Friday 24 th January 2014 Stevenage, Hertfordshire 10:00 ‘Open for business’ session

1. SOLACE East of England Seminar ‘Open For Business’ Friday 24th January 2014 Stevenage, Hertfordshire 10:00 ‘Open for business’ session Maxine Aldred, Development Manager for the Federation of Small Businesses Paul Downhill, Consumer Affairs Manager of Home Retail Group (Argos, Homebase and Habitat) Sarah Smith, Director, Better Regulation Delivery Office (BRDO) (BIS) Helen Buckingham, Programme Manager, BRDO (BIS)

2. Better Regulatory DeliveryMoving from Risks to Outcomes by the appropriate means Growth Duty Regulators Code Local Enterprise Partnerships Business Reference Panel Codes of Practice e.g. age restricted products Rules Accountability to business Data collections Focus on Enforcement Frameworks Performance Management Excellence Framework Service standards Priority Regulatory Outcomes Fees & charges Impacts & Outcomes Competency framework RDNA Leadership skills Culture/Competency Leadership Business planning Professional development Strategic risk Core skills Values

3. Collaborative Compliance - PRIMARY AUTHORITY

4. Supporting compliance and encouraging economic growth Helping businesses to comply and grow Providing assurance Reducing compliance costs Reducing ‘gold plating’ Using feedback from & co-ordinating enforcing authorities Sharing specialist knowledge Cost recovery

5. What people are saying ‘Our primary authority gives advice that is now entirely consistent and the time we spend on regulatory activity has reduced dramatically. Issues are resolved better, faster and more consistently – for us Primary Authority is a much more efficient way of proceeding’

6. What people are saying [A small drinks manufacturer] ‘Our primary authority gives us advice on how to label our products by reviewing ‘draft labels’. Once a label has been approved by it …no other regulator elsewhere challenges it.’

7. What people are saying [A district council primary authority] ‘Primary Authority helps our kudos and helps with the reputation of regulators more generally – it offers a more positive picture of regulation than many organisations seem to have’

8. ALL SHAPES AND SIZES

9. ALL SHAPES AND SIZES

10. Vital Statistics 903 businesses in primary authority 119 local authorities Over 73,000 premises 33% of these businesses are small (<50) 19% of these businesses are medium (<250) 22% are manufacturers

11. Where next for Primary Authority? Trade Associations and Franchisees Fire Safety Toughening up softer elements Time to get involved?

12. Primary Authority at Home Retail Group Presented to SOLACE meeting 24th January 2014

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14. Solace 24th January 2014 14

15. Solace 24th January 2014 15

16. Head Office Solace January 24th 2014 16 Central decisions Strategy Promotional campaigns Product selection Training developed Design of store layout Internet and ecommerce Relationship with primary authority – trading standards, health and safety, fire Growth is driven from the centre

17. Solace 24th January 2014 17

18. The store Solace 24th January 2014 18 In the community Employing local people Serving local customers Delivering central policy Subject to local enforcement Unlikely to ask for help locally Local advice may conflict with central policy Local constraints may hamper growth Good local relationships are important

19. Home Retail Group Solace 24th January 2014 19 700 + Argos stores 300 + Homebase stores 3 Habitat stores Argos, Homebase and Habitat websites Mobile and Tablet Apps A presence in every town across Great Britain Central decision making – Local enforcement Centrally established policy, process and procedure means consistency, predictability increased likelihood of compliance. But local needs may differ – based on local risks Can we earn recognition nationally and locally? Can Primary Authority help? Yes it can!

20. Primary Authority Solace 24th January 2014 20 Assured advice Inspection Plan Direct Referrals

21. Assured Advice Solace 24th January 2014 21 Evolved Compliance teams in House Not asking open ended questions Seeking assurance and validation on specific points or assurance on fitness for purpose of policies Assured advice on policy based on audit Annual review of audits Assured advice drives certainty Over 30 pieces of assured advice given Robust and reliable

22. Inspection Plan Solace 24th January 2014 22 Routine interventions are predictable Better feedback from interventions Helps regulators in decisions about need for interventions – risk based, intelligence lead enforcement Should form part of the regulators “pre flight check” Helps direct local resources – is there a need to intervene, or is it for reassurance? Annually reviewed From 1st October regulators must follow the inspection plan Most inspection plans are to reduce interventions but do not block or discourage interventions (“if you visit, look at this, tell us what you found”) Does not compromise consumer protection – ability to intervene if there is an immediate and serious risk to consumers

23. Assured Advice and Inspection Plans in Action Solace 24th January 2014 23 Fire Authorities – Assured advice re fire prevention measures – inspections needed to ensure the policy is applied on the ground, firemen need to visit premise to plan for the worst - if they have to enter the premises to fight a fire Age restricted sales – policy/procedure agreed and affirmed by assured advice, but is it being adhered to by the stores? Can only validate through test purchasing. Local issue – graffiti for example – if its linked to youths where are they getting the product – test purchasing a tool that can be deployed – the inspection plan asks for feedback.

24. Direct Referrals Solace 24th January 2014 24 Not strictly speaking identified in Regulatory Enforcement and Sanctions Act However actual scope and detail of partnership left to the two partners to decide As managed as part of the PA partnership, can be charged on a cost recovery basis Cost effective for the business (reduction in traffic from regulators, all through one conduit) Effective for LAs – somewhere to send issues that do not merit a full intervention Allows PA to monitor issues and identify trends, sets the agenda for the partnership Process subject of Audit, example of “earned recognition”.