or has been put at risk.

� The alleged offence involves a failure by the suspected offender to correct anidentified serious potential risk to food safety, having been given a reasonableopportunity to comply with the requirements of an officer.


� There is a history of similar offences, related to risk to public health.


8.3 The criteria contained in the relevant Code of Practice must be followed whendecisions are being taken on whether to prosecute. The factors to be consideredare: -

� The seriousness of the alleged offence.� The previous history of the party concerned.� The likelihood of the defendant being able to establish a due diligence defence.� The ability of any important witnesses and their willingness to co-operate.� The willingness of the party to prevent a recurrence of the problem.� The public benefit of a prosecution and the importance of the case.� Whether other action such as (formal) cautioning or Improvement Notices will be

more appropriate or effective.� Any explanation offered by the company or suspected offender.

8.4 In cases where there is clear evidence of serious risk to health & flagrant and/orrepeated disregard of food safety legislation, officers will consider action to secureprohibition of persons from participating in the management of any food business.



8.5 The officer will ensure that decisions to prosecute and results of any legalproceedings are notified to all interested bodies, for example Home and OriginatingAuthorities, LACOTS, and the Office of Fair Trading.


9.1 From time to time matters under investigation are found to fall more appropriatelyunder the enforcement regime of another regulatory body or agency. In all cases ofreferred enforcement the person(s) under investigation will be notified of the reasonsfor referral by letter.

10 REVIEW




Human Rights Implications:


Data Protection Implications:

1. Only publicly available information is the food register and the notice register.2. Information may be disclosed to Police, Customs and Excise etc an individual if they areI cstigating a specific offence in which that individual may be involved.



APPENDIX D

ENVIRONMENTAL HEALTH – HEALTH AND SAFETY ENFORCEMENT POLICY

TITLE: ENVIRONMENTAL HEALTH - HEALTH AND SAFETY ENFORCEMENTPOLICY

1.0 INTRODUCTION


It is this Council’s policy to strive to ensure that health and safety standards inpremises designated for local authority enforcement within this district are such thatthe health and safety of workers and residents is protected.

All enforcement action taken in the pursuit of this objective be it verbal warnings, theissue of written warnings or statutory notices, or prosecution, will be primarily basedupon an assessment of risk to workers and public health and safety. This risk is thelikelihood of harm to health, which would occur where there is non-compliance withhealth and safety law.

This Policy should be read in conjunction with the Council’s Health and Safety LawEnforcement Service Plan.


The Council has signed up to the voluntary code, known as the EnforcementConcordat which is a nationally produced standard in promoting best practice inenforcement. It is committed to the principles of the code and to work withbusinesses to comply with the law and to take action against those that flout the lawand put consumers at risk. The principles of the Concordat underpin the CorporateEnforcement Policy.

1.2.1 Associated documents to be considered


� Section 18 Guidance from the Health and Safety at Work Etc Act 1974 issued byHSC to Local Authorities

� The Health and Safety at Work Etc Act 1974

� HELA Strategy for health and safety enforcement in Local Authority enforcedsectors

� HELA Guidance: Local Authority Circulars

� HSC Strategic Plan 2001-2004� Regulation of Investigatory Powers Act 2000

� Written departmental health and safety enforcement procedures




The Council is committed to ensuring that all authorised officers carrying out healthand safety enforcement work possess and have demonstrated the corecompetencies based on those developed for the National/Scottish VocationalQualification and fully acquainted with the requirements of this policy. All authorisedofficers must abide by this policy when making decisions on enforcement. Anydeparture from this policy will be exceptional, documented, justified and approved bythe Group Environmental Health Officer (Commercial) or the Chief EnvironmentalHealth Officer unless the delay in decision making would result in a significant risk tothe public.


1.4.1 Some aspects of the Health and Safety work that the Environmental Health Serviceundertakes interacts with other outside Agencies that carry out enforcement work andmay complement or support our enforcement action. These include:

� Other local authorities under the Lead Authority Partnership Scheme� HSE� Fire Authority

1.4.2 In determining the most appropriate form of enforcement action officers must haveregard to any on-going or potential action of other Agencies and the suitability andeffect of our action, as opposed to, or combined with their action in addressing theissues.

1.4.3 Where issues are identified by Officers from the Environmental Health Service thatare the enforcement responsibility of another Agency the owner/manager of theproperty will be informed of the Officer’s concerns and advised that the matter will bereferred the relevant agency or service. The matter should then be referred to therelevant agency or service by the Officer.

1.4.4 Where enforcement action is being taken by another Agency, Officers fromEnvironmental Health will provide all assistance that is reasonably requested,including the production of witness statements, collection and sharing of evidenceetc.

1.4.5 Where there is a shared enforcement role with an outside Agency, Officers fromEnvironmental Health will carry out joint visits where it is appropriate and beneficial tothose involved.

2.0 AUTHORISATION

2.1 Authorisation of Officers is of paramount importance in the effective delivery of thehealth and safety functions of Three Rivers District Council. The ‘proper officer’ of thisauthority who has the delegated responsibility for authorising enforcement officers isthe Chief Environmental Health Officer in consultation with the Director of Housingand Environment.

2.2 All authorisations of enforcement officers must be in writing, specifying the limits ofauthorisation and must form part of the identification card shown on visits.

2.3 Competencies



The Council’s policy is that the acceptable competency of officers in foodenforcement work must follow the guidance in HSC Section 18 Guidance to LocalAuthorities No 5 (September 2001) Provision of a trained and competentinspectorate.

2.3.1 Inspectors possessing all the competencies identified in Annexe 2 of the Section 18Guidance may be appointed under Section 19 of the HSW Act and authorised toexercise the enforcement powers specified in: -

� Sections 20, 21, 22, 25 and in England and Wales section 39 of the HSAW� Any health and safety regulation; and � Any other relevant statutory provisions (Schedule 1 to the HSAW Act)

2.3.2 Inspectors not possessing all the competencies identified in Annexe 2 of the Section18 Guidance may either:-

� Be selectively authorised relevant to the competencies possessed; or� Be subject to adequate and appropriate supervision by another inspector who

possesses all the standards of competence.

2.3.3 In all cases, inspectors will have regard to current HELA guidance when carrying outany enforcement function.


3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern health andsafety enforcement action, including prosecution. To achieve and maintainconsistency, it is important that all relevant HSC and HELA guidance is alwaysconsidered and followed where appropriate.

3.2 This Authority, in line with the Enforcement Concordat, will seek to ensure thatenforcement decisions are always proportional, consistent, transparent, fair andrelate to common standards that ensure that workers and the public are adequatelyprotected. The Authority will base all enforcement decisions on an assessment ofrisk to public health and will consider a number of factors set out in Section 18 HSCGuidance to Local Authorities and HELA Strategy of health and safety enforcement inlocal authority enforced sectors. These include seriousness of offence; theenterprise’s past history, confidence in management, the consequences of non-compliance and the likely effectiveness of the various enforcement options.

3.3 Whenever an enforcement decision needs to be made fair regard shall be made tothe normal hours of trading of any business premises under investigation. Whenevernecessary, inspections and investigations will be carried out in the early morning, inthe evening and at weekends, in order to obtain fair and representative evidencepertaining to the alleged breach(s).







� to take no action� to take informal action� to use statutory notices� to use formal cautions� to prosecute

3.8 Where this Authority is considering taking enforcement action, which is inconsistentwith that adopted by other authorities, contrary to advice issued by HELA or the HSC,this matter must be referred to the Hertfordshire and Bedfordshire Chief Officers’Health and Safety Group for a consensus view. Where a consensus view cannot beachieved then the matter should be further referred to HELA or the HSC to ensureconsistency of enforcement.

3.9 Where an officer is considering giving detailed advice or taking formal action, and inall cases where this relates to an aspect of a company’s policies and procedures, theLead Authority under the Partnership Scheme must be contacted to discuss theproposed action. Where the authority is unable to adhere to this principle thenconcerns should be discussed with HELA.


4.1 Informal action to secure compliance with legislation can be by a variety of meansincluding giving advice, verbal warnings, sending informal letters, issuing inspectionreports and sending informal notices. This advice will be put clearly and simply.

4.2 These approaches will continue to be used by authorised officers as long as theybelieve that these methods will result in compliance within reasonable timescales.


� The breach is not serious enough to warrant other action.� From the individual/company’s past history, it can be reasonably expected that

informal action will achieve compliance.� Confidence in the individual/company’s management involved is high.� The consequences of non-compliance will not pose a significant risk to the public.� In the first instance when dealing with voluntary and charitable organisations and

small businesses.

4.4 When an informal approach is adopted to secure compliance with health and safetylegislation, it is important that any letter issued explains: -

� What the breach is, with reference to the legislation, including the regulation,chapter, etc as appropriate.

� The remedial action needed to achieve compliance, why it is necessary andsetting out the timescale for compliance against each item.

� Clearly distinguishes any recommendations of good practice from legalrequirements.

� Offer the opportunity for discussion or for the owner to make representations,including contact point(s) and name(s).



4.5 Each letter or written correspondence will set out the informal arrangements fordiscussion or appeal against the legal matters raised.

4.6 In the case of programmed inspections, an inspection report will always be issuedeven if conditions are found to be satisfactory.

5.0 FORMAL APPROACH

5.1 Improvement Notices

5.1.1 The use of an Improvement Notice must be proportionate to the risk posed to workerand public safety and is not suitable for minor technical contraventions. AnImprovement Notice is only appropriate if one or more of the following criteria apply:

� The business involves high-risk operations.� There are significant contraventions of the legislation and the action is

proportionate to the risk posed to worker and public health and safety.� An informal approach has been tried but has not been successful or the officer

believes an informal approach would not succeed.� There is a documented history of non-compliance with health and safety

legislation.� In the case of a new business or new requirement, the officer assesses that the

owner is unwilling or unlikely to comply.� No procedural controls exist or there has been a breakdown in controls, which are

critical for health and safety.� A prosecution is to be taken, but effective action is also needed as quickly as


5.1.2 Before an Improvement Notice is served, the officer will provide an opportunity todiscuss the requirements and the need for the action. In any cases where disputescan not be resolved with the officer, then the proprietor may make representations tothe line manager, either by phone or in writing.


5.1.4 The notice must state:-




5.1.5 A revisit will be made to a premise as soon as practicable after expiry of anImprovement Notice.

5.1.6 The officer will inform the Lead Authority of the action taken and its outcomes.

5.2 Seizure/Detention of Articles or Substances

5.2.1 An officer will undertake the seizure/detention of articles or substances:-

� When it appears to have caused or likely to cause danger to health or safety.� To ensure that it is not tampered with before any examination is complete.



� To ensure that it is available for use an evidence in any proceedings for anoffence under any statutory provisions.

5.3 Prohibition Notices

5.3.1 The use of a Prohibition Notice is only appropriate if there is a risk of seriouspersonal injury from activities that are, or likely to be carried out.

5.3.2 The officer will inform the Lead Authority to advise them of the action taken and itsoutcomes and any follow up action.


This Authority will undertake follow up visits to premise to ensure that progress hasbeen made to rectify contravention’s and poor practices found during programmedinspections. The criteria to decide whether a follow up visit is necessary will be theseriousness of the offence and the likelihood that further formal action will be takenas a direct result of the visit. Where practicable, the officer who undertook the originalinspection should carry out the revisit if there are significant breaches of health andsafety regulations.

7.0 FORMAL CAUTIONS

7.1 In certain circumstances this authority will issue a formal caution. The matters whichwill be taken into account when deciding whether a formal caution is appropriate,include:-





7.2 The officer shall ensure that decisions to issue a Formal Caution are notified to allinterested bodies eg. Lead Authority, Fire Brigade, HSE.

8.0 PROSECUTION

8.1 The Authority recognises that most businesses wish to comply with the law andprosecution will be restricted to those who flout the law. The following circumstancesare likely to warrant prosecution: -

� The alleged offence involves a flagrant breach of the law such that the worker orpublic health and safety is or has been put at risk.

� The alleged offence involves a failure by the suspected offender to correct anidentified serious potential risk to health and safety, having been given areasonable opportunity to comply with the requirements of an officer.


� There is a history of similar offences, related to risk to worker or public health andsafety.





� The seriousness of the alleged offence;� The previous history of the party concerned;� The likelihood of the defendant being able to establish a due diligence defence.� The ability of any important witnesses and their willingness to co-operate.� The willingness of the party to prevent a recurrence of the problem.� The public benefit of a prosecution and the importance of the case.� Whether other action such as (formal) cautioning or Improvement Notices will be

more appropriate or effective.� Any explanation offered by the company or suspected offender.

8.4 The officer will ensure that decisions to prosecute and results of any legalproceedings are notified to all interested bodies, for example Lead Authority, FireBrigade, HSE.

9.0 STATUTORY NOTIFICATIONS AND REFERRAL TO/FROM OTHERREGULATORS

9.1 The Council receives Statutory Notifications from other regulatory bodies. Allnotifications will be acknowledged and investigated in accordance with Section 3 ofthis policy. Such notifications include:-

� RIDDOR reports of accidents, occupational diseases and dangerous occurrence

9.2 From time to time matters under investigation are found to fall more appropriatelyunder the enforcement regime of another regulatory body or agency. In all cases ofreferred enforcement the person(s) under investigation will be notified of the reasonsfor referral by letter. Such matters include:-

� To HSE, on invesitgation of gas safety problems� To Fire Authority in the case of premises designated under the FPA 1971

10 REVIEW




Human Rights Implications:



1. Individuals have the right to their possessions or property (which includes a business) unless interference is justified except in accordance with the law, and is necessary in a democratic society in the interests of national security, public safety or the economic well- being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of the rights and freedoms of others.

Data Protection Implications:

1. Only publicly available information is the food register and the notice register.2. Information may be disclosed to Police, Customs and Excise etc about an individual if they are investigating a specific offence in which that individual may be involved.



APPENDIX E

ENVIRONMENTAL HEALTH ENFORCEMENT POLICY – PEST CONTROL

TITLE: ENVIRONMENTAL HEALTH PEST CONTROL ENFORCEMENT POLICY

1.0 INTRODUCTION


The Environmental Health Department undertakes pest control work in the followingthree service areas:

I. Pest control treatments for rats, mice, wasps and insects at the request ofresidents and businesses within Three Rivers district.

II. Provision of specialist advice to residents and businesses within Three RiversDistrict.

III. Keeping land within Three Rivers district free from rats and mice in respect ofduties required under the Prevention of Damage by Pests Act 1949.

Service area III is an enforcement role, areas I and II comprises a service that isoffered to residents and business. but involves no enforcement – these service areaare therefore not included in this enforcement policy.



� Council’s Concordat on Good Enforcement


� Written departmental pest control procedures


1.3.1 Three Rivers District Council has a number of unique demographic, geographic andsocial attributes that impact upon the way that the pest control service is deliveredlocally. This policy is designed to ensure that the broad objectives of the enforcementconcordat underpin the detailed workings of the pest control section in its day to daycontact with all service users.

1.3.2 The Council’s pest control policy is to work towards an achievable environmentalgoal, which would mean that people living or working in Three Rivers largely enjoyland and property free from infestation of vermin

1.3.3 This policy is implicit in the day to day work of many council departments. The servicearea mentioned at 1.1 above contributes directly to its achievement, through theenforcement of statutory provisions.



1.3.4 People whose personal, leisure or business related activities persistently have theeffect of diminishing the achievement of this goal, and where a statutory duty on thisCouncil exists, will be dealt with according to the guidance contained in this policy


The Council has signed up to the voluntary code, known as the EnforcementConcordat which is a nationally produced standard in promoting best practice inenforcement. It is committed to the principles of the code and to work with all peopleto comply with the law and to take action against those that flout the law and put andothers at risk. The principles of the concordat have formed the basis of the CorporateEnforcement Policy.


1.5.1 Some aspects of the pest control work that the Environmental Health Serviceundertakes interacts with other Council services and outside Agencies that, althoughdo not carry out enforcement work, do provide services that can provide analternative form of resolution, or can complement or support our enforcement action.These include:

� Three Rivers District Council’s Housing Teams (Public and Private sectors)� Three Rivers District Council’s Commercial Team� Herts. County Council Social Services� Herts County Agricultural Committee� The Highways Agency� Thames Water

1.5.2 In determining the most appropriate form of enforcement action, officers must haveregard to any on-going or potential action of other Council services and Agencies andthe suitability and effect of our action, as opposed to, or combined with their action inaddressing the issues.




The Council is committed to ensuring that all authorised officers carrying outenforcement work are trained and fully acquainted with the requirements of thispolicy. All authorised officers must abide by this policy when making decisions onenforcement. Any departure from this policy will be exceptional, documented,justified and approved by the line manager unless the delaying in decision makingwould result in a significant risk to the public.

2.0 AUTHORISATION



2.1 Authorisation of officers is of paramount importance in the effective delivery of thepest control function of Three Rivers District Council. The ‘proper officer’ of thisauthority who has the delegated responsibility for authorising enforcement officers isthe Chief Environmental Health Officer in consultation with the Director of Housingand Environment.


2.3 Competencies

2.3.1 The Council’s policy is to require the following qualification for officers to carry outpest control work : -

� The British Pest Control Association Diploma


3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern pest controlenforcement action, including prosecution. To achieve and maintain consistency, it isimportant that the Enforcement Concordat is always considered and followed whereappropriate.


3.3 Whenever an enforcement decision needs to be made fair regard shall be made tothe normal hours of trading of any business premises under investigation. Whenevernecessary inspections and investigations will be carried out in the early morning, inthe evening and at weekends as appropriate.




3.7 The Environmental Health Service will base all pest control enforcement decisionson:

� The effect of the legislative breach upon the persons affected, and/or the damagebeing caused or likely to be caused to the land.







3.8 In making an enforcement decision, we will consider a number of factors. Theseinclude the perpetrator’s past history, where a business is involved - confidence inmanagement, the consequences of non-compliance; effect of the defect on theperson(s) affected and the likely effectiveness and consequences of the variousenforcement options.




� to prosecute

� to carry out work in defaultAny of the above options can also be undertaken alongside appropriate action byother Council Services or outside agencies. (see shared enforcement section 1.5)


4.1 Informal action to secure compliance with legislation can be by a variety of meansincluding giving advice, verbal warnings, sending informal letters, etc. This advice willbe put clearly and simply.






4.4 When an informal approach is adopted to secure compliance with pest controllegislation, it is important that any letter issued explains: -






5.0 FORMAL APPROACH

5.1 Notices

5.1.1 The use of a formal notice must be considered when there is a significant infestationof vermin and the action is proportionate to:� The effect of the legislative breach upon the persons affected, and/or the damage

being caused or likely to be caused to the land.








� A prosecution is to be taken, but effective action is also needed as quickly aspossible to remedy conditions through work in default.

5.1.3 Only the authorised officer who has witnessed the contravention and is satisfied thatit constitutes an infestation of vermin must sign the notice.


� The legislation, including regulation, section, subsection or paragraph that relatesto the infestation.








6.1 This Authority will undertake follow up visits to premises to ensure that progress hasbeen made to rectify identified problems. The criteria to decide whether a follow upvisit is necessary will be the likelihood that further formal action will be taken as adirect result of the visit. Where practicable, the officer who undertook the original visitor inspection should carry out the revisit.

7.0 PROSECUTION







� The previous history of the party concerned;





8.1 From time to time other agencies may require the statutory notification ofenforcement action within a local authority’s area. An example is notification to theCounty Agriculture Committee when a vermin infestation has been identified onagricultural land and the Council serve an enforcement notice.

9.0 REVIEW





1. Individuals have the right to their possessions or property (which includes a business)unless interference is justified except in accordance with the law, and is necessary in ademocratic society in the interests of national security, public safety or the economicwell-being of the country, for the prevention of disorder or crime, for the protection ofhealth or morals, or for the protection of the rights and freedoms of others.

PERSONS RIGHTS.


1. Only publicly available information is the notice register.2. Information may be disclosed to Police, Customs and Excise, other Council Services etc. about an individual if they are investigating a specific offence in which that

individual may be involved.



APPENDIX F

ENVIRONMENTAL HEALTH ENFORCEMENT POLICY – LICENSING

TITLE: ENVIRONMENTAL HEALTH LICENSING ENFORCEMENT POLICY

1.0 INTRODUCTION


The Environmental Health Department undertakes licensing work in the followingeleven service areas:

I. Drivers, Vehicles and Operators licences in respect of Hackney Carriages

II. Drivers, Vehicles and Operators licences in respect of Private Hire Vehicles

III. House to House Collections licence (persons collecting money for charity ondoorsteps)

IV. Street Collections Licence (person with a charity collection box on the street)

V. Small Lotteries Licence (re associations such as Parent Teacher etc)

VI. Street Trading Consents for mobile traders selling food or non food items

VII. Market Trading Consents

VIII. Nursing Agency Certificate of Licence for agencies supplying Bank Nurses

IX. Gaming Machine Permits for premises not subject to a Justices Licence

X. Justice Licence notifications

XI. Club Registration Licence notifications

Service areas I. – IX include enforcement roles, areas X and XI is a service thatreceives notifications for information only.– these service areas are therefore notincluded in this enforcement policy. The enforcement policy covers all aspects of theother service areas.



� Council’s Corporate Enforcement Policy



� Written departmental Licensing procedures




1.3.1 Three Rivers District Council has a number of unique demographic, geographic andsocial attributes that impact upon the way that the licensing service is deliveredlocally. This policy is designed to ensure that the broad objectives of the enforcementconcordat underpin the detailed workings of the licensing section in its day to daycontact with all service users.

1.3.2 The council’s licensing policy is to work towards an achievable goal, which wouldmean that people living, working or visiting in Three Rivers largely enjoy:

� Travel in Hackney Carriage and Private Hire vehicles that are licensed and carrya valid vehicle test certificate from an authorised garage relating to the soundcondition of the vehicle.

� Vehicles driven by licensed drivers who have been subject to police and medicalchecks to validate, as far as possible, their suitability to drive a vehicle carryingmembers of the public.

� Confidence, upon production of a licence, that door to door and street collectorsare collecting for a true charity.

� Street Traders who are sited safely on a highway and inspected on a regularbasis by other sections of Environmental Health to ensure that food and healthand safety legislation is complied with to protect the public.

1.3.3 People whose business related activities persistently have the effect of diminishingthe achievement of this goal, and where a statutory provision is being breached, willbe dealt with according to the guidance contained in this policy




1.5.1 Some aspects of the licensing work that the Environmental Health Serviceundertakes interacts with other Council services and outside Agencies that carry outenforcement work that can provide an alternative form of resolution, or cancomplement or support our enforcement action. These include:� Three Rivers District Council’s Commercial Team (food safety, health and safety)� Three Rivers District Council’s Development and Building Control service� The Highways Agency� Police Authority


1.5.3 Where issues are identified by Officers from the Environmental Health Service thatare the enforcement responsibility of another council service or other agency the



person reporting the matter(s) will be referred to the relevant agency or service. TheOfficer should then refer the matter to the relevant agency or service.




The Council is committed to ensuring that all authorised officers carrying out licensingenforcement work are trained and fully acquainted with the requirements of thispolicy. All authorised officers must abide by this policy when making decisions onenforcement. Any departure from this policy will be exceptional, documented,justified and approved by the line manager unless the delaying in decision makingwould result in a significant risk to the public.

2.0 AUTHORISATION

2.1 Authorisation of officers is of paramount importance in the effective delivery of thelicensing functions of Three Rivers District Council. The ‘proper officer’ of thisauthority who has the delegated responsibility for authorising enforcement officers isthe Chief Environmental Health Officer in consultation with the Director of Housingand Environment.


2.3 The designations of person(s) who may authorise a prosecution or a formal caution inline with the current Home Office Circular are the Chief Environmental Health Officerand the Licensing Officer. Decisions relating to the instigation of prosecutionproceedings will be taken in consultation with the Solicitor to the Council.

2.4 Competencies

2.4.1 The Council’s policy is that the competencies considered suitable for officers to carryout licensing work are: -

� Proven enforcement experience� Proven knowledge and interpretation of all relevant legislation


3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern licensingenforcement action, including prosecution. To achieve and maintain consistency, it isimportant that the Enforcement Concordat is always considered and followed whereappropriate.

3.2 This Authority, in line with the Enforcement Concordat, will seek to ensure thatenforcement decisions are always consistent, balanced, fair and relate to commonstandards that ensure that the public is adequately protected.



3.3. Whenever an enforcement decision needs to be made fair regard shall be made tothe normal hours of trading of any business under investigation. Whenever necessaryinspections and investigations will be carried out in the early morning, in the eveningand at weekends, in order to obtain fair and representative evidence pertaining to thealleged breach(s).




3.7 The Environmental Health Service will base all licensing enforcement decisions on :

� The effect of the legislative breach upon the potential persons affected.

� The risk to the health and safety of persons that may be affected.



3.8 In making an enforcement decision, we will consider a number of factors. Theseinclude seriousness of offence; the perpetrator’s past history, confidence inmanagement, the consequences of non-compliance; effect of the defect on theperson(s) affected and the likely effectiveness and consequences of the variousenforcement options.

3.9 Where there are failures to comply with the law, this Authority has a number ofinformal and formal approaches to secure compliance: -� to take no action (possibly refer the matter to another service or agency)



� to prosecuteAny of the above options can also be undertaken alongside appropriate action –enforcement or otherwise by other Council Services or outside agencies. (seeshared enforcement section 1.5)










� The consequences of non-compliance will not pose a significant risk to thoseaffected.

4.4 When an informal approach is adopted to secure compliance with licensinglegislation, it is important that any letter issued explains: -� The remedial action needed to achieve compliance, why it is necessary and within

what timescale.


� Provides the details of any other Council services or outside Agencies that maybe able to provide assistance or related services to theowner/occupier/manager/responsible person.

5.0 FORMAL APPROACH

5.1 Formal action is not suitable for minor technical contraventions.

5.2 A written formal warning must be issued and signed by the authorised officer who issatisfied that the situation constitutes a breach of Statutes.

5.3 Any formal warning that is issued must contain:-� The legislation, including regulation, section, subsection or paragraph that has

been contravened.


5.4 Where appropriate, the officer will inform to all interested bodies or agencies,including of the action taken and its outcomes.



7.0 FORMAL CAUTIONS




7.2 The matters which will be taken into account when deciding whether a formal cautionis appropriate, include:-� The seriousness of the offence, as a caution is not suitable for serious offences.




� The previous history of the party concerned.7.3 The officer shall ensure that decisions to issue a Formal Caution are notified to all

interested bodies.

8.0 PROSECUTION







� The seriousness of the alleged offence;




� he willingness of the party to prevent a recurrence of the problem.


� Whether other action (formal) cautioning, will be more appropriate or effective.





9.1 From time to time matters under investigation are found to fall more appropriatelyunder the enforcement regime of another regulatory body or agency. Eg Policeauthority. In all cases of referred enforcement the person(s) under investigation willbe notified of the reasons for referral by letter.

10.0 REVIEW



1. Reference should be made to the Departmental District Working and Lone Working Procedure, particularly when logging in and out. This is imperative when undertaking enforcement action to follow these procedures due to the higher risk nature of this aspect. Where officers anticipate problems, then additional measures should be undertaken, i.e.visit with another officer.


1. Individuals have the right to their possessions or property (which includes a business) unless interference is justified except in accordance with the law, and is necessary in a democratic society in the interests of national security, public safety or the economic well- being of the country, for the prevention of disorder or crime, for the protection of health or

morals, or for the protection of the rights and freedoms of others.

PERSONS RIGHTS.


1. Only publicly available information is the notice register.2. Information may be disclosed to Police, Customs and Excise, other Council Services

etc. about an individual if they are investigating a specific offence in which thatindividual may be involved.



APPENDIX G

ENVIRONMENTAL HEALTH ENFORCEMENT POLICY – ANIMAL CONTROL

TITLE: ENVIRONMENTAL HEALTH ANIMAL CONTROL ENFORCEMENT POLICY

1.0 INTRODUCTION


The Environmental Health Department undertakes animal control work in thefollowing service areas:

I. Control of stray dogs, including dangerous dogs and dogs out of control in apublic place.

II. Out of Hours service for emergencies (such as road accidents) anddangerous dogs.

III. Noise nuisance caused by animals.

IV. Complaints concerning dog fouling in public places.

V. Complaints concerning accumulations of animal deposits likely to causenuisance or be prejudicial to health.

VI. Complaints concerning animal related nuisance.

VII. Enforce conditions and requirements necessary for the licensing of animalwelfare establishments (pet shops, animal boarding, riding establishments,breeding of dogs, dangerous wild animals).

VIII. Duties in the event of a rabies outbreak



� Out of Hours Procedure


� Rabies Contingency Plan

� Regulation of Investigatory Powers Act

� Written departmental animal control enforcement procedures




1.3.1 Three Rivers District Council has a number of unique demographic, geographic andsocial attributes that impact upon the way that the pollution service is deliveredlocally. This policy is designed to ensure that the broad objectives of the enforcementconcordat underpin the detailed workings of the pollution section in its day to daycontact with all service users.

1.3.2 This policy is implicit in the day to day work of many council departments. All of theservice areas mentioned at 1.1 above contribute directly to its achievement, throughthe enforcement of statutory provisions.

1.3.3 All enforcement action taken will be primarily based upon an assessment of:

� The effect of the legislative breach upon the persons affected, and/or the damagebeing caused or likely to be caused to the land.




� Any concurrent or potential action by other services and agencies and thesuitability and effect of our action as opposed to or combined with theirs inaddressing the issues.



1.5 Shared Enforcement.

1.5.1 Many aspects of the animal control work that the Environmental Health Serviceundertakes interacts with other Council services and outside Agencies that carry outenforcement work. The work also interacts with non-enforcement Council servicesand outside Agencies that provide services that can provide an alternative form ofresolution, or can complement or support our enforcement action. These include:

� Three Rivers District Council’s Housing Teams (Public and Private sectors)� Three Rivers District Council’s Pollution Team� Three Rivers District Council’s Commercial Team� Three Rivers District Council’s Pest Control Service� Herts. County Council Trading Standards Department� Herts. County Council Social Services� Hertfordshire Police Constabulary� R.S.P.C.A



� Dogs Home Battersea� Watford and Three Rivers Mediation Service (WA3RMS)






The Council is committed to ensuring that all authorised officers carrying out animalcontrol enforcement work are trained and fully acquainted with the requirements ofthis policy. All authorised officers must abide by this policy when making decisions onenforcement. Any departure from this policy will be exceptional, documented,justified and approved by the line manager unless the delaying in decision makingwould result in a significant risk to the public.

2.0 AUTHORISATION

2.1 Authorisation of officers is of paramount importance in the effective delivery of theanimal control functions of Three Rivers District Council. The ‘proper officer’ of thisauthority who has the delegated responsibility for authorising enforcement officers isthe Chief Environmental Health Officer, in consultation with the Director of Housingand Environment.


2.3 The designations of person(s) who may authorise a prosecution or a formal caution inline with the current Home Office Circular are the Chief Environmental Health Officer.Decisions relating to the instigation of prosecution proceedings will be taken inconsultation with the Solicitor to the Council.


3.1 This Council recognises and affirms the importance of achieving and maintainingconsistency in their approach to making all decisions, which concern pollutionenforcement action, including prosecution. To achieve and maintain consistency, it isimportant that the guidance in Codes of Practice; DEFRA Circulars; CIEH Guidance



and the Enforcement Concordat is always considered and followed whereappropriate.






3.7 In making an enforcement decision, we will consider a number of factors. Theseinclude seriousness of offence; the perpetrator’s past history, where a business isinvolved - confidence in management, the consequences of non-compliance; effect ofthe defect on the person(s) affected and the likely effectiveness and consequencesof the various enforcement options.

3.8 Where there are failures to comply with the law, this Authority has a number ofinformal and formal approaches to secure compliance: -� to take no action (possibly refer the matter to another service or agency)




� to prosecute

� to carry out work in defaultAny of the above options can also be undertaken alongside appropriate action –enforcement or otherwise by other Council Services or outside agencies. (seeshared enforcement section 1.5)










� In the first instance when dealing with vulnerable persons, the elderly and theyoung (14 – 18 years of age), voluntary and charitable organisations.


4.4 When an informal approach is adopted to secure compliance with animal welfarelegislation, it is important that any letter issued explains: -




5.0 FORMAL APPROACH

5.1 Notices

5.1.1 The use of a formal notice must be considered when there are significant contraventions of the legislation

and the action is proportionate to: � The effect of the legislative breach upon the persons affected, and/or the damage

being caused or likely to be caused to the land and water environment,ecosystems, flora and fauna generally, air quality.










5.1.3 Only the authorised officer who has witnessed the contravention and is satisfied thatit constitutes a breach of Statutes must sign the notice.

5.1.4 Any notice that is served must contain all the content requirements detailed in thelegislation and in any case must state:-� The legislation, including regulation, section, subsection or paragraph that has

been contravened.








7.0 FORMAL CAUTIONS



� The seriousness of the offence, as a caution is not suitable for serious offences.







7.3 The officer shall ensure that decisions to issue a Formal Caution are notified to allinterested bodies.

8.0 PROSECUTION







8.3 The criteria contained in the relevant Code of Practice must be followed whendecisions are being taken on whether to prosecute. The factors to be consideredare: � The seriousness of the alleged offence;






� Whether other action (formal) cautioning, improvement notices will be moreappropriate or effective.


9.0 REVIEW





1. Reference should be made to the Departmental District Working and Lone Working Procedure, particularly when logging in and out. It is imperative when undertaking enforcement action to follow these procedures due to the higher risk nature of this aspect. Where Officers anticipate problems, then additional measures should be undertaken, ie. Visit with another Officer.


1. Individuals have the right to their possessions or property (which includes a business) unless interference is justified except in accordance with the law, and is necessary in a democratic society in the interests of national security, public safety or the economicwell- being of the country, for the prevention of disorder or crime, for the protection of healthor morals, or for the protection of the rights and freedoms of others.

PERSONS RIGHTS.


1. Only publicly available information is the notice register.

2. Information may be disclosed to Police, Customs and Excise, other Council Servicesetc. about an individual if they are investigating a specific offence in which thatindividual may be involved.



APPENDIX H

ENVIRONMENTAL HEALTH – COMPLAINTS/REQUESTS FOR SERVICE

TITLE: ENVIRONMENTAL HEALTH POLICY – COMPLAINTS /REQUEST FOR SERVICE

1.0 INTRODUCTION


The Environmental Health Department undertakes a wide range of statutory functionsand service delivery to the public and business and receives complaints/requests forservice via several routes. The response to, and how complaints made to ThreeRivers District Council about third parties, and requests for service are dealt with areincluded in this policy. Complaints about a third party include such things as allegednuisance being caused by a neighbour; bad hygiene practices in a food shop andunfit food being sold. A request for service include such things licensing applications;pest control treatments and also includes all above complaints about third parties asthese are still a request for service delivery by Environmental Health.



� Council’s Corporate Policy on Good Enforcement

� Council’s Corporate Policy on answering the telephone

� Council’s Corporate Policy on Customer Care

� Council’s Corporate Complaints Procedure

� Council’s Code of Official Conduct


Three Rivers District Council has a number of unique demographic, geographic andsocial attributes. This policy is designed to ensure that standards for responding toand dealing with complaints about third parties and requests for service aretransparent, consistent and delivered in a uniform manner to all users of the service.


The Council is committed to ensuring that all officers who interact with public andbusiness are trained and fully acquainted with the requirements of this policy. Allofficers must abide by this policy when receiving and dealing with complaints made tothis Authority about a third party and requests for service relating to a statutoryfunction performed by this Authority. Any departure from this policy will beexceptional, documented, justified and approved by the section head.

2.0 RESPONSE AND HANDLING OF COMPLAINTS/REQUESTS FOR SERVICE

2.1 At all times officers will show courtesy and professionalism in all dealings with serviceusers. Officers will identify themselves and provide adequate contact details toservice users.



2.2 Initial response times for complaints/requests for service to Environmental Healthshall be in accordance with the departmental standards as detailed in section 3 of thispolicy.

2.3 Officers will ensure that information given, including what further actions, if any, maybe taken, including any timescales, shall be in clear and in plain language.

2.4 Where issues are identified by Officers from the Environmental Health Service thatare the enforcement responsibility of another council service or other agency theperson reporting the matter(s) will be referred to the relevant agency or service. Thedetails of any other Council services or outside Agencies that may be able to provideassistance or related services will be provided.

2.5 If the attendance of a translator, interpreter, signer or other person is needed toassist with written or verbal communications with the service users, such reasonableprovision will be made.

2.6 Where a service user wishes to make a formal complaint about the response and/orhow the service request was dealt with, the officer will provide the relevantinformation about the Council’s Corporate Complaints Procedure.

2.7 In the event of abusive or threatening behaviour/verbal abuse by a service user to anofficer of Environmental Health, the officer will advise the user that continuation ofsuch behaviour will result in the conversation being terminated. Any such events shallbe reported to the section head and legal department under the Health and SafetyIncident Reporting procedure.

3.0 RESPONSE TARGET STANDARDS

3.1 The following are the Environmental Health response targets relating tocomplaints/request for service received from the public and business that officersshall strive to attain. Less than 95% achievement of these targets will be reported tothe relevant forum of Members with explanatory reasons:-

� Complaint/request received by telephone: within 24 hours

� Complaint/request received by letter/fax/e-mail: within 5 working days

� Pest control treatments within 7 working days

� Process license applications within 2 working days

9.0 REVIEW


.PERSONS RIGHTS.


1. Only publicly available information is the notice register.2. Information may be disclosed to Police, Customs and Excise, other Council Services

etc. about an individual if they are investigating a specific offence in which thatindividual may be involved.


Documents

ENVIRONMENTAL HEALTH ENFORCEMENT POLICIES …