Regulatory Enforcement and Sanctions Bill

1
Regulatory Enforcement and Sanctions Bill

• Talk for CCA Conference, 19 Nov 2007David
  Bergman
• Centre for Corporate Accountability
• www.corporateaccountability.org

2
Two Parts

•  Regulatory Enforcement by Local Authorities
• - creation of a Local Better Regulation
• Office
•  New regulatory sanctions

3
Local Authority - Background

•  CCA research Safety Lottery
• - 1999/00 data
• - significant inconsistency
• - 90 Local Authorities investigated every
  single injury, 17 investigated less than 10
•  Hampton Report
• - need to coordinate local authority
  regulatory functions

4
Creation of LBRO

•  objective of ensuring that LAs exercise
  relevant functions
• (a) effectively
• (b) in a way which does not give rise to
  unnecessary burdens
• (c) so that regulatory activities are
  transparent, accountable, proportionate and
  consistent.
• (d) targeted only at cases in which action
  is needed

5
Particular Functions

• Giving guidance to one or more LAs about how they
  should carry out relevant functions - which Las
  must have regard to
• Provision of financial support to LAs
• Advice to Ministers on how Las carry out
  functions, effectiveness of legislation, whether
  other regulatory functions could be exercised by
  LAs
•   prepare and publish list of priority areas for
  LAs

6
Particular Functions - cont

• Co-ordination of regulatory enforcement - system
  of primary authorities
• Where LA and regulated person cannot agree, on
  which LA should be regulated person, LBRO may
  nominate.
• Where principle carrying out of activity by
  regulatory person
• Where regulated person administers carrying out
  of activity
• Regard to resources of LA
• Function of Primary Authority
• Giving advice to regulated person
• Giving advice to other LAs.
• Enforcement action by other LA needs consent
• Reference to LBRO if primary authority not agree.

7
Regulatory Sanctions - Background

• Macrory Report (Nov 2006)
• Sanctions important part of any regulatory system
  (deterrence, catalyst to ensure regulations are
  complied with, indicate non-compliance not
  tolerated)
• Sanctions help ensure businesses not compromising
  health and safety etc, or distorting a free
  market
• Criminal law important role to play, but system
  should be less reliant on criminal prosecution
• Effectiveness of criminal courts, can be improved
  if have access to more imaginative sentencing
  than just fine.

8
Background - cont

• Macrorys proposed new sentences
• Profit order
• Corporate rehabilitation order
• Publicity order
• Use of restorative justice

9
Background - cont

• Revitalising, Action Point 8 and 9
• The Health and Safety Commission will advise
  Ministers on the feasibility of consultees'
  proposals for more innovative penalties.
• Increased fines and imprisonment

10
Bill - three new sanctions

• Administrative fines
• - fixed fines
• - Variable fines
• Statutory notices
• Enforceable undertakings

11
Regulatory Enforcement and Sanctions Bill

• Talk for CCA Conference, 19 Nov 2007David
  Bergman
• Centre for Corporate Accountability
• www.corporateaccountability.org