Difference between revisions of "Preparation Tasks/Identify Effects"
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Specific guidance as to additions and variations to these elements that may be required in different contexts is given at the appropriate points throughout the Identify Effects guidance. | Specific guidance as to additions and variations to these elements that may be required in different contexts is given at the appropriate points throughout the Identify Effects guidance. | ||
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| + | The Record Effects page gives further detail about how we enter [[Preparation_Tasks/Record_Effects#Affected_and_Affecting_Provisions|Affected and Affecting Provision]] information in TOES. | ||
======Insertions and substitutions of provisions and sub-provisions with related headings or linking words====== | ======Insertions and substitutions of provisions and sub-provisions with related headings or linking words====== | ||
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=====Finance Acts===== | =====Finance Acts===== | ||
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| + | {|class="wikitable" style="border-left:solid 2px red;border-right:solid 2px red;border-top:solid 2px red;border-bottom:solid 2px red; background-color:#e6f2ff; | ||
| + | |- | ||
| + | |<strong>See also:</strong> [[Finance_Acts_and_financial_amendments#Mark_up_for_amendments|Finance Acts and financial amendments - Mark up for amendments]]. | ||
| + | |} | ||
For Finance Acts, and some other complex items of legislation, amendments may be in force at different dates to their amending provisions. Also, amendments may be in force on one date but “with effect” on, or “with application" to another date or period. In these cases, make two separate front-page-text-boxes for commencement. One for the Initial Edit editor, describing the coming into force of the marked up document’s provisions, and another for the Record Effects editor, describing the commencement of the amendments by the marked up document. | For Finance Acts, and some other complex items of legislation, amendments may be in force at different dates to their amending provisions. Also, amendments may be in force on one date but “with effect” on, or “with application" to another date or period. In these cases, make two separate front-page-text-boxes for commencement. One for the Initial Edit editor, describing the coming into force of the marked up document’s provisions, and another for the Record Effects editor, describing the commencement of the amendments by the marked up document. | ||
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[[File: Identify_Effects_23.png|400px]] | [[File: Identify_Effects_23.png|400px]] | ||
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| + | |- | ||
| + | |<strong>WARNING:</strong> There is currently a bug in GATE-generated PDFs which means that the wording “and semi-colon” gets incorrectly captured in the GATE-generated mark-up when a provision and preceding item of punctuation are the subject of an amendment. This text should be crossed out (and subsequently removed from TOES during the Record Effects task): | ||
| + | |} | ||
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| + | [[File: References to punctuation 1a.png|600px]] | ||
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If a pink box has been generated in error, you can just strike though the whole thing using the line tool: | If a pink box has been generated in error, you can just strike though the whole thing using the line tool: | ||
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| − | + | As explained in [[Editorial Principles|Editorial Principles]], a <strong>knock-on effect</strong> is an effect which occurs when an effect by legislation A on legislation B gives rise to a further effect on a third item of legislation, C. An <strong>amendment to earlier affecting provision effect</strong> is where an effect hits a provision which is itself an affecting provision (i.e. the affected provision itself contains a textual amendment(s) or non-textual effect(s) on another item of legislation). | |
| − | + | ||
| − | + | To determine what type of effect you are dealing with, first you will need to work out whether your amendment gives rise to an entirely new knock on effect or just changes the wording of an existing amendment. | |
| + | |||
| + | ======How to mark up a “knock on” effect====== | ||
| + | If your amendment gives rise to a <strong>new effect</strong>, it should be entered as a <strong>knock-on effect</strong>. The in force date for this knock-on effect will be the same date that your amendment comes into force. | ||
| − | + | The effect of A on B is marked up in the usual way. The markup for the 'knock-on' effect on C will generally be marked up following the usual conventions, the main difference being that the full details of the affecting provisions in both items of affecting legislation (B and A), for example '[Act C] modified by [Act B], s. 27B (as inserted by [Act A] s. 53'. (But note that the precise ways in which legislation may 'knock-on' vary considerably, and there may not always be a convenient reference to the affected provision in C to mark up. In such cases the editor will need to improvise the markup using any handy blank space available.) | |
To add the details of a knock-on effect, add a text box in the right hand margin and include the details of the knock-on effect as follows: | To add the details of a knock-on effect, add a text box in the right hand margin and include the details of the knock-on effect as follows: | ||
[[File: Identify_Effects_27.png|800px]] | [[File: Identify_Effects_27.png|800px]] | ||
| + | |||
| + | ======How to mark up an “amendment is to an earlier affecting provision” effect====== | ||
If your <strong>amendment is to an earlier affecting provision</strong> (i.e. the provision it affects itself contains a textual amendment(s) or non-textual effect(s) on another item of legislation), it should be marked up like this: | If your <strong>amendment is to an earlier affecting provision</strong> (i.e. the provision it affects itself contains a textual amendment(s) or non-textual effect(s) on another item of legislation), it should be marked up like this: | ||
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{| class="wikitable" | {| class="wikitable" | ||
|<strong>Commencement:</strong> [[Editorial_Principles#Commencement|Editorial Principles - Commencement]] | |<strong>Commencement:</strong> [[Editorial_Principles#Commencement|Editorial Principles - Commencement]] | ||
| − | |<strong>Recording</strong> [[Preparation_Tasks/Record_Effects#IF_Date_.E2.80. | + | |<strong>Recording</strong> [[Preparation_Tasks/Record_Effects#IF_Date_.E2.80.A6_Qualification_column|IF Date … Qualification]] |
|<strong>Back to</strong> [[Preparation_Tasks/Identify_Effects#tna-IdentifyEffectsmenu|Identify Effects Contents]] | |<strong>Back to</strong> [[Preparation_Tasks/Identify_Effects#tna-IdentifyEffectsmenu|Identify Effects Contents]] | ||
|} | |} | ||
Latest revision as of 12:42, 16 April 2025
| To search for a term within this page, press 'CTRL' and 'F' on your keyboard, then type your search term into the box that appears. |
OVERVIEW
The Identify Effects task captures information about the effects a new item of legislation has on other items of legislation and to prepare it to be treated as an affected document itself. This information is used:
- to set up the commencement and extent facilities in order to present the first revised version of that item of legislation on the website, including information on whether each child provision contains power to make subordinate legislation or blanket amendments (through the Initial Edit process).
- to update existing items of legislation on the website that the legislation may affect (after the effects have been recorded in the Record Effects task).
The output of the Identify Effects task is a marked up pdf of the legislation, which is used in both the Initial Edit and Record Effects tasks. The pdf needs to be clearly and consistently marked up and contain all the relevant information needed to carry out both tasks. The guidance on this page sets out what an editor needs to do to carry out the Identify Effects task, including how to navigate the task in the editorial system, how to analyse the new item of legislation and how to mark up the pdf. For further guidance on extent, commencement, types of effect, savings, powers and blanket amendments please see the Editorial Principles page.
Terminology
The term mark up (and marking up) may correctly be used to describe the activity of the editor in the Identify Effects task. The marks made on the paper (or the electronic equivalent) is markup. The document which has been so written on is marked up (and is often described as the marked up copy).
The terms markup and electronic markup are not to be confused with the markup language (such as XML and HTML) which is used in the data underlying the website.
The Role of the Editor in the Identify Effects Task
The Identify Effects task originally involved marking up the effects contained in a new item of legislation on paper, using a colour-coded system of circles, lines and other notations. This manual system has now been replaced by an electronic markup system, using pdfs of the legislation that are generated using natural language processing routines to identify the legislative effects (GATE). Here the GATE system identifies an effect, a pink box containing details of the affected provision and the type of effect gets inserted into the pdf of the affecting legislation, e.g.:
The TOES is automatically populated with these effects, and the spreadsheet is then checked and corrected as necessary by the Record Effects editor, who also adds in any missed effects as marked up by the Identify Effects editor. The Identify Effects task involves on screen editing of the pdf version of the item of legislation that has been generated by the GATE system, to check that the system has correctly identified all the effects and to correct and add details of any missing effects using electronic mark up.
The role of the Identify Effects Editor is to:
- Analyse an item of legislation with regard to geographic extent, commencement, conferral of powers, savings, blanket amendments.
- Identify the effect of an item of legislation on other items of legislation—does Legislation X change the text, or otherwise affect the meaning, scope, or application, of Legislation Y, or bring it into force?
- Mark the geographic extent, commencement, conferral of powers, savings and blanket amendments and the effects up on a pdf of the item of legislation, following the conventions laid out in the editorial guidance.
- Upload the marked up pdf into the editorial system, where it goes on to be used to record the effects in TOES during the Record Effects task (when it also gets reviewed at the same time as the recorded effects are reviewed) and it is subsequently also used during the Initial Edit task.
You can view the marked up pdf for a document that has been marked up with electronic markup using the following link (replacing [type], [year], and [number] with the details for the item of legislation you are interested in:
https://editorial.legislation.gov.uk/[type]/[year]/[number]/scanned/[type]mkd_[year][number]_en.pdf
e.g. https://editorial.legislation.gov.uk/uksi/2020/463/scanned/uksimkd_20200463_en.pdf
Terms defined in Interpretation Act 1978 (c. 30), Sch. 1
Sch. 1 of the Interpretation Act 1978 (c. 30) contains a list of definitions that can be useful to refer to if you come across a term that doesn't appear to be defined in the item of legislation that uses that term.
For example, 1978 c. 30, Sch. 1 defines certain items of legislation such as The Sentencing Code (which is often just referred to as "The Sentencing Code" in affecting provisions):
““The Sentencing Code” means the code contained in the Sentencing Act 2020 (see section 1 of that Act).”
https://www.legislation.gov.uk/ukpga/2020/17/section/1
S. 1(2): “Parts 2 to 13 of this Act together make up a code called the “Sentencing Code”.”
APPROACH TO THE IDENTIFY EFFECTS TASK
| See also: Editorial Principles | Record Effects | Back to Contents |
Identifying and Marking up Effects
What are affecting and affected legislation and provisions?
An item of legislation will make numerous references to other items of legislation, but we are only interested in legislation which affects other items of legislation. We therefore must first of all identify affecting legislation, and affected legislation; the legislation which contains the effects (such as amendments), and the legislation which is affected by it.
The affecting legislation is the item of legislation that you are editing. So for any given Identify Effects task, the affecting legislation will always be the same. However, the affected legislation may vary throughout the document.
The Record Effects page gives details of the format we enter Affected and Affecting Legislation information in TOES.
How are affected provisions identified?
References to provisions of affected legislation are referred to as the affected provisions. We broadly categorise affected provisions in terms of whole provisions and sub-provisions (there are also amendments which can be made below sub-provision level, for example to a sub-provision and a word or words in the previous sub-provision, guidance for which can be found below). The table below shows the main examples of what constitutes a whole provision or a sub-provision for our purposes. It also lists some things that we do not treat as provisions at all.
| Whole Provisions | Sub-provisions | Not provisions for our purposes |
|---|---|---|
| Sections in an Act Paragraphs in a Schedule Rules and Regulations in an SI, SSI, or (NI)SR Articles in an Order 'Higher-level' elements (e.g. Parts or Chapters of an Act, or even a whole Act) |
Subsections in an Act Sub-paragraphs in a Schedule Tables Forms Numbered or lettered entries in a table |
Non-numbered entries in a table Columns in a table Paragraphs within definitions Individual words (although see exceptions below) |
Specific guidance as to additions and variations to these elements that may be required in different contexts is given at the appropriate points throughout the Identify Effects guidance.
The Record Effects page gives further detail about how we enter Affected and Affecting Provision information in TOES.
If the amendment relates to the insertion or substitution of, say, a provision and a related heading, or of a sub-provision together with a preceding or following linking word (usually “and” or “or”), this can be brought to the attention of the ToEs and Update editors by adding to the markup “and heading”, “and cross-heading”, or “and word”, etc. This is one of the rare occasions (see also Marking up blanket amendments) in which words, as opposed to numbered references alone, may be included in the markup to denote an affected provision.
When to refer to affecting provisions in markup
The affecting provision is not mentioned in the pink boxes generated by GATE, because the box is located directly below the affecting provision or sub-provision itself and the affecting provision details are automatically populated in TOES from these GATE-identified effects, so the affecting provision will be obvious to the Record Effects editor.
However, if you need to add in a missed effect, the affecting provision details should be included as this information will need to be added when the effect is recorded in TOES.
Also, it will sometimes be necessary to mention other provisions or sub-provisions in the affecting legislation, other than where the markup occurs, in order to set out the full authority for the effect. For example, s. 1 of the affecting Act applies an earlier Act subject to modifications set out in s. 2 of the affecting Act. In such a case, all of the affecting provisions should be set out in the markup, including the provision where the markup occurs. In this case, 'ss. 1, 2' need to be included in the markup and the pdf should be amended accordingly.
Similarly, it will often be necessary to cite the whole provision as affecting where the reference to the affected legislation occurs within a sub-provision. If the markup occurs against a sub-provision, the Record Effects editor will assume that only that sub-provision is affecting unless instructed otherwise. So if, for example, in s. 1 of the effecting Act which contains sub-sections (1) to (4), s. 1(1) applies an earlier Act but there are also modifications in s. 1(2)-(4), ' s. 1' should be included in the markup as the affecting provision (so that the Record Effects editor does not record only s. 1(1) as affecting).
See also Marking up knock-on effects and amendments to earlier affecting provisions.
What are effects?
To find out more about what effects are and the main types of effect we capture, see the Editorial Principles sections:
Textual Amendments (with details of particular relevance to the Identify Effects task in the subsections Awkwardly framed textual amendments, Internal Effects, Repeals, Repeals schedules and cross-referencing, Hidden repeals, Repeals and revocations in Northern Ireland legislation).
Non-textual Effects, including Examples of non-textual effects, that may be useful to consider when carrying out the Identify Effects task.
See also What we don't treat as effects.
Note: when marking up non-textual effects, it is important to keep the marking at the highest level necessary to include all elements of the effect. For example, if the Update Review Act provides that s.1 of the Update Act shall apply with certain modifications, and those modifications are to sub-sections (2), (4) and (6), only the reference to section 1 (NOT the sub-sections) would be included in the markup (applied (with modifications)).
See also Recording Effects - General principle.
When to include further detail about the type of effect
We may need to include more information about the type of effect, including details of the provisions involved, if the effect involves unequal substitution, renumbering or needs further qualification, as described below.
Unequal substitutions
See also: Recording unequal substitutions.
When provisions or sub-provisions are substituted, the most common scenario will be that the same number of new (sub-)provisions will be put in as were there before. We call this a 'like for like' substitution (e.g. old sections 22 and 23 are replaced by new sections 22 and 23). However, sometimes a fewer or greater number of provisions are being put in than were there before (e.g. old sections 22 and 23 are replaced by new sections 22, 22A and 23). We call this scenario an 'unequal substitution'. When marking up an unequal substitution, the markup should make clear which provisions or sub-provisions are being substituted for which, so in this case it would read "Ss. 22, 22A, 23 substituted for ss. 22, 23".
Renumbering
See also: Recording renumbering.
Instructions to renumber a provision are often worded as, e.g. “Section 1 becomes section 1(1)”, which gets recorded as a “renumbered” effect, i.e. “s.1 renumbered as s.1(1)”.
See more on marking up renumbering of provision below.
Qualifications of the type of effect
See also: Recording qualifications of the type of effect.
There may be situations when you are identifying and marking up effects, where the effect needs further qualification, for example conditional “cond.” and temporary “temp.” effects, “(except for [specified provisions])” or “in part”/“for specified purposes”.
Where the affected provision has been drafted in the legislation as a whole item of legislation, or a Part or even a range of provisions, but excluding certain provisions, see Record Effects - Affected Provisions.
Bespoke types of effect
There may be instances where the mark up editor has had to construct an unusual type of effect in order to reflect truly the result of the drafter’s wording. Speak to a Review Editor for advice in this situation.
See also Record Effects - Bespoke types of effect.
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Viewing previously marked up documents to assist with the Identify Effects task
Where items of legislation follow similar patterns in their format and content, editors may find it useful, when identifying effects on these items of legislation, to refer to an earlier item of legislation to see how amendments have been categorised and marked up, to ensure that their markup is consistent with precedent. Editors can use the 'Changes to Legislation' function on legislation.gov.uk (http://www.legislation.gov.uk/changes) to search for an old item of legislation and amendments made by it to other items of legislation. Again, where provisions are phrased in similar ways, you may be confident in using the same approach to marking up as was ascribed in the older SI to the one you are currently working on.
We have the scanned affecting legislation (2003-2011) available on the website, to access these you can use these URLs (replacing the year and number with your document details):
Statutory Instrument - http://www.legislation.gov.uk/uksi/2011/1984/pdfs/uksimkd_20111984_en.pdf
Statutory Rule - http://www.legislation.gov.uk/nisr/2011/7/pdfs/nisrmkd_20110007_en.pdf
Northern Ireland Act - http://www.legislation.gov.uk/nia/2011/1/pdfs/niamkd_20110001_en.pdf
UK Local Act - http://www.legislation.gov.uk/ukla/2009/1/pdfs/uklamkd_20090001_en.pdf
Welsh Measure - http://www.legislation.gov.uk/mwa/2008/2/pdfs/mwamkd_20080002_mi.pdf
You can access the electronically marked up pdf for a document on the Editorial System via the Preparation Tasks tab:
Model SIs
Some SIs are a little unconventional, but tend to follow the same pattern of amendments in each incarnation of that type of SI. The most common of these types of SI fall into the following categories:
- Double Taxation Relief and International Tax Enforcement Orders (see also section on marking up Double Taxation Relief and International Tax Enforcement Orders in the Marking up Special Types of SI section below).
- DWP Uprating Orders
- Some SIs relating to Railways and Transport
In these cases, we have “model SIs” (including marked up “model clauses” and “model provisions” Orders that were intended as guides for Drafters, and other documents that we have marked up to use as model documents). These should be consulted to assist with the Identify Effects task for these items of legislation. Cross-referencing previous versions of these SIs while carrying out Identify Effects tasks helps to ensure consistency of update across these types of SI.
Editors may consult the model SIs either by retrieving the hard copy of the originally marked up document from the filing boxes housed at Legislation Services in Kew, or by using the 'Changes to Legislation' search function on http://www.legislation.gov.uk/. If the legislation type, year and number are known, editors can use this link to access the marked up pdf of a previous SI: https://editorial.legislation.gov.uk/[type]/[year]/[number]/scanned/[type]mkd_[year][number]_en.pdf
Transport & Works Orders
The marked up Transport and Works (Model Clauses for Railways and Tramways) Order 2006 is available here: https://www.legislation.gov.uk/uksi/2006/1954/pdfs/uksimkd_20061954_en.pdf
See also two further examples of marked up Transport and Works Orders to do with railways:
https://www.legislation.gov.uk/uksi/2022/1067/contents/made
See how the effects were recorded in TOES:
https://www.legislation.gov.uk/uksi/2022/1406/contents/made
See how the effects were recorded in TOES:
Note, in particular the “incorporated” and “incorporated in part” effects that were recorded, see also the examples on the Editorial Principles page.
Infrastructure Planning Orders
Development consent orders for nationally significant infrastructure projects are made under 2008 c. 29, s. 37. These orders tend to follow a consistent format with similarly-worded non-textual effects and savings. There was originally a “model provisions” order (made under s. 38 of the 2008 Act), which provided a template for them in Schs. 1 (general), 2 (railways) and 3 (harbours): https://www.legislation.gov.uk/uksi/2009/2265/contents/made, but that model provisions order fell when s. 38 was repealed (1.4.2012) by Localism Act 2011 (c. 20), s. 240(2), Sch. 13 para. 6, Sch. 25 Pt. 20; S.I. 2012/628, art. 7. That may account for these orders becoming less standard over time, but drafters may still use the model provisions templates and earlier orders as examples to be followed for new orders, so it is still worth referring to how the older orders were marked up.
The more recently marked up pdf of S.I. 2023/923 can also be referred to as a model document when marking up a new Development Consent Order. You can see how the effects were recorded in TOES by following this link: https://editorial.legislation.gov.uk/changes/affecting/uksi/2023/923/data.xls?extended=full-with-co&sort=affecting-year-number
Referring to the model markup will help you identify the various non-textual effects and savings more easily and ensure that these effects are identified and recorded in a consistent way. It can also be helpful to refer to the affected provision to see how similar effects in other development consent orders have been applied.
For further information on marking these documents up, see the notes below on identifying the effects, carrying out searches for various terms to avoid missed effects and savings, entering effects against a range of provisions, bundling effects and an example where the inducing provision is not cited because it is not integral to the effect.
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Notes on identifying Development Consent Order effects:
“traffic order” is defined in Sch. 7 (see paras. 6, 8), and this provision is changing its scope to include something new under that definition and therefore under the scope of Sch. 7 itself.
This comes down to the definition of “specific planning permission” in the affected provision. All the types of planning permission mentioned in that definition are types granted under the 1990 Act, so the inclusion of development consent granted by an order made under 2008 c. 29, s. 37 modifies the scope of what counts as relevant land hit by that section.
The wording used in S.I. 2022/1248 differs slightly “to be determined, in case of dispute, as if it were a dispute under” e.g. Pt. 1, but still has the effect of using the procedures in the earlier provision to determine disputes under the new provision, so recording as “applied” is still justified. If Pt. 1 is amended, this will have an impact on how the determination will need to be carried out for the purposes of the new provision, so the drafters need to know what has applied Pt. 1 before they change it in order to assess the potential impact of their changes.
This sub-provision is sometimes included at the bottom of the provision headed "Disapplication of legislative provisions", and this effect should be marked up as "excluded":
Missed non-textual effects and savings: it is easy to miss effects (such as “restricted”) and also savings, particularly in the “Protective Provisions” in a Schedule. It’s worth searching for “must not exercise” to catch these. It’s also worth searching for general savings by searching for “despite”, “notwithstanding”, “nothing in this order”, “crown”, “regardless of any provision in this Order”, etc. to try to catch these more consistently. Recording savings at Schedule level where there are too many different savings provisions within a Schedule to list them all out Note that, if there are is a large number of savings provisions within a Schedule, it is acceptable to put the saving at Schedule level rather than listing out each individual provision. See, for example SI 2024/174, Sch. 12, where savings within the Schedule were recorded against Sch. 12 rather than all being listed separately: https://www.legislation.gov.uk/uksi/2024/174/schedule/12/made Entering effects against a range of provisions:1991 c. 22, ss. 54-106 applied by art. 11(3) (with art. 12). Art. 11(3) says:
The effect is entered against ss. 54-106 as a range and the exclusion by art. 12 of certain provisions is captured as a saving rather than trying to unpick which provisions are applied and which ones are excluded.
Tip: mark the effects up separately on the pdf and when it comes to the Record Effects task, also record them separately in the spreadsheet as you work your way through the marked up pdf. Once you have finished recording all the effects, filter the spreadsheet and amalgamate the affecting and savings provisions on one line.
See, for example, the excluded effects in SI 2022/1248, art. 12(3) to 1991 c. 22, ss. 73A, 73B, 73C and 78A, the insertion of which is still prosp. A note was included in the pdf markup to set the commencement of these effects to prosp and include a note in “Comments for Editor”: |
Combined Authority Orders
Combined Authority Orders often contain various non-textual effects relating to functions such as “transfer of functions” and “functions being made exercisable concurrently”.
Effect marked up as “functions made exercisable concurrently”:
https://www.legislation.gov.uk/uksi/2021/112/article/7
7.—(1) Subject to paragraph (2), the functions of the Secretary of State set out in the following provisions of the Apprenticeships, Skills, Children and Learning Act 2009 are exercisable by the Combined Authority in relation to the Area—
(a) section 90 (encouragement of education and training for persons aged 19 or over and others subject to adult detention); and
(b) section 100(1) (provision of financial resources).
(2) The functions mentioned in paragraph (1) do not include—
(a) any function relating to apprenticeship training; or
(b) any function relating to persons subject to adult detention.
(3) The functions mentioned in paragraph (1) are exercisable concurrently with the Secretary of State in relation to the Area.
See how it gets applied in update:
https://www.legislation.gov.uk/ukpga/2009/22/section/90
Effect marked up as “transfer of functions”:
https://www.legislation.gov.uk/uksi/2020/806/article/6/made#article-6
6.—(1) Subject to paragraph (2), the functions of the Secretary of State set out in the following provisions of the Apprenticeships, Skills, Children and Learning Act 2009(1) are exercisable by the Combined Authority in relation to the Area—
(a) section 86 (education and training for persons aged 19 or over and others subject to adult detention)(2);
(b) section 87 (learning aims for persons aged 19 or over: provision of facilities)(3); and
(c) section 88 (learning aims for persons aged 19 or over: payment of tuition fees)(4).
(2) The functions mentioned in paragraph (1) do not include —
(a) any functions relating to apprenticeship training;
(b) any functions relating to persons subject to adult detention; or
(c) any power to make regulations or orders.
(3) The functions mentioned in paragraph (1) are exercisable by the Combined Authority instead of by the Secretary of State.
See how it gets applied in update:
https://www.legislation.gov.uk/ukpga/2009/22/section/86
Effect marked up as: “applied in part (with modifications)”
Where there are “applied” or “applied (with modifications)” effects to various sub-provisions of a provision, these should be recorded as “in part”. See for example:
https://www.legislation.gov.uk/uksi/2024/232/regulation/6
(5) Section 9(1), (8), (9) and (11) of the 1989 Act (assistants for political groups)(1), apply in relation to an appointment under paragraph (1) as if—
(a) any appointment to that post were the appointment of a person in pursuance of that section; and
(b) the Combined County Authority were a relevant authority for the purposes of that section.
(6) Subsection (3) of section 9 of the 1989 Act applies in relation to an appointment under paragraph (1) as if the words from “and that the appointment terminates” to the end of that subsection were omitted.
See how it gets applied in update:
https://www.legislation.gov.uk/ukpga/1989/42/section/9
Marking up special types of SIs
Armed Services Pension Orders
Deemed to be Orders in Council and not SIs - we don't mark up amendments to these.
See footnote to SI 2014/3061, Sch. 1 para. 16.
Commencement Orders
See: Record Effects - Commencement Orders.
Double Taxation Relief and International Tax Enforcement Orders
These SIs frequently, though not always, neglect to mention a specific coming into force date. In these cases, editors are instructed to default to the SI's made date as the coming into force date for the purposes of TOES. However, in many of these particular type of SI there is, implicitly, a provision alluding to a coming into force date. These usually make reference to the Protocol or Convention which is being set out in the SI coming into force after “the exchange of letters”. The relevance of this for the Identify Effects editor is that additional front page information must be included; commencement information should be rendered thus: “Commencement: [made date] in accordance with [provision re: exchange of letters]”.
Our approach to these orders is to treat them as non-affecting for the reason that the SIs are merely declaratory. The actual ‘arrangements’ between the UK and the other countries or territories, and any modifications to those arrangements, are embodied in the international agreements. If you look at 2010 c. 8, s. 2 (under which these Orders are made, you will see that the form of words is “If HM by OIC declares that [arrangements have been made and are expedient], those arrangements have effect.” So it is the arrangements that have effect, not the SI. All the SI does is to promulgate that agreement and reproduce it in the Appendix for information.
Any apparent modifications to UK legislation contained in texts of international agreements (or agreements with UK territories) such as those contained within Schedules of Double Taxation Relief Orders should therefore not be treated as effects, see for example:
https://www.legislation.gov.uk/uksi/2021/634/made
What appear to be amendments in the Schedules of these double taxation relief orders are just descriptions of the changes made by agreement to the international arrangements between us and the other country, and should therefore be treated as non-affecting.
If you are not sure, consult a Review Editor.
Temporary Road Traffic Orders
These make up a lot of our Identify Effects workload, although they are short and very simple and are mostly non-affecting (if there are bona fide amendments to be marked up, these are almost exclusively revocations of earlier SIs). NOTE: The temporary suspension of legislation in Temporary Road Traffic Orders is commonplace and is not an effect for our purposes. Such suspensions may safely be ignored by the editor.
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Order Confirmation Acts
See Provisions in Order Confirmation Acts on the Record Effects page.
STARTING THE IDENTIFY EFFECTS TASK
Once an Identify Effects task has been allocated to you, select the document from your dashboard by clicking on “Select”:
You will be directed to this page:
Click “Start task”.
You will be directed to this screen:
Download the GATE-generated pdf by clicking on “Download file” next to “Automatically Marked-up Legislation”. It will open up in your browser, but you need to open it up in Adobe Acrobat by selecting the file in the “Downloads” folder and opening with Adobe Acrobat:
Using Adobe Acrobat
Once you have opened your document in Adobe Acrobat, click on “Comment” to display the toolbar that will enable you to start marking up the pdf:
The tools you need to use to mark up the document will now be displayed across the top of the screen. Click on the small arrow by the “No Comments Yet” window to hide it and give you more room to mark up the document (you don’t need to see the contents of this window while you are marking up).
To save your document, click "File" and "Save as" to save the document with a suitable filename.
“Add text comment” tool
Using the “Add text comment” tool, you can directly add text to the pdf (for example to put in your initials and the date on the front page). Text should be black.
“Add text box” tool
The “Add text box” tool lets you add text boxes to the pdf, these are red boxes which you can add text to, for example to display information about extent and commencement on the front page or to correct the GATE-generated effects, add in new effects and other information.
With the “Add text box” icon selected, place the cursor where you want the text box to be inserted and click. This will insert text box which you can resize later, or to resize straight away, you can click and hold, the text box will appear and if you can drag it to the size you need and then release.
The borders of the text box should be red when you are marking up a pdf. If you need to amend any of the properties of the text box you can select the text box by clicking on it and then right click to see this menu where you can select “Properties”:
Once you have inserted a text box, you can then enter the appropriate text (the text should be black). If you need to adjust the font size or any other properties of the text, you can use the menu items that automatically appear when you insert the text box:
Line tool
Use the line tool to insert a line by selecting the line tool in the menu and then clicking and dragging where you want the line to go in the pdf. When you are marking up, the colour of the line should be red, if you click on the line when you have inserted it, you will see the properties of the line in the menu bar and you can amend them if necessary:
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CARRYING OUT THE IDENTIFY EFFECTS TASK
The guidance for carrying this task has been split into five steps, as set out below:
Step 1 – Mark up the front page
Step 3 – Return to the front page to complete the front page mark up and add the affecting status
Step 4 – Submit the marked up pdf for review
Step 5 – Review of marked up pdf
STEP 1 – Mark up the front page
Overview
Front cover mark up must be carried out for all Acts and for SIs where the extent/commencement is complex or not explicit in the text.
Front cover mark up (i.e. commencement and extent details) is not needed for SIs where commencement and extent is simple and set out in text.
The front page of the pdf is marked with information relating to the item of legislation as a whole.
The categories of information marked on the front page are:
- commencement
- extent and territorial application (TA)
- savings
- anything else that might need to be drawn to the attention of the Initial Edit or Record Effects Editors
Note that we also used to include information used for logging and tracking the Identify Effects task, including the mark up editor's initials and the date marked up in the top right hand corner, as well as the affecting status, but as these details are all logged against the document in the Editorial System, they no longer need to be included in the mark up. However, you still make sure you know the affecting status of the document when you have finished marking it up, as you will need to enter this into the Editorial System at the end of the Identify Effects task.
Although the front page markings logically come first, and most of the information required can be found in provisions of the legislation dealing specifically with commencement and extent, a close reading of the text may often throw up additional relevant information not covered in those provisions, as well as savings. For this reason it is good practice to return to the front page and finish completing the front page markings at the end of the task, keeping careful note of any relevant information discovered whilst you work through the document.
The commencement and extent/TA information to be marked must relate to the item of legislation as a whole, and must cover all provisions of the legislation, whether or not they are affecting. This is because the information is needed for the Initial Edit process in which the start dates and extents for each provision are set for display and searching purposes on the website.
| It is essential that the information is set out in a systematic way in order to assist the editor carrying out the Initial Edit task. |
The information for commencement and extent respectively is recorded in the form of a list detailing the position for every provision in strict sequence, listed by provision number (ignoring Parts or Chapters etc., unless the provision numbers are specified as well). Ranges of provisions may be grouped together provided the information relating to them is the same without interruption. Taking 'short cuts' should be avoided (although this might make life easier for the markup editor, it makes it more difficult for the editor carrying out Initial Edit). The information may also need to be referred to subsequently for other tasks and it should be possible to quickly 'look up' the position for any particular provision simply by glancing down the list. In rare cases, where the information is particularly complex, a different approach may be justified. Before using any different approach, you should consult a senior member of the editorial team.
It is worth emphasising that we are concerned here with the position only at the time when the new legislation is enacted (primary) or made (secondary), and as provided for by that legislation or by general rules. Subsequent 'commencement events' may occur at later points in the life of the legislation, for example parts of the legislation may not be in force at all to begin with, but they are later brought into force by commencement orders. There may also be events that alter the extent or TA. We are not concerned at the marking up stage with those subsequent events.
Note that the commencement information captured by Initial Edit is used for constructing I-notes that detail the commencement of each provision.
Do not mark up in a way that can only be read by using Adobe Acrobat Reader, or other application, on screen. If the marked up document were to be printed out, it should also be possible to read all the markup. Whenever marking up, editors should do so in such a way that any other editor can understand the markup, by following the conventions described below.
Editors should also be careful not to overcrowd pages with lengthy markup, however if a page of affecting legislation contains numerous, or highly convoluted amendments that require additional markup to be added to the page, the editor may use any blank space in the header, footer and margins, or if necessary where there is blank space on the next page (provided always that there is a clear indication on the page containing the effects). The existing text of document should not be covered by markup.
Example of a front page with markings
Note that as of February 2024, we no longer need to include the editors' initials, dates completed and the affecting status.
How to mark up the front page
Extent details
Next, insert a text box (using the “Add text box” tool) below your initials and the date on the top right of the page. Enter the affecting document’s extent details, including the provision that contains the extent authority (if there is one) in this text box. If there is no extent authority, you will need to research the extent of the document and enter that value (without referencing the extent authority). If the extent varies for different provisions within the affecting document, include a breakdown of this. Also include any details of the extent of the amendments themselves, if this is specified. For example:
Note that if the document doesn’t specify the extent of the amendments, then the extent information used during the Initial Edit task would also be used when recording the effects.
See the authority for the extent in this example here:
https://www.legislation.gov.uk/ukpga/2021/11/section/49
For more straightforward situations, where there is just one extent specified for the whole document and the extent of the amendments is not specified, the extent information can be summarised as, for example:
See the authority for the extent in this example here: https://www.legislation.gov.uk/wsi/2022/948/regulation/1/made
Note that it is not usually necessary to record any extent/ TA information anywhere other than on the front page. TA is rarely specified in primary legislation, though it is very frequently explicitly stated in secondary legislation. The TA and extent of Welsh, Scottish and Northern Ireland secondary legislation is obvious given the legislative competence of the devolved administrations, but for UK SIs reference should be made to the Explanatory Memorandum which should make explicit what is implicit on the face of the document.
For guidance as to the meaning of extent and territorial application, and how to find that information, see Editorial Principles - Extent and Territorial Application.
Commencement details
Add another text box to include the affecting document’s commencement details, including the provision that contains the commencement authority. If the commencement is on the Royal Assent or made date, then "Royal Assent" or "made date" should be written with the date in brackets. This text box can usually be placed below the extent information box when the commencement details are straightforward, see example below.
For more complex commencement details such (as often contained in primary legislation), it is particularly important to break down the commencement information for each provision, as this is used during the initial edit task. The commencement details are entered in a box on the left hand side of the front page, as shown in the example below:
In this example, the commencement details tell the reader of the marked up pdf the commencement date of each provision within that document (or prosp is entered if the commencement is still prospective), whether the commencement is wholly in force or for specified purposes, and the provision that contains the commencement authority for each provision. It is important that the commencement details are broken down in this way for each provision within the document, as this information is used by editors during initial edit and record effects tasks.
Note that although commencement information must be recorded for the whole item of legislation, the Identify Effects editor is also interested in commencement so far as it relates to effects of the legislation. The general information for the legislation as a whole is marked up on the front page for convenience, but it will often be necessary to note information relating to the commencement of particular effects as part of the markup for those affecting provisions. Although the commencement of individual effects will usually just follow the commencement of the legislation generally, that may not always be the case. There may also be more detailed provisions about how and when particular effects within a provision are to commence, as distinct from the commencement of the provision as a whole, and these need to be noted as well. (Whether these are to be marked on the front page or against the provision itself will often be a matter of judgment in the particular case.) The close reading required by the markup task may also throw up information relating to commencement of the legislation generally which would not otherwise be obvious. Also see the section on Marking up time-based qualifiers, below.
For guidance as to how and when an item of legislation come into force, and where to find that information, see Editorial Principles - Commencement.
Finance Acts
| See also: Finance Acts and financial amendments - Mark up for amendments. |
For Finance Acts, and some other complex items of legislation, amendments may be in force at different dates to their amending provisions. Also, amendments may be in force on one date but “with effect” on, or “with application" to another date or period. In these cases, make two separate front-page-text-boxes for commencement. One for the Initial Edit editor, describing the coming into force of the marked up document’s provisions, and another for the Record Effects editor, describing the commencement of the amendments by the marked up document.
If you are marking up a Finance Act, you should also include this text box on the front page (you can copy the text from here):
Commencement In force position is indicated at Part or Sch. headings (and, in some cases, the user is redirected to provision level). The in force position for Initial Edit (IE) is indicated in the left hand margin and for TOES purposes in the right hand margin. But editors please note amendments may be in force at different dates to the amending provision. Also, they may be in force at RA (or fixed future date, or prosp. or retrosp.) but “with effect” or “with application” in relation to some other date, period, etc. These cases are indicated in the mark up by “w/e” or “w/a” respectively with a reference to the relevant provision or sub-provision, e.g. “(w/e - (3))” means “with effect in accordance with subsection (3) [of the amending provision]”, or “(w/a - s. 120(4))” means “with application in accordance with s. 120(4)”. |
Note: if you run out of space for your markup on the front page, use any available blank space on the next page, or failing that, at the end of the document (with a note explaining what you have done).
| Back to List of Steps 1-5 |
STEP 2 – Check the effects captured by GATE, identify and add in missed effects (including knock on and amendment to earlier affecting provision effects), savings, powers and blanket amendments
Arrange your window so that you can see the pdf you are marking up in the top half of the screen and the amended legislation in the bottom of the screen (the amended legislation will be highlighted in yellow in the pdf, if you hover the cursor over the yellow highlighted text, you will see the link to the legislation pop up. You can click on the yellow highlighted text to follow the link to the website, and this will open up in a separate window (which you can resize to be on view at the bottom of the screen under the pdf)). You need to refer to the amended provision to check for any errors in the amendment (if you find that there are any difficulties with the amendment that might impact on how the amendment gets carried out, you will need to report a lex error). You should also be on the lookout for any knock on effects or amendments to earlier affecting provisions that will also need to be marked up.
Starting from the front page, carefully check though the entire document. Make sure that all the effects have been captured, and that they are accurate. In addition, you are looking for knock on effects, savings, powers and anything else that needs to be recorded when the effects are captured in TOES and when the document undergoes initial edit. In particular:
- Check the top line of text within each pink box to make sure that the amended legislation is correct, the amended provision is correct and the type of effect is correct. The first line of text in the pink box is the information that gets automatically transferred into TOES, so it is important to check and if necessary correct it. You do not need to make any corrections to the other rows of text in the pink boxes (i.e. Affected Legislation, Affected Provision and Type of Effect). For more information on types of effect and what to look out for when identifying effects, see Editorial Principles – Effects and the section above on Identifying and marking up effects.
- Carefully read through the document to identify any missed effects (in particular non-textual effects, also knock-on effects and amendment to earlier affecting provision effects), also identify any savings, powers and blanket amendments.
- Non-textual effects are not captured by GATE, so you will need to read through the document to identify these. See some examples of non-textual effects and how they get marked up here.
- Knock on effects and amendments to earlier affecting provisions are not captured by GATE, so you will need to look out for any knock-on effects and amendments to earlier affecting provisions and mark these up. For information about how to identify these effects and mark them up, see below.
- Look out for and mark up any savings. Savings and transitional provisions for effects should be marked up at the level of individual provisions. If there are multiple savings or a saving or savings applying to multiple provisions, this information should be included on the front page. For information about savings, see Editorial Principles - Savings.
- Look out for and mark up powers, if present in the amending document. For information about powers, see Editorial Principles – Powers.
- Look out for and mark up any blanket amendments, if present in the amending document. For information about blanket amendments, see Editorial Principles – Blanket Amendments.
- If you need to draw anything to the attention of editors performing record effects or initial edit tasks for the document you are working on, add a note.
Correcting text within GATE–generated pink boxes
If you need to correct the text within the pink text boxes, you can insert a small text box to replace a portion of the text, if it is only a portion of the text that needs amending, or you can replace the entire pink text box with a new text box if that is clearer. You can also use bold text to highlight any changes to the GATE-captured details to make it easier to spot them when it comes to recording the effects in TOES (the TOES spreadsheet downloaded at the start of the Record Effects task will have been auto-populated with the GATE-captured details from the pdf, and any errors in the GATE-captured details will therefore need to be amended in the spreadsheet so it is helpful if changes are highlighted on the pdf).
Note that you can select and copy text in the pink box and paste it into your new text box so that you don’t need to re-type all the information, you can paste any relevant text into your next text box and then correct it as necessary.
In this example, the entire original GATE-generated pink box was replaced:
If you replace the pink text box, the new text box should give the details of the amended legislation, the amended provision and the type of effect as per the top line of the pink box, you do not need to reproduce or correct the other rows of text in the pink box, as these are not taken into TOES.
In this example, only the affected legislation in the pink box text was replaced:
Note that the rows below the top line do not need to be amended and can be ignored.
If you need to insert some additional text, you can place a text box above the first line of text with a line marking where the text needs to be included:
You can also strike through any incorrect text that does not need replacing in a pink text box using the line tool as follows:
| WARNING: There is currently a bug in GATE-generated PDFs which means that the wording “and semi-colon” gets incorrectly captured in the GATE-generated mark-up when a provision and preceding item of punctuation are the subject of an amendment. This text should be crossed out (and subsequently removed from TOES during the Record Effects task): |
If a pink box has been generated in error, you can just strike though the whole thing using the line tool:
Note: if the same mistake has been repeated in multiple, consecutive GATE pink boxes, it is acceptable to correct it in the first instance and then put a line through the subsequent occurrences of that mistake.
Marking up effects that have been missed by GATE
If an effect is missed, highlight in pink all elements of the affected provision(s)*, the word describing the effect and put a ‘T’ (for single amendment) or ‘Tx’ (for multiple amendments) beside the effect (in a box if you find this useful).
*The wording of the affecting provision may not list all of the relevant affected provision elements, but generally this can be surmised from the context of the surrounding effects, e.g.
Where the number of affected provisions would make highlighting impractical and unhelpful (e.g. table of revocations, long lists of provisions where sums are substituted), just highlight in pink the pertinent words (e.g. table heading) or add a box saying, e.g., ‘sums substituted’ – the affected provisions are self evident.
NB – we still need to carefully check through what’s hit and highlight, e.g., if only part of an Instrument is hit by the revocation.
Marking up legislation details that have been missed
If the GATE generated boxes are missing the affecting legislation details for multiple effects with the same affecting legislation, the affecting legislation details can be entered at the top of the page as follows (rather correcting each individual pink box where the affecting legislation details are missing):
Marking up renumbering of provisions or sub-provisions
These effects are often missed by GATE, so you should look out for them when you are carrying out the Identify Effects task and highlight any relevant text whilst you are marking up the pdf to make sure that the effect will be recorded in TOES.
For example, where the instructions are to renumber a provision, e.g. “Section 1 becomes section 1(1)”, highlight this text in pink and remember when it comes to recording the effect, the effect will be “s.1 renumbered as s.1(1)”.
Marking up knock-on effects and amendments to earlier affecting provisions
| What is a knock-on effect? Editorial Principles - Knock-on effects | What is an amendment to earlier affecting provision effect? Editorial Principles - Amendments to earlier affecting provisions | Recording Knock-on effects and Amendments to earlier affecting provisions | Back to Identify Effects Contents |
As explained in Editorial Principles, a knock-on effect is an effect which occurs when an effect by legislation A on legislation B gives rise to a further effect on a third item of legislation, C. An amendment to earlier affecting provision effect is where an effect hits a provision which is itself an affecting provision (i.e. the affected provision itself contains a textual amendment(s) or non-textual effect(s) on another item of legislation).
To determine what type of effect you are dealing with, first you will need to work out whether your amendment gives rise to an entirely new knock on effect or just changes the wording of an existing amendment.
How to mark up a “knock on” effect
If your amendment gives rise to a new effect, it should be entered as a knock-on effect. The in force date for this knock-on effect will be the same date that your amendment comes into force.
The effect of A on B is marked up in the usual way. The markup for the 'knock-on' effect on C will generally be marked up following the usual conventions, the main difference being that the full details of the affecting provisions in both items of affecting legislation (B and A), for example '[Act C] modified by [Act B], s. 27B (as inserted by [Act A] s. 53'. (But note that the precise ways in which legislation may 'knock-on' vary considerably, and there may not always be a convenient reference to the affected provision in C to mark up. In such cases the editor will need to improvise the markup using any handy blank space available.)
To add the details of a knock-on effect, add a text box in the right hand margin and include the details of the knock-on effect as follows:
How to mark up an “amendment is to an earlier affecting provision” effect
If your amendment is to an earlier affecting provision (i.e. the provision it affects itself contains a textual amendment(s) or non-textual effect(s) on another item of legislation), it should be marked up like this:
You will need to look at the affected provision specified in the affecting provision of the document you are working on (in the above example, the affected provision is 2019 c. 1, s. 32, which contains a non-textual effect on 2001 c. 2, s. 51A):
https://www.legislation.gov.uk/ukpga/2019/1/section/32/2019-02-12
This is the affecting provision for the original amendment(s), and from this you will be able you to identify the affected provision for the original effect that the new “amendment to earlier” type of effect will need to be recorded against.
To help you to identify the original amendments that are being affected, you can download the TOES for the original amendment, using the following URL (replacing <type>, <year> and <number> with the details of your affected legislation (which will be the affecting legislation for the original effect):
https://editorial.legislation.gov.uk/changes/affecting/<type>/<year>/<number>/data.xls?extended=full-with-co&sort=affecting-year-number
Once you have identified the affected provision, you can mark up the type of effect, which will usually be:
“amendment to earlier affecting provision [legislation][provision]”
The following variations can also be used, depending on the type of amendment that is being made to the original amendment:
“Continuation of earlier affecting provision [legislation][provision]”
“Expiry of earlier affecting provision [legislation][provision]”
“Revocation of earlier affecting provision [legislation][provision]”
“amendment(s) by [provision detailed in affecting provision] extended to [new extent]”
Make a note that when the effect is recorded, instructions should be added for the Update Editor in the “Comments for Editor”, for example:
Editor: add appended commentary: “(which affecting provision is continued until … by … )”
Note that for the sake of simplicity, and to reduce redundancy, we can consolidate these effects into the whole provisions hit, see an example of how this gets recorded here.
If you discover an amendment to an earlier non-textual effect, where that earlier non-textual effect was missed and has not been recorded, it should be marked up as a new knock on effect.
Marking up savings
| What is a saving? Editorial Principles - Savings | Recording Savings and Transitional Provisions | Back to Identify Effects Contents |
When a saving has been identified, the editor should mark the text of the saving with a line in the margin next to it and insert a text box containing details of the provision that contains the saving next to the pink box with the effect the saving relates to, e.g.:
If a saving relates to all effects in the affecting legislation, or a substantial part of it (such as a whole Part), for expedience it may be noted on the front page in a separate 'Savings' text box, and does not need to be marked up against each provision it relates to, e.g.
It is important to specify on the front page whether the saving relates to all effects in the legislation, or only those in a defined part of it (e.g. 's. 54(2) for all entries' or 's. 27 for Pt. 3 entries'). This will indicate to the ToEs editor that the saving in s. 54(2) is to be noted against all effects anywhere in the legislation, or that s. 27 is to be noted against every effect in Pt. 3.
Note: Whether or not there are any savings to be marked on the front page, it is still good practice to include a text box with 'Savs' and note 'none' or a dash to indicate that there aren't any (or even 'as marked' if all savings are marked against the specific affecting provisions).
Marking up time-based qualifiers
| Commencement: Editorial Principles - Commencement | Recording IF Date … Qualification | Back to Identify Effects Contents |
Commencement provisions and qualifiers are provisions relating to the time, or the period of time, in relation to which the amendment has effect. They are similar to savings, but are treated separately in Extended TOES, and so to assist the TOES editor in their task, the Identify Effects Editor should mark these up as distinct from savings.
As with savings, commencement qualifiers can be indicated with a line in the margin. They then need to be marked either at amended provision level, or on the front page of the amending legislation, or both. The qualifying provision should be indicated with a line in the margin, and against the affected provision with a reference to the qualifying provision.
With effect ('w/e') and with application ('w/a') provisions
Sometimes, an amendment is said to have effect, or application, in relation to a particular period of time which differs from the date on which the amending provision comes into force.
Prospective provisions ('prosp.')
The provision comes into force at a later date, which has not yet been determined. Editors should note that prospective qualifiers are very rarely used against individual sections, and are normally reserved for cover markings only. If an editor thinks they have found a prospective qualifier which ought to be indicated against an individual section, they should consult a reviewer.
Retrospective provisions ('retrosp.')
The provision is deemed to have come into force at an earlier date than the coming into force date. Such qualifiers are generally found in relation to finance and tax legislation, but are not unheard of elsewhere. Editors should be vigilant when reading legislation and matching in force dates with any qualifying provisions they have identified. Retrospective qualifiers are usually marked against individual provisions, but it can sometimes be beneficial to the TOES editor to also flag such provisions up on the front page of the amending legislation.
Conditional provisions ('cond.')
The amendment to an affected provision applies, but subject to some conditional terms which are contained within the amending legislation. The qualifying provision should be indicated with double vertical lines in the margin, and against the affected provision with a reference to the qualifying provision.
Temporary provisions ‘(temp.)’
The amendment to an affected provision applies, but is only in force for a limited period of time. Sometimes a specific date for the expiration of the amendment will be given, sometimes not. As with conditional and retrospective qualifiers, temporary provisions are usually referenced against individual provisions (unless all the amendments in a piece of amending legislation are temporary, in which case it is more expedient to reference this in the front page markings). We should only used the qualification ‘(temp.)’ if it is obvious that an effect expires.
Sunset clauses
A sunset clause relates to provisions, almost exclusively provisions in SIs, which provide that the SI itself, or some part of it, is to cease to have effect, expire, or lapse at some date in the future, or after a certain period of time. In this case, editors should consider whether any of the amendments in the provision ought to be considered temporary amendments (if so, the word ‘(temp.)’ should be added to the amendment, as per temporary qualifiers - see above).
Note: If you think that you have found a sunset clause in primary legislation, consult a reviewer, as a suitable annotation may need to be added at Initial Edit stage. For example, c. 28, s.30(13). Here, we would add a note at Initial Edit against s. 30, saying: "This section ceases to have effect in accordance with s. 30(13)".
Also see: See 2009 c. 16 for an example of sunset clause at Act level.
Marking up powers
| What is a power? Editorial Principles - Powers | Recording Powers | Back to Identify Effects Contents |
When marking up legislation, it is important to identify any provisions which confer power to make subordinate legislation. These are referred to as 'power-conferring provisions', or 'powers'. Note: this is distinct from the non-textual amendment power to amend conferred. As a power allows a person or body to create secondary legislation, powers are by definition not found in secondary legislation itself.
Having identified a power, editors should have regard to the following guidance on appropriately marking the power up. Where is the power found? We distinguish between powers in amending legislation, and powers contained within amendment text (i.e. A section or provision which is to be substituted, inserted, or otherwise incorporated into amended legislation). Power-conferring provisions in the amending legislation itself are marked up with a “P” within a circle in the margin next to the beginning of the whole provision that contains the power-conferring text, and the power conferring text should also be highlighted:
The circled “P” is placed next to the beginning of the whole provision that contains the power-conferring text and not adjacent to the power-conferring text (highlighted above), as this information needs to be entered at the level of the whole provision during the initial edit task. When the amendment text contains a power, this should be marked with a “P” within a square in the margin, and should be located as close as possible to the text box that contains the amendment information, so that this information can be recorded with a “Confers power” comment in the “Comments for Editor” column in TOES. The mark up of the power should be clearly associated with the text box for the related amendment, and the power conferring text should also be highlighted:
The power-conferring text within the amendment text should be highlighted or can be marked with a red line in the margin:
Marking up blanket amendments
| What is a blanket amendment? Editorial Principles - Blanket Amendments | Recording Blanket amendments | Back to Identify Effects Contents |
Where a provision makes a blanket amendment, a "B" should be marked in the margin, at whole provision level. Similarly to marking powers, the "B" is circled where it is contained in the item of legislation itself, or within an oblong if it is contained within amendment text. In addition, editors should highlight or otherwise drawn attention to relevant target words. Note: this is one of the very few occasions in which it is acceptable to highlight individual words as affected provisions (see also Insertions and substitutions with related headings or linking words). Note the operative word as appropriate ("modified", "substituted" etc.) and designate the affected item of legislation as "various legislation" when you mark it up.
Adding any other notes
You may need to add a note where, for example, a knock on effect means that TOES correction is necessary (the Reviewer will need to carry this out) or where a comment for the update editor should be added to TOES at the Record Effects stage, for example:
You may also need to add a note if you discover an error in the legislation such as a lex error, of for doubtful ‘effects’, as described below.
Errors in legislation - lex errors
Occasionally an editor will come across an error in the legislation while marking it up. In these cases, we have a special procedure to flag up these 'lex errors' by submitting the details in an email to the SI Registrar. See more about reporting errors in Editorial Principles - Errors in Legislation - Lex Errors.
In addition to submitting the details to the SI Registrar, the editor should add a note in the margin of the pdf to alert the reviewer and other editors that the error has been identified AND that a lex error has been submitted. If an editor is unsure whether there is an error or not, a reviewer should be consulted, but it remains the responsibility of the markup editor to submit lex errors by emailing the details to the SI Registrar where such errors have been identified.
For errors found in Northern Ireland legislation, please email details to the NI Statutory Publications Office.
Doubtful ‘effects’
Where a provision contains a reference that looks as though it might be an effect, but the editor has concluded that it isn't one, this can be noted in the margin next to the provision, to demonstrate to the reviewer that the potential amendment has been considered. Editors do not need to do this for every provision which does not contain an amendment; rather only those provisions which are debatable or in some way ambiguous. Likewise, editors are discouraged from providing lengthy discourse on their reasoning about a potential amendment in the margin.
Inducing provisions
Any provision inducing a Schedule should be marked with two short vertical lines in the margin. This makes such provisions easier to locate and makes the identification of hidden repeals easier.
| Back to List of Steps 1-5 |
STEP 3 – Return to the front page to complete the front page mark up
Once you have marked up all the effects in the document, return to the front page and complete any front page markup details that need to be added. You can also mark up the affecting status. This tells us what types of legislation are affected by the marked up affecting document. This is used for prioritising its remaining workflow. There are 3 main categories of affected legislation: primary, secondary or EU. EU refers to the recently domesticated retained direct EU legislation, or in other words EU Regulations and Decisions. These are marked up with an S, P and/or EU within a circle in the top right hand corner of the front page.
STEP 4 – Submit the marked up pdf for review
Finally, save your marked up pdf and return to the Identify Effects details page, where you should select the “Next stage” button:
You will be prompted to upload your marked up pdf:
Click “Browse” to navigate to the location of your saved marked up pdf in the upload box and click “Upload”.
Affecting status
On the next page, you will be prompted to enter the affecting status (i.e. what types of legislation this affecting document affects). There are 3 main categories of affected legislation: primary (P), secondary (S) and the recently domesticated retained direct EU legislation, in other words the EU Regulations and Decisions (EU). If the document is non-affecting, it can be marked N/A, but it's rarely necessary to upload a marked up pdf for a non-affecting document (the only exception would be for non-affecting SIs with complex commencement and extent that would need to be checked for initial edit purposes).
At the end of the Identify Effects task these values can be entered using the radio buttons next to the following options:
• Primary
• Secondary
• EU
• Primary and Secondary
• Primary and EU
• Secondary and EU
• All
• None
Now click “Complete”
Skipping pdf review until the Record Effects task has been carried out
Once a pdf has been uploaded at the end of the Identify Effects task, it will become available for review in the Identify Effects Review task. The mark up of Acts and complex SIs should be reviewed immediately after the Identify Effects task, before the effects are recorded during the Record Effects task.
For straightforward SIs, the mark up is reviewed at the same time as the recorded effects are reviewed during the Record Effects review task. After the Identify Effects task, the review of the pdf can initially be skipped by:
- Allocating yourself the Record Effects task (this can be done despite the system saying it is ‘not available’)
- Open the task up, which will show as ‘pending’
- Scroll down the page to the ‘Skip Review Identify Effects Task’ and click on ‘Skip Task’:
A box will appear asking if you want to add a comment – it is fine to also skip over this and then your task will then be available to start.
| Back to List of Steps 1-5 |
STEP 5 – Review of marked up pdf
For Acts and complex SIs, where the pdf should be reviewed before the effects are recorded, the Review Editor allocates themselves the Identify Effects Review task and the marked up pdf that was uploaded at the end of Step 4 can be downloaded from there.
Alternatively, for more straightforward SIs where the pdf review is initially skipped when the record effects task is allocated, the marked up pdf can be downloaded from the same page that the TOES spreadsheet gets downloaded from during the Record Effects Review task.
The downloaded pdf should be saved and can then be edited in Acrobat. The review editor should make any corrections in green.
It is particularly important that the commencement and extent provisions of Acts are thoroughly checked at this stage as the reviewed mark up will be what is used for the initial edit task.
Once reviewed, the corrected pdf can be uploaded onto the system. The Record Effects task will then become available for Acts and complex SIs where the pdf review wasn’t initially skipped.
APPENDIX
Paper markup abbreviations
FOR REFERENCE: The abbreviations that were previously used in paper markup during the Identify Effects ('marking up') task are shown below:
| Type of effect | Paper mark up abbreviations |
|---|---|
| TEXTUAL | |
| add | no abbrev. |
| insert | ‘ins.’ |
| substitute | ‘subst.’ |
| repeal | ‘rep.’ |
| omit | no abbrev. |
| revoke | ‘rev.’ |
| ceases to have effect | no abbrev. |
| renumber | no abbrev. |
| NON-TEXTUAL | |
| applied | ‘appl.’ |
| applied
(with modifications) |
‘appl. (mods)’ |
| disapplied | no abbrev. |
| construed as one with | 'constr.' |
| continued | ‘cont.’ |
| excluded | ‘excl.’ |
| explained | ‘expl.’ |
| extended [occasionally:
extended (with modifications)] |
‘ext.’
[‘ext. (mods)’] |
| extended (to another jurisdiction)
e.g. Extended (Jersey) |
no abbrev. |
| incorporated | ‘incorp.’ |
| modified | ‘mod.’ |
| power to amend,
apply etc. conferred |
no abbrev. |
| power extended | no abbrev. |
| referred to | ‘ref.’ |
| restored | no abbrev. |
| restricted | ‘restr.’ |
| superseded
(normally ‘rep. and superseded’) |
no abbrev. |
| transfer
of functions |
‘funcs. trans.’ |
RELATED PAGES
Preparation and Research Tasks, which includes Identify Effects, Record Effects and Initial Edit Workflow