The Provision of Services Regulations 2009

Statutory Instruments

2009 No. 2999

Provision Of Services

The Provision of Services Regulations 2009

Made

11th November 2009

Coming into force

28th December 2009

These Regulations are made in exercise of the powers conferred by section 2(2) of the European Communities Act 1972 M1 .

The Secretary of State is a Minister designated M2 in relation to services in the internal market for the purposes of section 2(2) of that Act.

In accordance with paragraph 2(2) of Schedule 2 to that Act a draft of this instrument has been laid before Parliament and approved by resolution of each House of Parliament.

Accordingly the Secretary of State makes the following Regulations.

Marginal Citations

M1 1972 c.68, to which there are amendments not relevant to these Regulations. Under s. 57(1) of the Scotland Act 1998 (c. 46), despite the transfer to Scottish Ministers of functions in relation to implementing obligations under Community law in relation to devolved matters, the function of the Secretary of State in relation to implementing these obligations continues to be exercisable by him as regards Scotland.

M2 S.I. 2009/221.

PART 1 U.K. INTRODUCTORY

Citation and commencement U.K.

1.—(1) These Regulations may be cited as the Provision of Services Regulations 2009.

(2) These Regulations come into force on 28th December 2009.

“Service” U.K.

2.—(1) In these Regulations “ service” means any self-employed economic activity normally provided for remuneration (as referred to in [F1 Article 57] of the Treaty).

(2) These Regulations do not apply to—

(a) financial services, such as banking, credit, insurance and re-insurance, occupational or personal pensions, securities, investment funds, payment and investment advice, including the services listed in Annex I to [F2 Directive 2013/36/EU of the European Parliament and of the Council of 26 June 2013 relating to the activity of credit institutions and the prudential supervision of credit institutions and investment firms, amending Directive 2002/87/EC and repealing Directives 2006/48/EC and 2006/49/EC];

(b) electronic communications services and networks, and associated facilities and services, with respect to matters covered by—

Directive 2002/19/EC of the European Parliament and of the Council of 7 March 2002 on access to, and interconnection of, electronic communications networks and associated facilities M3 ,

Directive 2002/20/EC of the European Parliament and of the Council of 7 March 2002 on the authorisation of electronic communications networks and services M4 ,

Directive 2002/21/EC of the European Parliament and of the Council of 7 March 2002 on a common regulatory framework for electronic communications networks and services M5 ,

Directive 2002/22/EC of the European Parliament and of the Council of 7 March 2002 on universal service and users' rights relating to electronic communications networks and services M6 , or

Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector M7 ;

(c) services in the field of transport, including port services, falling within the scope of [F3 Title VI] of the Treaty;

(d) services of temporary work agencies (which for the purposes of these Regulations include any employment business as defined by section 13(3) of the Employment Agencies Act 1973 M8 );

(e) healthcare services, whether or not they are provided via healthcare facilities, and regardless of the ways in which they are organised and financed at national level or whether they are public or private;

(f) audiovisual services, including cinematographic services, whatever their mode of production, distribution and transmission, and radio broadcasting;

(g) gambling activities which involve wagering a stake with pecuniary value in games of chance, including lotteries, gambling in casinos and betting transactions;

(h) activities which are connected with the exercise of official authority (as set out in [F4 Article 51] of the Treaty);

(i) social services relating to social housing, childcare and support of families and persons permanently or temporarily in need which are provided by the State, by providers mandated by the State or by charities recognised as such by the State;

(j) private security services;

(k) services provided by notaries or bailiffs, if or to the extent that they are appointed by an official act of government to provide those services.

[F5 (l) services provided by a person holding a licence (“a code manager licence”) under section 7AC of the Gas Act 1986 or section 6(1)(g) of the Electricity Act 1989.]

Textual Amendments

F1 Words in reg. 2(1) substituted (1.8.2012) by The Treaty of Lisbon (Changes in Terminology or Numbering) Order 2012 (S.I. 2012/1809), art. 2(1), Sch. Pt. 2 (with art. 2(2))

F2 Words in reg. 2(2)(a) substituted (1.1.2014) by The Capital Requirements Regulations 2013 (S.I. 2013/3115), reg. 1(2), Sch. 2 para. 73

F3 Words in reg. 2(2)(c) substituted (1.8.2012) by The Treaty of Lisbon (Changes in Terminology or Numbering) Order 2012 (S.I. 2012/1809), art. 2(1), Sch. Pt. 2 (with art. 2(2))

F4 Words in reg. 2(2)(h) substituted (1.8.2012) by The Treaty of Lisbon (Changes in Terminology or Numbering) Order 2012 (S.I. 2012/1809), art. 2(1), Sch. Pt. 2 (with art. 2(2))

F5 Reg. 2(2)(l) inserted (25.5.2024) by The Energy Act 2023 (Consequential Amendments) Regulations 2024 (S.I. 2024/706), regs. 1(2), 26

Marginal Citations

M3 OJ No. L108, 24.4.2002, p.7.

M4 OJ No. L108, 24.4.2002, p.21.

M5 OJ No. L108, 24.4.2002, p.33.

M6 OJ No. L108, 24.4.2002, p.51.

M7 OJ No. L201, 31.7.2002, p.37 as amended by Directive 2006/24/EC (OJ L105, 13.4.2006, p.54).

M8 1973 c. 35.

“Competent authority” U.K.

3.—(1) In these Regulations “ competent authority” means a body or authority having supervisory or regulatory functions in the United Kingdom in relation to service activities (and includes in particular a professional body, professional association or other professional organisation, that regulates access to, or the exercise of, a service activity).

(2) In paragraph (1)—

(a) the reference to a body or authority includes a body or authority acting on behalf of the Crown;

(b) the reference to supervisory or regulatory functions includes the function of maintaining a register or other record of persons entitled to have access to, or to exercise, a service activity.

(3) [F6 Parts 3 and 6] of these Regulations do not apply to competent authorities to the extent that their functions involve the making of subordinate legislation.

Textual Amendments

F6 Words in reg. 3(3) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 3; 2020 c. 1, Sch. 5 para. 1(1)

Interpretation: general U.K.

4.  In these Regulations—

“authorisation scheme” means any arrangement which in effect requires the provider or recipient of a service to obtain the authorisation of, or to notify, a competent authority in order to have access to, or to exercise, a service activity;

“enactment” includes Acts of the Scottish Parliament, Northern Ireland legislation, Acts and Measures of the National Assembly for Wales and subordinate legislation;

“establishment”, in relation to the provider of a service, means the actual pursuit of an economic activity, as referred to in [F7 Article 49] of the Treaty, by the provider for an indefinite period and through a stable infrastructure from where the business of providing services is actually carried out (and references to “established”, in relation to the provider of a service, are to be construed accordingly);

“notary”—

(a)

in England and Wales, includes a person who, for the purposes of the Legal Services Act 2007 M9 , is an authorised person in relation to any activity which constitutes a notarial activity (within the meaning of that Act), and

(b)

in Scotland, means a notary public duly admitted in Scotland;

“professional liability insurance” means insurance taken out by the provider of a service in respect of potential liabilities to recipients and, where applicable, third parties arising out of the provision of the service;

“provider”, in relation to a service, means a person who provides, or offers to provide, the service (but see regulation 5(4));

“recipient”, in relation to a service, means a person who, for professional or non-professional purposes, uses, or wishes to use, the service (but see regulation 5(3));

“regulated profession” means a professional activity or group of activities—

(a)

access to which, the pursuit of which or one of the modes of pursuit of which is subject (directly or indirectly) by virtue of legislative, regulatory or administrative provisions to the possession of specified qualifications, or

(b)

the pursuit of which is by persons using a professional title which is limited by legislative, regulatory or administrative provisions to holders of a given professional qualification;

“requirement” includes any obligation, prohibition, condition or limit;

“service” has the meaning given by regulation 2;

F8 ...

“subordinate legislation” means Orders in Council, orders, rules, regulations, schemes, warrants, byelaws and other instruments made or to be made under any Act or under any Act of the Scottish Parliament, Northern Ireland legislation or Act or Measure of the National Assembly for Wales;

“the Treaty” means the [F7 Treaty on the Functioning of the European Union].

Textual Amendments

F7 Words in reg. 4 substituted (1.8.2012) by The Treaty of Lisbon (Changes in Terminology or Numbering) Order 2012 (S.I. 2012/1809), art. 2(1), Sch. Pt. 2 (with art. 2(2))

F8 Words in reg. 4 omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 4; 2020 c. 1, Sch. 5 para. 1(1)

Marginal Citations

M9 2007 c. 29.

General exclusions and savings U.K.

5.—(1) Nothing in these Regulations—

(a) requires or prohibits—

(i) the opening up to competition of services of general economic interest,

(ii) the privatisation of public entities providing services, or

(iii) the abolition of monopolies;

(b) affects the functions of a competent authority in relation to the granting of aids covered by [F9 retained EU law] on competition;

(c) prevents a competent authority from determining F10 ... what it considers to be a service of general economic interest, how services of general economic interest should be organised and financed in compliance with State aid rules [F11 in retained EU law] and what specific obligations those services should be subject to;

(d) affects the functions of a competent authority in relation to—

(i) the law relating to employment conditions,

(ii) the law relating to working conditions, including health and safety at work and the relationship between employers and workers, or

(iii) the law relating to social security;

(e) affects rules of private international law, in particular rules governing the law applicable to contractual and non-contractual obligations (including those which guarantee that consumers benefit from the protection granted to them in the United Kingdom).

(2) Nothing in these Regulations applies in respect of the field of taxation.

[F12 (2A) Nothing in these Regulations affects the interpretation, application or operation of any provision made by or under the Immigration Acts.]

(3) Nothing in these Regulations applies in relation to a recipient of a service who is not—

(a) an individual who is a national of [F13 the United Kingdom], or

[F14 (b) a business undertaking established in the United Kingdom.]

[F15 (4) Nothing in Parts 3 and 6 to 8 applies in relation to a provider of a service who is not—

(a) established in the United Kingdom, and

(b) either—

(i) an individual who is a national of the United Kingdom, or

(ii) a business undertaking.]

[F16 (5) In paragraphs (3)(b) and (4)(b)(ii), “business undertaking” means any entity, whether or not a legal person, that is not an individual and includes a body corporate, a corporation sole and a partnership or other unincorporated association, engaged in activities for the purpose of trading for profit, incorporated or formed under the law of any part of the United Kingdom.]

Textual Amendments

F9 Words in reg. 5(1)(b) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(1)(a); 2020 c. 1, Sch. 5 para. 1(1)

F10 Words in reg. 5(1)(c) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(1)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

F11 Words in reg. 5(1)(c) inserted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(1)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F12 Reg. 5(2A) inserted (31.12.2020) by Immigration and Social Security Co-ordination (EU Withdrawal) Act 2020 (c. 20), s. 9(1), Sch. 1 para. 3 (with s. 4(2)); S.I. 2020/1279, reg. 4(c)

F13 Words in reg. 5(3)(a) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(2)(a); 2020 c. 1, Sch. 5 para. 1(1)

F14 Reg. 5(3)(b) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(2)(b); 2020 c. 1, Sch. 5 para. 1(1)

F15 Reg. 5(4) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(3); 2020 c. 1, Sch. 5 para. 1(1)

F16 Reg. 5(5) inserted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 5(4); 2020 c. 1, Sch. 5 para. 1(1)

Relationship with other requirements U.K.

6.—(1) A requirement imposed by Part 2 F17 ... or 6 of these Regulations on a competent authority or a provider of a service does not apply if, or to the extent that, the competent authority or provider cannot comply both with that requirement and with a requirement to which this paragraph applies.

(2) Paragraph (1) applies to a requirement imposed by—

(a) a provision of an enactment [F18 other than retained direct EU legislation], where—

(i) the provision relates to specific aspects of access to, or the exercise of, a service activity,

[F19 (ii) immediately before IP completion day, the provision implemented an EU obligation, and]

(iii) the enactment is passed or made before the day on which these Regulations are made, or

(b) a provision of [F20 retained direct EU legislation], where—

(i) the provision relates to specific aspects of access to, or the exercise of, a service activity, and

[F21 (ii) immediately before IP completion day, the provision was contained in an EU instrument that came into force before these Regulations were made.]

(3) A requirement imposed by Part 3 F22 ... of these Regulations on a competent authority does not apply if, or to the extent that, the competent authority cannot comply both with that requirement and with a requirement to which this paragraph applies.

(4) Paragraph (3) applies to a requirement imposed by—

(a) a provision of an enactment [F23 other than retained direct EU legislation], where—

(i) the provision relates to specific aspects of access to, or the exercise of, a service activity, and

(ii) the enactment is passed or made before the day on which these Regulations are made, or

(b) a provision of [F24 retained direct EU legislation], where—

(i) the provision relates to specific aspects of access to, or the exercise of, a service activity, and

[F25 (ii) immediately before IP completion day, the provision was contained in an EU instrument that came into force before these Regulations were made.]

Textual Amendments

F17 Word in reg. 6(1) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(1); 2020 c. 1, Sch. 5 para. 1(1)

F18 Words in reg. 6(2)(a) inserted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(2)(a); 2020 c. 1, Sch. 5 para. 1(1)

F19 Reg. 6(2)(a)(ii) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(2)(b) (as amended by The Professional Qualifications and Services (Amendments and Miscellaneous Provisions) (EU Exit) Regulations 2020 (S.I. 2020/1038), regs. 1(3), 3(2)(a)); 2020 c. 1, Sch. 5 para. 1(1)

F20 Words in reg. 6(2)(b) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(2)(c); 2020 c. 1, Sch. 5 para. 1(1)

F21 Reg. 6(2)(b)(ii) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(2)(d) (as amended by The Professional Qualifications and Services (Amendments and Miscellaneous Provisions) (EU Exit) Regulations 2020 (S.I. 2020/1038), regs. 1(3), 3(2)(a)); 2020 c. 1, Sch. 5 para. 1(1)

F22 Words in reg. 6(3) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(3); 2020 c. 1, Sch. 5 para. 1(1)

F23 Words in reg. 6(4)(a) inserted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(4)(a); 2020 c. 1, Sch. 5 para. 1(1)

F24 Words in reg. 6(4)(b) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(4)(b); 2020 c. 1, Sch. 5 para. 1(1)

F25 Reg. 6(4)(b)(ii) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 6(4)(c) (as amended by The Professional Qualifications and Services (Amendments and Miscellaneous Provisions) (EU Exit) Regulations 2020 (S.I. 2020/1038), regs. 1(3), 3(2)(a)); 2020 c. 1, Sch. 5 para. 1(1)

PART 2 U.K. DUTIES OF SERVICE PROVIDERS

CHAPTER 1 U.K. INFORMATION

Duty to make contact details available U.K.

7.—(1) The provider of a service must make available contact details to which all recipients of the service can send a complaint or a request for information about the service.

(2) Those contact details must include in particular—

(a) a postal address, fax number or e-mail address,

(b) a telephone number, and

(c) where the service provider has an official address, that address.

(3) In paragraph (2)(c) “official address” means an address which a person is required by law to register, notify or maintain for the purpose of receiving notices or other communications.

Other information to be made available U.K.

8.—(1) The provider of a service must make the following information available to a recipient of the service—

(a) the provider's name;

(b) the provider's legal status and form;

(c) the geographic address at which the provider is established and details by which the provider may be contacted rapidly and communicated with directly (including, where the provider may be contacted and communicated with by electronic means, the details of how the provider may be so contacted and communicated with);

(d) where the provider is registered in a trade or other similar public register, the name of the register and the provider's registration number or equivalent means of identification in that register;

(e) where the activity is subject to an authorisation scheme in the United Kingdom, the particulars of the relevant competent authority or the electronic assistance facility referred to in regulation 38;

F26 (f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g) where the provider exercises an activity which is subject to VAT, the identification number referred to in Article 22(1) of the Sixth Council Directive 77/388/EEC of 17 May 1977 on the harmonisation of the laws of the member states relating to turnover taxes – Common system of value added tax: uniform basis of assessment M10 [F27 or the registration number as defined in regulation 2(1) of the Value Added Tax Regulations 1995];

(h) where the provider is carrying on a regulated profession, any professional body or similar institution with which the provider is registered, [F28 and the professional title];

(i) the general terms and conditions, if any, used by the provider;

(j) the existence of contractual terms, if any, used by the provider concerning the competent courts or the law applicable to the contract;

(k) the existence of any after-sales guarantee not imposed by law;

(l) the price of the service, where a price is pre-determined by the provider for a given type of service;

(m) the main features of the service, if not already apparent from the context;

(n) where the provider is subject to a requirement to hold any professional liability insurance or guarantee, information about the insurance or guarantee and in particular—

(i) the contact details of the insurer or guarantor, and

(ii) the territorial coverage of the insurance or guarantee.

(2) For the purposes of paragraph (1), information is made available to the recipient if—

(a) it is supplied by the provider to the recipient on the provider's own initiative,

(b) it is easily accessible to the recipient at the place where the service is provided or the contract for the service is concluded,

(c) it is easily accessible to the recipient electronically by means of an address supplied by the provider, or

(d) it appears in any information document supplied to the recipient by the provider in which the provider gives a detailed description of the service.

Textual Amendments

F26 Reg. 8(1)(f) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 7(a); 2020 c. 1, Sch. 5 para. 1(1)

F27 Words in reg. 8(1)(g) inserted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 7(b); 2020 c. 1, Sch. 5 para. 1(1)

F28 Words in reg. 8(1)(h) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 7(c); 2020 c. 1, Sch. 5 para. 1(1)

Marginal Citations

M10 OJ No. L145, 13.6.1977, p.1, as last amended by Directive 2006/18/EC (OJ No. L51, 22.2.2006, p.12).

Information to be supplied on request etc U.K.

9.—(1) The provider of a service must, on the request of a recipient of the service, supply the following information to the recipient—

(a) where the price is not pre-determined by the provider for a given type of service—

(i) the price of the service, or

(ii) if an exact price cannot be given, the method for calculating the price so that it can be checked by the recipient, or a sufficiently detailed estimate;

(b) where the provider is carrying on a regulated profession, a reference to the professional rules applicable F29 ... and how to access them;

(c) information on other activities undertaken by the provider which are directly linked to the service in question and on the measures taken to avoid conflicts of interest;

(d) any codes of conduct to which the provider is subject and the address at which these codes may be consulted by electronic means, specifying the language available.

(2) The information referred to in paragraph (1)(c) must be included in any information document in which the provider gives a detailed description of the service.

Textual Amendments

F29 Words in reg. 9(1)(b) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 8; 2020 c. 1, Sch. 5 para. 1(1)

Information about dispute resolution U.K.

10.  The provider of a service who is subject to a code of conduct, or is a member of a trade association or professional body, which provides for recourse to a non-judicial dispute resolution procedure must—

(a) inform a recipient of the service of that fact, and

(b) mention it in any information document in which the provider gives a detailed description of the service,

specifying how to access detailed information about that procedure.

General U.K.

11.  Information which must be made available or supplied by the provider of a service in accordance with the provisions of this Chapter must be made available or supplied—

(a) in a clear and unambiguous manner, and

(b) in good time before the conclusion of the contract or, where there is no written contract, before the service is provided (unless the information is requested as specified in regulation 9 after the provision of the service).

CHAPTER 2 U.K. COMPLAINTS

Complaints U.K.

12.—(1) The provider of a service must—

(a) respond to complaints from recipients of the service as quickly as possible, and

(b) make their best efforts to find a satisfactory solution to complaints from such recipients.

(2) Paragraph (1)(b) does not apply to complaints that are vexatious.

PART 3 U.K. DUTIES OF COMPETENT AUTHORITIES IN RELATION TO PROVISION OF SERVICES IN UNITED KINGDOM

Introductory U.K.

Application of this Part U.K.

13.—(1) The provisions of this Part have effect in relation to the provision of a service in the United Kingdom F30 ....

F31 (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F30 Words in reg. 13(1) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 9(a); 2020 c. 1, Sch. 5 para. 1(1)

F31 Reg. 13(2) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 9(b); 2020 c. 1, Sch. 5 para. 1(1)

Authorisations U.K.

Authorisation schemes U.K.

14.—(1) A competent authority must not make access to, or the exercise of, a service activity subject to an authorisation scheme unless the following conditions are satisfied.

(2) The conditions are that—

F32 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) the need for an authorisation scheme is justified by an overriding reason relating to the public interest, and

(c) the objective pursued cannot be attained by means of a less restrictive measure, in particular because inspection after commencement of the service activity would take place too late to be genuinely effective.

(3) This regulation and regulations 15 to 20 do not apply to authorisation schemes to the extent that they are governed, directly or indirectly, by—

(a) a provision of an enactment [F33 other than retained direct EU legislation which, immediately before IP completion day, implemented an EU obligation], where the enactment is passed or made before the day on which these Regulations are made, or

[F34 (b) a provision of retained direct EU legislation which, immediately before IP completion day, was contained in an EU instrument that came into force before these Regulations were made.]

Textual Amendments

F32 Reg. 14(2)(a) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 10(1); 2020 c. 1, Sch. 5 para. 1(1)

F33 Words in reg. 14(3)(a) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 10(2)(a) (as amended by The Professional Qualifications and Services (Amendments and Miscellaneous Provisions) (EU Exit) Regulations 2020 (S.I. 2020/1038), regs. 1(3), 3(2)(b)); 2020 c. 1, Sch. 5 para. 1(1)

F34 Reg. 14(3)(b) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 10(2)(b) (as amended by The Professional Qualifications and Services (Amendments and Miscellaneous Provisions) (EU Exit) Regulations 2020 (S.I. 2020/1038), regs. 1(3), 3(2)(b)); 2020 c. 1, Sch. 5 para. 1(1)

Conditions for the granting of authorisation U.K.

15.—(1) An authorisation scheme provided for by a competent authority must be based on criteria which preclude the competent authority from exercising its power of assessment in an arbitrary manner.

(2) The criteria must be—

F35 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) justified by an overriding reason relating to the public interest,

(c) proportionate to that public interest objective,

(d) clear and unambiguous,

(e) objective,

(f) made public in advance, and

(g) transparent and accessible.

(3) The conditions imposed by a competent authority for granting authorisation for a new establishment under an authorisation scheme must not duplicate requirements and controls—

(a) to which the provider of the service is already subject in the United Kingdom F36 ..., and

(b) that are equivalent or essentially comparable as regards their purpose.

(4) The provider of the service must assist the competent authority by providing any necessary information requested by the competent authority regarding the requirements and controls referred to in paragraph (3); and paragraph (3) does not apply if the provider has not provided that information within a reasonable time of being requested to do so.

[F37 (5) Paragraph (5A) applies in the case of an authorisation granted under an authorisation scheme by a competent authority whose functions relate to the whole of the United Kingdom.

(5A) The provider of the service must be able to have access to the service activity, or to exercise that activity, throughout the United Kingdom by virtue of the authorisation.

(5B) Paragraph (5C) applies in the case of an authorisation granted under an authorisation scheme by a competent authority whose functions relate only to part of the United Kingdom (a “territorial authority”).

(5C) The provider of the service must be able to have access to the service activity, or to exercise that activity, throughout the United Kingdom by virtue of the authorisation and authorisations granted or treated as granted under an authorisation scheme by other territorial authorities.

(5D) Paragraphs (5A) and (5C) do not apply where an authorisation for each individual establishment or a limitation of the authorisation to a particular part or area of the United Kingdom is justified by an overriding reason relating to the public interest.

(5E) The references in paragraphs (5A) and (5C) to the provider of the service having access to the service activity, or exercising that activity, include doing those things by means of setting up agencies, subsidiaries, branches or offices.]

(7) A competent authority must grant an authorisation under an authorisation scheme as soon as it is established, in the light of an appropriate examination, that the conditions for authorisation have been met.

(8) Except in the case of the granting of an authorisation, any decision of the competent authority relating to an authorisation under an authorisation scheme, including refusal or withdrawal of an authorisation, must be fully reasoned.

Textual Amendments

F35 Reg. 15(2)(a) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 11(1); 2020 c. 1, Sch. 5 para. 1(1)

F36 Words in reg. 15(3)(a) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 11(2); 2020 c. 1, Sch. 5 para. 1(1)

F37 Reg. 15(5)-(5E) substituted for reg. 15(5)(6) (6.4.2016) by The Provision of Services (Amendment) Regulations 2014 (S.I. 2014/1937), regs. 1, 2(2)

Duration of authorisation U.K.

16.—(1) An authorisation granted to the provider of a service by a competent authority under an authorisation scheme must be for an indefinite period, except where—

(a) the authorisation—

(i) is automatically renewed, or

(ii) is subject only to the continued fulfilment of requirements,

(b) the number of available authorisations is limited by an overriding reason relating to the public interest, or

(c) a limited authorisation period can be justified by an overriding reason relating to the public interest.

(2) This does not prevent the setting of a maximum period before the end of which the provider of the service must actually commence the activity after receiving authorisation.

(3) The provider of the service must inform the competent authority of the following changes—

(a) the creation of subsidiaries whose activities fall within the scope of the authorisation scheme;

(b) changes in the provider's situation that result in the conditions for authorisation no longer being met.

(4) This regulation does not prevent revocation or suspension of an authorisation when the conditions for authorisation are no longer met.

Selection from among several candidates U.K.

17.—(1) This regulation applies where the number of authorisations available from a competent authority under an authorisation scheme for a given service activity is limited because of the scarcity of available natural resources or technical capacity.

(2) The selection procedure established by the competent authority must fully secure impartiality and transparency, including, in particular, adequate publicity about the launch, conduct and completion of the procedure.

(3) Authorisation granted by the competent authority—

(a) must be granted for an appropriate limited period, and

(b) may not—

(i) be open to automatic renewal, or

(ii) confer any other advantage on a previously authorised candidate or on a person having any particular links with such a candidate.

(4) Subject to paragraph (2) and to regulations 14 and 15, a competent authority may, in establishing the rules for the selection procedure, take into account—

(a) considerations of public health,

(b) social policy objectives,

(c) the health and safety of employees or self-employed persons,

(d) the protection of the environment,

(e) the preservation of cultural heritage, and

(f) other overriding reasons relating to the public interest,

in conformity with [F38 retained EU law].

Textual Amendments

F38 Words in reg. 17(4) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 12; 2020 c. 1, Sch. 5 para. 1(1)

Authorisation schemes: general requirements U.K.

18.—(1) Authorisation procedures and formalities provided for by a competent authority under an authorisation scheme must—

(a) be clear,

(b) be made public in advance, and

(c) secure that applications for authorisation are dealt with objectively and impartially.

(2) Authorisation procedures and formalities provided for by a competent authority under an authorisation scheme must not—

(a) be dissuasive, or

(b) unduly complicate or delay the provision of the service.

(3) Authorisation procedures and formalities provided for by a competent authority under an authorisation scheme must be easily accessible.

(4) Any charges provided for by a competent authority which applicants may incur under an authorisation scheme must be reasonable and proportionate to the cost of the procedures and formalities under the scheme and must not exceed the cost of those procedures and formalities.

Authorisation procedures: time for dealing with application U.K.

19.—(1) Authorisation procedures and formalities provided for by a competent authority under an authorisation scheme must secure that applications for authorisation are processed as quickly as possible and, in any event, within a reasonable period running from the time when all documentation has been submitted.

(2) That period must be fixed and made public in advance.

(3) When justified by the complexity of the issue, that period may be extended once, by the competent authority, for a limited time.

(4) The extension and its duration must be notified to the applicant, with reasons, before the original period has expired.

(5) In the event of failure to process the application within the period set or extended in accordance with the preceding provisions of this regulation, authorisation is deemed to have been granted by a competent authority, unless different arrangements are in place.

(6) Any different arrangements must be justified by overriding reasons relating to the public interest, including a legitimate interest of third parties.

Authorisation procedures: other requirements U.K.

20.—(1) All applications to a competent authority for authorisation under an authorisation scheme must be acknowledged as quickly as possible.

(2) The acknowledgement must specify—

(a) the period referred to in regulation 19(1);

(b) the available means of redress;

(c) whether the authorisation is deemed to have been granted in the absence of a response within the period specified.

(3) In the case of an incomplete application, the applicant must be informed as quickly as possible of—

(a) the need to supply any additional documentation, and

(b) any possible effects on the period referred to in regulation 19(1).

(4) When a request is rejected because it fails to comply with authorisation procedures and formalities under an authorisation scheme, the applicant must be informed of the rejection as quickly as possible.

Requirements which are prohibited or subject to evaluation U.K.

Prohibited requirements U.K.

21.—(1) A competent authority must not make access to, or the exercise of, a service activity subject to any of the following—

F39 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F39 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F39 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F39 (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) the case-by-case application of an economic test making the granting of authorisation subject to—

(i) proof of the existence of an economic need or market demand,

(ii) an assessment of the potential or current economic effects of the activity, or

(iii) an assessment of the appropriateness of the activity in relation to the economic planning objectives set by the competent authority;

(f) the direct or indirect involvement of competing operators, including within consultative bodies—

(i) in the granting of authorisations, or

(ii) in the adoption of other decisions of the competent authorities;

F40 (g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) an obligation—

(i) to have been pre-registered, for a given period, in registers held in the United Kingdom, or

(ii) to have previously exercised the activity for a given period in the United Kingdom.

(2) Paragraph (1)(e) does not affect planning requirements that do not pursue economic aims but serve overriding reasons relating to the public interest.

(3) Paragraph (1)(f)—

(a) does not prevent professional bodies and associations or other organisations acting as the competent authority, and

(b) does not affect the consultation of organisations, such as chambers of commerce or social partners, on matters other than individual applications for authorisation, or a consultation of the public at large.

F41 (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F39 Reg. 21(1)(a)-(d) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 13(1); 2020 c. 1, Sch. 5 para. 1(1)

F40 Reg. 21(1)(g) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 13(1); 2020 c. 1, Sch. 5 para. 1(1)

F41 Reg. 21(4) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 13(2); 2020 c. 1, Sch. 5 para. 1(1)

Requirements subject to evaluation U.K.

22.—(1) A competent authority must not make access to, or the exercise of, a service activity subject to any of the requirements specified in paragraph (2) unless the conditions specified in paragraph (3) are met.

(2) The requirements to which this regulation applies are—

(a) quantitative or territorial restrictions, in particular in the form of limits fixed according to population or of a minimum geographical distance between persons providing the service;

(b) an obligation on a provider of the service to take a specific legal form;

(c) requirements relating to the shareholding of a company;

(d) requirements, other than those—

(i) concerning matters covered by [F42 retained EU law which, immediately before IP completion day, implemented an obligation under] Directive 2005/36/EC of the European Parliament and of the Council of 7 September 2005 on the recognition of professional qualifications M11 , or

(ii) provided for in other [F43 retained EU law],

which reserve access to the service activity in question to particular persons providing the service by virtue of the specific nature of the activity;

(e) a ban on having more than one establishment in the United Kingdom;

(f) requirements fixing a minimum number of employees;

(g) fixed minimum tariffs or fixed maximum tariffs (or both) with which a provider of the service must comply;

(h) an obligation on a provider of the service to supply other specific services jointly with the service activity in question.

(3) The conditions are—

F44 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) necessity, that is, the requirements must be justified by an overriding reason relating to the public interest;

(c) proportionality, that is, the requirements—

(i) must be suitable for securing the attainment of the objective pursued, and

(ii) must not go beyond what is necessary to attain that objective,

and it must not be possible to replace those requirements with other, less restrictive measures that attain the same result.

(4) The preceding paragraphs of this regulation do not apply in relation to any requirement applying to a person entrusted with the provision of a service of general economic interest where the requirement is proportionate and necessary for the provision of that service by that person.

(5) In paragraph (4) “service of general economic interest” means a service which the competent authority determines F45 ... to be of general economic interest.

(6) A competent authority must notify the Secretary of State of—

(a) any proposal to introduce a new requirement specified in paragraph (2) affecting access to, or the exercise of, a service activity, and

(b) the reasons for that requirement.

(7) The notification must state the reasons why the authority considers that the application of the requirement meets the conditions in paragraph (3).

Textual Amendments

F42 Words in reg. 22(2)(d)(i) inserted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 14(1)(a) (as amended by The Professional Qualifications and Services (Amendments and Miscellaneous Provisions) (EU Exit) Regulations 2020 (S.I. 2020/1038), regs. 1(3), 3(2)(c)); 2020 c. 1, Sch. 5 para. 1(1)

F43 Words in reg. 22(2)(d)(ii) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 14(1)(b); 2020 c. 1, Sch. 5 para. 1(1)

F44 Reg. 22(3)(a) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 14(2); 2020 c. 1, Sch. 5 para. 1(1)

F45 Words in reg. 22(5) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 14(3); 2020 c. 1, Sch. 5 para. 1(1)

Marginal Citations

M11 OJ No. L255, 30.9.2005, p.22.

F46 PART 4 U.K. DUTIES OF COMPETENT AUTHORITIES IN RELATION TO PROVIDERS OF SERVICES PROVIDED FROM ANOTHER EEA STATE

Textual Amendments

F46 Pt. 4 omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 15; 2020 c. 1, Sch. 5 para. 1(1)

Application of this Part U.K.

F46 23.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Freedom to provide services U.K.

F46 24.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Derogations from the freedom to provide services U.K.

F46 25.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Derogation relating to the safety of a service U.K.

F46 26.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Procedure relating to derogation under regulation 26 U.K.

F46 27.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Duty to notify Secretary of State of new requirements U.K.

F46 28.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F47 PART 5 U.K. RECIPIENTS OF SERVICES

Textual Amendments

F47 Pt. 5 omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 16; 2020 c. 1, Sch. 5 para. 1(1)

Restrictions on use of service supplied by provider established in another EEA state U.K.

F47 29.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Requirements based on nationality or place of residence U.K.

F47 30.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 6 U.K. OTHER DUTIES OF COMPETENT AUTHORITIES IN RELATION TO PROVIDERS AND RECIPIENTS

Certificates and other documents U.K.

31.—(1) This regulation applies where a competent authority requires the provider or recipient of a service to supply a certificate, attestation or any other document proving that a requirement has been satisfied.

(2) The competent authority must accept any document—

(a) which serves an equivalent purpose, or

(b) from which it is clear that the requirement has been satisfied.

(3) The competent authority may not require a document to be produced in its original form, or as a certified copy or certified translation, except—

(a) as provided for in [F48 other retained EU law], or

(b) where such a requirement is justified by an overriding reason relating to the public interest, including public order and security.

(4) This regulation does not prevent a competent authority from requiring a non-certified translation of a document into English.

(5) This regulation does not apply to the documents referred to in—

F49 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F49 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F49 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F49 (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F49 (e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f) sections 17 and 396 of the Companies Act 2006 M12 ;

(g) [F50 regulations 60(1) F51 ..., 60(4) and (5) and 62 of the Public Contracts Regulations 2015];

[F52 (h) regulations 61(1), 61(4) and (5) and 63 of the Public Contracts (Scotland) Regulations 2015;]

F53 (i) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(j) the Overseas Companies Regulations 2009 M13 .

[F54 (k) regulations [F55 38 and 39] of the European Union (Recognition of Professional Qualifications) Regulations 2015.]

Textual Amendments

F48 Words in reg. 31(3)(a) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 17(1); 2020 c. 1, Sch. 5 para. 1(1)

F49 Reg. 31(5)(a)-(e) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 17(2); 2020 c. 1, Sch. 5 para. 1(1)

F50 Words in reg. 31(5)(g) substituted (26.2.2015) by The Public Contracts Regulations 2015 (S.I. 2015/102), reg. 1(2), Sch. 6 para. 16

F51 Words in reg. 31(5)(g) omitted (31.12.2020) by virtue of The Public Procurement (Amendment etc.) (EU Exit) Regulations 2020 (S.I. 2020/1319), regs. 1(2), 15(2) (with Sch. para. 3, 4)

F52 Reg. 31(5)(h) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 17(3); 2020 c. 1, Sch. 5 para. 1(1)

F53 Words in reg. 31(5) omitted (18.1.2016) by The European Union (Recognition of Professional Qualifications) Regulations 2015 (S.I. 2015/2059), regs. 1, 75(2) (with reg. 78)

F54 Reg. 31(5)(k) substituted (31.12.2020) by The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 17(4); 2020 c. 1, Sch. 5 para. 1(1)

F55 Words in reg. 31(5)(k) substituted (1.12.2023) by The Recognition of Professional Qualifications and Implementation of International Recognition Agreements (Amendment) Regulations 2023 (S.I. 2023/1286), reg. 1, Sch. 4 para. 9(2)

Marginal Citations

M12 2006 c. 46.

M13 S.I. 2009/1801.

Electronic procedures U.K.

32.—(1) A competent authority must ensure that—

(a) all procedures and formalities relating to access to, or the exercise of, a service activity may be easily completed, at a distance and by electronic means (through the electronic assistance facility referred to in regulation 38 or otherwise), and

(b) its website affords access to that electronic assistance facility.

(2) In paragraph (1), the reference to procedures or formalities does not include procedures or formalities consisting of—

(a) the inspection of premises or equipment, or

(b) physical examination of the capability or professional integrity of—

(i) a provider of the service, or

(ii) the staff of such a provider.

Insurance U.K.

F56 33.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F56 Reg. 33 omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 18; 2020 c. 1, Sch. 5 para. 1(1)

Commercial communications by regulated professions U.K.

34.—(1) A competent authority may not impose a total prohibition on the use of commercial communications by providers of a service who are carrying on a regulated profession.

(2) The relevant competent authority must ensure that commercial communications by providers of a service who are carrying on a regulated profession comply with professional rules which relate in particular to—

(a) the independence, dignity and integrity of that profession, and

(b) professional secrecy,

in a manner consistent with the specific nature of that profession.

(3) Rules made by a competent authority in relation to commercial communications by providers of a service who are carrying on a regulated profession must be—

F57 (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) justified by an overriding reason relating to the public interest, and

(c) proportionate.

(4) In this regulation, “commercial communications” means communications in any form designed to promote, directly or indirectly, the goods, services or image of a person carrying on a regulated profession, other than—

(a) a communication consisting only of information allowing direct access to the activity of that person, including a postal address, a domain name or an e-mail address, or

(b) a communication which has been prepared independently of the person making it (and for this purpose, a communication prepared without financial consideration is to be taken to have been prepared independently unless the contrary is shown).

Textual Amendments

F57 Reg. 34(3)(a) omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 19; 2020 c. 1, Sch. 5 para. 1(1)

Multi-disciplinary activities U.K.

35.—(1) A competent authority may not subject the provider of a service to any requirement which—

(a) obliges the provider to exercise a specific service activity exclusively, or

(b) restricts the exercise, jointly or in partnership, of different activities.

(2) Paragraph (1) does not prevent a competent authority for a regulated profession from imposing a requirement if or to the extent that—

(a) the requirement is justified in order to guarantee compliance with the rules governing ethics and conduct in that profession, and

(b) the requirement is necessary in order to ensure the impartiality and independence of that profession.

(3) Paragraph (4) applies where a competent authority has not imposed on a provider of a service carrying on a regulated profession—

(a) an obligation within paragraph (1)(a), or

(b) a restriction within paragraph (1)(b) that prohibits the exercise of different activities.

(4) The competent authority must ensure that—

(a) conflicts of interest are avoided,

(b) independence and impartiality are secured as required, and

(c) the rules governing professional ethics and conduct for different activities are compatible with one another (including in particular in relation to matters of professional secrecy).

(5) In the case of certification, accreditation, technical monitoring, test or trial services, paragraph (1) does not prevent a competent authority from imposing a requirement if, or to the extent that, the requirement is necessary in order to ensure the independence and impartiality of the provider of the service.

(6) Paragraph (7) applies where a competent authority has not imposed on a provider of a service referred to in paragraph (5)—

(a) an obligation within paragraph (1)(a), or

(b) a restriction within paragraph (1)(b) that prohibits the exercise of different activities.

(7) The competent authority must ensure that—

(a) conflicts of interest are avoided,

(b) independence and impartiality are secured as required, and

(c) the rules governing the provision of that service, and the carrying on of the other activity, are compatible (including in particular in relation to matters of professional secrecy).

PART 7 U.K. PROVISION OF INFORMATION BY COMPETENT AUTHORITIES

Information to be provided to the Secretary of State U.K.

36.—(1) The competent authority for a service activity must provide the following information in electronic form to the Secretary of State (or secure that it is accessible to the Secretary of State in electronic form)—

(a) the requirements applicable to providers of the service established in the United Kingdom, and in particular any authorisation scheme relating to the service activity which involves the competent authority;

(b) the contact details of the competent authority;

(c) the means of, and conditions for, accessing public registers and databases on—

(i) providers of the service, and

(ii) the service;

(d) the means of redress which are generally available in the event of a dispute—

(i) between the competent authority and a provider or recipient of the service,

(ii) between a provider and a recipient of the service, or

(iii) between providers of the service;

(e) the contact details of associations or organisations, other than the competent authority, from which providers or recipients of the service may obtain practical assistance.

(2) The relevant competent authority must on request provide to the Secretary of State general information on the requirements applicable in the United Kingdom relating to access to, and the exercise of, a service activity, in particular those relating to consumer protection.

(3) The information provided under this regulation must be clear and unambiguous.

(4) The information provided or made accessible under paragraph (1) must be kept up-to-date by the competent authority.

(5) In the case of a competent authority whose functions relate only to part of the United Kingdom, the references in paragraphs (1) and (2) to the United Kingdom are to that part of the United Kingdom.

Information to be provided to providers and recipients on request U.K.

37.—(1) The competent authority for a service activity must, on the request of a provider or recipient of the service, provide that person with information on the way in which the requirements referred to in regulation 36(1)(a) are generally interpreted and applied.

(2) The information provided under paragraph (1) must be—

(a) clear and unambiguous, and

(b) provided by electronic means.

(3) A competent authority must respond to a request under paragraph (1) as quickly as possible.

(4) Where a competent authority is requested to provide information referred to in paragraph (1) but the request is not one which it is required to respond to under this regulation, the competent authority must inform the person making the request as quickly as possible.

(5) This regulation does not require the provision of legal advice in individual cases.

PART 8 U.K. ELECTRONIC ASSISTANCE FACILITY

Duty to provide an electronic assistance facility U.K.

38.—(1)  [F58 The Secretary of State, any other Minister of the Crown with responsibility for a government department, or any government department must provide a facility for]—

(a) the completion by electronic means of procedures and formalities relating to access to, or the exercise of, a service activity, and

(b) the provision by electronic means of the information referred to in regulation 36(1) to providers and recipients of services.

(2) The facility referred to in paragraph (1) must include the provision of help and support (electronically or by telephone) for its users.

(3) The facility referred to in paragraph (1) may also be used for the following purposes—

(a) the provision of information and guidance by governmental and regulatory authorities in the United Kingdom in relation to the matters specified in paragraph (4);

(b) communications with those authorities in relation to those matters;

(c) the completion of procedures and formalities relating to those matters.

(4) The matters referred to in paragraph (3) are—

(a) regulatory matters affecting business, and

(b) support for business.

(5) In this regulation, references to procedures or formalities do not include procedures or formalities consisting of—

(a) the inspection of premises or equipment, or

(b) physical examination of the capability or professional integrity of—

(i) a provider of the service, or

(ii) the staff of such a provider.

Textual Amendments

F58 Words in reg. 38(1) substituted (6.4.2016) by The Provision of Services (Amendment) Regulations 2014 (S.I. 2014/1937), regs. 1, 2(3)

F59 PART 9 U.K. ADMINISTRATIVE CO-OPERATION BETWEEN EEA STATES

Textual Amendments

F59 Pt. 9 omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 20; 2020 c. 1, Sch. 5 para. 1(1)

General obligations U.K.

F59 39.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Provision of information where provider established in UK U.K.

F59 40.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Provision of information where services provided in UK U.K.

F59 41.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Alert mechanism U.K.

F59 42.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Information relating to disciplinary action etc taken in relation to providers U.K.

F59 43.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Mutual assistance in the event of case-by-case derogations U.K.

F59 44.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PART 10 U.K. SUPPLEMENTARY AND MISCELLANEOUS

Street trading U.K.

45.—(1) In section 3 of the Pedlars Act 1871 M14 (interpretation)—

(a) the words “mender of chairs” are omitted;

(b) the words “, or selling or offering for sale his skill in handicraft” are omitted.

(2) Paragraphs (3) and (4) apply where—

(a) a person obtains a certificate under the Pedlars Act 1871 before the coming into force of this paragraph, and

(b) at any time after the coming into force of this paragraph, and before the date on which the certificate expires, the person carries on an activity which, but for paragraph (1), would have been carried on under the authority of the certificate.

(3) In England and Wales, a person referred to in paragraph (2) is for the purposes of Schedule 4 to the Local Government (Miscellaneous Provisions) Act 1982 M15 to be regarded as carrying on the activity under the authority of the certificate.

(4) In Northern Ireland, a person referred to in paragraph (2) is for the purposes of the Street Trading Act (Northern Ireland) 2001 M16 to be regarded as carrying on the activity, where it is carried out by means of visits from house to house, under the authority of the certificate.

Marginal Citations

M14 1871 c. 96.

M15 1982 c. 30.

M16 2001 c. 8 (N.I.).

Disclosure of information under Employment Agencies Act 1973 U.K.

F60 46.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F60 Reg. 46 omitted (31.12.2020) by virtue of The Provision of Services (Amendment etc.) (EU Exit) Regulations 2018 (S.I. 2018/1329), regs. 1(1), 21; 2020 c. 1, Sch. 5 para. 1(1)

Sex establishments U.K.

47.—(1) Schedule 3 to the Local Government (Miscellaneous Provisions) Act 1982 (control of sex establishments) is amended as specified in paragraphs (2) to (4).

(2) In paragraph 10, for sub-paragraph (14) substitute—

“(14) A copy of an application for the grant, renewal or transfer of a licence under this Schedule shall be sent to the chief officer of police—

(a) in a case where the application is made by means of a relevant electronic facility, by the appropriate authority not later than 7 days after the date the application is received by the authority;

(b) in any other case, by the applicant not later than 7 days after the date of the application.

(14A) In sub-paragraph (14) above “relevant electronic facility” means—

(a) the electronic assistance facility referred to in regulation 38 of the Provision of Services Regulations 2009, or

(b) any facility established and maintained by the appropriate authority for the purpose of receiving applications under this Schedule electronically.”.

(3) In that paragraph, in sub-paragraph (20) omit—

(a) “, if required to do so by the applicant or holder of the licence,”, and

(b) “within 7 days of his requiring them to do so”.

(4) In paragraph 12(1)(c) and (d), for “the United Kingdom”, substitute “ an EEA state ”.

(5) For the purposes of regulation 19(5), the arrangements made by paragraph 10 of that Schedule fall within the “different arrangements” referred to in regulation 19(5).

Enforcement U.K.

48.  In Schedule 13 to the Enterprise Act 2002 M17 (listed Directives and Regulations), after paragraph 9C insert—

“9D.   Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market.”.

Marginal Citations

M17 2002 c. 40.

Licensing U.K.

49.—(1) The Licensing Act 2003 M18 is amended as follows.

(2) In section 17 (application for a premises licence)—

(a) in subsection (5), omit paragraph (b);

(b) after subsection (5) insert—

“(6) The Secretary of State may by regulations—

(a) require an applicant to give notice of his application to each responsible authority, and such other persons as may be prescribed, within the prescribed period, and

(b) in a case where the application is made by means of a relevant electronic facility, require the relevant licensing authority to give notice of the application to such persons as may be prescribed, within the prescribed period.”.

(3) In section 34 (application to vary premises licence), for subsection (5), substitute—

“(5) The functions of the Secretary of State under subsections (5) and (6) of section 17 (advertisements etc. of application) apply in relation to applications under this section as they apply in relation to applications under that section.”.

(4) In section 37 (application to vary licence to specify individual as a premises supervisor), in subsection (4), for the words from “The holder” to “his application” substitute “ Notice of an application under this section must be given ”.

(5) In that section, after subsection (4) insert—

“(4A) Notice under subsection (4)(a) is to be given by—

(a) the relevant licensing authority, in a case where the holder of the premises licence submitted the application to the relevant licensing authority by means of a relevant electronic facility;

(b) the holder of the premises licence, in any other case.

(4B) Notice under subsection (4)(b) is to be given by the holder of the premises licence.”.

(6) In section 42 (application for transfer of premises licence), in subsection (5), for “applicant must give notice of his” substitute “ relevant person must give notice of the ”.

(7) In that section, after subsection (5) insert—

“(5A) In subsection (5), “relevant person” means—

(a) the relevant licensing authority, in a case where the applicant submitted the application to the relevant licensing authority by means of a relevant electronic facility;

(b) the applicant, in any other case.”.

(8) In section 47 (interim authority notice following death etc of licence holder), after subsection (7) insert—

“(7A) Where the interim authority notice was given to the relevant licensing authority by means of a relevant electronic facility—

(a) subsection (7)(a) does not apply, and

(b) the relevant licensing authority must forthwith give a copy of the notice to the chief officer of police for the police area (or each police area) in which the premises are situated.”.

(9) In section 71 (application for a club premises certificate)—

(a) in subsection (6), omit paragraph (b);

(b) after subsection (6) insert—

“(7) The Secretary of State may by regulations—

(a) require an applicant to give notice of his application to each responsible authority, and such other persons as may be prescribed, within the prescribed period, and

(b) in a case where the application is made by means of a relevant electronic facility, require the relevant licensing authority to give notice of the application to such persons as may be prescribed, within the prescribed period.”.

(10) In section 84 (application to vary club premises certificate), for subsection (4), substitute—

“(4) The functions of the Secretary of State under subsections (6) and (7) of section 71 (advertisements etc. of application) apply in relation to applications under this section as they apply in relation to applications under that section.”.

(11) In section 100 (temporary event notice), in subsection (7)(a), omit “(in duplicate)”.

(12) In section 104 (objection to notice by the police), after subsection (1) insert—

“(1A) Where the premises user gave the temporary event notice to the relevant licensing authority by means of a relevant electronic facility—

(a) subsection (1) does not apply, and

(b) the relevant licensing authority must give a copy of the notice to the relevant chief officer of police no later than the end of the first working day after the day on which the notice was given to the relevant licensing authority.”.

(13) In that section, in subsections (2) and (3), after “subsection (1)” insert “ or (1A) ”.

(14) In section 193 (other definitions), after the definition of “regulations” insert—

““relevant electronic facility” means—

(a)

the electronic assistance facility referred to in regulation 38 of the Provision of Services Regulations 2009, or

(b)

any facility established and maintained by a licensing authority for the purpose of receiving applications, notices or representations electronically;”.

(15) In section 194 (index of defined expressions), after the entry relating to “regulations” insert— “ relevant electronic facility section 193 ”.

Marginal Citations

M18 2003 c. 17.

Ian Lucas

Minister for Business and Regulatory Reform

Department for Business, Innovation and Skills

Explanatory Note

(This note is not part of the Order)

These Regulations implement Directive 2006/123/EC of the European Parliament and of the Council on services in the internal market (OJ No. L 376, 27.12.2006, p.36) (“the Directive”).

Part 1 contains interpretative, scoping, exclusion and savings provisions.

Regulation 2(2) sets out those services excluded from the scope of the Regulations. Regulations 5(1) and 5(2) specify areas of law and policy and functions of competent authorities that are not affected by the Regulations. Regulations 5(3) and 5(4) limit the application of the Regulations in respect of service providers and recipients who are not individual nationals of an EEA state or legal persons established in an EEA state.

Regulation 6 concerns the relationship between the Regulations and other legislation. Competent authorities and service providers do not have to comply with a requirement imposed by Part 2, 5 or 6 of the Regulations if they cannot comply with both that requirement and a requirement relating to services imposed by an earlier directly applicable Community instrument or enactment which implements Community law. Competent authorities do not have to comply with a requirement imposed by Part 3 or 4 of the Regulations if they cannot comply with both that requirement and a requirement relating to services imposed by an earlier directly applicable Community instrument or enactment (whether or not the enactment implements Community law).

Part 2 imposes requirements on service providers. Regulations 7 to 11 require service providers to communicate prescribed information about themselves and their services to recipients. Regulation 12 specifies how service providers must handle complaints from recipients.

Part 3 applies to the provision of services in the United Kingdom, except in relation to the provision of services from another EEA state by a provider established in that state (which is the subject of Part 4).

Regulation 14 provides that a competent authority must not make access to or the exercise of a service activity subject to an authorisation scheme unless certain conditions are satisfied. Regulation 15 makes provision about the conditions for granting authorisations and regulation 16 provides that an authorisation must be for an indefinite period except in certain circumstances. Regulation 17 applies where the number of authorisations available for a competent authority under an authorisation scheme are limited because of scarcity of available natural resources or technical capacity.

Regulations 18 to 20 contain requirements for procedures and formalities under an authorisation scheme. Regulation 21 lists requirements to which a competent authority must not make access to, or the exercise of, a service activity subject. Regulation 22 lists requirements which must satisfy the conditions of non-discrimination, necessity and proportionality. It imposes a duty on competent authorities to notify the Secretary of State about proposals to introduce new requirements affecting access to or the exercise of a service activity.

Part 4 has effect in relation to the exercise of the freedom of a provider established in another EEA state to provide a service in the UK from that state.

Regulation 24 provides that a competent authority must not make access to or the exercise of a service activity subject to compliance with any requirements which do not respect the principles of non-discrimination, necessity and proportionality. It lists requirements which may only be imposed in limited circumstances. Regulation 25 contains exclusions.

Regulation 26 allows a competent authority in exceptional circumstances to take measures relating to the safety of a service in the case of a provider established in another EEA state. The procedure is set out in regulation 27. (See regulation 44 for the inverse scenario.)

Regulation 28 imposes a duty on competent authorities to notify the Secretary of State about proposals to introduce new requirements affecting access to or the exercise of a service activity.

Part 5 concerns the rights of recipients of services. Regulation 29 prohibits competent authorities from restricting recipients' usage of services from other EEA states. Regulation 30 prohibits competent authorities from discriminating on the basis of recipients' nationality or place of residence, and service providers from discriminating in their general conditions on the basis of recipients' place of residence.

Part 6 imposes duties on competent authorities. Regulation 31 prohibits competent authorities from requiring specific documents where an equivalent document shows that the requirement in question has been satisfied. Regulations 33 to 35 limit the extent to which competent authorities may impose requirements on service providers in relation to professional liability insurance, commercial communications and multidisciplinary activities.

Part 7 imposes information requirements on competent authorities. Regulation 36(1) requires the provision of information to the Secretary of State (for the purposes of the electronic assistance facility referred to in regulation 38). Regulation 36(2) requires the provision of certain other information to the Secretary of State on request. Regulation 37 requires competent authorities to provide providers or recipients, on request, with information on the interpretation of authorisation procedures.

Regulation 32 and Part 8 together ensure that authorisation procedures may be completed electronically. Regulation 38 obliges Her Majesty's Government to establish an electronic facility for the completion of authorisation procedures related to services which will act as the point of single contact for the United Kingdom.

Part 9 contains provisions relating to administrative cooperation between competent authorities in different EEA states. Regulation 39 sets out the general obligations of competent authorities to assist and co-operate with authorities in other EEA states. Regulation 40 deals with the provision of information by competent authorities in relation to a provider established in the UK who is providing a service in another EEA state. Regulation 41 deals with the provision of information by competent authorities in relation to providers established in another EEA state who are providing a service in the UK.

Regulation 42 requires competent authorities to inform the Secretary of State as soon as possible if they become aware of acts or circumstances relating to a service activity which could cause serious damage to the health and safety of persons or the environment.

Regulation 43 deals with the supply of information by a competent authority to an authority in another EEA state in relation to disciplinary or administrative actions, criminal sanctions and decisions involving insolvency or bankruptcy involving fraud in relation to a provider of a service.

Regulation 44 deals with cases where an authority in another EEA state proposes, exceptionally, to take measures relating to the safety of a service as provided by a provider established in the UK. (See regulations 26 and 27 for the inverse scenario).

Part 10 contains supplementary, miscellaneous and enforcement provisions.

Regulation 45 amends the Pedlars Act 1871 so as to remove services from the scope of that Act.

Regulation 46 amends the Employment Agencies Act 1973 so as to allow information obtained during inspections of business premises under section 9 of that Act to be disclosed for the purposes of Part 9 to competent authorities in other EEA states.

Regulation 47 amends the Local Government (Miscellaneous Provisions) Act 1982. Under paragraph 10 of Schedule 3, where an application is made in relation to a sex establishment licence, a copy must be sent to the chief officer of police. Regulation 47 makes provision as to how that copy is sent in cases where the application is made through the electronic assistance facility referred to in regulation 38 or an electronic facility maintained by a local authority. Regulation 47 also allows EEA residents or bodies corporate incorporated in other EEA states to obtain sex establishment licences. In addition, local authorities will be required to provide reasons for refusing to grant, transfer or renew a licence, whether or not requested by the applicant.

Regulation 48 amends Schedule 13 to the Enterprise Act 2002 so that the duties imposed on service providers in regulations 7 to 12 and 30 can be enforced under Part 8 of that Act.

Regulation 49 amends the Licensing Act 2003 to ensure that applications and notices which are submitted to local authorities through the electronic assistance facility referred to in regulation 38 or electronic facilities maintained by local authorities do not need to be separately notified to other public authorities by the persons submitting them.

A transposition note and an impact assessment of the effect that this instrument will have on the costs to business and the voluntary sector are available from the BIS website (www.bis.gov.uk). They are also annexed to the Explanatory Memorandum which is available alongside the instrument on the OPSI website http:(www.opsi.gov.uk). Copies have also been placed in the Libraries of both Houses of Parliament.