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RESEARCH REPORT 13

THE REGULATORY FRAMEWORK - INSTITUTIONAL RESPONSIBILITIES AND RELATIONSHIPS

Georgina LawerenceGillian Simmonds

Peter Vass

THE REGULATORY FRAMEWORK INSTITUTIONAL RESPONSIBILITIES

AND RELATIONSHIPS

CRI Research Report 13

Georgina Lawrence Gillian Simmonds

Peter Vass

Desktop published by Jan Marchant

© The University of Bath All rights reserved ISBN

PREFACE The CRI is pleased to publish The Regulatory Framework – Institutional Responsibilities and Relationships as its thirteenth research report. The report was commissioned by Edexcel, one of the examination bodies for GCSE, A levels and vocational qualifications. The work forms part of a wider review of regulation being taken forward by Edexcel. Further information on that project is available from Edexcel, and through their website (www.edexcel.org.uk). The CRI is grateful to Edexcel for their financial support to carry out the project, which has given the opportunity for the CRI to set out the ‘generic’ framework of regulation and to map the separate functional and institutional roles onto a wide variety of sectors. A common picture clearly emerges, and this has implications for the design of regulatory schemes, consistent with the principles of ‘better regulation’, which have been articulated by bodies such as the Cabinet Office’s Better Regulation Task Force. The CRI would welcome comments on the research report as we have a continuing programme of work on regulatory governance and accountability; a clear framework for analysing the role of the regulatory state being essential to long run cost-effectiveness and public confidence and support. In this respect, the report is complementary to CRI research report 12, External Review – Theory and Practice for the Regulatory State, by Gillian Simmonds and Peter Vass. This sets external review by inspectorates and bodies such as the Audit Commission and Ofsted in the broader regulatory framework, and explores the role of regulatory impact assessments (RIAs) in achieving better regulation and review. Peter Vass Director, CRI February 2002

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http://www.edexcel.org.uk)/

CONTENTS Page Preface iii The regulatory framework – institutional

responsibilities and relationships 1

Introduction 1 1 The regulatory framework 3 Why regulation? 3 An overall view of the regulatory framework 5 Tables of regulatory institutions 7 National: General regulation and ‘oversight’ 7 Appeals and review bodies 8 Cross-sectoral market regulation 9 Sectoral: Sectoral (economic) regulation 10 Standards of service, quality and safety 13 Qualifications, training and professional

standards 14

2 The regulatory framework in more detail 17 Devolution and the framework for regulation 17 The role of advisory bodies 20 National: General regulation and ‘oversight’ 22 Appeals and review bodies 26 Cross-sectoral market regulation 30 Sectoral: Sectoral (economic) regulation 31 Standards of service, quality and safety 39 Qualifications, training and professional

standards 43

Appendix 49 Alphabetical list of regulatory bodies

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THE REGULATORY FRAMEWORK - INSTITUTIONAL RESPONSIBILITIES AND RELATIONSHIPS Georgina Lawrence Gillian Simmonds Peter Vass Introduction The purpose of this report (as at January 2002) is to set out the institutional structure of regulation in the UK and to show that each of the regulated sectors fits, in general, into a common regulatory framework.

Regulation is pervasive. Given the range of goods and services provided, and the multiplicity of regulatory schemes, institutions and sectoral arrangements, it is helpful to set out a general framework within which regulation can be classified. The following briefly explains the framework adopted, and the classification scheme for the tables of regulatory bodies and responsibilities that follow. Regulation in practice is a complex interaction of institutional roles and responsibilities, and a combination of charts, tables and text have been used to describe and illustrate the framework, covering the major regulatory bodies and regulated sectors. Many specific examples, of course, are omitted, but the regulatory framework described should be relevant to them. The document is set out in three main parts as follows:

1. The regulatory framework

Introductory text on the regulatory framework, followed by three column tables of the main regulated sectors and institutions.

2. The regulatory framework in more detail

Text on each regulated sector covered in the tables in the regulatory framework set out in part 1 above, preceded by two sections, one on devolution and the framework of regulation, and the other on the role of advisory bodies.

Appendix

Alphabetic list - regulatory bodies and institutions An alphabetic address and contact list for the regulatory bodies and institutions as covered in the regulatory framework above.

Peter Vass, Director, Gillian Simmonds and Georgina Lawrence, Research Officers, Centre for the study of Regulated Industries (CRI)

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THE REGULATORY FRAMEWORK

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GEORGINA LAWRENCE, GILLIAN SIMMONDS, PETER VASS

1 THE REGULATORY FRAMEWORK Why regulation? Government regulates to correct for various types of ‘conduct’ failure (for economists these are often simply referred to as ‘market’ failures). Government may regulate directly or devolve responsibility to various non-departmental public bodies (NDPBs) or non-ministerial departments (NMDs). It may also rely, with some oversight, on ‘collective’ self-regulation by the providers of goods and services where it can be shown to be in their collective interest - and to the consumers’ benefit - for them to maintain effective self-regulatory schemes. Regulation will also be influenced by the quality of ‘internal’ self-regulation by individual providers of goods and services (eg, ‘Chinese walls’ between management consultancy and the audit practice in firms of accountants). The three main types of conduct (ie, market) failure used here to classify regulatory functions and institutions are:

Type of ‘conduct’ (market) failure Examples 1. Abuse of monopoly power Prices too high; little choice 2. Public goods and externalities Poor standards and safety; pollution 3. Social exclusion and inequality Inadequate income; discrimination

Classifying institutional roles and responsibilities Treating the three-way division of ‘conduct’ failures as a ‘horizontal’ classification into which regulatory functions (and institutions) can be divided, then there is also a ‘vertical’ division of institutions and functions which can reflect the ‘hierarchy’ of responsibilities and the sequence of regulation. The main vertical division is between government, ‘independent’ regulatory agencies - the NDPBs and NMDs (supported where appropriate by self-regulatory arrangements) - the regulated entities, consumer representation and the review, audit and appeals processes. The two-way (vertical and horizontal) classification of regulatory roles and responsibilities can be illustrated by the water sector. This example was chosen because water supply and disposal is an essential public service affected by regulation in all three areas of conduct failure. First, we use the example of waste water regulation to illustrate the vertical hierarchy of responsibility: • Waste water regulation - Setting standards versus monitoring and enforcement:

Directives on water discharge standards in the European Union are set by the European Commission, following consultation with the European Parliament and following ratification by the member states’ Council of Ministers. The UK minister will have been advised, amongst others, by the Environment Agency. The government is required to incorporate a waste water directive into UK law (taking account of any derogations or definitional criteria over which there is a

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member state discretion). The Environment Agency is responsible for monitoring and enforcing compliance with the directive by the licensed water and sewerage companies.

We can now extend it to Figure 1, ‘Policy to Enforcement - the hierarchy of responsibilities’, in order to bring in the horizontal dimension of the three ‘conduct’ failures as well.

Figure 1: Policy to Enforcement - The hierarchy of responsibilities

Institutionalhierarchy

Functional roles

Examples of ‘conduct’ regulation

Water quality& environmentalstandards

‘Economic’regulation

Redistributionand equity

Governmentand itsdepartments

Regulatory Policy

Setting standards &rules

Incorporating EUlegislation into UKlaw

Issuing licences andpermissionsor delegatingresponsibility toNDPBs

Non-ministerialand non-departmentalpublic bodies(NDPBsand NMDs)

Advise governmenton policy

Executiveimplementation ofregulation

Sets some regulatorypolicy/standards andpermissions(delegated authority)

Monitoring regulatedproviders/clients, eg

Enforcement ofregulation, eg

EuropeanCommission(directives)

Department ofthe Environment,Food andRegional Affairs(DEFRA)

EuropeanCompetitionrules

DEFRA lead‘sponsoring’departmentplus role ofDepartment ofTrade andIndustry (DTI)

EuropeanUnion: SocialChapterrequirements

Department ofWork andPensions(DfWP)

HM Treasury

EnvironmentAgency

Discretionaryareas forenvironmentalregulation/approval

Sampling &testing

Prosecution,fines,rectification

Office ofWaterServices(OFWAT)

Periodic pricecontrolmethodology& decision

Monitoringlicencecompliance &competition

Prosecution &financialpenalties

BenefitsAgency

Administerspayments &entitlements

Monitorsclaimants

Prosecution &repayment

Two-way classification:

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An overall view of the regulatory framework Figure 2 sets out a fuller presentation of the whole regulatory framework, within which Figure 1 could be set. However, in practice, regulatory institutions may have functional responsibilities which cover a number of the ‘boxes’ (whether vertically or horizontally) in the framework set out in Figure 2. Multiple functional responsibilities can be illustrated by the Office of Water Services (Ofwat): • Ofwat and the three ‘conduct’ failures: Ofwat (ie, the director general) is an

economic regulator, and one of its main functions is the control of the abuse of monopoly power. However, the director general is also responsible for setting certain levels of service standards on behalf of all consumers in an area or region, including pressure, leakage and reliability (security) of supply. The director general also has statutory duties to have regard to the needs of special interest groups, such as the elderly, disabled and rural customers [and the metered water bills for certain classes of disadvantaged customer are capped]. Ofwat in practice, therefore, could be entered in each of the three classifications of conduct failure. Consumer representation (the 10 regional Customer Service Committees) is also part of Ofwat.

The following Tables of Regulatory Institutions set out the institutional structure for regulation under six general section headings, within which there are sectoral or functional headings as appropriate. The first three sections are national, the rest sectoral. Each of these tables is cross-referenced to the more detailed text in Part 2, ‘the Regulatory Framework in More Detail’. The three column tables are cross-referenced to Part 2, for example, as follows: 1.1 below is 2.1.1 in Part 2. - National 1. General regulation and ‘oversight’: National structures for review and

representation; social inclusion; environmental standards and safety; health standards and safety.

2. Appeals, review and audit bodies. 3. Cross-sectoral market regulation: Financial reporting and accountability;

competition authorities. - Sectoral 4. Sectoral (economic) regulation: Transport; energy; water; financial services and

communications. 5. Sectoral standards of service, quality and safety: Health; food; planning control. 6. Sectoral qualifications, training and professional standards. Each sectoral or functional heading has a table with three columns which includes the names of the institutions or agencies reflecting the respective roles of:

Sponsoring government department/ Supervising agency or role (where relevant)

Regulatory agency/or ‘audit’ role, whether formal or informal

Consumer representation arrangements or bodies/ Appeal bodies

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Part 2, The Regulatory Framework in More Detail, follows the tables and describes the regulatory arrangements in more detail. It also includes the impact of devolution on the framework of regulation and the role of advisory bodies. Following that, the Appendix sets out an alphabetical address and contact list for the organisations included in the following Tables.

Figure 2: The Regulatory Framework

Government(Regulatory Policy and Parliamentary process)

‘Economic’ regulationof monopoly powerand anti-competitivepractice

Responsibility for regulating ‘conduct’ failures

Government departments(lead or ‘sponsoring’ dept)

Cross-sectoralinstitutions, eg

Sectoralinstitutions

Review & Audit processes

Regulation of publicgoods and externalities(quality, standards &safety)

Regulated entities (Providers of goods and services)

• Environment Agency• Health & Safety Executive (HSE)• Advertising Standards Authority

(ASA)

• Office of FairTrading (OFT)

• CompetitionCommission

• Equal OpportunitiesCommission

• Equality Commission(NI)

• Benefits Agency• Qualifications & Curri- culum Authority (QCA)• Higher Education

Funding Councils (HEFCs)

• Ofgem• Financial Services

Authority (FSA)• OFWAT

• Sectoralpublic serviceobligations

• Rent tribunals

GovernmentReview

Audit &Inspection

ConsumerRepresentation(Regulatory process &complaints resolution)

• Regulatory Impact Unit• Select committees of House of Commons & House of Lords• Royal Commissions• Public Inquiries

• National Audit Office (NAO)• Audit Commission• External Auditors• Regulatory ‘reporters’• Office for Standards in

Education (OFSTED)

• Appeal Courts andTribunals

• Judicial Review• Arbitration• The ‘Visitor’

• National/localCouncils &Committees

• Ombudsmen• Press Complaints

Commission

AdvisoryBodies

Regulation for‘social inclusion’and equity

Appeals &legal process

ConsumerAdvocacy & Advice

‘Independent’publicregulation, eg

‘Collective’self-regulation,eg

• General Medical Council• Law Society• Police Complaints Authority

Customers

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Tables of regulatory institutions - National 1. General regulation and ‘oversight’

An important trend is that institutional structures for regulation have to meet tougher tests of ‘independence’ and accountability. In addition less reliance on ‘internal’ and ‘collective’ self-regulation is being accepted by government.

1.1 National structures for review and representation These include the ‘lead’ (or ‘sponsoring’) government departments in relation to sectoral or functional regulation; the select committees of parliament which ‘shadow’ them and hold the government to account; policy and review bodies for government as a whole - such as the Better Regulation Task Force (supported by the Regulatory Impact Unit in the Cabinet Office) and national consumer bodies, such as the National Consumer Council.

Sponsor/Supervisory role

Regulatory Agencies/‘audit’ Representation/Appeals

Sponsoring government departments

Select Committees of the House of Commons and House of Lords

Department of Trade and Industry National Consumer Council (NCC)

Cabinet Office Better Regulation Task Force - Regulatory Impact Unit

Department of Enterprise, Trade & Investment

General Consumer Council for Northern Ireland

Consumers Association (CA)

1.2 National structures for ‘social inclusion’ Matters relating to equal opportunities are the remit of the UK Parliament. The implementation of equal opportunities legislation in Great Britain falls primarily to three non-governmental bodies – the Equal Opportunities Commission (EOC), the Commission for Racial Equality (CRE) and the Disability Rights Commission (DRC). In Northern Ireland, the implementation of equal opportunities legislation is the responsibility of the Equality Commission for Northern Ireland (ECNI).



Department for Education and Skills (Great Britain)

Equal Opportunities Commission Disability Rights Commission

Employment Appeals Tribunal (EAT)

Home Office (Great Britain) Commission for Racial Equality (CRE)

Northern Ireland Assembly

Equality Commission for Northern Ireland

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1.3 National structures for environmental standards and safety Matters relating to the environment are devolved to the governments of Scotland, Wales and Northern Ireland. The structure of the non-departmental public bodies responsible for environmental protection in the different regions of the United Kingdom and their relationships with the central and devolved governments is dependent on the nature of devolution in the different regions. There are three environmental protection agencies in the United Kingdom – the Environment Agency (operating in England and Wales), the Scottish Environment Protection Agency (SEPA) and the Environment and Heritage Service (EHS) (operating in Northern Ireland).



Department for Environment, Food and Rural Affairs (England)

Environment Agency

National Assembly for Wales Environment Agency (Wales)

Scottish Executive Scottish Environment Protection Agency (SEPA)

Northern Ireland Executive Environment & Heritage Service (Northern Ireland)

1.4 National structures for health standards and safety The regulation of health and safety matters has not been devolved and remains the remit of the UK Ministers and the Parliament in Westminster. These health and safety functions are delegated by the UK Ministers to the Health and Safety Commission (HSC) and the Health and Safety Executive (HSE) which operate in Great Britain. The Health and Safety Executive for Northern Ireland (HSENI) is the equivalent body operating in Northern Ireland.



Department for Transport, Local Government and the Regions (DTLR)

Health and Safety Commission (HSC) Health and Safety Executive (HSE) Hazardous Installations Directorate Health Directorate Nuclear Safety Directorate HM Railway Inspectorate

Local authorities Local Government Ombudsman

Scottish Parliament Scottish Executive

Department of Enterprise, Trade and Investment (NI)

Health & Safety Executive for Northern Ireland

2. Appeals and review bodies

An important trend in regulation is the requirement for greater transparency of regulatory process and that reasons for decisions are given. There is also a growing use of ‘comparative’ ranking tables to ‘name and shame’ or ‘pour encourager les autres’.

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2.1 Appeal, review and audit Regulation is carried out within the rule of law, and with appropriate checks and balances. Most regulatory decisions can be reviewed or appealed [subject to certain tests] and audit is an important, independent, review function. The National Audit Office and the Audit Commission audit public bodies and shareholders appoint external auditors to audit companies. The legal system operates as a separate, independent branch of the state, functioning in conjunction with the executive and legislative branches of government. The courts may overturn or review a decision of the executive, but they can not question the legislative. Judicial review of administrative actions occurs when the public decisions of executive government (and non-departmental bodies, and regulatory bodies with public functions) are reviewed in the High Court. The decisions of some regulatory bodies may also be reconsidered and substitutes by the courts during the appeals process. The government may also choose to establish inquiries (of various types, including royal commissions) to adopt an inquisitorial and non-court-like manner of investigating an issue or the operation of a body.



Houses of Parliament Public Accounts Committee (PAC)

National Audit Office (NAO) Appeals courts and tribunals Judicial review

DTLR Audit Commission Audit Commission in Wales Commission for Local Authority Accounts in Scotland

External Auditors HM Government Royal Commissions

Public Inquiries

3. Cross-sectoral market regulation

Important recent developments are the incorporation of the European Union’s competition rules and prohibitions into UK law from March 2000 and the internationalisation of the financial reporting standards for global listing requirements on stock exchanges, centred on the International Accounting Standards Committee (IASC).

3.1 Financial reporting and accountability Formal ‘external’ financial reporting by companies and public bodies, typically, and most importantly, through the annual report and accounts, is an essential element of accountability and hence, effective regulation. Financial reporting standards are set by the Companies Act and the Financial Reporting Council (FRC), supplemented or complemented by reporting rules set by the Stock Exchange and - as required - by government for public bodies.



Department of Trade and Industry (DTI)

Financial Reporting Council (FRC)

FRC Accounting Standards Board (ASB)

Financial Reporting Review Panel (FRRP)

Financial Services Authority (FSA) UK Listing Authority

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3.2 Cross-sectoral competition The government oversees the market place to monitor - and if necessary - enforce fair trading. This covers quality issues [trading standards] and market abuse, that is, anti-competitive practices and abuse of a dominant position (monopoly power).



Department of Trade and Industry (DTI)

Office of Fair Trading (OFT)

Office of Fair Trading (OFT) Competition Commission (CC) Appeals Tribunal (CC)

DTLR Local Government - trading standards

London Stock Exchange The Takeover Panel

- Sectoral 4. Sectoral (economic) regulation

Since coming into power in 1997, the Labour government has undertaken a major review of utility regulation. This has resulted in the Utilities Act 2000, the Postal Services Act 2000, and the Transport Act 2000; as well as proposed new legislation for the water and communications sectors. Independent regulators are to be protected from ministerial ‘guidance’ by Parliamentary constraints.

4.1 Transport

The Transport Act 2000 set up the Strategic Rail Authority to complement the role of DTLR and Office of the Rail Regulator. Recent dramatic events in the rail sector – with administrators being appointed to Railtrack and with the proposals to replace Railtrack with a not-for-profit company – have raised questions around the future of independent economic regulation in the rail sector. The government has proposed the privatisation of air traffic control.

Transport is primarily the concern of the Department for Transport, Local Government and the Regions. Road transport is regulated by executive agencies of the Department, the Driver and Vehicle Licensing Authority and the Vehicle Inspectorate. Traffic Commissioners, accountable to the department, regulate the bus network. There are no consumer representation groups with a statutory basis, yet some groups are recognised by government to represent consumer interests. Air travel is regulated by the Civil Aviation Authority, a non-departmental public body which has established the Air Traffic Users Council to represent consumer interests. Rail is regulated by the Rail Regulator (with his office, the Office of the Rail Regulator (ORR)) and the Strategic Rail Authority (headed by Director of Passenger Rail Franchising), both non-departmental public bodies. Consumer interests are represented by the Rail Passengers Council and its regional committees.

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Department for Transport, Local Government and the Regions

- rail Strategic Rail Authority (SRA) Office of the Rail Regulator (ORR)

Rail Passengers Council

- aviation and airports Civil Aviation Authority (CAA) Air Transport Users Council - bus Traffic Commissioners National Federation of Bus Users

Confederation of Passenger Transport

- road Driver and Vehicle Licensing Authority (DVLA) Vehicle Inspectorate

Automobile Association (AA) Royal Automobile Club (RAC)

4.2 Energy

The Utilities Act 2000 replaced the individual directors general for gas supply and electricity supply with the Gas and Electricity Markets Authority (GEMA); and made provision for the introduction of new electricity trading arrangements (NETA) to help avoid market abuse by generators.

The industry regulator for the electricity and gas sectors in Great Britain is the Gas and Electricity Markets Authority (GEMA), supported by the Office of Gas and Electricity Markets. GEMA is accountable to the Secretary of State for Trade and Industry. Energywatch, the new gas and electricity consumer council, is responsible for representing the interests of consumers in the energy sector. In Northern Ireland, the industry regulator is the director general of Gas for Northern Ireland and the director general of Electricity Supply for Northern Ireland, supported by the Office for the Regulation of Electricity and Gas.



Department of Trade & Industry (DTI)

Office of Gas and Electricity Markets (Ofgem)

energywatch

Department of Enterprise Trade & Investment (NI)

Office of Regulation of Electricity and Gas (OFREG)

General Consumer Council for Northern Ireland Northern Ireland Consumer Committee for Electricity

4.3 Water

The forthcoming Water Bill will address the introduction of competition in England and Wales. A new ‘independent’ consumer council is proposed to replace existing ‘integrated’ arrangements for consumer representation, on similar lines to the new gas and electricity consumer council, energywatch. The Water Industry (Scotland) Bill similarly proposes to replace the existing ‘integrated’ arrangements for consumer representation in Scotland with independent water customer consultation panels.

Water services are regulated differently in each part of the United Kingdom. Ofwat is the economic regulator in England and Wales, complemented by the Water Industry Commissioner for Scotland and the Northern Ireland Water Service. Each has its own, separate but integral arrangements for customer representation.

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- England (DEFRA) Office of Water Services (Ofwat) Ofwat National Customer Council (ONCC) Customer Service Committees (CSCs)

- Wales (Assembly) Ofwat ONCC and CSCs - Scotland - Scottish Executive Water Industry Commissioner

for Scotland WICS Water Industry Consultative Committees

- Northern Ireland (Assembly/NIO) Water Service - Northern Ireland Customer Service Units 4.4 Financial Services

The Financial Services and Markets Act concentrated power for the regulation of the financial sector in the hands of a single body, the Financial Services Authority. Traditional ‘city’ self-regulation has thus been replaced by formal statutory regulation.

The HM Treasury is responsible for strategic oversight of the regulation of financial services The regulation of financial business in the UK is the responsibility of a single statutory independent regulator, the Financial Services Authority. The Financial Ombudsman Service is responsible for handling financial services-related complaints.



HM Treasury Financial Services Authority (FSA)

Financial Ombudsman Service

Department of Work and Pensions (DWP)

Occupational Pensions Regulatory Authority (OPRA)

Office of the Pensions Ombudsman (OPO)

HM Treasury

Financial Services Tribunal

4.5 Communications

Given the number of competing telecommunication companies, the rate of technical change and the convergence in the communications sector, there has been a review of the role of Oftel and the other communications’ regulatory agencies. The Communications white paper and the Office of Communications Bill reflect the convergence of telecommunications and broadcasting, proposing the creation of a communications authority, the Office of Communications, which will merge the existing regulatory bodies such as Oftel and the ITC.

The communications sector is principally the responsibility of the Department for Culture, Media and Sport. Regulation is achieved primarily by executive non-departmental bodies. Television broadcasting is regulated by the BBC’s board of governors, the Independent Television Commission, and by the Broadcasting Standards Commission. Various statutory advisory committees, and consumer interest committees assist these regulating bodies. Radio broadcasting is regulated by the Radio Authority, the Broadcasting Standards Commission and by the Radiocommunications Agency (an agency of the Department). Broadcast advertising is regulated by the Broadcasting Standards Commission. The press is self-regulated by the Press Complaints Commission, and print, mail and billboard advertising is self-regulated by the Advertising Standards Authority. The postal services, provided principally by Consignia (a public limited company with ownership resting with the crown), are regulated by the Postal Services Commission (PostComm). The consumer

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interest in the postal services sector is represented by Postwatch, a statutory independent consumer watchdog. Telecommunications are regulated by an industry regulator, the director general of Telecommunications, who runs the Office of Telecommunications (Oftel), a non-departmental public body, assisted by several statute-based advisory and consumer groups.



Office of Fair Trading and Department of Trade and Industry

Advertising Standards Authority

Department for Culture, Media and Sport

British Broadcasting Corporation (BBC)

Broadcasting Standards Commission

Department of Trade and Industry

Office of Telecommunications (Oftel)

Oftel’s Advisory Committees on Telecommunications


Radio Communications Agency Broadcasting Standards

Commission Department for Culture, Media and Sport

Independent Television Commission

Broadcasting Standards Commission


Postal Service Commission (PostComm)

Postwatch


Press Complaints Commission

5. Standards of service, quality and safety

There is public uncertainty and concern over many aspects of health and safety policy, particularly in the context of the ‘precautionary’ principle, which is now an important principle in areas such as climate change, environmental impacts, food policies, pharmaceutical and drug control and genetic modification.

5.1 Health The control of healthcare is something that has been devolved to Wales, Scotland and Northern Ireland. The UK Department of Health is aided by several non-departmental public bodies which exercise regulatory functions over medical devices, medicines, blood services, the NHS and fertilisation techniques. The Department of Health is also aided by many non-departmental public advisory bodies, which provide specialist advice to government. Health care ombudsmen also function in this area to provide a further avenue for patient complaints about NHS services.



Department of Health (UK)

Medical Devices Agency Medicines Control Agency Human Fertilisation and Embryology Authority Commission for Health Improvement National Blood Authority

The Welsh Assembly Health Service Ombudsman for Wales

The Scottish Parliament Health Service Ombudsman for Scotland

Parliament (UK) Health Service Ombudsman for England

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5.2 Food safety and standards The Food Standards Agency is the principal agency responsible for food safety and nutrition in the United Kingdom. The Food Standards Agency is a UK body, but has Scottish, Welsh and Northern Ireland Executives which are responsible for developing and implementing policies on food issues specific to the devolved regions. The Food Standards Agency is accountable to the UK Parliament through the Secretary of State for Health, and to the Scottish Parliament, the National Assembly for Wales and the Northern Ireland Assembly through their respective health ministers for the activities it undertakes within and for their geographical areas.



Department of Health (UK) National Assembly for Wales Scottish Executive Northern Ireland Executive

Food Standards Agency

Meat Hygiene Service (MHS)

Department for Environment, Food and Rural Affairs (DEFRA)

Veterinary Medicines Directorate (VMD) Pesticides Safety Directorate (PSD)

5.3 Planning and development control Matters of planning and building control are devolved to the Scottish, Welsh and Northern Ireland administrations. The responsibility for planning and development control is split between national and local government. This division of responsibilities varies between the different regions in the UK. The role of national government is, however, generally to provide a strategic planning vision and to develop national planning policy and guidance, while the responsibility for development control is delegated to local government authorities.



Department for Transport, Local Government and the Regions – Planning Directorate (England and Wales)

Local government The Planning Inspectorate

Scottish Executive Regional Authorities Local Government

Scottish Inquiry Reporters Unit

Department of the Environment for Northern Ireland

The Planning Service Local government

Planning Appeals Commission

6. Qualifications, training and professional standards

Transparency of ‘due process’ in the maintenance of standards, monitoring, discipline and enforcement by regulatory bodies is a growing requirement of self-regulation.

6. 1 Health Doctors in the UK are self-regulated by their professional body, the General Medical Council, which has statutory powers. Pharmacists are similarly regulated by the Royal

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Pharmaceutical Society of Great Britain. The professions of nursing, midwifery and health-visiting are regulated by non-departmental public bodies with statutory powers in each of the UK’s regions, and centrally by a UK central council. The regulation of the training of social work professionals in the UK is undertaken by statutory non-departmental public bodies in each of the UK’s countries, the Care Council for Wales, the Scottish Social Services Council, the Northern Ireland Social Services Council and the General Social Care Council in England.



Department of Health English National Board for Nursing, Midwifery and Health Visiting United Kingdom Central Council for Nursing, Midwifery and Health Visiting General Social Care Council

Department of Health and Social Services for Northern Ireland

National Board for Nursing, Midwifery and Health Visiting in Northern Ireland Northern Ireland Social Care Council

Welsh Assembly Welsh National Board for Nursing, Midwifery and Health Visiting Care Council for Wales

Secretary of State for Scotland Scottish Executive

National Board for Nursing, Midwifery and Health Visiting for Scotland Scottish Social Services Council

Department of Health General Medical Council Royal Pharmaceutical Society of Great Britain

6.2 Law The legal profession is self-regulated by professional bodies with statutory standing. The Law Society of England and Wales regulates Welsh and English Solicitors and the General Council of the Bar regulates English and Welsh barristers. The Law Society has established the Office for the Supervision of Solicitors as a separate internal body to deal with consumer complaints. The Law Society of Scotland regulates Scottish solicitors, and the Faculty of Advocates regulates Scottish Barristers (advocates). The Scottish Assembly has a Scottish Legal Services Ombudsman that investigates consumer complaints. In Northern Ireland, the Law Society of Northern Ireland regulates the solicitors’ profession, and the General Council of the Bar of Northern Ireland regulates standards and professional conduct of barristers.



Lord Chancellor’s Department Scottish Parliament Northern Ireland Assembly

Law Society of England & Wales Law Society of Scotland Law Society of Northern Ireland

Office for the Supervision of Solicitors Scottish Legal Services Ombudsman

Lord Chancellor’s Department Scottish Parliament Northern Ireland Assembly

General Council for the Bar Faculty of Advocates General Council of the Bar of Northern Ireland

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6.3 Accountancy The six accounting bodies in Great Britain and Ireland have the responsibility for professional standards and ethics, and the disciplinary procedures for members.



Department of Trade and Industry Institute of Chartered Accountants in England & Wales and CCAB bodies

Professional Standards Office

6.4 Architecture and planning The Royal Town Planning Institute (RTPA), the Landscape Institute (LI) and the Royal Institute of British Architects (RIBA) are all chartered professional bodies that regulate the way that their members operate through a mandatory code of professional conduct. The Architects Registration Board (ARB) is a statutory body established to protect consumers and safeguard the reputation of architects.



Royal Institute of British Architects

The Landscape Institute

Architects Registration Board

Royal Town Planning Institute

6.5 Education The Department for Education and Skills (DfES) has overall responsibility, but each part of the UK has its own arrangements with a greater or lesser autonomy. The key distinctions are between higher and further education and the schools sector, and between academic and vocational qualifications.



Department for Education & Skills (DfES) - Higher education

Higher Education Funding Council for England (HEFCE)

Scottish HEFC (SHEFC) Welsh HEFC (HEFCW)

The ‘Visitor’

Department of Education - Northern Ireland (DENI)

DENI

Quality Assurance Agency (QAA) (Peer review)

Department for Education & Skills (DfES) - Further education

Learning and Skills Council

Department for Education & Skills (DfES) – Schools

Qualifications and Curriculum Authority (QCA)

OFSTED General Teaching Council

Transport - Education and Training



Department for Transport, Local Government and the Regions (DTLR)

Driving Standards Agency

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2 THE REGULATORY FRAMEWORK IN MORE DETAIL Devolution and the framework for regulation The Scotland Act 1998, the Government of Wales Act 1998 and the Northern Ireland Act 1998 introduced schemes of devolution to Scotland, Wales and Northern Ireland. The effect of these Acts has been to devolve certain administrative and legislative functions to elected governments of these regions. This has implications for the institutional framework for regulation in the United Kingdom, including the responsibilities of regulatory institutions and the relationships between them. Figure 3 below outlines the framework of governance in the United Kingdom. Under devolution, the UK Parliament remains sovereign and continues to have legislative power over all matters (both reserved and devolved). In practice, however, with regard to Northern Ireland and Scotland, the UK Parliament exercises legislative power only in excepted areas or areas reserved to Westminster. The interests of Scotland, Wales and Northern Ireland are represented in the UK Parliament by the relevant Secretary of State. The powers and functions of the Secretaries of State for Scotland, Northern Ireland and Wales are determined by the nature of the devolution agreements in each of these regions.

Figure 3: The framework of governance in the United Kingdom

UK Parliament (Westminster)

Northern Ireland Office(Secretary of State for

Northern Ireland)

Scotland Office(Secretary of State for

Scotland)

Wales Office(Secretary of State for

Wales)

Northern Ireland Assembly

Northern Ireland Executive

Scottish Parliament

Scottish Executive

National Assembly for Wales

Assembly Cabinet

Res

erve

d m

atte

rsD

evol

ved

mat

ters

The range of functional areas devolved and the powers of the Scottish Parliament, the National Assembly for Wales and the Northern Ireland Assembly in relation to their devolved functions vary. The Scotland Act 1998 sets out the matters reserved to Westminster. These include the Constitution, foreign policy, defence and national security, financial and economic matters, employment, much of the regulation of energy and transport priorities, social security policy and administration, nuclear safety, regulation of broadcasting and film distribution, equality legislation and

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certain health matters (for example, abortion, genetics, surrogacy and medicines). All other matters are devolved to the Scottish Parliament. The Scottish Parliament has power to make primary and secondary legislation in all those functional areas not reserved to the UK Parliament (these include the areas listed in the table below). In addition, the Scottish Executive is responsible for the exercise of some administrative functions in areas where the ‘legislative competence’ remains with Westminster. An example of such executive devolution is the responsibility of the Scottish Executive in relation to civil nuclear emergency planning. By contrast, the Government of Wales Act 1998 lists the responsibilities devolved to the National Assembly of Wales (see list below). Unlike the Scottish Parliament, the Assembly cannot make primary legislation in relation to these devolved functions. It can, however, make secondary legislation in relation to devolved matters and does have specific power to restructure non-departmental public bodies operating in Wales (which may require it to amend laws laid down by the UK Parliament).

Matters devolved to Scotland and Wales

Scotland Wales Agriculture, forestry, fisheries and food Built heritage Courts Criminal and civil law (excluding offences created in statute law relating to reserved matters such as drugs and firearms) Criminal justice and the prosecution system Culture Economic development Education, training policy and lifelong learning Environment Financial assistance to industry Fire services Health and health services Housing Local government Natural heritage Police services Social work Sports and leisure Statistics, public registers and records Tourism Town and country planning Transport and roads (some aspects, eg Scottish road network, bus policy, ports and harbours)

Agriculture, forestry, fisheries and food Ancient monuments and historic buildings Culture Economic development Education and training Environment Health and health services Highways Housing Industry Local government Social services Sports and recreation Tourism Town and country planning Transport and roads Water and flood defence Welsh language

The Northern Ireland Act 1998 lists those matters that are excepted and those that are reserved to Westminster. These include matters such as policing, security policy, criminal justice, international relations, taxation, national insurance, regulation of financial services and the regulation of telecommunications and broadcasting (excepted and reserved matters include those listed in the table below). All matters not listed as either excepted or reserved are devolved to the Northern Ireland Assembly, which has full legislative and executive powers in relation to these matters. These transferred (devolved) functions reflect those matters that were the responsibility of Northern Ireland Departments prior to devolution and primarily focus on economic and social issues. The Northern Ireland Assembly cannot make legislative provisions in relation to excepted matters, but it can make provisions in relation to reserved matters with the consent of the Secretary of State for Northern

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Ireland, subject to Parliamentary veto. It is, however, not expected to make provisions in relation to these reserved matters, but rather to restrict its legislative competence to its principal domain of transferred matters.

Excepted and reserved matters in the Northern Ireland Act 1998

Excepted

Reserved

The Crown The UK Parliament and parliamentary elections International relations Defence Control of nuclear, biological and chemical weapons and other weapons of mass destruction Dignities and titles of honour Treason Nationality and immigration Taxes or duties National insurance contributions, pensions Elections and franchise in respect of the NI Assembly Registration of political parties Coinage, legal tender and bank notes The National Savings Bank National security Nuclear energy and nuclear installations Northern Ireland Constitution Regulation of sea fishing outside the Northern Ireland zoneProtection of Trade Interests Act

Granting functions in relation to Northern Ireland to any Minister Navigation, excluding harbours and inland waters Civil aviation, excluding aerodromes Foreshore, seabed and subsoil and their natural resources; sub-marine pipelines and cables Domicile Post office and regulation of postal services Disqualification for membership of the Assembly Criminal justice, prosecutions and prisons Maintenance of public order Policing and civil defence Firearms and explosives Judicial system Minimum wage Pension schemes Financial services and markets Anti-competitive practices regulation Telecommunications Xenotransplantation Surrogacy, embryology and genetics Consumer safety in relation to goods Functions and procedures for Civil Service Commissioners for Northern Ireland Import and export controls and trade The National Lottery

In practice, devolution in Scotland and Northern Ireland means that for devolved functional areas, the Scottish Parliament and the Northern Ireland Assembly, through the Scottish and Northern Ireland Executives respectively, are the ultimate accountable bodies. For reserved functions, where the Scottish Executive has certain administrative and executive responsibilities, the UK Parliament remains the accountable body, but is required to consult with the Scottish Executive. In Wales, the National Assembly of Wales shares accountability with the UK Parliament who retain legislative power over these devolved functions. It follows that the sponsoring, accountability and control of non-departmental public bodies is primarily dependent on the functional area in which the bodies operate. The relationship between non-departmental public bodies and the devolved administrations can be broadly described as follows (there are, however, exceptions): • Public bodies dealing with devolved matters and operating entirely in the

devolved region are sponsored by, accountable to and controlled by the relevant Scottish Minister, Northern Ireland Minister or Assembly Secretary. Examples of such bodies include local authorities and health boards.

• Great Britain or UK public bodies dealing with devolved matters, as well as

matters for which the UK government continues to be responsible – these bodies are accountable to and controlled by both the relevant UK Minister and the

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relevant Scottish Minister, Northern Ireland Minister or Assembly Secretary. The Food Standards Agency is an example of such an UK public body.

• Public bodies dealing with reserved matters operating in Scotland, Wales or

Northern Ireland are controlled by UK Ministers. An example of such a body is the Health and Safety Executive, operating in Great Britain. In certain instances, arrangements may be made for the executive devolution of certain functions in relation to these bodies. For example, Scottish Ministers may be required to be consulted about appointments to these bodies. Examples of such cases include the Equal Opportunities Commission, operating in England, Scotland and Wales (the responsibility for equal opportunities in Northern Ireland is transferred to the Northern Ireland Assembly), and the BBC, operating across the UK.

Due to the nature of devolution in Wales, as compared with Scotland and Northern Ireland, there are several examples of non-departmental public bodies that operate in England and Wales only, with equivalent bodies operating entirely in Scotland or in Northern Ireland. An example of such a body is the Environment Agency, with its sister agencies in Scotland and Northern Ireland, the Scottish Environment Protection Agency and the Environment and Heritage Service respectively. While the Environment Agency operates in both England and Wales, the activities of the Environment Agency in Wales are sponsored by the National Assembly for Wales and the Agency is accountable to the Assembly for these activities. As a result of the tradition of devolution in Northern Ireland and the scope of the matters transferred to the Northern Ireland Assembly, there are also several examples of non-departmental public bodies which operate in Great Britain only, with an equivalent body operating entirely in Northern Ireland. Examples of such bodies include the Health and Safety Executive for Northern Ireland, with its equivalent in Great Britain, the Health and Safety Executive, and the Equality Commission for Northern Ireland, with its sister agencies – the Equal Opportunities Commission, the Commission for Racial Equality and the Disability Rights Commission – operating on a Great Britain wide basis. The role of advisory bodies The traditional constitutional method of implementation of executive power, relying upon the creation of ministerial departments, has long been supplemented by the creation of specialised bodies, such as regulatory bodies. Obviously some of these regulatory bodies do fall within the traditional constitutional structure, as they are part of a ministerial department, and therefore are part of the Crown, and share in the recognised Crown privileges and immunities, with the elected Minister of the Crown being ultimately responsible to Parliament for the performance of the body. However, the expansion of regulation over all aspects of society means that there are now many specialised bodies which do not operate as part of a ministerial department. There is, however, no generally accepted constitutional basis for the creation and operation of these bodies. The nature and shape of these bodies will differ from body to body. These bodies can be created and given their power from a number of

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possible sources, and it is each individual bodies' source of power that will shape its organisation, structure and powers. The bodies may be created by statute (Oftel), by Royal Charter (the BBC), by contractual agreement (ASA) or by Ministerial initiative without any supporting documentation (the Commission for Health Improvement). However, these bodies can be broadly classified into two main groups: 1. Bodies which are independent of direct ministerial control, but which are still part

of the Crown, and whose staff are civil servants. (Note that the issues of whether a member of staff is a civil servant or not has become increasingly blurred in recent years). An example of such a body is the Health and Safety Executive. The Health and Safety Executive is independent of direct ministerial control, but is still part of the Crown, is staffed by civil servants, and shares Crown immunity.

2. Bodies which are independent of direct ministerial control and which are not part

of the Crown. Staff of such a body are not civil servants. An example of such a body is the Office of the Rail Regulator.

Another institutional form which inter-reacts with these bodies, and which also exists to assist government departments, is the advisory body. These bodies provide advice and assistance, and are either made up of experts in a particular area, or by selected ‘lay people’ who presumably represent the man on the Clapham omnibus, or ‘electoral opinion. Advisory bodies can take many different forms, and there is no constitutional guidance as to their nature and form. Advisory bodies can be temporary (existing only so long as the advice is required) or permanent. They may be formed by statute, by regulation, by agreement or merely upon the request of a minister or regulatory or specialised body which requires the advice. The nature of an advisory body therefore differs according to the source of its power. The extent of the power is individual for each advisory body, and is dependent upon the terms of its creating document. For our purposes, three major groups can be found. 1. Some statutes (or other source of power) make it mandatory for an advisory body

to be consulted before a particular decision can be made, and for the advice to be taken into consideration when the final decision is made. An example is the Disabled Persons Transport Advisory Committee. This Committee is a statutory committee, and gains its powers under the Transport Act 1985. Section 125 of the Act provides that the Secretary of State for Transport, Local Government and the Regions must consult with the Committee before he issues certain guidelines about making road vehicles more accessible to disabled persons.

2. Some statutes (or other source of power) allow the advisory body to provide

advice whenever it is felt to be necessary, as well as when requested by the body they advise. An example is the Advisory Committee on Telecommunications for Disabled and Elderly People, a committee set up under the Telecommunications Act 1984 to provide advice to the director general of Oftel. Section 54 of the Act states that the Committee is required to advise the director general on any matter concerning disabled and elderly people in respect of which the director general’s functions are excisable. The Committee must provide advice when requested to do so by the director general, but the Committee can also provide advice to the

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director general on its own initiative about matters which the Committee believes advice should be given.

3. Some advisory bodies only provide information when they are directly requested

to do so. An example is the Committee on the Medical Effects of Air Pollutants, a committee without a statutory basis that is sponsored by the Department of Health. The Committee’s function is to advise the government, at the request of the Department of Health, on the affects of air pollutants, and on whether further research needs to be performed into the area.

The manner in which each advisory body is constituted also differs for each individual body. The majority of advisory committees have their members appointed by a minister. Some advisory committee members are appointed by other bodies, or are elected by some restricted membership groups, but this is relatively rare. As befits the array of types of advisory bodies, there is no one central method for reviewing the activities of these bodies. It is worth noting that the majority of the members of advisory committees are not elected, and therefore the nature of the democratic process can play no role in controlling the activities of the committee. It can be difficult for members of the public to obtain information about the discussions held by an advisory committee, and such access depends upon the actual legal status of each committee. National 2.1 General regulation and ‘oversight’ 2.1.1 National structures for review and representation The government formulates regulatory policy and gives effect to that by legislation passed by Parliament. The government is responsible for setting the framework for regulation - which links regulatory institutions and their respective roles and responsibilities together. The framework of regulation, and its constituent parts, are reviewed from time to time as part of the development of policy and the measurement of regulatory effectiveness. Key elements of this are carried out by bodies such as: • the lead government departments for each regulated sector (often referred to as

‘sponsoring’ departments) and central departments such as the Cabinet Office and HM Treasury;

• Select Committees of the House of Commons and House of Lords (both

departmental and functional); • Advocate bodies, such as the National Consumer Council.

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2.1.2 National structures for ‘social inclusion’ Matters relating to equal opportunities are the remit of the UK Parliament. The implementation of equal opportunities legislation in Great Britain falls primarily to three non-governmental bodies – the Equal Opportunities Commission (EOC), the Commission for Racial Equality (CRE) and the Disability Rights Commission (DRC). In Northern Ireland, the implementation of equal opportunities legislation is the responsibility of the Equality Commission for Northern Ireland (ECNI). The EOC is funded by the Department for Education and Skills (DfES) and is responsible for implementing and reviewing the Sex Discrimination Act 1975 (as amended) and the Equal Pay Act 1975 (as amended). The EOC has a role in mainstreaming equal opportunities policy and providing legal advice and assistance in its functional area. In certain circumstances it may represent individuals in the EAT or court. The EOC can also take legal actions against advertisers who discriminate. While responsibility for the laws relating to equality of opportunity has been reserved to the UK Parliament, the Scottish Parliament does have responsibility for encouraging equal opportunities and securing observance of the requirements of the law in Scotland, and for ensuring that Scottish public authorities do not discriminate unlawfully. In Wales, the National Assembly has taken on similar responsibilities. In response to devolution, the EOC has established offices in Scotland and Wales. EOC Scotland and EOC Wales are responsible for providing advice and guidance on the implementation of equal opportunities legislation to the Scottish Parliament and Scottish Office and the National Assembly for Wales and the Wales Office respectively. The CRE is sponsored by the Home Office. Its scope covers the prevention of racial discrimination and the promotion of racial equality in England, Scotland and Wales (through the Race Relations Act 1976). The CRE provides legal advice and assistance to people who believe they have been discriminated against, but it does not rule on whether discrimination has occurred or not (this is the responsibility of an employment tribunal eg the Employment Appeal Tribunal (EAT) or court). The CRE also has the power to bring proceedings against companies and organisations that have published discriminatory advertisements or have pressurised or given instructions to racially discriminate. The CRE also plays a role in educating and informing the public and influencing policy and practice in institutions. The DRC is funded by the DfES and is responsible for ensuring compliance with the Disability Discrimination Act 1995 and aspects of the Human Rights Act 1998 that deal with discrimination against disabled people. The functions of the DRC include providing advice to individuals on the rights of disabled people, promoting equalisation of opportunities for disabled people with those of non-disabled people, promoting good practice within business and public sectors, advising on the operation of the Disability Discrimination Act, and promoting conciliation in cases of dispute. All three equal opportunities bodies operating in Great Britain have similar powers of investigation. They can undertake named party or general investigations in relation to their specific functional areas. Named party investigations are usually undertaken where there is evidence of possible discrimination. Companies found to be guilty of discrimination may be issued with a non-discrimination notice that requires them to

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make changes to their policies and practices and allows monitoring of compliance with the requirements. General investigations are undertaken to find out what is happening in a particular sector of society or in relation to particular kinds of activity. The Equality Commission for Northern Ireland (ECNI) is an independent public body established under the Northern Ireland Act 1998, and incorporating the previously separate equality bodies in Northern Ireland (that is, the CRE (NI), the Fair Employment Commission, the EOC (NI) and the Disability Council). The ECNI is responsible to the Office of the First Minister and the Deputy First Minister of the Northern Ireland Assembly. The duties of the ECNI include working toward the elimination of discrimination, promoting equality and affirmative action, promoting good relations between persons of different racial groups, overseeing the effectiveness of the statutory duty of public authorities and keeping under review the relevant legislation. The ECNI has a range of powers derived from the Equal Pay Act (NI) 1970 (as amended) the Sex Discrimination (NI) Order 1976 (as amended), the Disability Discrimination Act 1995, the Fair Employment and Treatment (NI) Order 1998, the Race Relations (NI) Order 1997, and the Northern Ireland Act 1998. These powers and responsibilities include complainant support, investigation and enforcement, education and promotion, advice and information and research. 2.1.3 - National structures for environmental standards and safety Matters relating to the environment are devolved to the governments of Scotland, Wales and Northern Ireland. The structure of the non-departmental public bodies responsible for environmental protection in the different regions of the United Kingdom and their relationships with the central and devolved governments is dependent on the nature of devolution in the different regions. There are three environmental protection agencies in the United Kingdom – the Environment Agency, the Scottish Environment Protection Agency (SEPA) and the Environment and Heritage Service (EHS). The Environment Agency operates in England and Wales and is responsible for environmental management and monitoring, regulation of large industrial polluters and waste disposal (including radioactive waste), and advising government on environmental objectives and policies. It’s remit does not include all environmental regulation and management as local authorities are responsible for environmental health, land-use planning, and regulating pollution from household, commercial and smaller industry premises. The Environment Agency is sponsored by the Department for Environment, Food and Rural Affairs (DEFRA) in England and is responsible to the UK Parliament through the Secretary of State for Environment, Food and Rural Affairs. The National Assembly for Wales sponsors the Agency’s activities in Wales and directs the allocation of these grant resources among the Agency’s policy areas. The board of the Environment Agency is appointed by UK Ministers, with the National Assembly for Wales making a representative appointment. SEPA is responsible for environmental protection and improvement in Scotland and is accountable to the Scottish Ministers and, through them, to the Scottish Parliament. The board of SEPA, including SEPA’s Chief Executive, is appointed by the Scottish Ministers. SEPA is required to implement the Secretary of State for Scotland’s guidance on sustainable development and have regard to other such guidance issued

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by the Scottish Ministers. SEPA is funded partly by the Scottish Executive and partly from the charges it levies for licences to allow discharges. SEPA is responsible for enforcing environmental laws and regulations, monitoring and measuring the condition of the environment, implementing EC Directives on behalf of the UK government, and influencing, educating, advising and informing on environmental policy matters. The EHS is an executive agency of the Department of Environment for Northern Ireland. It takes the lead for implementing environmental policy in Northern Ireland within the framework of Northern Ireland legislation and EC Directives. It’s primary responsibilities are to protect and conserve Northern Ireland’s natural heritage and built environment, to control and regulate pollution and to promote wider appreciation of environmental policy. 2.1.4 - National structures for health standards and safety The regulation of health and safety matters has not been devolved and remains the remit of the UK Ministers and the Parliament in Westminster. These health and safety functions are delegated by the UK Ministers to the Health and Safety Commission (HSC) and the Health and Safety Executive (HSE) which operate in Great Britain. The Health and Safety Executive for Northern Ireland (HSENI) is the equivalent body operating in Northern Ireland. The HSC and HSE are statutory non-departmental public bodies established under the Health and Safety at Work Act 1974. The HSC is sponsored by the Department for Transport, Local Government and the Regions (DTLR) and is responsible to the Secretary of State for Transport, Local Government and the Regions and other Secretaries of State for the administration of the Health and Safety at Work Act 1974. The principal aim of the HSC is to protect the health, safety and welfare of people at work, and safeguard members of public who may be exposed to risks from the way that work is carried out. The HSE is the executive arm of the HSC and is responsible for enforcement and ensuring that health and safety legislation is complied with in Great Britain. The HSE sets and enforces safety standards for the processing, storage and transportation of hazardous chemicals and explosives (undertaken by the Chemical and Hazardous Installations Division of the Hazardous Installations Directorate); develops legislation in relation to occupational health (through the Health Directorate); sets the safety standards for use on nuclear sites in the UK (through the Nuclear Safety Directorate); and secures controls of risks to health and safety of railway employees and passengers through inspection against safety standards and enforcement (through the HM Railway Inspectorate). In addition to its enforcement functions, the HSE also undertakes research and formulates advice on behalf of the HSC. Local authorities also play a role in enforcing health and safety law in those workplaces dealing with distribution, retail, office, leisure, and catering premises. The HSE works together with local authorities to enforce health and safety law through the Health and Safety Executive/Local Authority Enforcement Liaison Committee (HELA).

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While the HSC and the HSE are not accountable to Scottish Ministers or Welsh Assembly Secretaries on health and safety matters, the breadth of the Health and Safety at Work Act 1974 means that there are a number of areas of common and closely related interests between the HSE and the devolved administrations of Scotland and Wales. These include the areas of building control, dangerous substances, educational facilities and adventure activity centres, fire safety, food safety, genetically modified organisms, local authorities, planning, pesticides, places of entertainment, sports facilities and sports events, ports, harbours and inland waterways, protection of the environment, public health/occupational health/health promotion, nuclear safety, rail safety, safety of clinical and medical procedures, smoking, and zoos. A degree of co-operation is, therefore, required between the HSC/E and the devolved administrations. In Scotland, the framework for the relationship between the HSE and the Scottish Executive in implementing health and safety law in their respective regions is formalised in a concordat entered into by the HSE with the Scottish Executive. In contrast, in Wales there is no formal relationship, but officials are routinely invited to input into major new policy initiatives and can acquire operational information of direct interest to the National Assembly on request. In Northern Ireland, the HSENI is responsible for all aspects of health and safety at work, including the provision of advice and information to government, the enforcement of health and safety at work law and the submission of proposed new or revised regulation. The HSENI is sponsored by the Department of Enterprise, Trade and Investment. 2.2 Appeals and review bodies 2.2.1 Appeals and audit review The regulatory process and its outcomes require checks and balances. Regulatory decisions, in general, are subject to the right of appeal. The process may include the courts, tribunals and arbitration, subject to various conditions on which cases can be brought. Inspection and report is another form of monitoring and control. One particular check is independent audit. The National Audit Office, an office of Parliament, which reports to the Public Accounts Committee, carries out both ‘financial’ and ‘value for money’ audits on government departments and regulatory non-departmental public bodies in order to confirm that monies have been applied as Parliament intended (voted) and to examine the economy, efficiency and effectiveness of the implementation of regulatory policy. A similar role is carried out by the Audit Commission with respect to local authorities and the constituent parts of the National Health Service. It should also be noted that the External Auditors of regulated entities may have to cover compliance with regulatory matters in their audit report. Judicial review The High Court not only has the jurisdiction to review decisions of inferior courts and tribunals, but also to review the decisions of people or bodies where their actions involve the performance of public acts and duties. There can not be judicial review of the legislative process (i.e. the deacons of parliament and legislation), but decisions made in the administrative sphere of government are open to review. Judicial review

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is today primarily exercised by Order 53 of the Rules of the Supreme Court (confirmed by section 31 of the Supreme Court Act 1981). Although the boundaries of what decisions are susceptible to judicial review are continually changing, it can be broadly stated that when a decision maker exercises powers which affect the rights of citizens (a public act), and the power that is exercised is expected by law to be exercised in accordance with the rules of natural justice, then the decision maker is open to judicial review. Traditionally when considering whether a particular decision was a public act, and therefore open to judicial review, the source of the decision maker’s power was examined, to ascertain if the power came from statute, or prerogative. Such a source would tend to the conclusion that the decision maker was performing a public act. In the case R v Panel on Take-Overs and Mergers ex p. Datafin [1987] QB 815, the High Court considerably expanded the group of bodies whose decisions are open to judicial review, by examining the nature of the power exercised by the decision making body, instead of merely examining the source of the power. Although the Panel was not exercising statutory powers, the Court held that it was still operating in the public domain, and that “no one could have been the least surprised if the Panel had been instituted and operated under the direct authority of statute law”. Therefore, as the Panel’s operations were in the public arena, and could conceivably have been open to judicial review, the decisions of the Panel were judicially reviewable. This decision has been followed in other instances, and the High Court has, for example, permitted the review of a decision of the Advertising Standards Authority, an organisation without a statuary basis, which operates by mutual agreement within the advertising industry to regulate the advertising industry. This was done on the grounds that if the Authority did not exist, it would be likely that a statutorily created body would regulate the area, and that the Authority made decisions which affected the public, in a public arena. Judicial review does not allow the High Court to review the merits of a decision, but rather is a review of the merits of the manner in which the decision was made. Once it is determined whether the decision maker is susceptible to judicial review, an application for review may be made to the High Court. There are time frames which restrict the bringing of an application, and the applicant must have sufficient standing to bring the application. The applicant must also receive leave to apply for judicial review before the review can be commenced. The main grounds for judicial review are : • that the decision maker acted outside the scope of their powers; • that the decision maker did not follow the procedures which they were obliged to

follow; • that the decision maker has breached natural justice, or acted unfairly; • that the decision maker has acted unreasonably; • or that the decision maker has made an error of fact or of law. If the application for judicial review is successfully made out, the decision of the High Court will not supplant the decision maker’s initial decision (as would happen in an appeal). Instead the Court will tend to make one or more orders: such as restraining the decision maker from doing something, ordering them to do something, setting

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aside the original decision, or ordering the decision maker to pay damages to the applicant. Appeal courts There are many different appeal courts in the United Kingdom, and the determination of which court will hear an appeal is determined by statute, regulations, rules of court, and will differ according to the nature of the initial organisation appealed against. Some organisations are governed by statutes which dictate which court will hear appeals against their decisions. Appeal courts operate on two tiers, firstly an appeal court can hear an appeal concerning a decision made by a body, or secondly, an appeal court can hear an appeal from a decision made by a lower court or judicial body. An appeal may be pursued up through a chain of appeal courts, until the highest permissible appeal court has heard the appeal. The ‘highest court’ will depend upon the circumstances of each case, and each type of appeal is limited to a particular court. Significant appeal courts include the Court of Appeal, the High Court and the House of Lords. In the regulatory sphere, the Competition Commission also plays a significant role as an appeals body against (for example) decisions made by the independent regulator concerning the operating licences of regulatory players. Tribunals There is no accepted definition of a tribunal, and it can be difficult in practice to distinguish a tribunal from a court. Tribunals are not even necessarily christened as Tribunals. Each tribunal will have individual characteristics, and there are no accepted features common to all tribunals. The nature of a particular tribunal will depend upon the source of its power. Tribunals tend to be of a very specific, specialised nature, and are created to resolve disputes between individuals and government bodies or decision makers. Tribunals need not be composed of judges or even of people who are legally trained, but they always consist of a panel of members, meaning that their final decision will be made by more than one person. The decision of a tribunal will be binding, although it may be appealed (or be subject to judicial review). Some tribunals also do not exclusively operate judicial functions, and may administer funds or grant licenses. A tribunal may operate to make primary decisions itself, or it may operate as an appeals body, reviewing a decision already made. The process within a tribunal does not have to follow established procedures, and parties before a hearing do not have be represented. Some tribunals are required by statute to follow certain procedures, but most are not. The threat of judicial review means that tribunals tend to follow reasonable and fair procedures. Tribunals may have a statutory basis, or may be non-statutory. The operation of a tribunal may be open to judicial review, and its decisions may be open to appeal. This will depend upon the nature of the tribunal. The Council on Tribunals (operating under the Tribunals and Inquiries Act 1971) oversees the activities of certain specified tribunals, which are listed in the Council’s annual report. There are however some tribunals who are not supervised by the Council. The Tribunals and Inquiries Act 1992 operates to provide some uniform control over the operation of tribunals. The Act requires all tribunals, if requested before or when a decision is given, to provide

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reasons for the decision. The Act also sets out conditions regarding the appointment and removal of the members of certain tribunals, and establishes that appeals from certain tribunals on points of law can be made to the High Court. Inquiries There are many different types of inquiries, and the government may of course initiate any form of inquiry it wishes. Inquiries may serve a myriad of purposes. Inquiries tend to be chaired by a central figure who hears witness reports, leads an investigation and eventually publish findings and possible recommendations. It is certainly clearly established that government need not implement any recommendations made as a result of an inquiry, regardless of the nature of the inquiry. Inquiries do however tend to take one of several established forms. 1. Statutory inquiries which are held at the initiative of a minister who has a statutory

duty concerning the area of the inquiry. Statutory inquiries are governed by the Tribunals and Inquiries Act 1992, and the Lord Chancellor may, after consulting the Tribunal on Inquiries, make rules regulating the procedures at public inquiries. Rules have been made concerning many types of inquiries, such as planning inquiries.

2. Statutory discretionary inquiries, which are also initiated by a minister and are

undertaken pursuant to a statutory instrument which designates the purpose of the inquiry but do not arise from a statutory duty of the minister. These inquiries are similarly governed by the Tribunals and Inquiries Act 1992.

3. Public Inquiries which are set up without a statutory basis. The terms of reference

of such an inquiry will govern its extent and powers 4. Royal Commissions. These tend to be set up to investigate matters of general

concern. Members of the inquiry are appointed by Royal Warrant. They report to the Crown. An example is the recent Royal Commission on the reform of the House of Lords.

5. Tribunals of Inquiry. These are quite rare, and are regulated by the provisions of

the Tribunals of Inquiry (Evidence) Act 1921. Such inquiries deal with matters of urgent public importance, and are instituted when both Houses of Parliament resolve that such an inquiry should be set up. The tribunal is appointed by a Secretary of State or by Her Majesty. Such a tribunal will operate under an instrument of appointment, which may confer upon the tribunal all of the powers of the High Court. A tribunal of inquiry operates in an inquisitorial fashion. Witnesses must attend before the tribunal and answer all lawful questions, and if they refuse to do so they may be referred to the High Court and be punished for contempt of court. The chairman of a tribunal of inquiry is normally a senior judge. An example of a tribunal of inquiry is the Bloody Sunday inquiry regarding the shootings in Londonderry in 1972.

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2.3 Cross-sectoral market regulation 2.3.1 Financial reporting and accountability The regulatory requirements, and the bodies responsible for setting financial reporting standards, have developed dramatically since the 1970s in two phases. Prior to 1970, the requirements, apart from those contained in the Companies Act, were all set by the accounting profession. Loss of investor confidence due to a number of notable corporate scandals, collapses and frauds meant that new, more representative, arrangements had to be established. The Accounting Standards Committee (ASC) was established in 1970, overseen by the Consultative Committee of Accountancy Bodies (CCAB). Entry into the European Union, Commission Directives on company law, loss of reputation for the ASC over the accounting for inflation debate (SSAP 16 Current Cost Accounting) and further corporate scandals meant that by 1990 government was persuaded (following the Dearing Report) that a fully publicly representative and accountable body for regulating financial reporting should be established. The Financial Reporting Council (FRC) and its operating arms, the Accounting Standards Board (which sets Financial reporting Standards - FRSs) and the Financial Reporting Review Panel (to enforce compliance) were established in 1990. The Stock Exchange has played a major regulatory role through its listing requirements on companies which want their shares traded and has been the vehicle for imposition of reporting requirements on corporate governance controls generally - which were codified in the Code of Practice on Corporate Governance developed by the Hampel Committee following the earlier Cadbury and Greenbury (executive remuneration) reports. This role has now been transferred to the FSA, which is the official UK listing body and sets rules and regulations with regard to these functions. 2.3.2 Cross-sectoral competition Competition policy is the responsibility of the Department of Trade and Industry and the Office of Fair Trading. The Competition Commission (previously the Monopolies and Mergers Commission) carries out inquiries on matters referred to by the Secretary of State, the Office of Fair Trading and other eligible regulatory bodies. The Competition Act 1998 brought the law into line with European Union practice, with prohibitions on anti-competitive agreements and the abuse of a dominant position, with effect from March 2000. The Stock Exchange plays a role in supervising takeovers through its Takeover Panel.

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Sectoral 2.4 Sectoral (economic) regulation Sector regulation 2.4.1 - Transport - Rail

The Office of the Rail Regulator

The Office of the Rail Regulator is a non-departmental public body with statutory functions under the Railways Act 1993 and the Transport Act 2000. It is headed by the Rail Regulator, who is placed under various statutory duties and is involved in economic regulation of the rail industry. The Rail regulator is appointed by the Secretary of State for Trade and Industry. The Rail regulator licences operators of rail assets, and monitors and enforces compliance with these licences.

The Strategic Rail Authority

The Strategic Rail Authority (SRA) is a non-departmental public body which has statutory functions under the Transport Act 2000. It is a regulatory body which is headed by a Chairman, currently Richard Bowker, who is appointed by the Secretary of State for Trade and Industry. The SRA’s key role is to promote and develop the rail network and encourage integration. As well as providing overall strategic direction for Britain’s railways, the SRA has responsibility for consumer protection, administering freight grants and steering forward investment projects aimed at opening up bottlenecks and expanding network capacity. It is also responsible for letting and managing passenger rail franchises.

Rail Passengers Council

The Rail Passengers Council (RPC) is a statutory body which is funded by and assists the SRA (in its previous incarnation as the Central Consultative Rail Users’ Committee, the RPC was associated with, and reported to the Office of the Rail Regulator). The RPC operates to investigate passenger complaints, and to attempt to resolve any complaints. The RPC also operates in an advisory role, representing passenger’s interests. The Chairman of the RPC is appointed by the Secretary of State for Trade and Industry.

- Bus

Traffic Commissioners

Traffic Commissioners are appointed by the Secretary of State for Transport, Local Government and the Regions. They exercise statutory functions, and regulate bus operators in the UK. They have regulatory functions and licence bus operators, and coach operators. The Commissioners monitor licence compliance, and have the power to impose sanctions for license breaches. They also oversee the registration

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process which governs all new bus services and changes to existing services. The Commissioners also take account of passenger complaints.

National Federation of Bus Users

The National Federation of Bus User’s is a voluntary, non-profit organisation without any statutory basis. It is however, recognised by government. The Federation is a member of the National Consumer Congress. The Federation represents user’s interests, and campaigns on behalf of its members to improve the service accorded to passengers. The Federation will also investigate complaints made by passengers.

Confederation of Passenger Transport

This is a voluntary, non-statutory organisation which acts as the trade association representing UK bus, coach, light rail and metro services. The Confederation is recognised by government. The Confederation has recently established the Bus Appeals Body which will investigate complaints made by passengers, and which will (if necessary) following an investigation, make recommendations to bus operators or Traffic Commissioners.

- Air

Department for Transport, Local Government and the Regions

This Department is a multi-ministerial department which is headed by the Secretary of State for Transport, Local Government and the Regions. The DTLR sponsors many non-departmental public bodies, and also has several executive agencies.

Civil Aviation Authority

The CAA has responsibilities for air safety, economic regulation of the industry and for consumer protection. The CAA is sponsored by the Department for Transport, Local Government and the Regions, and is the authority in control of the nationalised airline industry. It exercises statutory functions, and is a non-departmental public body. The CAA ensures air safety by licensing airlines, enforcing the license conditions, and by ensuring that airlines comply with relevant EU and UK legislation. The CAA has a safety regulation group which sets safety standards and ensures that these standards are achieved. The CAA is headed by a Board of Directors. The CAA also advises the government on relevant issues, conducts research and collects statistics, and represents consumer interests.

Air Transport User’s Council

The Air Transport Users’ Council is a council funded by the CAA. Its chairman and members are appointed by the CAA. The Council functions to advise the CAA, to assist it with resolving passenger complaints. The Council also responds to individual passenger complaints, and will investigate complaints on behalf of passengers.

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- Road

Driver and Vehicle Licensing Agency

The Driver and Vehicle Licensing Agency (DVLA) is an executive agency of the Department for Transport, Local Government and the Regions. The DVLA is responsible for licensing drivers in Great Britain, the registration and licensing of vehicles and for the collection of vehicle excise duty. The DVLA also maintains detailed records on licence holders.

Vehicle Inspectorate

The Vehicle Inspectorate is an executive agency of the DTLR. The Inspectorate operates to ensure that motor vehicles are maintained to the minimum standards laid down by law. The inspectorate supervises the MOT scheme, carries out spot checks on vehicles and investigates accidents.

Automobile Association/ Royal Automobile Club

These are both voluntary membership organisations which provides many services for their members. They also lobby on behalf of drivers, and may ‘champion’ certain issues.

2.4.2 - Energy The regulation of the electricity and gas sectors is reserved to the UK Parliament. The framework for the regulation of the electricity and gas sectors in Great Britain is set out in the Electricity Act 1989 (as amended) and the Gas Act 1986 (as amended). The Utilities Act 2000 substantially transformed the framework of energy utility regulation, resulting in changes to primary duties of the regulator, changes to customer representation and institutional changes. The energy industry is regulated primarily by the Gas and Electricity Markets Authority (GEMA), a body corporate comprised of Chair (appointed by the Secretary of State for Trade and Industry) and ten other members. GEMA is supported by a non-ministerial government department, the Office of Gas and Electricity Markets (Ofgem). Ofgem, headed by the Authority, has a primary duty to protect the interests of consumers, wherever appropriate by promoting effective competition. As the authority responsible for economic regulation of the energy sector, GEMA, through Ofgem, is responsible for licensing, monitoring and general supervision and enforcement of the gas and electricity regimes. Consumers are represented by the statutory gas and energy consumers council, energywatch, which was established in November 2000, replacing the former Gas Consumers Council and the Electricity Consumer Committees. Energywatch is an non-departmental public body, independent of both the regulatory authority and industry. Regulation of the electricity and gas sectors in Northern Ireland is undertaken by the director general of Gas for Northern Ireland (DGGNI) and the director general of Electricity Supply for Northern Ireland (DGESNI), supported by the Office for the

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Regulation of Electricity and Gas (OFREG). The Department of Enterprise, Trade and Investment is responsible for appointing the DGGNI under the Gas (Northern Ireland) Order 1996 and the DGESNI under the Electricity (Northern Ireland) Order 1992. The posts of the DGGNI and the DGESNI are fulfilled by a single person, presently Douglas McIldoon. Consumer representation on gas and electricity matters in Northern Ireland falls on the General Consumer Council for Northern Ireland. The General Consumer Council for Northern Ireland is responsible for dealing with customer complaints, making representations to and consulting with licence holders, keeping matters of interest to consumers of gas or electricity under review, advising the director general on any matter affecting the interests of gas or electricity consumers, and referring any matter which appears to be an enforcement matter to the director general. 2.4.3 - Water Water services are provided geographically, based on a natural hydrological boundaries and catchment areas. There is, therefore, operational natural monopoly based on regions and this, combined with the constitutional structure of the UK, has resulted in a more complex regulatory framework. The key distinction is between: England and Wales: Water supply and sewerage providers are private sector

companies regulated by the Office of Water Service (Ofwat). Consumer representation is based on the ten water regions, and government responsibilities are split between England and Wales (the boundaries of which do not match the company boundaries reflecting physical geography). The Environment Agency and the Drinking Water Inspectorate are the quality regulators.

Scotland: Water services were recently transferred from local government and vested

in three regional boards. The regional boards are publicly owned but have access to private sector funding through the Private Finance Initiative (PFI). The regulatory regime has similar objectives to the English and Welsh system, overseen by the Water Industry Commissioner for Scotland, and the Scottish Environmental Protection Agency (SEPA).

Northern Ireland: The regulatory position until recently reflected direct rule, and

responsibility was vested in the Department of the Environment (NI). The Northern Ireland Water Agency was established as part of the ‘next steps’ reform of the machinery of government with a view to creating a similar ‘independence’ on regulatory operation as in Great Britain.

2.4.4 - Financial Services The HM Treasury is responsible for strategic oversight of the regulation of financial services with the aim of securing an efficient market in financial services and banking. The actual regulation and supervision of the financial services market is undertaken by the Financial Services Authority (FSA). The FSA is an independent,

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non-governmental body, which is authorised by and reports directly to the Treasury. The FSA assumed its full powers and responsibilities under the Financial Services and Markets Act 2000 on 1 December 2001, becoming the single statutory regulator responsible for regulating deposit taking, insurance and investment business. The FSA is also responsible for promoting public understanding of the financial system and reducing financial crime. The FSA is also the UK competent authority for the official listing of securities. With the FSA replacing a range of different financial regulators and supervisors as overseers of different types of financial business (including the self-regulating organisations and the supervisory and registry bodies), an end is marked to the self-regulatory approach to financial regulation. The Financial Services and Markets Act also created a single Ombudsman scheme (the Financial Ombudsman Service) to handle financial services-related complaints. The Financial Ombudsman Service operates independently of the FSA, but remains accountable to the FSA in certain significant areas. The Financial Services Tribunal provides for a system of appeal. It is responsible for considering applications by firms or individuals to whom the FSA issued notice that it intended to refuse, withdraw or suspend authorisation, issued notice of disqualification or a public statement about misconduct; or where the FSA has prohibited an authorised person from carrying an investment business. The establishment of the FSA as the single regulatory authority has been met with some criticism. It has been argued, that as legislator, investigator, prosecutor, judge and jury, the FSA is too powerful. 2.4.5 - Communications The communications sector is currently under review. The Communications white paper (‘A new future for communications’), issued jointly by the Department of Trade and Industry (DTI) and the Department of Culture, Medial and Sport (DCMS) on 12 December 2000, proposes to establish a new regulator, the Office of Communications, to regulate across the communications sector (thereby replacing the existing individual regulators with an overarching regulatory body). To prepare for the implementation of the proposed new regulatory framework in the communications sector, the Office of Communications Bill, which aims to establish the new Office of Communications to set in motion the proposed regulatory arrangements, was brought before Parliament in 2001. The Communications white paper also proposes to establish a new institutional framework for consumer representation in the communications sector – including an independently appointed advisory consumer panel and an industry-funded ombudsman. The text which follows describes the current regulatory arrangements in the communications sector. The Advertising Standards Authority The Advertising Standards Authority (the ASA) is the self-regulating body of the advertising industry, and is concerned only with non-broadcast advertising, such as print, billboards, and advertising sent by mail. It has no statutory powers. The

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advertising industry has formed a self-regulating body called the Committee of Advertising Practice, which created and updates the British Codes of Advertising and Sales Promotions. The advertising industry then gets the ASA to administer and enforce these codes. The operations of the ASA are funded by a levy on display advertising and direct mail expenditure. The ASA is independent of the industry. The ASA has no statutory powers to require compliance with the codes, but the ASA can operate a range of deterrents, and the Control of Misleading Advertisements Regulations 1988 reinforced the ASA’s role, and allowed the ASA to refer persistent offenders to the Office of Fair Trading, who may choose to pursue sanctions through the courts. The decisions of the ASA are susceptible to judicial review. The Office of Fair Trading and the Department of Trade and Industry are both concerned with advertising standards. The ASA is not connected with government, but there is some inter-reaction between the entities. The British Broadcasting Commission The BBC is a non-departmental public body, and is an independent corporation which operates under a Royal Charter. This Charter gives the BBC the right to operate, and sets out its powers and its public service obligations. The BBC produces and transmits television and radio programmes, and operates a news gathering and transmitting service. The BBC is funded primarily by licence fees paid by television viewers. These fees are levied under the authority of the Royal Charter. The BBC’s operation is overseen by the Board of Governors of the BBC, (12 members) who are appointed by the Queen in council. The Governors are responsible for ensuring that BBC management fulfills the BBC charter. The Governors appoint the director general of the BBC and most of the senior management executives of the BBC. The BBC has an internal complaints unit, which receives complaints from viewers. Consumers may also complain to the Broadcasting Standards Commission about material broadcast on the BBC. The Broadcasting Standards Commission The Broadcasting Standards Commission (BSC) is an independent statutory body for all UK broadcasting. It gains its powers from the Broadcasting Act 1996. It is a non-departmental public body which develops and publishes codes of guidance, and which investigates any complaints made about breaches of the code. It regulates all broadcasts on radio and television, including the BBC. It not only regulates the programmes, but also the advertising which is broadcast. The BSC is accountable to Parliament, and must annually publish a report of its work. The Department for Culture, Media and Sport is responsible for the Broadcasting Standards Commission. The Secretary of State for Culture, Media and Sport appoints the Commissioners to the Broadcasting Standards Commission.

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The Office of Telecommunications The Telecommunications Act 1984 established the Office of Telecommunications (Oftel) and sets out its powers and method of functioning. Oftel operates as a non-ministerial government department. It is headed by a director general, David Edmonds, who is appointed by the Secretary of State for Trade and Industry. The Department of Trade and Industry has the responsibility for Oftel.

Oftel issues licences to telecommunications operators (such as BT, Mercury, cable companies and mobile network operators), and has powers to monitor and enforce the adherence to licence conditions. Oftel also has powers to modify these licences, if necessary, and can do this by reaching an agreement with the licence holder, or by referring a proposed modification to the Competition Commission. Oftel also advises the Secretary of State for Trade and Industry on telecommunications matters. Oftel is also responsible for investigating and dealing with consumer complaints. In this area, Oftel is assisted in its work by the various Advisory Committees on Telecommunications (ACTs), which were also established under the provisions of the Telecommunications Act 1984. Oftel has a duty to promote competition in the marketplace, and Oftel does operate a scheme of economic regulation for some licence holders.

Oftel is responsible for dealing with consumer issues arising from telecommunications itself, but it is assisted by several advisory committees. The Committees exercise statutory functions and are required to advise the director general of Telecommunications on relevant issues. The Committees represent consumers, conduct research, liaise between bodies and advise the DG of Telecommunications.

The Committees are: the Consumer Communications for England (CCE), Welsh Advisory Committee on Telecommunications (WACT), Scottish Advisory Committee on Telecommunications (SACOT), Northern Ireland Advisory Committee on Telecommunications (NIACT), Advisory Committee on Telecommunications for Disabled and Elderly People (DIEL), Communications for Business (CfB).

The Radio Authority The Radio Authority is a non-departmental public body. It exercises statutory functions under the Broadcasting Act 1990 and 1996. The Authority has regulatory and licensing powers, issuing licences to, and regulating the conduct of, all commercial radio services. The Authority is also required to publish codes of conduct to which licence holders must adhere. The Authority must investigate any breach of the codes, and can apply sanctions including the revocation of a licence. The Authority’s operations are funded entirely by the licence fees it levies. The Chairman and members of the Board are appointed by the Department for Culture, Media and Sport.

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The Radiocommunications Agency The Wireless Telegraphy Act requires users of radio transmission equipment to obtain a Wireless Telegraphy Licence. The responsibility for this Act is with the Department of Trade and Industry. The Department of Trade and Industry has set up the Radiocommunications Agency (the RCA) as an Executive Agency of the Department to deal with this area. The Agency is, therefore, part of the DTI, and its staff are civil servants. The RCA manages the radio spectrum, plans for its efficient usage, and issues license to operators of radio transmission equipment. The RCA monitors compliance with the licenses.

The Independent Television Commission

The Independent Television Commission (the ITC) is a non-departmental public body exercising statutory powers. The Broadcasting Act 1990 and 1996 give the ITC its powers. The Department for Culture, Media and Sport is responsible for administering the ITC, and the Secretary of State for Culture, Media and Sport appoints the members of the ITC.

The ITC has powers concerning commercial television. The ITC issues licences (including for cable and satellite television), formulates and enforces Codes of Practice, regulates the services provided by the licence holders, ensues fair and effective competition in the markets and tries to ensure that a wide range of television programmes are available throughout the UK. The ITC is funded by licence fees. The ITC regulates mainly through enforcement of licence conditions and of its codes. The Broadcasting Acts also impose conditions upon licence holders, which the ITC enforces.

In acting to regulate licence holders the ITC may issue warnings, require on-screen apologies, impose financial penalties or shorten or revoke a licence

The ITC is assisted in carrying out its functions by a series of advisory committees: the Central Religious Advisory Committee (advises the ITC, BBC and Radio Authority), the Schools Advisory Committee, the Advertising Advisory Committee and the Medical Advisory Panel. The ITC is also advised by its 12 Viewer Consultative Committees, which are made up of volunteer members who meet regularly

The ITC publishes the ITC Programme Code, which all licence holders are obliged to comply with. The ITC also publishes various advertising and sponsorship codes that licence holders are expected to comply with.

Press Complaints Commission

The Press Complaints Commission (PCC) is a self-regulating body for the press (newspapers and magazines) in England. It has no statutory powers. It is constituted by members from the press and lay members, and members are appointed by the independent PCC Appointments Commission. Publishers and editors have committed to uphold various codes of practice, and the PCC ensures that these codes are upheld, by investigating into any alleged breaches of the codes. The PCC also offers advice

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to editors and publishers about the application of the codes. The PCC’s operations are funded by a levy on the industry. Postal Services Commission The Postal Services Commission (PostComm) is an independent regulator, which was established in April 2000 by Statutory Instrument (SI 2107). The Postal Services Act 2000 enhanced the powers of PostComm, extending its limited, predominantly advisory, powers to include powers to promote and protect customer interest, to regulate prices and to promote competition. Specifically, PostComm’s main tasks are to seek to ensure the provision of a universal postal service at a uniform tariff, to further the interests of postal users, to license Consignia (formerly known as The Post Office), to control Consignia’s prices and its quality of service, to license other companies wishing to enter the market, and to advise government on developments in the post office network. Postwatch The Postal Services Act 2000 also created Postwatch, an independent consumer council established as an executive non-departmental public body. Postwatch replaced the Post Office Users’ National Council as the national consumer body for the postal services sector. Postwatch is funded by the DTI via grant-in-aid. The costs of establishing and maintaining Postwatch are recovered through licence fees administered by PostComm. The functions of Postwatch include representing the views of users of postal services to decision-makers, providing information and advice to postal service users, and investigating complaints. 2.5 Standards of service, quality and safety 2.5.1 Health Health in the United Kingdom following Devolution

Following devolution, responsibility for health matters in Scotland has been devolved to the Scottish Parliament. A branch of the NHS called the NHS in Scotland has been formed which is responsible for the provision of NHS services in Scotland, and which is accountable to the Scottish Parliament. There are various concordats and arrangements in place to govern this interrelationship between the various entities involved in healthcare in the UK. Devolution to Wales has given the National Assembly for Wales the responsibility for health matters in Wales, which are provided by the NHS in Wales. Again, there are various agreements in place to guide the relationship between the Welsh and central UK systems.

The provision of healthcare in Northern Ireland is separate to the rest of the UK. The Department of Health, Social Services and Public Safety was established as a ministerial department of the Northern Ireland Executive with responsibility for healthcare in Northern Ireland. This department operates a number of Health and Social Services Boards, Trusts and Councils to provide health services.

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Department of Health

The Department of Health has many ministers. It is headed by the Secretary of State for Health. The government has a Chief Medical Officer who is also placed within the Department of Health. The Chief Medical Officer is the government’s principal medical advisor and is the head of the medical civil service.

The Department of Health is divided into three business groups: the National Health Service Executive, Public Health and the Social Care Group. These business groups are then divided into further working divisions. There are also many Executive Non-Departmental bodies which are connected with the Department of Health. These include agencies such as the National Radiological Protection Board, which has a statutory responsibility to carry out research and to advise the government, and to provide technical services. The Department is also advised by a large number of advisory committees such as the National Institute for Clinical Excellence, which provides the NHS with guidance on what the best practice for health care is currently. The Department of Health is also the sponsoring body for a large number of non-regulatory agencies which are responsible for specific functions, such as the Medical Practices Committee, which operates to ensure that GP’s are evenly distributed. The Health Services Ombudsman for England, the Health Services Ombudsman for Wales and the Health Services Ombudsman for Scotland The Health Services Ombudsman for England, the Health Services Ombudsman for Wales and the Health Services Ombudsman for Scotland all operate as independent bodies which investigate complaints made about the NHS. Complaints will only be investigated after the local NHS has had an opportunity to resolve the complaint. If after investigating the complaint, the Ombudsman concludes that the complaint is upheld, the ombudsman may publish recommendations as to the course of action which should be taken by the subject of the complaint. If these recommendations are not accepted and followed, the Ombudsman may name the subject of the complaint. The Ombudsman for England reports regularly to a Select Committee of the House of Commons, the Ombudsman for Wales reports regularly to the Welsh Assembly and the Ombudsman for Scotland reports regularly to the Scottish Parliament. Medicines Control Agency The Medicines Control Agency (MCA) is an executive department of the Department of Health, and is a non-departmental public body. Its primary function is to ensure that all medicines on the market in the United Kingdom meet appropriate standards. The MCA licences medicines, and exercises monitoring and investigation functions to ensure that the licence conditions are met. The MCA receives advice from the Committee on Safety of Medicine, an independent committee established under the Medicines Act, which advises on the quality, efficacy and safety of medicines.

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The Medical Devices Agency The Medical Devices Agency (MDA) is an executive agency of the Department of Health, and is a non-departmental public body. The MDA ensures that medical devices meet appropriate standards of quality, safety and performance, and further ensures that medical devices conform with the relevant directives of the European Union. The MDA is the United Kingdom’s ‘competent authority’ for European Union Medical Devices Directorates. Human Fertilisation and Embryology Agency This is an executive agency of the Department of Health, and is a non-departmental public body. It is a statutory body created under the Human Fertilisation and Embryology Act 1990. It regulates and licenses fertility treatments (such as IVF and donor insemination) and human embryo research, pursuant to its statutory powers. Every clinic in the United Kingdom which operates in such areas must be licensed by the Agency. The Agency also monitors these clinics’ adherence to their licence conditions. The Agency is required to produce a Code of Practice to give guidelines to clinics about the proper conduct of licensed activities. The Agency is also required to keep a register of all donors, all participants in Fertilisation activities, and of all children born via these methods. There are 21 members of the agency, all appointed by UK health ministers The Commission for Health Improvement The Commission for Health Improvement (CHI) is a non-departmental public body. It is an independent body for England and Wales, with statutory functions. The CHI was founded under the provisions of the Health Act 1999. The CHI’s role is to scrutinise the quality of service provided by the NHS, to produce benchmarks for the NHS, and to help the NHS tackle problems. Members of the Board of the CHI are appointed by the Secretary of State for Health and by the National Assembly for Wales. The National Blood Authority The National Blood Authority (NBA) is a Special Health Authority within the NHS. The NBA is responsible for managing all NHS blood centres in England, and for managing all regional transfusion centres. The NBA’s central aims are to maintain and promote blood product supply from voluntary donations, and to ensure that there are adequate supplies of blood and blood product in England. The NBA also has a regulatory role to play in ensuring that the blood services operate in a cost-effective manner, and in ensuring that standards of safety and quality are maintained throughout the service.

2.5.2 Food safety and standards The Food Standards Agency is the principal agency responsible for food safety and nutrition in the United Kingdom. It achieves this through the setting of standards and policy and the improvement of the effectiveness of local enforcement of food standards legislation and food law. The Agency was established in April 2000, taking

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over almost all functions relating to food safety that were previously divided between the former Ministry of Agriculture, Fisheries and Food and the Department of Health in England, and the Food Standards and Safety Division of the Scottish Executive in Scotland. The Food Standards Agency is a UK body, but has Scottish, Welsh and Northern Ireland Executives which are responsible for developing and implementing policies on food issues specific to the devolved regions. The Food Standards Agency is accountable to the UK Parliament through the Secretary of State for Health, and to the Scottish Parliament, the National Assembly for Wales and the Northern Ireland Assembly through their respective health ministers for the activities it undertakes within and for their geographical areas. The regional executives of the Food Standards Agency provide support to their respective Parliaments, Assemblies and Ministers on the Agency’s local activities and prepare legislation as needed to implement the Agency’s policies. The Executives work closely with local partners such as the Public Health Laboratory Service in Wales, the Food Safety and Promotion Board in Northern Ireland and the Food Safety Authority for Ireland, and the Scottish Centre for Infections and Environmental Health. There are also statutory advisory committees for Scotland, Northern Ireland and Wales which provide the Scottish, Welsh and Northern Ireland Executives with independent information and advice on regional food safety and standards issues respectively. Representative members of the devolved regions are appointed to the UK board of the Food Standards Agency. The Meat Hygiene Service (MHS) is an executive agency of the Food Standards Agency operating in England, Scotland and Wales. It is responsible for enforcement of legislation related to meat hygiene, as well as the enforcement of animal welfare and slaughterhouse legislation and the enforcement of controls on veterinary medicines residues in licensed slaughterhouses, on behalf of the Department for Environment, Food and Rural Affairs (DEFRA), the National Assembly for Wales and the Rural Affairs Department of the Scottish Executive. Apart from the Food Standards Agency, there are two executive agencies of DEFRA which play a role in ensuring food safety and standards. These are the Veterinary Medicines Directorate (VMD) which is responsible for investigating, monitoring and controlling the residues of veterinary medicines in livestock to ensure the safety of food; and the Pesticides Safety Directorate (PSD) which is responsible for developing and implementing legislation relating to safe levels of pesticide residues in food. 2.5.3 Planning and development control Matters of planning and building control are devolved to the Scottish, Welsh and Northern Ireland administrations. The responsibility for planning and development control is split between national and local government. The role of national government is to provide a strategic planning vision and to develop national planning policy and guidance. In England and Wales, this responsibility for developing the system of town and country planning regulating land-use and development falls to the Planning Directorate of the Department for Transport, Local Government and the Regions (DTLR). In Scotland, the Scottish Executive is responsible for developing the town and country planning system under the Minister for Transport and the Environment, and in Northern Ireland, this responsibility falls to the Planning Service, an executive agency of the Department of Environment.

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In England and Wales, local government has responsibilities in relation to both strategic planning and development control. Strategic planning includes the drawing of structure plans which allocate land for future housing, industrial and commercial developments in line with national regulatory guidance; and more detailed local development plans. Powers in relation to development control include the ability to make judgements about the desirability of individual developments, taking into account the effect on the surrounding area, community opinion and the fit with the relevant structure or local development plan, and to grant or refuse planning permission on these grounds. Other powers of development control include protecting listed buildings, monitoring development activity, control of advertisements, protecting trees and woodlands, and control of mineral extraction and waste disposal. In Scotland, the role of strategic planning is split between regional and local authorities. Regional authorities are responsible for developing structure plans that are subject to the approval of the Scottish Executive. Local authorities have responsibility for local development plans and development control. In Northern Ireland, these functions of strategic planning and development control fall to the national administration. The Planning Service is thus responsible for making development plans and exercising control of development, in consultation with relevant District Councils. The Planning Inspectorate is an executive agency of the DTLR that undertakes a range of casework under environmental, housing, highways and planning legislation on behalf of the Secretary of State for Transport, Local Government and the Regions and the National Assembly for Wales. The agency processes planning and enforcement appeals and undertakes inquiries into local development plans. In Scotland, this appellate role is the responsibility of the Scottish Inquiry Reporters Unit. In Northern Ireland, the Planning Appeals Commission, an independent appeals tribunal, is responsible for handling planning appeals. 2.6 Qualifications, training and professional standards 2.6.1 - Health

The General Medical Council

The General Medical Council (GMC) is self-regulating professional body for doctors in the UK. The GMC operates under statutory powers. The GMC licences doctors for practice in Britain, and maintains a register of doctors who are fit to practice. The GMC also attempts to foster good medical practice, and to promote high standards of medical education. The Medical Act 1983 makes the GMC responsible for promoting high standards of medical education in the UK, and for co-ordinating the medical education offered in the UK. The GMC also operates a Professional Conduct Committee which operates inquiries into unprofessional conduct, and which can discipline doctors. Sanctions which can be imposed against doctors include striking them off the register, therefore removing their ability to practice as doctors. The GMC consists of 104 members, some are doctors who are elected by registered doctors, some are doctors appointed by educational boards, some are members of the public, and some are members nominated by the Privy Council.

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The UK Central Council for Nursing, Midwifery and Health Visiting The UK Central Council for Nursing, Midwifery and Health Visiting (UKCC) is a non-departmental government body which fulfills statutory functions set out in the Nurses, Midwives and Health Visitors Act 1979. The UKCC sets guidelines which institutions must meet in order to be able to conduct educational programmes for nurses midwives and health visitors. The UKCC also sets the standards for the education and training of nurses, midwives and health visitors, and approves the courses offered.

The UKCC is governed by a council which is made up of some elected members and some members appointed by the Secretary of State for Health.

There are regional Boards in England, Wales, Scotland and Northern Ireland, who ensure the implementation of the UKCC’s standards in their own particular regions. The regional offices all have statutory responsibilities.

The English National Board for Nursing, Midwifery and Health Visiting is a non-departmental public body accountable to the UK government.

The Welsh National Board for Nursing, Midwifery and Health Visiting is a public body sponsored by the Welsh Assembly

The Scottish National Board for Nursing, Midwifery and Health Visiting is a statutory executive non-departmental body, accountable to the Secretary of State for Scotland

The National Board for Nursing, Midwifery and Health Visiting for Northern Ireland consists of members appointed by the head of the Department of Social Services for Northern Ireland.

Care/Service Councils

Responsibility for regulating education and training in social work falls to the newly established care/service councils in the four countries of the UK – the General Social Care Council in England (GSCC), the Care Council for Wales (CCW), the Scottish Social Services Council (SSSC) and the Northern Ireland Social Care Council (NISCC). These councils were established on 1 October 2001, replacing the former Central Council for Education and Training in Social Work, as executive non-departmental public bodies accountable to the relevant ministers of health in each of England, Wales, Scotland and Northern Ireland. The functions of the councils include registration of the social care workforce, setting codes of practice and conduct, and regulation and promotion of professional social work education and training.

Royal Pharmaceutical Society of Great Britain

This is an independent self-regulating body with statutory responsibilities (under the Pharmacy Act 1954 and the Medicines Act 1968). The Society regulates the activities and training of pharmacists and the activities of pharmacies, and acts as the registration and professional body for practising pharmacists. The Society is required to maintain a Register of Pharmaceutical Chemists (those legally entitled to practice pharmacy) and a Register of Premises (a list of premises at which pharmacists are legally allowed to operate). The Society has a statutory committee which acts as the

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disciplinary committee for the profession, which can investigate alleged misconduct, and strike practitioners off the register. The Society is governed by a Council consisting of 24 members (21 elected members and 3 members appointed by the Privy Council).

2.6.2 - Law

The Law Society of England and Wales

The Law Society of England and Wales operates as a self-regulating professional body. It exercises statutory functions. It sets standards for education and training, and registers solicitors who are eligible to practice. The Society has established the Office for the Supervision of Solicitors which investigates allegations of misconduct and which can strike solicitors from the register, removing their ability to practice. The Law Society is governed by a council of 75 elected members.

The General Council of the Bar

The General Council of the Bar operates as the self-regulating body for barristers in England and Wales. The Legal Services Act 1990 requires a body with full investigative and disciplinary powers to regulate barristers, and the Council performs these functions. It sets the guidelines which barristers must follow, and investigates complaints about barristers and disciplines barristers where necessary. The Council also regulates the training provided to barristers.

The Law Society of Scotland

The Law Society of Scotland is a professional body which represents and self regulates Scottish Solicitors. The society exercises statutory functions, and maintains a register of solicitors who are legally entitled to practice law in Scotland.

The Faculty of Advocates

This is a self-regulating body for advocates (barristers) in Scotland. It sets standards, investigates complaints and disciplines members. The Faculty is headed by the Dean of the Faculty, an elected officer who exercises disciplinary and administrative power over members.

Scottish Legal Services Ombudsman

The Ombudsman is independent of government and the legal profession. The Ombudsman is appointed by the Secretary of State for Scotland, and has the duty of investigating complaints made about solicitors, advocates or conveyancers in Scotland. The Ombudsman may recommend that a course of action be taken by the subject of the complaint following an investigation. The Ombudsman reports to Parliament.

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Law Society of Northern Ireland The Law Society of Northern Ireland is a body set up by Royal Charter and whose powers and duties are to regulate the solicitors’ profession in Northern Ireland with the aim of protecting the public.

General Council of the Bar of Northern Ireland

The Bar Council of Northern Ireland is responsible for the maintenance of standards, honour and independence of the Bar and, through its Professional Conduct Committee, receives and investigates complaints against members of the Bar (barristers) in their professional capacity.

Police Complaints Authority

The Police Complaints Authority was set up under the Police and Criminal Evidence Act 1984. It is a non-departmental public body (supported by the Home Office) which oversees public complaints about police officers in England and Wales, and police officers employed by British Transport, the Ministry of Defence, the Ports of Liverpool and Tilbury, Royal Parks and UKAEA. The Authority can investigate complaints made directly by the public or complaints that are referred by the police.

Once a complaint is made about a police officer to the police, the provisions of the Police (Complaints) (Mandatory References etc) Regulations 1985 require certain types of complaints to be automatically referred to the Authority for investigation. The regulations also give the Authority the right to supervise the investigation of any other complaint.

If a dispute arises about the handling of a complaint, it may be referred to the Police Appeals Tribunal, which will make a decision on the case.

2.6.3 - Accountancy Discipline of professionally qualified members who practice is the responsibility of the member bodies of which there are six in Great Britain and Ireland. The Consultative Committee of Accountancy Bodies (CCAB) speaks for the ‘profession’ collectively. The profession has had to establish clear disciplinary procedures in order to retain self-regulation to date, given the government’s concern to maintain public confidence in the corporate financial system and its conduct. 2.6.4 - Architecture and planning The Royal Town Planning Institute (RTPA), the Landscape Institute (LI) and the Royal Institute of British Architects (RIBA) are all professional chartered bodies that regulate the way that their members operate through a mandatory code of professional conduct. These bodies aim to protect the public, as well as prevent practitioners from bringing the profession into disrepute. They aim to achieve this by maintaining high standards of education, for example by setting standards for professional education and accrediting university courses that meet these standards or requiring members to pass a professional practice examination. In addition, members’ conduct is controlled

46


through a code of practice that gives the professional body powers to discipline members for misconduct. These disciplinary powers are, however, limited. The Architects Registration Board (ARB) is a statutory body established by the Architects Act 1997. The ARB aims to protect consumers and safeguard the reputation of architects by maintaining a register of all those entitled to use the term architect, maintaining the standards of education and practice, taking action against those falling short of the standards set by the body, and operating a complaints handling service. 2.6.5 - Education The regulation of educational qualifications is divided between school and further and higher education, as well as between academic and vocational qualifications. Overall responsibility rests with the Department for Education and Skills (DfES) in Great Britain and the Department of Education in Northern Ireland (DENI). Higher education has separate regulatory and funding bodies for England, Scotland and Wales, but all of which include the general title ‘Higher Education Funding Council’. The Councils’ approach to assessment of teaching and research reflects the government’s policy that the universities must have an effective, transparent and accountable performance and achievement review structures in place if self-regulation is to be maintained over statutory regulation. From this has developed a Quality Assurance Agency in England and Wales to formalise the peer review and assessment process in teaching and degree standards. The further education sector is more closely, and more formally, regulated through the Learning and Skills Council (the Learning and Skills Council was established in April 2001, replacing the Further Education Funding Council and the Training and Enterprise Councils). The regulation of the curriculum for under fives, the National Curriculum, GCSEs, A levels and vocational qualifications (GNVQs, NVQs and higher level vocational qualifications) is centred on the Qualification and Curriculum Authority (QCA) - albeit there is substantive ‘collective’ self-regulation by the three main providers of educational qualifications (AQA, OCR and EDEXCEL) to maintain standards. Private schools have to be registered with the DfES and self-regulation is via the Headmasters Conference (HMC). Professional standards (including both standards of teaching and standards of conduct for teachers) of the teaching profession are regulated through the General Teaching Councils established as independent self-regulating professional bodies in each of England, Scotland and Wales. Appeal processes in a traditional ‘self-regulated’ sector are less apparent than in other sectors. Universities, as chartered corporations, have the ‘Visitor’ process for appeals (following the exhaustion of internal appeal processes). Schools may appeal to the providing bodies (and ultimately the courts) in the case of dispute over marks and grading.

47


2.6.6 - Transport

Driving Standards Agency

The Driving Standards Agency (DSA) is an agency of the DTLR. The DSA sets the standards for car driving instructors, and ensures that the training offered complies with the standards. The DSA has the responsibility for maintaining registers of approved driving instructors and approved large goods vehicle instructors. The DSA also carries out tests for car drivers, bus and lorry drivers and for motorbike riders.

48


Appendix ALPHABETICAL LIST: REGULATORY BODIES As at 15th January 2002

Accounting Standards Board (ASB) Chairman: Mary Keegan Holborn Hall 100 Grays Inn Road London WC1X 8AL Telephone: 020 7611 9700 www.asb.org.uk/

Advertising Standards Authority (ASA) Chairman: Lord Borrie 2 Torrington Place London WC1E 7HW Telephone: 020 7580 5555 www.asa.org.uk

Air Transport Users Council Chairman: Ian Hamer CAA House 45 - 59 Kingsway London WC2B 6TE Telephone: 020 7240 6061 www.auc.org.uk

Architects Registration Board Chief Executive and Registrar: Robin Vaughan 8 Weymouth Street London W1N 3FB Telephone: 020 7580 5861 www.arb.org.uk

Audit Commission Acting Chair: Adrienne Fresko Controller: Sir Andrew Foster I Vincent Square London SW1P 2PN Telephone: 020 7828 1212 www.audit-commission.gov.uk

Audit Commission in Wales 4th Floor Deri House 2 - 4 Park Grove Cardiff CF10 3ZZ Telephone: 029 2026 2550 www.audit-commission.gov.uk

The Automobile Association (AA) Chief Executive (Centrica): Roy Gardner Fanum House Basing View Basingstoke RG21 4EA Telephone: 0990 448866 (switchboard) www.theaa.co.uk/

Better Regulation Task Force Chairman: Christopher Haskins Cabinet Office 2 Little Smith Street London SW1P 3DH Telephone: 020 7276 2142 www.cabinet-office.gov.uk/regulation/taskforce/index.htm

49

http://www.asb.org.uk/

http://www.asa.org.uk/

http://www.auc.org.uk/

http://www.arb.org.uk/

http://www.audit-commission.gov.uk/


http://www.theaa.co.uk/

http://www.cabinet-office.gov.uk/regulation/index/task.htm

http://www.cabinet-office.gov.uk/regulation/index/task.htm


British Broadcasting Commission director general: Mr Greg Dyke Chairman of the Board: Gavyn Davies BBC Broadcasting House London W1A 1AA Telephone : 020 7580 4468 www.bbc.co.uk

Broadcasting Standards Commission Chairman: Lord Dubs 7 The Sanctuary London SW1P 3JS Telephone: 020 7808 1000 www.bsc.org.uk

Cabinet Office Secretary of State: Rt Hon. John Prescott 70 Whitehall London SW1A 2AS Telephone: 020 7270 1234 www.cabinet-office.gov.uk

Care Council for Wales Chief Executive: Rhian Huws Williams 6th Floor West Wing South Gate House Wood Street Cardiff CF10 1EW Telephone: 0209 2022 6257

Civil Aviation Authority (CAA) Chairman: Sir Roy McNutty CAA House 45 -59 Kingsway London WC2B 6TE Telephone: 020 7379 7311 www.caa.co.uk

Commission for Health Improvement Chairman: Dame Deirdre Hine Chief Executive: Dr Peter Homa 10th Floor, Finsbury Tower 103 -105 Bunhill Row London EC1Y 8TG Telephone: 0207 277 3100 www.chi.nhs.uk

Commission for Racial Equality (CRE) Chairman: Gurbux Singh Elliot House 10-12 Allington Street London SW1E 5EH Telephone: 020 7828 7022 www.cre.gov.uk

Commission for Local Authority Accounts in Scotland 18 George Street Edinburgh EH2 2QU Telephone: 020 7477 1234 www.audit-commission.gov.uk

Competition Commission (CC) Chairman: Dr Derek Morris New Court 48 Carey Street London WC2A 2JT Telephone: 020 7271 0243 www.competition-commission.org.uk

Competition Commission Appeals Tribunal President: Sir Christopher Bellamy New Court 48 Carey Street London WC2A 2JT Telephone: 020 7271 0395 www.competition-commission.org.uk

Confederation of Passenger Transport Director General: Mrs V Palmer Imperial House 15 –19 Kingsway London WC2B 6UN Telephone: 020 7240 3131 www.cpt-uk.org

Consumers’ Association Director: Sheila McKechnie 2 Marylebone Road London NW1 4DF Telephone: 08459 830115

50

http://www.bbc.co.uk/

http://www.bsc.org.uk/

http://www.cabinet-office.gov.uk/

http://www.caa.co.uk/

http://www.chi.nhs.uk/

http://www.cre.gov.uk/


http://www.competition-commission.gov.uk/

http://www.competition-commission.gov.uk/

http://www.cpt-uk.org/



Secretary of State: Rt Hon. Tessa Jowell 2-4 Cockspur Street London SW1Y 5DH Telephone: 020 7211 6000 www.culture.gov.uk

Department for Education and Skills (DfES)

Secretary of State: Rt Hon. Estelle Morris Sanctuary Buildings Great Smith Street London SW1P 3BT Telephone: 0870 0002288 www.dfes.gov.uk

Department for Environment, Food and Rural Affairs (DEFRA) Secretary of State: Rt Hon. Margaret Beckett Nobel House 17 Smith Square London SW1P 3JR Telephone: 020 7238 6000 www.defra.gov.uk

Department for Transport, Local Government and the Regions (DTLR) Secretary of State: Rt Hon. Stephen Byers Eland House Bressenden Place London SW1E 5DU Telephone: 020 7944 3000 www.dtlr.gov.uk

Department for Work and Pensions (DWP) Secretary of State: Alistair Darling The Adelphi 1-11 John Adam Street London WC2N 6HT Tel: 020 7962 8116 www.dwp.gov.uk

Department of Education for Northern Ireland (DENI) Rathgael House Balloo Road Bangor Co Down BT19 7PR Telephone: 02891 279 279 www.deni.gov.uk

Department of Enterprise, Trade and Investment (Northern Ireland) Netherleigh Massey Avenue Belfast BT4 2JP Telephone: 02890 529 900 www.detini.gov.uk

Department of the Environment for Northern Ireland Clarence Court 10-18 Adelaide Street Belfast BT2 8GB Telephone: 028 9054 0540 www.nics.gov.uk/env.htm

Department of Health Secretary of State: Rt Hon. Alan Millburn Richmond House 79 Whitehall London SW1A 2NS Telephone: 020 7210 4850 www.doh.gov.uk

Department of Trade and Industry Secretary of State: Rt Hon. Patricia Hewitt 1 Victoria Street London SW1H 0ET Telephone: 020 7215 5000 www.dti.gov.uk

Disability Rights Commission Chairman: Bert Massie (Offices in London, Manchester, Edinburgh and Cardiff) Telephone: 08457 622 633 www.drc-gb.org

Driver and Vehicle Licensing Agency DVLA Swansea SA6 7JL Telephone: 0870 240 0009 www.dvla.gov.uk

Driving Standards Agency Stanley House 56 Talbot Street Nottingham NG1 5GU Telephone: 0115 901 2500 www.dsa.gov.uk

Employment Appeal Tribunal (EAT) Audit House 58 Victoria Embankment London EC4Y 0DS Telephone: 020 7273 1040 www.employmentappeals.gov.uk/

51

http://www.culture.gov.uk/

http://www.dfee.gov.uk/

http://www.detr.gov.uk/

http://www.dtlr.gov.uk/

http://www.dss.gov.uk/

http://www.deni.gov.uk/

http://www.dedni.gov.uk/

http://www.nics.gov.uk/env.htm

http://www.doh.gov.uk/

http://www.dti.gov.uk/

http://www.drc-gb.org/

http://www.dvls.gov.uk/

http://www.dsa.gov.uk/

http://www.employmentappeals.gov.uk/


Employment Appeal Tribunal (Scotland) (EAT) 52 Melville Street Edinburgh EH3 7HS Telephone: 0131 225 3963 www.employmentappeals.gov.uk/

Energywatch Chair: Ann Robinson 3rd Floor, Artillery House Artillery Row London SW1P 1RT Telephone: 020 7799 8340 www.energywatch.org.uk

English National Board for Nursing, Midwifery and Health Visiting Chief Executive: Anthony Smith Victory House 170 Tottenham Court Road London W1T 7HA Telephone: 020 7388 3131 www.enb.org.uk

Environment & Heritage Service for Northern Ireland Chief Executive: Jim Lamont Commonwealth House 35 Castle Street Belfast BT1 1GU Telephone: 02890 251 477 www.ehsni.gov.uk

Environment Agency Chief Executive: Baroness Barbara Young Rio House Waterside Drive Aztec West, Almondsbury Bristol BS32 4UD Telephone: 01454 624400 www.environment-agency.gov.uk

Environment Agency Wales Abacus House St Mellons Business Park Fortran Road St Mellons Cardiff CF3 0LT Telephone: 029 2077 0088 www.environment-agency.wales.gov.uk

Equal Opportunities Commission (EOC) Chair: Julie Mellor Arndale House Arndale Centre Manchester M4 3EQ Telephone: 0161 833 9244 www.eoc.org.uk

Equality Commission for Northern Ireland Chief Commissioner: Joan Harbison Equality House 7-9 Shaftesbury Square Belfast BT2 7DP Telephone: 02890 500600 www.equalityni.org

Faculty of Advocates Dean: CM Campbell Faculty of Advocates Parliament House Edinburgh EH1 1RF Telephone: 0131 – 260 5688 www.advocates.org.uk

Financial Ombudsman Service Chairman: Andreas Whittam Smith Chief Ombudsman: Walter Merricks South Quay Plaza 183 Marsh Wall London E14 9SR Telephone: 020 7964 1000 www.financial-ombudsman.org.uk

Financial Reporting Council (FRC) Chairman: Sir Bryan Nicholson Holborn Hall 100 Grays Inn Road London WC1X 8AL Telephone: 020 7611 9700 www.frc.org.uk

Financial Reporting Review Panel Chairman: Richard Sykes Assistant Secretary: Carol Page Holborn Hall 100 Grays Inn Road London WC1X 8AL Telephone: 020 7611 9750 www.frrp.org.uk

52

http://www.employmentappeals.gov.uk/

http://www.energywatch.org.uk/

http://www.enb.org.uk/

http://www.ehsni.gov.uk/

http://www.environment-agency.gov.uk/

http://www.environment-agency.wales.gov.uk/

http://www.dfee.gov.uk/

http://www.equalityni.org/

http://www.advocates.org.uk/

http://www.financial-ombudsman.org.uk/

http://www.frc.org.uk/

http://www.frrp.org.uk/


Financial Services Authority (FSA) Executive Chairman: Howard Davies MD Deposit Takeovers & Markets: Michael Foot MD Consumer, Investment & Insurance: John Tiner MD Regulatory Processes & Risk: Carol Sergeant 25 The North Colonnade Canary Wharf London E14 5HS Telephone: 020 7676 1000 (main switchboard) www.fsa.gov.uk

Financial Services and Markets Tribunal Lord Chancellor’s Department Selbourne House 54/60 Victoria Street London SW1E 6QW Telephone: 020 7210 8500

Food Standards Agency Chair: Sir John Krebs Chief Executive: Geoffrey Podger Aviation House 125 Kingsway London WC2B 6NH Telephone: 020 7276 8000 www.food.gov.uk

Food Standards Agency Northern Ireland Chairman of the Northern Ireland Advisory Committee of the Food Standards Agency: Michael Walker 10C Clarendon Road Belfast BT1 3BG Telephone:02890 417 711 www.food.gov.uk

Food Standards Agency Scotland Director: George Paterson Chairman of Scottish Food Advisory Committee: Sir John Arbuthnott St Magnus House 6th Floor 25 Guild Street Aberdeen AB11 6NJ Telephone: 01224 285 100 www.food.gov.uk

Food Standards Agency Wales Director: Joy Whinney Chair of Welsh Advisory Committee: Ann Hemingway 1st Floor Southgate House Wood Street Cardiff CF10 1EW Telephone: 029 2067 8918/9 www.food.gov.uk

General Consumer Council for Northern Ireland Chairman: Joan Whiteside Director: Maeve Bell Elizabeth House 116 Holywood Road Belfast BT4 1NY Telephone: 02890 672 488 www.gccni.org.uk

General Council for the Bar Chairman: David Bean Main Office 3 Bedford Row London WC1R 4DB Telephone: 020 7274 0082 www.barcouncil.org.uk

General Council of the Bar of Northern Ireland Chief Executive: Mr B Garland PO Box 414 Royal Courts of Justice Chichester Street Belfast BT1 3JP Telephone: 02890 562 349 www.barcouncil-ni.org.uk

General Medical Council President: Sir Donald Irvine 178 Great Portland Street London W1W 5JE Telephone: 020 7580 7642 www.gmc-uk.org

53

http://www.fsa.gov.uk/

http://www.foodstandards.gov.uk/




http://www.gcni.org.uk/

http://www.barcouncil.org.uk/

http://www.barcouncil-ni.org.uk/

http://www.gmc-uk.org/


General Social Care Council (GSCC) Chief Executive: Lynne Berry Goldings House 2 Hay’s Lane London SE1 2HB Telephone: 020 7397 5100 www.doh.gov.uk/gscc/

General Teaching Council for England Chairman: Lord David Puttnam 344-354 Gray’s Inn Road London WC1X 8BP Telephone: 0870 001 0308 www.gtce.org.uk

General Teaching Council for Scotland Chief Executive/Registrar: Matthew McIver Clerwood House 96 Clermiston Road Edinburgh EH12 6UT Telephone: 0131 314 6000 www.gtcs.org.uk

General Teaching Council for Wales Chairman: Prof. John Andrews Chief Executive: Gary Brace 4th Floor Southgate House Wood Street Cardiff CF10 1EW Telephone: 029 2055 0350 www.gtcw.org.uk

Health and Safety Commission (HSC) Chairman: Bill Callaghan Rose Court 2 Southwark Bridge London SE1 9HS Telephone: 020 7717 6630 www.hse.gov.uk

Health and Safety Executive (HSE) Director General: Timothy Walker Rose Court 2 Southwark Bridge London SE1 9HS Telephone: 020 7717 6000 www.hse.gov.uk

Health and Safety Executive for Northern Ireland 83 Ladas Drive Belfast BT6 9FR Telephone: 02890 243249 www.hse-ni.org.uk/

Health Service Ombudsman for England, Wales & Scotland Mr Michael Buckley 13th Floor Millbank Tower Millbank London SW1P 4QP Telephone: 0845 015 4033 www.health.ombudsman.org.uk

HM Treasury Chief Secretary to the Treasury: Rt Hon. Andrew Smith Parliament Street London SW1P 3AG Telephone: 020 7270 5000 (main switchboard) www.hm-treasury.gov.uk

Higher Education Funding Council for England (HEFCE) Chief Executive: Sir Howard Newby Northavon House Coldharbour Lane Bristol BS16 1QD Telephone: 0117 9317 1317 www.hefce.ac.uk

54

http://www.doh.gov.uk/gscc/

http://www.dfee.gov.uk/gtc/

http://www.gtcs.org.uk/

http://www.gtcw.org.uk/

http://www.hse.gov.uk/

http://www.hse.gov.uk/

http://www.hse-ni.org.uk/

http://www.health.ombudsman.org.uk/

http://www.hm-treasury.gov.uk/

http://www.hefce.ac.uk/


Higher Education Funding Council for Wales (HEFCW) Chief Executive: Steve Martin Linden Court, The Orchards Ilex Close, Llanishen Cardiff CF14 5DZ Telephone: 029 2076 1861 www.wfc.ac.uk/hefcw/

Home Office Home Secretary: Rt Hon. David Blunkett 50 Queen Anne’s Gate London SW1H 9AT Telephone: 020 7273 4000 www.homeoffice.gov.uk

Human Fertilisation and Embryology Authority

Chairman: Ruth Deech Paxton House 30 Artilllery Lane London E1 7LS Telephone: 020 7377 5077 www.hfea.gov.uk

Institute of Chartered Accountants in England & Wales Chartered Accountants Hall PO Box 433, Moorgate Place London EC2P 2BJ Telephone: 020 7920 8100 www.icaew.co.uk

Institute of Chartered Accountants in Ireland 11 Donegal Square South Belfast BT1 5JE Telephone: 02890 321 600 www.icai.ie

Institute of Chartered Accountants of Scotland CA House 21 Haymarket Yards Edinburgh EH12 5BH Telephone: 0131 347 0100 www.icas.org.uk

Independent Television Commission Chairman: Sir Robin Biggam 33 Foley Street London W1W 7TL Telephone : 020 7255 3000 www.itc.org.uk

Law Society of England and Wales 113 Chancery Lane London WC2A 1PL Telephone: 020 7242 1222 www.lawsociety.org.uk

Law Society of Northern Ireland Law Society House 98 Victoria Street Belfast BT1 3JT Telephone: 02890 231 614 www.lawsoc-ni.org

Law Society of Scotland The Law Society’s Hall 26 Drumsheugh Gardens Edinburgh EH3 7YR Telephone: 0131 226 7411 www.lawscot.org.uk

Landscape Institute Director General: Michael Wetherall 6-8 Barnard Mews London SW11 1QU Telephone: 020 7350 5200 www.l-i.org.uk

Learning and Skills Council Chairman: Bryan Sanderson Chief Executive: John Harwood Cherylesmore House Quinton Road Coventry CV1 2WT Telephone: 0845 0194170 www.lsc.gov.uk

55

http://www.niss.ac.uk/education/hefcw/

http://www.homeoffice.gov.uk/

http://www.hfea.gov.uk/

http://www.icaew.co.uk/

http://www.icai.ie/

http://www.icas.org.uk/

http://www.itc.org.uk/

http://www.lawsociety.org.uk/

http://www.lawsoc-ni.org/

http://www.lawscot.org.uk/

http://www.l-i.org.uk/

http://www.fefc.ac.uk/


Local Government Ombudsman (London boroughs north of the river Thames (including Richmond), Essex, Kent, Surrey, Suffolk, East and West Sussex) Ombudsman: Tony Redmond 21 Queen Anne Gate London SW1H 9BU Telephone: 020 7915 3210 www.lgo.org.uk

Local Government Ombudsman (The West Midlands (except Coventry City), Staffordshire, Shropshire, Cheshire, Derbyshire, Nottinghamshire, Lincolnshire and the north of England (except York and Lancaster)) Ombudsman: Mrs Pat Thomas Beverley House 17 Shipton Road York YO30 5FZ Tel: 01904 663 200 www.lgo.org.uk

Local Government Ombudsman (London Boroughs south of the river Thames (except Richmond) and Harrow, the Cities of York, Lancaster and Coventry; and the rest of England not already covered) Ombudsman: Mr J R White 2 The Oaks Westwood Way Westwood Business Park Coventry CV4 8JB Telephone: 024 7669 5999 www.lgo.org.uk

Local Government Ombudsman for Scotland 23 Walker Street Edinburgh EH3 7HX Telephone: 0131 255 5300 www.ombudslgscot.org.uk

Local Government Ombudsman for Wales Derwen House Court Road Bridgend CF31 1BN Telephone: 01656 661325 www.ombudsman-wales.org

London Stock Exchange Chairman: Don Cruickshank Chief Executive: Clara Furse Old Broad Street London EC2N 1HP Telephone: 020 7797 1000 www.londonstockexchange.com

Lord Chancellor’s Department Lord Chancellor: Lord Irvine of Lairg Selborne House 54-60 Victoria Street London SW1E 6QW Telephone: 020 7210 8500 www.open.gov.uk/lcd/

Meat Hygiene Service Chief Executive: Chris Lawson Head Office Foss House, Kings Pool 1-2 Peasholme Green York YO1 7PX Telephone: 01904 455 501 www.food.gov.uk

Medical Devices Agency Chief Executive: Dr David Jefferys Hannibal House Elephant & Castle London SE1 6TQ Telephone: 020 7972 8000 www.medical-devices.gov.uk

Medicines Control Agency Chief Executive Officer : Dr Keith Jones Market Towers 1 Nine Elms Lane Vauxhall London SW8 5NQ Telephone: 020 7273 0000 www.open.gov.uk/mca

56

http://www.lgo.org.uk/



http://www.ombudslgscot.org.uk/

http://www.ombudsman-wales.org/

http://www.londonstockexchange.com/

http://www.open.gov.uk/lcd/

http://www.foodstandards.gov.uk/meat_hygiene.htm

http://www.medical-devices.gov.uk/

http://www.open.gov.uk/mca


National Assembly for Wales Cardiff Bay Cardiff CF99 1NA Telephone: 029 20 825 111 www.wales.gov.uk

National Audit Office Comptroller and Auditor General :Sir John Bourn 157-197 Buckingham Palace Road London SW1W 9SP Telephone: 020 7798 7000 www.nao.gov.uk

National Blood Authority Chairman: Mr Mike Fogden Chief Executive: Mr Martin Gorham Oak House Reeds Crescent Watford Herts WD1 1QH Telephone: 01923 486 800 www.blood.co.uk

National Board for Nursing, Midwifery and Health Visiting for Scotland Chairman: Prof. Margaret Alexander 21-22 Queen Street Edinburgh EH2 1NT Telephone:0131 226 7371 www.nbs.org.uk

National Board for Nursing, Midwifery and Health Visiting in Northern Ireland Chairman: Robert Bowman Chief Executive: Prof. O’D.A. Slevin Centre House 79 Chichester Street Belfast BT1 4JE Telephone: 02890 238 152 www.n-i.nhs.uk/NBNI/index.htm

National Consumer Council (NCC) Director: Ann Bradley 20 Grosvenor Gardens London SW1W 0DH Telephone: 020 7730 3469 www.ncc.org.uk

National Federation of Bus Users Chairman: Dr Caroline Cahm PO Box 320 Portsmouth PO5 3SD Telephone: 023 9281 4493 www.nbfu.org/

Northern Ireland Assembly Parliament Buildings Stormont Estate Belfast BT4 3ST Telephone: 02890 521 333 www.ni-assembly.gov.uk

Northern Ireland Executive Castle Buildings Stormont Estate Belfast BT4 3SR Telephone: 02890 528 400 www.northernireland.gov.uk

Occupational Pensions Regulatory Authority (OPRA) Chief Executive: Caroline Instance Invicta House Trafalgar Place Brighton BN1 4DW 01273 627600 www.opra.gov.uk

Northern Ireland Social Care Council (NISCC) Chief Executive: Brendan Johnston 7th Floor, Millennium House Great Victoria Street Belfast BT2 7AQ Telephone: 02890 417600

Office of Fair Trading Director General: John Vickers Fleet Bank House 2-6 Salisbury Square London EC4A 8JX Telephone: 020 7211 8811 www.oft.gov.uk

57

http://www.wales.gov.uk/

http://www.nao.gov.uk/

http://www.blood.co.uk/

http://www.nbs.org.uk/

http://www.n-i.nhs.uk/NBNI/index.htm

http://www.ncc.org.uk/

http://www.nbfu.org/

http://www.northernireland.gov.uk/

http://www.northernireland.gov.uk/

http://www.opra.gov.uk/

http://www.oft.gov.uk/


Office of Gas & Electricity Markets (OFGEM) Chief Executive and Chair of GEMA: Callum McCarthy 9 Millbank London SW1P 3GE Telephone: 020 7901 7000 www.ofgem.gov.uk

OFGEM (Scotland) Regent Court 70 West Regent Street Glasgow G2 2QZ Telephone: 0141 331 2678

Office of the Rail Regulator (ORR) Rail Regulator: Tom Winsor 1 Waterhouse Square 138 - 142 Holborn London EC1N 2TQ Telephone: 020 7282 2000 www.rail-reg.gov.uk

Office for the Regulation of Electricity & Gas (OFREG) Director General: Douglas McIldoon Brookmount Buildings 42 Fountain Street Belfast BT1 5EE Telephone: 02890 311 575 http://ofreg.nics.gov.uk/

Office for the Supervision of Solicitors Victoria Court 8 Dormer Place Leamington Spa Warwickshire CV32 5AE Telephone: 01926 820082/3 www.lawsociety.org.uk

Office for Standards in Education (OFSTED) Chief Inspector: Mr Mike Tomlinson Alexandra House 33 Kingsway London WC2B 6SE Telephone 020 7421 6744 www.ofsted.gov.uk

Office of Telecommunications (Oftel) Director General: Mr David Edmonds 50 Ludgate Hill London EC4M 7JJ Telephone: 020 7634 8700 www.oftel.gov.uk

Offices of Water Services (Ofwat) Director General: Philip Fletcher Centre City Tower 7 Hill Street Birmingham B5 4UA Telephone: 0121 625 1300 www.ofwat.gov.uk

Pensions Ombudsman Pensions Ombudsman: David Laverick 6th Floor 11 Belgrave Road London SW1V 1RB Telephone: 020 7834 9144 www.pensions-ombudsman.org.uk/

Pesticides Safety Directorate (PSD) Chief Executive: Kerr Wilson Mallard House Kings Pool 3 Peasholme Green York YO1 7PX Telephone: 01904 455 775 www.pesticides.gov.uk

The Planning Inspectorate Chief Planning Inspector: Chris Shepley Temple Quay House 2 The Square Temple Quay Bristol BS1 6PN Telephone: 0117 372 6372 www.planning-inspectorate.gov.uk

The Planning Service Clarence Court 10-18 Adelaide Street Belfast BT2 8GB Telephone: 02890 540 540 www.doeni.gov.uk/planning/

58

http://www.ofgem.gov.uk/

http://www.rail-reg.gov.uk/

http://ofreg.nics.gov.uk/

http://www.lawsociety.org.uk/

http://www.ofsted.gov.uk/

http://www.oftel.gov.uk/

http://www.open.gov.uk/ofwat

http://www.pensions-ombudsman.org.uk/

http://www.pesticides.gov.uk/

http://www.planning-inspectorate.gov.uk/

http://www.doeni.gov.uk/planning/mainserv.htm


The Postal Services Commission (PostComm) Chairman: Graham Corbett Chief Executive: Martin Stanley Hercules House Hercules Road London SE1 7DB Telephone: 020 7593 2100 www.psc.gov.uk

Postwatch Chairman: Mr Peter Carr 28-30 Grosvenor Gardens London SW1W 0TT Telephone: 0845 6013 265 www.postwatch.co.uk

Press Complaints Commission Director: Guy Black 1 Salisbury Square London EC4Y 8JB Telephone: 020 7353 1248 www.pcc.org.uk

Professional Standards Office/ICAEW Silbury Court 412- 416 Silbury Boulevard Central Milton Keynes MK9 2AF Telephone: 01908 248100 www.icaew.co.uk/

Public Transport Information Unit 23 New Mount Street Manchester M4 4DE Telephone: 0161 839 9040

Qualifications and Curriculum Authority Chairman: Sir William Stubbs Chief Executive: vacant 83 Piccadilly London W1J 8QA Telephone: 020 7509 5555 www.qca.org.uk

Quality Assurance Agency for Higher Education Chief executive: John Randall Southgate House Southgate Street Gloucester GL1 1UB Telephone: 01452 557000 www.qaa.ac.uk

The Radiocommunications Agency Chief Executive: David Hendon. Wyndham House 189 Marsh Wall London E14 9SX Telephone: 020 7211 0211 www.radio.gov.uk

Rail Passengers Council Chairman: Stewart Francis Clements House 14 -18 Gresham Street London EC2V 7N L Telephone: 020 7505 9090 www.railpassengers.org.uk

Royal Automobile Club (RAC) Chief Executive: Neil Johnson RAC House 1 Forest Road Feltham TW13 7RR Telephone: 020 8917 2500 (switchboard) www.rac.co.uk

Royal Institute of British Architects Chief Executive: Richard Hastilow 66 Portland Place London W1B 1AD Telephone: 020 7580 5533 www.architecture.com

Royal Pharmaceutical Society of Great Britain 1 Lambeth High Street London SE1 7JN Telephone: 020 7735 9141 www.rpsgb.org.uk

Royal Pharmaceutical Society (Scottish Dept) 36 York Place Edinburgh EH1 3HU Telephone: 0131 556 4386 www.rpsgb.org.uk

Royal Pharmaceutical Society (Welsh Executive) Gloucester House 14 Mount Stuart Square Cardiff CF10 5DP Telephone: 029 2041 2800 www.rpsgb.org.uk

59

http://www.postoffice.co.uk/

http://www.pounc.org.uk/

http://www.pcc.org.uk/

http://www.icaew.co.uk/institute/governance/document.asp?WSDOCID=65

http://www.qca.org.uk/

http://www.qaa.ac.uk/

http://www.radio.gov.uk/

http://www.rail-reg.gov.uk/

http://www.rac.co.uk/

http://www.architecture.com/

http://www.rpsgb.org.uk/




Royal Town Planning Institute 41 Botolph Lane London EC3R 8DL Telephone: 020 7929 9494 www.rtpi.org.uk

Scottish Environment Protection Agency (SEPA) Chairman: Ken Collins Chief Executive: Tricia Henton Head Office Erskine Court Castle Business Park Stirling FK9 4TR Telephone: 01786 457700 www.sepa.org.uk

Scottish Executive St Andrew’s House Regent Road Edinburgh EH1 3DG Telephone: 0131 5568400 www.scotland.gov.uk

Scottish Higher Education Funding Council (SHEFC) Chief Executive: vacant Donaldson House 97 Harmarket Terrace Edinburgh EH12 5HD Telephone: 0131 313 6500 www.shefc.ac.uk

Scottish Legal Services Ombudsman Ombudsman: Linda Costelloe Baker 17 Waterloo Place Edinburgh EH1 3DL Telephone: 0131 244 3055 www.slso.org.uk

Scottish Parliament Edinburgh EH99 1SP Telephone: 0131 3485000 www.scottish.parliament.uk

Scottish Social Services Council (SSSC) Chief Executive: Carole Wilkinson c/o The Scottish Executive James Craig Walk Edinburgh Lothian EH1 3BA Telephone: 0131 244 1949

Select Committees of the House of Commons/House of Lords See Annex 1 to Attachment 4 House of Commons/House of Lords Westminster London SW1A OPW Telephone: House of Commons 020 7219 3000 House of Lords 020 7219 3107 www.parliament.uk/commons/hsecom.htmwww.parliament.the-stationery-office.co.uk/pa/ld/ldhome.htm

Strategic Rail Authority (SRA) Chairman: Richard Bowker 55 Victoria Street London SW1H OEU Telephone: 020 7654 6000 www.sra.gov.uk

Trading Standards Institute 3/5 Hadleigh Business Centre 351 London Road Hadleigh Essex SS7 2BT Telephone: 01702 559922 www.tradingstandards.gov.uk/

Traffic Commissioners c/o Department for Transport, Local Government and the Regions (DTLR)

UK Listing Authority 25 The North Colonnade Canary Wharf London E14 5HS Telephone: 020 7943 0333 www.fsa.gov.uk/ukla/

60

http://www.rtpi.org.uk/

http://www.sepa.org.uk/

http://www.scotland.gov.uk/

http://www.shefc.ac.uk/

http://www.scot-legal-ombud.org.uk/

http://www.scottish.parliament.uk/

http://www.parliament.uk/commons/selcom/ctteesys.htm

http://www.parliament.the-stationery-office.co.uk/pa/ld/ldhome.htm

http://www.parliament.the-stationery-office.co.uk/pa/ld/ldhome.htm

http://www.sra.gov.uk/

http://www.tradingstandards.gov.uk/

http://www.fsa.gov.uk/ukla/


United Kingdom Central Council for Nursing, Midwifery and Health Visiting President: Alison Norman Chief Executive: Sue Norman 23 Portland Place London W1B 1P2 Telephone: 020 7637 7181 www.ukcc.org.uk

Vehicle Certification Agency Chief Executive: Derek Harvey 1 The Eastgate Office Centre Eastgate Road Bristol BS5 6XX Telephone: 0117 952 4106 www.vca.gov.uk

Vehicle Inspectorate Chief Executive: Maurice Newey Berkeley House Croydon Street Bristol BS5 0DA Telephone: 0117 954 3200 www.via.gov.uk

Veterinary Medicines Directorate (VMD) Chief Executive: Dr Michael Rutter Woodham Lane New Haw Addlestone Surrey KT15 3LS Telephone: 01932 336911 www.vmd.gov.uk

Water Industry Commissioner for Scotland Commissioner: Alan Sutherland Ochil House Springkerse Business Park Stirling FK7 7XE Telephone: 01786 430200 www.watercommissioner.co.uk

Water Service (Northern Ireland) Chief Executive: R C Martin Northland House 3 Frederick Street Belfast BT1 2NR Telephone: 08457 440 088 www.waterni.gov.uk

Welsh National Board for Nursing, Midwifery and Health Visiting Chairman: Susan Kent Chief Executive: David Ravey 2nd Floor Golate House 101 St Mary’s Street Cardiff CF10 1DX Telephone: 029 2026 1400 www.wnb.org.uk

61

http://www.ukcc.org.uk/

http://www.vca.gov.uk/

http://www.via.gov.uk/

http://www.vmd.gov.uk/

http://www.watercommissioner.co.uk/

http://www.waterni.gov.uk/

http://www.wnb.org.uk/

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