The Regulators Code

The Regulators' Code of 2014 provides a framework for how regulators should work with those they regulate and develop policies and procedures that guide their regulatory activities.

In accordance with the Regulators Code we aim to prioritise and target our inspections and visits using intelligence and risk assessments on the areas where risk assessment shows: a compliance breach or breaches would pose a serious risk to a fair and safe trading environment and where there is high likelihood of non-compliance. Thereby accurately identify persistent offenders quickly.

What happens on an inspection or visit

We perform announced and unannounced inspections and visits to businesses. The type of inspection or visit will depend on the goods or services the business provides and what we consider the most appropriate means of checking whether the business is complying with the law.

Our inspections and visits include:

  • Risk based inspections to check: weighing / measuring equipment - for example scales in shops, pumps at petrol stations, labelling and ingredients of foods and non-food products, safety of electrical goods, toys, furniture and other items sold to members of the public, accuracy of descriptions used for everything, from car mileage to clothing and accuracy of promotions and offers.
  • Test purchases and/or sampling of goods and services.
  • Risk based project work.
  • Compliance checks where activities are monitored and test purchases may be made but there is no physical visit made to the business premises (for example for an internet businesses, mail order or telesales).
  • Joint action and advice visits with officers of other agencies with whom we have an enforcement role (for example environmental health services, police, and His Majesty's Revenue and Customs).

We recognise that most businesses want to comply with the law and therefore:

  • We will try, where possible and taking account of all relevant issues, to help businesses and others, with their responsibility to comply with the law without unnecessary expense.
  • Provide information, advice and guidance, where possible when it is requested by businesses, and to do so proactively where this is practicable in clear, concise and accessible language, using a range of appropriate formats and media during the inspection.
  • When offering compliance advice, we will distinguish between statutory requirements and advice or guidance aimed at improvements above minimum standards. Advice will be confirmed in writing, if requested and additional advice can be given through our business advice scheme.
  • will only require data and information from businesses when it is strictly necessary for us in carrying out our enforcement activities.

When are businesses are inspected or visited

We perform announced and unannounced inspections and visits to businesses.

How often a business may be inspected depends on nationally agreed guidelines for the type and size of business, and the goods or services provided. These guidelines assess the potential risks and consequences of failure to comply with the law. There are three risk bands:

  • high risk - inspected every year
  • medium risk - inspected every two years
  • low risk - inspected every five years

Test purchases, project work and other forms of compliance check may be conducted with same, more or less frequency depending upon the relevant intelligence and risk assessment.

Our findings on inspection or other enforcement action can affect the risk rating of a business.

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