1.0 Introduction
This document sets out the Enforcement Policy of Cambridgeshire County Council Trading Standards. It has been developed having regard to current legislation, statutory guidance, recognised best practice, and relevant codes of practice.
1.2 Within the context of this Policy, enforcement encompasses the full range of regulatory interventions available to Trading Standards, whether delivered verbally or in writing. These include advisory, preventative, corrective and punitive measures, such as inspections, warnings, notices, civil and criminal sanctions, monetary penalties, cautions, seizures, injunctions, enforcement orders, licence actions, Criminal Behaviour Orders, prosecutions and any other statutory powers or proceedings. Enforcement action may be taken individually or in conjunction with one or more other measures.
1.3 The primary purpose of enforcement action is to secure compliance with the legislation that Trading Standards is responsible for enforcing, while protecting consumers, supporting fair trading, and preventing harm to individuals, communities, and legitimate businesses.
1.4 In conducting its regulatory functions, the Council will have regard to the principles in this Policy to promote compliance, protect consumers, and support legitimate businesses.
1.5 Trading Standards is committed to the principles of good enforcement as set out in the Legislative and Regulatory Reform Act 2006, and the Council has had regard to the Regulators’ Code in the preparation of this Policy.
1.6 This policy should be read alongside relevant legislation and statutory guidance. Relevant legislation and guidance include:
- The Powers of Entry Code of Practice issued under the Protection of Freedoms Act 2012.
- The Criminal Procedure and Investigations Act 1996
- The Police and Criminal Evidence Act 1984
- The Regulatory Enforcement and Sanctions Act 2008 as amended.
1.7 Trading Standards is a local authority Service funded by the local taxpayer, and as such, where permitted by law, the Council will seek to recover enforcement costs where it is reasonable and proportionate to do so.
2.0 Purpose of this policy
2.1 The purpose of this document is to outline and communicate the policy in respect of how Trading Standards handles non-compliance with legal requirements. It is accessible to those regulated as well as persons who may be affected by regulatory activities.
3.0 Scope of this policy
3.1 The policy applies to the enforcement practices undertaken by Trading Standards. In addition to this policy there are other specific enforcement procedures, plans and codes of practice that are followed, including a Safety at Sports Grounds Enforcement Policy.
4.0 Our approach to enforcement
4.1 Any enforcement action taken will be proportionate to the risks posed and to the seriousness of the offence. Other factors such as the size and capacity of the business will also be considered. Each enforcement situation is unique and will be considered individually on its own merits.
4.2 Where a shared enforcement role exists there will be arrangements in place to ensure there is effective, open, proportionate, and consistent enforcement. These arrangements will follow statutory guidelines where applicable.
4.3 Principles of Good Regulation
4.3.1 Trading Standards is committed to offering a service that has regard to the ‘Principles of Good Regulation’ as set out in the Legislative and Regulatory Reform Act 2006. Enforcement and regulation will be delivered in a way which is:
Proportionate
4.3.2 Trading Standards will seek to minimise unnecessary regulatory burdens whilst ensuring legal requirements are met and consumer protection objectives are achieved. Its activities will reflect the harm and impact on victims (whether individuals, wider community, or local businesses) and action taken will relate to the seriousness of the offence, and to previous action taken by the Council or its partners.
4.3.3 Where appropriate notice will usually be given of routine inspection activity unless there is a legal, operational, or evidential reason not to do so.
4.3.4 Officers may also conduct a revisit to businesses found to be non-compliant on the first inspection to ensure issues have been addressed and that no further action is required.
Accountable
4.3.5 Activities will be open to scrutiny, supported by clear and accessible policies, together with fair and efficient complaints procedures and rights of challenge where available.
4.3.6 Officers will show their credentials at the beginning of every visit and explain the reason for the visit. However, to get a true picture of the situation from a customer perspective, officers may conduct informal visits or arrange to buy goods or services without introducing themselves.
Consistent
4.3.7 Officers will act in accordance with this Policy and will be appropriately trained, competent, and authorised to conduct their regulatory and enforcement functions.
Transparent
4.3.8 Trading Standards will communicate clearly and professionally, explaining legal requirements, enforcement decisions, and available options in plain English wherever possible.
4.3.9 Trading Standards will publicise enforcement action taken where it considers that it is in the public interest to do so, or where it is considered that doing so may inform or deter others. As part of this names and other relevant details may be published unless there is a legal reason not to do so or the court directs otherwise.
Targeted
4.3.10 Trading Standards will target its resources and interventions where they are most needed and where they are likely to have the greatest impact. In doing so, the Service will have regard to relevant local, regional, and national enforcement priorities, including intelligence-led initiatives coordinated through National Trading Standards, regional Trading Standards groups and other enforcement partners.
Reducing enforcement burdens
4.3.11 Where Trading Standards enforcement duties and powers align closely with those of other agencies e.g. the Police, HMRC (HM Revenue and Customs), APHA (Animal and Plant Health Agency) or Environmental Health, consideration will be given to co-ordinating with these agencies to minimise unnecessary duplication.
4.3.12 Where legally permitted, information that is collected may be shared with other local authority regulatory services, such as Environmental Health, to minimise business impact.
4.3.13 Trading Standards will endeavour to work with businesses and individuals wherever possible to assist them with meeting their legal obligations.
4.4 Regulators' Code
4.4.1 The Regulators’ Code provides a flexible, principles-based framework that sets out how regulators should engage with those they regulate. This Policy has been developed in accordance with the Code and its underlying principles. While Trading Standards will have regard to the Code when exercising its functions, there may be circumstances where a particular provision is not relevant or where another provision takes precedence. Any departure from the Code will be justified, proportionate and appropriately recorded.
4.5 Human Rights Act 1998
4.5.1 The Council is a public authority for the purposes of the Human Rights Act 1998. In carrying out its regulatory and enforcement functions, the Council will have regard to the rights and freedoms protected by the European Convention on Human Rights. Enforcement action will be taken only where it is lawful, necessary and proportionate, having particular regard to the right to a fair hearing (Article 6), the right to respect for private and family life, home and correspondence (Article 8), and the protection of property rights under Article 1 of the First Protocol.
4.6 Data Protection Act 2018
4.6.1 Trading Standards may collect, use, retain and share information where necessary to conduct its statutory functions. Personal data will be processed in accordance with the UK General Data Protection Regulation (UK GDPR), the Data Protection Act 2018 and the Council's information governance policies.
4.6.2 Subject to the provisions of Data Protection and Human Rights Law, the Service may also refer cases or share information intelligence and evidence with other law enforcement agencies. Safeguarding referrals may be made where there are concerns about someone’s wellbeing. Such safeguarding referrals will be made in line with the duties of the local authority following prescribed procedure.
4.7 Code for Crown Prosecutors
4.7.1 The Code for Crown Prosecutors as issued by the Director of Public Prosecutions sets out the general principles to follow when investigating and making decisions in prosecution cases. When deciding whether to prosecute, the Council has regard to the provisions of the Code. It sets out two tests that must be satisfied, commonly referred to as the ‘Evidential Test’ and the ‘Public Interest Test’:
a) 'Evidential Test': Is there enough evidence against the defendant? When deciding whether there is enough evidence to prosecute, the Council will consider the suitability and reliability of all evidential material and must be satisfied any such evidence provides a 'realistic prospect of conviction'.
b) 'Public Interest Test': Is it in the public interest for the case to be brought to court? The Council will balance factors for and against prosecution carefully and fairly, considering each case on its merits.
4.7.2 In addition, officers will follow the principles of The Code for Crown Prosecutors and in particular:
- Officers will be fair, independent, and objective.
- Officers will not be affected by improper or undue pressure from any source.
- The right person must be dealt with for the right offence and officers will act in the interests of justice and not solely for the purpose of obtaining a conviction.
- Officers will seek to ensure that the law is properly applied, that all relevant evidence is considered, and that obligations of disclosure are complied with.
4.8 Regulatory Enforcement and Sanctions Act 2008
4.8.1 The Council recognises and supports the objectives of the Primary Authority Scheme established under the Regulatory Enforcement and Sanctions Act 2008 (as amended). When exercising its regulatory and enforcement functions in relation to a business or organisation operating under a Primary Authority Partnership, the Council will comply with all statutory requirements and have regard to relevant guidance issued by the Secretary of State. The Council will take account of any assured advice, inspection plans or other relevant agreements issued through the Primary Authority Scheme when determining an appropriate and proportionate regulatory response.
4.8.2 Where required by the Primary Authority scheme, the Council will notify or consult the Primary Authority before taking enforcement action.
4.9 Equal access to our services
4.9.1 The Council is committed to ensuring that its services are accessible, inclusive, and delivered fairly. Officers will have regard to equality legislation and the Council's equality and diversity policies when conducting regulatory and enforcement activities and will make reasonable adjustments where appropriate.
5.0 Dealing with non-compliance
5.1 General principles
5.1.1 Nothing in this policy shall be taken to compel Trading Standards to take enforcement action. Trading Standards may conclude that an enforcement response is not appropriate in the circumstances.
5.1.2 The action that Trading Standards chooses to take will depend upon the specific nature and circumstances of each case and the response/approach taken by the business or individual.
5.1.3 In making decisions about appropriate sanctions and penalties, Trading Standards will have regard to the following principles:
- Aim to change the behaviour of the offender.
- Aim to eliminate any financial gain or benefit from non-compliance.
- Be responsive and consider what is appropriate for the offender and regulatory issue.
- Be proportionate to the nature of the offence and the harm caused.
- Aim to restore the harm caused by regulatory non-compliance, where appropriate, and
- Aim to deter future non-compliance.
5.1.4 Trading Standards will have regard to cases involving vulnerable consumers, repeat victimisation, exploitation, organised criminality, doorstep crime, and matters involving significant consumer detriment. Such factors are more likely to justify formal enforcement action.
5.1.5 Where appropriate, officers will seek to secure compliance through advice, guidance, and engagement before considering formal enforcement action. Businesses and individuals will normally be given an opportunity to discuss the issues identified and the action required to achieve compliance.
5.1.6 Trading Standards may depart from this graduated approach where the circumstances justify a more immediate or robust enforcement response, including where:
a) an opportunity for dialogue is likely to defeat the purpose of the proposed enforcement action;
b) immediate action is required, for example to prevent the destruction of evidence, secure evidence, prevent ongoing harm, or address an imminent risk to public health, safety, animal health or welfare, property, infrastructure, or the environment;
c) there is evidence of deliberate, reckless, persistent, or repeated non-compliance;
d) the infringement has caused, or is likely to cause, significant consumer detriment, substantial financial loss, actual harm, or prejudice to individuals, businesses, or other organisations;
e) unlawful practices have targeted vulnerable consumers or communities,
including children, older people, or those experiencing particular vulnerability;
f) there has been a failure to comply with previous advice, warnings, statutory notices, or other enforcement action;
g) aggressive, misleading, fraudulent, unfair, or deceptive commercial practices have been identified;
h) serious issues exist relating to animal health, animal welfare, disease prevention measures, or the integrity of the food chain;
i) the disqualification of weighing or measuring equipment is considered necessary and proportionate in the circumstances; or
j) there has been obstruction, intimidation, harassment, abuse, or assault of an authorised officer in the exercise of their duties.
5.1.7 When a decision has been made about enforcement action it will be explained to those involved in the process. Reasons for those decisions will be included and what those decisions mean in practice, including any rights to representation.
5.1.8 Where there are rights of appeal against specific actions or decisions, written advice will be given on the appropriate appeal mechanism to be followed. This will normally be included with the enforcement notice or letter.
5.1.9 Enforcement decisions will be appropriately documented and retained in accordance with the Council's record management policies and procedures. Records will include the reasons for decisions taken, the evidence relied upon, and any relevant factors considered in determining the most appropriate and proportionate enforcement response.
5.2 Authorised officers
5.2.1 The Council remains responsible for the discharge of its statutory Trading Standards functions. In accordance with the Council's Constitution and Scheme of Delegation, authorised officers are empowered to exercise operational powers and make decisions necessary for the effective delivery of those functions.
6.0 Conduct of investigations
All investigations will be conducted in accordance with relevant legislation, statutory codes of practice and guidance, including:
- Police and Criminal Evidence Act 1984 – governing investigative powers and procedures.
- Criminal Procedure and Investigations Act 1996 – governing the recording, retention, and disclosure of evidence.
- Regulation of Investigatory Powers Act 2000 and Investigatory Powers Act 2016 – governing the use of covert investigatory techniques and access to communications data.
- Criminal Justice and Police Act 2001 – providing powers relating to the seizure and examination of evidence.
- Human Rights Act 1998 – requiring the Council to act compatibly with Convention rights and freedoms.
6.2 Investigations will be conducted lawfully, fairly, and proportionately, with due regard to the rights of all parties involved.
6.3 Legislation enforced by Trading Standards will sometimes provide powers to authorised officers to conduct certain activities. For example: making a test purchase; taking a sample; entering and inspecting premises, goods, equipment, or documents. Sometimes where officers suspect an offence or require items to be taken as evidence, they will have the power to seize and detain goods and documents. Powers are prescribed under legislation, and they will vary depending on the individual circumstances with which they are dealing. Where officers are using statutory powers, an explanation will be provided at the time.
6.4 Where items are seized by officers using statutory powers, written confirmation of items seized will be provided at the time or as soon as possible afterwards.
6.5 Officers may also use investigation equipment as part of their duties and conduct overt and covert surveillance. This can involve the use of handheld and body-worn video camera equipment for recording still and moving images and sound. Such equipment will be used primarily to gather evidence but may also be used to deter aggressive or abusive behaviour towards officers. It will only be used where it is necessary and proportionate to do so, and such activities will be conducted in accordance with relevant investigatory powers legislation and codes of practice.
6.6 Where it is suspected a person, company or other legal entity has committed a criminal offence, and formal action is being considered such as prosecution, an interview will usually be requested. This interview will be conducted in accordance with the Police and Criminal Evidence Act 1984. It will usually, but not exclusively be, audio recorded. Persons being interviewed can have legal representation and will be given an opportunity to give an explanation or make additional comments about the alleged breach. Where appropriate they will be offered translation/interpretation services (language and British Sign Language (BSL)).
6.7 Before a decision to prosecute is taken, the alleged offences will be investigated. Throughout the investigation process, regular case reviews will be held with a manager. On completion of the investigation the investigating officer will compile a report for review by a senior manager.
6.8 Where investigations involve victims or witnesses, Trading Standards will seek to keep them appropriately informed of the progress and outcome of cases, having regard to legal restrictions, confidentiality requirements, and operational considerations. Officers will treat victims and witnesses fairly and with respect and will take account of any additional support needs that may be identified.
7.0 Enforcement actions
The enforcement powers available to Trading Standards are prescribed by legislation. The action taken in any case will depend on the circumstances and will be proportionate, reasonable and in the public interest. The range of actions available to local authorities is set out in legislation.
7.1 Informal action
Compliance advice, guidance, and support
7.1.1 Trading Standards uses compliance advice, guidance, and support as a first response in many cases where breaches of legislation are identified. Advice is provided to assist individuals and businesses in rectifying breaches as quickly and efficiently as possible, avoiding the need for further enforcement action.
7.1.2 Persons and businesses regulated can request advice on non-compliance and this will not necessarily trigger enforcement action. When there is a demonstrable willingness to resolve the issue expediently, this will be taken into consideration when considering whether any enforcement action is appropriate.
7.1.3 Follow-up checks will be conducted on a risk and intelligence-led basis and where a similar breach is identified in the future, previous advice will be considered when determining the most appropriate enforcement action to take on that occasion.
Informal warnings
7.1.4 A warning letter will set out what should be done to rectify the breach and to prevent re-occurrence and will highlight the consequences if the issue is not resolved or is repeated in the future. Such a letter cannot be cited in court as a previous conviction, but it may be presented as evidence.
7.1.5 Whilst many instances of non-compliance will be addressed through informal action, Trading Standards may take immediate formal enforcement action where continued non-compliance occurs or where circumstances involve serious offending, significant consumer detriment, fraud, unsafe products, or risks to public safety.
7.2 Formal Action
a) Statutory and formal notices (including improvement notices and suspension orders) (immediate formal action may be taken)
7.2.1 In respect of many breaches, there are powers to issue statutory notices. These include Prohibition Notices, Recall Notices, Requirement to Mark Notices, Suspension Notice, Requirement to Warn Notices, Suspension Orders and Withdrawal Notices. Such notices are legally binding. Failure to comply with a statutory notice can be a criminal offence and may lead to prosecution.
7.2.2 A statutory notice will clearly set out what is wrong, the actions which must be taken and the timescale within which they must be taken. It is likely to require that any breach be rectified and/or safeguards have been put in place to prevent future breaches. It may also prohibit specified activities until the breach has been fully rectified and/or safeguards have been put in place to prevent future breaches. Where a statutory notice is issued, an explanation of the appeals process will be provided to the recipient.
7.2.3 Trading Standards reserves the right to bring prosecution proceedings, in addition to the use of a statutory notice, to gain compliance.
b) Monetary penalties (immediate formal action may be taken)
7.2.4 There are powers to issue fixed or variable monetary penalties in respect of some breaches where there is a specific power to do so and under the following circumstances:
• to provide an effective and visible way to respond to less serious crimes
• as a response to issues or as part of a wider enforcement strategy
7.2.5 This is not a criminal fine and does not appear on an individual’s criminal record. If a fixed penalty notice is not paid, alternative enforcement action will automatically be considered under this policy (including prosecution of the initial offence). Where prosecution is brought; an assessment will be made of other offences that may also have been committed in order that those charges may be considered at the same time.
7.2.6 If a monetary penalty notice is paid in respect of a breach, further action in respect of that breach will not be taken. Payment of a fixed penalty does not provide immunity from prosecution in respect of similar or recurrent breaches.
7.2.7 If monetary penalties are available, their issue is discretionary.
c) Refusal / suspension / revocation of licences, registrations, and approvals (immediate formal action may be taken)
7.2.8 Where legislation requires the Council to issue, approve, register, or certify activities, products or businesses, compliance with relevant conditions may be considered when considering any enforcement response.
7.2.9 When considering future license applications or renewals, previous breaches and enforcement action may be considered.
7.2.10 Trading Standards may refuse to grant, seek to review, temporarily remove, suspend, or revoke any licence, registration, or approval if there are reasonable grounds to believe that actions have been conducted which undermine scheme objectives and/or would be unlawful. The Council may also bring relevant information regarding non-compliance to the attention of other regulators or licensing authorities where legally permitted and considered appropriate.
d) Simple caution
7.2.11 The Council has discretion to issue simple cautions (previously known as ‘formal cautions’) as an alternative to prosecution for some less serious offences. Simple cautions will be issued with regard to Ministry of Justice and Crown Prosecution Service guidance. A Simple Caution forms part of an offender's compliance and enforcement history and may be considered when determining the appropriate response to any subsequent offending. It may be cited in criminal proceedings where relevant and permissible to do so. Where issued to an individual, a Simple Caution may have implications for certain types of employment, professional registrations, visas, immigration applications, or foreign travel.
7.2.12 Where a simple caution is offered and declined, prosecution is likely to be considered.
e) Injunctive actions, enforcement orders etc (immediate formal action may be taken)
7.2.13 Civil enforcement measures, including undertakings, injunctions and enforcement orders, may be used where they provide an appropriate and proportionate means of securing compliance or preventing further harm.
The Council will normally seek compliance through engagement before pursuing formal civil action unless this would be inappropriate in the circumstances.
Where legislation permits, the Council may seek additional remedies through the courts, including consumer redress, compensation, or other ancillary orders.
f) Banning orders in relation to keeping animals (this would form part of the Court’s sentencing)
7.2.14 Where legal action has been brought in relation to animal health or welfare offences, the Council will also consider applying to the court to ban the defendant(s) from keeping animals in the future.
g) Suspending goods from sale (immediate formal action may be taken)
7.2.15 Where it is necessary to protect the public, the sale of unsafe goods may be suspended using existing legislative powers.
h) Seizure of goods and evidence (immediate formal action may be taken)
7.2.16 Formal action may also include the seizure of goods, documents, or other items such as cash where legal power exists, and it is appropriate to exercise it. Where goods are seized an appropriate receipt or other record of seizure will be given to the person from whom they are taken. In some cases, a person may be asked to voluntarily surrender and transfer ownership of illegal goods to us.
7.2.17 Where products are found to present a serious risk, the Council may seek to destroy or otherwise render them inoperable, where permitted by law, and seek to cover destruction costs, including through the courts if necessary.
i) Detention
7.2.18 Where animal feed does not comply with specified feed law, it may be detained to allow further investigation.
7.2.19 When animal feed is detained, a notice of detention will be provided, detailing the detention arrangements, including the location where the product(s) will be detained.
j) Prosecution
7.2.20 Cambridgeshire County Council may prosecute in respect of serious or recurrent breaches, or where other enforcement actions have failed to secure compliance. In doing so, it is recognised that the decision to prosecute is significant and could have far reaching consequences on the offender.
7.2.21 Decisions to prosecute will be taken in accordance with Section 4.7 of this Policy and the Code for Crown Prosecutors.
7.2.22 In every case, all relevant circumstances will be considered, and regard will be had to the following criteria:
- How well the prosecution supports council aims and priorities.
- Action taken by other enforcement agencies on the same facts.
- The nature and extent of any harm or loss, including potential harm and loss, and any offer of redress made by the offender to victims.
- The willingness of the alleged offender to prevent a recurrence of the infringement.
- The likelihood of the alleged offender being able to establish a statutory defence.
- The calibre and reliability of witnesses
- The probable public benefit of a prosecution and the importance of the case e.g. the possibility of establishing legal precedent.
- The scope for alternative routes for redress for ‘victims’ and their likelihood of success
- The proportionality of the proposed intervention
7.2.23 The decision to authorise legal proceedings will be made in accordance with the Council’s scheme of delegations.
k) Forfeiture or deprivation
7.2.24 Where a person has not voluntarily agreed to surrender infringing goods, application to the court for forfeiture or deprivation of the goods may be made, whether or not a prosecution or other proceedings are initiated.
7.2.25 Action to recover costs of these proceedings from the defendant(s) may also be taken.
l) Proceeds of Crime Act 2002
7.2.26 The Proceeds of Crime Act (POCA) will be used where it is appropriate to do so, to ensure the recovery of an offender’s financial gain or benefit, following conviction.
7.2.27 Where financial investigations are undertaken it will be in accordance with the Proceeds of Crime Act 2002. Such investigations may include applications to the Court requiring financial information to be provided (Production Orders) or the freezing of and/or confiscation of criminal assets (Restraint and Confiscation Orders).
7.2.28 Where appropriate, consideration will also be given to seeking compensation for victims and recovery of financial investigation costs as part of this process.
m) Directors
7.2.29 Where a director or other officer connected with the management of a company is convicted of an offence, Trading Standards will, in appropriate cases, draw to the Court’s attention their powers to make a Disqualification Order under the Company Directors Disqualification Act 1986.
n) other sanctions or interventions
7.2.30 Other enforcement sanctions, orders and interventions will be considered where appropriate. These may include Criminal Behaviour Orders under the Sentencing Act 2020, injunctive proceedings under section 222 of the Local Government Act 1972, Restriction Orders under the Children and Young Persons Act 1933. Such interventions may be used to disrupt or deter unlawful activity and protect consumers. Where appropriate, this may also include working with internet service providers, domain registrars, online marketplaces, social media platforms and other agencies to restrict, remove, or disrupt online content, services or websites being used for unlawful purposes.
8.0 Cost recovery
8.1 Managing Conflicts of Interest
The Council will ensure that regulatory and enforcement decisions are made impartially and free from actual, potential, or perceived conflicts of interest. Any conflict identified will be managed in accordance with Council procedures and appropriately recorded.
9.0 Review of this policy
9.1 This Policy will be reviewed at intervals not exceeding three years or sooner where there are significant legislative, operational, or organisational changes.
10.0 Comments, complaints, and feedback
10.1 Trading Standards welcomes any comments or feedback on this policy via the Councils online feedback provide feedback page.
Alternatively, you can write to:
Cambridgeshire Trading Standards Service
Cambridgeshire County Council
PO Box 450
Great Cambourne
Cambridge
CB23 6ZR
Email: trading.standards@cambridgeshire.gov.uk
Tel: 0345 045 5206
