Search Legislation

Regulatory Reform (Scotland) Act 2014

 Help about what version

What Version

 Help about advanced features

Advanced Features

Changes over time for: PART 1

 Help about opening options

Alternative versions:

Changes to legislation:

Regulatory Reform (Scotland) Act 2014, PART 1 is up to date with all changes known to be in force on or before 01 December 2020. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

Close

Changes to Legislation

Revised legislation carried on this site may not be fully up to date. Changes and effects are recorded by our editorial team in lists which can be found in the ‘Changes to Legislation’ area. Where those effects have yet to be applied to the text of the legislation by the editorial team they are also listed alongside the legislation in the affected provisions. Use the ‘more’ link to open the changes and effects relevant to the provision you are viewing.

View outstanding changes

Changes and effects yet to be applied to the whole Act associated Parts and Chapters:

Whole provisions yet to be inserted into this Act (including any effects on those provisions):

PART 1 SREGULATORY FUNCTIONS

Regulations to encourage or improve regulatory consistencyS

1Power as respects consistency in regulatory functionsS

(1)The Scottish Ministers may by regulations make any provision which they consider will encourage or improve consistency in the exercise by regulators of regulatory functions.

(2)Regulations under subsection (1)—

(a)must specify the regulators to which they apply,

(b)may specify regulatory functions in respect of which they are, or are not, to apply,

(c)may prescribe the forms, procedure or other arrangements in respect of which a regulator is to impose, set, secure compliance with or enforce a regulatory requirement (including the manner in which and extent to which fees may be charged or costs recovered),

(d)may require a regulator to co-operate, or co-ordinate activity, with other regulators or the Scottish Ministers (including providing information to the Scottish Ministers).

(3)Before making regulations under subsection (1), the Scottish Ministers must consult—

(a)the regulators to which the regulations would apply,

(b)such persons or bodies as appear to the Scottish Ministers to represent the interests of persons substantially affected by the proposed regulations,

(c)such other persons or bodies as the Scottish Ministers consider appropriate.

(4)For the purposes of subsection (1), “consistency” includesconsistency—

(a)in the way in which particular regulators, their employees or their agents impose, set, secure compliance with or enforce a regulatory requirement,

(b)in the way in which different regulators, or the employees or agents of different regulators, impose, set, secure compliance with or enforce a regulatory requirement.

(5)In this Part—

  • regulator” means a person, body or office-holder listed, or of a description listed, in schedule 1,

  • regulatory functions” means—

    (a)

    functions conferred by or under any enactment of—

    (i)

    imposing requirements, restrictions or conditions in relation to an activity,

    (ii)

    setting standards or outcomes in relation to an activity, or

    (iii)

    giving guidance in relation to an activity, or

    (b)

    functions which relate to the securing of compliance with, or enforcement of, requirements, restrictions, conditions, standards, outcomes or guidance which by or under any enactment relate to an activity,

    but does not include any such functions exercisable by a planning authority,

  • regulatory requirement” means a requirement, restriction, condition, standard or outcome (whether contained in guidance or otherwise)—

    (a)

    which is to be complied with, met, attained or achieved by a person, body or office-holder whether by or under an enactment (including this Act) or otherwise, and

    (b)

    in respect of which a regulator has regulatory functions.

(6)In the definition of “regulatory functions” in subsection (5), “activity” includes—

(a)providing goods and services, and

(b)employing or offering employment to any person.

Commencement Information

I1S. 1 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

2Regulations under section 1: further provisionS

(1)Regulations under section 1 (“the regulations”) may include provision requiring a regulator—

(a)to secure compliance with or enforce an existing regulatory requirement,

(b)to impose, set, secure compliance with or enforce any other regulatory requirement which the regulator proposes to, or may, impose or set.

(2)Subject to subsection (3), the regulations may also include provision—

(a)amending a regulatory requirement,

(b)for a regulatory requirement to cease to have effect (by means of repealing or revoking an enactment containing the requirement or otherwise),

(c)creating a regulatory requirement,

(d)requiring a regulator to create, amend or remove a regulatory requirement,

(e)where a regulator is required to act as mentioned in paragraph (d), imposing conditions in relation to that requirement.

(3)The regulations may not include provision that would—

(a)amend a regulatory requirement which, by or under an enactment (a “mandatory enactment”)—

(i)must be complied with, met, attained or achieved, and

(ii)a regulator is required to impose or set,

(b)repeal or revoke a mandatory enactment.

(4)But the regulations may include provision such as is mentioned in subsection (3) if the regulations otherwise make provision having an equivalent effect to the mandatory enactment.

(5)A provision in the regulations requiring a regulator to impose or set a regulatory requirement is not a mandatory enactment for the purposes of subsection (3) (unless such provision is included by virtue of subsection (4)).

(6)Where the regulations include provision such as is mentioned in subsection (2), they may also include provision preventing a regulator from imposing or setting a regulatory requirement—

(a)that amends, replaces or revokes a regulatory requirement amended or created by the regulations,

(b)that has an equivalent effect to a regulatory requirement which ceases to have effect by virtue of the regulations.

(7)Where the regulations make provision that would (but for this subsection) apply to a regulator, the Scottish Ministers may, if they consider it necessary or expedient, direct that, for a period no longer than that mentioned in subsection (8)—

(a)the provision is not to apply to the regulator, or

(b)the provision is to apply to the regulator—

(i)with such modifications as may be specified in the direction,

(ii)subject to such conditions as may be so specified.

(8)The period is that beginning with the day on which the direction is given and ending 6 months later.

(9)The Scottish Ministers must publish (in such manner as they consider appropriate) any direction given under subsection (7).

(10)Where the regulations include provision such as is mentioned in subsection (1)(b), such provision does not affect any requirement for the regulator to consult before imposing or setting the regulatory requirement mentioned in that subsection.

(11)This section is without prejudice to the generality of the power to make regulations under section 1.

Commencement Information

I2S. 2 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

Compliance and enforcementS

3Regulations under section 1: compliance and enforcementS

(1)A regulator to which regulations under section 1 apply must comply with the regulations except to the extent that—

(a)the regulator lacks the powers necessary to comply, or

(b)the regulations impose on the regulator a requirement that conflicts with any other obligation imposed on the regulator by or under an enactment.

(2)Where a regulator fails to comply with the regulations, the Scottish Ministers may—

(a)declare the regulator to have so failed, and

(b)direct the regulator to take such steps to remedy the failure as are specified in the direction within such reasonable period as may be so specified.

(3)Where a regulator fails to take some or all of the steps specified in a direction under subsection (2)(b), the Scottish Ministers may—

(a)take the steps,

(b)arrange for any other person to take the steps, or

(c)apply to the Court of Session for an order requiring the regulator to take the steps.

(4)The Scottish Ministers may recover from a regulator the costs incurred by the Scottish Ministers in relation to—

(a)taking steps under paragraph (a) of subsection (3),

(b)arranging for another person to take steps under paragraph (b) of that subsection (including costs incurred by that other person which the Scottish Ministers have to bear),

(c)an application relating to the regulator under paragraph (c) of that subsection up to the time of making the application.

(5)The Scottish Ministers may recover the costs mentioned in subsection (4) as a civil debt.

Commencement Information

I3S. 3 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

Exercise of regulatory functions: economic duty and code of practiceS

4Regulators' duty in respect of sustainable economic growthS

(1)In exercising its regulatory functions, each regulator must contribute to achieving sustainable economic growth, except to the extent that it would be inconsistent with the exercise of those functions to do so.

(2)The Scottish Ministers may give guidance to regulators with respect to the carrying out of the duty imposed by subsection (1).

(3)Regulators must have regard to guidance given under subsection (2).

(4)The Scottish Ministers must publish (in such manner as they consider appropriate) any such guidance.

(5)Subsection (1) does not apply to a regulator to the extent that the regulator is, by or under an enactment, already subject to a duty to the same effect as that mentioned in that subsection.

Commencement Information

I4S. 4 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

5Code of practiceS

(1)The Scottish Ministers may issue and from time to time revise a code of practice in relation to the exercise of regulatory functions by a regulator.

(2)The Scottish Ministers must publish (in such manner as they consider appropriate) any code of practice issued under subsection (1).

(3)A code of practice issued under subsection (1) applies only to—

(a)such regulators as may be specified in the code, and

(b)such regulatory functions as may be so specified.

(4)A copy of a code of practice issued under subsection (1) must be issued to the regulators to whom it applies.

(5)A regulator to whom a code of practice issued under subsection (1) applies must, from the date a copy is issued to the regulator, have regard to the code—

(a)in determining any general policy or principles by reference to which the regulator exercises any regulatory functions to which the code applies, and

(b)in exercising any such regulatory functions.

(6)References in this section to a code of practice issued under subsection (1) include references to such a code as revised from time to time under that subsection.

Commencement Information

I5S. 5 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

6Code of practice: procedureS

(1)Where the Scottish Ministers propose to issue or revise a code of practice under section 5, they must prepare a draft of the code (or revised code).

(2)In preparing the draft, the Scottish Ministers must seek to secure that it is consistent with the principles in subsection (3).

(3)The principles are—

(a)that regulatory functions should be—

(i)exercised in a way that is transparent, accountable, proportionate and consistent, and

(ii)targeted only at cases in which action is needed, and

(b)that regulatory functions should be exercised in a way that contributes to achieving sustainable economic growth, except to the extent that it would be inconsistent with the exercise of such functions to do so.

(4)The Scottish Ministers must consult the following about the draft—

(a)persons appearing to them to be representative of regulators in respect of which the code or revised code would apply,

(b)such other persons as they consider appropriate.

(5)If the Scottish Ministers decide to proceed with the draft (either in its original form or with modifications) they must lay the draft before the Scottish Parliament.

(6)Where the draft so laid is approved by resolution of the Parliament, the Scottish Ministers may issue the code (or revised code).

Commencement Information

I6S. 6 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

Power to modify list of regulatorsS

7Power to modify schedule 1S

(1)The Scottish Ministers may by order modify schedule 1 so as to—

(a)add—

(i)a person, body or office-holder which has regulatory functions to the list of persons, bodies and office-holders for the time being listed there, or

(ii)a description of a person, body or office-holder having regulatory functions to that list,

(b)remove—

(i)a person, body or office-holder from that list, or

(ii)a description of a person, body or office-holder from that list,

(c)amend an entry on that list.

(2)An order under subsection (1) may, in relation to a person, body or office-holder or a description of a person, body or office-holder—

(a)specify that a function is or is not to be a regulatory function for the purposes of section 1, 4 or 5,

(b)specify the extent to which a function is or is not to be a regulatory function for such purposes.

Commencement Information

I7S. 7 in force at 30.6.2014 by S.S.I. 2014/160, art. 2(1)(2), Sch.

Back to top

Options/Help

Print Options

Close

Legislation is available in different versions:

Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.

Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. No changes have been applied to the text.

Close

See additional information alongside the content

Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.

Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.

Close

Opening Options

Different options to open legislation in order to view more content on screen at once

Close

More Resources

Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • correction slips
  • links to related legislation and further information resources
Close

Timeline of Changes

This timeline shows the different points in time where a change occurred. The dates will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. The first date in the timeline will usually be the earliest date when the provision came into force. In some cases the first date is 01/02/1991 (or for Northern Ireland legislation 01/01/2006). This date is our basedate. No versions before this date are available. For further information see the Editorial Practice Guide and Glossary under Help.

Close

More Resources

Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • correction slips

Click 'View More' or select 'More Resources' tab for additional information including:

  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • links to related legislation and further information resources