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FSA Enforcement Letter (ENF/E/17/061), 28 September 2017
Summary The FSA’s Regulating Our Future programme team wrote to all local authorities during November 2016 about a feasibility study to explore Primary Authority national inspection strategies. We provided an update on this work at the recent local authority Regulating Our Future engagement events.
During November 2016 the FSA wrote to all local authorities asking for primary authority partnerships to nominate themselves to attend a workshop. The letter can be viewed via FSA letters to local authorities.
The aim of the workshop was for the FSA, Regulatory Delivery (the Department for Business, Energy and Industrial Strategy), primary authorities and their partner businesses to work together in an open policy making way, to explore how Primary Authority can support the Regulating Our Future programme. In particular, the workshop aimed to explore activities to develop effective Primary Authority national inspection strategy approaches.
10 partnerships were selected to attend the workshop. Discussions at the event led to the drafting of a set of ‘criteria’ that could form the basis of an FSA ‘standard’ for considering national inspection strategies delivered via Primary Authority Inspection Plans, and suggestions as to how the FSA should retain oversight of primary authorities with national inspection strategies in place.
In producing a national inspection strategy, a primary authority would need to provide evidence as to how they meet these criteria in their Inspection Plan rationale document.
This document is submitted to Regulatory Delivery (the Department for Business, Energy and Industrial Strategy) for consent, with the FSA as a statutory consultee.
The criteria that the attendees drafted were –
We would like to hear from you if you think we have missed any criteria you would consider important, any criteria that you think are not necessary, and any that you feel need further explanation.
We have recently published a brief report and news story on the national inspection strategy work to date, which can be accessed from here. Our next steps are to:
The FSA will continue to work closely with Regulatory Delivery (the Department for Business, Energy and Industrial Strategy), primary authorities, local authorities, and other relevant stakeholders as this project develops.