Friday 24th January 2014

Stevenage, Hertfordshire

10:00 ‘Open for business’ session

Maxine Aldred, Development Manager for the Federation of Small BusinessesPaul Downhill, Consumer Affairs Manager of Home Retail Group (Argos, Homebase and Habitat)Sarah Smith, Director, Better Regulation Delivery Office (BRDO) (BIS)Helen Buckingham, Programme Manager, BRDO (BIS)

SOLACE East of England Seminar‘Open For Business’

Better Regulatory DeliveryMoving from Risks to Outcomes by

the appropriate means

Rules

Frameworks Performance Management

Accountability to business

Cultu

re/C

ompe

tenc

y

Lead

ersh

ip

Values

Leadershipskills

Competency framework

RDNAProfessional development

Core skills

Business planning

Strategic risk

Excellence Framework

Data collections

Business Reference

Panel

Local Enterprise

Partnerships

Priority Regulatory OutcomesImpacts & Outcomes

Focus on Enforcement

Codes of Practice e.g. age restricted

products

Service standards

Fees & charges

Regulators Code

Growth Duty

Collaborative Compliance - PRIMARY AUTHORITY

Supporting compliance and encouraging economic growth

• Helping businesses to comply and grow

• Providing assurance

• Reducing compliance costs

• Reducing ‘gold plating’

• Using feedback from & co-ordinating enforcing authorities

• Sharing specialist knowledge

• Cost recovery

What people are saying

‘Our primary authority gives advice that is now entirely consistent and the time we spend on regulatory activity has reduced dramatically. Issues are resolved better,

faster and more consistently – for us Primary Authority is a much more efficient way of

proceeding’

What people are saying

[A small drinks manufacturer] ‘Our primary authority gives us advice on how to label our products by reviewing ‘draft labels’. Once a label has been approved by it …no other

regulator elsewhere challenges it.’

What people are saying

[A district council primary authority] ‘Primary Authority helps our kudos and helps with the reputation of regulators more generally – it offers a more positive picture of regulation than many organisations seem to have’

ALL SHAPES AND SIZES

ALL SHAPES AND SIZES

Vital Statistics

903 businesses in primary authority

119 local authorities

Over 73,000 premises

33% of these businesses are small (<50)

19% of these businesses are medium (<250)

22% are manufacturers

Where next for Primary Authority?

Trade Associations and Franchisees

Fire Safety

Toughening up softer elements

Time to get involved?

Primary Authority at Home Retail Group

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Head Office

• Central decisions• Strategy• Promotional campaigns• Product selection• Training developed• Design of store layout• Internet and ecommerce• Relationship with primary authority – trading standards,

health and safety, fire• Growth is driven from the centre

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The store

• In the community• Employing local people• Serving local customers• Delivering central policy• Subject to local enforcement• Unlikely to ask for help locally• Local advice may conflict with central policy• Local constraints may hamper growth• Good local relationships are important

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Home Retail Group• 700 + Argos stores• 300 + Homebase stores• 3 Habitat stores• Argos, Homebase and Habitat websites• Mobile and Tablet Apps• A presence in every town across Great Britain• Central decision making – Local enforcement• Centrally established policy, process and procedure means

consistency, predictability increased likelihood of compliance.• But local needs may differ – based on local risks• Can we earn recognition nationally and locally?• Can Primary Authority help? Yes it can!

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Primary Authority

• Assured advice• Inspection Plan• Direct Referrals

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Assured Advice

• Evolved Compliance teams in House• Not asking open ended questions• Seeking assurance and validation on specific points or

assurance on fitness for purpose of policies • Assured advice on policy based on audit• Annual review of audits• Assured advice drives certainty• Over 30 pieces of assured advice given• Robust and reliable

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Inspection Plan• Routine interventions are predictable• Better feedback from interventions• Helps regulators in decisions about need for interventions – risk based,

intelligence lead enforcement• Should form part of the regulators “pre flight check”• Helps direct local resources – is there a need to intervene, or is it for

reassurance?• Annually reviewed• From 1st October regulators must follow the inspection plan• Most inspection plans are to reduce interventions but do not block or

discourage interventions (“if you visit, look at this, tell us what you found”)• Does not compromise consumer protection – ability to intervene if there is

an immediate and serious risk to consumers

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Assured Advice and Inspection Plans in Action

• Fire Authorities – Assured advice re fire prevention measures – inspections needed to ensure the policy is applied on the ground, firemen need to visit premise to plan for the worst - if they have to enter the premises to fight a fire

• Age restricted sales – policy/procedure agreed and affirmed by assured advice, but is it being adhered to by the stores? Can only validate through test purchasing.

• Local issue – graffiti for example – if its linked to youths where are they getting the product – test purchasing a tool that can be deployed – the inspection plan asks for feedback.

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Direct Referrals • Not strictly speaking identified in Regulatory Enforcement and

Sanctions Act• However actual scope and detail of partnership left to the two partners

to decide• As managed as part of the PA partnership, can be charged on a cost

recovery basis• Cost effective for the business (reduction in traffic from regulators, all

through one conduit)• Effective for LAs – somewhere to send issues that do not merit a full

intervention• Allows PA to monitor issues and identify trends, sets the agenda for the

partnership• Process subject of Audit, example of “earned recognition”.

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