Licensing Enforcement Policy

Introduction

The purpose of this policy is to secure efficient compliance with licensing legislation while minimising the burden on businesses, individuals, organisations, and the Council.

The policy explains the approach adopted by the Licensing Team when carrying out the Council's duty to enforce a wide range of legislation.  It is written in general terms because it applies in a wide range of situations.

The primary function of enforcement work, in relation to the licensing function, is to protect the public and the environment.

The Principles of Enforcement

The Council believes in firm but fair enforcement of licensing law. This policy is, therefore, based on a number of guiding principles. It is informed by the principles of proportionality in applying the law and securing compliance, consistency of approach, transparency about how we operate and what those regulated may expect, fairness and helpfulness.

• Proportionality: to relate enforcement action to the risks. Action taken by the Licensing Team to achieve compliance will be proportionate to any risks or to the seriousness of any breach.
• Consistency and Fairness: to ensure that similar issues are dealt with in the same way and ensure a fair and evenhanded approach. While Licensing Officers are expected to exercise judgement in individual cases, we will have arrangements in place to promote consistency, including effective arrangements for liaison with other authorities and enforcement bodies through schemes such as the Cheshire Districts Licensing and Enforcement Officers Group.
• Transparency: to ensure that enforcement action that will be taken by the Council is easily understood by individuals, organisations and businesses having to comply with legislation and that clear distinctions are made between legal requirements and advice or guidance about what is desirable but not compulsory. We will provide information and advice in plain language on the rules that we apply and will disseminate this as widely as possible. We will be open about how we consult business, voluntary organisations, charities and consumers. We will also discuss general issues, specific compliance failures or problems with anyone experiencing difficulties.
• Helpfulness: to actively work with our customers to advise on, and assist with, compliance. We will provide a courteous and efficient service and our staff will identify themselves by name. We will provide a contact point and telephone number for further dealings with us and we will encourage business to seek advice/information from us. Applications for approval of establishments, licences, registrations etc, will be dealt with efficiently and promptly. We will ensure that, whenever practicable, our enforcement services are efficiently co-ordinated to minimise unnecessary overlaps and time delays.

Levels of Enforcement Action

Legislation may be enforced by one or a combination of methods:-

• Promotion: to raise awareness about legal standards and promote good practice.  This is typically achieved by the issuing of press releases, distributing leaflets and other forms of written guidance available to the public and businesses, and by face-to-face contact.
• Informal Warnings: these will be used to reinforce promotional activities where, whilst the law may have been broken or where a minor offence had been committed, it was not thought appropriate to take any other action.  An informal warning can be oral or written.
  • If the recipient believes that such a warning is inappropriate or unjustified then this policy allows for the decision to be reviewed by a senior officer.
• Formal enforcement:  this includes the refusal to grant or revoke a licence or registration, formal cautions and prosecution.  This course of action would be taken following procedures laid down in legislation, codes of practice and professional guidance notes.

Where the alleged offence may be dealt with by different agencies, under separate legislation, the instigator of action will contact those other agencies to discuss:

• the appropriateness of taking action;
• the appropriate agency to take that action.

Formal Cautions

Under certain circumstances, a formal caution may be an appropriate alternative to prosecution.  This option will be considered before prosecution.  A Formal caution is a serious matter.  It is recorded on the Central Register of Convictions and may be used to influence any decision whether or not to institute proceedings if the person should offend again.  It may be referred to in any subsequent court proceedings.  It will not be referred to in respect of any conviction recorded more than three years earlier.

Formal cautions serve the following purposes:

• to deal quickly and simply with less serious offenders;
• to avoid unnecessary appearance in criminal courts;
• to reduce the chance of offenders re-offending.

Before issuing a caution, which will usually be administered by letter, the following conditions must be satisfied:

• there must be evidence of guilt sufficient to give a realistic prospect of conviction;
• the suspected offender must admit the offence, usually by signing a declaration;
• the suspected offender must understand the significance of a formal caution and give an informed consent to the caution.

Prosecution

The Council will use discretion in deciding whether to initiate a prosecution.  Where the circumstances justify it, prosecution without prior warning may take place.

The Council will consider prosecution when:

• it is appropriate in the circumstances, as a way to draw attention to the need for compliance with the law, especially where there would be a normal expectation of a prosecution, or where, through the conviction of offenders, others may be deterred from offending; or
• there is the potential for considerable harm arising from the breach; or
• the gravity of the offence, taken together with the general record and approach of the offender justifies it.

The decision to prosecute will always take account of the criteria set down in the Code for Crown Prosecutors and Attorney General's Guidelines.

Before deciding to prosecute there must be sufficient evidence for a realistic prospect of conviction taking account of any defence that may be available, and it must be in the public interest.

The following public interest criteria will normally be taken into account when deciding on the relevance of legal proceedings, although this list is not exhaustive:

• The prevalence of the type of offence.
• The need for a suitable deterrent.
• The Human Rights Act 2000.
• The risk of danger or injury to the public.
• The failure to comply with a statutory notice or respond to advice about legal requirements.
• The disregard of legal requirements for financial reward.
• Significant financial loss, potential or actual, to a third party.
• A history of similar offences.
• Persistent breaches of legislation.
• Where fraud, gross negligence or guilty knowledge is a factor.
• Minor breaches of a number of statutes.

Where possible an offender will be told as soon as sufficient evidence is obtained that a prosecution may follow.

All prosecutions will be brought without unnecessary delay.

Standards

In consultation with business and other relevant interested parties, including experts where appropriate, we will set up clear standards setting out the level of service and performance our customers can expect to receive. We will publish these standards and our annual performance against them.

Complaints about service

We will provide well publicised, effective and timely complaints procedures that are easily accessible. In cases where disputes cannot be resolved, any right of complaint or appeal will be explained, with details of the process and the likely time-scales involved.

Feedback/Consultation

If you have any comments, complaints or if you have any contributions regarding this policy and your experiences that you wish to share with us please do not hesitate to contact a member of the licensing team.

Contact Us

If you have any queries not answered by the website, please feel free to contact the Licensing Team using the following details:

Telephone: 01244 402 138

E-mail: licensing@chester.gov.uk

Address: Licensing Team, Chester City Council, The Forum, Chester CH1 2HS