Dear jwk
The problem of regulators acting outside of the regulatory remit is not a new problem. First Hampton then Davidson both produced reports on poor regulatory practice. Areas from their respective reports resulted in the Statutory Code of Practice for Regulators being issued in 2007. This can be accessed at the following URL
http://www.berr.gov.uk/files/file53268.pdfThe Hampton Report can be found here
http://www.berr.gov.uk/files/file22988.pdfThe Davidson Review can be found here
http://www.berr.gov.uk/files/file44583.pdfThe evidence I have seen presented does not fit with the 5 principles of good regulation namely Proportionality Accountability Consistency Transparency and is certainly not Targeted. Pete may be correct about the company response, but I can understand the reaction from the manager.
This cannot be ignored, as if allowed to make unreasonable demands, may result in the demands either escalating or business becoming regulated in a anarchistic manner, i.e. being asked to do what is not required by law. Especially if the recommendations from the Macrory report as to Regulators issuing Fixed and Variable Monetary Administrative Penalties comes into force. Some of these are now in force and are being taken forward by the Regulatory Enforcement and Sanctions Act 2008. My question is “Would this particular TSO then start to issue penalty notices he/she should not be issuing”?
Similarly I do not think that the action taken by the LA Business Regulation Unit fits with the principles of Macrory and the proposed sanctioning regime, which are also reflected in the principles of good regulation in that:
• A sanction should aim to change the behaviour of the offender.
• A sanction should aim to eliminate any financial gain or benefit from noncompliance.
• A sanction should be proportionate to the nature of the offence and the harm caused.
• A sanction should aim to restore the harm caused by regulatory non-compliance, where appropriate.
• A sanction should aim to deter future non-compliance
It would seem the behaviour of this charity is one of compliance, there is no requirement to comply, no offence has been committed , no financial gain has been made through non compliance, no harm has been caused and there cannot be any doubt about future compliance therefore why the intimidatory (my words from the interpretation from reading the original posting) correspondence.
My advice would be to speak to one of the more experienced regulators in the LA office, and discuss the issues to bring about a satisfactory resolution.