Regulators' Code - Section 2: National Regulators

Regulators should provide simple and straightforward ways to engage with those they regulate and hear their views

Regulators should have mechanisms in place to engage those they regulate, citizens and others to offer views and contribute to the development of their policies and service standards. Before changing policies, practices or service standards, regulators should consider the impact on business and engage with business representatives.

In responding to non-compliance that they identify, regulators should clearly explain what the non-compliant item or activity is, the advice being given, actions required or decisions taken, and the reasons for these. Regulators should provide an opportunity for dialogue in relation to the advice, requirements or decisions, with a view to ensuring that they are acting in a way that is proportionate and consistent.

This paragraph does not apply where the regulator can demonstrate that immediate enforcement action is required to prevent or respond to a serious breach or where providing such an opportunity would be likely to defeat the purpose of the proposed enforcement action.

Regulators should provide an impartial and clearly explained route to appeal against a regulatory decision or a failure to act in accordance with this Code. Individual officers of the regulator who took the decision or action against which the appeal is being made should not be involved in considering the appeal. This route to appeal should be publicised to those who are regulated.

Regulators should provide a timely explanation in writing of any right to representation or right to appeal. This explanation should be in plain language and include practical information on the process involved.

Regulators should make available to those they regulate, clearly explained complaints procedures, allowing them to easily make a complaint about the conduct of the regulator.

Regulators should have a range of mechanisms to enable and regularly invite, receive and take on board customer feedback, including, for example, through customer satisfaction surveys of those they regulate.

Core Learning Resources

 Better Business for All

BRDO

In particular, see:

  • Regulation and the Business Lifecycle: Template, 2012
  • Business Awareness Training: Information, 2013
  • Communications Guide: Information, 2013

 Accountability for Regulator Impact: Guidance

BIS and IPO, 2013

This describes minimum expectations for engagement by national non-economic regulators about the impact on business of changes in regulatory policy and practice.

Further Reading

 Principles of Good Complaint Handling

Parliamentary and Health Service Ombudsman, 2008

 Model Concerns and Complaints Policy and Guidance

Ombudsman Wales, 2011

 From the Business End of the Telescope

BRDO, 2010

  Consultation Principles

Cabinet Office, 2013