Regulatory Enforcement and Sanctions Act 2008

SCHEDULES

Section 1

SCHEDULE 1U.K.LBRO: supplementary

StatusU.K.

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

Textual Amendments

MembershipU.K.

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

Textual Amendments

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

Textual Amendments

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

Textual Amendments

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

Textual Amendments

TenureU.K.

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

Textual Amendments

EmployeesU.K.

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

Textual Amendments

CommitteesU.K.

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

Textual Amendments

ProceedingsU.K.

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

Textual Amendments

DelegationU.K.

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

Textual Amendments

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.

Textual Amendments

Annual reportU.K.

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

Textual Amendments

AccountsU.K.

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

Textual Amendments

Financial yearU.K.

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

Textual Amendments

Instruments and authenticationU.K.

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

Textual Amendments

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

Textual Amendments

InvestigationU.K.

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

Textual Amendments

Freedom of information U.K.

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

Textual Amendments

Transitional provisionsU.K.

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

Textual Amendments

Section 2

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

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

Textual Amendments

Section 4(2)

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

  • Accommodation Agencies Act 1953 (c. 23), section 1

  • Administration of Justice Act 1970 (c. 31), section 40

  • F6...

  • Agriculture Act 1967 (c. 22)

  • Agriculture Act 1970 (c. 40)

  • Agriculture and Horticulture Act 1964 (c. 28), Part 3

  • Agriculture (Miscellaneous Provisions) Act 1954 (c. 39), section 9

  • Agriculture (Miscellaneous Provisions) Act 1968 (c. 34)

  • Animal Boarding Establishments Act 1963 (c. 43)

  • Animal Health Act 1981 (c. 22)

  • Animal Health and Welfare Act 1984 (c. 40)

  • Animal Welfare Act 2006 (c. 45)

  • Anti-social Behaviour Act 2003 (c. 38)

  • [F7Breeding and Sale of Dogs (Welfare) Act 1999 (c. 11)]

  • [F8Breeding of Dogs Act 1973 (c. 60)]

  • [F9Breeding of Dogs Act 1991 (c. 64)]

  • Business Names Act 1985 (c. 7)

  • Cancer Act 1939 (c. 13), section 4

  • Caravan Sites and Control of Development Act 1960 (c. 2)

  • Celluloid and Cinematograph Film Act 1922 (c. 35)

  • F10...

  • Charities Act 2006 (c. 50), section 50

  • [F11Charities Act 2011, sections 294 to 297 ]

  • [F12Children and Families Act 2014 (c.6), section 92]

  • Children and Young Persons Act 1933 (c. 12), Part 1

  • Children and Young Persons Act 1963 (c. 37), Part 2

  • Children and Young Persons (Protection from Tobacco) Act 1991 (c. 23)

  • Christmas Day (Trading) Act 2004 (c. 26)

  • Cinemas Act 1985 (c. 13)

  • Clean Air Act 1993 (c. 11)

  • Clean Neighbourhoods and Environment Act 2005 (c. 16), Parts 2, 6 and 7

  • Companies Act 1985 (c. 6), Chapter 1 of Part 11 and section 693

  • Consumer Credit Act 1974 (c. 39)

  • Consumer Protection Act 1987 (c. 43)

  • [F13Consumer Rights Act 2015, Parts 1 and 2 and Chapter 5 of Part 3]

  • Control of Pollution Act 1974 (c. 40)

  • Control of Pollution (Amendment) Act 1989 (c. 14)

  • Copyright, Designs and Patents Act 1988 (c. 48), sections 107A and 198A

  • Countryside Act 1968 (c. 41)

  • Courts and Legal Services Act 1990 (c. 41), Parts 4 and 6

  • Criminal Justice and Police Act 2001 (c. 16), Part 1

  • Criminal Justice and Public Order Act 1994 (c. 33), Parts 5, 7 and 12

  • Crossbows Act 1987 (c. 32)

  • Dangerous Dogs Act 1991 (c. 65)

  • Dangerous Wild Animals Act 1976 (c. 38)

  • Defective Premises Act 1972 (c. 35)

  • Development of Tourism Act 1969 (c. 51)

  • F14...

  • Dogs Act 1906 (c. 32)

  • Education Reform Act 1988 (c. 40), section 215

  • Employment Agencies Act 1973 (c. 35)

  • Energy Act 1976 (c. 76)

  • Enterprise Act 2002 (c. 40), Part 8

  • Environment Act 1995 (c. 25)

  • Environment and Safety Information Act 1988 (c. 30)

  • Environmental Protection Act 1990 (c. 43)

  • Estate Agents Act 1979 (c. 38)

  • Explosives Act 1875 (c. 17)

  • Explosives Act 1923 (c. 17)

  • Explosives (Age of Purchase &c.) Act 1976 (c. 26)

  • Factories Act 1961 (c. 34)

  • Fair Trading Act 1973 (c. 41)

  • F15...

  • Farriers (Registration) Act 1975 (c. 35)

  • Fire and Rescue Services Act 2004 (c. 21)

  • Fire Safety and Safety of Places of Sport Act 1987 (c. 27)

  • Firearms Act 1968 (c. 27)

  • Firearms Act 1982 (c. 31)

  • Fireworks Act 2003 (c. 22)

  • Food Act 1984 (c. 30)

  • Food and Environment Protection Act 1985 (c. 48), Parts 1 and 2

  • Food Safety Act 1990 (c. 16), Parts 2 and 3

  • Food Standards Act 1999 (c. 28)

  • Forgery and Counterfeiting Act 1981 (c. 45)

  • Fraud Act 2006 (c. 35)

  • Gambling Act 2005 (c. 19)

  • Game Act 1831 (c. 32)

  • Ground Game Act 1880 (c. 47)

  • Guard Dogs Act 1975 (c. 50)

  • Hallmarking Act 1973 (c. 43)

  • Health Act 2006 (c. 28), Part 1

  • Health and Safety at Work etc. Act 1974 (c. 37)

  • Highways Act 1980 (c. 66)

  • House to House Collections Act 1939 (c. 44)

  • Housing Act 1985 (c. 68), Parts 8, 9 and 10

  • Housing Act 1996 (c. 52), Part 8

  • Housing Act 2004 (c. 34), [F16Parts 1 to 4]

  • Hypnotism Act 1952 (c. 46)

  • F17...

  • Knives Act 1997 (c. 21)

  • Legal Services Act 2007 (c. 29), section 198

  • Licensing Act 2003 (c. 17)

  • Litter Act 1983 (c. 35)

  • Local Government Act 1972 (c. 70), Parts 9 and 11

  • Local Government Act 1985 (c. 51), Part 2

  • Local Government Act 1988 (c. 9), Part 4

  • Local Government Act 2000 (c. 22), Part 1

  • Local Government (Miscellaneous Provisions) Act 1976 (c. 57)

  • Local Government (Miscellaneous Provisions) Act 1982 (c. 30)

  • London Government Act 1963 (c. 33)

  • London Local Authorities Act 1990 (c. vii)

  • London Local Authorities Act 1991 (c. xiii)

  • London Local Authorities Act 1994 (c. xii)

  • London Local Authorities Act 1995 (c. x)

  • London Local Authorities Act 1996 (c. ix)

  • London Local Authorities Act 2000 (c. vii)

  • London Local Authorities Act 2004 (c. i)

  • London Local Authorities Act 2007 (c. ii)

  • London Olympic Games and Paralympic Games Act 2006 (c. 12)

  • Malicious Communications Act 1988 (c. 27)

  • Medicines Act 1968 (c. 67)

  • Mines and Quarries Act 1954 (c. 70)

  • Mines and Quarries (Tips) Act 1969 (c. 10)

  • [F18Mobile Homes (Wales) Act 2013]

  • Mock Auctions Act 1961 (c. 47)

  • Motor Cycle Noise Act 1987 (c. 34)

  • National Lottery etc. Act 1993 (c. 39), sections 12 and 13

  • Noise Act 1996 (c. 37)

  • Noise and Statutory Nuisance Act 1993 (c. 40)

  • Offices, Shops and Railway Premises Act 1963 (c. 41)

  • Offshore Safety Act 1992 (c. 15)

  • Olympic Symbol etc. (Protection) Act 1995 (c. 32)

  • Opticians Act 1989 (c. 44)

  • Osteopaths Act 1993 (c. 21)

  • Pedlars Act 1871 (c. 96)

  • Performing Animals (Regulation) Act 1925 (c. 38)

  • Pests Act 1954 (c. 68)

  • Pet Animals Act 1951 (c. 35)

  • F19...

  • F19...

  • Plant Health Act 1967 (c. 8)

  • Poisons Act 1972 (c. 66)

  • Police, Factories, &c. (Miscellaneous Provisions) Act 1916 (c. 31)

  • Pollution Prevention and Control Act 1999 (c. 24)

  • Prevention of Damage by Pests Act 1949 (c. 55)

  • Prices Act 1974 (c. 24)

  • Private Hire Vehicles (London) Act 1998 (c. 34)

  • Private Security Industry Act 2001 (c. 12)

  • F20...

  • Protection Against Cruel Tethering Act 1988 (c. 31)

  • Protection from Harassment Act 1997 (c. 40)

  • Protection of Animals Act 1911 (c. 27)

  • [F21Psychoactive Substances Act 2016]

  • Public Health Act 1936 (c. 49)

  • Public Health Act 1961 (c. 64)

  • Public Passenger Vehicles Act 1981 (c. 14)

  • Refuse Disposal (Amenity) Act 1978 (c. 3)

  • Regulatory Reform (Fire Safety) Order 2005 (SI 2005/1541)

  • Riding Establishments Act 1964 (c. 70)

  • Riding Establishments Act 1970 (c. 32)

  • Road Traffic Act 1988 (c. 52), sections 15A, 17, 18, 41, 71, 81, 82 and 196

  • Road Traffic (Consequential Provisions) Act 1988 (c. 54)

  • Road Traffic (Foreign Vehicles) Act 1972 (c. 27)

  • Safety of Sports Grounds Act 1975 (c. 52)

  • Sale of Goods Act 1979 (c. 54)

  • Scotch Whisky Act 1988 (c. 22)

  • [F22Scrap Metal Dealers Act 2013]

  • F23...

  • Serious Organised Crime and Police Act 2005 (c. 15), Part 4

  • [F24Single Use Carrier Bags Charges (England) Order 2015 (S.I. 2015/776)]

  • [F25Single Use Carrier Bags Charge (Wales) Regulations 2010 (S.I. 2010/2880)]

  • Slaughter of Poultry Act 1967 (c. 24)

  • Slaughterhouses Act 1974 (c. 3)

  • [F25Sunbeds (Regulation) Act 2010 (c. 20)]

  • Sunday Trading Act 1994 (c. 20)

  • Supply of Goods and Services Act 1982 (c. 29)

  • Supply of Goods (Implied Terms) Act 1973 (c. 13)

  • Theatres Act 1968 (c. 54)

  • Theft Act 1968 (c. 60)

  • Theft Act 1978 (c. 31)

  • F26...

  • Tobacco Advertising and Promotion Act 2002 (c. 36)

  • Town Police Clauses Act 1847 (c. 89)

  • Trade Descriptions Act 1968 (c. 29)

  • Trade Marks Act 1994 (c. 26), section 93

  • Trading Representations (Disabled Persons) Act 1958 (c. 49)

  • Traffic Management Act 2004 (c. 18)

  • Transport Act 1981 (c. 56)

  • Unfair Contract Terms Act 1977 (c. 50)

  • Unsolicited Goods and Services Act 1971 (c. 30)

  • Vehicles (Crime) Act 2001 (c. 3)

  • Veterinary Surgeons Act 1966 (c. 36)

  • Video Recordings Act 1984 (c. 39)

  • Violent Crime Reduction Act 2006 (c. 38)

  • Water Industry Act 1991 (c. 56), sections 77 to 85

  • Water Resources Act 1991 (c. 57)

  • Weeds Act 1959 (c. 54)

  • Weights and Measures &c. Act 1976 (c. 77)

  • Weights and Measures Act 1985 (c. 72)

  • Welfare of Animals at Slaughter Act 1991 (c. 30)

  • Wildlife and Countryside Act 1981 (c. 69)

  • Zoo Licensing Act 1981 (c. 37)

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)

F10Words 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)

F11Words 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)

F14Words 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))

F15Words in Sch. 3 omitted (26.5.2015) by virtue of Deregulation Act 2015 (c. 20), s. 115(3)(r), Sch. 23 para. 25(3)

F18Words 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))

F22Words 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)

F23Words 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))

F24Words 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)

[F27SCHEDULE 4U.K.Enforcement action: references to [F28the Secretary of State]

Textual Amendments

F27Sch. 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 [F29the Secretary of State] refer the proposed enforcement action to [F29the Secretary of State] .U.K.

(2)On a reference under this paragraph—

(a)if [F30the Secretary of State] is satisfied as to the matters in sub-paragraph (3), [F30the Secretary of State] must confirm the direction;

(b)in any other case, [F31the 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) [F32the Secretary of State] confirms a direction of the primary authority, [F32the 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).

Textual Amendments

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 [F33the Secretary of State] refer the action to [F33the Secretary of State] .U.K.

(2)On a reference under this paragraph—

(a)if [F34the Secretary of State] is satisfied as to the matters in sub-paragraph (3), [F34the Secretary of State] must direct the enforcing authority not to take the proposed enforcement action;

(b)in any other case, [F35the 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 [F36the Secretary of State] gives a direction under sub-paragraph (2)(a), [F36the 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)[F37The Secretary of State] may require a regulated person who makes a reference under this paragraph to pay such reasonable costs incurred by [F38the Secretary of State] as a result of the reference as [F38the Secretary of State] may specify.

Textual Amendments

Reference by primary authorityU.K.

3(1)The primary authority may with the consent of [F39the Secretary of State] , instead of making a determination under section 28(2) in relation to a proposed enforcement action, refer the action to [F39the Secretary of State] .U.K.

(2)On a reference under this paragraph—

(a)if [F40the Secretary of State] is satisfied as to the matters in sub-paragraph (3), [F40the Secretary of State] must direct the enforcing authority not to take the proposed enforcement action;

(b)in any other case, [F41the 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 [F42the Secretary of State] gives a direction under sub-paragraph (2)(a), [F42the 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).

Textual Amendments

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 [F43the Secretary of State] —U.K.

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

(b)may consult such other persons as [F44Secretary 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.

Textual Amendments

Procedure: generalU.K.

6(1)[F45The 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 [F46the 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)[F47The Secretary of State] may give guidance or directions to any one or more local authorities about any enforcement action referred to [F48the 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)[F49The Secretary of State] must publish any guidance or directions given under this paragraph in such manner as [F50the Secretary of State] considers appropriate.

Textual Amendments

InformationU.K.

8U.K.For the purposes of this Schedule [F51the Secretary of State] may require the primary authority, the enforcing authority or the regulated person to provide [F51the Secretary of State] with such information as [F51the Secretary of State] may specify, being information which the authority may lawfully provide to [F51the Secretary of State] .]

Textual Amendments

Sections 25B and 25C

[F52SCHEDULE 4AU.K.References to the Secretary of State

Textual Amendments

F52Sch. 4A substituted (4.5.2016 for specified purposes, 1.10.2017 in so far as not already in force) by Enterprise Act 2016 (c. 12), s. 44(1)(c), Sch. 3; S.I. 2017/473, reg. 3(b)

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

  • British Hallmarking Council

  • Charity Commission for England and Wales

  • [F53Civil Aviation Authority]

  • Coal Authority

  • [F54Competition and Markets Authority]

  • F55...

  • Environment Agency

  • [F56Financial Conduct Authority ]

  • Food Standards Agency

  • F57...

  • Forestry Commissioners

  • Gambling Commission

  • [F58Gangmasters and Labour Abuse Authority]

  • Health and Safety Executive

  • Hearing Aid Council

  • Historic Buildings and Monuments Commission for England (“English Heritage”)

  • Housing Corporation

  • Human Fertilisation and Embryology Authority

  • Human Tissue Authority

  • Information Commissioner

  • F59...

  • Natural England

  • [F60Natural Resources Body for Wales]

  • Office of Communications

  • F61...

  • [F62Office of Rail and Road]

  • Pensions Regulator

  • [F63Prudential Regulation Authority]

  • Security Industry Authority

  • [F64 The Sports Grounds Safety Authority.]

  • Statistics Board

Textual Amendments

F59Sch. 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

  • Accommodation Agencies Act 1953 (c. 23), section 1

  • Administration of Justice Act 1970 (c. 31), section 40

  • Agriculture Act 1947 (c. 48), section 100

  • Agriculture Act 1967 (c. 22), section 14(2)

  • Agriculture Act 1970 (c. 40)

  • Agriculture and Horticulture Act 1964 (c. 28), sections 14 and 15

  • Ancient Monuments and Archaeological Areas Act 1979 (c. 46)

  • Animal Boarding Establishments Act 1963 (c. 43), section 1(8)

  • Animal Health Act 1981 (c. 22)

  • Animal Health and Welfare Act 1984 (c. 40), section 10(6)

  • Animals (Scientific Procedures) Act 1986 (c. 14)

  • Animal Welfare Act 2006 (c. 45)

  • Anti-social Behaviour Act 2003 (c. 38), sections 54 and 75

  • Aviation and Maritime Security Act 1990 (c. 31), sections 15 and 48 and Part 3

  • Aviation Security Act 1982 (c. 36), Part 2

  • Bees Act 1980 (c. 12), section 1(7)

  • [F65Breeding of Dogs Act 1973 (c. 60)]

  • [F66Breeding of Dogs Act 1991 (c. 64)]

  • Building Act 1984 (c. 55)

  • Cancer Act 1939 (c. 13), section 4

  • Children and Young Persons Act 1933 (c. 12), section 7(1)

  • Children and Young Persons Act 1963 (c. 37), section 40

  • Children and Young Persons (Protection from Tobacco) Act 1991 (c. 23)

  • Christmas Day (Trading) Act 2004 (c. 26), sections 2 and 3

  • Chronically Sick and Disabled Persons Act 1970 (c. 44), section 21

  • Clean Air Act 1993 (c. 11)

  • Clean Neighbourhoods and Environment Act 2005 (c. 16), sections 3 to 7 and Part 7

  • Coast Protection Act 1949 (c. 74), sections 18(7) and 36

  • Commons Act 2006 (c. 26), section 34(1)

  • Conservation of Seals Act 1970 (c. 30)

  • Consumer Credit Act 1974 (c. 39)

  • Consumer Protection Act 1987 (c. 43), section 12

  • Control of Pollution Act 1974 (c. 40), Part 3

  • Control of Pollution (Amendment) Act 1989 (c. 14), sections 1, 5 and 7

  • Criminal Justice and Public Order Act 1994 (c. 33), sections 77(3), 78(4), 166 and 167

  • Dangerous Dogs Act 1989 (c. 30)

  • Dangerous Dogs Act 1991 (c. 65)

  • Dangerous Vessels Act 1985 (c. 22), section 5

  • Dangerous Wild Animals Act 1976 (c. 38)

  • Deer Act 1991 (c. 54)

  • Destructive Imported Animals Act 1932 (c. 12), section 6

  • F67...

  • Diseases of Fish Act 1937 (c. 33)

  • Diseases of Fish Act 1983 (c. 30)

  • Education Reform Act 1988 (c. 40), section 214

  • Employment Agencies Act 1973 (c. 35), sections 5(2), 6(2), and 10(2)

  • Energy Act 1976 (c. 76), section 18

  • Enterprise Act 2002 (c. 40), section 227E

  • Environment Act 1995 (c. 25), section 110

  • Environmental Protection Act 1990 (c. 43), Parts 2, 2A and 3, and sections 118 and 150(5)

  • Estate Agents Act 1979 (c. 38)

  • Explosives Act 1875 (c. 17), sections 30 to 32, [F6843], 73 and 80

  • Fair Trading Act 1973 (c. 41), sections 23, 30 and 120

  • Farriers (Registration) Act 1975 (c. 35)

  • Fire Safety and Safety of Places of Sport Act 1987 (c. 27)

  • Fireworks Act 2003 (c. 22), section 11

  • Fisheries Act 1981 (c. 29)

  • Fishery Limits Act 1976 (c. 86)

  • Food and Environment Protection Act 1985 (c. 48), Parts 1, 2 and 3

  • Food Safety Act 1990 (c. 16), Parts 2 and 3

  • Food Standards Act 1999 (c. 28)

  • Gambling Act 2005 (c. 19)

  • Game Act 1831 (c. 32), sections 3, 3A, and 24

  • Goods Vehicles (Licensing of Operators) Act 1995 (c. 23)

  • Ground Game Act 1880 (c. 47), section 6

  • Hallmarking Act 1973 (c. 43), sections 1, 3, 5 to 7 and 11

  • Hares Preservation Act 1892 (c. 8), section 2

  • Health and Safety at Work etc. Act 1974 (c. 37), section 33

  • Highways Act 1980 (c. 66), Part 9

  • Horticultural Produce Act 1986 (c. 20)

  • Import of Live Fish (England and Wales) Act 1980 (c. 27), section 3

  • International Carriage of Perishable Foodstuffs Act 1976 (c. 58), sections 6 to 11

  • F69...

  • Knives Act 1997 (c. 21)

  • Licensing Act 2003 (c. 17)

  • Local Government (Miscellaneous Provisions) Act 1976 (c. 57), Part 2

  • Local Government (Miscellaneous Provisions) Act 1982 (c. 30), Part 8 and Schedules 3 and 4

  • London Local Authorities Act 1995 (c. x), sections 24 and 25

  • London Local Authorities Act 2004 (c. i), sections 22, 26 and 29

  • Medicines Act 1968 (c. 67)

  • Merchant Shipping Act 1995 (c. 21), Parts 1 to 5 and 9 to 12

  • Mines and Quarries (Tips) Act 1969 (c. 10), Part 2

  • Motor Cycle Noise Act 1987 (c. 34)

  • New Roads and Street Works Act 1991 (c. 22), section 51

  • Noise Act 1996 (c. 37)

  • Olympic Symbol etc. (Protection) Act 1995 (c. 32), section 8

  • Pedlars Act 1871 (c. 96), sections 4, 12 and 14

  • Pests Act 1954 (c. 68), sections 8, 9 and 12

  • Pet Animals Act 1951 (c. 35)

  • F70...

  • Pilotage Act 1987 (c. 21)

  • Planning (Listed Buildings and Conservation Areas) Act 1990 (c. 9)

  • Plant Varieties Act 1997 (c. 66), sections 19, 31 and 32

  • Plant Varieties and Seeds Act 1964 (c. 14), sections 16 and 25

  • Poisons Act 1972 (c. 66)

  • Prevention of Damage by Pests Act 1949 (c. 55), sections 3(4), 17 and 22(4)

  • Prices Act 1974 (c. 24)

  • F71...

  • Protection from Eviction Act 1977 (c. 43), section 1

  • Protection of Badgers Act 1992 (c. 51), sections 1 to 5 and 10

  • Protection of Wrecks Act 1973 (c. 33)

  • Public Health Act 1936 (c. 49), Part 2 and sections 269, 288 and 290

  • Public Health (Control of Disease) Act 1984 (c. 22), sections 15 to 55

  • Public Passenger Vehicles Act 1981 (c. 14), Part 2 and section 67

  • F72...

  • Railways Act 1993 (c. 43), sections 119, 120 and 121

  • Railways and Transport Safety Act 2003 (c. 20), sections 78 to 80

  • Refuse Disposal (Amenity) Act 1978 (c. 3), sections 2(1) and 2B(2)

  • Rent Act 1977 (c. 42), sections 77 and 81

  • Road Traffic Act 1988 (c. 52)

  • Road Traffic (Driver Licensing and Information Systems) Act 1989 (c. 22), sections 9 and 11

  • Road Traffic (Foreign Vehicles) Act 1972 (c. 27), section 3

  • Road Traffic (New Drivers) Act 1995 (c. 13), section 3

  • Road Traffic Offenders Act 1988 (c. 53), sections 25, 62, 67, 90D and 91

  • Road Traffic Regulation Act 1984 (c. 27), sections 5, 16, 47, 115 and 117

  • Safety of Sports Grounds Act 1975 (c. 52), section 12(1) and (6)

  • Salmon Act 1986 (c. 62), section 32(1)

  • Salmon and Freshwater Fisheries Act 1975 (c. 51)

  • Scrap Metal Dealers Act 1964 (c. 69), sections 1 and 5

  • Sea Fish (Conservation) Act 1967 (c. 84)

  • Sea Fisheries Act 1968 (c. 77)

  • F73...

  • Sea Fisheries (Shellfish) Act 1967 (c. 83)

  • Solicitors Act 1974 (c. 47), section 20

  • Sunday Trading Act 1994 (c. 20)

  • F74...

  • Trade Descriptions Act 1968 (c. 29)

  • Transport Act 1968 (c. 73), Part 6

  • Transport Act 1985 (c. 67), sections 23, 30 and 101

  • Transport Act 2000 (c. 38), section 148 and Part 3

  • Unsolicited Goods and Services Act 1971 (c. 30), sections 2 and 3

  • Vehicles (Crime) Act 2001 (c. 3)

  • Vehicle Excise and Registration Act 1994 (c. 22), section 28A, Part 3 and section 59

  • Veterinary Surgeons Act 1966 (c. 36)

  • Video Recordings Act 1984 (c. 39), sections 9 to 14

  • Video Recordings Act 1993 (c. 24)

  • Water Industry Act 1991 (c. 56), sections 70(1), 86, 109, 111 and 118

  • Water Resources Act 1991 (c. 57)

  • Weeds Act 1959 (c. 54), section 2

  • Weights and Measures Act 1985 (c. 72), Parts 2 to 7

  • Wildlife and Countryside Act 1981 (c. 69), Parts 1 and 2

  • Zoo Licensing Act 1981 (c. 37), section 19

Textual Amendments

F67Words in Sch. 6 repealed by 2010 c. 15 Sch. 27 Pt. 1 (as substituted) (1.10.2010) by The Equality Act 2010 (Consequential Amendments, Saving and Supplementary Provisions) Order 2010 (S.I. 2010/2279), art. 1(2), Sch. 2 (see S.I. 2010/2317, art. 2)

F72Words in Sch. 6 repealed (1.4.2014) by Energy Act 2013 (c. 32), s. 156(1), Sch. 12 para. 94; S.I. 2014/251, art. 4

F73Sch. 6 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 62

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

  • Activity Centres (Young Persons' Safety) Act 1995 (c. 15), section 2

  • Animal Health Act 1981 (c. 22)

  • Animal Welfare Act 2006 (c. 45), section 12

  • Aviation and Maritime Security Act 1990 (c. 31), sections 36A, 41 and 42

  • Aviation Security Act 1982 (c. 36), sections 20A, 21F and 21G

  • Channel Tunnel Act 1987 (c. 53), section 11

  • Charities Act 1992 (c. 41), sections 64 and 64A

  • Charities Act 2006 (c. 50), section 63

  • [F75Civil Aviation Act 1982, sections 7, 61, 71, 71A, 86]

  • Consumers, Estate Agents and Redress Act 2007 (c. 17), section 59

  • Control of Pollution Act 1974 (c. 40), section 17

  • Control of Pollution (Amendment) Act 1989 (c. 14), section 2

  • Electricity Act 1989 (c. 29), section 29

  • Environment Act 1995 (c. 25), sections 87, 95 and 97

  • Environmental Protection Act 1990 (c. 43), sections 140 and 156

  • Financial Services and Markets Act 2000 (c. 8), section 168(4)(b)

  • Fisheries Act 1981 (c. 29), section 30

  • Food Safety Act 1990 (c. 16), Part 2

  • Food Standards Act 1999 (c. 28), section 27

  • Gambling Act 2005 (c. 19), sections 59(1) and 146

  • Gas Act 1986 (c. 44), sections 18 and 47

  • Goods Vehicles (Licensing of Operators) Act 1995 (c. 23), Schedule 1A

  • Hovercraft Act 1968 (c. 59), section 1

  • Medicines Act 1968 (c. 67), sections 91 and 95

  • Merchant Shipping Act 1995 (c. 21)

  • Merchant Shipping (Oil Pollution, Preparedness, Response and Co-operation) Order 1997 (SI 1997/2567), article 2

  • Motor Vehicles (International Circulation) Act 1952 (c. 39), section 1

  • Pensions Act 1995 (c. 26), section 116

  • Pensions Act 2004 (c. 35), section 314

  • Petroleum Act 1998 (c. 17), section 25

  • Plant Health Act 1967 (c. 8), section 3

  • Pollution Prevention and Control Act 1999 (c. 24), sections 2 and 3

  • Public Health (Control of Disease) Act 1984 (c. 22), section 13

  • Public Passenger Vehicles Act 1981 (c. 14), section 60

  • Railways Act 1993 (c. 43), section 121A

  • Railways and Transport Safety Act 2003 (c. 20), sections 9 and 11

  • Regulatory Reform Act 2001 (c. 6), section 1

  • Road Traffic Act 1988 (c. 52), sections 49, 61, 105 and 120 and Schedule 2A

  • Safety of Sports Grounds Act 1975 (c. 52), section 6(2)

  • Salmon Act 1986 (c. 62), section 31

  • F76...

  • Vehicle Excise and Registration Act 1994 (c. 22), sections 24 and 28 and Schedule 2A

  • [F77Water Act 2014 (c. 21), section 61]

  • Water Industry Act 1991 (c. 56), section 69

  • Water Resources Act 1991 (c. 57), section 92

  • Weights and Measures &c. Act 1976 (c. 77), section 12

  • Weights and Measures Act 1985 (c. 72), section 22

Textual Amendments

F76Sch. 7 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))