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Public Protection - Compliance and Enforcement Policy

5. Our approach to compliance and Enforcement

5.1 We will ensure the allocation of resources and effort is targeted where they would be most effective by assessing the risks against our regulatory outcomes.  Such risk assessments will inform our approach to regulatory activity including data collection, inspection programmes, business advice and enforcement sanctions.  As part of this risk assessment, we will give consideration to the combined effect of the potential impact of noncompliance on regulatory outcomes and the likelihood of that noncompliance being repeated.

5.2 The Legislative and Regulatory Reform Act 2006, as amended, requires Powys County Council to have regard to the Principles of Good Regulation when our services conduct enforcement duties.

We will exercise our regulatory activities in a way which are:

  • Proportionate - our activities will reflect the level of risk to the public and seriousness of the offence
  • Accountable - our activities will be open to public scrutiny, with clear and accessible policies, together with fair and efficient complaints procedures
  • Consistent - our advice to those we regulate will be robust and reliable and we will respect advice provided by others.  Where circumstances are similar, we will endeavour to act in similar ways to other local authorities
  • Transparent - we will ensure those we regulate are able to understand what is expected of them and what they can anticipate in return
  • Targeted - we will focus our resources on higher risk enterprises and activities, reflecting local need and national priorities.

5.3    We embrace the principles of good enforcement established in the Regulators Code as amended Regulators' Code - GOV.UK (www.gov.uk) which sets out the following:

  • Regulators should carry out their activities in a way which supports those they regulate to comply and grow,
  • Regulators should provide straightforward ways to engage with those they regulate and hear their views,
  • Regulators should base their regulatory activities on risk,
  • Regulators should share information about compliance and risk,
  • Regulators should ensure clear information, guidance and advice is available to help those they regulate meet their responsibilities,
  • Regulators should ensure that their approach to their regulatory activities is transparent.

However, in certain instances we may conclude that a provision in the Regulators' Code is either not relevant or is outweighed by another provision.  We will ensure that any decision to depart from the Code will be properly reasoned and based on the available evidence.

5.4 We are committed in all aspects of its work to promote equality in accordance with Equality statements and policies of our Council.  The Service will seek to adopt best practice in pursuit of that commitment, including in relation to the provision of assistance, information, and advice.  During the monitoring and review of our practices under this policy we will make sure that our enforcement activity reflects this commitment. All processing of personal data in the delivery of the services and this policy will be undertaken in compliance with the Data Protection Act 2018 and the General Data Protection Regulation (GDPR).

5.5 In some areas of our work, we have a shared enforcement role with other agencies, some examples being the Health and Safety Executive, National Resources Wales, Her Majesty's Revenue and Customs and the Police.  Sometimes it will be more appropriate for other enforcement agencies or other local authorities to deal with particular breaches. In these circumstances the service may pass details of offences to such agencies.  In circumstances where a shared or complementary role exists, we will still adhere to this Compliance and Enforcement Policy, but the other agencies will retain the right to take whatever action they consider is necessary.

5.6  When we exchange information on enforcement activities with our partner agencies, we will do so in accordance with any established methods of information sharing and legal requirements, including the General Data Protection Regulations 2018 and the Crime and Disorder Act 1998.  We will work closely with other service areas within the council, and appropriate external regulators to promote regulatory compliance in all relevant areas, including food  and fair trading legislation.