Preparing for Primary Authority

Intro: Why the scheme matters

LBRO: what is it for?

“Secure more effective performance in local authority regulatory services in accordance with the principles of better regulation.” Regulatory Enforcement and Sanctions Act 2008

LACORS

AHA

HPA

DIUS

Development of Primary Authority• Hampton report

• Better Regulation Executive consultation

• Progress of the Bill

• Statutory instruments consultation

• Pilot with local government and business

• LBRO consultation on guidance

• Roll out road shows

• ... And early implementation

Primary Authority matters...

• If you want to support business effectively, especially during the recession

• If you want better intelligence about a firm to enable better targeted action

• If you want to use the right interventions to be efficient and drive compliance

• If you want to build expert teams with specialist knowledge

Primary Authority matters...• If you want to support business effectively,

especially during the recession– 1 in 3 businesses trading across two or more

council boundaries say they have experienced inconsistency

– 1 in 8 businesses say that the advice they have received from the councils they are in contact with is ‘very inconsistent’

(Source: Ipsos MORI)

Primary Authority matters...• If you want better intelligence about a

business to enable better targeted action– Supermarket bakery

Critical report, tough action, bad local publicity But: “I’ve not read the report, I don’t intend to... It’s

not much of a problem.”

– Multi-site retailers Repeated prosecutions for out of code stock But has this changed the outcome?

Primary Authority matters...• If you want to use the right interventions to

be efficient and drive compliance – National hardware chain in pilot

Working with test partner to improve compliance by using corporate data to spot big risk areas. Sharing data so that inspections are targeted towards the higher risks to workers and consumers

– Adventure sports company Controlled risks, expertly managed Seeks specialism in its regulators

Primary Authority matters...• If you want to build expert teams with

specialist knowledge– Opportunities to specialise and develop

national expertise in certain fields– Specialist working with specialist businesses– ... but expertise available across the UK– Provides development opportunities, and

scope for career progression and recognition

Preparing for Primary Authority

Session 1: the basics

PA.1: the basics

• Objectives for this session Outline the scheme Define key concepts Overview of key changes to inspection and

enforcement activities Demonstrate the scheme in action Identify sources of more information

PA.1: the basics• Key facts

Comes into force on 6 April 2009 Scheme open to any business trading across

two or more council boundaries in UK Builds on but differs from Home and Lead

Authority. Does not directly replace them Differs from Home and Lead because properly

given advice cannot be ignored by enforcing authorities

PA.1: the basics• Key facts continued...

Covers 18 areas of legislation:• age restricted sales

• animal establishments

• animal feed

• consumer credit

• environmental protection

• explosives licensing

• fair trading

• farm animal health

• food safety and hygiene

• food standards

• general licensing

• health and safety

• housing

• metrology

• petroleum licensing

• pollution control

• product safety

• road traffic

PA.1: the basics• Key facts continued...

Applies in full in England & Wales Applies partially in Scotland & Northern Ireland Agreements may cover one regulatory function

– e.g. health and safety – or the whole range of an authority's responsibilities

One business can have different primary authorities for different regulatory functions

Allows for authorities to recover their costs

PA.1: the basics• Key facts continued...

Introduces national inspection plans showing what has been checked at source and where there is scope for targeted local inspection

Introduces a duty on enforcing authorities to consult the primary authority, to ensure that intended enforcement action is consistent with advice previously given

... unless there is an immediate risk to consumers or workers

PA.1: the basics• Key facts continued...

Introduces a determination process, run by LBRO, to raise issues of inconsistency prior to action being taken

Preserves the courts' role in determining guilt or innocence

Been tested rigorously over three months with 17 pilot partnerships, involving 15 local authorities and 13 businesses

PA.1: the basicsGrocery is a UK-wide supermarket chain. Its

headquarters are in Anytown and it has a branch in every council area in the country. It wants to register a PA partnership for health and safety advice. Grocery's long-standing and successful Lead Authority partner, Anytown District Council. A second local authority is interested in the role. Bigg City intends to recover its costs for being a primary authority. Anytown says it will not.

PA.1: the basics• Which authority will LBRO register?

The one the business chooses, if both are willing

• What factors will LBRO take into account in determining suitability? Relevant expertise, sufficient resources,

willingness

• What if the business cannot find a primary authority partner? LBRO will help find a suitable partner

PA.1: the basics

Grocery asks its primary authority for health and safety, Anytown council, to help it prepare a national inspection plan. The business wants to improve safety for workers in its cold-store warehouses. The plan is produced and uploaded to the online PA database. Bigg City Council is now considering its intervention strategy for local Grocery premises and the action it needs to take to check regulatory compliance.

PA.1: the basics• What should Bigg City council do first?

Check the database to see if there is a partnership, what it covers and whether there is an inspection plan in place. If deviating from the plan, notify the primary authority

• What should Bigg City do if the inspection reveals a breach of food hygiene?

Take whatever action is appropriate – non-PA

• What about a breach of health and safety? Check with advice given; consult

the primary authority

PA.1: the basicsBigg City inspectors find two clear breaches of

health and safety legislation in one local Grocery store. One is an immediate danger to workers, the other is a longer term risk. There appears to be a clear case for taking enforcement action. They also find evidence of poor practice in training new members of staff on their legal responsibilities.

PA.1: the basics• What action should Bigg City council take?

Immediate danger: Issue a prohibition notice; notify the primary authority that action has been taken

Longer term: Agree a course of action with Anytown, as the primary authority, about addressing the wider compliance failings

PA.1: the basics• Key concepts

registration: the act of forming a Primary Authority partnership. Only happens once LBRO accepts the partnership agreement and records it on the online database

inspection plans: optional; assists local authorities in targeting local inspection resources

duty to consult: a new duty that ensures that enforcing authorities must contact the primary authority prior to taking enforcement action

PA.1: the basics• Check out:

LBRO's leaflet Confidence and Consistency: The basics and benefits of the Primary Authority scheme

LBRO's statutory operational guidance BERR's Guide to the Regulatory Enforcement

and Sanctions Act 2008 Regulatory Enforcement and Sanctions Act

2008, Part 2

• Visit www.lbro.org.uk