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| given up to and including |
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| New Amendments handed in are marked thus  |
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| Amendments which will comply with the required notice period at their next appearance
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| Groceries Code Adjudicator Bill [Lords]
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| Clause 2, page 1, line 11, at end add— |
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| | ‘(3) | Where the adjudicator is appointing an arbitrator the following must be taken into |
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| | (a) | the location of the arbitration considering the convenience of the |
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| | (b) | the qualifications of the arbitrator; |
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| | (c) | the experience of the arbitrator; and |
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| | (d) | the awareness which the arbitrator has of |
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| | (i) | the laws applying in— |
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| | (c) | Northern Ireland; and |
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| | (ii) | the market and economic conditions applying in— |
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| Clause 4, page 2, line 5, leave out subsection (1) and insert— |
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| | ‘(1) | The Adjudicator may carry out an investigation where there are reasonable |
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| | grounds to suspect that a large retailer has— |
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| | (a) | broken the Groceries Code; or |
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| | (b) | failed to follow a recommendation made under section 7; or |
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| | (c) | failed to incorporate the Groceries Code into a supply agreement, as |
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| | required under Article 5 of the Groceries Supply Order.’. |
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| Clause 4, page 2, line 7, after ‘Code’, insert ‘since the Code since came into force.’. |
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| Clause 4, page 2, line 10, at end insert— |
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| | ‘(2A) | The powers to require provision of information as set out in Schedule 2 shall be |
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| | exercisable from the day on which this Act is passed.’. |
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| Clause 4, page 2, line 12, at end add— |
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| | ‘(4) | The Adjudicator will have authority to review compliance and to undertake one |
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| | or more investigations if the Adjudicator suspects that there has been any breach |
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| | of the Groceries Code since that Code came into force on 4 February 2010.’. |
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| Clause 5, page 2, line 21, at end insert— |
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| | ‘(d) | any finding that an investigation should be referred to the Office of Fair |
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| | Trading on the basis that a large retailer is believed to have engaged in |
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| | anti-competitive practices.’. |
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| Clause 6, page 2, line 26, leave out from ‘that’ to end of line 28 and insert ‘any of |
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| the grounds for launching an investigation under section 4(1) has in fact occurred, the |
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| Adjudicator may take one or more of the following enforcement measures—’. |
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| Clause 7, page 2, line 33, leave out subsection (1) and insert— |
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| | ‘(1) | If the Adjudicator chooses to enforce through making recommendations, that |
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| | (a) | in the case that a retailer has been found to have broken the Groceries |
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| | Code, or has failed to follow a previous recommendation made under this |
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| | section, recommending what the large retailer should do in order to |
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| | comply with the Groceries Code; and |
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| | (b) | in the case that a retailer has been found to have failed to incorporate the |
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| | Groceries Code into a Supply Agreement, as required under Article 5 of |
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| | the Groceries Supply Order, recommending what the large retailer should |
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| | do in order to comply with Article 5 of the Groceries Supply Order.’. |
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| Clause 7, page 2, line 36, at end insert— |
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| | ‘(2A) | If the Adjudicator determines that a recommendation has not been, or is not being, |
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| | followed, the Adjudicator may issue a requirement notice to the large retailer in |
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| | which the Adjudicator may set out one or more recommendations with which the |
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| | large retailer must comply. Such requirement notice may in the Adjudicator’s |
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| | discretion contain a time period for compliance and an indication of which other |
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| | form of enforcement the Adjudicator envisages might be imposed in the event of |
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| | continued non-compliance.’. |
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| Clause 8, page 3, line 9, at end insert— |
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| | ‘(d) | where it is to be published.’. |
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| Clause 9, page 3, line 17, leave out from ‘penalties’ to end of subsection (1). |
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| Clause 9, page 3, line 17, leave out subsection (1). |
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| Clause 9, page 3, line 20, leave out from ‘to’ to end of line 21 and insert ‘enforce |
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| through imposing financial penalties, that means imposing a penalty on the large retailer |
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| of an amount not exceeding the amount of the permitted maximum (see subsection (7)).’. |
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| Clause 9, page 3, line 25 , leave out ‘and’. |
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| Clause 9, page 3, line 26, leave out from subsection (c) and insert— |
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| | ‘(c) | that it shall be paid within 28 days.’. |
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| Clause 9, page 3, line 26 , at end insert ‘; and |
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| | ( ) | how it must be paid.’. |
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| Clause 9, page 3, line 34 , at end insert— |
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| | ‘(7) | The Secretary of State must make an order— |
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| | (a) | specifying the amount of the permitted maximum, or |
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| | (b) | specifying how that amount is to be determined. |
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| | (8) | The Adjudicator must, within 6 months beginning with the day on which |
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5 | | section 1 comes into force, make a recommendation as to the amount that should |
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| | be specified in the first order under subsection (7) or the method for determining |
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| | (9) | Before making a recommendation the Adjudicator must consult any person he or |
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10 | | (10) | The Secretary of State— |
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| | (a) | must have regard to the Adjudicator’s recommendation when making the |
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| | first order under subsection (7); |
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| | (b) | may amend or replace an order under subsection (7) only if the Secretary |
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| | of State has considered whether to do so as part of a review under |
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| | (11) | The Adjudicator may not impose a financial penalty in respect of a breach of the |
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| | Groceries Code that occurs before the first order under subsection (7) comes into |
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| | As Amendments to Jo Swinson’s proposed Amendment (No. 6):— |
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| | ‘(7A) | The Secretary of State must make the order referred to in subsection (7) within 3 |
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| | months of the Adjudicator making the recommendation referred to in subsection |
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| Line 7, leave out ‘or’ and insert ‘and’. |
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| Line 9, leave out ‘must and insert ‘may’. |
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| Line 19, at end add ‘unless the breach started before, and continues after, that |
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| Clause 10, page 4, line 10, at end insert— |
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| | ‘(6) | Costs do not form part of financial penalties as described in section 9.’. |
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| Clause 11, page 4, line 14, after ‘to’, insert ‘the public,’. |
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| Clause 12, page 4, line 20 , leave out ‘and’. |
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| Clause 12, page 4, line 22 , at end insert ‘; and |
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| | (d) | the criteria that the Adjudicator intends to adopt in deciding the amount |
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| | of any financial penalty under section 9.’. |
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| Clause 12, page 4, line 22, at end insert— |
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| | ‘(d) | the criteria that the Adjudicator intends to adopt in deciding whether to |
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| | impose financial penalties under section 9 together with maximium |
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| | penalty that may be imposed and how the maximum penalty is to be |
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| Clause 12, page 4, line 25, at end insert ‘including monitoring compliance with the |
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| Clause 12, page 4, line 31 , leave out subsection (4). |
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| Clause 12, page 4, line 31, leave out from beginning to ‘penalties’ in line 32. |
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| Clause 12, page 4, line 37, at end insert ‘including appropriate Ministers from the |
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| Devolved Administrations.’. |
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| Clause 12, page 4, line 39, leave out ‘6’ and insert ‘3’. |
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| Clause 12, page 4, line 39 , leave out ‘and (c)’ and insert ‘, (c) and (d)’. |
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| Clause 13, page 5, line 3, after ‘Code’, insert ‘or the Groceries Supply Order.’. |
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| Clause 13, page 5, line 3, at end add— |
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| | ‘(2) | In considering such changes, the Adjudicator shall review the territorial extent of |
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| | the Groceries Code, especially in relation to the activities of large retailers outside |
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| | the United Kingdom, such activities to include supplier trading practices and |
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| | activities undertaken by the subsidiaries of large retailers.’. |
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| Clause 13, page 5, line 3, at end insert— |
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| | ‘(2) | The Office of Fair Trading shall be required to respond to the Adjudicator and |
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| | Secretary of State on the recommendations as set out in subsection (1) explaining |
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| | whether they will be acted upon or not.’. |
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| Clause 14, page 5, line 12, at end insert— |
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| | ‘(a) | the Adjudicator’s assessment of large retailers’ compliance with the |
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| Clause 14, page 5, line 12, at end insert— |
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| | ‘(d) | the resources available to the Adjudicator. |
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| | (e) | recommendations made to the Office of Fair Trading as set out in section |
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| Clause 14, page 5, line 14, at end insert— |
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| | ‘(3A) | The Adjudicator must consider in advance of each annual report whether to |
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| | recommend changes to the Groceries Code to the Office of Fair Trading.’. |
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| Clause 14, page 5, line 19, at end insert— |
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| | ‘(c) | the Business, Innovation and Skills Select Committee; |
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| | (d) | the Environment, Food and Rural Affairs Select Committee; |
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| | (e) | their respective successor committees from time to time; and |
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| | (f) | the Devolved Administrations’. |
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| Clause 15, page 5, line 27, after ‘must’, insert ‘appoint an independent Review |
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