Regulatory Enforcement and Sanctions Act 2008

• Citation: 2008 c. 13
• Sections: 147

Section 1 LBRO

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(3) Schedule 1 (which makes further provision about LBRO) has effect.

Section 2 Dissolution of the LBRO company

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Section 3 “Local authority”

(1) In this Part references to a local authority in England are to any of the following—

(a) a county or district council in England;

(b) a London borough council;

(c) the Common Council of the City of London;

(d) the Sub-Treasurer of the Inner Temple and the Under-Treasurer of the Middle Temple;

(e) the Council of the Isles of Scilly;

(f) a fire and rescue authority in England (not being an authority referred to in paragraphs (a) to (e));

(g) a port health authority in England (not being an authority referred to in paragraphs (a) to (e));

(h) an authority established under section 10 of the Local Government Act 1985 (c. 51) (waste disposal authorities for Greater London and metropolitan counties).

(2) In this Part references to a local authority in Wales are to any of the following—

(a) a county or county borough council in Wales;

(b) a fire and rescue authority in Wales (not being a county or county borough council);

(c) a port health authority in Wales (not being a county or county borough council).

Section 4 “Relevant function”

(1) In this Part “ relevant function ”, in relation to a local authority in England or Wales, means—

(a) a function under a relevant enactment of imposing requirements, restrictions or conditions, or setting standards or giving guidance, in relation to any activity, or

(b) a function which relates to the securing of compliance with, or the enforcement of, requirements, restrictions, conditions, standards or guidance which under or by virtue of a relevant enactment relate to any activity.

(2) In subsection (1) “ relevant enactment ” means—

(a) an enactment specified in Schedule 3 or an enactment made under such an enactment;

(b) an enactment to which subsection (3) applies.

(3) This subsection applies to any enactment made under section 2(2) of the European Communities Act 1972 (c. 68) with respect to any of the following matters—

(a) agricultural produce (quality standards and labelling);

(b) animal health and welfare;

(c) animal feed;

(d) consumer protection;

(e) environmental protection;

(f) food hygiene and standards;

(g) public health and safety;

(h) weights and measures (including measuring instruments).

(4) The Secretary of State may by order—

(a) amend Schedule 3 so as to add any enactment to it or to remove any enactment from it;

(b) amend subsection (3) so as to add any matter to it or remove any matter from it.

(5) An order under subsection (4) may make different provision for different purposes (including different provision in relation to local authorities in England and Wales respectively).

(6) An order under subsection (4) requires the consent of the Welsh Ministers to make provision, in relation to local authorities in Wales, in respect of a devolved Welsh matter.

(7) The Secretary of State may by order determine whether, for the purposes of subsection (3), an enactment made under section 2(2) of the European Communities Act 1972 is made with respect to any of the matters specified in that subsection.

(8) An order under subsection (7) requires the consent of the Welsh Ministers where—

(a) the determination affects the application of this Part in relation to local authorities in Wales, and

(b) the enactment made under section 2(2) of the European Communities Act 1972 relates to a devolved Welsh matter.

(9) In subsection (1)—

(a) references to a function do not include a function of conducting criminal or civil proceedings;

(b) references to an activity include providing goods and services and employing or offering employment to any person.

Section 5 Objective relating to general functions

(1) In exercising their functions under sections 6 to 10 the Secretary of State and the Welsh Ministers have the objective of securing that local authorities in England and Wales exercise their relevant functions—

(a) effectively,

(b) in a way which does not give rise to unnecessary burdens, and

(c) in a way which conforms with the principles in subsection (2).

(2) Those principles are that—

(a) regulatory activities should be carried out in a way which is transparent, accountable, proportionate and consistent;

(b) regulatory activities should be targeted only at cases in which action is needed.

Section 6 Guidance to local authorities

(1) It is a function of the Secretary of State to give guidance to—

(a) one or more local authorities in England,

(b) one or more local authorities in Wales, or

(c) local authorities in England and Wales

as to how to exercise their relevant functions (other than functions relating to devolved Welsh matters).

(1A) It is a function of the Welsh Ministers to give guidance to one or more local authorities in Wales as to how to exercise their relevant functions which relate to devolved Welsh matters.

(2) Guidance under subsection (1) or (1A) —

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(b) may relate to any one or more relevant functions;

(c) may relate to the exercise of one or more relevant functions in a particular case.

(3) A local authority in England or Wales must have regard to any guidance given to it under this section.

(4) Before giving guidance under this section in relation to any relevant function the person giving the guidance must consult—

(a) the persons whose activities are regulated by the exercise of the function, or persons representative of such persons,

(b) such local authorities in England and Wales, or such persons representative of local authorities in England and Wales, as the person giving the guidance considers appropriate, and

(c) such other persons as the person giving the guidance considers appropriate.

(5) The person giving guidance under this section must publish it in such manner as that person considers appropriate.

(6) The person giving the guidance may vary or revoke any guidance given ... under this section by further guidance under this section.

Section 7 Guidance to local authorities: enforcement

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Section 8 Financial support and assistance to local authorities

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Section 9 Advice to Ministers of the Crown

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Section 10 Advice to Welsh Ministers

(1) The Secretary of State may at any time give advice or make proposals to the Welsh Ministers on—

(a) the way in which any one or more local authorities in Wales exercise any of their relevant functions in relation to any devolved Welsh matter;

(b) the effectiveness of legislation (or proposed legislation) relating to the exercise by local authorities in Wales of their relevant functions in relation to any such matter;

(c) whether any other regulatory functions could appropriately be exercised by local authorities in Wales in relation to any such matter;

(d) anything else relating to the exercise by local authorities in Wales of their relevant functions in relation to any such matter.

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Section 11 Enforcement priorities

(1) The Secretary of State must prepare and publish a list specifying those matters to which a local authority in England should give priority when allocating resources to its relevant functions.

(1A) The Welsh Ministers must prepare and publish a list specifying those matters to which a local authority in Wales should give priority when allocating resources to its relevant functions.

(2) A local authority in England or Wales must have regard to the appropriate list under subsection (1) or (1A) when allocating resources to its relevant functions.

(3) Before publishing a list under subsection (1) the person preparing the list must consult such persons as that person considers appropriate.

(4) The person preparing the list must publish details of any representations made ... pursuant to subsection (3).

(5) Before publishing a list under subsection (1A), the Welsh Ministers must consult the Secretary of State.

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(7) A list published under this section must be reviewed from time to time by the person who published it.

(8) A list revised as a result of a review under subsection (7) must be published (and subsections (2) to (7) have effect in relation to it).

Section 12 Relationship with other regulators

(1) The Secretary of State and a regulator to which this section applies must enter into a memorandum of understanding with each other as to how they will work together in the exercise of their respective functions.

(2) This section applies to the following regulators—

(a) the Environment Agency;

(b) the Food Standards Agency;

(c) the Gambling Commission;

(d) the Health and Safety Executive;

(e) the Competition and Markets Authority .

(3) The Secretary of State must consult the Welsh Ministers about—

(a) revising an existing memorandum of understanding, or

(b) entering into a new one,

which relates to a devolved Welsh matter.

Section 13 Duty not to impose burdens etc

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Section 14 Ancillary powers

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Section 15 Guidance or directions by the Secretary of State

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Section 16 Guidance or directions by Welsh Ministers

(1) The Welsh Ministers may give the Secretary of State —

(a) guidance, ...

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

as to the exercise in relation to Wales of any of the Secretary of State’s functions under this Act so far as they relate to a devolved Welsh matter.

(2) Before giving any guidance ... under this section the Welsh Ministers must consult—

(a) the Secretary of State , and

(b) such other persons as the Welsh Ministers consider likely to be affected by the guidance ..., or persons representative of such persons.

(3) The Welsh Ministers must—

(a) publish (in such manner as they consider appropriate) any guidance ... given under this section, and

(b) lay a copy of any such guidance ... before the National Assembly for Wales.

(4) The Secretary of State must have regard to any guidance ... given under this section.

(5) The Welsh Ministers may vary or revoke any guidance ... given under this section by further guidance ... under this section.

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Section 17 Review of LBRO

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Section 18 Power to dissolve LBRO

(1) The Secretary of State may by order—

(a) provide for LBRO to be dissolved, and

(b) make consequential, supplementary, incidental and transitional provision in relation to its dissolution.

(2) An order under subsection (1) may in particular—

(a) provide for the transfer of the property, rights and liabilities of LBRO to another person;

(b) provide for the transfer of the functions of LBRO to another person;

(c) provide that anything done by or in relation to LBRO is, so far as is necessary for continuing its effect, to have effect as if done by or in relation to another person;

(d) provide for anything (which may include legal proceedings) which is in the process of being done by or in relation to LBRO when a transfer under the order takes effect to be continued by or in relation to another person;

(e) provide for a reference to LBRO in an enactment, instrument or other document to be treated as a reference to another person.

(3) Provision under subsection (2)(a) may include provision for property, rights or liabilities to be transferred—

(a) whether or not they would otherwise be capable of being transferred,

(b) without any instrument or other formality being required, and

(c) despite any provision (of whatever nature) which would otherwise prevent, penalise or restrict their transfer.

(4) Provision under subsection (2)(a) for the transfer of rights and liabilities relating to employees of LBRO must include provision for the Transfer of Undertakings (Protection of Employment) Regulations 2006 ( SI 2006/246) to apply in relation to the transfer.

(5) Provision under subsection (2)(a) or (b) may include provision establishing a body corporate to which property, rights and liabilities, or functions, are transferred.

(6) Before making an order under this section the Secretary of State must consult—

(a) the Welsh Ministers, and

(b) such persons (or persons representative of such persons) as appear to the Secretary of State to be substantially affected by the dissolution of LBRO.

(7) The provision which may be made by an order under this section may be made by repealing, revoking or amending an enactment (whenever passed or made).

Section 19 Dissolution of LBRO: tax

(1) Where an order under section 18 makes provision under subsection (2)(a) of that section, the Treasury may by regulations make provision for varying the way in which a relevant tax has effect in relation to—

(a) the property, rights or liabilities transferred, or

(b) anything done for the purposes of, or in relation to, the transfer.

(2) The provision which may be made under subsection (1)(a) includes in particular provision for—

(a) a tax provision not to apply, or to apply with modifications, in relation to the property, rights or liabilities transferred;

(b) the property, rights or liabilities transferred to be treated in a specified way for the purposes of a tax provision;

(c) the Secretary of State to be required or permitted, with the consent of the Treasury, to determine, or specify the method for determining, anything which needs to be determined for the purposes of any tax provision so far as relating to the property, rights or liabilities transferred.

(3) The provision which may be made under subsection (1)(b) includes in particular provision for—

(a) a tax provision not to apply, or to apply with modifications, in relation to anything done for the purposes of, or in relation to, the transfer;

(b) anything done for the purposes of, or in relation to, the transfer to have or not have a specified consequence or be treated in a specified way;

(c) the Secretary of State to be required or permitted, with the consent of the Treasury, to determine, or specify the method for determining, anything which needs to be determined for the purposes of any tax provision so far as relating to anything done for the purposes of, or in relation to, the transfer.

(4) In this section—

“ relevant tax ” means income tax, corporation tax, capital gains tax, stamp duty or stamp duty reserve tax;

“ tax provision ” means a provision of an enactment about a relevant tax.

Section 20 Orders under Part 1

(1) An order or regulations under this Part must be made by statutory instrument.

(2) A statutory instrument containing an order made by the Secretary of State under section 4(7) ... is subject to annulment in pursuance of a resolution of either House of Parliament.

(3) A statutory instrument containing an order made by the Secretary of State under section 4(4) or 18 may not be made unless a draft of the instrument has been laid before, and approved by resolution of, each House of Parliament.

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(5) A statutory instrument containing regulations made by the Treasury under section 19 is subject to annulment in pursuance of a resolution of the House of Commons.

Section 21 Interpretation of Part 1

In this Part—

...

...

“ local authority ” has the meaning given in section 3;

“ relevant function ” has the meaning given in section 4.

Section 22 Scope of Part 2

(A1) This Part applies in relation to a person if the Secretary of State is satisfied that the person is within subsection (1) or (1A).

(1) A person is within this subsection if—

(a) the person carries on an activity in the area of two or more local authorities, and

(b) each of those authorities has the same relevant function in relation to that activity.

(1A) A person (P) is within this subsection if each of the conditions in subsection (1B) is met.

(1B) The conditions are—

(a) that P carries on an activity in relation to which a local authority exercises a relevant function;

(b) that the effect of arrangements made by P with any organisation or other person is that P's approach to compliance, in respect of the relevant function, is one that is shared with another person (Q) who carries on the activity;

(c) that—

(i) at least one of P and Q carries on the activity in the area of two or more local authorities, or

(ii) Q carries on the activity in the area of a local authority in which P does not carry on the activity.

(2) In this Part, references to “the regulated person” are to a person to whom this Part applies.

(3) The Secretary of State may from time to time publish guidance about matters likely to be taken into account for the purposes of subsection (1B)(b).

(4) The guidance may be published in such manner as the Secretary of State considers appropriate.

Section 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.

Section 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.

Section 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.

Section 23 “Local authority”

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

(2) In this Part references to a local authority in England or Wales have the same meaning as in Part 1.

(3) In this Part references to a local authority in Scotland are to a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 (c. 39).

(4) In this Part 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 (c. 9).

Section 23A Primary 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.

Section 23B Nomination 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.

Section 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.

Section 23D Membership 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.

Section 23E Application 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.

Section 24 “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 order 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 order made by the Secretary of State.

(2) An order 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) An order under subsection (1)(b) 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.

(4) An order under subsection (1)(c) 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.

(5) In subsection (3) “ reserved matter ” and “ Scotland ” have the same meanings as in the Scotland Act 1998 (c. 46).

(6) In subsection (4) “ transferred matter ” and “ Northern Ireland ” have the same meanings as in the Northern Ireland Act 1998 (c. 47).

(7) References in this Part to “ the relevant function ”, in relation to the regulated person, are to the relevant function by reference to which the Secretary of State is satisfied that the person is within section 22(1) or (1A).

Section 24A Primary 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.

Section 25 Primary authorities

(1) For the purposes of this Part the Secretary of State may nominate a local authority to be the “primary authority” for the exercise of the relevant function in relation to the regulated person.

(2) Sections 27 to 32 apply in any case where a primary authority is nominated under this section in relation to the regulated person.

Section 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.

Section 25B Enforcement 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.

Section 25C Enforcement 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).

Section 25D Enforcement 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.

Section 26 Nomination of primary authorities

(1) The Secretary of State may only nominate a local authority under section 25(1) in relation to the regulated person if—

(a) the authority and the regulated person have agreed in writing to the nomination, or

(b) the regulated person has requested the Secretary of State to make a nomination under section 25(1) for the exercise of the relevant function in relation to the regulated person,

and the Secretary of State considers the authority suitable for nomination.

(2) Where the Secretary of State has been satisfied that the regulated person is within section 22(1), the Secretary of State may in particular consider as suitable for nomination under subsection (1)—

(a) the local authority in whose area the regulated person principally carries out the activity in relation to which the relevant function is exercised;

(b) the local authority in whose area the regulated person administers the carrying out of that activity.

(3) Before nominating a local authority under section 25(1) in the case referred to in subsection (1)(b) the Secretary of State must consult—

(a) that authority, and

(b) the regulated person.

(4) The Secretary of State must have particular regard to any representations made by a local authority pursuant to subsection (3) as to the resources available to it.

(5) The Secretary of State may at any time revoke a nomination under section 25(1) if—

(a) the Secretary of State considers that the authority is no longer suitable for nomination, or

(b) the Secretary of State considers it appropriate to do so for any other reason,

and subsections (2) to (4) apply in relation to a revocation of a nomination as in relation to a nomination.

(6) The Secretary of State must maintain, or cause to be maintained, a register of nominations under section 25(1).

Section 26A Inspection 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.

Section 26B Effect 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.

Section 26C Revocation 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.

Section 27 Advice and guidance

(1) The primary authority has the function of—

(a) giving advice and guidance to the regulated person in relation to the relevant function;

(b) giving advice and guidance to other local authorities with the relevant function as to how they should exercise it in relation to the regulated person.

(2) The primary authority may make arrangements with the regulated person as to how it will discharge its function under subsection (1).

Section 27A Power 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.

Section 28 Enforcement action

(1) Subject as follows, a local authority other than the primary authority (“ the enforcing authority ”) must notify the primary authority before taking any enforcement action against the regulated person pursuant to the relevant function.

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

(3) If the enforcing authority is not directed as specified in subsection (2) and continues to propose to take the enforcement action, it must inform the regulated person.

(4) The enforcing authority may not take the proposed enforcement action—

(a) at any time during the relevant period;

(b) at any time after the end of that period, if it is directed as specified in subsection (2).

(5) In this Part “ enforcement action ” means, subject to subsection (6)—

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

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

(c) any action taken with a view to or in connection with the pursuit of any remedy conferred by an enactment in respect of an act or omission.

(6) The Secretary of State may by order with the consent of the Welsh Ministers specify action which is or is not to be regarded as enforcement action for the purposes of this Part.

(7) Schedule 4 (which makes provision for questions arising under this section to be referred to the Secretary of State ) has effect.

(8) Where an enactment limits the period within which the enforcing authority may take the proposed enforcement action, any time during which the authority is prohibited under this section or Schedule 4 from taking the action is to be disregarded in calculating that period.

(9) For the purposes of this section “ relevant period ” means—

(a) the period of five working days beginning with the day after that on which the primary authority is notified under subsection (1), or

(b) such longer period beginning with that day as the Secretary of State may direct.

(10) In subsection (9)(b) “ 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 (c. 80) in—

(i) the part of the United Kingdom where the primary authority is, or

(ii) (if different) the part of the United Kingdom where the enforcing authority is.

Section 28A Support 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).

Section 28B Other 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.

Section 29 Enforcement action: exclusions

(1) The Secretary of State shall by order with the consent of the Welsh Ministers prescribe circumstances in which section 28(1) to (4) shall not apply.

(2) Where a local authority other than the primary authority takes enforcement action against the regulated person in circumstances prescribed under subsection (1), the authority must inform the primary authority of the enforcement action it has taken as soon as it reasonably can.

(3) The Secretary of State shall in particular under subsection (1) prescribe circumstances for the purpose of securing that section 28(1) to (4) shall not apply—

(a) where the enforcement action is required urgently to avoid a significant risk of serious harm to human health or the environment (including the health of animals or plants) or the financial interests of consumers;

(b) where the application of section 28(1) to (4) would be wholly disproportionate.

Section 29A Primary 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).

Section 29B Concurrent 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.