The Co-ordination of Regulatory Enforcement Regulations 2017
| Jurisdiction | UK Non-devolved |
| Citation | SI 2017/835 |
| Year | 2017 |
2017 No. 835
Regulatory Reform
The Co-ordination of Regulatory Enforcement Regulations 2017
Made 11th August 2017
Laid before Parliament 15th August 2017
Coming into force 1st October 2017
The Secretary of State, in exercise of the powers conferred by sections 22C(1)(b), (1)(c), (2), (4), and (5); 25A(2); 25D(1) and (2); 28A(1), (9), (10) and (11); and paragraph 9 of Schedule 4A of the Regulatory Enforcement and Sanctions Act 20081, and with the consent of the Welsh Ministers makes the following Regulations.
Citation, commencement and Interpretation
1.—(1) These Regulations may be cited as the Co-ordination of Regulatory Enforcement Regulations 2017 and come into force on 1st October 2017.
(2) In these Regulations—
“the Act” means the Regulatory Enforcement and Sanctions Act 2008;
“relevant enactment” has the same meaning as in section 4(2) of the Act (except in regulation 4, where it has a different meaning).
Supporting Regulators
2.—(1) The regulators listed in the Schedule to these Regulations are specified as supporting regulators for the purpose of section 28A(1)(a) of the Act.
(2) A regulatory function2is a designated function for the purposes of section 28A(10) of the Act if it is a regulatory function that the supporting regulator is entitled to exercise under a relevant enactment.
Relevant functions in Scotland
3.—(1) A regulatory function is specified for the purposes of section 22C(1)(b) of the Act if it is a regulatory function that a local authority in Scotland is entitled to exercise under a relevant enactment.
(2) Paragraph (1) does not apply to a regulatory function if, or to the extent that, the function relates to a matter which is not a reserved matter.
Relevant functions in Northern Ireland
4.—(1) A regulatory function is specified for the purposes of section 22C(1)(c) of the Act if it is a regulatory function that a local authority in Northern Ireland is entitled to exercise under a relevant enactment.
(2) In paragraph (1) “relevant enactment” means an enactment—
(a)
(a) specified in Schedule 3 to the Act or an enactment made under such an enactment, or
(b)
(b) made under section 2(2) of the European Communities Act 19723with respect to—
(i) the safety of consumers in relation to goods, or
(ii) technical standards derived from European Union law, other than standards and requirements in relation to food, agricultural or horticultural produce, fish or fish products, seeds, animal feeding stuffs, fertilisers or pesticides.
(3) Paragraph (1) does not apply to a regulatory function if, or to the extent that, the function relates to a matter which is a transferred matter.
Enforcement action
5.—(1) In accordance with section 25A(2)(a) of the Act, and subject to paragraph (2), each of the following actions is to be regarded as enforcement action for the purposes of Part 2 of the Act—
(a)
(a) the service of any of the following by an enforcing authority under a relevant enactment—
(i) an abatement notice,
(ii) an alterations notice,
(iii) a compliance notice,
(iv) a demolition order,
(v) a detention notice,
(vi) an enforcement notice,
(vii) a fixed monetary penalty,
(viii) a hazard awareness notice,
(ix) an improvement notice,
(x) a premises order,
(xi) a prohibition notice (including an emergency prohibition notice),
(xii) a prohibition order,
(xiii) a remedial action notice (including an emergency remedial action notice),
(xiv) a request to fulfil a discretionary requirement,
(xv) a stop notice,
(xvi) a suspension notice, or
(xvii) any other notice or order;
(b)
(b) the determination of an application under section 61 of the Control of Pollution Act 19744;
(c)
(c) certificates issued under regulation 29 of the Food Safety and Hygiene (England) Regulations 20135;
(d)
(d) certificates issued under regulation 27 of the Food Hygiene (Wales) Regulations 20066;
(e)
(e) the reference of any matter to a prosecuting authority other than a local authority with a view to the prosecuting authority considering the commencement of proceedings in relation to the matter;
(f)
(f) the commencement of proceedings in a court of law, or a tribunal created under an enactment;
(g)
(g) the imposition of any sanction (whether civil or criminal) in respect of any act or omission;
(h)
(h) the administering of a simple caution;
(i)
(i) the acceptance by the enforcing authority of any undertaking (under an enactment or otherwise) in respect of an act or omission.
(2) In accordance with section 25A(2)(b) of the Act, the following action is not to be regarded as enforcement action for the purposes of Part 2 of the Act—
(a)
(a) action within the scope of section 25A(1) of the Act not specified in paragraph (1);
(b)
(b) action taken by an enforcing authority pursuant to or in connection with the exercise of functions under—
(i) the Licensing Act 20037(except action taken under sections 146, 147, 147A and 151 of that Act), or
(ii) the Gambling Act 20058(except action taken under Part 4 of that Act).
6. In accordance with section 25D of the Act, sections 25B and 25C of the Act do not apply where—
(a) 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; or
(b) the application of sections 25B or 25C of the Act would be wholly disproportionate.
Procedure for references to the Secretary of State - Applications for consent
7.—(1) All applications to the Secretary of State for consent to a reference must contain the following information—
(a)
(a) the applicant’s name,
(b)
(b) the applicant’s business address,
(c)
(c) the name and contact details of an individual within the applicant’s organisation who has responsibility for the application and reference,
(d)
(d) the name and business address of any other party, and
(e)
(e) a description of the proposed enforcement action.
(2) In addition the following information must also be provided—
(a)
(a) where the enforcing authority is the applicant—
(i) a copy of any written notification sent to the primary authority regarding the proposed enforcement action,
(ii) a copy of any written direction from the primary authority under section 25C(4) of the Act stating that the enforcing authority must not take enforcement action,
(iii) a copy of any advice and guidance given by the primary authority or the co-ordinator to the regulated person under section 24A(1)(a) or section 24A(4) of the Act which is relevant to the proposed enforcement action and which has been provided to the enforcing authority,
(iv) a copy of any advice and guidance given by the primary authority to the enforcing authority under section 24A(1)(b) or section 24A(2)(b) of the Act which is relevant to the proposed enforcement action, and
(v) a statement as to why the enforcing authority considers that—
(aa) the proposed enforcement action is not inconsistent with advice or guidance previously given by the primary authority (generally or specifically) to the regulated person under section 24A(1)(a) or section 24A(4) of the Act, or to other qualifying regulators under section 24A(1)(b) or section 24A(2)(b) of the Act,
(bb) the advice or guidance was not correct, or
(cc) the advice or guidance was not properly given;
(b)
(b) where the regulated person is the applicant—
(i) a copy of any advice and guidance given by the primary authority or the co-ordinator to the regulated person under section 24A(1)(a) or section 24A(4) of the Act which is relevant to the proposed enforcement action and which has been provided to the enforcing authority,
(ii) a copy of any advice and guidance given by the primary authority to the enforcing authority under section 24A(1)(b) or section 24A(2)(b) of the Act which is relevant to the proposed enforcement action and which has been provided to the enforcing authority,
(iii) a copy of any document informing the regulated person of the proposed enforcement action; and
(iv) a statement as to why the regulated person considers that—
(aa) the proposed enforcement action is not inconsistent with advice or guidance previously given by the primary authority (generally or specifically) to the regulated person under section 24A(1)(a) or section 24A(4) of the Act, or to other qualifying regulators under section 24A(1)(b) or section 24A(2)(b) of the Act,
(bb) the advice or guidance was correct, and
(cc) the advice or guidance was properly given;
(c)
(c) where the primary authority is the applicant—
(i) a copy of any advice or guidance given—
(aa) to the regulated person or to the co-ordinator of the...
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