The Law of Regulatory Enforcement and Sanctions A Practical Guide

The Law of Regulatory Enforcement and Sanctions: A Practical Guide offers a comprehensive and practical explanation of the powers available to regulators and local authorities in the context of the new regulatory enforcement regime, created by the Regulatory Enforcement and Sanctions Act 2008 and the Tribunal Courts and Enforcement Act 2007. This new work explains how the Local Better Regulation Office and the establishment of primary authorities will impact on businesses and regulated individuals as well as how the new civil sanctioning powers will affect those accused of regulatory breaches.

Setting the law in its political context, The Law of Regulatory Enforcement and Sanctions: A Practical Guide provides practical advice on the implementation of the provisions of the Regulatory Enforcement and Sanctions Act 2008, as well as exploring their ramifications. It also offers detailed treatment of appeals, including judicial review, and appeals to the First-tier Tribunal, as well as coverage of relevant human rights jurisprudence.

As the only text dealing with the Regulatory Enforcement and Sanctions Act 2008 and its implications, this new work provides invaluable guidance to all those affected by the new civil sanctions regime, as well as offering innovative suggestions of potential areas and grounds of challenge, and ways to avoid them.

Julie Norris was called to the Bar in 2001. She joined Kingsley Napley in 2007 and works in the Criminal and Regulatory Department as in-house counsel. Julie became a Senior Associate in 2010. She is an experienced junior barrister, having previously practiced from the Chambers of Andrew Campbell Tiech QC, Dyers Chambers, where she specialized in the law of crime and extradition.

At Kingsley Napley, Julie has developed a specialism in the field of professional regulation and discipline law; she is ranked in Chambers and Partners 2010 as a 'Leader in the Field' and an 'Associate to Watch'. Julie's expertise in this area is wide-ranging; from advising those accused of regulatory breaches through to advising regulators on matters of compliance, evidence and procedure. Julie has extensive experience in both investigating and presenting Fitness to Practice allegations brought by regulators. Her clients include the Health Professions Council, the Complementary and Natural Healthcare Council, the General Optical Council, the General Teaching Council, the Hearing Aid Council, and the Security Industry Authority.

Jeremy Phillips qualified as a solicitor in London in 1980. Since that date he has founded his own highly successful commercial practice and subsequently led national teams in Eversheds and Osborne Clarke (Chambers & Partners - 'star' rating). Now at the Bar (Chambers of Robin Purchas QC at Francis Taylor Building) he has maintained his reputation in licensing law (Chambers & Partners 2010 - Leading Junior, Band 1), whilst building upon his earlier experience in the fields of planning, environmental, health and safety, and regulatory law. He has a broad range of experience in regulatory matters and has acted in significant cases brought by the Health and Safety Executive (both prosecuting and defending) and also represents the Environment Agency and Department of Work and Pensions. He has also been involved in a number of high-profile cases concerning noise. Jeremy is on the Attorney General's Panel of Prosecuting Counsel for the Western Circuit and is an Accredited Mediator.

1: An Historical Perspective on Regulation and Enforcement
Introduction
The UK perspective
The European Perspective
Looking to the Future
PART I: THE COORDINATION OF LOCAL AUTHORITY ENFORCEMENT
2: Enforcement by Local Authorities: The Local Better Regulation Office
Introduction
Local authority enforcement before the LBRO
The establishment of the LBRO
Remit of the LBRO
General functions of the LBRO
Enforcement priorities
Duty not to impose burdens
Memoranda of understanding
Guidance or directions by the Secretary of State
3: Enforcement by Primary Authorities
Introduction
Overview of the primary authority partnership scheme
Who can enter into a partnership?
Establishing a primary authority partnership
Functions of primary authorities
The Role of the Local Better Regulation Office
PART II: THE CIVIL SANCTIONS
4: Obtaining the Civil Sanctions
Introduction
Overview of the civil sanctioning powers
Territorial Application
Non-statutory sources
Who can apply for the sanctions?
To which offences can the sanctions be attached?
How will the sanctioning powers be awarded?
5: Operation of the Civil Sanctions
Introduction
Overview of the operation of the civil sanctions
Fixed monetary penalties
Discretionary requirements
Stop Notices
Enforcement Undertakings
Costs and Monies
6: Implementation of the Sanctions
Introduction
Penalty guidance
Investigation policy
Enforcement
Ministerial oversight
The civil sanctions in practice: Schedule 5 regulators
7: Natural England and the Environment Agency
Introduction
Offences and enforcement: the pre-RESA position
The civil sanctions
Environment Agency: penalty guidance and enforcement policy
Natural England: penalty guidance and enforcement policy
PART III: APPEAL AND JUDICIAL REVIEW
8: Appeal and Judicial Review
Introduction
Background to the RESA appeal regime
Overview of the RESA appeal provisions
Appeal to the First-tier Tribunal
Appeal to the Upper Tribunal
General procedure: appeals to First-tier and Upper Tribunals
Appeal to the Court of Appeal
Judicial review
The civil sanctions and the European Convention on Human Rights
APPENDICES
Appendix 1: Regulatory Enforcement and Sanctions Act 2008, Schedules 3-7
Appendix 2: Local Better Regulation Office, Primary Authority Guidance
Appendix 3: The Co-ordination of Regulatory Enforcement (Regulatory Functions in Scotland and Northern Ireland) Order 2009 (SI 2009/669)
Appendix 4: Local Better Regulation Office, References to Local Better Regulation Office for Determinations Policy and Procedure
Appendix 5: The Co-ordination of Regulatory Enforcement (Enforcement Action) Order 2009 (SI 2009/665)
Appendix 6: The Co-ordination of Regulatory Enforcement (Procedure for References to LBRO) Order 2009 (SI 2009/670)
Appendix 7: Department for Business Enterprise and Regulatory Reform, Guidance on Creating New Regulatory Penalties and Offences
1. An Historical Perspective on Regulation and Enforcement
Introduction
The UK perspective
The European Perspective
Looking to the Future
PART I: THE COORDINATION OF LOCAL AUTHORITY ENFORCEMENT
2. Enforcement by Local Authorities: The Local Better Regulation Office
Introduction
Local authority enforcement before the LBRO
The establishment of the LBRO
Remit of the LBRO
General functions of the LBRO
Enforcement priorities
Duty not to impose burdens
Memoranda of understanding
Guidance or directions by the Secretary of State
3. Enforcement by Primary Authorities
Introduction
Overview of the primary authority partnership scheme
Who can enter into a partnership?
Establishing a primary authority partnership
Functions of primary authorities
The Role of the Local Better Regulation Office
PART II: THE CIVIL SANCTIONS
4. Obtaining the Civil Sanctions
Introduction
Overview of the civil sanctioning powers
Territorial Application
Non-statutory sources
Who can apply for the sanctions?
To which offences can the sanctions be attached?
How will the sanctioning powers be awarded?
5. Operation of the Civil Sanctions
Introduction
Overview of the operation of the civil sanctions
Fixed monetary penalties
Discretionary requirements
Stop Notices
Enforcement Undertakings
Costs and Monies
6. Implementation of the Sanctions
Introduction
Penalty guidance
Investigation policy
Enforcement
Ministerial oversight
The civil sanctions in practice: Schedule 5 regulators
7. Natural England and the Environment Agency
Introduction
Offences and enforcement: the pre-RESA position
The civil sanctions
Environment Agency: penalty guidance and enforcement policy
Natural England: penalty guidance and enforcement policy
PART III: APPEAL AND JUDICIAL REVIEW
8. Appeal and Judicial Review
Introduction
Background to the RESA appeal regime
Overview of the RESA appeal provisions
Appeal to the First-tier Tribunal
Appeal to the Upper Tribunal
General procedure: appeals to First-tier and Upper Tribunals
Appeal to the Court of Appeal
Judicial review
The civil sanctions and the European Convention on Human Rights
APPENDICES
Appendix 1: Regulatory Enforcement and Sanctions Act 2008, Schedules 3-7
Appendix 2: Local Better Regulation Office, Primary Authority Guidance
Appendix 3: The Co-ordination of Regulatory Enforcement (Regulatory Functions in Scotland and Northern Ireland) Order 2009 (SI 2009/669)
Appendix 4: Local Better Regulation Office, References to Local Better Regulation Office for Determinations Policy and Procedure
Appendix 5: The Co-ordination of Regulatory Enforcement (Enforcement Action) Order 2009 (SI 2009/665)
Appendix 6: The Co-ordination of Regulatory Enforcement (Procedure for References to LBRO) Order 2009 (SI 2009/670)
Appendix 7: Department for Business Enterprise and Regulatory Reform, Guidance on Creating New Regulatory Penalties and Offences