Law and administration third edition

This page intentionally left blank Law and Administration As the branch of law dealing with the exercise of governmental power, and so directly concerned with politics, policy issues and good governance values, administrative law can challenge even the advanced student In response, this classic text looks at both the law and the factors informing it, elaborating the foundations of the subject This contextualised approach allows the reader to develop a broad understanding of the subject The authors consider the distinctive theoretical frameworks which inform study of this challenging subject Case law and legislation are set out and discussed and the authors have built in a range of case studies, to give a clear practical dimension to the study This new and updated edition will cement the title’s prominent status Carol Harlow FBA, QC (Hon), is Emerita Professor of Law at the London School of Economics and Political Science Richard Rawlings is Professor of Public Law at University College London The Law in Context Series Editors: William Twining (University College London), Christopher McCrudden (Lincoln College, Oxford) and Bronwen Morgan (University of Bristol) Since 1970 the Law in Context series has been in the forefront of the movement to broaden the study of law It has been a vehicle for the publication of innovative scholarly books that treat law and legal phenomena critically in their social, political and economic contexts from a variety of perspectives The series particularly aims to publish scholarly legal writing that brings fresh perspectives to bear on new and existing areas of law taught in universities A contextual approach involves treating legal subjects broadly, using materials from other social sciences, and from any other discipline that helps to explain the operation in practice of the subject under discussion It is hoped that this orientation is at once more stimulating and more realistic than the bare exposition of legal rules The series includes original books that have a different emphasis from traditional legal textbooks, while maintaining the same high standards of scholarship They are written primarily for undergraduate and graduate students of law and of other disciplines, but most also appeal to a wider readership In the past, most books in the series have focused on English law, but recent publications include books on European law, globalisation, transnational legal processes, and comparative law Books in the Series Anderson, Schum and Twining: Analysis of Evidence Ashworth: Sentencing and Criminal Justice Barton and Douglas: Law and Parenthood Beecher-Monas: Evaluating Scientific Evidence: An interdisciplinary framework for intellectual due process Bell: French Legal Cultures Bercusson: European Labour Law Birkinshaw: European Public Law Birkinshaw: Freedom of Information: The law, the practice and the ideal Cane: Atiyah’s Accidents, Compensation and the Law Clarke and Kohler: Property Law: Commentary and materials Collins: The Law of Contract Cranston: Legal Foundations of the Welfare State Davies: Perspectives on Labour Law Dembour: Who Believes in Human Rights?: The European Convention in question de Sousa Santos: Toward a New Legal Common Sense Diduck: Law’s Families Elworthy and Holder: Environmental Protection: Text and materials Fortin: Children’s Rights and the Developing Law Glover-Thomas: Reconstructing Mental Health Law and Policy Goldman: Globalisation and the Western Legal Tradition: Recurring patterns of law and authority Gobert and Punch: Rethinking Corporate Crime Harlow and Rawlings: Law and Administration Harris: An Introduction to Law Harris, Campbell and Halson: Remedies in Contract and Tort Harvey: Seeking Asylum in the UK: Problems and prospects Hervey and McHale: Health Law and the European Union Holder and Lee: Environmental Protection, Law and Policy Kostakopoulou: The Future Governance of Citizenship Lacey, Wells and Quick: Reconstructing Criminal Law Lewis: Choice and the Legal Order: Rising above politics Likosky: Transnational Legal Processes Likosky: Law, Infrastructure and Human Rights Maughan and Webb: Lawyering Skills and the Legal Process McGlynn: Families and the European Union: Law, politics and pluralism Moffat: Trusts Law: Text and materials Monti: EC Competition Law Morgan and Yeung: An Introduction to Law and Regulation: Text and materials Norrie: Crime, Reason and History O’Dair: Legal Ethics Oliver: Common Values and the Public–Private Divide Oliver and Drewry: The Law and Parliament Picciotto: International Business Taxation Reed: Internet Law: Text and materials Richardson: Law, Process and Custody Roberts and Palmer: Dispute Processes: ADR and the primary forms of decision-making Scott and Black: Cranston’s Consumers and the Law Seneviratne: Ombudsmen: Public services and administrative justice Stapleton: Product Liability Tamanaha: The Struggle for Law as a Means to an End Turpin and Tomkins: British Government and the Constitution: Text and materials Twining: General Jurisprudence: Understanding Law from a Global Perspective Twining: Globalisation and Legal Theory Twining: Rethinking Evidence Twining and Miers: How to Do Things with Rules Ward: A Critical Introduction to European Law Ward: Law, Text, Terror Ward: Shakespeare and Legal Imagination Zander: Cases and Materials on the English Legal System Zander: The Law-Making Process Law and Administration Third Edition CAR OL H AR LOW FBA, QC (Hon), Emerita Professor of Law at the London School of Economics and Political Science R ICH AR D R AWLINGS Professor of Public Law at University College London CAMBRIDGE UNIVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo, Delhi, Dubai, Tokyo Cambridge University Press The Edinburgh Building, Cambridge CB2 8RU, UK Published in the United States of America by Cambridge University Press, New York www.cambridge.org Information on this title: www.cambridge.org/9780521197076 © Carol Harlow and Richard Rawlings 2009 This publication is in copyright Subject to statutory exception and to the provision of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press First published in print format 2009 ISBN-13 978-0-511-64130-5 eBook (NetLibrary) ISBN-13 978-0-521-19707-6 Hardback ISBN-13 978-0-521-70179-2 Paperback Cambridge University Press has no responsibility for the persistence or accuracy of urls for external or third-party internet websites referred to in this publication, and does not guarantee that any content on such websites is, or will remain, accurate or appropriate M Barthélemy, the Dean of the Faculty of Law in the University of Paris, relates that thirty years ago he was spending a week-end with the late Professor Dicey In the course of conversation M Barthélemy asked a question about administrative law in this country ‘In England’, replied Dicey, ‘we know nothing of administrative law; and we wish to know nothing.’ W A Robson, ‘The Report of the Committee on Ministers’ Powers’ (1932) Political Quarterly 346 814 Index National Audit Office (NAO) acceptable behaviour contracts 354 audit of simplification plans 261 compensation payments 785 establishment 60 Hampton implementation reviews 266, 308 Impact Assessments (IAs) 152–3 independence 60 monitoring of public services 86 National Programme for IT in the NHS 77 non-departmental public bodies (NDPBs) and 308 PPP/PFI deals 422, 425 redress systems 454–5 review of FSA 308 Select Committees and 308 value for money (VFM) 60–1 National Aviation Authorities (NAAs) 278–9 National Consumer Council 310 National Health Service (NHS) 50 Audit Commission and 60 contracts 57, 339 data protection failures 79 Herceptin case 123–6 internal market 57 IT failures 198 National Programme for IT in the NHS 77 private finance initiative 422 redress scheme 777–8 National Identity Register 80 national institute for clinical excellence (NICE) appointments 69 economic model 314 Herceptin treatment 123–5 national insurance benefit disputes 438 Insurance Commissioner 438 National Insurance Local Tribunals (NILTs) 496, 498 National Lottery allocation of franchise 398–9, 645 management 400–2 National Lottery Commission (NLC) 398, 400–2 National Physical Laboratory 424–5 National Policing Improvement Agency 66 national security coroner’s inquests 577, 578 freedom of information and 475, 476 judicial review and 103, 117, 134, 718 prerogative powers 10 procedural protection 626, 636 risk analysis 74 National Security Appeals Panel 476 nationalised industries 50, 67 see also privatisation natural justice 617, 619, 681 analytical theory 622–4, 633 fair hearing 115 negligence 755 damages 766–70 novel actions 766 see also tort nemo iudex in causa sua 616, 652 Network Rail 408, 594 New Deal 32–3, 45, 283 new public management (NPM) xvii, 59 complaints 453, 476, 483 dispute resolution 487 PCA and 535, 545–6 pre-legislative consultation 171 procurement and 357 rationality and 105 rules and 59, 197 service delivery 732–3 Newton Committee of Privy Councillors 129 Next Steps Agencies (NSAs) 63, 67, 339 Child Support Agency 77–9 contracts 63 performance indicators 63 ‘Next Steps’ Report 62–3 Nicol, D 159 night-watchman state Nolan Committee 54, 613, 662 Seven Principles of Public Life 54, 310, 537 non-departmental public bodies (NDPBs) appointment procedure 68 decrease in 70 definition 68 Home Office 64 NAO jurisdiction 308 relationship with Parliament 68 Northcote-Trevelyan Report 51, 53 Northern Administrative Law Association 687 Northern Ireland Belfast/’Good Friday’ agreement 88 devolution 88 direct rule 88 lawmaking procedures 142 Northern Rock 275, 308 nuclear power stations consultation process 177–8 Nursing and Midwifery Council 329 815 Index occupational pensions Financial Assistance Scheme (FAS) 557, 560–1 minimum funding requirement (MFR) 554 PASC report 558, 559–61, 564 PCA investigation 534, 554–62, 566, 785 Occupational Pensions Regulatory Agency (OPRA) 554 OCPA see Commissioner for Public Appointments ‘Ofdogs’ 67, 249–51, 267, 285, 288, 311 case study see Office of Water Services see also regulation; regulatory agencies Office of Communications (OFCOM) 253, 254–5, 321, 327, 397 broadcast advertising 330–3 co-regulation 327, 330–3 ‘participation TV’ 333–6 code of practice 463 consumer panel 268 PhonepayPlus 335, 336 pseudo-contractual MoU 301, 332, 333 telecom premium rate services 333 Office of Electricity Regulation (OFFER) 249 Office of Fair Trading (OFT) 250, 253, 263, 268, 278, 322 European Competition Network 278 Office of Gas Supply (OFGAS) 249, 253 Office of Government Commerce (OGC) 358–9 Gateway Process 358 OGC buying.solutions 358 standards 359–60 Office of the National Lottery (OFLOT) 398 Office of the Parliamentary Commissioner for Administration see Parliamentary Commissioner for Administration Office of Passenger Rail Franchising (OPRAF) 403–4, 405, 406, 407 Office of Rail Regulation (ORR) 253, 403, 407, 410 Office for Standards in Education, Children’s Services and Skills (Ofsted) 67–8, 70 mandate 67–8 powers 68 quasi-autonomy 68 ‘super-regulatory’ status 67 Office of Telecommunications (OFTEL) 249, 251, 290 transparency 290 Office of Water Services (OFWAT) accountability 300–1, 306 case study 292–304 competition appeals 297 competition complaints 297 consultation documents 296 Consumer Council for Water (CCW) 301 consumer protection 299 customer service committees (CSCs) 296 enforcement action 302 enforcement orders 315 environmental issues 303–4 financial penalties 302 Guaranteed Standards Scheme 301 legislative mandate 293, 299 monitoring activity 301–4 National Customers Council 296 as new model agency 299–301 Ofdog 293–7, 299 price control 293, 294, 297–9, 303 pseudo-contractual MoUs 300 risk methodologies 304 standards 300 WaterVoice 296, 298, 301 Ogus, A 241, 311 O’Leary, R 40 Oliver, D 88–9, 378 ombudsmen xvi, 444–5, 480–3, 529 advantages over courts 445, 480 characteristics 529–30 Commissioner for Local Administration (CLA) 452, 481, 482, 487 compensation complaints 783 court-substitute, as 444 courts and 538 devolution and 88 European Union Ombudsman (EO) 529–30, 565–6 ex gratia payments 753, 783 independence 445 investigation costs 454 judicial review 562–5 parliamentary see Parliamentary Commissioner for Administration private 480–1 public 480 public procurement issues 373–4 redress and 783–91 role 445 self-regulation 481 statutory 481 open method of co-ordination (OMC) 199, 277 816 Index Osborne, D 59 ouster clauses 25–31, 111, 509, 730 asylum and immigration appeals 28–9, 518 drafting 28–9 judicial opposition 26 rule of law and 25–31 outsourcing see public procurement Page, Edward 171, 172, 174 Panel on Takeovers and Mergers judicial review of decision of 317–18 parenting contracts 352–3 Parker, Anne 550–1 Parker, C 244–5 Parking Adjudicators 526 Parliament courts and 145–9 Impact Assessments (IAs) 152–4, 235 scrutiny function 149–51 sovereignty see parliamentary sovereignty as watchdog 149–63 Parliament Acts 1911 and 1949 use of 111–13, 144, 146 Parliamentary Commissioner for Administration (PCA) 46, 444–5, 446, 481, 482, 530–69 appointment 530–1 audit by 539–42 Barlow Clowes investigation 552–3, 566 characteristic qualities 565–6 Child Support Agency Special Report 79, 540, 545, 549–51, 568 Citizen’s Charter and 535 compensation ‘Cod wars’ 790–1 Debt of Honour affair 785–90 ex gratia payments 783 inquiry into 783–5 Court Line case 552 courts and 538–9 control by courts 562–5 discretion 535, 539, 549, 552, 553, 562, 564, 565, 567 Equitable Life investigation 553–4, 562 freedom of information cases 471–3, 474–5 function 532 group complaints 532, 533, 549, 565 Child Support Agency 79, 540, 549–51 political cases 551–4 impartiality 531 independence 531 inquisitorial procedure 543–9 investigation 543–4, 567 numbers of complaints 549 outcomes 549 reports 544–8 screening 543 inspection powers 539–42 investigation of complaints 543–4 judicial review 562–5 maladministration 532, 533, 534–5, 559 MP filter 445–6, 457, 532–3, 538, 539, 540, 543, 566 new public management (NPM) and 535, 545–6 number of complaints 538, 542 number of enquiries 487 occupational pensions 534, 554–62, 566, 785 PASC and 534 principal officer (PO) 545 Principles of Good Administration 194, 535–7, 566 redress, inquiry into 783–5 relationship with parliament 532–3 reports 544–8 Sachsenhausen case 551–2 screening of complaints 543 as small claims court 537–8, 565, 566–7 staff 531 tax credits system, Special Report on 77, 461, 541–2, 566 tenure 530 Whyatt report 537–8 Parliamentary Commissioner for Standards (PCS) 478 Parliamentary Ombudsman 568 see also Parliamentary Commissioner for Administration parliamentary sovereignty 4, 8, 144 common law constitutionalism and 111 devolution and 87, 141 Dicey and 4, 8, 112, 140 EC law and 179–83 Henry VIII clauses and 167 Human Rights Act 1998 and 87, 119, 141 judicial review and 25–6 prerogative powers and 11–12 parole procedural review 640–4 reasons for decisions 640 817 Index ‘participation TV’ OFCOM and 333–6 Partnerships UK (PUK) 419, 421 Pension Protection Fund (PPF) 554–5 pensions see occupational pensions Pensions Action Group (PAG) 555, 560 Pensions Compensation Board 554 Pensions Ombudsman 481, 482 performance culture 73 performance indicators 60, 61 local government 86 Next Steps Agencies 63 Pergau dam 699, 706 petition of right PhonepayPlus 335, 336 planning decisions bias 657–8 planning inquiries 582–8 Donoughmore Committee 573–4 Franks Committee 574 independence 584–5 inspectors 584–5 judicialisation 584–5 major inquiries 585–8 procedure 583 statutory codes of procedure 443, 584 Pliatzky Committee 67 police amalgamations 65 centralisation 64–5 chief constables 64 community consent to policing policy 64 community policing 65 Complaints Commission 578 complaints system 446 defensive policing 776 detention of terrorism suspects 83 discretion 193, 208 DNA bank 79, 81 duty of care 775–7 funding 64 HMIC 51, 64 inspectorate 64 liability 775–7 local control of police forces 64 local policing 65 Metropolitan Police Act 1829 51 National Policing Improvement Agency 66 powers 17 rules and 204 supervision 51, 64 unlawful detention 758 Police and Criminal Evidence Act 1984 (PACE) 17, 193 Codes of Practice 193, 194 complaints procedures 446 policy 196 discretion 209 principle distinguished 109–10, 137, 204–5 political advertising 148 political integrity principle 109 Poole, T 111 poor person’s defences 438 Popham, J 575, 585 positivism 3, 4, 95, 231, 619 Power, M 61–2, 197 precedent, doctrine of 96 prerogative orders 670, 704 prerogative powers 9–16 accountability for use 10 common law and 10 criminal injuries compensation scheme 11–12 defence 115 Dicey on 9–16 justiciability 10–11, 107, 108 parliamentary sovereignty and 11–12 statutory powers and 10 Press Complaints Commission (PCC) 318, 326, 458, 462–70 accountability 467 adjudication 466 Annual Reports 466 attitude of complainants 466 Code of Practice 194, 462, 463–4 conciliation 465–7 Culture, Media and Sport Committee (CMSC) report 465, 468, 469–70 rationale 462 principle policy distinguished 109–10, 137, 204–5 principles rules and 204–5, 207, 211–12 prisoners death in state custody 609–14 disciplinary proceedings bias 655 legal representation 627–8 legitimate expectation 228–9 818 Index prisoners (cont.) loss of remission 680–1 reading prisoners’ correspondence 118, 758–9 sentences life sentence reviews 228–9 miscalculation 756–7 reasons for 628–9 prisons accountability 65 escapes 65 inspectorate 64 judicial review, impact of 730–1 management 65 strip-search of visitors 758, 760 unlawful detention 757–8 Prisons Agency (PA) 65 privacy press freedom and 463–70 surveillance society and xviii, 80–3 private finance initiative (PFI) xvii, 71, 339, 345, 358, 394, 413–25 accountability 416, 421, 422 authority step-in 419–20 bid costs 415 concession contracts 414 criticisms 420–3 DBF 414 DBFO 413 fettering of discretion 419–20 flexibility 415, 416, 423–4 integrator model 414 as ‘off balance sheet’ financing 416 partnership working 424 PFI credits 418 policy review 414 practical issues 423–5 Public Private Partnership Programme (‘4ps’) 362, 418–19 public sector involvement 414 rationale 414–16 Ryrie rules 417–18 scale 416–17 social housing 420 transfer of risks 415–16 transparency 421, 422 value for money (VFM) 414–15, 416, 418, 422, 423, 424 see also public–private partnership private-bill procedure 573 privatisation 20, 57–8, 59, 67, 267, 281 British Rail 57–8 performance standards 251 statutes 249, 251, 288, 311 probation inspectorate 64 procedural impropriety 107, 108, 617 procedural review 616–67 analytical theory 622–4, 633, 644, 657 bias see bias Bushell’s case 647, 651, 663 common law 618, 622, 623, 624, 628 interplay with ECHR Art and 617, 635, 637–40 interplay with statute 634 reasons for decisions 630–5 competitions 645–7 consultations 647–52 dignitary theory 620, 628, 666 ECHR Art 618, 620, 640, 660–6 control orders 626 interplay with common law procedural fairness 617, 637–40 parole 641–2 flexibility 624–35 instrumentalist approach 619, 621, 631, 635, 666 Judge Over Your Shoulder (JOYS) 621, 649, 652 judicial discretion 617, 620, 624, 629, 636, 653, 658, 666 judicialisation 617, 618, 619, 630, 639, 640, 653, 660, 662, 664 mandatory and directory requirements distinguished 629–30 parole 640–4 ECHR Art 640, 641 reasons for decision 640 pragmatic view 636–7 rationale 618–21 reasons for decisions common law 630–5 duty to give 628–9, 630–5 Franks Committee 491, 630 freedom of information 631–2 tribunals 490 structural 653, 659–60, 667, 675, 723 subsequent fair hearing 626–7 tailoring of procedural fairness 625–9 procurement see public procurement professional treatment model 447 prohibiting order 670 prohibition 670 property compensation, compulsory purchase 753 819 Index peaceful enjoyment of possessions (ECHR Protocol 1, Art 1) 145, 223, 315, 753 proportionality discretion and 229–30 principle 90–1, 108, 137, 675, 678 test 116 de Freitas test 120 Wednesbury test compared 120–6, 678 proportionate dispute resolution (PDR) 444, 487, 488, 524, 566–7, 570 aims 456, 484 internal review and 458, 505 MP filter of PCA 538 Prosecution Team Manual of Guidance 194 prospective control 40 Prosser, T 47–8, 50, 92, 288, 292 new regulatory models 292, 321 pseudo-contracts 58, 71, 81, 198, 339, 348, 350–6 acceptable behaviour contracts 353–4 contractualising welfare, etc 354–6 control contracts 351–4 Crown 342–3 education 71 Job Seeker’s Agreement 81, 355–6 memoranda of understanding (MoUs) 339, 347 OFCOM 331, 332, 333 OFWAT 300 parenting contracts 352–3 as tool of social work 351–4 as way of modelling institutional relations 339 Public Accounts Committee (PAC) 59, 60 Child Support Agency Special Report 78 NDPBs and 308 tax credits system and 77 Public Administration Select Committee (PASC) 15, 48, 54–6, 485 audit culture, effects on public administration 73 Citizen’s Charter and 58, 453 on complaint handling 455 Debt of Honour affair 789, 790 on e-governance 76 on inquiries 603–4 occupational pensions 558, 559–61, 564 PCA and 534 standardisation of public services 86 public authority core or standard 377 courts and tribunals 378 Human Rights Act and 376–83 hybrid, mixed function or functional 377–8 public franchising 393–4 accountability 395 agency discretion 394 allocation 394, 395–9 commercial television franchising 396–8 flexibility of application 394 franchise management 399–402 franchising technique 394–402 market contestability and 395 National Lottery 398–9 nature 394 price-bidding franchising 396 process values 395 public-interest franchising 395–6 railways see rail franchising value for money (VFM) 395 public health measures 50, 51 public interest immunity 705 public law balanced constitution and 23 Dicey on 18–22 Public Law Project 719 public order demonstrations 83 dispersal areas 82 New Labour Government 82–3 Public Private Partnership Programme (‘4ps’) 362, 418–19 public procurement 339, 341 ‘4ps’ 362, 418–19 alternative dispute resolution 392 ‘best value’ regime 85, 86, 340, 361–2, 364, 420 buying social justice 363–6 competitive dialogue procedure 386–7 compulsory competitive tendering 57, 85, 340, 360, 361 contract compliance buying social justice and 362–6 human rights protection and 365–6 conventional procurement 358 discrete contracts 349 enforcement and remedy 390–2 Europeanisation 57, 91, 344, 346, 383–92 alternative dispute resolution 392 competitive dialogue procedure 386–7 compliance costs 386–7 Compliance Directive 391 contract award procedure 387–9 development 383–7 820 Index public procurement (cont.) Europeanisation (cont.) Directives 91, 386 enforcement and remedy 390–2 ‘ineffectiveness’ remedy 391–2 negotiated procedure 385, 387 open procedure 384 pathway model 384–6, 387–90, 391 pre-contractual remedies 390–1 procedures 57 restricted procedure 384 simplification of procedures 386–7 special ‘administrative procedures act’ 383 Gateway Process 358 Gershon review 357–8 incompatibility of power and purpose 371–3 ‘ineffectiveness’ remedy 391–2 internationalisation 340 judicial review 373–6, 389–90 local government 360–2 Major Projects Review Group 359 market testing 357, 360 negotiated procedure 385, 387 Office of Government Commerce (OGC) 358–9 Gateway Process 358 OGC buying.solutions 358 standards 359–60 open procedure 384 policy and structures 357–66 pre-contractual remedies 390–1 public service provision and human rights 376–83 relational contracts 349 remedies 390–2 restricted procedure 384 ‘smart’ procurement 362 social policies and 362–6 see also private finance initiative; publicprivate partnership public service code 54–5 public services 50 care homes 380–3 efficiency 73 Human Rights Act and 376–83 measurement and control 71 New Labour Government 85–6 standardisation 86 see also local government Public Standards Commission 55 public-interest theory 240 public-private partnership (PPP) xvii, 58, 339, 358, 413 London Underground see London Underground PPPs ‘Notional Infraco’ 431–2, 434 see also co-regulation; private finance initiative Public-Private Partnership Agreement Arbiter 430–2, 433, 434, 436 Pugh, Sir Idwal 539, 540, 543, 544, 565 Purdue, M., 575, 584, 585, 586, 589 quangos 66–7 Commissioner for Public Appointments (OCPA) 69 minimum standards for 68–9 Wales 68 see also regulatory agencies quashing order 670 quasi-privatisation 57 Rail Accident Investigation Branch 581 rail franchising 402–13 agency discretion 405 agency enforcement 408–9 crisis in rail industry 407–8 defects in franchising model 408 differential charging 314–15 franchise allocation 404, 410–11 franchise management 406–7 OPRAF 403–4, 405, 406, 407 ORR 253, 403, 407, 410 procedural values 405–6 SRA 407–9 standard terms in agreement 405 value for money (VFM) 402, 404 Railtrack 403, 408 rationality bounded 105–6 judicial review and 102, 105–9 Rawlings, Richard 444, 448–9 Raz, J reasoning, conceptual reasons for decisions duty to give 103, 628–9, 630–5, 705 Franks Committee 491, 630 freedom of information 631–2 parole decisions 640 tribunals 490 red light theory 6, 22–31 Dicey and 22–5 821 Index green light theory compared 31, 38, 44–8 regulation 235 referenda 112–13 regional assemblies 89 regional executives 88 regionalism 50 regulation 93, 233–81, 283 agencies see regulatory agencies agency model 283–5 Arculus review 260–2, 289 ‘better regulation’ 236, 237, 251–69, 401 accountability and process 260 administrative burden reductions 260, 310 advice and guidance 259 Arculus review 260–2, 289 Better Regulation Commission 255 Better Regulation Executive 255 Better Regulation Task Force (BRTF) 251, 255, 324, 325 changing institutional geography 253–5 compliance and enforcement action 259 consolidation 260 consumer representation 266–9 deregulation 260 economic progress 259 European Commission 277 Hampton review 255–8, 262, 266, 288 information requirements 259 inspections 259, 270 Local Better Regulation Office 258 Macrory review 259, 262–5, 266 OFWAT 292 Panel for Regulatory Accountability 251 principles of good regulation 252 rationalisation 260 Regulatory Impact Unit 251, 255 ‘Regulatory Procedures Act’ 258–60, 292 risk assessment 256, 257, 259 simplification plans 261 ‘blue rinsed’ 235–6, 247–51 bureaucratic regulation 239 case study see Office of Water Services civil sanctions 265–6 monetary administrative penalties (MAPs) 263, 264–5 classification 238–47 co-regulation see co-regulation collaborative governance 246, 281 competing theories 239–41 Compliance Cost Assessment 247–8 consumer representation 266–9 super-advocate 268–9 contract, by 341, 345–8 control and 235, 238–9 Datafin project 316–20, 337, 379–80 delegated legislation see delegated legislation deregulation 167–9, 247–8, 280 Arculus review 260 economic regulation 238, 239–40, 250, 265, 267, 309, 315 market failure 240, 242 Ofdogs 293 OFWAT 300 public-interest theories 240 rail regulator’s differential charging policy 314–15 redistribution policies 240 enforcement pyramid 242–3, 263, 302, 315, 353, 400 environmental law 244 European Union 276–9 ‘better regulation’ 277 European Competition Network 278, 306 network governance 277–9 ‘new approach’ 276 financial regulation 244 ‘full-blown’ 238–9 functional model 253 General Regulatory Chamber 265 globalisation and 246–7, 279–80, 291 Hampton review 255–8, 288, 305 implementation reviews 266 principles for regulatory enforcement 256 risk-based regulation 256 super-regulators 258, 267 information regulation 241 inspections 259, 270 juridification and 241, 281, 311 Legislative and Regulatory Reform Act (LRRA) 2006 255, 258–60, 261, 292 licensing 241, 281 deregulation and 249, 250 Retail Price Index (RPI) - X 250 Macrory review 262–5, 266, 469 criminal sanctions 262–3 General Regulatory Chamber 265 monetary administrative penalties (MAPs) 263, 264–5, 301, 315 operating framework for regulators 264 penalties principles 259, 263 sanctions 262–4 market approaches 246–7 822 Index regulation (cont.) market regulation 288 meso-regulation 246, 281, 326, 327 health- and social-care professionals 327–30 meta-regulation 235, 244–5, 246, 281, 337 risk-based regulation and 272, 274 model enforcement pyramid 242–3, 263, 302, 315, 353, 400 models agency model 283–5 functional model 253 new regulatory model 292, 299–301, 315, 321 thematic model 253 monetary administrative penalties (MAPs) 263, 264–5 monopoly regulation 250 New Labour Government 236–7 ‘Ofdogs’ 67, 249–51, 267, 285, 288, 311 case study see Office of Water Services Ofsted 67–8, 70 OFWAT case study see Office of Water Services presumption against 247–8 prior approval 241 private-interest theories 240, 325–6 public-interest theories 240 quality regulation 250–1 re-regulation 236 reform 235–8 Regulators’ Compliance Code 262, 263, 311 regulatory competition 273 ‘regulatory creep’ 289 regulatory cycle 239 Regulatory Enforcement and Sanctions Act (RESA) 2008 255, 261, 292 civil sanctions 265–6 regulatory reform 235–8 the regulatory state 234, 235, 246, 253, 281, 329 regulatory subsidiarity 331–2 responsive regulation 242–3, 281 Risk Assessment 256, 257, 259 risk regulation 74, 81 rationality and 105 Risk and Regulation Advisory Council 255 risk-based see risk-based regulation self-regulation 235, 236, 239, 244–6, 281, 323–6, 337 advantages 325 codes of practice 194 constitutive approaches 241 dangers 325–6 Datafin project 316–20, 337, 379–80 definition 239 health- and social-care professionals 327–30 interpretation of own rules 318 Jockey Club 319–20 judicial review 317–20 limits of supervisory jurisdiction 317–20 meso-regulation 246, 281, 326, 327–30 meta-regulation 235, 244–5, 246, 272, 274 OFCOM 327, 330–3 policy options 326–7 press see Press Complaints Commission see also co-regulation simplification plans 261 smart regulation 243–4, 246 super-regulators 67, 253, 258–67 risk-based regulation and 274 thematic model 253 theories 239–41 trilemma 241 ‘UK style’ 249, 250 Regulators’ Compliance Code 262, 263, 311 regulatory agencies 235 accountability 68, 235, 236, 260, 286, 300–1 audit and political accountability 307–10 discretion, exercise of 289–92 high-class tribunals 321–3 judicial supervision 310–20 multiple accountabilities 304–7 mutual accountability networks 306, 307, 309, 330, 336 network accountability 250, 291, 337 OFWAT 300–1, 306 select sommittees 308–9 audit 307–10 case study see Office of Water Services consultation 291 design 285–9 discretion 197, 287, 288, 295 accountability and 289–92 transparency and 289–90 due process 286, 290 efficiency and effectiveness 285–9 European agencies 278 expertise 286, 295, 325 Food Standards Agency 278, 280 globalisation and 70 823 Index independence 285 independent regulatory agencies (IRAs) 284, 292 legislative mandate 285, 286–7 OFWAT 293, 299 legitimacy 285–9 new regulatory model 292, 299–301, 315, 321 ‘Ofdogs’ 67, 249–51, 267, 285, 288, 311 case study see Office of Water Services Office of Telecommunications see Office of Telecommunications policy networks and 70 rise of 283–5 self-regulatory organisations (SROs) 245, 283, 317, 323–6 co-regulation 235, 245–6, 274, 281, 283, 309, 318 codes of practice 194 Datafin project 316–20, 337, 379–80 interpretation of own rules 318 Jockey Club 319–20 judicial review 317–20 limits of supervisory jurisdiction 317–20 super-agencies 67, 70, 198, 292, 309, 323, 330 transparency 289–90, 313 regulatory impact assessments (RIAs) 152, 153, 251–2 see also Impact Assessments Regulatory Impact Unit 251, 255 Regulatory Reform Committee 168–9, 309, 310 regulatory state 234, 235, 246, 253, 281, 329 regulatory theory rationality and 105 Reid, John 64, 65–6 Reid, William 78, 534–5, 540, 549–50, 565, 568–9, 783 Reiss, A 209 religious freedom school dress codes and 121–2 responsive regulation 242–3, 281 restitution ultra vires contracts 370–1 unjust enrichment and 370–1, 764–6 Retail Price Index (RPI) - X 250, 251 retrospective control 40 Revenue Adjudicator see Adjudicator’s Office Revenue and Customs see Inland Revenue Rhodes, R 83 Richard Commission 88 Richardson, G 488 Ridley, Nicholas 553 Ripstein, Arthur 792–3 risk analysis 74 risk management 75, 81 risk regulation 74, 81 rationality and 105 risk society 73–5, 754 risk-based regulation (RBR) 235, 237, 255, 269–76, 281, 328 ARROW 271–3, 274, 275–6, 308 co-regulation and 274 Environment Agency 269–71 Financial Services Authority 271–3, 274, 275–6 Hampton review 256 Health and Safety Executive 271 meta-regulation and 272, 274 regulatory competition 273 risk maps 272, 274, 275 risks to objectives (RTOs) 272 super-regulators and 274 Robson, William 19, 32, 36–7, 440–1, 442, 445, 505 Roosevelt, Franklin D 32–3, 45 Rosenbloom, D 40 rule of law 4, 617, 664 Aristotle and Dicey and 4–9, 11, 15, 670, 683 Hayek and 5–6 judicial review and 669 Lord Bingham and 7–8, 113 ouster clauses and 25–31 procedural nature rule-making 192 Davis on 200–3 efficiency 202 Financial Services Authority (FSA) 291 juridification and 195–6 rules Davis on 200–3 design 289 discretion and 41, 203–32 nature 203–4 new public management (NPM) and 59, 197 operation 203–4 policy and 204 principles and 204–5, 207, 211–12 pseudo-contracts see pseudo-contracts rationality 201–2 reasons for 195–200 824 Index Sainsbury, R 457, 525–6 St Andrews Agreement 88 Sales, Philip 572, 615 Salmon Commission 579–80, 600 Sarat, A 447–8 Saville Inquiry into ‘Bloody Sunday’ 579, 604–5, 608 Schiemann, Sir Konrad 91 schools dress code 121–2 see also education Schuck, P 771 Schwarz, Bernard 97, 135, 283, 284, 444, 575 Scotland inquiries 580 Scottish Parliament legislative powers 142 ‘Sewel convention’ 142 Scott, C 243, 312–13, 336 accountability networks 306, 330, 336 Scott Inquiry 579, 590–3, 615 secondary legislation see delegated legislation Security and Immigration Appeals Commission (SIAC) 129, 131 special advocate procedure 133 security state 80–3 Sedley, Sir Stephen 468–9 Select Committee on Regulators 284–5, 287, 288, 291 Select Committee on Work and Pensions (CWP) review of CSA 78 Select Committees 38, 60, 69, 151, 308–9 self-regulatory organisations (SROs) 245, 283, 317, 323–6 agreements with government 339 co-regulation see co-regulation codes of practice 194 collective self-regulatory systems 324–5 Datafin project 316–20, 337, 379–80 interpretation of own rules 318 Jockey Club 319–20 judicial review 317–20 limits of supervisory jurisdiction 317–20 meso-regulation 246, 281, 326, 327 health- and social-care professionals 327–30 policy options 326–7 press see Press Complaints Commission Selznick, P 238 Seneviratne, M 542 Senior, Nassau William separation of powers 12–13, 22–3 ‘Sewel convention’ 142 Shapiro, Martin xviii, 5, 21, 39, 92, 103 synoptic dialogue 314 Shipman, Harold 327, 576 Simon, Herbert 105, 202 simplification plans 261 Skeffington Committee 173 smart regulation 243–4, 246 Smith, Dame Janet 576 Social Fund Inspectorate 488, 503–5 Social Security Advisory Committee (SSAC) pre-legislative consultation 172 Social Security Commissioners 498, 499 social security system internal review 457 social security tribunals 538 appointment of members 499 bureaucratisation 501 chairmen 497, 498, 499, 500 Commissioners 498, 499 delay 502 independence 499–500 lay members 500, 501, 502, 503 members 497, 499, 500 National Assistance Tribunals (NATs) 495 paper decisions 501 precedents 498, 499 presidential system 499–501 reasoned decisions 499 representation 495, 498, 500–1 Social Security Appeals Tribunal (SSAT) 499 success rates 500–1 Supplementary Benefit Appeal Tribunals (SBATs) 495–9, 505 training 498, 500 social services automated assistance 220–2 child abuse inquiries 581, 595–9 complaints 454 social work liability and 772–5 pseudo-contract as tool of 351–4 soft law 56, 89, 141, 192–5 codes of practice 193–4 guidance 193–4, 340, 385 open method of co-ordination (OMC) 199, 277 see also regulation; rule-making; rules Solum, L 621 825 Index sovereignty e-governance and 75–6 see also parliamentary sovereignty standing 674, 694–701 drainpipe model 694, 697, 702 environmental litigation 697, 698–9 freeway model 696 funnel model 673–4, 694, 697 ideological interests 695 interest, notion of 695 material interest 695 private interest 695 public interest 695, 698, 702 representative proceedings 698–9 sufficient interest 696–7, 700 tax amnesty case 696–7 two-pronged approach 695–6 state administrative state 3, 31, 33, 44, 48, 622, 754 allocation of functions 40–4 Crown and 9–16 force, use of 19 functions 72 ‘hollowing out’ 83, 93 devolution 87–9 European Union 89–92 local government 83–7 law and 1–4 liability consequences 770–1 ‘decision traps’ 771, 773 defensive administration 770–7 European Union and 763–4 policing and the duty of care 775–7 public authorities 766–70 resource allocation and 770 social work 772–5 risk society 73–5 security state 80–3 sovereign power 19 statutory authority and 16–18 strategic and enabling state 71–2 surveillance society 80–3 ‘third way’, the 70–2, 395 statute law 141 statutory authority state and 16–18 statutory instruments increasing numbers of 165 Joint Committee on Statutory Instruments (JCSI) 164 Merits Committee 164–5, 184 procedure for making 164 affirmative procedure 164 negative procedure 164 scrutiny 142 see also delegated legislation Stebbings, C 438–40, 488 Stern Review 93 Stevenson, Olive 596 Stewart, R 47, 241 Stigler, G 240 Stonewall 114 stop orders 670 Strategic Rail Authority (SRA) 407–9 Street, H 36, 37, 170, 441, 507 Strong and Prosperous Communities 86–7 subsidiarity principle 91–2, 277 regulatory subsidiarity 331–2 super-agencies 67, 70, 198, 292, 309, 323, 330 Supplementary Benefit Appeal Tribunals (SBATs) 495–7, 505 Bell Report 497–9 Supplementary Benefits Commission (SBC) 495–6, 497 supremacy of Parliament 112 surveillance society xviii, 80–3, 475 civil liberties and 81–2 terrorism 81, 83 sustainable development 93 Taggart, M 31–2, 46, 94, 207, 704 tax credits system complaints 457, 459, 460–1, 541, 542 overpayments 77 PCA Special Report 77, 461, 541–2, 566 telecom premium rate services 333 television commercial television franchising 396–8 terrorism encouragement of 128 surveillance society 81, 83 see also anti-terrorist legislation Teubner, G 21, 45, 52, 195 juridification 241 on regulation 241 Thatcher, Margaret 56, 58–9, 67–8, 70, 71, 93, 170 civil service and 53 local government and 84, 85, 363 poll tax 87 826 Index ‘theory of law’ 23 ‘third way’, the 70–2, 395 Thomas, Brian 526 Thomas, Richard 475 Three Rivers case 561 Tilt, Sir Richard 505 Titmuss, R 207–8 tort compensation and 766–70 Crown immunity 751 damages and 750 Dicey on 755–6 General Warrant cases 750 human rights claims 751, 760–3 landmark tort actions 750–1 misfeasance in public office 758–9 ombudsman function 759–60 public authorities 766–70, 771 duties, powers and omissions 767–70 public authorities and 752 special damage 759 state liability 770–1 European Union and 763–4 policing and the duty of care 775–7 public authorities 766–70 social work 772–5 strict liability 757, 758 unlawful detention 757–8 see also negligence; trespass torture evidence obtained by 131–2 Touhig, Don 789 transformational government 73 transparency European Union and 92 experts and 75 inquiries 572, 596, 609 private finance initiative 421, 422 regulatory agencies 289–90 science and technology and 75 Transport for London (TfL) 426, 427 Treasury Solicitor guide to judicial review see Judge Over Your Shoulder trespass damages 750 Dicey and 756 lawful excuse or justification 756–7 strip-searches 758, 760 unlawful detention 757–8 Tribe, L 619 Tribunal Service 488 tribunals xvi, 36, 444, 486–527 accessibility to users 449, 492, 493 accountability 321–3, 509–14 adversarial procedure 213, 442–3, 528 appeals 491 statutory rights 509–10 asylum appeals see asylum and immigration appeals Australian Administrative Appeals Tribunal 522 Bell Report 497–9 bias 656 Council see Council on Tribunals court-substitute, as 438, 441, 442, 444, 486, 490, 491, 523–4 courts of referees 438 disability appeal tribunal 656 employment tribunals 487, 491 expertise 492, 493–4 non-legal members (NLMs) 494 fairness 489, 490, 493 Franks Committee 442–3, 483, 488–92, 495, 496, 505–6, 509, 571, 619 General Regulatory Chamber 265 Home Office 64 immigration appeals see asylum and immigration appeals impartiality 489, 490 independence 489, 493 inquiries compared 575 judicial review 509–14 nullity, concept of 510–11 review of fact 511–14, 525 judicialisation 19, 442, 444, 490, 491, 517 Bell Report 498 Lands Tribunal 493–4, 512 lay members 487, 525 ethnic diversity 492–3 social security tribunals 500, 501, 502, 503 legal aid 490, 492 Leggatt review see Leggatt review Mental Health Review Tribunals 494 National Insurance Local Tribunals (NILTs) 496, 498 non-legal members (NLMs) 494 openness 489, 490 oral hearings 487 origins 438–40 participation 492 proportionality 519–20 proportionate justice 523–7 reasons, duty to give 490 827 Index representation 490–1, 495, 498, 500–1, 526–7 restructuring 520–3 appointment of adjudicators 522–3 First-tier Tribunal 521, 522 merits review 522 senior president 521, 523 Upper Tribunal 521, 522, 523, 685 Robson on 440–1 social security see social security tribunals statutory rights of appeal 509–10 structural independence 489, 493 unitary system 488 Wade on 441–2, 493 Tribunals Procedure Committee 507 Tritter, J 449 ‘trust’ model of government 53 Turpin, Colin 345 Twining, W 601–2, 603 UK Border Agency 64 external review of 212–13 UN Convention on Torture 131 UN Human Rights Committee 129 unjust enrichment principle 370–1 restitution and 370–1, 764–6 US Tobacco 222 value for money (VFM) 58, 59, 60–1, 227, 285, 307, 340 complaints systems 454 Job Seeker’s Allowance 355 Office of Government Commerce 358 private finance initiative 414–15, 416, 418, 422, 423, 424 public franchising 395 public procurement 357 rail franchising 402, 404 social policy and 364 values 41, 48, 59, 109, 110 Vile, M.J.C 22–3 Vincent-Jones, P 346–7, 350 void decisions 26 voidable decisions 26 voluntary organisations and volunteers Empowerment Fund 87 Wade, Sir William on administrative law xv, xvi, 23–4, 46, 97, 135, 283, 284 on Crown privilege 704 on inquiries 571, 575 on natural justice 622 on ouster clauses 26 on PCA 444 on pre-legislative consultation 170 on supervisory jurisdiction 669 on tribunals 441–2, 457, 493 Wales Administrative Court 686 child abuse inquiry 581 inquiries 580 quangos 68 see also Welsh Assembly wartime detention powers 96–7 WaterVoice 296, 298, 301 Weber, Max 52 Weberian bureaucracy xvii, 52, 53, 76, 196 Wednesbury test of reasonableness 42–4, 100, 103, 105, 106, 107, 108, 115, 313, 659 ‘anxious scrutiny’ 116, 120, 322, 514, 635 application for public inquiry 611 commercial television franchising 397–8 duty to give reasons and 632 legitimate expectation and 225 proportionality test and 120–6, 678 standard/ordinary 116, 120, 322 ‘super-Wednesbury’ 116, 120, 322 welfare benefits asylum seekers 144, 210–11, 518 welfare state 34, 37 ‘cradle to grave’ 73, 81 risk aversion and 73–4 ‘welfare-to-work’ 81 Welsh Assembly 88 legislative competence 142–3 pre-legislative consultation 171–2 Welsh Development Agency 87 Wheldon, Dame Juliet 734 Whyatt report 537–8 Widgery Inquiry 605, 615 Wightman, J 348 Wikeley, N 502–3 Wilkes, John 750 Willis, John 33 Wilson Committee on Immigration Appeals 515–16 World Development Movement (WDM) 699 Wright, Sir Michael 578 Wright, Tony 557, 565 Yeung, Karen 21–2 Zouridis, S 197 [...]... ‘Golden handshakes’: Liability and compensation 749 1 Liability or compensation? 749 2 Tort law, deterrence and accountability 755 3 Duties, powers and omissions 760 4 Defensive administration, ‘decision traps’ and immunity 764 5 The shadow of Europe 771 6 Alternatives to tort law 777 7 Ombudsmen and redress 783 8 Towards a compensation culture? 791 Index 795 Preface: Three decades of law and administration. .. administration Law and Administration has never been simply a textbook of administrative law As its title signifies, our primary objective in writing it was to further the study of law in the context of public administration and politics: the law in context’ approach We need to remind the contemporary reader that the first edition reflected an era of legal formalism when the study of case law, largely... Statutes xli Red and green light theories 1 1 Law and state 1 2 The Diceyan legacy 4 3 Dicey and ‘red light theory’ 22 4 Ouster clauses and the rule of law 25 5 ‘Green light theory’ 31 6 ‘Green light theory’ and control 37 7 Allocation of functions 40 8 Towards consensus? 44 The changing state 49 1 The Trojan horse 49 2 Bureaucracy and central government 52 3 The blue rinse 56 4 The risk and security society... unreasonableness and proportionality 120 8 The Human Rights Act and after 126 9 Rhetoric meets reality 128 Lions, mice or bulldogs? 135 10 4 5 6 7 Making the law 140 1 Legislation and constitutional change 140 2 Parliament and courts 143 3 Parliament the watchdog 149 4 Delegated legislation 163 5 Access and participation 170 6 Climbing the ladder: EC law 179 7 Restoring the balance 188 Rules and discretion 190 1 Law. .. time than the vicissitudes of administrative 1 Now H W R Wade and C Forsyth, Administrative Law, 10th edn (Oxford University Press, 2009) The main exception, Griffith and Street’s Principles of Administrative Law, 5th edn (Pitman Paperbacks, 1973) was out of print and virtually unobtainable xvi Preface: Three decades of law and administration law. ’ Judicial review is inevitably controversial, fought out... suffer much inattention and, from time to time, some grumpiness Susan Hunt helped with this, as with every, edition Sylvia Lough played an equally valuable role We also had much help and encouragement from Mark Aronson, Julia Black, Peter xix Preface: Three decades of law and administration Cane, Genevra Richardson and Richard Thomas who read and commented on some of the chapters and gave us the benefit... through contract’ and of ‘decentred regulation’ described in Chapters 6 to 9, we are moving into a larger world of globalized administration and governance Here states must compete with governance through transnational agencies and networks of assorted public and private actors Government, as Martin Shapiro defines it, where administration exists ‘as a bounded reality’ and administrative law ‘prescribes... tribunals and ombudsmen has expanded over time to four chapter-long studies of alternative mechanisms of dispute resolution: from tribunals, inquiries, and ombudsmen to internal complaints-handling machinery more appropriate and proportionate than expensive courts (Chapters 10–13) Nor have we been against accountability and control Our position is as it always has been that control of the executive and administration. .. plural character and the wide parameters of administrative law Our preoccupations, spelled out clearly in the preface to the first edition, were ‘process’, ‘legitimacy’ ‘competency’ and a functionalist concern with effectiveness and efficiency We made our points through lengthy case studies of administrative process, focusing especially on social security, immigration and planning law Our aim was to... one of competence or efficiency; administrative law has had to respond to failing administrative agencies, government departments declared unfit for purpose, whole-scale losses of government information and other serious failures How far the constant restructuring of central government xviii Preface: Three decades of law and administration departments and blocking up of agencies into hyper-agencies ... Likosky: Law, Infrastructure and Human Rights Maughan and Webb: Lawyering Skills and the Legal Process McGlynn: Families and the European Union: Law, politics and pluralism Moffat: Trusts Law: Text and. .. Imagination Zander: Cases and Materials on the English Legal System Zander: The Law- Making Process Law and Administration Third Edition CAR OL H AR LOW FBA, QC (Hon), Emerita Professor of Law at the... Globalisation and the Western Legal Tradition: Recurring patterns of law and authority Gobert and Punch: Rethinking Corporate Crime Harlow and Rawlings: Law and Administration Harris: An Introduction to Law