Enforcement policy

Criteria for adopting formal action

The use of enforcement action will at all times be consistent with the principles set out in the Regulators’ Code. In coming to a decision officers will have regard to:

  • The seriousness of the offence
  • The individual’s or company’s past history in terms of compliance
  • Confidence in management
  • The consequences of non-compliance in terms of risk and harm to people, property, or the environment
  • The likely effectiveness of the various enforcement options, and
  • The risk to public health.

Other factors that will be considered, where relevant, include:

  • Case law
  • The overall record of the company
  • The significance of the proposed action in national terms, and
  • The application of any legislative requirements, statutory guidance, codes of practice and guidance published by relevant professional bodies to the matter in question.