Regulatory Services Enforcement Policy

4.1 Each case is unique and must be considered on its own merits. However, this Policy lays down the general principles that apply in the way each case will be approached.

4.2 This Policy commits SBC Regulatory Services to good enforcement practice with effective procedures and clear policies which support the principles of the Regulators' Code issued under the Legislative and Regulatory Reform Act 2006. In those cases where the Code does not apply, the Enforcement Concordat's Principles for Good Enforcement and Good Practice Guide for England and Wales will be applied.

4.3 There are six principles laid down in the Regulators' Code which SBC must have regard to when setting policies and procedures that guide regulatory activities:-

• Regulators should carry out their activities in a way that supports those they regulate to comply and grow
• Regulators should provide simple and 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 to comply
• Regulators should ensure that their approach to their regulatory activities is transparent

4.4 This Policy also takes account of the relevant parts of the Code for Crown Prosecutors

4.5 Enforcement activities will be targeted only at situations where action is needed and will be carried out in a way that is transparent, accountable, proportionate and consistent. SBC will work constructively with individuals or businesses that are honestly trying to comply with the law and help them towards compliance.

4.6 SBC recognises that prevention is better than cure, but where it is necessary to take formal enforcement action against a business or member of the public, it will do so. In some cases enforcement action will be taken after compliance has been achieved, if it is in the public interest to do so.

4.7 All enforcement decisions will be fair, independent and objective. They will not be influenced by issues such as the ethnicity or national origin, gender, religious beliefs, political views or the sexual orientation of the suspect, victim, witness or offender.

4.8 SBC is a public authority for the purposes of the Human Rights Act 1998 and will apply the principles of the European Convention on Human Rights with particular regard to the right for a fair trial and the right to respect for private and family life, home and correspondence.

4.9 SBC enforcement activities will always be conducted in accordance with the relevant legislation, including, but not limited to, the Police and Criminal Evidence Act 1984, the Criminal Procedure and Investigations Act 1996, the Regulation of Investigatory Powers Act 2000, the Criminal Justice and Police Act 2001, the Regulatory Enforcement and Sanctions Act 2008 and the Investigatory Powers Act 2016. This includes compliance with any formal procedures and codes of practice made under such legislation in so far as they relate to SBC enforcement powers and responsibilities. Further details can be obtained from the address shown in paragraph 3.1 above.

4.10 SBC's approach to the sanctions and penalties available will aim to:

• change the behaviour of the offender
• change attitudes in society to offences which may not be serious in themselves, but which are widespread
• eliminate any financial gain or benefit from non-compliance
• be responsive and consider what is appropriate for the particular offender and regulatory issue, which can include punishment and the public stigma that should be associated with a criminal conviction
• be proportionate to the nature of the offence and the harm caused
• restore the harm caused by regulatory non-compliance, where appropriate
• deter future non-compliance

4.11 This Policy helps to promote efficient and effective approaches to regulatory inspection and enforcement, which improve regulatory outcomes without imposing unnecessary burdens. This is in accordance with the Regulators' Code. However, in certain circumstances SBC may conclude that a provision in the Policy is either not relevant or is outweighed by another provision. If this is the case, any decision to depart from the Policy will be properly reasoned, based on material evidence and documented.