The Law of Regulatory Enforcement and Sanctions

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 practised 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 Practise 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