"all
interactions between business and regulators, from
form-filling to enforcement action, through inspection
and licensing ... Its remit is to look at the inspection
and enforcement of regulations, with a view to streamlining
the inspection system without adversely affecting
regulatory outcomes".
| Inspection |
| • |
How
often are your premises inspected? And by whom? |
| • |
In
your perception do the regulators you deal with
co-ordinate their
inspection programmes? |
| • |
Have
you received useful advice on improving aspects
of your operations
during and following a visit from an inspector? |
| • |
How
would you rate the quality of the inspectors you
deal with? |
| • |
Would
you prefer to receive visits from a general inspector
who could
subsequently draw in expertise as required, or
specialised inspectors who
could provide expert advice on the spot? |
| • |
Do
you pay a charge for inspections and related regulatory
interventions?
If so how much? |
| Enforcement |
| • |
Have
you been subject to a formal warning or enforcement
notice from a
regulatory body? If so can you describe the circumstances? |
| • |
Have
you been fined or prosecuted as a result of non-compliance
with
regulatory standards? If so was that appropriate? |
| • |
Have
you featured in a regulatory ‘league table’
or suffered adverse media coverage as a result
of non-compliance? Did you find that fair if so? |
| • |
Do
appropriate mechanisms exist through which you
can appeal
regulatory advice and judgements? |
| • |
Are regulators sufficiently tough at clamping
down on poor performers? Is
there any case for tougher fines and penalties? |
| • |
Do
regulators sufficiently recognise good business
performance through
awards, kitemarks, best practice case studies
etc? |
| Assessing
risk |
| • |
Do
you feel that regulators take appropriate account
of the riskiness of
your operations in deciding where to focus their
resources? If not, what
should they do? |
| • |
Do
you feel that regulators take adequate account
of your past record of
performance in their dealings with you? |
| • |
Are
your management systems subject to third party
accreditation (e.g.
ISO 9001, 14001, 18001 etc.)? If so does this
have any impact upon levels of inspection? |
| Consistency |
| • |
Do
you ever get conflicting advice from different
regulators? If so when? |
| • |
Do
you feel that regulators treat you fairly compared
to your competitors? |
| • |
Have
you ever experienced different regulatory standards
being applied to your operations in different
parts of the country? If so when? |
| Accessing
advice |
| • |
Do
you find that regulators provide a useful source
of advice and guidance for compliance with relevant
legislation? |
| • |
What
mechanisms do you find most useful for receiving
advice and
guidance from regulators – through leaflets
and other printed material,
online via websites, over the telephone, or through
face-to-face meetings? |
| • |
Do
you receive advice on regulatory compliance from
any other sources
(e.g. Business Links, Small Business Service,
CAB etc.)? If so how useful
have you found them? |
| • |
Would
you feel able to ask regulators for advice in
a situation where you
feared that you were currently non-compliant? |
| Recommendations
for change |
| • |
Have
you any experience of inspection and enforcement
regimes in other
countries? Is there anything they do that the
UK could learn from? |
| • |
Are
there any other changes or improvements to regulatory
inspection and enforcement regimes that you would
like to see? |
