Regulatory Enforcement and Sanctions Act 2008

Exercise of powers: general

66 Compliance with regulatory principles

The relevant authority may not make any provision under or by virtue of this Part conferring power on a regulator to impose a civil sanction in relation to an offence unless the authority is satisfied that the regulator will act in accordance with the principles referred to in section 5(2) in exercising that power.

67 Review

(1) The relevant authority must in accordance with this section review the operation of any provision made under or by virtue of this Part conferring power on a regulator to impose a civil sanction in relation to an offence.

(2) The review must take place as soon as practicable after the end of the period of three years beginning with the day on which the provision comes into force.

(3) The review must in particular consider whether the provision has implemented its objectives efficiently and effectively.

(4) In conducting a review under this section the relevant authority must consult such persons as the authority considers appropriate.

(5) The relevant authority must publish the results of a review under this section.

(6) The relevant authority must lay a copy of a review under this section—

(a) before Parliament (where the relevant authority is a Minister of the Crown), or

(b) before the National Assembly for Wales (where the relevant authority is the Welsh Ministers).

68 Suspension

(1) Where provision has been made under or by virtue of this Part conferring power on a regulator to impose a civil sanction in relation to an offence, the relevant authority may direct the regulator—

(a) where the power is power to impose a fixed monetary penalty, not to serve any further notice of intent referred to in section 40(2)(a) in relation to that offence,

(b) where the power is power to impose a discretionary requirement, not to serve any further notice of intent referred to in section 43(2)(a) in relation to that offence,

(c) where the power is power to serve a stop notice, not to serve any further stop notice in relation to that offence, and

(d) where the power is power to accept an enforcement undertaking, not to accept any further enforcement undertaking in relation to that offence.

(2) The relevant authority may only give a direction under subsection (1) in relation to an offence if it is satisfied that the regulator has failed on more than one occasion—

(a) to comply with any duty imposed on it under or by virtue of this Part in relation to that offence,

(b) to act in accordance with the guidance it has published in relation to that offence (in particular, the guidance published under sections 63 and 64), or

(c) to act in accordance with the principles referred to in section 5(2) or with other principles of best practice in relation to the enforcement of that offence.

(3) The relevant authority may by direction revoke a direction given by it under subsection (1) if satisfied that the regulator has taken the appropriate steps to remedy the failure to which that direction related.

(4) Before giving a direction under subsection (1) or (3) the relevant authority must consult—

(a) the regulator, and

(b) such other persons as the authority considers appropriate.

(5) Where the relevant authority gives a direction under this section, the authority must lay a copy before Parliament (where the relevant authority is a Minister of the Crown) or the National Assembly for Wales (where the relevant authority is the Welsh Ministers).

(6) Where the relevant authority gives a direction under this section, the regulator must—

(a) publish the direction in such manner as the relevant authority thinks fit, and

(b) take such other steps as the regulator thinks fit or the relevant authority may require to bring the direction to the attention of other persons likely to be affected by it.