Business and regulatory impact assessment: toolkit

Enforcement, Sanctions And Monitoring

This section of the BRIA should describe in appropriate detail how you propose to enforce and monitor compliance and impact for each of the options.

When considering enforcement options, you should:

• engage fully with local authorities and COSLA, relevant existing regulators (and their sponsor teams) and the Public Service Reform Directorate;
• have regard to the Crerar Review and the Government’s response.

You will also have to develop effective monitoring mechanisms to assess compliance and whether (and to what extent) your policy (and associated regulatory interventions) is meeting the original objective.

Therefore this section of the template should:

• describe your proposed monitoring process for each option in the impact assessment, using SMART (Specific, Measurable, Achievable, Relevant and Timebound) criteria.
• take into account existing monitoring mechanisms – you may be able to use them but, if not, bear in mind that those also affected by other policies may face multiple monitoring activities.
• assess compliance against the overall policy objective and delivery success measures. Be clear about what will be counted as compliance and what will not.
• outline who will be responsible for monitoring each option. Think about the cost for those being regulated of compliance and monitoring and whether this will have a disproportionate impact on some groups.
• describe the frequency of monitoring and how it will be reported.
• consider setting up a feedback mechanism for recording any complaints from those affected by the proposals, to inform future policymaking.