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Regulation in Practice - The Regulators' Compliance Code
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.
Latest news: extending the scope of the code
The consultation on extending the coverage of the Regulators' Compliance Code and the principles of good regulation has now closed and the Government response has been published.
Regulators should consider 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.
It 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.
(107KB)Compliance Code workshop
(166KB)
(314KB)Compliance Code consultation
The Compliance Code consultation closed in August 2007 and the Government published its response in October 2007. Both documents are available below:
The Government laid the Code before Parliament during autumn 2007, and it will come into force on 6 April 2008.
Compliance Code consultation responses
Responses to the Compliance Code consultation are available:
(2014KB)Data - sharing and protection for businesses
The Information Commissioner has provided guidance for businesses on data-sharing and protection.
The Enforcement Concordat
Some stakeholders have asked about the status of the Enforcement Concordat, in particular whether it continues to operate alongside the Compliance Code. The answer is yes. The Compliance Code does not replace the Enforcement Concordat, which remains in force as between the regulators and businesses that are signatories to it. As the Compliance Code does not apply to the decisions of regulators and local enforcers in individual cases, the Concordat which applies to such individual level actions, will therefore continue to be relevant.
Please contact Olu Fasan if you have any questions about the Compliance Code.
Phone: 020 7215 0318
Email: olu.fasan@berr.gsi.gov.uk