Theory & Practice of Regulation 

This is where the Institute posts material related to the theory and practice of regulation. If you have material to add, or would like to help curate this page, please contact us. 

Regulation Directorate - Department of Business & Trade

Draft Core Regulatory Skills Framework

The draft core skills framework is designed to include the core skills needed by regulators working in different aspects of regulation.  It could be used as a basis for regulators’ own competency and standards frameworks, and adapted for their specific requirements, as not all tools and functions will be required by every regulator. The draft Framework is designed to complement the specialist skills and training that regulators already provide to their staff.

DBT would welcome your views and any comments / suggestions on the latest draft of the Framework:

1. The draft Core Skills Framework.

2. Annex A – this provides as overview of the draft Framework, including development levels and themes.

3. Annex B – this includes additional proposed core skills on Regulatory Craft, Regulatory Stewardship and Promotion of Standards that have been suggested during our discussions with regulators.  In developing the draft Framework, we think that these skills may have already been included in other areas. For example, Regulatory Craft includes elements covered in Risk-Based Regulation, Communication, and Using Data and Evidence. Similarly, Regulatory Stewardship includes themes covered in Regulation Theory, Using Data and Evidence, and Communication. However, DBT would welcome your views on whether you think that these should be included separately or whether they duplicate skills that are included elsewhere.

Please email the IOR General Manager (operations@ioregulation.org) with feedback/comments before the 31 July 2025.

DBT are also happy to receive individual comments from members

 Please send any comments and suggestions to Stuart Chapman (stuart.chapman@businessandtrade.gov.uk) and Sibella Schrader (sibella.schrader@businessandtrade.gov.uk).

Further reading and information:

• Independent Water Commission (2025) Summary Report. UK Government.

• UK Government paper: Regulation Reform, New approach to ensure regulators and regulation support growth (Updated 31 March 2025)

• Dr Eva Heims (2024) Regulatory capture - a short guide for regulators.

• IPSOS and Nous Group (2024) Changing attitudes to AI in public service and how to respond. Institute of Regulation event, June 2024.

• Rob Warner and Dr Grant Pink (2024) Regulatory Diplomacy: The Practitioner’s Path to Agility and Foresight (Auspiced National Regulators Community of Practice).

• PA Consulting (2024) IoR Introduction to Regulation event.

• PA Consulting (2023) Rethinking regulators 2023

• Grant Pink (2021) Navigating Regulatory Language: An A to Z Guide. (independently published)

• National Audit Office (2021) Principles of Effective Regulation.

• Malcolm Sparrow (2020) Fundamentals of Regulatory Design (independently published).

• Jeroen van de Heijden (2020) Responsive Regulation in Practice: A review of the international academic literature (Victoria University of Wellington).

• Harry Armstrong et al. (2019) Renewing Regulation: Anticipatory regulation in an age of destruction (Nesta).

• PA Consulting (2018) Re-thinking Regulators: From watchdogs of industry to champions of the public.

• National Audit Office (2017) A short guide to regulation.

• UK Government (2014) Regulators Code.

• Steve Bundred (2012) The future of regulation in the public sector.

• Malcolm Sparrow (2000) The Regulatory Craft: Controlling Risks, Solving Problems, and Managing Compliance (Brookings Institution Press).

• The Centre for Analysis of Risk and Regulation (CARR) at the London School of Economics focuses on the organisational and institutional settings for risk management and regulatory practices. There is material on its website.

• Material can also be found in The Journal of Financial Regulation and Compliance, in the journal Regulation and Governance,  the US journal Regulation from the Cato Institute which focuses on microeconomics and regulatory policy, the Journal of Banking Regulation.

• Regulators in other countries have also produced material and training to spread knowledge among regulators. Please see our International Regulation page for more details.