Enterprise and Regulatory Reform Bill (HL Bill 45)

26 In article 45 (financial penalties), for paragraph (3) substitute—

“(3) Before imposing a penalty under paragraph (1) or (2) the
Authority shall consider whether it would be more appropriate to
proceed under the Competition Act 1998.

(3A) 5The Authority shall not impose a penalty under paragraph (1) or
(2) if it considers that it would be more appropriate to proceed
under the Competition Act 1998.”

The Water and Sewerage Services (Northern Ireland) Order 2006 (S.I. 2006/3336 (N.I. 21)S.I. 2006/3336 (N.I. 21))

27 The Water and Sewerage Services (Northern Ireland) Order 2006 is amended
10as follows.

28 (1) Article 31 (exceptions to duty to enforce) is amended as follows.

(2) In paragraph (1), omit sub-paragraph (d) and the “or” preceding it.

(3) After that paragraph insert—

“(1A) Before making an enforcement order or confirming a provisional
15enforcement order under Article 30, the Authority shall consider
whether it would be more appropriate to proceed under the
Competition Act 1998.

(1B) The Authority shall not make an enforcement order or confirm a
provisional enforcement order under that Article if it considers
20that it would be more appropriate to proceed under the
Competition Act 1998.”

(4) In paragraph (3)—

(a) in the words before sub-paragraph (a)—

(i) for “, (c) or (d)” substitute “or (c)”, and

(ii) 25after “paragraph (1)” insert “or decides that it would be more
appropriate to proceed under the Competition Act 1998”, and

(b) in sub-paragraph (a), after “so satisfied” insert “or has so decided”.

29 In article 35 (financial penalties), for paragraph (11) substitute—

“(11) Before imposing a penalty under this Article the Authority shall
30consider whether it would be more appropriate to proceed under
the Competition Act 1998.

(12) The Authority shall not impose a penalty under this Article if it
considers that it would be more appropriate to proceed under the
Competition Act 1998.”

Section 49

35SCHEDULE 15 Minor and consequential amendments: Part 4

Civil Aviation Act 1982 (c. 16)Civil Aviation Act 1982 (c. 16)

1 In Schedule 1 to the Civil Aviation Act 1982 (constitution etc. of the
Authority), in paragraph 15—

(a) the existing text becomes sub-paragraph (1), and

(b) 5after that sub-paragraph insert—

“(2) The power in sub-paragraph (1) is subject to provision in
rules made under section 51 of the Competition Act 1998
by virtue of paragraph 1A of Schedule 9 to that Act in
respect of the exercise of a function under Part 1 of that
10Act.”

Gas Act 1986 (c. 44)Gas Act 1986 (c. 44)

2 In section 36A of the Gas Act 1986 (functions with respect to competition), in
subsections (3), (3A) and (7)(b), after “38(1) to (6)” (in each place where it
occurs) insert “, 40B(1) to (4)”.

15Electricity Act 1989 (c. 29)Electricity Act 1989 (c. 29)

3 In section 43 of the Electricity Act 1989 (functions with respect to
competition), in subsections (3), (3A) and (6)(b), after “38(1) to (6)” (in each
place where it occurs) insert “, 40B(1) to (4)”.

Water Industry Act 1991 (c. 56)Water Industry Act 1991 (c. 56)

4 20The Water Industry Act 1991 is amended as follows.

5 In section 31 (functions with respect to competition), in subsections (3), (4A)
and (8)(b), after “38(1) to (6)” (in each place where it occurs) insert “, 40B(1)
to (4)”.

6 In Schedule 1A (constitution etc. of the Authority), in paragraph 10, after
25sub-paragraph (2) insert—

“(3) Sub-paragraph (1) is subject to provision in rules made under
section 51 of the Competition Act 1998 by virtue of paragraph 1A
of Schedule 9 to that Act in respect of the exercise of a function
under Part 1 of that Act.”

30Railways Act 1993 (c. 43)Railways Act 1993 (c. 43)

7 In section 67 of the Railways Act 1993 (functions with respect to
competition), in subsections (3), (3A) and (8)(b), after “38(1) to (6)” (in each
place where it occurs) insert “, 40B(1) to (4)”.

Competition Act 1998 (c. 41)Competition Act 1998 (c. 41)

8 35The Competition Act 1998 is amended as follows.

9 In section 26 (powers when conducting investigations), in subsection (3)(b),
for “42 to” substitute “43 and”.

10 In section 38 (guidance on level of penalties), in subsection (9), for “an appeal
tribunal” substitute “the Tribunal”.

11 In section 54 (regulators), in subsection (1)—

(a) omit paragraph (c), and

(b) for paragraph (f) substitute—

“(f) the Northern Ireland Authority for Utility
5Regulation;”.

12 (1) Schedule 1 (exclusions: mergers and concentrations) is amended as follows.

(2) In paragraph 5—

(a) omit “to the Competition Commission” (in each place where it
occurs), and

(b) 10for “the Commission” (in each place where it occurs) substitute “the
CMA”.

Utilities Act 2000 (c. 27)Utilities Act 2000 (c. 27)

13 In Schedule 1 to the Utilities Act 2000 (constitution etc. of the Authority), in
paragraph 9, after sub-paragraph (2) insert—

“(2A) 15Sub-paragraph (1) is subject to provision in rules made under
section 51 of the Competition Act 1998 by virtue of paragraph 1A
of Schedule 9 to that Act in respect of the exercise of a function
under Part 1 of that Act.”

Transport Act 2000 (c. 38)Transport Act 2000 (c. 38)

14 20In section 86 of the Transport Act 2000 (functions with respect to
competition), in subsections (3), (4)(b) and (7)(b), after “38(1) to (6)” (in each
place where it occurs) insert “, 40B(1) to (4)”.

Enterprise Act 2002 (c. 40)Enterprise Act 2002 (c. 40)

15 The Enterprise Act 2002 is amended as follows.

16 (1) 25Section 25 (extension of time-limits) is amended as follows.

(2) In subsection (2), for the words from “has failed” to the end of the subsection
substitute “has failed (with or without a reasonable excuse) to comply with
any requirement of a notice under section 109”.

(3) For subsection (3) substitute—

“(3) 30An extension under subsection (2) shall come into force when notice
of the extension is given and end—

(a) when the person concerned provides the information or
documents to the satisfaction of the CMA or (as the case may
be) appears as a witness in accordance with the requirements
35of the CMA; or

(b) if earlier, the CMA cancels the extension.”

17 Omit section 31 (information powers in relation to completed mergers).

18 Omit section 32 (supplementary provision for purposes of sections 25 and
31).

19 (1) 40Section 34A (duty where case referred by European Commission) is
amended as follows.

(2) For subsection (5) substitute—

“(5) The CMA may extend the preliminary assessment period if it
considers that any of the persons carrying on the enterprises
concerned has failed (whether with or without reasonable excuse) to
5comply with any requirement of a notice under section 109.”

(3) For subsection (6) substitute—

“(6) An extension under subsection (5) shall come into force when
published under section 107.

(6A) An extension under subsection (5) shall continue in force until—

(a) 10the person concerned provides the information or documents
to the satisfaction of the CMA or (as the case may be) appears
as a witness in accordance with the requirements of the CMA;
or

(b) the CMA publishes its decision to cancel the extension.”

(4) 15Omit subsection (7).

20 Omit section 34B (power to request information in referred cases).

21 (1) Section 42 (intervention by Secretary of State in certain public interest cases)
is amended as follows.

(2) In subsection (1), in paragraph (d)(i)—

(a) 20for “section 22(3)(a) or (e)” substitute “section 22(3)(za), (a) or (e)”,
and

(b) for “33(3)(a) or (e)” substitute “33(3)(za), (a) or (e)”.

(3) In subsection (5), for “to 32” substitute “to 30”.

(4) In subsection (6), in the words before paragraph (a), for “to 32” substitute “to
2530”.

(5) In that subsection, in paragraph (b), for “sections 25(1) to (3), (6) and (8) and
31” substitute “section 25(1) to (3), (6) and (8)”.

(6) In that subsection, in paragraph (h)—

(a) omit “, and the power to request information under section 31(1) as
30so applied,”, and

(b) after “existing time-limits” insert “by virtue of section 24 (as so
applied)”.

(7) In that subsection, in paragraph (i), after “existing time-limits” insert “by
virtue of section 24 (as so applied)”.

(8) 35In that subsection, omit paragraph (j).

(9) In that subsection, in paragraph (k), for “to 32” substitute “to 30”.

(10) In that subsection, omit paragraph (l) and the word “and” immediately
preceding it.

22 In section 46 (references under section 45: supplementary), in subsection
40(1)(a), omit “or 96(3)”.

23 (1) Section 46B (extension of preliminary assessment period) is amended as
follows.

(2) For subsection (1) substitute—

“(1) The CMA may extend the preliminary assessment period for the
purposes of section 46A if it considers that any of the persons
carrying on the enterprises concerned has failed (whether with or
5without reasonable excuse) to comply with any requirement of a
notice under section 109.”

(3) Omit subsection (2).

(4) For subsection (3) substitute—

“(3) An extension under subsection (1) shall come into force when
10published under section 107.

(3A) An extension under subsection (1) shall continue in force until—

(a) the person concerned provides the information or documents
to the satisfaction of the CMA or (as the case may be) appears
as a witness in accordance with the requirements of the CMA;
15or

(b) the CMA publishes its decision to cancel the extension.”

(5) Omit subsection (4).

24 Omit section 46C (power to request information in referred cases).

25 (1) Section 49 (variation of references under section 45) is amended as follows.

(2) 20In subsection (2), omit “1,”.

(3) In subsection (3), omit “1,”.

(4) In subsection (4) —

(a) omit “any undertaking accepted under paragraph 1 of Schedule 7,
or”, and

(b) 25for “that Schedule” substitute “Schedule 7”.

(5) In subsection (5)—

(a) omit “undertaking or” (in each place where it occurs),

(b) omit “, accepted or” (in each place where it occurs), and

(c) omit “, superseded, released”.

26 (1) 30Section 59 (intervention by Secretary of State in special public interest cases)
is amended as follows.

(2) In subsection (5), for “to 32” substitute “to 30”.

(3) In subsection (6), in the words before paragraph (a), for “to 32” substitute “to
30”.

(4) 35In that subsection, in paragraph (c), for “sections 25(1) to (3), (6) and (8) and
31” substitute “section 25(1) to (3), (6) and (8)”.

(5) In that subsection, in paragraph (g), omit “, and the power to request
information under section 31(1) as so applied,”.

(6) In that subsection, omit paragraph (h).

(7) 40In that subsection, in paragraph (i), for “to 32” substitute “to 30”.

(8) In that subsection, omit paragraph (j) and the word “and” immediately
preceding it.

27 (1) Section 64 (cancellation and variation of references under section 62) is
amended as follows.

(2) 5In subsection (3), omit “1,”.

(3) In subsection (4)—

(a) omit “any undertaking accepted under paragraph 1 of Schedule 7,
or”, and

(b) for “that Schedule” substitute “Schedule 7”.

(4) 10In subsection (5)—

(a) omit “undertaking or” (in each place where it occurs),

(b) omit “, accepted or” (in each place where it occurs), and

(c) omit “, superseded, released”.

28 (1) Section 67 (intervention to protect legitimate interests) is amended as
15follows.

(2) In subsection (7), for “to 32” substitute “to 30”.

(3) In subsection (8), in the words before paragraph (a), for “to 32” substitute “to
30”.

(4) In that subsection, in paragraph (d), for “sections 25, 31 and 32” substitute
20“section 25”.

29 In section 68 (scheme for protecting legitimate interests), in subsection (4)(a),
for “to 32” substitute “to 30”.

30 In section 77 (restrictions on certain share dealings: completed mergers), in
subsection (1)(b), omit “71 or”.

31 25In section 78 (restrictions on certain share dealings: anticipated mergers), in
subsection (1)(b), for “section 81” substitute “section 72 or 81”.

32 In section 89 (subject matter of undertakings), in subsection (2)—

(a) omit “71,”, and

(b) omit “1,”.

33 (1) 30Section 93 (further role of OFT in relation to undertakings and orders) is
amended as follows.

(2) In subsection (1), in paragraph (b), omit “1,”.

(3) In subsection (2), omit “1,”.

(4) In subsection (4), omit “1,”.

34 35In section 94 (rights to enforce undertakings and orders), in subsection (8),
omit “1,”.

35 (1) Section 99 (functions in relation to merger notices) is amended as follows.

(2) Omit subsections (2) to (4).

(3) In subsection (5), in paragraph (c), for the words from “or any” to “as
40required” substitute “or the person who gave the merger notice has failed

(with or without a reasonable excuse) to comply with any requirement of a
notice under section 109 in relation to the case concerned”.

36 (1) Section 107 (further publicity requirements) is amended as follows.

(2) In subsection (1), for paragraph (a) substitute—

“(a) 5any decision made by it that the duty to make a reference
under section 22 or 33 applies and any such reference made
by it;

(aa) any decision made by it that the duty to make such a
reference does not apply (other than a decision made by
10virtue of subsection (2)(b) of section 33);”.

(3) In that subsection, after paragraph (aa) insert—

“(ab) any notice given by it as mentioned in paragraph (b) of the
definition of “initial period” in section 34ZA(3);

(ac) any extension by it under section 34ZB of the initial period;

(ad) 15any decision made by it to cancel an extension as mentioned
in section 34ZB(7)(b);

(ae) any extension by it under section 34A of the preliminary
assessment period;

(af) any decision made by it to cancel an extension as mentioned
20in section 34A(6A)(b);.

(ag) any extension by it under section 46B of the preliminary
assessment period;

(ah) any decision made by it to cancel an extension as mentioned
in section 46B(3A)(b);”.

(4) 25In that subsection, omit paragraph (d).

(5) In that subsection, after paragraph (e) insert—

“(ea) any notice given by it under section 73A(2)(b);

(eb) any extension by it under section 73A of the period for
considering whether to accept an undertaking under section
3073;

(ec) any decision made by it to cancel an extension as mentioned
in section 73A(11)(b);”.

(6) In that subsection, in paragraph (f), for “such an undertaking or order”
substitute “an order mentioned in paragraph (e)”.

(7) 35At the end of that subsection insert “; and

(i) any notice given by it under section 96(2A).”

(8) In subsection (2), after paragraph (e) insert—

“(ea) any extension by it under section 41A of the period within
which its duty under section 41(2) is to be discharged;

(eb) 40any decision made by it to cancel an extension as mentioned
in section 41A(7)(b);”.

37 In section 130 (index of defined expressions), omit the entry for
“Undertakings under paragraph 1 of Schedule 7”.

38 (1) Schedule 7 (enforcement regime for public interest and special public
interest cases) is amended as follows.

(2) In paragraph 7, in sub-paragraph (1), for paragraph (b) substitute—

“(b) no orders under paragraph 2 are in force in relation to the
5relevant merger situation concerned or (as the case may
be) the special merger situation concerned.”

(3) In paragraph 8, in sub-paragraph (1), for paragraph (b) substitute—

“(b) no orders under paragraph 2 are in force in relation to the
relevant merger situation concerned or (as the case may
10be) the special merger situation concerned.”

39 In Schedule 15 (enactments conferring functions for the purposes of which
specified information may be disclosed), at the end insert—

• “The Health and Social Care Act 2012.”

Office of Communications Act 2002 (c. 11)Office of Communications Act 2002 (c. 11)

40 15In Schedule 1 to the Office of Communications Act 2002 (constitution etc. of
the OFCOM), in paragraph 18—

(a) the existing text becomes sub-paragraph (1), and

(b) after that sub-paragraph insert—

“(2) Sub-paragraph (1) is subject to provision in rules made
20under section 51 of the Competition Act 1998 by virtue of
paragraph 1A of Schedule 9 to that Act in respect of the
exercise of a function under Part 1 of that Act.”

Railways and Transport Safety Act 2003 (c. 20)Railways and Transport Safety Act 2003 (c. 20)

41 In Schedule 1 to the Rail and Transport Safety Act 2003 (constitution etc. of
25the Office of Rail Regulation), in paragraph 7—

(a) the existing text becomes sub-paragraph (1), and

(b) after that sub-paragraph insert—

“(2) Sub-paragraph (1) is subject to provision in rules made
under section 51 of the Competition Act 1998 by virtue of
30paragraph 1A of Schedule 9 to that Act in respect of the
exercise of a function under Part 1 of that Act.”

Communications Act 2003 (c. 21)Communications Act 2003 (c. 21)

42 The Communications Act 2003 is amended as follows.

43 (1) Section 192 (appeals against decisions by OFCOM etc) is amended as
35follows.

(2) In subsection (1), after paragraph (d) insert—

“(e) a decision by the CMA to which effect is given by an order
made under section 193A.”

(3) In subsection (6)(b), after “the Secretary of State” insert “, by the CMA”.

44 40In section 193 (reference of price control matters), in subsection (10), after
“this section” insert “and section 193A”.

45 In section 195 (decisions of the Tribunal), in subsection (9), for “or the
Secretary of State” (in each place it occurs) substitute “, the Secretary of State
or the CMA”.

46 In section 371 (functions under the Competition Act 1998), in subsections (2)
5and (3)(a), after “38(1) to (6)” (in each place where it occurs) insert “, 40B(1)
to (4)”.

Health and Social Care Act 2012 (c. 7)2012 (c. 7)

47 The Health and Social Care 2012 is amended as follows.

48 In section 72 (functions under the Competition Act 1998), in subsections (2)
10and (3), after “38(1) to (6)” (in each place where it occurs) insert “, 40B(1) to
(4)”.

49 In Schedule 8 (constitution etc. of Monitor), in paragraph 11, after sub-
paragraph (2) insert—

“(2A) Sub-paragraph (2) is subject to provision in rules made under
15section 51 of the Competition Act 1998 by virtue of paragraph 1A
of Schedule 9 to that Act in respect of the exercise of a function
under Part 1 of that Act.”

Civil Aviation Act 2012

50 The Civil Aviation Act 2012 is amended as follows.

51 20In section 62 (functions under Competition Act 1998), in subsections (2) and
(4), after “38(1) to (6)” (in each place where it occurs) insert “, 40B(1) to (4)”.

52 In section 63 (Competition Act 1998: supplementary), in subsection (1), after
“38(1) to (6)” insert “, 40B(1) to (4)”.

Electricity (Northern Ireland) Order 1992 (SI 1992/231 (N.I. 1)SI 1992/231 (N.I. 1))

53 25In article 46 of the Electricity (Northern Ireland) Order 1992 (functions with
respect to competition), in paragraphs (3), (3A) and (6)(b), after “38(1) to (6)”
(in each place where it occurs) insert “, 40B(1) to (4)”.

Gas (Northern Ireland) Order 1996 (SI 1996/275 (N.I. 2)SI 1996/275 (N.I. 2))

54 In article 23 of the Gas (Northern Ireland) Order 1996 (functions with respect
30to competition), in paragraphs (3), (3A) and (6)(b), after “38(1) to (6)” (in each
place where it occurs) insert “, 40B(1) to (4)”.

Energy (Northern Ireland) Order 2003 (SI 2003/419 (N.I. 6)SI 2003/419 (N.I. 6))

55 In Schedule 1 to the Energy (Northern Ireland) Order 2003 (constitution etc.
of the Authority), in paragraph 9, after sub-paragraph (2) insert—

“(2A) 35Sub-paragraph (1) is subject to provision in rules made under
section 51 of the Competition Act 1998 by virtue of paragraph 1A
of Schedule 9 to that Act in respect of the exercise of a function
under Part 1 of that Act.”

Section 52(5)

SCHEDULE 16 Local listed building consent orders: procedure

In the Planning (Listed Buildings and Conservation Areas) Act 1990, after
Schedule 2 insert—

Section 26D

“Schedule 2A 5Local listed building consent orders: procedure

Preparation

1 (1) A local listed building consent order must be prepared in
accordance with such procedure as is prescribed by regulations
under this Act.

(2) 10The regulations may include provision as to—

(a) the preparation, submission, approval, adoption, revision,
revocation and withdrawal of a local listed building
consent order;

(b) notice, publicity, and inspection by the public;

(c) 15consultation with and consideration of views of such
persons and for such purposes as are prescribed;

(d) the making and consideration of representations.

Revision

2 (1) The local planning authority may at any time prepare a revision of
20a local listed building consent order.

(2) An authority must prepare a revision of a local listed building
consent order—

(a) if the Secretary of State directs them to do so, and

(b) in accordance with such timetable as the Secretary of State
25directs.

(3) This Schedule applies to the revision of a local listed building
consent order as it applies to the preparation of the order.

(4) A local listed building consent order may not be varied except by
revision under this paragraph.

30Order to be adopted

3 A local listed building consent order is of no effect unless it is
adopted by resolution of the local planning authority.

Annual report

4 (1) While a local listed building consent order is in force the local
35planning authority must prepare reports containing such
information as is prescribed as to the extent to which the order is
achieving its purposes.

(2) A report under this paragraph must—