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 2011
The winner closest to the right answers will receive a box of chocolates!

2. Update: Transforming Regulatory
Enforcement Consultation,
Summer 2011
BRE Mini Away Day
Thursday 28 July 2011

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. 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. 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 Young's review of health & safety
– Lord Hodgson's review of civil society organisations
• Ministers will discuss again in the autumn after further
stakeholder input

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. 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. 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. 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. 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. 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. 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. 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. 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. 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. Red Tape Challenge

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. 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. 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 2011
The winner closest to the right answers will receive a box of chocolates!