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SCHEDULES

Section 1

SCHEDULE 1U.K.LBRO: supplementary

StatusU.K.

F11U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

MembershipU.K.

F12U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F13U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F14U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F15U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

TenureU.K.

F16U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

EmployeesU.K.

F17U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CommitteesU.K.

F18U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ProceedingsU.K.

F19U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DelegationU.K.

F110U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

FundingU.K.

11F1(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

F1(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)The Welsh Ministers may make grants to [F2the Secretary of State in respect of the Secretary of State’s functions under Parts 1 and 2] of such amounts as they think fit.

(4)A grant under sub-paragraph (3) may be subject to such conditions as the Welsh Ministers think fit.

Annual reportU.K.

F312U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

AccountsU.K.

F313U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Financial yearU.K.

F314U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Instruments and authenticationU.K.

F315U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

RecordsU.K.

16U.K.In the Public Records Act 1958 (c. 51), in Schedule 1 (definition of public records), in Part 2 of the Table at the end of paragraph 3, at the appropriate place insert— “ Local Better Regulation Office. ”

Parliamentary disqualificationU.K.

F417U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

InvestigationU.K.

F418U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Freedom of information U.K.

F419U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Transitional provisionsU.K.

F420U.K.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 2

F5SCHEDULE 2U.K.Replacement of the LBRO company by LBRO

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 4(2)

SCHEDULE 3U.K.Enactments specified for the purposes of Part 1

Textual Amendments

F6Words in Sch. 3 omitted (26.5.2015) by virtue of Deregulation Act 2015 (c. 20), s. 115(3)(r), Sch. 23 para. 34(7)

F7Words in Sch. 3 omitted (14.3.2012) by virtue of Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 130, Sch. 10 (with s. 20(2), Sch. 8)

F8Words in Sch. 3 inserted (14.3.2012) by Charities Act 2011 (c. 25), s. 355, Sch. 7 para. 130 (with s. 20(2), Sch. 8)

F11Words in Sch. 3 repealed by Equality Act 2010 (c. 15), Sch. 26 Pt. 1 para. 99, Sch. 27 Pt. 1 (as amended (1.10.2010) by S.I. 2010/2279, art. 1(2), Sch. 1 para. 6, Sch. 2 (see S.I. 2010/2317, art. 2))

F12Words in Sch. 3 omitted (26.5.2015) by virtue of Deregulation Act 2015 (c. 20), s. 115(3)(r), Sch. 23 para. 25(3)

F15Words in Sch. 3 inserted (E.W.) (5.11.2013) by Mobile Homes (Wales) Act 2013 (anaw 6), s. 64(1), Sch. 4 para. 10 (with Sch. 5 para. 7) (this amendment is to be treated as not having effect until 1.10.2014 by virtue of S.I. 2014/11, art. 3(2))

F19Words in Sch. 3 substituted (E.W.) (1.10.2013) by Scrap Metal Dealers Act 2013 (c. 10), ss. 19(2), 23(2); S.I. 2013/1966, art. 3(r) (with art. 5)

F20Words in Sch. 3 repealed (1.4.2010 for W., 1.4.2011 for E.) by Marine and Coastal Access Act 2009 (c. 23), s. 324(3), Sch. 22 Pt. 4; S.I. 2010/630, art. 3(b) (with arts. 8 12); S.I. 2011/556, art. 2(2)(o) (with art. 2(3))

F21Words in Sch. 3 inserted (E.) (5.10.2015 but the amending Order ceases to have effect on 15.10.2022) by The Single Use Carrier Bags Charges (England) Order 2015 (S.I. 2015/776), arts. 1(c)(ii)(d), 17

Section 28(7)

[F24SCHEDULE 4U.K.Enforcement action: references to [F25the Secretary of State]

Textual Amendments

F24Sch. 4A substituted for Sch. 4 (4.5.2016 for specified purposes) by Enterprise Act 2016 (c. 12), s. 44(1)(c), Sch. 3

Reference by enforcing authorityU.K.

1(1)If the primary authority directs the enforcing authority as specified in section 28(2), the enforcing authority may with the consent of [F26the Secretary of State] refer the proposed enforcement action to [F26the Secretary of State] .U.K.

(2)On a reference under this paragraph—

(a)if [F27the Secretary of State] is satisfied as to the matters in sub-paragraph (3), [F27the Secretary of State] must confirm the direction;

(b)in any other case, [F28the Secretary of State] must revoke the direction (and section 28(4)(b) shall accordingly cease to apply in relation to the direction).

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically),

(b)the advice or guidance was correct, and

(c)the advice or guidance was properly given by the primary authority.

(4)Where under sub-paragraph (2) [F29the Secretary of State] confirms a direction of the primary authority, [F29the Secretary of State] may direct the enforcing authority to take some other enforcement action (and section 28(1) to (4) does not apply in relation to that action).

(5)The enforcing authority must comply with any direction under sub-paragraph (4).

Reference by regulated personU.K.

2(1)If the primary authority does not direct the enforcing authority as specified in section 28(2), the regulated person may with the consent of [F30the Secretary of State] refer the action to [F30the Secretary of State] .U.K.

(2)On a reference under this paragraph—

(a)if [F31the Secretary of State] is satisfied as to the matters in sub-paragraph (3), [F31the Secretary of State] must direct the enforcing authority not to take the proposed enforcement action;

(b)in any other case, [F32the Secretary of State] must consent to the action.

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically),

(b)the advice or guidance was correct, and

(c)the advice or guidance was properly given by the primary authority.

(4)The enforcing authority may not take the proposed enforcement action if it is directed as specified in sub-paragraph (2)(a).

(5)Where [F33the Secretary of State] gives a direction under sub-paragraph (2)(a), [F33the Secretary of State] may direct the enforcing authority to take some other enforcement action (and section 28(1) to (4) does not apply in relation to that action).

(6)The enforcing authority must comply with any direction under sub-paragraph (5).

(7)[F34The Secretary of State] may require a regulated person who makes a reference under this paragraph to pay such reasonable costs incurred by [F35the Secretary of State] as a result of the reference as [F35the Secretary of State] may specify.

Reference by primary authorityU.K.

3(1)The primary authority may with the consent of [F36the Secretary of State] , instead of making a determination under section 28(2) in relation to a proposed enforcement action, refer the action to [F36the Secretary of State] .U.K.

(2)On a reference under this paragraph—

(a)if [F37the Secretary of State] is satisfied as to the matters in sub-paragraph (3), [F37the Secretary of State] must direct the enforcing authority not to take the proposed enforcement action;

(b)in any other case, [F38the Secretary of State] must consent to the action.

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically),

(b)the advice or guidance was correct, and

(c)the advice or guidance was properly given by the primary authority.

(4)The enforcing authority may not take the proposed enforcement action if it is directed as specified in sub-paragraph (2)(a).

(5)Where [F39the Secretary of State] gives a direction under sub-paragraph (2)(a), [F39the Secretary of State] may direct the enforcing authority to take some other enforcement action (and section 28(1) to (4) does not apply in relation to that action).

(6)The enforcing authority must comply with any direction under sub-paragraph (5).

Effect of referenceU.K.

4U.K.The enforcing authority may not take the proposed enforcement action—

(a)in any period during which the regulated person may make a reference under paragraph 2;

(b)at any time after the making of a reference under this Schedule and before its determination.

ConsultationU.K.

5(1)Before making a determination for the purposes of this Schedule [F40the Secretary of State]U.K.

(a)must consult any relevant regulator, where appropriate, and

(b)may consult such other persons as [F41Secretary of State] thinks fit.

(2)In sub-paragraph (1)(a) “relevant regulator” means a person (other than a local authority) with regulatory functions which relate to the matter to which the determination relates.

Procedure: generalU.K.

6(1)[F42The Secretary of State] must determine any reference under this Schedule within the period of 28 days beginning with the day on which the reference is made.U.K.

(2)The Secretary of State may by order make further provision as to the procedure to be followed, for the purposes of this Schedule, by the primary authority, the enforcing authority, the regulated person and [F43the Secretary of State] .

Textual Amendments

Commencement Information

I1Sch. 4 para. 6 wholly in force at 6.4.2009; Sch. 4 para. 6(2) in force at 1.10.2008 by S.I. 2008/2371, art. 2(b); Sch. 4 para. 6(1) in force for all remaining purposes at 6.4.2009 by S.I. 2009/550, art. 2

Guidance and directionsU.K.

7(1)[F44The Secretary of State] may give guidance or directions to any one or more local authorities about any enforcement action referred to [F45the Secretary of State] .U.K.

(2)A local authority must have regard to any guidance, and comply with any direction, given to it under sub-paragraph (1).

(3)[F46The Secretary of State] must publish any guidance or directions given under this paragraph in such manner as [F47the Secretary of State] considers appropriate.

InformationU.K.

8U.K.For the purposes of this Schedule [F48the Secretary of State] may require the primary authority, the enforcing authority or the regulated person to provide [F48the Secretary of State] with such information as [F48the Secretary of State] may specify, being information which the authority may lawfully provide to [F48the Secretary of State] .]

Sections 25B and 25C

[F49SCHEDULE 4AU.K.References to the Secretary of State

Textual Amendments

F49Sch. 4A substituted for Sch. 4 (4.5.2016 for specified purposes) by Enterprise Act 2016 (c. 12), s. 44(1)(c), Sch. 3

PART 1U.K.Enforcement action by primary authority

1(1)If the primary authority notifies the regulated person, or a member of the regulated group, under section 25B(2)(a) that it proposes to take enforcement action against the regulated person or the member, the regulated person or the member may, with the consent of the Secretary of State, refer the proposed enforcement action to the Secretary of State.U.K.

(2)On a reference under sub-paragraph (1) the Secretary of State must—

(a)if satisfied as to the matters in sub-paragraph (3), direct the primary authority not to take the proposed enforcement action;

(b)otherwise, consent to the action.

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b)the advice or guidance was correct and properly given.

(4)If the Secretary of State directs the primary authority not to take the proposed enforcement action, the Secretary of State may direct the primary authority to take some other enforcement action (and section 25B does not apply in relation to that other action).

PART 2U.K.Enforcement action other than by primary authority

Reference by an enforcing authorityU.K.

2(1)If the primary authority directs an enforcing authority under section 25C(4) not to take the proposed enforcement action, the enforcing authority may, with the consent of the Secretary of State, refer the proposed action to the Secretary of State.U.K.

(2)On a reference under sub-paragraph (1) the Secretary of State must—

(a)if satisfied as to the matters in sub-paragraph (3), confirm the direction;

(b)otherwise, revoke the direction.

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b)the advice or guidance was correct and properly given.

(4)If the Secretary of State confirms the direction, the Secretary of State may direct the enforcing authority to take some other enforcement action (and section 25C does not apply in relation to that other action).

Reference by regulated person or member of the regulated groupU.K.

3(1)If section 25C applies and the primary authority does not direct the enforcing authority (under subsection (4) of that section) not to take the proposed enforcement action, the regulated person or the member of the regulated group may, with the consent of the Secretary of State, refer the action to the Secretary of State.U.K.

(2)On a reference under sub-paragraph (1) the Secretary of State must—

(a)if satisfied as to the matters in sub-paragraph (3), direct the enforcing authority not to take the proposed enforcement action;

(b)otherwise, consent to the action.

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b)the advice or guidance was correct and properly given.

(4)If the Secretary of State directs the enforcing authority not to take the proposed enforcement action, the Secretary of State may direct the enforcing authority to take some other enforcement action (and section 25C does not apply in relation to that other action).

Reference by primary authorityU.K.

4(1)The primary authority may, with the consent of the Secretary of State, instead of making a determination under section 25C(4) as to whether to direct an enforcing authority not to take proposed enforcement action, refer the action to the Secretary of State.U.K.

(2)On a reference under this paragraph the Secretary of State must—

(a)if satisfied as to the matters in sub-paragraph (3), direct the enforcing authority not to take the proposed enforcement action;

(b)otherwise, consent to the action.

(3)The matters referred to in sub-paragraph (2) are that—

(a)the proposed enforcement action is inconsistent with advice or guidance previously given by the primary authority (generally or specifically), and

(b)the advice or guidance was correct and properly given.

(4)If the Secretary of State directs the enforcing authority not to take the proposed enforcement action, the Secretary of State may direct the enforcing authority to take some other enforcement action (and section 25C does not apply in relation to that other action).

PART 3U.K.General

TimingU.K.

5(1)Any reference under this Schedule must be made as soon as is reasonably practicable, and in any event within the referral period.U.K.

(2)The “referral period” for the purposes of a reference under paragraph 1(1) is the period which—

(a)begins when the regulated person or the member is notified under section 25B(2)(a) of the proposed enforcement action, and

(b)ends at the end of the tenth working day after the day on which the period begins, or at such later time as the Secretary of State may direct.

(3)The “referral period” for the purposes of a reference under paragraph 2(1) is the period which—

(a)begins when the enforcing authority is directed under section 25C(4) not to take the proposed enforcement action, and

(b)ends at the end of the tenth working day after the day on which the period begins, or at such later time as the Secretary of State may direct.

(4)The “referral period” for the purposes of a reference under paragraph 3(1) is the period which—

(a)begins when the regulated person or the member is informed under section 25C(6)(a) that the enforcing authority continues to propose to take the enforcement action, and

(b)ends at the end of the tenth working day after the day on which the period begins, or at such later time as the Secretary of State may direct.

(5)The “referral period” for the purposes of a reference under paragraph 4(1) is the relevant period under section 25C(9).

(6)The Secretary of State must determine a reference under this Schedule within the period of 28 days beginning with the day on which the reference is made.

(7)The primary authority (in the case of a reference under paragraph 1(1)) or the enforcing authority (in the case of a reference under paragraph 2(1), 3(1) or 4(1)) may not take the proposed enforcement action at any time after the making of the reference and before its determination.

ConsultationU.K.

6(1)Before determining a reference under this Schedule, the Secretary of State—U.K.

(a)must consult any relevant regulator, where appropriate, and

(b)may consult other persons.

(2)In sub-paragraph (1)(a), “relevant regulator” means a person who has regulatory functions which relate to the matter to which the determination relates.

(3)But a person is not a “relevant regulator” within the meaning of sub-paragraph (1)(a) if—

(a)the person is a qualifying regulator, and

(b)the partnership function pursuant to which the proposed enforcement action would be taken is a relevant function of the person.

InformationU.K.

7(1)For the purposes of determining whether to consent to a reference under this Schedule, or of determining such a reference, the Secretary of State may require any of the following to provide the Secretary of State with information—U.K.

(a)the primary authority;

(b)in the case of a reference under paragraph 2(1), 3(1) or 4(1), the enforcing authority;

(c)the regulated person concerned or the member of the regulated group concerned.

(2)The information must be information which the authority, person or member may lawfully provide to the Secretary of State.

Secretary of State's costsU.K.

8U.K.The Secretary of State may require the regulated person or a member of the regulated group to pay reasonable costs incurred by the Secretary of State as a result of—

(a)a reference by the regulated person or the member under paragraph 1(1) or 3(1), or

(b)an application by the regulated person or the member for consent to make such a reference.

ProcedureU.K.

9U.K.The Secretary of State may by regulations make further provision as to the procedure to be followed for the purposes of this Schedule.]

Section 37(1)

SCHEDULE 5U.K.Designated regulators

Textual Amendments

F56Sch. 5 entry repealed (1.4.2010 for W., 1.4.2011 for E.) by Marine and Coastal Access Act 2009 (c. 23), s. 324(3), Sch. 22 Pt. 4; S.I. 2010/630, art. 3(b) (with arts. 8 12); S.I. 2011/556, art. 2(2)(o) (with art. 2(3))

Section 37(2)

SCHEDULE 6U.K.Enactments specified for the purposes of orders under Part 3

Section 62

SCHEDULE 7U.K.Enactments specified for the purposes of section 62