A to Z Index:

Enforcement Policy Statement

This policy is intended to provide guidance for officers involved in the enforcement of trading standards law, and to inform business and consumers on the enforcement activities of the service.

It reflects the best practice principles of targeting, helpfulness, proportionality, openness and consistency that are contained within the Government promoted "Enforcement Concordat."

The primary function of the service is to protect the safety and economic interests of the public. At the same time, we aim to carry out our enforcement functions in an equitable, consistent and practicable manner and encourage businesses to trade fairly and competently.

Purpose

The principle objective of enforcement action is to ensure that businesses comply with trading standards legislation.

The purpose of the enforcement policy is to provide a framework that secures fair and consistent enforcement of the law and to assist officers to make informed decisions on appropriate enforcement actions.

In general, consideration will be given to the use of alternatives to prosecution to ensure that businesses comply with the law e.g. giving guidance on good management and quality assurance systems; highlighting areas of non-compliance and recommending proportionate corrective action; obtaining assurances about future conduct. It is however, the clear responsibility of business operators to be informed on trading standards legislation and to ensure compliance with it.

Targeting

The service will base its routine inspection programme on guidance on risk assessment of business premises issued by the Local Authorities Co-ordinating Body on Food and Trading Standards (LACOTS). Traders will not usually be given advance warning of the visit.

In addition to planned general inspections, officers will carry out other inspections in connection with:

  • safety alerts and reported incidents
  • complaints
  • special surveys
  • referrals from other agencies
  • special requests from business

The Service will ensure that its enforcement officers are appropriately qualified, trained and experienced consistent with their authorisation and duties and service objectives.

Openness

Enforcement officers are given various powers of entry, inspection and seizure under a variety of statutes. These include powers to do the following:

  • Enter premises at all reasonable hours
  • Inspect any goods
  • Inspect and test weighing and measuring equipment in use for trade
  • Take samples of goods
  • Purchase any goods
  • Inspect documents
  • Seize and detain any goods and documents, when it is believed that an offence may have been committed
  • Suspend the sale of unsafe consumer goods
  • Obliterate the stamp on weighing and measuring equipment found to be unfit for use for trade

The enforcement policy will be made readily available to businesses and members of the public and the service will be happy to accept comments on it.

Helpfulness

Traders can expect to:

  • Be shown all due courtesy
  • Be informed of the purpose of the visit
  • Be shown identification
  • Be given guidance on the law
  • Receive feedback on their compliance level
  • Be given advice on action necessary to remedy points of non-compliance
  • Be given reasonable time to take remedial action
  • Be told of procedures for appealing against any enforcement action
  • Have commercially sensitive information kept confidential

The service publishes a range of business guidance leaflets to enable them to understand and comply with the law. They are regularly updated and are available free of charge.

Proportionality

To achieve compliance the enforcement action will be proportionate to the risk and the seriousness of any breach. As far as the law allows, due account will be taken of the circumstances of the case and the attitude of the operator. Informal means (e.g. advice, verbal warnings) will be used wherever possible to resolve problems and secure compliance. However, there will be occasions when formal action is required. The decision to embark on formal action and the type of action taken will be dependent on the following:

  • Seriousness of the offence
  • The degree of negligence and risk involved
  • Evidence of fraud or reckless practice or significant economic detriment to consumers or other businesses
  • The means of remedying the contravention
  • Previous history
  • Attitude of the operator
  • Confidence in the operator's management and quality assurance systems

A suspension notice may be served when the service has reason to believe that relevant product safety provisions may have been contravened. That notice may prohibit the supply of any unsafe goods for a maximum period of six months and require the operator to keep the service informed as to the whereabouts of the goods. It will also specify the right of appeal to the Sheriff Court.

A Prohibition Notice will be served where there is an imminent risk of serious personal injury.

Applications to the courts for "Stop Now" orders to stop traders from infringing or threatening to infringe specified legislation may be made if those infringements or threatened infringements are felt to pose harm to the collective interests of consumers.

Instructions to packers of goods may be issued regarding the use of suitable weighing and measuring equipment and the disposal and storage of non-compliant batches of goods.

The sanction of prosecution will be reserved for the most serious offences which may include those where there has been serious prejudice to public safety, breach of a Suspension or Prohibition Notice, or blatant disregard of legal responsibility.

Businesses will be told in writing at the earliest opportunity why enforcement action is being taken against them. The letter or notice will clearly identify the contraventions, the actions necessary to rectify the situation and will ensure that legal requirements are clearly distinguished from best practice advice or recommendations. Wherever appropriate, they will identify advisory and guidance leaflets that can be provided to assist compliance.

Consistency

It is important that a consistent approach is taken to similar problems. The service supports the LACOTS Home Authority Principle, which is designed to encourage efficiency, promote uniformity, reduce duplication and assist enterprises to comply with the law. The service will continue to have regard to any guidance issued by LACOTS, either directly in relation to the operation of the Principle or in the form of Circulars to Chief Officers.

Officers will also have due regard to advice on policy and operational matters issued by such bodies as the Health and Safety Executive, Office of Fair Trading, Department of Trade and Industry and the National Weights and Measures Laboratory.

The service actively participates in the work of local and regional co-ordination and liaison groups and has access to their secure Internet sites for sharing information and experience.

Their line manager or Specialist Officer will on occasions accompany enforcement officers.

Training of enforcement officers is continually under review and team briefings are held regularly to ensure that officers have the opportunity to discuss enforcement issues.

Monitoring and Review

Service managers continually review the actions of enforcement officers to ensure compliance and complaints are investigated fully. The quickest way to complain is to contact the enforcement officer concerned. Alternatively, complaints can be made using the Councils' official complaints procedure, which is set out in the step by step guide "Tell Us What You Think".