North Yorkshire Council
Executive
16 September 2025
Regulatory Services Fixed Penalty Notice Policy
Report of the Corporate Director – Environment
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1.0 PURPOSE OF REPORT
1.1 To seek approval to harmonise all existing Fixed Penalty Notice charges within the remit of Regulatory Services.
1.2 Inform the Executive Committee of the introduction of Penalty Notices for various animal health and welfare offences and smoke control area offences and seek approval for their use.
1.3 Seek approval to adopt a Penalty Notice Policy.
1.4 For the new agreed Fixed Penalty Charges and Penalty Notice Policy to be implemented from 1 October 2025.
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2.0 SUMMARY
2.1 Prior to the formation of North Yorkshire Council, Fixed Penalty Notice (FPN) charges for certain offences were set by legacy district and borough councils. These charges now require harmonisation across the North Yorkshire Council area.
2.2 The Animals (Penalty Notices) Act 2022 has introduced the ability for inspectors to issue Penalty Notices on individuals and businesses who contravene animal welfare law. Although formal adoption is not required, the report seeks approval for use of these within the North Yorkshire Council area.
2.3 The Environment Act 2021 has introduced the ability for local authorities to issue financial penalties for offences relating to smoke emissions from chimneys located in smoke control areas. The report seeks approval for use of these within the North Yorkshire Council area.
2.4 As part of FPN charge harmonisation, it is proposed to adopt a Penalty Notice Policy, which sets out how the Council will enforce the use of Penalty Notices for relevant offences.
3.0 BACKGROUND
3.1 North Yorkshire Council, as a unitary authority, is responsible for the enforcement of various offences for which a FPN can be served, as an alternative to prosecution through the Courts.
3.2 Penalty Notices provide an enforcement option but do not preclude the Council from immediately pursuing a prosecution for relevant offences when it considers that it is appropriate to do so, in accord with the Councils Enforcement Policy.
3.3 Primary legislation (and their associated regulations) allows Local Authorities to set their own penalty charges for specified offences, within set maximum and minimum parameters. They also allow Local Authorities to offer reduced charges for early payment of FPNs. Some FPN charges are set by statute.
3.4 Prior to vesting day, the legacy district and borough councils set the levels of their respective FPN charges. To be fair and equitable to residents across the North Yorkshire Council area, a common approach to FPN charges is required.
3.5 It is also proposed to adopt a Penalty Notice Policy, which sets out the Council’s approach to issuing FPN’s and Penalty Notices, including the approach for non-payment and specific issues such as dealing with vulnerable adults and children.
4.0 FIXED PENALTY NOTICES CHARGES – ENVIRONMENTAL OFFENCES
4.1 The Council must use its enforcement powers in a manner which is proportionate to risk, expedient and efficient as well as consistent and fair. FPN’s can be used by Local Authorities as an alternative to prosecution. Payment of the penalty by the recipient discharges their liability to conviction for the offence for which the FPN was issued. A fixed penalty is not a fine. It does not constitute an admission of guilt but removes the possibility of the creation of a record of criminal conviction.
4.2 FPN’s can provide enforcement agencies with an effective and visible way of responding to ‘low-level’ offences. Officers will look to apply the most appropriate and proportionate penalty considering the circumstances of the case. The Council is not under an obligation to issue an FPN and will consider proceeding straight to Court for more serious offences, such as large-scale fly-tipping or illegal dumping of hazardous waste. In such circumstances, Officers will also consider seizing vehicles used in fly-tipping activities and will work with the Communications Team around publicising successful prosecutions.
4.3 Penalty charges must be set at a level where the perpetrator learns from their actions, is appropriately punished, but ultimately accepts responsibility and pays for the charge, thereby discharging their responsibility to attend Court. It would be counterproductive for all charges to be at levels which persons are unable to afford, and which encourages persons to take their case to Court.
4.4 Fixed penalty charge levels are irrelevant to any fine likely to be imposed by a Court, as at the point of sentencing the Court must consider the Sentencing Council Guidelines. They must consider all mitigating circumstances including an individual’s financial status. In some case fines can be considerably lower than the original FPN.
4.5 Some local authorities have taken the approach of setting tiered bands for the level of penalty charge for fly-tipping, with a focus on the amount of waste fly tipped. This is the proposed approach for North Yorkshire, as it enables a proportionate response to offences.
4.6 It is also proposed to set a reduced charge for early payment. The Council costs are the same if the perpetrator pays early or at the end of the payment period. However, it has been demonstrated that an early payment discount encourages prompt payment.
4.7 The proposed introduction date for adoption of the new penalty charges is 01 October 2025. The Council’s current and proposed charging structure is detailed in Appendix A.
The draft Fixed Penalty Notice Policy is attached at Appendix B.
5.0 PENALTY NOTICES CHARGES – ANIMAL HEALTH & WELFARE OFFENCES
5.1 The Animals (Penalty Notices) Act 2022 introduced Penalty Notices which can be issued to individuals and businesses who contravene animal health and welfare law.
These can be issued by local authorities and other competent authorities, in addition to existing enforcement options. The provisions came into effect on 01 January 2024.
5.2 The new regime is aimed at providing a middle ground for regulators, providing options for less serious breaches of animal welfare law, such as technical or administrative offences or where animal health or welfare has not been seriously compromised. Serious breaches of animal welfare rules would still be prosecuted.
5.3 The amount of the penalty is decided on by the inspector issuing the notice and they must have reference to the guidance issued by Defra. The maximum penalty charge is £5,000.
5.4 Penalties under this guidance are determined in a similar way to how a Court would determine any fine on prosecution, but without reference to the person’s means (which is an essential element of sentence in the Criminal Courts). The guidance sets out how the inspector should consider those factors and refers to matters such as harm and culpability, mitigating and aggravating factors.
5.5 A copy of the Defra guidance is available on the Defra website.
6.0 FIXED PENALTY NOTICES CHARGES – SMOKE CONTROL AREAS
6.1 Controls on the burning of solid fuels and the emission of smoke were originally introduced by the Clean Air Act 1956. Under this Act, local authorities were allowed to introduce "smoke control areas" in towns and cities in which only smokeless fuels could be burned. This Act has since been replaced by the Clean Air Act 1993 under which new smoke control orders are made and enforced.
6.2 The Environment Act 2021 has amended the Clean Air Act 1993 and introduced the ability for local authorities to issue financial penalties for offences relating to smoke emissions within an area designated as smoke control area. The report seeks approval for use of these within the North Yorkshire Council area.
6.3 Smoke control areas cover urban areas in Skipton and South Craven, Harrogate, Tockwith and Selby, including Sherburn-in-Elmet and South Milford. There are currently no smoke control areas within Hambleton, Richmondshire, Ryedale and Scarborough localities.
6.4 A penalty of £175 for the first offence (statutory minimum), increasing to £300 (statutory maximum) for subsequent offences is proposed. The draft Penalty Notice Policy includes information on the use of these penalties.
7.0 CONTRIBUTION TO COUNCIL PRIORITIES
7.1 The use of Penalty Notices and adoption of a Penalty Notice Policy helps deliver the ambitions of the current Council Plan, in particular those related to Sustainable and Connected Places. Specific priorities include ensuring our air, streets, beaches and open spaces are kept clean and attractive by tackling and reducing environmental crime.
8.0 ALTERNATIVE OPTIONS CONSIDERED
8.1 Alternative options have been considered in relation to harmonising the level of FPN charges, taking into account the variances across the Council area:
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Option 1 (Recommended):
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Align each FPN to the current highest locality, with a moderate increase for some offences.
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This appears to be a reasonable and proportionate option at this time. Any reduction in FPN rates in a particular locality may be reported without an explanation of the overall picture for North Yorkshire. This could potentially give the wrong message in those areas. |
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Option 2 |
Align each FPN to the current lowest locality.
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This would prevent existing lower charges being subject to a sudden large increase. This would mostly affect littering and householder duty of care. However, the result in some areas would be a reduction, as highlighted in Option 1 above.
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Option 3 |
Set all FPN’s at the maximum permitted level.
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This may give a message that the Council are ‘serious’ about these offences but is not a recommended approach at this time. If the charges are set too high, the risk is an increase in non-payment rates, particularly in less affluent areas. It is proposed to keep FPN charges at a moderate level while the new Environmental Enforcement Team are established and have a better standard of data on all aspects of enforcement.
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9.0 FINANCIAL IMPLICATIONS
9.1 The Penalty Notice regime must not be seen as an additional source of income for the authority and enforcement decisions must not be taken based on the potential to raise income. The use of the receipts of FPNs is set out in legislation and must generally be used for purposes relating to the offence for which the notice is issued. For example, the use of funds from fly-tipping penalty notices is set out in the Environmental Protection Act 1990 as:
· Enforcement against fly-tipping and breaches of household waste duty of care
· Collection and disposal of fly-tipped waste
· The restoration of land affected by fly-tipping
9.2 With regards to animal welfare penalty notices, any proceeds after covering the Council’s costs, must be forwarded to the Government’s Consolidated Fund.
9.3 Non-payment of some penalty notices does not give rise to the possibility of prosecution, but instead must be pursued as a civil debt against the authority (for example, littering from a vehicle).
9.4 Income arising from the new policy will be closely monitored to inform future budget planning.
10.0 LEGAL IMPLICATIONS
10.1 The Council can set its own FPN charge levels within a specified range, as set out in the relevant legislation (detailed in Appendix A). Statutory limits for certain offences were increased by the Environmental Offences (Fixed Penalty Notices) (Amendment) (England) Regulations 2023.
10.2 The Council is now permitted to issue Penalty Notices under the Animals (Penalty Notices) Act 2022 and the Animals (Penalty Notices) (England) Regulations 2023.
10.3 In determining whether it is appropriate to issue a Penalty Notice for animal health and welfare offences, the Authority must have regard to the individual circumstances of the case and the Statutory Guidance issued by the Department for Environment Food & Rural Affairs, as well as the Authority’s Enforcement Policy.
10.4 Although not a statutory requirement, it is proposed to adopt a Penalty Notice Policy to ensure consistency of approach in the use of Penalty Notices and transparency in decision making. This will provide members of the public and businesses with an indication as to how the Council will approach decisions to issue Penalty Notices as an alternative to prosecution.
10.5 Although there is no statutory duty to consult with the public in relation to the issue or the level of monetary charge of fixed penalty notices, a short public consultation exercise was undertaken on the proposed Penalty Notice Policy. The draft document was posted on the Council’s website from 28 May 2025 and comments were invited over a 6-week period.
10.6 Two comments were received from members of the public during the consultation period, summarised in Appendix C. No changes to the draft consultation document are proposed.
11.0 EQUALITIES IMPLICATIONS
11.1 An equalities impact assessment screening has been completed and concludes that there is no adverse impact upon protected characteristics. See Appendix D.
12.0 CLIMATE CHANGE IMPLICATIONS
12.1 Consideration has been given to the potential for any adverse climate change impacts arising from the recommendations. A Climate Change Impact assessment is included at Appendix E.
12.2 A reduction in environmental crime would deliver an increase in the quality of the local environment, a reduction in associated environmental pollution and contamination and associated improvements in public perception of the local environment.
13.0 RISK MANAGEMENT IMPLICATIONS
13.1 Setting the FPN levels at the highest allowable amount may send a message to strongly encourage potential offenders not to offend. However, this may also result in a much higher proportion of FPNs not being paid, resulting in potentially higher costs for prosecutions or civil debt recovery.
13.2 Setting the FPN level too low may be seen by some that the Council is not providing enough of a deterrent to those who choose to commit relevant offences.
14.0 REASONS FOR RECOMMENDATIONS
14.1 The level of fixed penalty charges for relevant offences should be harmonised across the North Yorkshire Council area and reflect the severity of the offences. Fixed penalties provide enforcement agencies with an immediate, cost effective, and visible way of responding to low-level environmental crimes, and the Government encourages their use by local authorities.
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15.0 |
RECOMMENDATIONS
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15.1 |
i) The proposed Fixed Penalty Notice charge levels, as detailed in Appendix A, be approved.
ii) The use of Penalty Notices under the Animals (Penalty Notices) Act 2022 and the Animals (Penalty Notices) (England) Regulations 2023, for animal health and welfare offences, be approved.
iii) The use of Penalty Notices under the Environment Act 2021, for smoke control offences, be approved.
iv) The Penalty Notice Policy, detailed in Appendix B, be adopted.
v) The agreed Fixed Penalty Notice charges and Penalty Notice Policy to be implemented from 1st October 2025.
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APPENDICES:
Appendix A – Schedule of Penalty Notice Charges
Appendix B – Penalty Notice Policy
Appendix C – Public Consultation Comments
Appendix D – Equalities impact assessment screening form
Appendix E – Climate change impact assessment screening form
BACKGROUND DOCUMENTS: Relevant legislation, Regulators Code
Karl Battersby
Corporate Director – Environment
County Hall
Northallerton
6 August 2025
Report Author – Tracy McLuckie, Waste Enforcement Officer
Presenter of Report – Dean Richardson, Head of Regulatory Services