0) GLS STATUTORY INSTRUMENT DRAFTING GUIDANCE August 2018 1 GLS STATUTORY INSTRUMENT DRAFTING GUIDANCE PREFACE This is general guidance for GLS lawyers on the drafting of statutory instruments which draws upon a number of Departmental guides on the subject. The Guidance contains advice on good drafting practice. Drafters will also want to refer to the current edition of Statutory Instrument Practice (“SIP”) which is a detailed guide to the process of producing SIs and, where appropriate, this Guidance cross-refers to SIP. The Guidance is maintained by the Government Legal Department’s SI Hub, and updates will be placed on the Legal Information Online Network (LION) Secondary legislation site from time to time. The SI Hub is a team of GLD lawyers who specialise in drafting statutory instruments. For further information about the role of the SI Hub see “A guide to working with the SI Hub for GLD lawyers”, available on the Secondary legislation site on LION. This (August 2018) reissue of the Guidance has not been comprehensively updated to reflect all changes that have occurred since the previous edition of December 2016. The 2016 edition contained extensive cross-references to SIP, and substantive material based on the contents of SIP, that have become inaccurate since the publication of the 5th edition of SIP in November 2017. This reissue has updated all references to SIP, and has tried to avoid unhelpful duplication of detailed material covered in SIP (and some other sources). While the opportunity has also been taken to update some other aspects of the Guidance, the SI Hub will undertake a comprehensive revision of the Guidance in due course. The SI Hub welcomes any comments on the Guidance including suggestions for improvement. These should be sent to the Hub ([email protected]). 2 CONTENTS 1 INTRODUCTION ....................................................................................... 5 1.1 General ................................................................................................. 5 1.2 What is a statutory instrument? ............................................................ 6 1.3 When is making secondary legislation wrong? .................................... 7 1.4 When putting material in an SI is optional ............................................ 8 1.5 When is making secondary legislation necessary? .............................. 8 1.6 The team involved in the preparation of an SI ...................................... 9 1.7 Source material .................................................................................. 11 2 PROCESS AND PROCEDURE ............................................................ 17 2.1 Project planning .................................................................................. 17 2.2 Timetabling implications - Parliamentary procedures ......................... 17 2.3 Other matters affecting a project plan ................................................ 18 2.4 Types of SI procedure ........................................................................ 26 2.5 Instructions ......................................................................................... 29 2.6 Before you draft - think! ...................................................................... 30 2.7 Drafting procedure .............................................................................. 31 2.8 Consultation ........................................................................................ 34 2.9 Final checking/Proof reading .............................................................. 36 2.10 Discovery of errors ............................................................................. 37 2.11 Publication and Printing; General ....................................................... 39 2.12 Publication and Printing: SI Template ................................................ 39 2.13 Classification of SIs as general or local .............................................. 41 2.14 Laying ................................................................................................. 42 2.15 Coming into force ............................................................................... 43 2.16 The Secondary Legislation Scrutiny Committee and the Explanatory Memorandum ...................................................................................... 46 2.17 Prayer ................................................................................................. 50 2.18 JCSI .................................................................................................... 50 2.19 Other related documents .................................................................... 54 3 FORMALITIES OF STATUTORY INSTRUMENTS ................................. 56 3.1 Subject headings ................................................................................ 56 3.2 Title .................................................................................................. 56 3.3 Dates: making, laying and coming into force .................................... 57 3.4 Table of Contents ............................................................................... 58 3.5 Preamble ............................................................................................ 58 3.6 Operative part ..................................................................................... 59 3.7 Signature ............................................................................................ 60 3.8 Schedules ........................................................................................... 61 3.9 Explanatory Note ................................................................................ 61 4 DRAFTING ............................................................................................. 66 3 4.1 Preamble…………………………………….……………………………. 66 4.2 Commencement and extent/application…..……………………………70 4.3 Interpretation…………………………………..…………………………..72 4.4 Operative provisions…………………………..………………………….75 4.5 Schedules………………………………………..………………………...85 4.6 JCSI points…………………………………………………………………85 4.7 Other drafting points (A to Z)……………..……………………………….88 ANNEX 1..................................................................................................... 106 The Interpretation Act 1978 – Provisions relevant to SIs..........................106 ANNEX 2...................................................................................................... 115 Specimen timetable for a negative resolution instrument .................... 115 Specimen timetable for an affirmative resolution instrument ............... 122 INDEX .......................................................................................................... 130 4 1 INTRODUCTION 1.1 General 1.1.1 This Guidance does not constitute in itself all that you may need to know. It is designed to complement other material available. In particular it supplements Statutory Instrument Practice (“SIP”), which is produced by the Legislation Services team at the National Archives. The current edition of SIP is the 5th edition, issued in November 2017. SIP contains detailed guidance on matters such as: the Parliamentary process and the different classes of SI, the required form and content of SIs, and the validation and submission of SIs for registration. Where appropriate this Guidance contains cross references to SIP, but drafters will want to be familiar with its contents. SIP is accessible on the legislation.gov.uk Publishing site, and via this link1 and via the LION Secondary legislation site (https://lion.governmentlegal.gov.uk/the- law/legal-topics/secondary-legislation/Statutory%20Instrument%20Practice.aspx). Note that this version of SIP is a living document and is to be reviewed and updated at least annually. The most up-to-date version is accessible online (and downloaded versions must therefore be treated with caution). 1.1.2 The LION Secondary legislation site has many useful papers e.g. on modern and gender neutral drafting guidance. This Guidance contains cross references to some of this content but, again, drafters will want to familiarise themselves with the information available on the site. 1.1.3 The LION European site has information relating to EU Exit, and an EU Exit “Whitehall lawyers' area” which contains papers and guidance relating to EU Exit secondary legislation. 1.1.4 The Office of Parliamentary Counsel website also hosts guidance material: https://www.gov.uk/government/organisations/office-of-the-parliamentary-counsel. 1.1.5 This Guidance refers to better regulation policies where relevant but more comprehensive guidance can be found in the LION Better Regulation site: https://lion.governmentlegal.gov.uk/the-law/legal-topics/better-regulation.aspx 1 For which it is necessary to enter one’s email address and password. 5 1.2 What is a statutory instrument? 1.2.1 Section 1 of the Statutory Instruments Act 1946 provides: “1.―(1) Where by this Act or any Act passed after the commencement of this Act power to make, confirm or approve orders, rules, regulations or other subordinate legislation is conferred on His Majesty in Council or on any Minister of the Crown then, if the power is expressed - (a) in the case of a power conferred on His Majesty, to be exercisable by Order in Council; (b) in the case of a power conferred on a Minister of the Crown, to be exercisable by statutory instrument, any document by which that power is exercised shall be known as a “statutory instrument” and the provisions of