Enterprise Bill (HC Bill 142)
SCHEDULE 3 continued
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(4)
If the Secretary of State directs the primary authority not to take
the proposed enforcement action, the Secretary of State may direct
the primary authority to take some other enforcement action (and
section 25B does not apply in relation to that other action).
5Part 2 Enforcement action other than by primary authority
Reference by an enforcing authority
2
(1)
If the primary authority directs an enforcing authority under
section 25C(4) not to take the proposed enforcement action, the
10enforcing authority may, with the consent of the Secretary of State,
refer the proposed action to the Secretary of State.
(2)
On a reference under sub-paragraph (1) the Secretary of State
must—
(a)
if satisfied as to the matters in sub-paragraph (3), confirm
15the direction;
(b) otherwise, revoke the direction.
(3) The matters referred to in sub-paragraph (2) are that—
(a)
the proposed enforcement action is inconsistent with
advice or guidance previously given by the primary
20authority (generally or specifically), and
(b) the advice or guidance was correct and properly given.
(4)
If the Secretary of State confirms the direction, the Secretary of
State may direct the enforcing authority to take some other
enforcement action (and section 25C does not apply in relation to
25that other action).
Reference by regulated person or member of the regulated group
3
(1)
If section 25C applies and the primary authority does not direct
the enforcing authority (under subsection (4) of that section) not to
take the proposed enforcement action, the regulated person or the
30member of the regulated group may, with the consent of the
Secretary of State, refer the action to the Secretary of State.
(2)
On a reference under sub-paragraph (1) the Secretary of State
must—
(a)
if satisfied as to the matters in sub-paragraph (3), direct the
35enforcing authority not to take the proposed enforcement
action;
(b) otherwise, consent to the action.
(3) The matters referred to in sub-paragraph (2) are that—
(a)
the proposed enforcement action is inconsistent with
40advice or guidance previously given by the primary
authority (generally or specifically), and
(b) the advice or guidance was correct and properly given.
(4)
If the Secretary of State directs the enforcing authority not to take
the proposed enforcement action, the Secretary of State may direct
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the enforcing authority to take some other enforcement action
(and section 25C does not apply in relation to that other action).
Reference by primary authority
4
(1)
The primary authority may, with the consent of the Secretary of
5State, instead of making a determination under section 25C(4) as
to whether to direct an enforcing authority not to take proposed
enforcement action, refer the action to the Secretary of State.
(2) On a reference under this paragraph the Secretary of State must—
(a)
if satisfied as to the matters in sub-paragraph (3), direct the
10enforcing authority not to take the proposed enforcement
action;
(b) otherwise, consent to the action.
(3) The matters referred to in sub-paragraph (2) are that—
(a)
the proposed enforcement action is inconsistent with
15advice or guidance previously given by the primary
authority (generally or specifically), and
(b) the advice or guidance was correct and properly given.
(4)
If the Secretary of State directs the enforcing authority not to take
the proposed enforcement action, the Secretary of State may direct
20the enforcing authority to take some other enforcement action
(and section 25C does not apply in relation to that other action).
Part 3 General
Timing
5
(1)
25Any reference under this Schedule must be made as soon as is
reasonably practicable, and in any event within the referral
period.
(2)
The “referral period” for the purposes of a reference under
paragraph 1(1) is the period which—
(a)
30begins when the regulated person or the member is
notified under section 25B(2)(a) of the proposed
enforcement action, and
(b)
ends at the end of the tenth working day after the day on
which the period begins, or at such later time as the
35Secretary of State may direct.
(3)
The “referral period” for the purposes of a reference under
paragraph 2(1) is the period which—
(a)
begins when the enforcing authority is directed under
section 25C(4) not to take the proposed enforcement
40action, and
(b)
ends at the end of the tenth working day after the day on
which the period begins, or at such later time as the
Secretary of State may direct.
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(4)
The “referral period” for the purposes of a reference under
paragraph 3(1) is the period which—
(a)
begins when the regulated person or the member is
informed under section 25C(6)(a) that the enforcing
5authority continues to propose to take the enforcement
action, and
(b)
ends at the end of the tenth working day after the day on
which the period begins, or at such later time as the
Secretary of State may direct.
(5)
10The “referral period” for the purposes of a reference under
paragraph 4(1) is the relevant period under section 25C(9).
(6)
The Secretary of State must determine a reference under this
Schedule within the period of 28 days beginning with the day on
which the reference is made.
(7)
15The primary authority (in the case of a reference under paragraph
1(1)) or the enforcing authority (in the case of a reference under
paragraph 2(1), 3(1) or 4(1)) may not take the proposed
enforcement action at any time after the making of the reference
and before its determination.
20Consultation
6
(1)
Before determining a reference under this Schedule, the Secretary
of State—
(a)
must consult any relevant regulator, where appropriate,
and
(b) 25may consult other persons.
(2)
In sub-paragraph (1)(a), “relevant regulator” means a person who
has regulatory functions which relate to the matter to which the
determination relates.
(3)
But a person is not a “relevant regulator” within the meaning of
30sub-paragraph (1)(a) if—
(a) the person is a qualifying regulator, and
(b)
the partnership function pursuant to which the proposed
enforcement action would be taken is a relevant function
of the person.
35Information
7
(1)
For the purposes of determining whether to consent to a reference
under this Schedule, or of determining such a reference, the
Secretary of State may require any of the following to provide the
Secretary of State with information—
(a) 40the primary authority;
(b)
in the case of a reference under paragraph 2(1), 3(1) or 4(1),
the enforcing authority;
(c)
the regulated person concerned or the member of the
regulated group concerned.
(2)
45The information must be information which the authority, person
or member may lawfully provide to the Secretary of State.
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Secretary of State’s costs
8
The Secretary of State may require the regulated person or a
member of the regulated group to pay reasonable costs incurred
by the Secretary of State as a result of—
(a)
5a reference by the regulated person or the member under
paragraph 1(1) or 3(1), or
(b)
an application by the regulated person or the member for
consent to make such a reference.
Procedure
9
10The Secretary of State may by regulations make further provision
as to the procedure to be followed for the purposes of this
Schedule.”
Section 22
SCHEDULE 4 The Institute for Apprenticeships
1
15The Apprenticeships, Skills, Children and Learning Act 2009 is amended as
follows.
2 In Part 1 (apprenticeships, study and training) before Chapter A1 insert—
““CHAPTER ZA1 The Institute for Apprenticeships
Establishment
ZA1 20The Institute for Apprenticeships
(1)
A body corporate known as the Institute for Apprenticeships is
established.
(2) In this Act that body is referred to as “the IfA”.
(3) Schedule A1 makes further provision about the IfA.
25General duties and functions
ZA2 General duties
(1)
So far as relevant, and subject to any notice given by the Secretary of
State under subsection (2), in performing its functions the IfA must
have regard to—
(a)
30the reasonable requirements of industry, commerce, finance,
the professions and other employers regarding education
and training within the IfA’s remit;
(b)
the reasonable requirements of persons who may wish to
undertake education and training within the IfA’s remit;
(c)
35the need to ensure that education and training within the
IfA’s remit is of an appropriate quality;
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(d)
the need to ensure that education and training within the
IfA’s remit represents good value in relation to financial
resources provided out of public funds;
(e)
any information provided to it by any person designated by
5the Secretary of State for the purposes of this paragraph.
(2)
The Secretary of State may give a notice in writing to the IfA setting
out other matters to which the IfA must have regard when
performing its functions.
(3)
The Secretary of State may not give a notice under subsection (2)
10more than once in any financial year (within the meaning given by
section ZA6(6)), except as provided by subsection (4).
(4) Where in a financial year—
(a) a notice is given under subsection (2), and
(b)
after the giving of the notice a new Parliament meets for the
15first time,
the Secretary of State may give one further notice under subsection
(2) in that year.
(5) The IfA must perform its functions efficiently and effectively.
(6)
For the purposes of this section, education or training is within the
20IfA’s remit if the education or training is or may be provided in the
course of an approved English apprenticeship.
(7)
Subsection (1) and any notice under subsection (2) do not apply in
relation to functions that are—
(a) delegated by directions under section ZA4, or
(b) 25conferred by regulations under section ZA5,
unless the directions or regulations provide for them to apply in
relation to the functions.
(8)
Where directions or regulations so provide, the directions or
regulations—
(a)
30may provide for any education or training to which the
functions relate to be treated as within the IfA’s remit for the
purposes of this section;
(b)
may provide for subsection (1) and any notice under
subsection (2) to apply in relation to the functions with such
35modifications as the Secretary of State thinks fit.
(9) The Secretary of State must—
(a)
publish in such manner as the Secretary of State thinks fit any
notice under subsection (2), and
(b) lay a copy of it before Parliament.
ZA3 40Provision of advice and assistance to the Secretary of State etc
(1)
The IfA may, if requested to do so by the Secretary of State, provide
the Secretary of State with advice and assistance in connection with
the Secretary of State’s functions relating to apprenticeships in
relation to England.
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(2)
The Secretary of State’s functions mentioned in subsection (1)
include those under section 100(1A) or otherwise relating to the
funding of apprenticeships in relation to England.
ZA4 Delegation of functions to the IfA by Secretary of State
(1)
5The Secretary of State may by direction delegate to the IfA any of the
Secretary of State’s functions relating to apprenticeships in relation
to England.
(2) The functions may be delegated—
(a)
to any extent that the Secretary of State specifies in the
10direction, and
(b)
subject to any conditions that the Secretary of State specifies
in the direction.
(3)
The Secretary of State’s functions mentioned in subsection (1)
include those under section 100(1A) or otherwise relating to the
15funding of apprenticeships in relation to England.
ZA5 Conferral of further functions on the IfA by regulations
(1)
The Secretary of State may by regulations confer on the IfA such
functions relating to apprenticeships in relation to England as the
Secretary of State considers appropriate.
(2)
20A function conferred by regulations under subsection (1) may
involve the exercise of a discretion.
ZA6 Annual and other reports
(1)
As soon as reasonably practicable after the end of each financial year,
the IfA must prepare an annual report.
(2) 25An annual report is a report which includes—
(a)
a description of what the IfA has done during the year,
including a description of what the IfA has done as a result of
any notice given by the Secretary of State under section
ZA2(2),
(b)
30the statement of accounts prepared for that year under
paragraph 11 of Schedule A1, and
(c) such other provision as the Secretary of State may direct.
(3)
The IfA must send the report to the Secretary of State as soon as
reasonably practicable after it has been prepared.
(4)
35The Secretary of State must lay a copy of the report before
Parliament.
(5)
The Secretary of State may direct the IfA to prepare, and send to the
Secretary of State, as soon as reasonably practicable a report on any
matter relating to its functions.
(6) 40In this section “financial year” means—
(a)
the period beginning with the day on which this section
comes into force and ending with the following 31 March,
and
(b) each successive period of 12 months.
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Compliance
ZA7 Secretary of State directions where the IfA fails to discharge duties etc
If the Secretary of State is satisfied that the IfA—
(a)
has failed to discharge a duty imposed on it by or under this
5Act, or
(b)
has acted or is proposing to act in an unreasonable way in
exercising any function,
the Secretary of State may give the IfA such directions as the Secretary
of State considers appropriate.
10Directions
ZA8 General provision about directions under Chapters ZA1 and A1
(1)
This section applies to a direction given to the IfA by the Secretary of
State under this Chapter or Chapter A1.
(2) The IfA must comply with the direction.
(3) 15The direction must be in writing.”
3 Before section A1 insert—
4
In section A1 (meaning of “approved English apprenticeship”), in subsection
(3)(a) for “the Secretary of State has published an approved apprenticeship
standard under section A2” substitute “an approved apprenticeship
20standard has been published under section A2”.
5 For section A2 (approved apprenticeship standards) substitute—
““Publication of standards and assessment plans
A2 Apprenticeship standards and assessment plans
(1) The IfA must publish—
(a)
25standards for such sectors of work as the IfA considers
appropriate for the purposes of this Chapter, and
(b) assessment plans in respect of published standards.
(2) Each standard must—
(a) describe the sector of work to which it relates, and
(b)
30if there is more than one standard for the sector, describe the
kind of work within the sector to which it relates.
(3)
Each standard must set out the outcomes that persons seeking to
complete an approved English apprenticeship are expected to attain
in order to achieve the standard.
(4)
35An assessment plan in respect of a standard is a plan in accordance
with which a person’s attainment of the outcomes set out in the
standard is to be assessed.
(5) Each assessment plan must—
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(a) specify the standard to which it relates, and
(b)
set out the proposed arrangements for evaluating the quality
of any assessment provided for by the plan.
(6)
The following provisions supplement the provision made by this
5section—
-
section A2A makes provision about the preparation of
apprenticeship standards and assessment plans; -
sections A2B to A2D make provision related to ensuring the
quality of apprenticeship assessments; -
10sections A2E and A2F make provision about the review,
revision and withdrawal of apprenticeship standards and
assessment plans; -
section A2G makes provision for independent examinations of
apprenticeship standards and assessment plans; -
15section A2H makes provision about the maintenance of a
published list of apprenticeship standards and assessment
plans; -
section A2I provides for the automatic transfer to the IfA of
copyright in apprenticeship standards and assessment plans.
A2A 20Preparation of apprenticeship standards and assessment plans
(1)
Each standard or assessment plan published under section A2 must
have been prepared by a group of persons and approved by the IfA.
(2)
The group of persons that prepared a standard or assessment plan
published under section A2 must have been approved by the IfA for
25the purposes of this section.
(3)
The IfA may provide advice or assistance to a group of persons in
connection with the preparation of a standard or assessment plan.
(4) The IfA must publish—
(a)
information about matters that it takes into account when
30deciding whether or not to approve standards or plans for the
purposes of subsection (1);
(b)
information about matters that it takes into account when
deciding whether or not to approve groups of persons for the
purposes of subsection (2).
(5)
35When making a decision of the kind mentioned in subsection (4)(a)
or (b) in a particular case, the IfA may also take into account such
other matters as it considers appropriate in the case in question.
(6)
Information published under subsection (4) may be revised or
replaced, and the IfA must publish under that subsection any revised
40or replacement information.
Quality assurance
A2B Evaluation of quality of apprenticeship assessments
(1)
The IfA must secure that evaluations are carried out of the quality of
apprenticeship assessments provided by persons in relation to
45assessment plans published under section A2.
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(2)
“Apprenticeship assessment” means the assessment of a person’s
attainment of the outcomes set out in the standard to which the
assessment plan relates.
(3)
For the purposes of subsection (1) the IfA may approve or make
5arrangements for other persons to carry out evaluations.
A2C Unsatisfactory apprenticeship assessments
(1)
If the IfA considers that the quality of any apprenticeship assessment
provided by a person is or may become unsatisfactory, it may carry
out a review of the assessment, or make arrangements with another
10person for the carrying out of such a review.
(2)
The IfA may, in consequence of a review, make arrangements for the
purpose of improving the quality of the assessment to which the
review relates.
(3) If the IfA—
(a)
15considers that the quality of any apprenticeship assessment
provided by a person is or may become unsatisfactory, or
(b)
that a person who provides an apprenticeship assessment
has failed to co-operate with a review carried out under this
section or with arrangements made under subsection (2),
20it may report the matter to the Secretary of State or such other person
as the IfA considers appropriate.
(4)
A report under subsection (3) may contain recommendations as to
the action to be taken by the person to whom the report is made.
(5) The IfA may publish a report under subsection (3).
A2D 25Committee to advise on quality evaluations etc
(1) The IfA may establish a committee with—
(a)
the function of giving the IfA advice on the performance of its
functions under sections A2B and A2C, and
(b)
such other functions as may be conferred on the committee
30by the IfA.
(2) A majority of the members of the committee—
(a)
must be persons who appear to the IfA to have experience of
the assessment of education or training, and
(b) must not be members of the IfA.
(3)
35Subject to that, Schedule A1 applies to a committee established under
this section as it applies to committees established under paragraph
7 of that Schedule.
Review, revision and withdrawal
A2E Regular reviews of published standards and assessment plans
(1)
40The IfA must maintain arrangements for the review at regular
intervals of each standard or assessment plan published under this
Chapter, with a view to determining whether the standard or plan
ought to be revised or withdrawn.
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(2)
In respect of each standard or assessment plan published under this
Chapter, the IfA must publish information about the intervals at
which those reviews are to be conducted.
A2F Revision or withdrawal of published standards and assessment plans
(1) 5The IfA may—
(a)
publish a revised version of a standard or assessment plan
published under this Chapter, or
(b)
withdraw a standard or assessment plan published under
this Chapter (with or without publishing another in its place).
(2)
10Section A2A applies in relation to a revised version of a standard or
plan published under this section as it applies in relation to a
standard or plan published under section A2.
Other provisions about English approved apprenticeships
A2G Examinations by independent third parties
(1)
15Before the IfA approves a standard or assessment plan for the
purposes of section A2A(1) it must make arrangements for the
carrying out of an examination of the standard or plan by an
independent third party.
(2)
The duty imposed by subsection (1) does not apply in relation to a
20revised version of a standard or assessment plan, but the IfA may, for
the purposes of a review under section A2E or at any other time,
make arrangements for the carrying out of an examination of a
standard or assessment plan by an independent third party.
(3)
Where an examination of a standard or assessment plan is carried
25out under this section, the IfA must take account of the finding of the
examination in exercising its functions in relation to the standard or
plan under this Chapter.
(4)
Nothing in subsection (1) prevents the IfA deciding to reject a
standard or assessment plan without first making arrangements for
30the carrying out of an examination by an independent third party.
A2H List of published standards and assessment plans
(1)
The IfA must maintain a list of the standards and assessment plans
published by it under this Chapter.
(2)
In respect of each standard and plan listed (including any revised
35version), the list must include details of when it comes into force.
(3)
Where a revised version is listed, the list must include a general
description of the cases to which the revised version applies.
(4)
Where a standard or plan has been withdrawn, the list must include
details of when the withdrawal comes into force and a general
40description of the cases to which it applies.
(5)
The IfA must secure that the list is available free of charge at all
reasonable times.