Regulatory Enforcement and Sanctions Act 2008

[F1 Inspection plans U.K.

Textual Amendments

F1 Pt. 2 substituted (4.5.2016 for specified purposes, 1.10.2017 in so far as not already in force) by Enterprise Act 2016 (c. 12), ss. 20(1), 44(1)(c); S.I. 2017/473, reg. 3(b)

26A Inspection plans U.K.

(1) Where a partnership function consists of or includes a function of inspection (an “inspection function”), the primary authority may make an inspection plan in accordance with this section.

(2) An “inspection plan” is a plan containing recommendations as to how the inspection function should be exercised by an inspecting regulator in relation to the regulated person or a member of the regulated group.

(3) A person is an “inspecting regulator” if—

(a) the person is a qualifying regulator, and

(b) the inspection function is a relevant function of the person.

(4) An inspection plan may, in particular—

(a) set out what an inspection should consist of;

(b) set out the frequency with which inspections should be carried out;

(c) set out the circumstances in which they should be carried out;

(d) require the inspecting regulator to provide the primary authority with a report on the inspecting regulator's exercise of the inspection function.

(5) Before making an inspection plan the primary authority must consult the regulated person or the co-ordinator of the regulated group.

(6) When making an inspection plan the primary authority must take into account any relevant recommendations relating to inspections which are published pursuant to a regulatory function by a person other than an inspecting regulator.

(7) When it has made an inspection plan, the primary authority may apply to the Secretary of State for consent to the plan.

(8) If the Secretary of State consents to a plan under subsection (7), the primary authority must notify the plan to—

(a) the regulated person or the co-ordinator of the regulated group, and

(b) inspecting regulators.

(9) If, in the case of a regulated group, an inspection plan is notified to the co-ordinator under subsection (8)(a), the co-ordinator must—

(a) notify the plan to those members of the group to whom the co-ordinator considers it may be relevant,

(b) prepare a list of the names and addresses of those members,

(c) secure, as far as is reasonably practicable, that the list is accurate and kept up-to-date,

(d) provide the primary authority with the list, including any updates to it, and

(e) notify any member whose name is included in the list or removed from it of the inclusion or removal.

(10) If a list or update is provided to the primary authority under subsection (9)(d), the primary authority must notify the list or update to inspecting regulators.

26B Effect of inspection plans U.K.

(1) If the Secretary of State consents under section 26A(7) to an inspection plan in respect of an inspection function, the primary authority must have regard to the plan when it exercises the inspection function in relation to—

(a) the regulated person, or

(b) a member of the regulated group whose name is included in the list provided to the primary authority (and, where applicable, updated) under section 26A(9)(d).

(2) If an inspection plan of the primary authority is notified to an inspecting regulator under section 26A(8)(b), the inspecting regulator may not exercise the inspection function in relation to the regulated person or a member of the regulated group otherwise than in accordance with the plan, unless—

(a) the inspecting regulator has notified the primary authority in writing of the way in which it proposes to exercise the function, and the primary authority has notified the regulator in writing that the primary authority consents to that proposed exercise, or

(b) in the case of a regulated group, the member's name is not included in the list notified to the inspecting regulator (and, where applicable, updated) under section 26A(10).

(3) A notification by an inspecting regulator under subsection (2)(a) must include reasons for exercising the function otherwise than in accordance with the plan.

(4) A primary authority is to be treated as having given the notification of consent described in subsection (2)(a) if—

(a) it is notified by the inspecting regulator as described in that subsection, and

(b) it fails to notify the inspecting regulator in writing, before the end of the fifth working day after the day on which it received the notification, whether it consents as described in that subsection.

26C Revocation and revision of inspection plans U.K.

(1) A primary authority may, with the consent of the Secretary of State, revoke an inspection plan made by it under section 26A.

(2) If a primary authority revokes an inspection plan, it must notify the following that the plan is no longer in effect—

(a) the regulated person or the co-ordinator of the regulated group;

(b) inspecting regulators.

(3) Where the revocation of an inspection plan is notified to the co-ordinator of a regulated group under subsection (2)(a), the co-ordinator must notify the revocation to those members of the group to whom the co-ordinator considers it may be relevant.

(4) A primary authority may from time to time revise an inspection plan made by it under section 26A.

(5) Sections 26A and 26B and this section apply to a revised plan as they apply to a plan made under section 26A; and references in this Part to an inspection plan include the revised plan.]