1.5 All authorised officers shall be fully acquainted with the requirements of this policy and any future amendments.

2. THE PURPOSE AND METHOD OF ENFORCEMENT

2.1 The ultimate purpose of the Council's Housing and Public Health Enforcement Service is to ensure that owners effectively maintain satisfactory conditions in dwellings, thus preventing risks and adverse health effects to occupiers. The Council may also need to intervene in respect of owner-occupied dwellings that are unfit or are adversely affecting other property or the locality.

2.2 The term 'enforcement' has a wide meaning and applies to all dealings between the Council and those on whom the law places duties.

2.3 The purpose of enforcement is to:

• ?Ensure that the health, safety & welfare of occupiers is protected in residential dwellings;

• Ensure the maintenance ,improvement & enhancement of the quality of the housing stock and their immediate environment;

• ?Ensure that landlords who flagrantly fail in their responsibilities, be held to account, which may include bringing alleged offenders before the courts.

2.4 The Council recognises that enforcement is distinct from civil issues between landlords and tenants, but will have regard to such issues where appropriate.

2.5 The Council believes in a firm but fair approach to enforcement and has adopted the Cabinet Office Enforcement Concordat. As such, its housing enforcement activities will be informed by the principles of:

2.6 Proportionality

Proportionality means relating enforcement action to the risks. In this policy, 'risk' (where the term is used alone) is broadly defined to include housing conditions that could result in possible harm (including ill health), the likelihood of that harm occurring, and the severity of any harm. Those whom the law protects and those on whom it places duties (duty holders) may expect that action taken by the Council to achieve compliance or bring duty holders to account for non-compliance will be proportionate to any risks and the willingness or otherwise of duty holders to take appropriate action.

2.7 In such respects and, in particular, it is the policy of the Council that;

2.7.1 in practical application of the principle of proportionality it will take particular account of how far the duty holder has fallen short of what the law requires, the extent of the risks to occupiers or others arising from the breach and the appropriate condition of the dwelling that needs to be achieved;

2.7.2 given that some housing and public health duties are specific in terms of standards of repair and others require that a situation be addressed by taking the "appropriate course of action", the Council will apply the principle of proportionality in relation to both kinds of duty;

2.7.3 in recognition of what is 'the "appropriate course of action", the Council will, in considering measures to be taken by duty holders, take account of the degree of risk to occupiers on the one hand, and on the other the cost of works to the property, the implications of rehousing (where necessary) and potential effects on other properties or the locality.

2.8 Targeting

Targeting means making sure that resources are targeted primarily on dwellings in such condition as to give rise to the most serious risks to occupiers or members of the public and that action is focused on those who have responsibilities in law for the condition of the property.

2.9 In such respects and, in particular, it is the policy of the Council that;

2.9.1 in accordance with its Housing and Public Health Enforcement Service Plan, the Council will have systems for facilitating and prioritising proactive inspections and investigations in response to complaints according to the nature and extent of risks posed by the property;

2.9.2 enforcement action will be directed against duty holders responsible for unsatisfactory conditions. This will usually be the owners of the premises but may instead be managing agents or occupiers, if appropriate. Where several duty holders have joint responsibilities, the Council may take action against more than one when it is appropriate to do so in accordance with this policy;

2.9.3 where it is necessary to serve formal notices, arrange works in default, prosecute, or make Orders, the Council will ensure that all parties having legal responsibilities are the recipients of such action.

2.10 Consistency

Consistency of approach does not mean uniformity. It means taking a similar approach in similar circumstances to achieve similar ends.

2.11 In such respects and, in particular, it is the policy of the Council that;

2.11.1 the Council will utilise this policy to promote consistency in the exercise of its discretion;

2.11.2 where enforcement action is to be taken this will have regard to the wider context of current Council policies of the Borough Housing Strategy (Aim 9 of the Corporate Plan)

2.11.3 reference shall be made to any detailed advice offered by appropriate Government Circulars, Codes of Practice and the Housing Health & Safety Rating System as well as information gathered from the Environmental Health Information network (EHC Net).

2.12 Transparency

Transparency means helping duty holders to understand what is expected of them and what they and others affected should expect from the Council and its services. It also means making clear to duty holders not only what they have to do but, where this is relevant, what they don't.

2.13 In such respects and, in particular, it is the policy of the Council that;

2.13.1 in all enforcement contacts, there will be a clear distinction between statutory requirements and advice or guidance about what is desirable but not compulsory;

2.13.2 in all enforcement contacts, the reason(s) why any enforcement action is contemplated and/or has been undertaken will be discussed and/or explained in writing as may be appropriate;

2.13.3 before formal enforcement action is taken, owners will be given the opportunity to respond positively to informal dialogue. Officers will provide an opportunity to discuss the circumstances of the case and, if possible, resolve points of difference, unless immediate action is required. A point of contact for such enquiries will be provided;

2.13.4 duty holders, including owners, service companies and managing agents, complainants and occupiers will be advised and kept informed, subject to legal constraints and requirements, of any enforcement action(s) by the Council which may be relevant to them;

2.13.5 in all enforcement contacts, duty holders, including owners, service companies and managing agents, complainants and occupiers will be advised what rights of appeal or complaint are open and available to them;

2.13.6 all relevant notes detailing rights of appeal etc in relation to formal notices will be provided to the recipients of such notices.

2.14 Accountability

2.14.1 The Council recognises that it is accountable to the public for its actions and has set this policy and other standards against which it can be judged.

2.14.2 In recognition of its accountability, the Council has an effective and easily accessible mechanism for dealing with comments and handling complaints. The procedures for dealing with comments and handling complaints are obtainable from the Council's Chief Executive. However, initial contact with line management i.e.the Principal Environmental Health Officer or EHM is encouraged.

3. ENFORCING HOUSING AND PUBLIC HEALTH LAW AND DECISION MAKING

3.1 Housing and Public Health enforcement responsibility (except for unfitness, serious disrepair and means of escape from fire in houses in multiple occupation) has been delegated by the Council to the EHM. In turn, the EHM will delegate authority and powers to authorised officers.

3.2 In all cases, enforcement action will only be considered, initiated and/or undertaken by legal representatives and/or officers who are authorised to do so in accordance with the Environmental Health Services' authorisation procedure for housing. Authorisation is based upon the appointment of only those officers having appropriate professional qualifications

3.3 Where appropriate and, when seeking to exercise enforcement activities, an officer shall produce and display his instrument of appointment or a duly authenticated copy on request.

3.4 The Council will embrace the full range of tools and mechanisms at its disposal in seeking to secure compliance with the law and ensure a proportionate response to offences. Through inspection, investigation and/or in response to requests for service, officers may offer duty holders information, and advice, both face to face and in writing. This may include warning a duty holder that, in the opinion of the officer, they are failing to comply with the law. Where appropriate, officers may also serve formal notices, arrange works in default, or they may refer matters to the EHM in order to prosecute.

3.5 In all cases, officers will exercise considerable discretion as to the nature of enforcement activities undertaken in accordance with Government Circulars, Codes of Practice the Housing Health & Safety Rating System, the Borough Housing Strategy and this policy.

3.6 In all cases, officers will give verbal advice regarding the outcome of the inspection at the conclusion of the proactive inspection or investigative visit.

3.7 Where appropriate, all verbal advice will be followed with a letter to the relevant duty holder(s), within 10 working days of the visit. Such letters will be issued in circumstances where significant conditions requiring action have been identified and/or a broad range of lesser conditions are identified beyond the capacity of the verbal advice.

3.8 In all circumstances, formal letters will in mirroring the principles of enforcement, include:

• all the information necessary for the individual or organisation to understand the remedial work required and why it is necessary;

• ?the legislation contravened, measures which will enable compliance with the legal requirements and an indication that other means of achieving the same effect (if appropriate)may be chosen;

• ?indication of any recommendations of good practice to prevent unsatisfactory conditions arising again, indicating that they are not a legal requirement;

• ?a time period for compliance, to include a specified revisit if necessary or an acceptable period for the submission of proposals.

4.  INVESTIGATION(S) AND INSPECTIONS

4.1 The Council will exercise discretion in accordance with the principles of enforcement and its Housing and Public Health Enforcement Service Plan in deciding whether housing conditions, alleged cases of housing related ill health, or complaints should be investigated.

4.2 Where investigations are undertaken, they will be conducted in order to determine amongst other matters:

• ?the condition of the dwelling or it's immediate environment;

• what action needs to been taken to remedy defects and secure compliance with the law;

• whether the dwelling is fit for the number of occupants;

• what level of enforcement is appropriate to secure compliance with the law.

4.3 To maintain a proportionate response, most resources available for investigation(s) will be devoted to the more serious circumstances. The Council recognises that it is neither possible nor necessary to investigate all issues of non-compliance with housing standards which are uncovered in the course of proactive inspection(s), or in the investigation of complaints.

5. INFORMAL ACTION

5.1 Where appropriate, the Council will make use of informal action to secure compliance with legislation. This action includes offering information and advice, either verbally or through the use of letters following an inspection.

5.2 Information and advice provided to the duty holder will include the housing conditions considered unsatisfactory, the breaches of the law relating to them, the action(s) which will be needed to comply and appropriate time scales for completion of the work(s). Where appropriate, officers will also advise the duty holder(s) that alternative work(s) of similar effect may achieve the necessary compliance.

5.3 The Council considers it is appropriate to use informal action when:

• conditions are not serious enough to warrant formal action;

• ?it would not be in the occupiers interest to pursue a more formal remedy;

• the duty holder's past history has demonstrated that it can be reasonably expected that informal action will achieve compliance and satisfactory proposals within an acceptable time scale have been submitted.

6. STATUTORY NOTICES

6.1 Notices require duty holders to put unsatisfactory conditions right and specify a time scale in which to complete works.

6.2 Statutory notices can only be issued by officers who have been authorised to do so by the Council. Notices shall only be signed by authorised officers who have witnessed the matter to which the notice relates or by the PEHO or EHM on the report of such officers. All statutory notices will be checked in accordance with quality procedures before service.

6.3 Time periods permitted for compliance with Notice requirements shall be determined having regard to the degree of urgency of the situation, but balanced by what is considered reasonable to arrange and carry out remedial works. Reasonable shall, where appropriate, take account of the need to obtain any necessary approvals under Building Regulations, Planning or similar legislation.

6.4 It is the Council's policy that full compliance with notices will be sought, except under exceptional circumstances.

6.5 Information on appeals procedures will always be included when Notices are served, but recipients will be afforded the opportunity of discussing the possibility of the Council agreeing to alternative ways of achieving compliance.

6.6 Notices will be served, when applicable, on all parties having responsibilities under the legislation. Officers will make reasonable enquiries to identify all such parties, if necessary by the service of Requisition for Information, prior to the service of statutory notices.

6.7 The existence of certain notices will be notified to the Council's Land Charges section and, until such time as they are fully complied with, be declared by the Council in response to searches on property. Upon full compliance with these notices being achieved, it is the Council's policy that declaration of such notices will cease.

7. WORKS IN DEFAULT

7.1 Where legal provisions so allow, the carrying out of works in default of compliance with statutory notices is available to the Council in order to ensure that the intentions of the notice are achieved.

7.2 The decision whether to carry out works in default will be taken having regard to the urgency and risks posed by the failure to comply with the notice and whether alternative enforcement action such as prosecution may be more effective.

7.3 When arranging works in default the Council will seek to identify, in accordance with its standing orders, the most cost effective contractors willing to carry out such works and will engage same, except in cases where the Council's contractual arrangements dictate otherwise or specialist providers of a particular service are required

7.4 The costs of carrying out works in default will be recovered from notice defaulters, together with appropriate interest and/or central charges where there are unreasonable delays in making payment. When particular legislation dictates, separate notice of intention to recover costs of works in default will first be served on defaulters.

8. PROSECUTIONS

8.1 In England and Wales the decision to proceed with a court case rests with the local authority itself and, whilst the primary purpose of the Council's Housing and Public Health Enforcement Service is to ensure satisfactory housing and public health conditions, thus preventing harm, the Council recognises that prosecution of duty holders can be an essential part of enforcement.

8.2 Accordingly, it is the policy of the Council that where, in the course of any inspection, investigation or other regulatory contact, it has collected sufficient evidence to provide a realistic prospect of conviction and has decided, in accordance with this policy and taking account of the Code for Crown Prosecutors set down by the Director of Public Prosecutions, that it is in the public interest to prosecute, then that prosecution should go ahead.

8.3 The Council will normally seek to prosecute, or recommend prosecution, where, following an inspection, investigation or other regulatory contact, one or more of the following circumstances apply. Where:

• the legislation does not permit the carrying out of works in default of compliance with a statutory notice;

• the housing conditions being so serious, taken together with the gravity of any actual or potential harm, and/or the general record and approach of the party having responsibility warrants it;

• there has been reckless disregard of housing requirements;

• there has been persistent and/or significant poor compliance with statutory notices;

• a duty holder's standard of managing housing conditions is found to be far below what is required by the legislation and to be giving rise to significant risk;

• there has been a failure to comply with a duly made order; false information has been supplied wilfully, or there has been an intent to deceive, in relation to a matter which gives rise to significant risk;

• it is appropriate in the circumstances as a way to draw attention to the need for compliance with the law and the maintenance of standards required by law, especially where there would be a normal expectation that a prosecution would be taken or where, through the conviction of offenders, others may be deterred from similar failures to comply with the law.

In addition to the above, where officers are assaulted or subjected to significant verbal abuse or other sustained intimidation the Council will seek police assistance, with a view to seeking the prosecution of offenders.

8.4 Where the circumstances warrant it, prosecution may be taken without prior warning and/or recourse to alternative sanctions. However, decisions on whether to prosecute will be informed by the principles of proportionality, targeting, consistency, transparency and accountability as described above.

8.5 Where officers consider prosecution to be an appropriate course of action they will first consult with the Principal Environmental Health Officer (PEHO) or the Environmental Health Manager (EHM) to ensure that it is in accordance with this enforcement policy. The PEHO or EHM will discuss the available evidence with the Solicitor to the Council to determine whether the proposed action is appropriate in the circumstances.

8.6 The decision to refer a case for prosecution, based on the available evidence and professional judgement, is to be determined by the EHM or PEHO following receipt of the relevant information.

8.7 The final decision to pursue prosecution proceedings is to be made by the Environmental Health Manager in consultation with the Solicitor to the Council.

8.7.1 The Council retains the right to pursue the option of taking a case as appropriate against either a company or a named individual, dependant on the circumstances of responsibility for the housing conditions.

8.7.2 Where legal proceedings are taken and conviction is secured, it is the policy of the Council to press the court for the full recovery of all its costs.

9. POWERS OF OFFICERS AND OBSTRUCTION

9.1 In carrying out their functions, duly authorised officers have a range of statutory powers available to them. Whilst not an exhaustive list, these include the following;

• An authorised officer may make any such examination and investigation as may be necessary and will make arrangements with occupiers of dwellings, for the purposes of doing so at all reasonable times. At such times he/she will produce his/her authority if requested.

• An authorised officer may take such measurements and photographs, carry out tests and make such records as may be necessary.

• An authorised officer may be accompanied by the Council's contractors for the purpose of examination or investigation. Officers may also require any person to afford them such facilities and assistance as may be necessary and may require a person to answer questions and sign a declaration of the truth of their answers.

9.2 Instances where officers are obstructed from carrying out their duties will not be tolerated. Instances of this nature will result in the Council seeking to prosecute those concerned.

10. DISCLOSURE OF INFORMATION

10.1 The Council will disclose housing and public health information where it is legally allowed to do so. In disclosing information, the Council is obliged to follow the provisions contained in the Environmental Information Regulations 1992, and the Environment and Safety Information Act 1988. The Council is also obliged to follow the Code of Practice on Access to Government Information (the Code).

10.2 As referred to in 6.7 above, the Council is obliged, under the relevant legislation, to declare the existence of Orders and statutory notices relating to housing and public health matters in respect of it's Land Charges duties.

10.3 Whilst disclosure will be undertaken in accordance with the Councils disclosure policy, disclosure will not be permitted where it comes within the exempted categories of the 'Code of Practice on Access to Government Information' or the Environmental Information Regulations 1992.

10.4 The Council will ensure that information of a personal nature, except where permitted under specific arrangements in respect of the Data Protection Act or as provided for in other legislation, is not disclosed, in order that individual's rights under the Human Rights Act are not jeopardised.

10.5 Details of disclosure requirements can be found in Appendix (i) to this document and are categorised as follows:

• enclosure information to be made available by the Council;

• exempted categories of information;

• release by consent;

• release for the purposes of function(s) conferred on the Council or its officers;

• release for the purposes of legal proceedings;

• release of aggregated information;

• relationship with the Code of Practice on Access to Government Information;

• information falling outside of disclosure provisions;

• disclosure of inspection reports;

• disclosure for the purposes of civil proceedings.

11. PUBLICITY

11.1 In order to maximise publicity and deter others from breaching housing legislation, the Council may publicise and make publicly available details of all circumstances where prosecutions have been taken.

12. COMPLAINTS AGAINST THE SERVICE

12.1 It is the policy of Council that all complaints against the service are investigated in accordance with its service standards. The procedures for dealing with comments and handling complaints are set out in the publications referred to in paragraph 2.14.2 above.

12.2 Where a duty holder has cause for complaint against an officer or cause for concern in respect of an officer's proposed actions, the duty holder can contact the officer's manager (PEHO or EHM) and ask for the matter to be investigated.

12.3 If still not satisfied with the outcome of a complaints investigation, the duty holder can use the Council's formal complaints procedure or ask for a review and determination by Council members.

12.4 In cases of maladministration, a duty holder can also make a complaint to the Local Government Ombudsman. Details are available on request.

13. AVAILABILITY OF THIS ENFORCEMENT POLICY AND RELEVANT LEGAL CODES

13.1 A full text copy of this enforcement policy can be freely viewed at The Guildhall, Frankwell Quay, Shrewsbury, SY3 8HQ. Full copies of the enforcement policy will also be made available on written request. Visitors to The Guildhall can also request a photocopy of the policy on display. However, in both cases, an administrative fee may be charged for these services.

13.2 The full text of associated legal codes, which may be issued and/or quoted in connection with housing enforcement are also available for viewing at The Guildhall . However, due to copyright reasons, we regret that we are unable to provide photocopies or otherwise reproduce these documents.

.APPENDIX (i)

1.2 Information to be made available

1.3 Where appropriate and, in accordance with the Code, the Council gives a commitment to provide "information" only, not necessarily copies of particular documents. For example, if someone requested a copy of a particular report, the Council will not be obliged to disclose the report itself but only the information in it, subject to the exemptions of the above Code and Regulations. Where we wish to disclose a requested document we can of course do so, subject to the exempted categories of information.

1.4 Subject to the exemptions of the Code and Regulations, the Council commits to volunteer the following categories of information:

• facts and analyses behind major policy decisions;

• guidance and internal instructions on how the Council deals with the public;

• information on the Council's aims, objectives, costs, standards of service, etc (most of this will be available in other Council publications);

• reasons for administrative decisions to those affected at the time they are informed of the decision. However, there is no requirement under the Code to give reasons on why enforcement action was or was not taken in particular cases;

• the Code also commits the Council to provide to anyone on request information on its policies, actions and decisions and other matters related to its areas of responsibility. Such information will normally be provided within 20 working days of the request being received.

1.5 Exempted categories of information

1.6 Exempted categories provide protection for most, if not all, of the information that the Council would not wish to make publicly available because disclosure might have an adverse affect on carrying out its functions. Examples are where disclosure would restrict our ability to take action appropriate to the circumstances, cause duty holders or others to withdraw their co-operation from us, or place an excessive call on our resources.

1.7 The exemptions are discretionary. However, the Council will not normally release information that comes within one or more of the exempted categories. The categories relevant to health and safety information are:

• information which would harm national security, defence or international relations;

• information that would harm the frankness and candour of internal discussion (including Council minutes, policy analysis and deliberation, communications with other public bodies);

• information which would prejudice law enforcement and legal proceedings or would harm public order or public security;

• information which could harm the management of the Council or the conduct of its operations;

• personnel records, public appointments, honours;

• vexatious requests which are manifestly unreasonable or formulated in too general a manner or would require an unreasonable diversion of resources;

• information about to be published;

• incomplete analysis, research or statistics or information held only for the purpose of research and statistics where the individual record will not be identified;

• information that would cause an unwarranted invasion of personal privacy;

• commercially confidential information;

• information given in confidence (i.e. under a statutory guarantee of confidentiality or where the supplier was not under a legal obligation (actual or implied) to supply it);

• information whose disclosure is prohibited by law.

1.8 Further to the provisions of the Code, disclosure of 'relevant information' will only be made:

• with the consent of the persons providing it; or

• where disclosure to the public would be for the purpose of any function conferred on the Council by housing and public health law; or

• in a form calculated to prevent the information from being identifiable with a particular person or case (ie aggregated information); or

• to other government departments, regulatory authorities, local authorities or the police; or

• for the purposes of legal proceedings.

1.9 Further to the provisions of the Code, disclosure of information acquired by authorised officers in the course of their duties will only be released:

• for the purposes of an authorised officer's functions; or

• for the purposes of legal proceedings; or

• with the consent of the person who furnished the information or has responsibility for the premises where the information was obtained.

1.10 Release by consent

1.11 The Council (or an officer) will obtain the consent of the suppliers of the requested information before it can be disclosed to a third party. If the suppliers consent, the information requested can be disclosed. If they do not consent, the information cannot be disclosed.

1.12 The Council is not permitted to take into account who has requested the information or the purpose for which they wish it. The Council must therefore seek a general consent to disclose and suppliers will not be given the opportunity to make their consent conditional on the identity of the enquirer or the enquirer's purposes.

1.13 Release for the purposes of function(s) conferred on the Council or its authorised officers

1.14 In respect of disclosure of information, the functions of the Council may be summarised as securing satisfactory housing and public health conditions and protecting occupiers against risks to health and safety arising from unsatisfactory conditions.

1.15 Information released for this function must be linked to these purposes. Thus information may be disclosed not only where disclosure would directly prevent risk but also where there is a need for an explanation of risks and hazards, and what actions the Council and others have taken to deal with such risks and hazards. An example would be to release the address of an unfit dwelling and that it is subject to a Closing Order preventing it's occupation in it's present condition.

1.16 Release for the purposes of legal proceedings

1.17 Information can be released where it is required for any legal proceedings. Excepting civil claims (see 'Civil Proceedings' below), it is the Council's practice to release information only when writs or summonses have been issued and pleadings closed. This allows the Council to identify the issues of the proceedings and to release information relevant to those issues.

1.18 Release of aggregated information

1.19 The ability to disclose "relevant information" where individual persons or cases cannot be identified refers mainly to statistics or research where there has been an aggregation of information.

1.20 Information Falling Outside of Disclosure Provisions

1.21 Information given to the Council by someone making a complaint or information acquired through voluntary participation will be released only with the consent, express or implied, of the person or persons who provided it. Accordingly, investigating officers will avoid revealing to any duty holder and/or their representative(s)or other third party that a complaint has been made, unless the complainant has agreed otherwise. Care is also to be taken when conducting an enquiry that the identity of the complainant is not revealed. However, it is inevitable that for example when conditions within a dwelling are raised with the owner, the identity of the tenant is already known.

1.22 Disclosure of Inspection and Investigative Reports

1.23 Requests for reports are covered by the Code and, where environmental information is involved, under the Environmental Information Regulations 1992. There is no right to have a copy of the report itself under the Code or the Regulations. However, in most cases the Council will provide information on the factual aspects of a report e.g. the name/address of the premises inspected, date of inspection, what was found, any breaches of housing and public health legislation, any action required and the date by which it is required (see also 'Civil Proceedings' below).

1.24 Civil Proceedings

1.25 Individuals who have suffered some loss, damage or personal injury due to unsatisfactory housing conditions may decide to sue the person(s) or organisation(s) responsible for compensation or recompense in the civil courts. In such cases, they may ask the Council to provide information to them or their (legal) representative(s), which we may hold or have obtained through the course of our investigations.

1.26 It is Council policy to provide a statement of fact only on request of persons taking civil proceedings. This will be limited to the facts observed by an officer during any associated investigation or regulatory contact together with copies of any photographs taken and will only be provided in accordance with our disclosure policy. There is a charge associated with this service and statements of fact will not be issued until the appropriate fee(s) have been paid in full.

1.27 Where the Council is taking legal action itself, disclosure of information for civil proceedings will be delayed until the Council's case has been determined. In some cases, for legal reasons, the Council will only disclose information if a court order is obtained.

1.28 The Council's officers do not usually take part in civil proceedings, although they will appear in civil courts if summonsed or subpoenaed to do so. In all such circumstances, officers will remain objective and impartial, irrespective of whether the evidence they give may prejudice a claimant's case. The Council will also expect and, as necessary, take action, to recover the full costs of the officers attendance at civil proceedings irrespective of whether a civil claim was successful or not.