Enterprise Bill (HC Bill 142)

the partnership function in relation to the regulated person or a
member of the regulated group, and

(c) an inspection plan made by the primary authority in respect of
the exercise of the partnership function in relation to the
5regulated person or a member of the regulated group.

(6) In the case of a regulated group, the co-ordinator of the group must
make the following available free of charge, on request, to the
complementary regulator—

(a) a copy of the group membership list maintained under section
1023D(2);

(b) a copy of a list under section 26A(9) of group members to whom
an inspection plan may be relevant.

(7) The copy must be made available as soon as is reasonably practicable
and in any event not later than the end of the third working day after
15the day on which the request is received by the co-ordinator.

(8) Regulations under subsection (1)(a) require the consent of the Welsh
Ministers to specify a person whose functions relate only to devolved
Welsh matters.

(9) In this section, “designated function”, in relation to a complementary
20regulator, means a regulatory function exercised by that regulator and
specified for the purposes of this section by the Secretary of State by
regulations.

(10) Regulations under subsection (9) specifying a function other than a
partnership function must identify the partnership function to which
25the designated function is equivalent.

(11) Regulations under subsection (9)—

(a) may not specify a regulatory function so far as exercisable in
Scotland, if or to the extent that the function relates to matters
which are not reserved matters;

(b) 30may not specify a regulatory function so far as exercisable in
Northern Ireland, if or to the extent that the function relates to
matters which are transferred matters;

(c) require the consent of the Welsh Ministers to specify a
regulatory function, so far as exercisable in relation to Wales,
35which relates to a devolved Welsh matter.

(12) Regulations under subsection (9) may make different provision for—

(a) different purposes;

(b) different areas.

Cases with more than one primary authority

29A 40Primary authority enforcement action inconsistent with another
authority’s advice etc

(1) This section applies if—

(a) a qualifying regulator nominated as a direct primary authority
or a co-ordinated primary authority for the exercise of a
45function in relation to a person notifies the person, under

section 25B(2)(a), of enforcement action that it proposes to take
against the person pursuant to the function, and

(b) within the referral period, the person notifies the primary
authority that the person considers the action to be inconsistent
5with advice or guidance previously given (generally or
specifically) by another qualifying regulator nominated as the
primary authority for the exercise of the function in relation to
the person.

(2) Section 25C (but not section 29C) applies in relation to the proposed
10enforcement action as if the primary authority which gave the
notification under section 25B(2)(a) were an enforcing authority under
section 25C; and section 25B no longer applies in relation to the action.

(3) “Referral period” in this section means the referral period mentioned in
paragraph 5(2) of Schedule 4A (period in which the regulated person or
15the member may refer the proposed enforcement action to the Secretary
of State).

29B Concurrent duties to notify primary authorities of enforcement action

(1) This section applies if—

(a) a qualifying regulator is nominated as a co-ordinated primary
20authority for the exercise of a function in relation to a person,

(b) an enforcing authority proposes to take enforcement action
against the person pursuant to the function, and

(c) because of the nomination mentioned in paragraph (a), the
enforcing authority is (ignoring this section) required under
25section 25C(2)(a) to notify the co-ordinated primary authority of
the proposed enforcement action.

(2) That requirement to notify the co-ordinated primary authority does not
apply if condition A or B is met.

(3) Condition A is that under section 25C(2)(a) the enforcing authority is
30required to notify another qualifying regulator of the proposed
enforcement action because of that other qualifying regulator’s
nomination as a direct primary authority for the exercise of the function
in relation to the person.

(4) Condition B is that—

(a) 35condition A is not met,

(b) the enforcing authority is (ignoring this section) required under
section 25C(2)(a) to notify at least one other qualifying regulator
of the proposed enforcement action because of that other
regulator’s nomination as a co-ordinated primary authority for
40the exercise of the function in relation to the person, and

(c) the enforcing authority has so notified that other regulator or (if
there is more than one) it has so notified at least one of them.

29C Enforcement action notified to a primary authority inconsistent with
another authority’s advice etc

(1) 45This section applies if—

(a) a qualifying regulator is nominated as a direct primary
authority or a co-ordinated primary authority for the exercise of
a function in relation to a person,

(b) that primary authority (“PA1”) is notified under section
25C(2)(a) of enforcement action that an enforcing authority
proposes to take against the person pursuant to the function,
and

(c) 5PA1 decides not to give a direction under section 25C(4)
directing the enforcing authority not to take the enforcement
action, and does not refer the action to the Secretary of State
under paragraph 4(1) of Schedule 4A.

(2) PA1 must, within the relevant period, take reasonable steps to find out
10if—

(a) another qualifying regulator nominated as the primary
authority (“PA2”) for the exercise of the function in relation to
the person has previously given advice or guidance (generally
or specifically), and

(b) 15the person considers the proposed enforcement action to be
inconsistent with that advice or guidance.

(3) If PA1 is of the view that such advice or guidance has previously been
given and that the person considers the proposed enforcement action to
be inconsistent with it, PA1 must—

(a) 20refer the action to PA2, and

(b) notify the enforcing authority and the person that it has done so.

(4) If subsection (3) applies—

(a) the reference of the proposed enforcement action by PA1 to PA2
under subsection (3)(a) is to be treated as a notification given by
25the enforcing authority to PA2 under section 25C(2)(a), and

(b) accordingly, section 25C (but not this section) applies in relation
to PA2 as the primary authority and ceases to apply in relation
to PA1 as the primary authority.

(5) “Relevant period” in this section has the same meaning as in section
3025C (see subsection (9) of that section).

29D Overlapping inspection plans

(1) This section applies if, in relation to an inspecting regulator, there is
more than one relevant inspection plan in respect of the exercise of the
same inspection function in relation to the same person.

(2) 35An inspection plan is “relevant” in relation to an inspecting regulator
if—

(a) it is a plan made by it (as a primary authority) to which the
Secretary of State has consented under section 26A(7), or

(b) it is a plan notified to it (as an inspecting regulator) under
40section 26A(8)(b).

(3) If—

(a) the inspecting regulator is a direct primary authority for the
exercise of the inspection function in relation to the person, and

(b) there is a relevant inspection plan made by the regulator in
45relation to the exercise of the function in relation to the person,

section 26B(2) (duty of inspecting regulator to act in accordance with
plans notified by the primary authority) does not apply in relation to
the inspecting regulator by reason of it being notified of any other

relevant inspection plan under section 26A(8)(b) in relation to the
exercise of the function in relation to the person.

(4) Subsection (5) applies if—

(a) the inspecting regulator is a co-ordinated primary authority for
5the exercise of the inspection function in relation to the person,
and

(b) there is a relevant inspection plan which is made by a direct
primary authority for the exercise of the function in relation to
the person and notified to the inspecting regulator under
10section 26A(8)(b).

(5) Where this subsection applies—

(a) section 26B(1) (duty of primary authority to have regard to its
own inspection plan) does not apply to the inspecting regulator
(as primary authority) in relation to any relevant inspection
15plan made by it in respect of the exercise of the function in
relation to the person;

(b) in the application of section 26B(2) to the exercise of the function
in relation to the person by the inspecting regulator, the
reference to the inspection plan in that provision is to the plan
20mentioned in subsection (4)(b) only.

(6) If—

(a) the inspecting regulator is a co-ordinated primary authority for
the exercise of the inspection function in relation to the person,

(b) there is a relevant inspection plan made by the regulator in
25respect of the exercise of the function in relation to the person,
and

(c) subsection (5) does not apply,

section 26B(2) does not apply in relation to the exercise of the function
by the inspecting regulator in relation to the person.

(7) 30If none of subsections (3) to (6) apply, but more than one relevant
inspection plan is notified to the inspecting regulator under section
26A(8)(b) in relation to the exercise of the inspection function in relation
to the person, in section 26B(2) the reference to the plan is to be read—

(a) if one of those plans is made by a direct primary authority for
35the exercise of the function in relation to the person, as a
reference to that plan, and

(b) otherwise, as a reference to any one of the plans notified to the
regulator.

General

30A 40Guidance and directions

(1) The Secretary of State may give guidance to any one or more qualifying
regulators, supporting regulators, complementary regulators or co-
ordinators about the operation of this Part.

(2) The guidance may include, in particular, guidance to qualifying
45regulators about—

(a) arrangements under section 24A(3) for the giving of advice or
guidance by primary authorities;

(b) enforcement action referred to the Secretary of State under
paragraph 1(1), 2(1), 3(1) or 4(1) of Schedule 4A;

(c) the notification of inspection plans under section 26A(8);

(d) the charging of fees under section 27A.

(3) 5The guidance may include, in particular, guidance to supporting
regulators about—

(a) the circumstances in which a function is relevant to the exercise
of a partnership function for the purposes of section 28A;

(b) the charging of fees under section 28A(6).

(4) 10A qualifying regulator, supporting regulator, complementary regulator
or co-ordinator must have regard to any guidance given to it under this
section.

(5) Before giving guidance under this section the Secretary of State must
consult such persons as the Secretary of State considers appropriate.

(6) 15The Secretary of State may not give guidance under subsection (2)(d) or
(3) without consulting the Welsh Ministers.

(7) The Secretary of State may at any time vary or revoke guidance given
under this section.

(8) The Secretary of State must publish guidance given under this section
20and any variation or revocation of the guidance.

(9) A qualifying regulator must comply with a direction given to it under
this Part.

30B Periods of time under Part 2

The Secretary of State may by regulations amend any provision of this
25Part which specifies a period within which, or a time before which,
anything must, must not or may be done.

30C Regulations under Part 2

(1) Regulations under this Part must be made by statutory instrument.

(2) A statutory instrument containing regulations under section 22B,
3028B(1)(a) or 30B (whether alone or with other provision) may not be
made unless a draft of the instrument has been laid before, and
approved by resolution of, each House of Parliament.

(3) Any other statutory instrument containing regulations under this Part
is subject to annulment in pursuance of a resolution of either House of
35Parliament.

30D Interpretation of Part 2

(1) In this Part—

• “complementary regulator” means a complementary regulator
  under section 28B;

• 40“co-ordinated primary authority” has the meaning given in
  section 23A(1)(b);

• “co-ordinator” has the meaning given in section 23C(1);

• “direct primary authority” has the meaning given in section
  23A(1)(a);

Enterprise BillPage 35

• “enforcement action” has the meaning given in section 25A;

• “enforcing authority” has the meaning given in section 25C(2);

• “inspection function” has the meaning given in section 26A(1);

• “inspection plan” has the meaning given in sections 26A(2) and
  526C(5);

• “inspecting regulator” has the meaning given in section 26A(3);

• “local authority” has the meaning given in section 22B(2) and (3);

• “Northern Ireland” has the same meaning as in the Northern
  Ireland Act 1998;

• 10“partnership function” has the meaning given in section 23A(2)
  and (7);

• “primary authority” means a qualifying regulator nominated as a
  primary authority under section 23A(1);

• “qualifying regulator” has the meaning given in section 22B(1);

• 15“regulated group” has the meaning given in section 22A(2);

• “regulated person” has the meaning given in section 22A(1);

• “relevant function” has the meaning given in section 22C(1);

• “reserved matter” has the same meaning as in the Scotland Act
  1998;

• 20“Scotland” has the same meaning as in the Scotland Act 1998;

• “specified regulator” has the meaning given in section 22B(4);

• “supporting regulator” means a supporting regulator under
  section 28A;

• “transferred matter” has the same meaning as in the Northern
  25Ireland Act 1998;

• “Wales” has the same meaning as in the Government of Wales Act
  2006;

• “working day” has the meaning given in subsection (2).

(2) In this Part, “working day” means a day other than—

(a) 30a Saturday or Sunday,

(b) Christmas Day or Good Friday, or

(c) a day which is a bank holiday under the Banking and Financial
Dealings Act 1971 in the relevant part of the United Kingdom.

(3) For the purposes of subsection (2)(c), the “relevant part” of the United
35Kingdom is—

(a) in relation to section 23D(5), 28A(8) or 28B(7) (period in which
co-ordinator must make available a list of group members or of
group members to whom an inspection plan may be relevant),
the part where the co-ordinator of the group is;

(b) 40in any other case, the part where the primary authority is.”

(2) For Schedule 4 to the Regulatory Enforcement and Sanctions Act 2008
(enforcement action: references to the Secretary of State) substitute Schedule
4A set out in Schedule 3 to this Act.

21 Devolved Welsh matters

(1) 45The Regulatory Enforcement and Sanctions Act 2008 is amended as follows.

(2) In each of the following provisions, for “Welsh ministerial” substitute
“devolved Welsh”—

(a) in section 4 (meaning of “relevant function”), subsections (6) and (8)(b);

(b) in section 6 (guidance to local authorities), subsections (1) and (1A);

(c) 5in section 10 (advice to Welsh Ministers), subsection (1)(a);

(d) in section 12 (relationship between Secretary of State and other
regulators), subsection (3);

(e) in section 16 (guidance or directions by Welsh Ministers), subsection
(1);

(f) 10in section 36 (power to make orders providing for civil sanctions),
subsection (2);

(g) in section 59 (consultation and consent for civil sanctions orders:
Wales), subsection (2);

(h) in section 73 (functions to which duty not to impose or maintain
15unnecessary regulatory burdens applies), subsections (3)(c), (4)(c) and
(5).

(3) In section 73 (functions to which section 72 applies), in subsections (3)(c) and
(4)(c), for “in Wales” substitute “in relation to Wales”.

(4) In section 74 (general interpretation)—

(a) 20omit the definition of “Welsh ministerial matter”;

(b) before the definition of “Minister of the Crown” insert—

• ““devolved Welsh matter” means —

  (a)

  a matter within the legislative competence of the
  National Assembly for Wales (see section 108 of
  25the Government of Wales Act 2006), or

  (b)

  a matter in relation to Wales in respect of which
  functions are exercisable by the Welsh Ministers,

  and in this definition “Wales” has the same meaning as
  in the Government of Wales Act 2006;”.

30Part 4 Apprenticeships

22 The Institute for Apprenticeships

Schedule 4 establishes the Institute for Apprenticeships and makes provision
about its functions.

23 35The Institute for Apprenticeships: transitional provision

(1) Subsection (2) applies to—

(a) any standard approved and published by the Secretary of State under
section A2 of the 2009 Act before the appointed day;

(b) any plan which—

(i) 40relates to the assessment of a person’s attainment of outcomes
set out in a standard mentioned in paragraph (a), and

(ii) was approved and published by the Secretary of State for the
purposes of that assessment before the appointed day.

(2) Such a standard or plan is to be treated on and after the appointed day as
having been approved by the Institute for Apprenticeships under section A2A
of the 2009 Act and published by it under section A2 of that Act (as amended
by Schedule 4).

(3) 5A standard or plan within subsection (1) is to be treated for the purposes of
section A2I of the 2009 Act (as inserted by Schedule 4) as having been approved
by the Institute for Apprenticeships at the beginning of the appointed day.

(4) This section does not limit the provision that may be made under clause 43.

(5) In this section—

• 10“the appointed day” means the day on which section A2A of the
  Apprenticeship, Skills, Children and Learning Act 2009 (inserted by
  Schedule 4) comes into force;

• “the 2009 Act” means the Apprenticeships, Skills, Children and Learning
  Act 2009.

24 15Public sector apprenticeship targets

(1) In Chapter A1 of Part 1 of the Apprenticeships, Skills, Children and Learning
Act 2009 (apprenticeships: England), after section A8 insert—

“A9 Public sector apprenticeship targets

(1) The Secretary of State may by regulations set apprenticeship targets for
20prescribed public bodies.

(2) An “apprenticeship target”, in relation to a public body, is a target
relating to the number of persons (“apprentices”) who work for the
body under an apprenticeship agreement.

(3) Public bodies for which apprenticeship targets are set under this
25section must have regard to—

(a) the targets, and

(b) any applicable guidance issued by the Secretary of State in
relation to the targets.

(4) The Secretary of State may require a public body to provide any
30information that the Secretary of State needs for the purpose of
exercising functions under this section.

(5) Regulations under this section may set apprenticeship targets for—

(a) a prescribed public body,

(b) a prescribed part of a public body,

(c) 35a prescribed group of public bodies, or

(d) public bodies of a prescribed description.

A reference in this section to a public body includes a reference to a
prescribed part of a public body or a prescribed group of public bodies.

(6) The regulations must specify the period to which each apprenticeship
40target relates.

(7) In this section—

• “apprenticeship agreement” means—

  (a)

  an approved English apprenticeship agreement;

  Enterprise BillPage 38

  (b)

  an apprenticeship agreement within the meaning given
  in section 32 as it applies in relation to England by virtue
  of provision made under section 115(9) of the
  Deregulation Act 2015;

• 5“public body” means—

  (a)

  a public authority, or

  (b)

  a body or other person that is not a public authority but
  has functions of a public nature and is funded wholly or
  partly from public funds.

A10 10Further provision about apprenticeship targets

(1) A public body for which an apprenticeship target is set must—

(a) publish and send to the Secretary of State the information
specified in subsection (2), and

(b) send to the Secretary of State any other prescribed information,

15within six months after the end of each reporting period of the body in
the target period.

(2) The information referred to in subsection (1)(a) is—

(a) the number of employees whose employment in England by the
body began in the reporting period in question (“figure A”);

(b) 20the number of apprentices who began to work for the body in
that period and whose apprenticeship agreements also began in
that period (“figure B”);

(c) figure B expressed as a percentage of figure A;

(d) the number of employees employed in England that the body
25has at the end of that period (“figure C”);

(e) the number of apprentices who work for the body at the end of
that period (“figure D”);

(f) figure D expressed as a percentage of figure C;

(g) if that reporting period is the first reporting period in the target
30period, the number of apprentices who worked for the body
immediately before that period.

(3) The information that may be prescribed under subsection (1)(b)
includes—

(a) information about action that the body has taken to meet an
35apprenticeship target set for it;

(b) if the public body has failed to meet an apprenticeship target set
for it, an explanation of why the target has not been met;

(c) information about action that the body proposes to take to meet
an apprenticeship target set for the body for a period that has
40not yet expired (“a future target”);

(d) if the body considers that a future target is not likely to be met,
an explanation of why that is so.

(4) Regulations may specify how the information is to be published or sent.

(5) A body’s “reporting periods” in the target period are—

(a) 45so much of the first financial year of the body to end in the target
period as falls within that period,

(b) each subsequent financial year of the body which falls wholly
within the target period, and

(c) if the target period ends during a financial year of the body, so
much of that financial year as falls within that period.

(6) But, where the target period in relation to a body does not exceed 12
months, the Secretary of State may direct in writing that for the
5purposes of this section the body is to be treated as having one
reporting period which coincides with the target period.

(7) Where, by virtue of section A9(5)(c) or (d) a target is set for more than
one public body, regulations may specify which body’s financial year
is to be used to determine the reporting periods under subsection (5).

(8) 10In this section—

• “apprenticeship agreement” has the meaning given by section
  A9(7);

• “apprenticeship target” has the meaning given by section A9(2);

• “public body” has the meaning given by section A9(7);

• 15“target period”, in relation to an apprenticeship target, means the
  period specified under section A9(6) as the period to which the
  target relates.”

(2) In section 262(6) of that Act (regulations etc subject to affirmative resolution
procedure), before paragraph (aa) insert—

“(za) 20the first regulations under section A9;

(zb) the first regulations under section A10;”.

25 Only statutory apprenticeships to be described as apprenticeships

(1) In Chapter A1 of Part 1 of the Apprenticeships, Skills, Children and Learning
Act 2009 (apprenticeships: England), after section A10 (inserted by section 24)
25insert—

“A11 Only statutory apprenticeships to be described as apprenticeships

(1) A person (“P”) providing or offering any course or training that is, or is
to be, undertaken (wholly or partly) in England commits an offence if—

(a) in the course of business P describes the course or training as an
30apprenticeship, and

(b) the course or training is not a statutory apprenticeship.

(2) No offence is committed under subsection (1) where the course or
training is, or is to be, provided to an individual under or in pursuance
of a contract of employment between the individual and P.

(3) 35In subsection (1) “statutory apprenticeship” means any course or
training that is, or is to be, provided under—

(a) an approved English apprenticeship;

(b) an apprenticeship agreement within the meaning given in
section 32;

(c) 40an arrangement to undertake any other kind of working—

(i) in relation to which alternative English completion
conditions apply under section 1(5), and

(ii) in connection with which training is to be provided in
accordance with an apprenticeship framework within
45the meaning given in section 12; or