Part 1 Registration of consultant lobbyists

Requirement to register

1 Prohibition on consultant lobbying unless registered

(1) 5A person must not carry on the business of consultant lobbying unless the
person is entered in the register of consultant lobbyists.

(2) Sections 3 to 7 make provision about the keeping and publication of the
register.

2 Meaning of consultant lobbying

(1) 10For the purposes of this Part, a person carries on the business of consultant
lobbying if—

(a) in the course of a business and in return for payment, the person makes
communications within subsection (3) on behalf of another person or
persons,

(b) the person is registered under the Value Added Tax Act 1994, and

(c) 5none of the exceptions in Part 1 of Schedule 1 applies.

(2) Part 2 of that Schedule makes provision about the meaning, for the purposes of
this Part of this Act, of terms used in subsection (1).

(3) The communications within this subsection are oral or written
communications made personally to a Minister of the Crown, permanent
10secretary or special adviser relating to—

(a) the development, adoption or modification of any proposal of the
government to make or amend primary or subordinate legislation;

(b) the development, adoption or modification of any other policy of the
government;

(c) 15the making, giving or issuing by the government of, or the taking of any
other steps by the government in relation to,—

(i) any contract or other agreement,

(ii) any grant or other financial assistance, or

(iii) any licence or other authorisation; or

(d) 20the exercise of any other function of the government.

(4) It does not matter whether the person to whom the communication is made, or
the person making it, or both, are outside the United Kingdom when the
communication is made.

(5) In this section—

• 25“the government” means Her Majesty’s Government in the United
  Kingdom;

• “Minister of the Crown” means the holder of an office in the government,
  and includes the Treasury;

• “permanent secretary” means a person serving the government in—

  (a)

  30the position of permanent secretary or second permanent
  secretary in the civil service of the State, or

  (b)

  a position listed in Part 3 of Schedule 1 (positions equivalent to
  those mentioned in paragraph (a)).

Keeping the register

3 35The Registrar of Consultant Lobbyists

(1) There is to be a Registrar of Consultant Lobbyists.

(2) Schedule 2 makes provision about the Registrar.

4 The register

(1) The Registrar must keep and publish a register of consultant lobbyists.

(2) 40The entry for each registered person must include—

(a) in the case of a company—

(i) its name, its registered number and the address of its registered
office, and

(ii) the names of its directors and of any secretary and any shadow
directors;

(b) in the case of a partnership (including a limited liability partnership),
the names of the partners and the address of its main office or place of
5business;

(c) in the case of an individual, the individual’s name and the address of
the individual’s main place of business (or, if there is no such place, the
individual’s residence);

(d) in the case of any other person (including persons outside the United
10Kingdom), the equivalent information as specified in regulations;

(e) any name or names, not included under paragraphs (a) to (d), under
which the person carries on business as a consultant lobbyist;

(f) such other information regarding the identity of the person as may be
determined by the Registrar;

(g) 15a statement of—

(i) whether there is in place an undertaking by the person to
comply with a relevant code of conduct, and

(ii) if so, where a copy of the code may be inspected;

(h) such other information as may be specified in regulations.

(3) 20Each entry must also include—

(a) for each quarter in which the registered person has been entered in the
register, the person’s client information (see section 5(3)) or the
statement under section 5(5), and

(b) if the person received payment in the pre-registration quarter to engage
25in lobbying, the name of the person or persons on whose behalf the
lobbying was or is to be done.

(4) The pre-registration quarter is the period of 3 months ending on the date on
which the person applied to be entered in the register.

(5) Regulations may make further provision in connection with the register; and
30in particular may—

(a) specify other information about the persons mentioned in subsection
(3)(b) which must be included in the register;

(b) make provision about applications to be entered in the register,
including the form and content of those applications.

(6) 35In this section—

(a) any expression which is used in subsection (2)(a) and in the Companies
Acts has the meaning which it has in those Acts (see, in particular,
Schedule 8 to the Companies Act 2006);

(b) a “relevant code of conduct” (in subsection (2)(g)) is a code of conduct
40which governs the carrying on of the business of consultant lobbying
(whether or not it also governs other activities) and is open to
inspection by members of the public.

5 Notification of client information and changes

(1) A registered person must submit an information return to the Registrar for
45each quarter.

(2) The information return for a quarter must contain—

(a) either the client information for that quarter or a statement under
subsection (5), and

(b) details of any change in that quarter in the particulars included in the
register under section 4(2).

(3) 5The client information for a quarter is—

(a) if the registered person engaged in lobbying in the quarter in return for
payment (whether or not the payment has been received), the name of
the person or persons on whose behalf the lobbying was done, and

(b) if the registered person received payment in the quarter to engage in
10lobbying (whether or not the lobbying has been done), the name of the
person or persons on whose behalf the lobbying is or was to be done.

(4) Regulations may specify other information about the persons mentioned in
subsection (3) which must be included in an information return.

(5) A statement under this subsection is a statement that, in the quarter in
15question, the registered person neither engaged in lobbying in return for
payment nor received payment to engage in lobbying.

(6) The information return for a quarter must be submitted before the end of the
period of 2 weeks beginning immediately after the end of the quarter.

6 Duty to update register

(1) 20The Registrar must keep the register up to date.

(2) In particular, the Registrar must comply with subsections (3) and (4).

(3) Where a person applies, in accordance with regulations, to be entered in the
register, the Registrar must register the person before the end of the period of
4 working days beginning with the day after the day on which the application
25is received.

(4) The Registrar must update the register to include any information or change
which is notified in an information return.

(5) The Registrar must comply with subsection (4)—

(a) if the return is received before the end of the period specified in section
305(6), before the end of the period of 4 working days beginning with the
day after the day on which the return is received, or

(b) if the return is received after the end of that period, before the end of
the period of 8 working days beginning with the day after the day on
which the return is received.

(6) 35If the Registrar has reasonable grounds for believing that a registered person is
not (or is no longer) a consultant lobbyist, the Registrar may decide that—

(a) the person’s entry should include a statement to that effect, or

(b) the person’s entry should be removed from the register.

(7) In this section “working day” means any day other than—

(a) 40a Saturday or Sunday, or

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

7 Publication of register

(1) The Registrar must publish the register as kept in accordance with section 6.

(2) The Registrar may publish such entries, or parts of entries, as the Registrar
considers appropriate in respect of persons who were, but are no longer,
5entered in the register.

(3) Publication under this section is to be—

(a) on a website, and

(b) in such other form or forms as the Registrar considers appropriate.

Compliance

8 10Duty to monitor

The Registrar must monitor compliance with the obligations imposed by or
under this Part.

9 Notice to supply information

(1) In connection with the duty under section 8, the Registrar may serve a notice
15(an “information notice”) on a person mentioned in subsection (2) requiring the
person to supply information specified in the notice.

(2) The persons are—

(a) any registered person;

(b) any person who is not entered in the register but whom the Registrar
20has reasonable grounds for believing to be a consultant lobbyist.

(3) Regulations may specify descriptions of information which the Registrar may
not require a person to supply under this section.

(4) An information notice must—

(a) specify the form in which the information must be supplied,

(b) 25specify the date by which the information must be supplied, and

(c) contain particulars of the right to appeal under section 11.

(5) The date specified under subsection (4)(b) must not be before the end of the
period within which an appeal under section 11 can be brought.

(6) Section 10 sets out limitations on—

(a) 30what information is required to be supplied under a notice, and

(b) how information which is supplied may be used.

(7) Where an information notice has been served on a person, the Registrar may
cancel it by serving written notice to that effect on the person.

10 Limitations on duty to supply information and use of information supplied

(1) 35An information notice does not require a person to supply information if—

(a) doing so would disclose evidence of the commission of an offence,
other than an offence excluded by subsection (2), and

(b) the disclosure would expose the person to proceedings for that offence.

(2) The following offences are excluded from subsection (1)—

(a) an offence under this Part;

(b) an offence under section 5 of the Perjury Act 1911 (false statements
made otherwise than on oath);

(c) an offence under section 44 of the Criminal Law (Consolidation)
5(Scotland) Act 1995 (false statements made otherwise than on oath);

(d) an offence under Article 10 of the Perjury (Northern Ireland) Order
1979 (S.I.1979/1714 (N.I.19)S.I.1979/1714 (N.I.19)) (false statutory declarations etc).

(3) Any relevant statement made by a person (“P”) in response to a requirement in
an information notice may not be used in evidence against P on a prosecution
10for an offence under this Part (except section 12(4)) unless the conditions in
subsection (4) are met.

(4) The conditions are that in the proceedings—

(a) in giving evidence P provides information inconsistent with the
relevant statement, and

(b) 15evidence relating to the statement is adduced, or a question relating to
it is asked, by P or on P’s behalf.

(5) In subsection (3) “relevant statement”, in relation to a requirement in an
information notice, means—

(a) an oral statement, or

(b) 20a written statement made for the purposes of the requirement.

11 Right to appeal against information notice

(1) A person on whom an information notice has been served may appeal to the
Tribunal against the notice.

(2) If an appeal is brought under this section, the person is not required to supply
25the information until the date on which the appeal is finally determined or
withdrawn.

(3) Regulations may make provision for and in connection with the determination
of appeals under this section.

Offences

12 30Offences

(1) If a person carries on the business of consultant lobbying in breach of section
1(1) (lobbying whilst unregistered), an offence is committed by—

(a) the person, and

(b) any individual who, not being entered in the register, engages in
35lobbying in the course of that business.

(2) It is an offence for a registered person to engage in lobbying if—

(a) the person’s entry in the register is inaccurate or incomplete in a
material particular, and

(b) the person has failed, when required to submit an information return
40under section 5, to provide sufficient information in or accompanying
the return to enable the inaccuracy or omission to be rectified.

(3) Where a person is required to submit an information return under section 5, it
is an offence for the person—

(a) to fail to do so within the period specified in section 5(6), or

(b) to provide information which is inaccurate or incomplete in a material
particular.

(4) Where an information notice has been served on a person, it is an offence for
5the person—

(a) to fail to supply the required information on or before the date by
which the person is required to do so, or

(b) to provide information which is inaccurate or incomplete in a material
particular.

(5) 10It is a defence for a person charged under any of subsections (1) to (4) to show
that the person exercised all due diligence to avoid committing the offence.

(6) A person is taken to have shown the fact mentioned in subsection (5) if—

(a) sufficient evidence of the fact is adduced to raise an issue with respect
to it, and

(b) 15the contrary is not proved beyond reasonable doubt.

(7) A person guilty of an offence under any of subsections (1) to (4) is liable—

(a) on summary conviction in Scotland or Northern Ireland, to a fine not
exceeding the statutory maximum;

(b) on summary conviction in England and Wales, or on conviction on
20indictment, to a fine.

(8) In the case of a summary conviction in England and Wales for an offence
committed before the coming into force of section 85 of the Legal Aid,
Sentencing and Punishment of Offenders Act 2012, the fine under subsection
(7) must not exceed the statutory maximum.

(9) 25Proceedings for an offence under this Part may be instituted—

(a) in England and Wales, only by or with the consent of the Director of
Public Prosecutions;

(b) in Northern Ireland, only by or with the consent of the Director of
Public Prosecutions for Northern Ireland.

13 30Bodies corporate and Scottish partnerships

(1) Where an offence under this Part is committed by a body corporate and is
proved—

(a) to have been committed with the consent or connivance of a director,
manager, secretary or other similar officer, or

(b) 35to be attributable to any neglect on the part of any such individual,

the individual as well as the body corporate is guilty of the offence and is liable
to be proceeded against and punished accordingly.

(2) Where the affairs of a body corporate are managed by its members, subsection
(1) applies in relation to the acts and omissions of a member in connection with
40that management as if the member were a director of the body corporate.

(3) Where an offence under this Part is committed by a partnership constituted
under the law of Scotland and is proved—

(a) to have been committed with the consent or connivance of a partner, or

(b) to be attributable to any neglect on the part of any such individual,

the individual as well as the partnership is guilty of the offence and is liable to
be proceeded against and punished accordingly.

Civil penalties

14 Civil penalties

(1) 5The Registrar may impose a civil penalty on a person (in accordance with
sections 15 to 18) if the Registrar is satisfied that the person’s conduct amounts
to an offence under any of subsections (1) to (4) of section 12.

(2) For this purpose—

(a) section 12(5) (defence of due diligence) is to be ignored, and

(b) 10a person’s conduct includes a failure to act.

15 Notice of intention to impose civil penalty

(1) Before imposing a civil penalty on a person, the Registrar must serve on that
person a notice stating that the Registrar proposes to impose the penalty.

(2) The notice must—

(a) 15set out the conduct on which the proposal to impose the penalty is
based,

(b) set out the reasons why the Registrar is satisfied that the person has
engaged in that conduct,

(c) state the amount of the proposed penalty, and

(d) 20inform the person that the person may, within a period specified in the
notice, make written representations in relation to the proposal.

(3) The Registrar must not impose the penalty before the end of the period
specified under subsection (2)(d).

(4) The Registrar must consider any written representations received before the
25end of that period.

16 Imposition of penalty

(1) If the Registrar decides to impose a civil penalty, the Registrar must serve on
the person a notice to that effect (a “penalty notice”).

(2) The notice must—

(a) 30set out the conduct on which the decision to impose the penalty is
based,

(b) set out the reasons why the Registrar is satisfied that the person has
engaged in that conduct,

(c) state the amount of the penalty,

(d) 35specify the period within which and the form in which the penalty must
be paid, and

(e) contain particulars of the right to appeal under section 17.

(3) The amount specified in a penalty notice must not exceed £7500.

(4) Regulations may amend subsection (3) by substituting a different maximum
40figure.

(5) The period specified under subsection (2)(d) must not end before the end of the
period within which an appeal under section 17 can be brought.

(6) The person must pay the amount before the end of that period (but this is
subject to section 17(2)).

(7) 5Where a penalty notice has been served on a person, the Registrar may vary or
cancel it by serving written notice to that effect on the person.

17 Right to appeal against imposition of civil penalty

(1) A person on whom a penalty notice has been served may appeal to the
Tribunal against—

(a) 10the decision to impose the penalty;

(b) if the penalty notice has been varied, the decision to vary it;

(c) the amount of the penalty.

(2) If an appeal is brought under this section, the person is not required to pay the
penalty until the date on which the appeal is finally determined or withdrawn.

(3) 15Regulations may make provision for and in connection with the determination
of appeals under this section.

18 Civil penalties and criminal proceedings

(1) The Registrar may not impose a civil penalty on a person in respect of any
conduct—

(a) 20at any time after criminal proceedings for an offence under this Part
have been instituted against the person in respect of that conduct and
before those proceedings have been concluded, or

(b) after the person has been convicted of an offence under this Part in
respect of that conduct.

(2) 25If the Registrar has imposed a civil penalty on a person in respect of any
conduct, the person may not be convicted of an offence under this Part in
respect of that conduct.

19 Enforcement

(1) An amount payable to the Registrar as a civil penalty may be recovered by the
30Registrar as a debt.

(2) In proceedings for the enforcement of a civil penalty no question may be raised
as to—

(a) liability to the imposition of the penalty, or

(b) the amount of the penalty.

(3) 35The Registrar must pay into the Consolidated Fund any sums received by
virtue of a penalty notice.

20 Further provision about civil penalties

Regulations may make further provision about civil penalties; and in particular
may—

(a) 40specify circumstances in which a penalty may not be imposed;