Tag Archives: Lisa James

Constitutional regulators: what are they, and how do they work?

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Constitutional regulators play a vital role in the UK’s democratic system, but recent ethical scandals have led to suggestions that they need to be strengthened. Lisa James, Alan Renwick and Meg Russell argue that all those in public life should uphold the regulatory system, and take such proposals seriously.

Background

Constitutional regulators enforce key standards and rules. These cover matters which are viewed as too important to be left purely to constitutional norms, but most of which are not covered by the criminal justice system (though some regulators do have prosecution powers).

Regulation is common to many sectors and professions, including those beyond the scope of this briefing. For example, the medical and legal professions use regulatory standards systems, and many industries operate statutory or voluntary ombudsman schemes.

The focus of this briefing is the regulators and regulatory systems that relate to politics in the UK. This includes various codes that govern the behaviour of politicians or officials, and the regulators that enforce them. It also includes regulators which oversee the processes of politics and governance – such as elections, public appointments or public spending – and those that aim to uphold certain standards of public discourse, for example by regulating the media.

Various terms exist for such organisations; for example, they are often referred to as constitutional watchdogs or guardians. Here, for simplicity, we use the term constitutional regulators throughout.

Why do regulators matter?

Regulation safeguards the integrity of a profession or sector, and protects the public. It establishes the boundaries of acceptable behaviour, ensuring that both the regulated profession and those who come into contact with it understand what standards should be upheld. In politics, such standards most obviously include financial probity and personal conduct. Regulation also guards against unfair competition, often by preventing those in dominant positions from abusing their power. One example is the legal requirement for a purdah period in the run-up to elections, which bars incumbent governments from using public money or resources to support their campaigns.

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The parliamentary battle over Brexit and the constitution

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Today sees the publication of a new book by the Unit’s Meg Russell and Lisa James, The Parliamentary Battle over Brexit. Here the authors summarise some of its key findings about why parliament was drawn into such controversy over the implementation of Brexit. They reflect on what these events teach us about our constitution, as well as what may need to change in order to avoid repeating such problems, and to mend the damage done.

The UK’s arguments over what became known as Brexit began long before the June 2016 referendum, and continued with increasing bitterness afterwards. Parliament was often central, both as a venue for such arguments, and in terms of disputes about its proper role. It and its members frequently faced criticism and blame. Our new book, published today, charts The Parliamentary Battle over Brexit, from the early pressures for a referendum, through disputes about the triggering of Article 50 and control of the House of Commons agenda, the repeated defeats of Theresa May’s deal, and Boris Johnson’s unlawful parliamentary prorogation, to the UK’s eventual departure from the EU following his deal. The book charts what happened, but also asks what went wrong and whether things could have been handled differently. It reflects on what these events teach us about the functioning of our constitution, and what if anything might need to change.

The book includes a wealth of detail about key political moments, and the roles of different individuals and groups. Here we focus on some of the bigger questions about the lasting legacy of the battles over Brexit for the culture and institutions of UK politics, and particularly for the place of parliament itself. A fuller version of this analysis appears in the final chapter of the book.

Referendums and public participation

The referendum of 23 June 2016 was only the third ever such UK-wide vote (the first being on European Community membership in 1975, and the second in 2011 on changing the House of Commons voting system). The handling of the referendum was the single biggest error of the Brexit process, from which many other difficulties flowed.

Unlike the 2011 referendum, which was underpinned by legislation setting out the detail of the proposed new voting system, no clear prospectus was offered to the voters for Brexit. Prime Minister David Cameron hoped to use the vote – described disapprovingly by the House of Commons Public Administration and Constitutional Affairs Committee as a ‘bluff call’ referendum – to make the question of Brexit go away. Parliament never debated the substance of the question, the government did not detail the options, and civil servants were forbidden from preparing for a Leave vote. Leave campaigners argued at the level of principle, rather than on a specific plan. As one Brexit-supporting interviewee told us, ‘it was only [after the referendum] that different types of Brexit started coming to the fore. Soft Brexit and hard Brexit had never been canvassed before the referendum; the expressions were coined afterwards’. Issues that would soon come to dominate the agenda, such as membership of the Customs Union or Single Market, and crucially the Northern Ireland border, were barely mentioned during the campaign. This left the government – and parliament – in a very difficult position. The different options for Brexit had to be established only after the vote had taken place, and on this the voters had conveyed no clear instruction.

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The public wants parliament to have a central role in legislation, so why does the Retained EU Law Bill enhance the legislative power of ministers?

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The Retained EU Law (Revocation and Reform) Bill is controversial for many reasons – not least the sweeping powers it grants the executive to change a swathe of laws. Lisa James and Alan Renwick discuss recent Constitution Unit survey results, which suggest that members of the public instinctively favour a central role for parliament in law making.

The Retained EU Law (Revocation and Reform) Bill – or REUL Bill – is a complex and controversial piece of legislation. Its focus is the law which arose from the UK’s membership of the European Union. This ‘retained EU law’ is significant in both scale and scope: the government currently lists over 3700 pieces of such legislation, much of it implementing regulatory regimes across a number of major policy domains. Areas such as environmental protection, consumer rights and employment law are particularly affected.

The REUL Bill would automatically repeal most retained EU law at the end of 2023, and make it much easier for ministers to amend or replace. This approach has proved controversial in a number of ways. Business groups have raised concerns that previously settled areas of law could be disrupted at short notice, creating legal uncertainty. Environmental groups and trade unions, among others, have raised concerns about rights protections being lost. And some have questioned whether Whitehall really has the capacity to conduct a thorough and careful review of such a huge body of law by the end of the year.

Alongside this, experts have warned that the bill as currently drafted would greatly empower the government at the expense of parliament, handing ministers sweeping powers to decide what law is repealed or preserved, and how it is amended. Such process-related concerns – regarding how legal change is enacted – are sometimes considered of interest only to experts. But recent Constitution Unit research shows that the public have clear instincts on how such processes should work – and express widespread support for parliament’s role in law-making.

The REUL Bill and parliamentary scrutiny

As currently drafted, the bill places significant powers and discretion in the hands of ministers. If passed in its current form, the clock would begin ticking on the sunset clause which would repeal most retained EU law at the end of 2023; from this point, parliament would have little say over what happens to retained EU law.

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Checks and balances: what are they, and why do they matter?

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Checks and balances are fundamental elements of constitutional democracy that prevent the unconstrained exercise of power, improve the quality of decision-making and ensure that mechanisms exist for preventing or penalising unethical behaviour. Lisa James, Alan Renwick and Meg Russell argue that they therefore play a vital role in maintaining public confidence in the political system and the government has a particular responsibility to uphold them.

Background

The importance of checks and balances is often cited in debates about the health of democracy, and their erosion is widely considered a sign of democratic backsliding. But what are they, and why are they important?

Checks and balances are the mechanisms which distribute power throughout a political system – preventing any one institution or individual from exercising total control. The words ‘checks’ and ‘balances’ are typically used together, but can be thought of as referring to subtly different (though overlapping) things. Checks are the mechanisms which allow political institutions to limit one another’s power – for example by blocking, delaying or simply criticising decisions. Balances, meanwhile, ensure that a wide variety of views and interests are represented in the democratic process. This includes structures like federalism, or broader features of democratic functioning such as the existence of multiple political parties.

The term ‘checks and balances’ is given more prominence in some countries than others, and is often particularly associated with the United States. But the principle is core to all modern democracies.

Checks and balances operate between and within most political institutions. However, the risks of unconstrained power are often considered particularly high with respect to the executive. This briefing hence focuses on the key institutions which check and balance executive power at UK level:

  1. parliament
  2. the courts
  3. impartial officials, and
  4. media and civil society.

Why do checks and balances matter?

Checks and balances play two key roles. First, they limit the power of the majority to act without regard to the views or interests of others. They ensure that the perspectives of those who are in the minority on a given issue are represented – for example, by guaranteeing that opposition voices are heard in the process of law-making. Second, at a more practical level, they ensure that policy is tested and behaviour supervised. This helps to improve the quality of decision-making, and prevent behaviour which might threaten the integrity or reputation of the political system.

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The rule of law: what is it, and why does it matter?

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The rule of law is a fundamental principle underpinning the UK constitution. Its core principles include limits on state power, protection for fundamental rights and judicial independence. Lisa James and Jan van Zyl Smit argue that upholding the rule of law is a responsibility shared between politicians, officials and the public – with ministers and MPs having important roles to play.  

Background

The rule of law is frequently cited in political debate, and is a key topic monitored by those worried about democratic backsliding. But what is it, and why is it so important?

The rule of law is one of the fundamental principles underpinning constitutional democracies, and its importance is not seriously questioned in any modern democratic state. But like other constitutional principles, long-running debates exist about how it can most effectively be implemented.

This briefing explains the central concepts constituting the rule of law under three broad categories:

  1. Legality and legal certainty
  2. Legal equality and fundamental rights
  3. Judicial independence and access to justice

Why does the rule of law matter?

The rule of law prevents the abuse of state power, requires the law to be followed by all, and ensures that legal rights are fulfilled in practice. It also provides the means for various other core aspects of democracy to be safeguarded – for example, making certain that the laws made by parliament are enforced, and that fair conduct of elections can be guaranteed. More broadly, it underpins social functioning by providing fair and legitimate routes for disputes to be settled. And it supports stable economies and economic growth by upholding property rights, facilitating the elimination of corruption, and maintaining a business environment in which contracts are enforced, and international trade and investment can flourish. The rule of law alone is not sufficient to make a state democratic, but a state which does not observe it cannot be a healthy democracy.

As such, the rule of law has long been recognised as a fundamental part of the UK system. Many of its core aspects were established during the seventeenth century – particularly by the Bill of Rights 1689. Nineteenth-century scholar Albert Venn Dicey considered it, alongside parliamentary sovereignty, one of the ‘twin pillars’ of the constitution. More recently, Margaret Thatcher considered its observance central to Conservatism, arguing that ‘the institution of democracy alone is not enough. Liberty can only flourish under a rule of law’. And the 2001 Labour government recognised its importance as an existing principle in the Constitutional Reform Act 2005.

What does the rule of law cover?

Like other fundamental principles, the precise details of the rule of law are debated, but its central tenets are widely recognised. Lord (Tom) Bingham of Cornhill, a former Senior Law Lord, provided one well-known schema, on which the Venice Commission’s Rule of Law tools for assessing constitutional reforms are based. Another influential definition was given by then UN Secretary-General Kofi Annan, who defined the rule of law as:

…a principle of governance in which all persons, institutions and entities, public and private, including the State itself, are accountable to laws that are publicly promulgated, equally enforced and independently adjudicated, and which are consistent with international human rights norms and standards.

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