Forms and regulation

Regulators' Compliance Code and reviews

Regulators' Compliance Code

The purpose of the Regulators’ Compliance Code is to promote efficient and effective approaches to regulatory inspection and enforcement, putting the Hampton principles on statutory footing. The Compliance Code came into force on 6 April 2008.  The code will apply at the point where regulators make their policies, rules, codes and guidance

The Compliance Code sets out seven elements that regulators should follow when discharging their regulatory functions:

  • Supporting economic progress
    Regulatory activity should allow, or even encourage, economic progress. Intervention should only take place where there is a clear case for protection. 
  • 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

These take forward the inspection and enforcement principles set out by Sir Philip Hampton in his 2005 review:

Defra sees good regulation and policymaking as the essential tools to enable the department to achieve its strategic outcomes.  Defra has always been committed to continually improving the way it makes policy and uses regulation, as well as reducing its administrative burden on business.

Defra and its delivery network – how we are meeting the Regulators’ Compliance Code

Defra welcomes the introduction of the Regulator’s Compliance Code which came into force on 6 April 2008. Defra along with its regulators, have undertaken to show how we are already meeting the Code recommendations of a risk-based, proportionate, targeted and flexible approach to regulatory inspection and enforcement by giving practical examples along with details of any future plans that are in line with the Code.

Defra and its Delivery Network have also been working together to share best practices through our Regulatory Network which meets and communicates on a regular basis. Through this network, and as part of our ongoing work on the better regulation agenda, we are committed to putting the principles of the Compliance Code at the heart of our approach to policy making, inspection and enforcement, to achieve better outcomes for all.

Please find links below to a set of documents setting out how Defra and our Delivery Networks are meeting the elements set out in the code. A web link / template will follow shortly for the Veterinary Medicines Directorate (VMD).

Regulatory reviews

Government's response to the BRC's report:  Regulating to mitigate climate change a response to the Stern review

The BRC report summarises the key arguments and regulatory pointers found in the Stern Review and provides six recommendations for future policy-making along with seven tests which set the basic standards the BRC feel policy makers will require to meet ‘the complex challenges of climate change’.

The Government’s published its response to the BRC’s report on 24 May 2007 and accepts the principles behind the Commission’s recommendations and will apply the seven tests in the future development of climate change regulation. The Government sees the better regulation recommendations and tests as essential to combating climate change in a proportionate consistent way and is committed to looking strategically at the overall regulatory burden and developing a policy framework which delivers emissions objectives with minimum regulatory requirements.

Rogers review on prioritising local regulatory services

On 29 November 2006 the Government announced the appointment of Peter Rogers - Chief Executive of Westminster City Council - to lead an independent review of legislation enforced by local authorities. The review will include over 60 policy areas with the aim to produce a more joined up approach to regulatory inspection and enforcement.

Macrory review of Regulatory Penalties

The final report of the Macrory Review of Regulatory Penalties was published on 28 November 2006. The review makes a number of recommendations that aim to ensure that regulators have access to a flexible set of modern fit for purpose sanctioning tools that are consistent with the risk based approach to enforcement outlined by Philip Hampton.

Davidson review of the Implementation of EU Legislation

The Davidson Review of the implementation of European legislation published its final report on 28 November 2006. Lord Davidson QC found that while the unnecessary over-implementation of European legislation may not be as widespread in the UK as is sometimes claimed, there are areas in the stock of legislation where regulatory burdens can be removed.

Hampton review on Regulatory Inspections and Enforcement

In March 2005, Philip Hampton reported on the scope for promoting more efficient approaches to regulatory inspection and enforcement while continuing to deliver excellent regulatory outcomes. Full implementation of the Hampton principles will result in fewer forms, fewer inspections, better advice, and better coordination between regulatory bodies.

Better regulation Task Force 'Less is more'

On 18 October 2004, the Prime Minister asked the Better Regulation Task Force to look at the new Dutch approach of introducing a target for reducing administrative burdens faced by business, and a 'One in, One out' rule for regulation, where new regulations have to be matched by deregulatory measures.

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Page last modified 25 June 2008

Department for Environment, Food and Rural Affairs