Enforcement
Section 17 – Civil sanctions
54.This section enables regulations providing for civil sanctions to be made in respect of criminal offences created under section 5of the Act. This power corresponds to that in Part 3 of the Regulatory Enforcement and Sanctions Act 2008 (c. 13) (“
55.Part 3 of RESA allows the Welsh Ministers to make regulations to provide for alternative civil sanctioning powers for relevant criminal offences that relate to regulatory non-compliance. The civil sanctions available under RESA are fixed monetary penalties, discretionary requirements, stop notices and enforcement undertakings. They are an alternative to, rather than a replacement for, criminal conviction especially for minor breaches of regulatory requirements.
56.Subsection (3) applies section 63 to 69 of RESA to regulations made under this section as they would apply to an order made under Part 3 of RESA. The effect of subsection (3) is set out in the following paragraphs.
57.Where the Welsh Ministers confer power on a local authority to impose a civil sanction in relation to an offence, the Welsh Ministers must also ensure the following results (see section 63 of RESA)—
that the authority publishes guidance about its use of the sanction;
that guidance contains specified information, depending on the type of sanction - such as the circumstances in which a monetary penalty or stop notice is likely to be imposed, the circumstances in which it cannot be imposed; the amount of any monetary penalty; how to discharge penalties and rights of appeal and similar;
that the guidance is revised where appropriate;
that the authority consults persons specified in the Welsh Ministers' regulations before publishing any guidance; and
that the authority has regard to the guidance in exercising functions.
58.Where power is conferred on a local authority to impose a civil sanction in relation to an offence the authority must also—
prepare and publish guidance about how the offence is to be enforced (see section 64 RESA);
publish reports about the cases in which the civil sanction has been imposed (see section 65 RESA).
59.The Welsh Ministers may not make provision enabling a local authority to impose a civil sanction in relation to an offence unless the Welsh Ministers are satisfied that the authority will act in accordance with the following principles (referred to in RESA as “the regulatory principles”) in exercising that power—
that regulatory activities should be carried out in a way which is transparent, accountable, proportionate and consistent; and
that regulatory activities should be targeted only at cases in which action is needed.
60.Where the Welsh Ministers have conferred a power to impose civil sanctions, they must review how that power is being operated (see section 67 of RESA) and may suspend the power of a local authority to impose such sanctions (see section 68 of RESA).
61.Receipts from civil sanctions — e.g. from the payment of monetary penalties — must be paid into the Welsh Consolidated Fund where the local authority has functions only in relation to Wales, and into the UK Consolidated Fund where the enforcement authority has functions in relation to Wales and another part of the UK (see section 69 of RESA).
62.Subsection (4) applies section 59 and 60(1) and (2) of RESA to regulations made under this section as they would apply to an order made under Part 3 of RESA.
63.Regulations making provision enabled by this section must be made under the affirmative procedure.
