PART 2Regulatory Enforcement

Introductory

22A“Regulated person” and “regulated group”

1

A person is a “regulated person” for the purposes of this Part if the Secretary of State is satisfied that—

a

the person carries on, or proposes to carry on, an activity, and

b

a qualifying regulator has a relevant function which is, or would be, exercisable in relation to the person in respect of the activity.

2

A group of persons is a “regulated group” for the purposes of this Part if the Secretary of State is satisfied that—

a

a member of the group carries on, or proposes to carry on, an activity, and

b

a qualifying regulator has a relevant function which is, or would be, exercisable in relation to the member in respect of the activity.

22B“Qualifying regulator”

1

In this Part, “qualifying regulator” means—

a

a local authority, or

b

a specified regulator.

2

In this Part, “local authority” means a local authority in England, Wales, Scotland or Northern Ireland.

3

In this Part—

a

references to a local authority in England or Wales have the same meaning as in Part 1;

b

references to a local authority in Scotland are to a council constituted under section 2 of the Local Government etc (Scotland) Act 1994;

c

references to a local authority in Northern Ireland are to a district council constituted under section 1 of the Local Government Act (Northern Ireland) 1972.

4

In this Part, “specified regulator” means a person (other than a local authority) who—

a

has regulatory functions, and

b

is specified for the purposes of this Part by regulations made by the Secretary of State.

5

Regulations under subsection (4)(b) require the consent of the Welsh Ministers to specify a regulator whose functions relate only to devolved Welsh matters.

22C“Relevant function”

1

In this Part, “relevant function”—

a

in relation to a local authority in England or Wales, has the same meaning as in Part 1;

b

in relation to a local authority in Scotland, means a regulatory function exercised by that authority and specified for the purposes of this Part by regulations made by the Secretary of State;

c

in relation to a local authority in Northern Ireland, means a regulatory function exercised by that authority and specified for the purposes of this Part by regulations made by the Secretary of State;

d

in relation to a specified regulator, means a regulatory function exercised by that regulator and specified for the purposes of this Part by regulations made by the Secretary of State.

2

Regulations under subsection (1)(b) or (c) may only specify a regulatory function—

a

which is a relevant function for the purposes of Part 1 in relation to local authorities in England or Wales or both, or

b

which, for the purposes of local authorities in Scotland or Northern Ireland, is equivalent to such a function.

3

Regulations under subsection (1)(d) may only specify a regulatory function—

a

which is a relevant function for the purposes of Part 1 in relation to local authorities in England or Wales or both, or

b

which, for the purposes of the specified regulator, is equivalent to such a function.

4

Regulations under subsection (1)(b) or (d) may not specify a regulatory function so far as exercisable in Scotland, if or to the extent that the function relates to matters which are not reserved matters.

5

Regulations under subsection (1)(c) or (d) may not specify a regulatory function so far as exercisable in Northern Ireland, if or to the extent that the function relates to matters which are transferred matters.

6

Regulations under subsection (1)(d) require the consent of the Welsh Ministers to specify a regulatory function, so far as exercisable in relation to Wales, which relates to a devolved Welsh matter.

7

Regulations under subsection (1)(d) may make different provision for—

a

different purposes;

b

different areas.

Primary authorities

23APrimary authorities for regulated persons and regulated groups

1

For the purposes of this Part, the Secretary of State—

a

may nominate, in relation to a regulated person, a qualifying regulator to be the “primary authority” for the exercise of the partnership functions in relation to that person (a “direct primary authority”);

b

may nominate, in relation to a regulated group, a qualifying regulator to be the “primary authority” for the exercise of the partnership functions in relation to the members of the group (a “co-ordinated primary authority”).

2

The “partnership functions” are the functions specified by the nomination under subsection (1) as covered by it.

3

A function may be so specified only if condition A or B is met.

4

Condition A is that the function—

a

is a relevant function of the primary authority, and

b

is, or (in the case of an activity proposed to be carried on) would be, exercisable by the primary authority in relation to the regulated person or a member of the regulated group.

5

Condition B is that the function—

a

is a relevant function of a qualifying regulator other than the primary authority,

b

is, or (in the case of an activity proposed to be carried on) would be, exercisable by that other regulator in relation to the regulated person or a member of the regulated group, and

c

is equivalent to a relevant function of the primary authority.

6

The Secretary of State may from time to time revise the specification of partnership functions included in a nomination under subsection (1) if—

a

the requirements of subsections (3) to (5) are met in relation to the revised specification,

b

in the case of a nomination under subsection (1)(a), the primary authority and the regulated person have agreed in writing to the revision, and

c

in the case of a nomination under subsection (1)(b), the primary authority and the co-ordinator of the regulated group have agreed in writing to the revision.

7

This Part applies to a revised specification of partnership functions as it applies to a specification of partnership functions under subsection (1); and references in this Part to the partnership functions include partnership functions in the revised specification.

23BNomination of primary authorities

1

The Secretary of State may only nominate a qualifying regulator as a direct primary authority if the regulator and the regulated person have agreed in writing to the nomination.

2

The Secretary of State may only nominate a qualifying regulator as a co-ordinated primary authority if—

a

there is a co-ordinator of the regulated group, and

b

the regulator and the co-ordinator have agreed in writing to the nomination.

3

The Secretary of State may at any time revoke a nomination under section 23A(1).

4

The Secretary of State must—

a

maintain, or cause to be maintained, a register of nominations under section 23A(1), and

b

make the register available for inspection free of charge.

23C“Co-ordinator” of a regulated group

1

For the purposes of this Part, there is a “co-ordinator” of a regulated group if there is a person nominated by the Secretary of State to be the co-ordinator of the group.

2

The Secretary of State may only nominate a person under subsection (1) if the person has agreed in writing to the nomination.

3

The Secretary of State may at any time revoke a nomination under subsection (1).

4

If at any time the co-ordinator of a regulated group is unable to act, the Secretary of State may nominate another person to exercise the functions of the co-ordinator of the group under this Part.

5

Subsections (2) and (3) apply to a nomination under subsection (4) as they apply to a nomination under subsection (1).

6

The Secretary of State must secure that the register of nominations maintained and made available under section 23B(4) includes, in relation to each co-ordinated primary authority, the name of—

a

the co-ordinator of the regulated group concerned, and

b

any person nominated under subsection (4) to exercise the co-ordinator's functions.

23DMembership of a regulated group

1

This section applies where a qualifying regulator is nominated as a co-ordinated primary authority.

2

The co-ordinator of the regulated group concerned must—

a

maintain, or cause to be maintained, a list of members of the group, and

b

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

3

The list must include in relation to each member—

a

the member's name and address,

b

when the person became a member, and

c

if applicable, when the person ceased to be a member.

4

The co-ordinator of the regulated group must make a copy of the list available free of charge, on request, to—

a

the Secretary of State,

b

the primary authority, and

c

a qualifying regulator who has a function which is both a relevant function of the regulator and a partnership function.

5

The copy must be made available as soon as is reasonably practicable and in any event not later than the end of the third working day after the day on which the request is received by the co-ordinator.

6

For the purposes of this Part, the list is conclusive as to whether a person is a member of the group at a particular time.

23EApplication of sections 24A to 28B

1

The following provisions apply in each case where a qualifying regulator has been nominated under section 23A(1) as a primary authority—

a

section 24A (primary authority advice and guidance);

b

sections 25A to 25D and Schedule 4A (enforcement action);

c

sections 26A to 26C (inspection plans);

d

section 27A (power for primary authority to recover costs);

e

section 28A (support of primary authority by other regulators);

f

section 28B (other regulators to act consistently with primary authority advice etc).

2

References in those provisions to “the primary authority”, “a partnership function” and other terms defined in or for the purposes of this Part are to be read accordingly.

3

But see sections 29A to 29D in relation to cases where more than one qualifying regulator has been nominated as the primary authority for the exercise of the same function in relation to the same person.

Advice and guidance

24APrimary authority advice and guidance

1

The primary authority, if it is a direct primary authority, has the function of—

a

giving advice and guidance to the regulated person in relation to each partnership function;

b

giving advice and guidance, in relation to each partnership function, to other qualifying regulators as to how they should exercise it in relation to the regulated person.

2

The primary authority, if it is a co-ordinated primary authority, has the function of—

a

giving advice and guidance to the co-ordinator of the regulated group in relation to each partnership function;

b

giving advice and guidance, in relation to each partnership function, to other qualifying regulators as to how they should exercise it in relation to a member of the group.

3

The primary authority may make arrangements with the regulated person or the co-ordinator of the regulated group as to how the authority will discharge its functions under subsection (1) or (2).

4

In the case of a co-ordinated primary authority, the co-ordinator of the regulated group must notify any advice or guidance given to the co-ordinator under subsection (2)(a) to those members of the group to whom the co-ordinator considers it may be relevant.

5

Advice or guidance may be given under subsection (1)(b) or (2)(b) only with the consent of the Secretary of State.

6

Subsections (1)(b) and (2)(b) do not require advice and guidance to be given to a qualifying regulator in relation to a partnership function if it is not a relevant function of that regulator.

Enforcement action

25A“Enforcement action”

1

In this Part, “enforcement action” means—

a

action which relates to securing compliance with a restriction, requirement or condition in the event of breach (or putative breach) of a restriction, requirement or condition;

b

action taken with a view to, or in connection with, the imposition of a sanction (criminal or otherwise) in respect of an act or omission;

c

action taken in connection with the pursuit of a remedy conferred by an enactment in respect of an act or omission.

2

But the Secretary of State may by regulations, with the consent of the Welsh Ministers, specify—

a

action which is to be regarded as enforcement action for the purposes of this Part or any provision of this Part specified in the regulations;

b

action which is not to be regarded as enforcement action for the purposes of this Part or any provision of this Part specified in the regulations.

3

Regulations under subsection (2) may make different provision for different purposes.

25BEnforcement action by primary authority

1

This section applies if—

a

the primary authority proposes to take enforcement action against the regulated person or a member of the regulated group pursuant to a relevant function of the primary authority which is a partnership function, and

b

in the case of proposed enforcement action against a member of the regulated group, the primary authority is aware that the member belongs to the group.

But see section 25D (which imposes a duty to prescribe circumstances in which this section does not apply).

2

The primary authority—

a

must notify the regulated person or the member in writing before taking the proposed enforcement action, and

b

may not take the action during the referral period mentioned in paragraph 5(2) of Schedule 4A (period in which the regulated person or the member may refer the action to the Secretary of State) unless notified in writing by the regulated person or the member that no such reference is to be made.

3

Parts 1 and 3 of Schedule 4A contain provision for questions arising under this section to be referred to the Secretary of State.

4

Where another enactment limits the period within which the primary authority may take the proposed enforcement action, any time during which it is prohibited under this section or paragraph 5(7) of Schedule 4A from taking the action is to be disregarded in calculating that period.

25CEnforcement action other than by primary authority

1

This section applies if—

a

a qualifying regulator other than the primary authority proposes to take enforcement action against the regulated person or a member of the regulated group pursuant to a relevant function of the regulator which is a partnership function, and

b

in the case of proposed enforcement action against a member of the regulated group, the regulator is aware that the member belongs to the group.

But see section 25D (which imposes a duty to prescribe circumstances in which this section does not apply).

2

The qualifying regulator (the “enforcing authority”)—

a

must notify the primary authority in writing before taking the proposed enforcement action, and

b

may not take the action during the relevant period.

3

If—

a

the enforcing authority fails to notify the primary authority under subsection (2)(a) of the proposed enforcement action, but

b

the primary authority is notified of it by the regulated person or the member or the co-ordinator of the regulated group,

the primary authority must notify the enforcing authority in writing that the enforcing authority is prohibited by subsection (2)(b) from taking the action during the relevant period.

4

If the primary authority determines, within the relevant period, that the proposed enforcement action is inconsistent with advice or guidance previously given by it (generally or specifically), it may direct the enforcing authority in writing not to take the action.

5

Any such direction must be given as soon as is reasonably practicable, and in any event within the relevant period.

6

If the enforcing authority is not directed under subsection (4) not to take the proposed enforcement action, and continues to propose to take the action—

a

it must inform the regulated person or the member, and

b

it may not take the action during the referral period mentioned in paragraph 5(4) of Schedule 4A (period in which the regulated person or the member may refer the action to the Secretary of State) unless notified in writing by the regulated person or the member that no such reference is to be made.

7

Parts 2 and 3 of Schedule 4A contain provision for questions arising under this section to be referred to the Secretary of State.

8

Where another enactment limits the period within which the enforcing authority may take the proposed enforcement action, any time during which it is prohibited under this section or paragraph 5(7) of Schedule 4A from taking the action is to be disregarded in calculating the period.

9

For the purposes of this section, the “relevant period” means the period which—

a

begins when the primary authority is notified under subsection (2)(a) of the proposed enforcement action or the enforcing authority is notified under subsection (3) that it is prohibited from taking the action during the relevant period, and

b

ends—

i

at the end of the fifth working day after the day on which the period begins, or at such later time as the Secretary of State may direct, or

ii

if earlier, when the enforcing authority is notified in writing by the primary authority that no direction is to be given under subsection (4) (unless the notification states that the primary authority has referred the action to the Secretary of State under paragraph 4(1) of Schedule 4A or that it intends to do so).

25DEnforcement action: exceptions

1

The Secretary of State must by regulations, with the consent of the Welsh Ministers, prescribe—

a

circumstances in which section 25B, and Schedule 4A so far as relating to cases within section 25B, do not apply, and

b

circumstances in which section 25C, and Schedule 4A so far as relating to cases within section 25C, do not apply.

2

In particular, the Secretary of State must exercise the power under subsection (1) to secure that those provisions do not apply—

a

where the enforcement action is required urgently to avoid a significant risk of serious harm to—

i

human health,

ii

the environment (including the health of animals or plants), or

iii

the financial interests of consumers;

b

where the application of those provisions would be wholly disproportionate.

3

Where a qualifying regulator other than the primary authority takes enforcement action against the regulated person or a member of the regulated group in circumstances prescribed under subsection (1)(b), the qualifying regulator must inform the primary authority of the action as soon as it reasonably can.

Inspection plans

26AInspection plans

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.

26BEffect of inspection plans

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.

26CRevocation and revision of inspection plans

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.

Primary authority's costs

27APower to charge

1

The primary authority—

a

may, in the case of a regulated person, charge the person such fees as the authority considers to represent the costs reasonably incurred by it in the exercise of its functions under this Part in relation to the person;

b

may, in the case of a regulated group, charge the co-ordinator such fees as the authority considers to represent the costs reasonably incurred by it in the exercise of its functions under this Part in relation to the regulated group.

2

The reference in subsection (1)(b) to functions in relation to the regulated group includes functions in relation to the co-ordinator or a member of the group.

Other regulators

28ASupport of primary authority by other regulators

1

This section applies to a person who has regulatory functions and who—

a

is specified as a “supporting regulator” by the Secretary of State by regulations, and

b

has a function which is not a relevant function of the person but which—

i

is a designated function of the person, and

ii

is, or is relevant to the exercise of, a partnership function.

2

The supporting regulator may do anything which it considers appropriate for the purpose of supporting the primary authority in the preparation of—

a

advice or guidance under section 24A in relation to the partnership function, or

b

an inspection plan in relation to the partnership function.

3

If the supporting regulator provides support under subsection (2), it must, in the exercise of the designated function in relation to the regulated person or a member of the regulated group, act consistently with any advice or guidance under section 24A, or any inspection plan—

a

which is subsequently given or made in relation to the partnership function, and

b

to which the supporting regulator has consented.

4

But, in the case of a regulated group, the duty under subsection (3) applies to the exercise of the designated function in relation to a member of the group only if the supporting regulator is aware that the member belongs to the group.

5

The duty under subsection (3) is a duty to act consistently so far as it is possible for the supporting regulator to do so in accordance with its other functions.

6

If—

a

the supporting regulator provides support under subsection (2), and

b

the regulated person or the co-ordinator of the regulated group has agreed in writing to the provision of that support,

the supporting regulator may charge the regulated person or the co-ordinator such fees as it considers to represent the costs reasonably incurred by it in providing that support.

7

In the case of a regulated group, the co-ordinator of the group must make the following available free of charge, on request, to the supporting regulator—

a

a copy of the group membership list maintained under section 23D(2);

b

a copy of a list under section 26A(9) of group members to whom an inspection plan may be relevant.

8

The copy must be made available as soon as is reasonably practicable and in any event not later than the end of the third working day after the day on which the request is received by the co-ordinator.

9

Regulations under subsection (1)(a) require the consent of the Welsh Ministers to specify a person whose functions relate only to devolved Welsh matters.

10

In this section, “designated function”, in relation to a supporting regulator, means a regulatory function exercised by that regulator and specified by the Secretary of State by regulations.

11

Regulations under subsection (10)—

a

may not specify a regulatory function so far as exercisable in Scotland, if or to the extent that the function relates to matters which are not reserved matters;

b

may not specify a regulatory function so far as exercisable in Northern Ireland, if or to the extent that the function relates to matters which are transferred matters;

c

require the consent of the Welsh Ministers to specify a regulatory function, so far as exercisable in relation to Wales, which relates to a devolved Welsh matter.

12

Regulations under subsection (10) may make different provision for—

a

different purposes;

b

different areas.

13

A supporting regulator who, apart from subsection (2), has power to provide the support described in that subsection, is not prevented by that power from exercising the power conferred by subsection (2).

28BOther regulators to act consistently with primary authority advice etc

1

This section applies to a person who has regulatory functions and who—

a

is specified as a “complementary regulator” by the Secretary of State by regulations, and

b

has a function which is not a relevant function of the person, but which—

i

is a designated function of the person,

ii

is, or is equivalent to, a partnership function, and

iii

is exercisable by the person in relation to the regulated person or a member of the regulated group.

2

The complementary regulator must act consistently with primary authority advice and guidance in the exercise of the designated function in relation to the regulated person or a member of the regulated group.

3

But, in the case of a regulated group, the duty under subsection (2) applies to the exercise of the designated function in relation to a member of the group only if the complementary regulator is aware that the member belongs to the group.

4

The duty under subsection (2) is a duty to act consistently so far as it is possible for the complementary regulator to do so in accordance with its other functions.

5

In subsection (2), “primary authority advice and guidance” means—

a

advice and guidance given by the primary authority under section 24A to the regulated person or the co-ordinator of the regulated group in relation to the partnership function,

b

advice and guidance given by the primary authority under that section to qualifying regulators as to how they should exercise the partnership function in relation to the regulated person or a member of the regulated group, and

c

an inspection plan made by the primary authority in respect of the exercise of the partnership function in relation to the regulated person or a member of the regulated group.

6

In the case of a regulated group, the co-ordinator of the group must make the following available free of charge, on request, to the complementary regulator—

a

a copy of the group membership list maintained under section 23D(2);

b

a copy of a list under section 26A(9) of group members to whom an inspection plan may be relevant.

7

The copy must be made available as soon as is reasonably practicable and in any event not later than the end of the third working day after the day on which the request is received by the co-ordinator.

8

Regulations under subsection (1)(a) require the consent of the Welsh Ministers to specify a person whose functions relate only to devolved Welsh matters.

9

In this section, “designated function”, in relation to a complementary regulator, means a regulatory function exercised by that regulator and specified for the purposes of this section by the Secretary of State by regulations.

10

Regulations under subsection (9) specifying a function other than a partnership function must identify the partnership function to which the designated function is equivalent.

11

Regulations under subsection (9)—

a

may not specify a regulatory function so far as exercisable in Scotland, if or to the extent that the function relates to matters which are not reserved matters;

b

may not specify a regulatory function so far as exercisable in Northern Ireland, if or to the extent that the function relates to matters which are transferred matters;

c

require the consent of the Welsh Ministers to specify a regulatory function, so far as exercisable in relation to Wales, which relates to a devolved Welsh matter.

12

Regulations under subsection (9) may make different provision for—

a

different purposes;

b

different areas.

Cases with more than one primary authority

29APrimary authority enforcement action inconsistent with another authority's advice etc

1

This section applies if—

a

a qualifying regulator nominated as a direct primary authority or a co-ordinated primary authority for the exercise of a function in relation to a person notifies the person, under section 25B(2)(a), of enforcement action that it proposes to take against the person pursuant to the function, and

b

within the referral period, the person notifies the primary authority that the person considers the action to be inconsistent with advice or guidance previously given (generally or specifically) by another qualifying regulator nominated as the primary authority for the exercise of the function in relation to the person.

2

Section 25C (but not section 29C) applies in relation to the proposed enforcement action as if the primary authority which gave the notification under section 25B(2)(a) were an enforcing authority under section 25C; and section 25B no longer applies in relation to the action.

3

“Referral period” in this section means the referral period mentioned in paragraph 5(2) of Schedule 4A (period in which the regulated person or the member may refer the proposed enforcement action to the Secretary of State).

29BConcurrent duties to notify primary authorities of enforcement action

1

This section applies if—

a

a qualifying regulator is nominated as a co-ordinated primary authority for the exercise of a function in relation to a person,

b

an enforcing authority proposes to take enforcement action against the person pursuant to the function, and

c

because of the nomination mentioned in paragraph (a), the enforcing authority is (ignoring this section) required under section 25C(2)(a) to notify the co-ordinated primary authority of the proposed enforcement action.

2

That requirement to notify the co-ordinated primary authority does not apply if condition A or B is met.

3

Condition A is that under section 25C(2)(a) the enforcing authority is required to notify another qualifying regulator of the proposed enforcement action because of that other qualifying regulator's nomination as a direct primary authority for the exercise of the function in relation to the person.

4

Condition B is that—

a

condition A is not met,

b

the enforcing authority is (ignoring this section) required under section 25C(2)(a) to notify at least one other qualifying regulator of the proposed enforcement action because of that other regulator's nomination as a co-ordinated primary authority for the exercise of the function in relation to the person, and

c

the enforcing authority has so notified that other regulator or (if there is more than one) it has so notified at least one of them.

29CEnforcement action notified to a primary authority inconsistent with another authority's advice etc

1

This section applies if—

a

a qualifying regulator is nominated as a direct primary authority or a co-ordinated primary authority for the exercise of a function in relation to a person,

b

that primary authority (“PA1”) is notified under section 25C(2)(a) of enforcement action that an enforcing authority proposes to take against the person pursuant to the function, and

c

PA1 decides not to give a direction under section 25C(4) directing the enforcing authority not to take the enforcement action, and does not refer the action to the Secretary of State under paragraph 4(1) of Schedule 4A.

2

PA1 must, within the relevant period, take reasonable steps to find out if—

a

another qualifying regulator nominated as the primary authority (“PA2”) for the exercise of the function in relation to the person has previously given advice or guidance (generally or specifically), and

b

the person considers the proposed enforcement action to be inconsistent with that advice or guidance.

3

If PA1 is of the view that such advice or guidance has previously been given and that the person considers the proposed enforcement action to be inconsistent with it, PA1 must—

a

refer the action to PA2, and

b

notify the enforcing authority and the person that it has done so.

4

If subsection (3) applies—

a

the reference of the proposed enforcement action by PA1 to PA2 under subsection (3)(a) is to be treated as a notification given by the enforcing authority to PA2 under section 25C(2)(a), and

b

accordingly, section 25C (but not this section) applies in relation to PA2 as the primary authority and ceases to apply in relation to PA1 as the primary authority.

5

“Relevant period” in this section has the same meaning as in section 25C (see subsection (9) of that section).

29DOverlapping inspection plans

1

This section applies if, in relation to an inspecting regulator, there is more than one relevant inspection plan in respect of the exercise of the same inspection function in relation to the same person.

2

An inspection plan is “relevant” in relation to an inspecting regulator if—

a

it is a plan made by it (as a primary authority) to which the Secretary of State has consented under section 26A(7), or

b

it is a plan notified to it (as an inspecting regulator) under section 26A(8)(b).

3

If—

a

the inspecting regulator is a direct primary authority for the exercise of the inspection function in relation to the person, and

b

there is a relevant inspection plan made by the regulator in relation to the exercise of the function in relation to the person,

section 26B(2) (duty of inspecting regulator to act in accordance with plans notified by the primary authority) does not apply in relation to the inspecting regulator by reason of it being notified of any other relevant inspection plan under section 26A(8)(b) in relation to the exercise of the function in relation to the person.

4

Subsection (5) applies if—

a

the inspecting regulator is a co-ordinated primary authority for the exercise of the inspection function in relation to the person, and

b

there is a relevant inspection plan which is made by a direct primary authority for the exercise of the function in relation to the person and notified to the inspecting regulator under section 26A(8)(b).

5

Where this subsection applies—

a

section 26B(1) (duty of primary authority to have regard to its own inspection plan) does not apply to the inspecting regulator (as primary authority) in relation to any relevant inspection plan made by it in respect of the exercise of the function in relation to the person;

b

in the application of section 26B(2) to the exercise of the function in relation to the person by the inspecting regulator, the reference to the inspection plan in that provision is to the plan mentioned in subsection (4)(b) only.

6

If—

a

the inspecting regulator is a co-ordinated primary authority for the exercise of the inspection function in relation to the person,

b

there is a relevant inspection plan made by the regulator in respect of the exercise of the function in relation to the person, and

c

subsection (5) does not apply,

section 26B(2) does not apply in relation to the exercise of the function by the inspecting regulator in relation to the person.

7

If none of subsections (3) to (6) apply, but more than one relevant inspection plan is notified to the inspecting regulator under section 26A(8)(b) in relation to the exercise of the inspection function in relation to the person, in section 26B(2) the reference to the plan is to be read—

a

if one of those plans is made by a direct primary authority for the exercise of the function in relation to the person, as a reference to that plan, and

b

otherwise, as a reference to any one of the plans notified to the regulator.

General

30AGuidance and directions

1

The Secretary of State may give guidance to any one or more qualifying regulators, supporting regulators, complementary regulators or co-ordinators about the operation of this Part.

2

The guidance may include, in particular, guidance to qualifying regulators about—

a

arrangements under section 24A(3) for the giving of advice or guidance by primary authorities;

b

enforcement action referred to the Secretary of State under paragraph 1(1), 2(1), 3(1) or 4(1) of Schedule 4A;

c

the notification of inspection plans under section 26A(8);

d

the charging of fees under section 27A.

3

The guidance may include, in particular, guidance to supporting regulators about—

a

the circumstances in which a function is relevant to the exercise of a partnership function for the purposes of section 28A;

b

the charging of fees under section 28A(6).

4

A qualifying regulator, supporting regulator, complementary regulator or co-ordinator must have regard to any guidance given to it under this section.

5

Before giving guidance under this section the Secretary of State must consult such persons as the Secretary of State considers appropriate.

6

The Secretary of State may not give guidance under subsection (2)(d) or (3) without consulting the Welsh Ministers.

7

The Secretary of State may at any time vary or revoke guidance given under this section.

8

The Secretary of State must publish guidance given under this section and any variation or revocation of the guidance.

9

A qualifying regulator must comply with a direction given to it under this Part.

30BPeriods of time under Part 2

The Secretary of State may by regulations amend any provision of this Part which specifies a period within which, or a time before which, anything must, must not or may be done.

30CRegulations under Part 2

1

Regulations under this Part must be made by statutory instrument.

2

A statutory instrument containing regulations under section 22B, 28B(1)(a) or 30B (whether alone or with other provision) may not be made unless a draft of the instrument has been laid before, and approved by resolution of, each House of Parliament.

3

Any other statutory instrument containing regulations under this Part is subject to annulment in pursuance of a resolution of either House of Parliament.

30DInterpretation of Part 2

1

In this Part—

• “complementary regulator” means a complementary regulator under section 28B;

• “co-ordinated primary authority” has the meaning given in section 23A(1)(b);

• “co-ordinator” has the meaning given in section 23C(1);

• “direct primary authority” has the meaning given in section 23A(1)(a);

• “enforcement action” has the meaning given in section 25A;

• “enforcing authority” has the meaning given in section 25C(2);

• “inspecting regulator” has the meaning given in section 26A(3);

• “inspection function” has the meaning given in section 26A(1);

• “inspection plan” has the meaning given in sections 26A(2) and 26C(5);

• “local authority” has the meaning given in section 22B(2) and (3);

• “Northern Ireland” has the same meaning as in the Northern Ireland Act 1998;

• “partnership function” has the meaning given in section 23A(2) and (7);

• “primary authority” means a qualifying regulator nominated as a primary authority under section 23A(1);

• “qualifying regulator” has the meaning given in section 22B(1);

• “regulated group” has the meaning given in section 22A(2);

• “regulated person” has the meaning given in section 22A(1);

• “relevant function” has the meaning given in section 22C(1);

• “reserved matter” has the same meaning as in the Scotland Act 1998;

• “Scotland” has the same meaning as in the Scotland Act 1998;

• “specified regulator” has the meaning given in section 22B(4);

• “supporting regulator” means a supporting regulator under section 28A;

• “transferred matter” has the same meaning as in the Northern Ireland Act 1998;

• “Wales” has the same meaning as in the Government of Wales Act 2006;

• “working day” has the meaning given in subsection (2).

2

In this Part, “working day” means a day other than—

a

a Saturday or Sunday,

b

Christmas Day or Good Friday, or

c

a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in the relevant part of the United Kingdom.

3

For the purposes of subsection (2)(c), the “relevant part” of the United Kingdom is—

a

in relation to section 23D(5), 28A(8) or 28B(7) (period in which co-ordinator must make available a list of group members or of group members to whom an inspection plan may be relevant), the part where the co-ordinator of the group is;

b

in any other case, the part where the primary authority is.

A9Public sector apprenticeship targets

1

The Secretary of State may by regulations set apprenticeship targets for prescribed public bodies.

2

An “apprenticeship target”, in relation to a public body, is a target relating to the number of persons (“apprentices”) who work for the body under an apprenticeship agreement.

3

Public bodies for which apprenticeship targets are set under this section must have regard to—

a

the targets, and

b

any applicable guidance issued by the Secretary of State in relation to the targets.

4

The Secretary of State may require a public body to provide any information that the Secretary of State needs for the purpose of exercising functions under this section.

5

Regulations under this section may set apprenticeship targets for—

a

a prescribed public body,

b

a prescribed part of a public body,

c

a prescribed group of public bodies, or

d

public bodies of a prescribed description.

A reference in this section to a public body includes a reference to a prescribed part of a public body or a prescribed group of public bodies.

6

The regulations must specify the period to which each apprenticeship target relates.

7

In this section—

• “apprenticeship agreement” means—

  1. a

     an approved English apprenticeship agreement;

  2. b

     an apprenticeship agreement within the meaning given in section 32 as it applies in relation to England by virtue of provision made under section 115(9) of the Deregulation Act 2015;

• “public body” means—

  1. a

     a public authority, or

  2. b

     a body or other person that is not a public authority but has functions of a public nature and is funded wholly or partly from public funds.

A10Further provision about apprenticeship targets

1

A public body for which an apprenticeship target is set must—

a

publish and send to the Secretary of State the information specified in subsection (2), and

b

send to the Secretary of State any other prescribed information,

within six months after the end of each reporting period of the body in the target period.

2

The information referred to in subsection (1)(a) is—

a

the number of employees whose employment in England by the body began in the reporting period in question (“figure A”);

b

the number of apprentices who began to work for the body in that period and whose apprenticeship agreements also began in that period (“figure B”);

c

figure B expressed as a percentage of figure A;

d

the number of employees employed in England that the body has at the end of that period (“figure C”);

e

the number of apprentices who work for the body at the end of that period (“figure D”);

f

figure D expressed as a percentage of figure C;

g

if that reporting period is the first reporting period in the target period, the number of apprentices who worked for the body immediately before that period.

3

The information that may be prescribed under subsection (1)(b) includes—

a

information about action that the body has taken to meet an apprenticeship target set for it;

b

if the public body has failed to meet an apprenticeship target set for it, an explanation of why the target has not been met;

c

information about action that the body proposes to take to meet an apprenticeship target set for the body for a period that has not yet expired (“a future target”);

d

if the body considers that a future target is not likely to be met, an explanation of why that is so.

4

Regulations may specify how the information is to be published or sent.

5

A body's “reporting periods” in the target period are—

a

so much of the first financial year of the body to end in the target period as falls within that period,

b

each subsequent financial year of the body which falls wholly within the target period, and

c

if the target period ends during a financial year of the body, so much of that financial year as falls within that period.

6

But, where the target period in relation to a body does not exceed 12 months, the Secretary of State may direct in writing that for the purposes of this section the body is to be treated as having one reporting period which coincides with the target period.

7

Where, by virtue of section A9(5)(c) or (d) a target is set for more than one public body, regulations may specify which body's financial year is to be used to determine the reporting periods under subsection (5).

8

In this section—

• “apprenticeship agreement” has the meaning given by section A9(7);

• “apprenticeship target” has the meaning given by section A9(2);

• “public body” has the meaning given by section A9(7);

• “target period”, in relation to an apprenticeship target, means the period specified under section A9(6) as the period to which the target relates.

za

the first regulations under section A9;

zb

the first regulations under section A10;

A11Only statutory apprenticeships to be described as apprenticeships

1

A person (“P”) providing or offering any course or training that is, or is to be, undertaken (wholly or partly) in England commits an offence if—

a

in the course of business P describes the course or training as an apprenticeship, and

b

the course or training is not a statutory apprenticeship.

2

No offence is committed under subsection (1) where the course or training is, or is to be, provided to an individual under or in pursuance of a contract of employment between the individual and P.

3

In subsection (1) “statutory apprenticeship” means any course or training that is, or is to be, provided under—

a

an approved English apprenticeship;

b

an apprenticeship agreement within the meaning given in section 32;

c

an arrangement to undertake any other kind of working—

i

in relation to which alternative English completion conditions apply under section 1(5), and

ii

in connection with which training is to be provided in accordance with an apprenticeship framework within the meaning given in section 12; or

d

arrangements made under—

i

section 2 of the Employment and Training Act 1973,

ii

section 17B(1)(a) of the Jobseekers Act 1995,

iii

section 2(3) of the Enterprise and New Towns (Scotland) Act 1990, or

iv

section 1 of the Employment and Training Act (Northern Ireland) 1950,

that are identified by the person making the arrangements as arrangements for the provision of apprenticeships.

4

The reference to section 32 in subsection (3)(b) includes a reference to that section as it applies in relation to England by virtue of provision made under section 115(9) of the Deregulation Act 2015; and a reference to a section in subsection (3)(c) is a reference to the section as it so applies.

5

A person guilty of an offence under this section is liable on summary conviction to a fine.

6

Where an offence under this section committed by a body corporate—

a

is committed with the consent or connivance of an officer of the body corporate, or

b

is attributable to neglect on the part of an officer of the body corporate,

the officer also commits the offence and is liable to be proceeded against and punished accordingly.

7

Every local weights and measures authority in England—

a

has a duty to enforce the provisions of this section within their area;

b

must make to the Secretary of State, whenever he or she so directs, a report on the exercise of the authority's functions under this section.

A report under paragraph (b) must be in such form, and contain such particulars, as the Secretary of State may direct.

8

Proceedings for an offence under this section may be instituted only—

a

by or on behalf of a local weights and measures authority in England,

b

by or on behalf of the Secretary of State, or

c

with the consent of the Director of Public Prosecutions.

9

In this section—

• “contract of employment” has the same meaning as in the Employment Rights Act 1996 (see section 230(2) of that Act);

• “offering”, in relation to any course or training, includes offering or marketing it to the public generally or to any section of the public;

• “officer”, in relation to a body corporate, means—

  1. a

     a director, manager, secretary or similar officer of the body, or a person purporting to act in such capacity;

  2. b

     a governor of an educational institution conducted by the body.

10

The reference in subsection (1) to describing any course or training as an apprenticeship includes a reference to describing an individual who undertakes it as an apprentice.

PART 1AApprenticeships: information sharing

England

40ASharing of information by HMRC and the Secretary of State

1

HMRC may disclose information held by them to the Secretary of State for the purpose of the Secretary of State's functions in relation to English statutory apprenticeships.

2

The Secretary of State may disclose information to HMRC—

a

for the purpose of requesting HMRC to disclose information under subsection (1), or

b

for another purpose connected with the Secretary of State's functions in relation to English statutory apprenticeships.

3

In this section “English statutory apprenticeships” means—

a

approved English apprenticeships within the meaning given in section A1;

b

apprenticeships undertaken under apprenticeship agreements within the meaning given in section 32 that were entered into in connection with recognised English frameworks;

c

apprenticeships in relation to which alternative English completion arrangements apply under section 1(5);

d

apprenticeships undertaken under arrangements made in relation to England under section 2 of the Employment and Training Act 1973 that are identified by the person making them as arrangements for the provision of apprenticeships.

Wales, Scotland and Northern Ireland

40BSharing of information by HMRC and devolved authorities

1

HMRC may disclose information held by them—

a

to a Welsh authority for the purpose of the authority's functions in relation to Welsh apprenticeships;

b

to a Scottish authority for the purpose of the authority's functions in relation to Scottish apprenticeships;

c

to a Northern Irish authority for the purpose of the authority's functions in relation to Northern Irish apprenticeships.

2

An authority mentioned in paragraph (a), (b) or (c) of subsection (1) may disclose information to HMRC—

a

for the purpose of requesting HMRC to disclose information to the authority under subsection (1), or

b

for another purpose connected with the authority's functions mentioned in subsection (1).

3

In this section—

• “Northern Irish apprenticeships” means apprenticeships undertaken under arrangements made under section 1 of the Employment and Training Act (Northern Ireland) 1950 that are identified by the person making them as arrangements for the provision of apprenticeships;

• “Northern Irish authority” means—

  1. a

     a Northern Ireland department, and

  2. b

     any body or other person that is prescribed, or of a prescribed description;

• “Scottish apprenticeships” means apprenticeships undertaken under arrangements made—

  1. a

     in relation to Scotland, under section 2 of the Employment and Training Act 1973, or

  2. b

     under section 2(3) of the Enterprise and New Towns (Scotland) Act 1990,

  that are identified by the person making them as arrangements for the provision of apprenticeships;

• “Scottish authority” means—

  1. a

     the Scottish Ministers, and

  2. b

     any body or other person that is prescribed, or of a prescribed description;

• “Welsh apprenticeships” means—

  1. a

     apprenticeships undertaken under apprenticeship agreements within the meaning given in section 32 that were entered into in connection with recognised Welsh frameworks;

  2. b

     apprenticeships in relation to which alternative Welsh completion arrangements apply under section 2(5);

  3. c

     apprenticeships undertaken under arrangements made in relation to Wales under—

     1. i

        section 2 of the Employment and Training Act 1973, or

     2. ii

        section 17B of the Jobseekers Act 1995,

     that are identified by the person making them as arrangements for the provision of apprenticeships;

• “Welsh authority” means—

  1. a

     the Welsh Ministers, and

  2. b

     any body or other person that is prescribed, or of a prescribed description.

4

In subsection (3)—

a

the reference to a Northern Ireland department includes a reference to a person providing services to a Northern Ireland department;

b

the reference to the Scottish Ministers includes a reference to a person providing services to the Scottish Ministers;

c

the reference to the Welsh Ministers includes a reference to a person providing services to the Welsh Ministers.

5

Regulations under this section may amend the definition in subsection (3) of—

a

“Northern Irish apprenticeships”,

b

“Scottish apprenticeships”, or

c

“Welsh apprenticeships”.

General

40CWrongful disclosure

1

Information disclosed by HMRC under section 40A(1) or 40B(1) may not be disclosed by the recipient of the information to any other person without the consent of HMRC (except so far as permitted by section 40A(2) or 40B(2)).

2

If a person discloses, in contravention of subsection (1), any revenue and customs information relating to a person whose identity—

a

is specified in the disclosure, or

b

can be deduced from it,

section 19 of the Commissioners for Revenue and Customs Act 2005 (wrongful disclosure) applies in relation to that disclosure as it applies in relation to a disclosure of such information in contravention of section 20(9) of that Act.

40DInterpretation

1

In this Part—

• “HMRC” means the Commissioners for Her Majesty's Revenue and Customs;

• “revenue and customs information relating to a person” has the same meaning as in section 19 of the Commissioners for Revenue and Customs Act 2005 (see section 19(2) of that Act).

2

In this Part—

a

references to HMRC include references to a person providing services to HMRC;

b

references to the Secretary of State include references to a person providing services to the Secretary of State.

3

Nothing in this Part affects any power to disclose information that exists apart from this Part.

aaa

regulations under section 40B;

PART 4ALate payment of claims

13AImplied term about payment of claims

1

It is an implied term of every contract of insurance that if the insured makes a claim under the contract, the insurer must pay any sums due in respect of the claim within a reasonable time.

2

A reasonable time includes a reasonable time to investigate and assess the claim.

3

What is reasonable will depend on all the relevant circumstances, but the following are examples of things which may need to be taken into account—

a

the type of insurance,

b

the size and complexity of the claim,

c

compliance with any relevant statutory or regulatory rules or guidance,

d

factors outside the insurer's control.

4

If the insurer shows that there were reasonable grounds for disputing the claim (whether as to the amount of any sum payable, or as to whether anything at all is payable)—

a

the insurer does not breach the term implied by subsection (1) merely by failing to pay the claim (or the affected part of it) while the dispute is continuing, but

b

the conduct of the insurer in handling the claim may be a relevant factor in deciding whether that term was breached and, if so, when.

5

Remedies (for example, damages) available for breach of the term implied by subsection (1) are in addition to and distinct from—

a

any right to enforce payment of the sums due, and

b

any right to interest on those sums (whether under the contract, under another enactment, at the court's discretion or otherwise).

3A

Part 4A applies only in relation to contracts of insurance entered into after that Part has come into force, and variations to such contracts.

16AContracting out of the implied term about payment of claims: consumer and non-consumer insurance contracts

1

A term of a consumer insurance contract, or of any other contract, which would put the consumer in a worse position as respects any of the matters provided for in section 13A than the consumer would be in by virtue of the provisions of that section (so far as relating to consumer insurance contracts) is to that extent of no effect.

2

A term of a non-consumer insurance contract, or of any other contract, which would put the insured in a worse position as respects deliberate or reckless breaches of the term implied by section 13A than the insured would be in by virtue of that section is to that extent of no effect.

3

For the purposes of subsection (2) a breach is deliberate or reckless if the insurer—

a

knew that it was in breach, or

b

did not care whether or not it was in breach.

4

A term of a non-consumer insurance contract, or of any other contract, which would put the insured in a worse position as respects any of the other matters provided for in section 13A than the insured would be in by virtue of the provisions of that section (so far as relating to non-consumer insurance contracts) is to that extent of no effect, unless the requirements of section 17 have been satisfied in relation to the term.

5

In this section references to a contract include a variation.

6

This section does not apply in relation to a contract for the settlement of a claim arising under an insurance contract.

63ADisclosure of Revenue and Customs information

1

An officer of the Valuation Office of Her Majesty's Revenue and Customs may disclose Revenue and Customs information to a qualifying person for a qualifying purpose.

2

Information disclosed to a qualifying person under this section may be retained and used for any qualifying purpose.

3

Each of the following is a “qualifying person”—

a

a billing authority;

b

a major precepting authority;

c

a person authorised to exercise any function of an authority within paragraph (a) or (b) relating to non-domestic rating;

d

a person providing services to an authority within paragraph (a) or (b) relating to non-domestic rating;

e

the Secretary of State;

f

the Welsh Ministers;

g

a prescribed person.

4

Each of the following is a “qualifying purpose”—

a

enabling or assisting the qualifying person to whom the disclosure is made, or any other qualifying person, to carry out any functions conferred by or under this Part which are not functions of the Secretary of State or the Welsh Ministers;

b

enabling or assisting the Secretary of State or the Welsh Ministers to carry out functions conferred by or under section 53 or 54 (central non-domestic rating), or by or under Schedule 9 so far as relating to central non-domestic rating lists;

c

any other prescribed purpose relating to non-domestic rating.

5

In this section—

• “prescribed” means—

  1. a

     in relation to England, prescribed by regulations made by the Secretary of State, and

  2. b

     in relation to Wales, prescribed by regulations made by the Welsh Ministers;

• “Revenue and Customs information” means information held as mentioned in section 18(1) of the Commissioners for Revenue and Customs Act 2005.

6

Regulations under this section may only be made with the consent of the Commissioners for Her Majesty's Revenue and Customs.

63BRestrictions on onward disclosure of Revenue and Customs information

1

Information disclosed under section 63A or this section may not be further disclosed unless that further disclosure is—

a

to a qualifying person for a qualifying purpose,

b

for the purposes of the initiation or conduct of any proceedings relating to the enforcement of any obligation imposed by or under this Part of this Act,

c

in pursuance of a court order,

d

with the consent of each person to whom the information relates, or

e

required or permitted under any other enactment.

2

Information may not be disclosed under subsection (1)(a) to a qualifying person within section 63A(3)(c), (d), (e), (f) or (g) except with the consent of the Commissioners for Her Majesty's Revenue and Customs (which may be general or specific).

3

Information disclosed to a qualifying person under this section may be retained and used for any qualifying purpose.

4

A person commits an offence if the person contravenes subsection (1) or (2) by disclosing information relating to a person whose identity—

a

is specified in the disclosure, or

b

can be deduced from it.

5

It is a defence for a person charged with an offence under this section of disclosing information to prove that the person reasonably believed—

a

that the disclosure was lawful, or

b

that the information had already lawfully been made available to the public.

6

A person guilty of an offence under this section is liable—

a

on summary conviction, to imprisonment for a term not exceeding 12 months or to a fine, or to both;

b

on conviction on indictment, to imprisonment for a term not exceeding 2 years or to a fine, or to both.

7

A prosecution for an offence under this section may be instituted only by or with the consent of the Director of Public Prosecutions.

8

In relation to an offence under this section committed before the commencement of section 154(1) of the Criminal Justice Act 2003 (increase in maximum term that may be imposed on summary conviction of offence triable either way) the reference in subsection (6)(a) to 12 months is to be taken as a reference to 6 months.

9

This section is without prejudice to the pursuit of any remedy or the taking of any action in relation to a contravention of subsection (1) or (2) (whether or not subsection (4) applies to the contravention).

10

In this section—

• “qualifying person” has the same meaning as in section 63A;

• “qualifying purpose” has the same meaning as in that section.

63CFreedom of information

1

Revenue and customs information relating to a person which has been disclosed under section 63A or 63B is exempt information by virtue of section 44(1)(a) of the Freedom of Information Act 2000 (prohibition on disclosure) if its further disclosure—

a

would specify the identity of the person to whom the information relates, or

b

would enable the identity of such a person to be deduced.

2

In this section “revenue and customs information relating to a person” has the same meaning as in section 19(2) of the Commissioners for Revenue and Customs Act 2005.

4A

In relation to an English list or a Welsh list, the provision that may be included in the regulations by virtue of subsection (4) includes—

a

provision about the steps that must be taken before a person may make a proposal for an alteration of the list (which may include steps designed to ensure the person checks the accuracy and completeness of any information on which any decision by the valuation officer has been based and gives the valuation officer an opportunity to consider the results of those checks and alter the list);

b

provision restricting the circumstances in which any of those steps may be taken and provision about the timing of any step;

c

provision for valuation officers to impose financial penalties on persons who, in, or in connection with, proposals for the alteration of the list, knowingly, recklessly or carelessly provide information which is false in a material particular.

4B

If provision is made by virtue of subsection (4A)(c)—

a

the maximum amount of any penalty that may be specified in, or determined in accordance with, the regulations is £500;

b

the regulations must require any sum received by a valuation officer by way of penalty to be paid into the appropriate fund;

c

the regulations may include provision for any penalty to be recovered by the valuation officer concerned as a civil debt due to the officer;

d

the regulations must include provision enabling a person on whom a financial penalty is imposed to appeal against the imposition of the penalty or its amount to the valuation tribunal.

5A

In relation to a proposal made by a person to alter an English list or a Welsh list, the provision that may be included in regulations by virtue of subsection (5) includes provision—

a

about the grounds on which an appeal may be made;

b

about the matters which are not to be taken into account by the valuation tribunal as part of an appeal;

c

about the circumstances in which new evidence may be admitted on an appeal, and about the conduct of an appeal in relation to such evidence;

d

about the payment of fees by ratepayers in relation to appeals, the payment of those fees into the appropriate fund and the circumstances in which those fees are to be refunded.

This subsection is without prejudice to the powers to make regulations conferred by Part 3 of Schedule 11 (tribunals: procedure, orders, etc).

7B

For the purposes of subsections (4B)(b) and (5A)(d) “the appropriate fund” means—

a

where the provision made by virtue of subsection (4A)(c) or (5) is in relation to a proposal to alter an English list, the Consolidated Fund, and

b

where the provision made by virtue of subsection (4A)(c) or (5) is in relation to a proposal to alter a Welsh list, the Welsh Consolidated Fund.

8

In this section—

• “English list” means—

  1. a

     a local non-domestic rating list that has to be compiled for a billing authority in England, or

  2. b

     the central non-domestic rating list that has to be compiled for England;

• “valuation tribunal” means—

  1. a

     in relation to England, the Valuation Tribunal for England;

  2. b

     in relation to Wales, a valuation tribunal established under paragraph 1 of Schedule 11;

• “Welsh list” means—

  1. a

     a local non-domestic rating list that has to be compiled for a billing authority in Wales, or

  2. b

     the central non-domestic rating list that has to be compiled for Wales.

3D

Any power to make regulations conferred by section 55 (alteration of non-domestic rating lists) is exercisable by statutory instrument.

3E

A statutory instrument which contains (whether alone or with other provision) regulations made by virtue of section 55(4A)(c) or (4B) (alteration of non-domestic rating lists: financial penalties) may not be made unless—

a

where those regulations relate to a proposal to alter an English list, a draft of the instrument has been laid before and approved by a resolution of each House of Parliament;

b

where those regulations relate to a proposal to alter a Welsh list, a draft of the instrument has been laid before and approved by a resolution of the National Assembly for Wales.

3F

Any other statutory instrument containing regulations under section 55 is—

a

in the case of regulations relating to England, subject to annulment in pursuance of a resolution of either House of Parliament;

b

in the case of regulations relating to Wales, subject to annulment in pursuance of a resolution of the National Assembly for Wales.

3G

In subsection (3E), “English list” and “Welsh list” have the same meaning as in section 55.

153ARegulations to restrict public sector exit payments

1

Regulations may make provision to secure that the total amount of exit payments made to a person in respect of a relevant public sector exit does not exceed £95,000.

2

Where provision is made under subsection (1) it must also secure that if, in any period of 28 consecutive days, two or more relevant public sector exits occur in respect of the same person, the total amount of exit payments made to the person in respect of those exits does not exceed the amount provided for in subsection (1).

3

An exit payment is in respect of a relevant public sector exit if it is made—

a

to an employee of a prescribed public sector authority in consequence of the employee leaving employment, or

b

to a holder of a prescribed public sector office in consequence of the office-holder leaving office.

4

An exit payment is a payment of a prescribed description.

5

The descriptions of payment which may be prescribed include—

a

any payment on account of dismissal by reason of redundancy (read in accordance with section 139 of the Employment Rights Act 1996);

b

any payment on voluntary exit;

c

any payment to reduce or eliminate an actuarial reduction to a pension on early retirement or in respect of the cost to a pension scheme of such a reduction not being made;

d

any severance payment or other ex gratia payment;

e

any payment in respect of an outstanding entitlement;

f

any payment of compensation under the terms of a contract;

g

any payment in lieu of notice;

h

any payment in the form of shares or share options.

6

In this section a reference to a payment made to a person includes a reference to a payment made in respect of that person to another person.

7

For the purposes of subsection (2), a public sector exit occurs when the person leaves the employment or office in question (regardless of when any exit payment is made).

8

Regulations may include—

a

provision which exempts from any provision made under subsection (1) exit payments, or exit payments of a prescribed description, made in prescribed circumstances;

b

provision which, in consequence of provision made under subsection (1), amends a relevant public sector scheme so as to make any duty or power under the scheme to make exit payments subject to any restriction imposed by regulations under subsection (1) (taking account of any relaxation of such a restriction which may be made under section 153C);

c

provision which makes an amendment of any provision made by or under an enactment (whenever passed or made) which is necessary or expedient in consequence of any provision made by or under this section.

9

Regulations may substitute a different amount for the amount for the time being specified in subsection (1).

10

Nothing in this section applies in relation to payments made by authorities who wholly or mainly exercise functions which could be conferred by provision included in an Act of the Northern Ireland Assembly made without the consent of the Secretary of State (see sections 6 to 8 of the Northern Ireland Act 1998).

11

In this section—

• “enactment” includes an Act of the Scottish Parliament, a Measure or Act of the National Assembly for Wales and Northern Ireland legislation;

• “prescribed” means prescribed by regulations under this section;

• “relevant public sector scheme” means—

  1. a

     a scheme under section 1 of the Superannuation Act 1972 (civil servants);

  2. b

     a scheme under section 7 of that Act (local government workers);

  3. c

     a scheme under section 9 of that Act (teachers);

  4. d

     a scheme under section 10 of that Act (health service workers);

  5. e

     a scheme under section 1 of the Public Service Pensions Act 2013 (schemes for persons in public service);

  6. f

     a scheme under section 26 of the Fire Services Act 1947 or section 34 of the Fire and Rescue Services Act 2004 (fire and rescue workers);

  7. g

     a scheme under section 1 of the Police Pensions Act 1976 or section 48 of the Police and Fire Reform (Scotland) Act 2012 (members of police forces);

  8. h

     any other prescribed scheme (whether established by or under an enactment or otherwise).

153BSupplementary provision about regulations under section 153A

1

Subject to subsection (2), the power to make regulations under section 153A is exercisable—

a

by the Scottish Ministers, in relation to payments made by a relevant Scottish authority;

b

by the Welsh Ministers, in relation to relevant Welsh exit payments;

c

by the Treasury, in relation to any other payments.

2

Where the relevant Scottish authority is the Scottish Administration (or a part of it) the power to make regulations under section 153A is exercisable by the Treasury (instead of the Scottish Ministers)—

a

in relation to payments made to the holders of offices in the Scottish Administration which are not ministerial offices (read in accordance with section 126(8) of the Scotland Act 1998), and

b

in relation to payments made to members of the staff of the Scottish Administration (read in accordance with section 126(7)(b) of that Act).

3

The power to make provision of the kind mentioned in section 153A(8)(b) (power to amend public sector schemes), so far as exercisable by the Treasury, is also exercisable concurrently by any other Minister of the Crown (within the meaning of the Ministers of the Crown Act 1975) with the consent of the Treasury.

4

Regulations under section 153A—

a

if made by the Treasury, are subject to the affirmative resolution procedure;

b

if made by the Scottish Ministers, are subject to the affirmative procedure;

c

if made by the Welsh Ministers, may not be made unless a draft of the statutory instrument containing them has been laid before, and approved by a resolution of, the National Assembly for Wales.

5

In this section “relevant Scottish authority” means—

a

the Scottish Parliamentary Corporate Body, or

b

any authority which wholly or mainly exercises functions within devolved competence (within the meaning of section 54 of the Scotland Act 1998).

6

In this section “relevant Welsh exit payments” means exit payments made to holders of the following offices—

a

member of the National Assembly for Wales;

b

the First Minister for Wales;

c

Welsh Minister appointed under section 48 of the Government of Wales Act 2006;

d

Counsel General to the Welsh Government;

e

Deputy Welsh Minister;

f

member of a county council or a county borough council in Wales;

g

member of a National Park Authority in Wales;

h

member of a Fire and Rescue Authority in Wales.

153CPower to relax restriction on public sector exit payments

1

A Minister of the Crown may relax any restriction imposed by regulations made by the Treasury under section 153A.

2

The Scottish Ministers may relax any restriction imposed by regulations made by the Scottish Ministers under section 153A.

3

The Welsh Ministers may relax any restriction imposed by regulations made by the Welsh Ministers under section 153A.

4

A requirement may be relaxed—

a

in respect of a particular employee or office-holder or a description of employees or office-holders;

b

in relation to the whole or any part of an exit payment, or a description of exit payments.

5

Regulations under section 153A made by the Treasury may—

a

make provision for the power under subsection (1) to be exercisable on behalf of a Minister of the Crown by a person specified in the regulations;

b

except in relation to exit payments made by a relevant Welsh authority, make provision for a requirement to be relaxed only—

i

with the consent of the Treasury, or

ii

following compliance with any directions given by the Treasury;

c

make provision as to the publication of information about any relaxation of a requirement granted.

6

Regulations under section 153A made by the Scottish Ministers may—

a

make provision for the power under subsection (2) to be exercisable on behalf of the Scottish Ministers by a person specified in the regulations;

b

where provision is made by virtue of paragraph (a), make provision for a requirement to be relaxed only—

i

with the consent of the Scottish Ministers, or

ii

following compliance with any directions given by the Scottish Ministers;

c

make provision as to the publication of information about any relaxation of a requirement granted.

7

Regulations under section 153A made by the Welsh Ministers may—

a

make provision for the power under subsection (3) to be exercisable on behalf of the Welsh Ministers by a person specified in the regulations;

b

where provision is made by virtue of paragraph (a), make provision for a requirement to be relaxed only—

i

with the consent of the Welsh Ministers, or

ii

following compliance with any directions given by the Welsh Ministers;

c

make provision as to the publication of information about any relaxation of a requirement granted.

8

Regulations made by the Treasury under section 153A(1)—

a

must, if they make provision in relation to exit payments made by a relevant Welsh authority, provide for the power conferred on a Minister of the Crown by subsection (1) to be exercised instead by the Welsh Ministers in relation to those exit payments;

b

may provide for the power conferred on a Minister of the Crown by subsection (1) to be exercised instead by the Welsh Ministers in relation to exit payments made by any other authority who is not a relevant Welsh authority but who wholly or mainly exercises functions in relation to Wales (but this does not limit the provision that may be made under subsection (5)(a)).

9

In this section—

• “Minister of the Crown” has the same meaning as in the Ministers of the Crown Act 1975;

• “relevant Welsh authority” means an authority who wholly or mainly exercises functions which could be conferred by provision falling within the legislative competence of the National Assembly for Wales (as defined in section 108 of the Government of Wales Act 2006).