2011 july 28 bre tre consultation slides

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2011 july 28 bre tre consultation slides

  1. 1. TRE enforcement quiz• Q1. How many local authorities (excluding Parish Councils) are there in the UK?• Q2. How many ‘Hampton’ Regulators are there?• Q3. What are the two coalition commitments for regulatory enforcement?Send an email reply to julie.monk@bis.gsi.gov.uk. By Wed 3rd August 2011The winner closest to the right answers will receive a box of chocolates!
  2. 2. Update: Transforming Regulatory Enforcement Consultation, Summer 2011 BRE Mini Away Day Thursday 28 July 2011
  3. 3. Aims and objectives• Summer consultation launched Friday 24 June 2011 and closes 16 September 2011• Taking radical measures to tackle stock and flow of regulatory burdens e.g. One-in One out, Statement of New Regulation, Reducing Regulation Committee.• But also need to improve the way that regulations are enforced to have high-quality well targeted risk based intervention.
  4. 4. Regulation – Regulation should only be used as a last resort when all other policy alternatives have been exhausted. – Protection theme: Where a decision has been taken to regulate, it is important that it is enforceable in order to deliver the protections and level playing field it is designed to achieve. – Prosperity theme: Government and regulators need to work out the best way of securing effective compliance without creating unintended burdens; securing the common sense outcomes whilst promoting business growth and other worthwhile social activities.
  5. 5. Background and context• Ministers recently looked at existing evidence of how enforcement works and what stakeholders think• Recent sectoral reviews: – Macdonald review of food and farming, – Lord Youngs review of health & safety – Lord Hodgsons review of civil society organisations• Ministers will discuss again in the autumn after further stakeholder input
  6. 6. Current activity• Now seeking input on: – Discussion paper on basic principles of our approach – Post Implementation Review of the Regulators’ Compliance Code – Consultation on future of the LBRO and Primary Authority – Red Tape Challenge enforcement section
  7. 7. Future activity• Publish White Paper in the autumn with more detailed proposals to improve enforcement• Deliver the Post Implementation Review of the Regulators’ Compliance Code and propose actions from PIR evidence• Plan to extend Primary Authority and replace LBRO with a new independent organisation that becomes part of BIS• Legislation to enact changes following White Paper publication
  8. 8. Discussion paper• Short paper sets out basic principles• Initial thinking on possible areas for reform• Want to hear views on: - how enforcement currently works in practice - how it should work in future• Consultation closes 16 September 2011• Will help shape White Paper planned for the autumn
  9. 9. Proposed Enforcement Principles• Greater transparency – Without transparent standards businesses and consumers do not know what is expected and see enforcement as inconsistent.• Greater accountability – As part of our reform strategy, we will ensure there are mechanisms to challenge regulators and enforcement officers as a routine part of the system.• Recognising and promoting best practice – Many businesses invest considerable time and resource in making sure they do the right thing, developing internal systems, using external checks and achieving a good track record of compliance. They would like this effort to be acknowledged and reflected in the way that enforcement is carried out.
  10. 10. Key themes• Better transparency for the system as a whole• Local accountability• Earned recognition• Self-management through co-regulation• Assured guidance• Clearer standards for regulators• Primary Authority
  11. 11. LBRO and Primary Authority• Propose to: – Dissolve LBRO as public body and move new body into BIS with continued independence – End function of direct service improvement in local authorities – Continue role in simplifying national framework for enforcement – Have new role in advising government and providing forum for business engagement – Expand Primary Authority scheme – greater role for inspection plans, broaden eligibility criteria & cover more policy areas – cover more small firms• Responses by 16 September 2011
  12. 12. Review Regulators’ Compliance Code• The Post-Implementation Review of the Regulators’ Compliance Code will run to 16 September 2011 on the same timescale as the Discussion Document• Question: 1. To what extent has the Regulators’ Compliance Code achieved its objectives?
  13. 13. Regulators’ Compliance Code Objectives The Regulators Compliance Code asks regulators to perform their duties in a business-friendly way, by planning regulation and inspections in a way that causes least disruption to the economy. Regulators must have regard to the Code when determining policies, setting standards or giving guidance in relation to their duties. The Code was drafted in response to the Hampton Review of the UK’s regulatory system, which proposed the principles of better regulation based on a risk-based approach and proportionality to regulatory enforcement.
  14. 14. Regulators’ Compliance Code Objectives The Regulators Compliance Code asks regulators to consider: – Supporting economic progress Performing regulatory duties should not impede business productivity. – Risk assessment Undertaking a risk assessment of all their activities. – Information and advice Providing information and advice in a way that enables businesses to clearly understand what is required by law. – Inspections Only performing inspections following a risk assessment, so resources are focused on those least likely to comply. – Data requirements Collaborating with other regulators to share data and minimise demand on businesses. – Compliance and enforcement actions How formal enforcement actions, including sanctions and penalties, should be applied following the Macrory principles on penalties. – Accountability Increasing the transparency of regulatory organisations by asking them to report on outcomes, costs and perceptions of their enforcement approach. By ensuring that regulators review their policies, the Government is confident that the Code will help deliver a risk-based approach to the exercise of regulatory activity. High-performing, compliant businesses will bear less of a burden, with regulators focusing their efforts on rogue and higher-risk businesses.
  15. 15. Red Tape Challenge• ‘Enforcement’ is a separate section on the Red Tape Challenge website running until 31 August• Attempt to capture business regulators and citizens views on enforcement issues• Aim is to gather evidence – but will feed into White Paper.• Ministers want to use the Spotlight Window from 11-31 Aug to highlight enforcement Regulators. This will involve putting a bit more info up about who the enforcement bodies are.
  16. 16. Red Tape Challenge
  17. 17. Key Messages – There has been much government activity on the volume of regulation, how regulation is delivered is also important; – Government recognises the value of protection; – BRE is looking at a better way of delivering compliance; with the aim of maintaining and improving compliance; – The Review of the Regulators’ Compliance Code is an opportunity to increase the impact of regulatory action; – Government want to allow Regulators to focus on non- compliant businesses to help achieve a level playing field and contribute to protection, prosperity and growth. – Please feed into the consultation identifying options/solutions to any issues you find.
  18. 18. Links and contact details• The two consultations and the RTC are on the BIS website at: www.bis.gov.uk/policies/better-regulation/improving-• E-mail responses to treconresponse@bis.gsi.gov.uk
  19. 19. TRE enforcement quiz• Q1. How many local authorities (excluding Parish Councils) are there in the UK?• Q2. How many ‘Hampton’ Regulators are there?• Q3. What are the two coalition commitments for regulatory enforcement?Send an email reply to julie.monk@bis.gsi.gov.uk. By Wed 3rd August 2011The winner closest to the right answers will receive a box of chocolates!

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