1. Purpose.
1.1 In August 1999, Hinckley & Bosworth Borough Council formally adopted the principles of the central and local Government “Concordat on Good Enforcement”, thus committing itself to good enforcement policies and procedures.

1.2 As part of this commitment and coupled with the council’s own dedication to providing a high quality customer service, this policy forms the basis on which Licensing Enforcement will be undertaken both generically and with regard to specific licensing functions.

2. Areas of Regulatory Responsibility.
2.1 The Licensing Department is responsible for a number of licensing functions. The current licensable functions are listed below.

2.2 The current licensable functions are:

• Amusements with Prizes
• Hackney Carriage/Private Hire Drivers Licence
• Hackney Carriage/Private Hire Vehicle Licence
• House to House Collections
• Lottery Licences
• Private Hire Operators Licence
• Rival Markets Licence
• Sex Establishments
• Street Collections
• Premises Licences
• Personal Licences
• Club Premises Certificates
• Temporary Events Notices

3. Shared Regulatory Roles.3.1  As part of the Licensing function the council share a regulatory role with a number of internal and external agencies. Where possible Licensing Officers will attempt to arrange visits with all agencies to keep inconvenience to a minimum.

These agencies include:

• Customs & Excise
• Police
• Fire Service
• Environmental Agency
• Building Control
• Environmental Health (Pollution & Commercial)
• Planning
• Parish Councils
• Trading Standards
• Health & Safety Executive

4. Aim of Enforcement Action.
4.1 The primary aim of licensing enforcement work is to protect the public, the environment, consumers and workers. At the same time, to carry out enforcement functions in an equitable, practical and consistent manner to help promote the local economy and make Hinckley & Bosworth a safe, clean and healthy place to live, work and visit.

5. Principles of Good Enforcement.
5.1 The Licensing Enforcement Policy will adopt the principles of good enforcement as contained in the Enforcement Concordat. Enforcement includes advisory visits and assisting with compliance, as well as formal enforcement action.

5.1.1  Clear Standards
Setting out the level of service and performance that our customers can expect to receive in conjunction with the corporate Customer Service Standards and all relevant Enforcement Agencies.

5.1.2 Helpfulness
Prevention is better than cure and in view of this our role actively involves working with businesses and individuals to advise on and assist with compliance. In particular we will: -

• Strive to raise awareness of the Licensing Departments enforcement duties through education and promotion to achieve understanding and commitment and secure ownership of compliance arrangements
• Offer advice and support to individuals, community groups and to local businesses to help them to meet their obligations, balanced against the need to achieve adequate protection
• Provide a courteous, efficient service and provide a contact point and telephone number to encourage further contact
• Respond to complaints about our enforcement activities quickly and fairly within the terms of the council’s Customer Complaints Policy

5.1.3 Openness
The Licensing Department will provide information and advice on relevant legislation in a clear manner. We will be open about how we work, set charges and how we consult business, voluntary organisations, charities, consumers, landlords, community groups, individuals and workforce representatives.

5.1.4 Proportionality
Within our defined practices we will endeavour to minimise the costs of compliance by ensuring that any action taken is proportionate to the risk presented. As far as the law allows, the circumstances of the case and the attitude of the person being regulated will be taken into account when considering action.
Particular care will be taken to work with small businesses, individuals, voluntary and community organisations so that they are able to meet their legal obligations without unnecessary expense, where practicable.

5.1.5 Consistency
The Licensing Department will carry out their duties in a fair, equitable and consistent manner. We shall have arrangements in place to promote consistency, including arrangements for liaison with other authorities and enforcement bodies.

6. Choices of Action
6.1 Enforcement action will take the form of either:

• Informal action
• The use of Formal Prosecutions
• The use of Formal Cautions

7. Informal Action
7.1 Criteria
Informal action will be considered when:

• The act or omission is not serious enough to warrant formal action;
• The past history (of the individuals or business) suggests that informal action will achieve legal compliance;
• Standards are generally good suggesting a high awareness of statutory responsibilities;
• The consequences of non-compliance are considered as minor matters or the time scale allowed to seek compliance does not present a risk to public health and safety

7.1 Process
Informal action will involve offering advice, verbal or written warnings, written requests for action or required undertakings in the form of a letter and/or a schedule generated as a consequence of an inspection, investigation, complaint or visit.
All schedules produced following an inspection will differentiate between items that are “contravention” of statutory provisions and those items that are “recommendation” of good practice.
Persons in receipt of an informal warning in any of the prescribed forms given above will be given the opportunity to discuss the requirements with the Licensing Officers and agree an appropriate programme and timetable. Recipients will be encouraged to seek advice at any time during the process.

8. Formal Action.
8.1  Criteria
Circumstances when formal action will be considered appropriate will relate to:

• The seriousness of the offence;
• The past history of the organisation or person/s;
• Confidence in the management of the organisation, person/s or owner;
• The consequence of non-compliance;
• The likely effectiveness of the various enforcement options;
• The risk to public health;
• Any significant local factors

8.2 Formal Action Involving Prosecutions.
Prosecutions will normally be reserved for the more serious offences and in particular: -

• Where there is blatant disregard for the law;
• When there appears to have been reckless disregard for the safety of people;
• Where there have been repeated breaches of legal requirements and it appears management and/or licensees are neither willing nor structured to deal adequately with the cause of the offence
• Where as a result of substantial legal contravention there has been a serious incident;
• Where a particular contravention has caused serious public alarm

In all cases that are reported, alleged offenders will be invited to attend interview under caution (PACE code E) or send written comments or explanations for consideration by the Head of Health & Environment.

All decisions to prosecute will be made by the Head of Health & Environment after consultation with Legal Services based upon the evidence.

Decisions to prosecute will take account of the Crown Prosecutors Guide. In particular, the following criteria must be considered: -

• The gravity of the offence;
• The potential for harm arising from the offence;
• The general record and the approach of the offender;
• The public benefit achieved by pursing a prosecution;
• The criteria listed in the Code for Crown Prosecutors, which is available on request

8.3  Formal Action Involving Cautions.
In appropriate circumstances a formal Home Office caution may be offered as an alternative to prosecution. Such a caution would only be administered where the following conditions are fulfilled:

• There must be evidence of the suspected offender’s guilt sufficient to give realistic prospect of conviction;
• The suspected offender must admit the offence;
• The suspected offender must understand the significance of a formal caution and give informed consent to being cautioned. There is no legal obligation for any person to accept a caution

The Head of Health & Environment will be the cautioning officer in relation to Licensing Offences and will administer them in consultation with Legal Services and in accordance with Home Office guidance.
If the alleged offender declines to accept a formal caution, the Head of Health & Environment will then make the decision to prosecute after consultation with the councils Legal Services. Formal cautions will be reported to the Home Office, the Office of Fair Trading and others as considered appropriate.

9. What You Can Expect From Us.
9.1 We will provide a courteous and efficient service and our staff will identify themselves by name when they visit you or speak to you on the telephone.
9.2 We will be objective to ensure that our decisions are not influenced by the gender, ethnic origin, religious or political beliefs, or sexual preferences of any alleged offender.
9.3  We will enter into discussion and offer advice to anyone to try to ensure that they do not unnecessarily expose themselves to the possibility of formal action through a lack of understanding of information.
9.4  We will be consistent in our approach by following the criteria and guidance set down by relevant legislation, codes of practice and the procedures contained within the specific licensing enforcement documents.
9.5 We will ensure that before deciding to offer a formal caution, or take a prosecution, the case will be subject to independent review by a senior manager.

10. Complaints
10.1  In line with the council’s Customer Complaint Policy, a complaint is considered as an expression of dissatisfaction, however made, about the standard of service, action or lack of action by the council or its staff affecting an individual customer or group of customers.

10.2  A complaint does not include:

• Request for a service (e.g. a housing repair)
• Request for information or explanation of council policy or practice
• Matters for which there is a right of appeal within the council or to an independent tribunal
• Matters relating to a request for a service that has been previously notified to the council and is awaiting action within an agreed timescale (e.g. a non-urgent housing repair that may be actioned up 28 days after notification)
• Matters where the council is not the provider or commissioner of the service

10.3  Sometimes members of the public may complain but without describing their letters as complaints. Complaints should not be overlooked because they are not formally described as complaints.

Complaints Procedure

At each stage, the name and address of the complainant and nature of complaint must be entered in a register, prescribed and maintained by the Head of Health & Environment, together with details of the outcome.

First Stage

Frequently, the initial complaint is directed verbally, in person or over the telephone, to a 'front line' member of staff engaged in the service concerned who may either deal with it personally or refer it to the Line Manager.

If not resolved then, or if the complaint has been submitted in writing, the complaint must be acknowledged promptly and responded to by the Line Manager in writing within 14 working days. That response will either:

a) uphold the complaint and, where possible, identify possible remedy; or
b) not uphold the complaint and offer supporting reasons.

In either case, the next stages of the procedure should be explained.

Second Stage

Any remaining dissatisfaction must be reported to the Head of Health & Environment and preferably in writing. However, it is important that a complaint should not be excluded because of a complainant's difficulty in presenting it. In any event, the complaint must be acknowledged promptly. The Head of Health & Environment will be asked to arrange for the complaint to be revisited and will respond in writing to the complainant within 14 working days. That response will either:

a) uphold the complaint and, where possible, identify possible remedy; or
b) not uphold the complaint and offer supporting reasons

In either case, the next stages of the procedure should be explained.
 
Third Stage

If the complainant is still dissatisfied, then the procedure for the second stage is to be followed except that it will then be undertaken by the Deputy Chief Executive.

Monitoring

A summary of all complaints received and the outcome will be submitted to the council's Standards Committee.

10.4 How to Make a Complaint

Please contact the Licensing Department who can provide you with a copy of the complaints form or alternatively contact:

Mr. Trevor Prowse
Head of Health & Environment
Hinckley & Bosworth Borough Council
Florence House
St Marys Road
Hinckley
Leicestershire
LE10 1BZ

or Tel 01455 255842

or e-mail esadmin@hinckley-bosworth.gov.uk