Enforcement policy

This enforcement policy is designed to:

  • Help you understand our objectives and methods for achieving compliance.
  • Outline the criteria we consider when deciding what the most appropriate response is to a breach of legislation.

We are committed to the principles of the Regulators’ Code (Department for Business Innovation and Skills, April 2014).

The Regulators’ Code states:-

  1. Regulators should carry out their activities in a way that supports those they regulate to comply and grow.
  2. Regulators should provide simple and straightforward ways to engage with those they regulate and hear their views.
  3. Regulators should base their regulatory activities on risk.
  4. Regulators should share information about compliance and risk.
  5. Regulators should ensure clear information, guidance and advice is available to help those they regulate meet their responsibilities to comply.
  6. Regulators should ensure that their approach to their regulatory activities is transparent.

In certain instances we may conclude that the provision of the Regulators’ Code is either not relevant or is outweighed by another provision. We will ensure that any decision to depart from the code will be properly reasoned, based on material evidence, and documented.

We have signed both the Greater Birmingham and Solihull Local Enterprise Partnership Regulators’ Charter and the Stoke-On-Trent and Staffordshire Local Enterprise Partnership Regulatory Charter. We are committed to the principles of both of these documents.

When undertaking enforcement action we will also have regard for:

  • Requirements in guidance published by government and the relevant professional bodies.
  • The Human Rights Act 1998
  • The Code for Crown Prosecutors 2018.

Our primary enforcement objective is to achieve regulatory compliance. There are a wide range of tools available to us to achieve compliance. Where enforcement action is deemed appropriate we will choose an enforcement method that is relevant and proportionate to the offence or contravention.