Session 2014-15
Other Public Bills before Parliament
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Small Business, Enterprise and Employment Bill
Marshalled
List of Amendments
to be moved
ON REPORT
The amendments have been marshalled in accordance with the Order of 26th February 2015, as follows—
| Clause 41 Schedule 1 Clauses 42 to 77 Schedule 2 Clauses 78 to 81 Schedule 3 Clauses 82 to 84 Schedule 4 Clauses 85 to 94 Schedule 5 Clauses 95 to 97 Schedule 6 Title |
Clauses 98 to 111 Schedule 7 Clause 112 Schedule 8 Clauses 113 to 126 Schedule 9 Clauses 127 to 133 Schedule 10 Clauses 134 to 144 Schedule 11 Clauses 145 to 163 |
[Amendments marked * are new or have been altered]
Schedule 1
BARONESS NEVILLE-ROLFE
Page 150, line 6, leave out from “arrangements” to end of line 7 and insert “for
persons to be seconded to the Adjudicator to serve as members of the
Adjudicator’s staff.”
Page 150, line 8, at end insert “to the person with whom the arrangements are
made, or directly to seconded staff (or both).”
Page 150, line 8, at end insert—
“( ) A period of secondment to the Adjudicator does not affect the continuity
of a person’s employment with the employer from whose service he or
she is seconded (and a person employed in the civil service of the State
continues to be so employed during any period of secondment to the
Adjudicator).
( ) Before making arrangements under sub-paragraph (1), the Adjudicator
must obtain the approval of the Secretary of State as to the Adjudicator’s
policies on—
(a) the number of staff to be seconded;
(b) payments to be made to or in respect of seconded staff;
(c) the terms and conditions on which staff are to be seconded.”
Page 152, line 14, after first “rent” insert “only”
Page 153, line 7, leave out “place” and insert “places”
Page 153, line 7, at end insert—
“Member of staff of the Pubs Code Adjudicator.”
Clause 42
BARONESS NEVILLE-ROLFE
Page 38, line 29, leave out “as a result of” and insert “than they would be if they
were not subject to”
LORD STONEHAM OF DROXFORD
Page 39, line 7, leave out “may” and insert “must”
BARONESS NEVILLE-ROLFE
Page 39, line 8, leave out “falling within section 70(1)(b)”
LORD STONEHAM OF DROXFORD
Page 39, line 10, leave out “may” and insert “must”
LORD HODGSON OF ASTLEY ABBOTTS
Page 39, line 15, at end insert—
“( ) must require the parallel rent assessment to be calculated in the
same way as an MRO-compliant tenancy or licence, as defined in
section 43.”
After Clause 42
LORD MENDELSOHN
LORD STEVENSON OF BALMACARA
Insert the following new Clause—
(1) The Secretary of State shall establish regulations and guidance for cases
where the extension of the rent assessment for pub tenants beyond usual
terms is granted in return for a sum of investment from the pub company.
(2) These regulations and guidance shall include, but are not limited to, the
following—
(a) the definition and amount of investment;
(b) the maximum deferral period of MRO in return for investment to
be five years;
(c) the deferral period for MRO to begin after investment sums are
fully expended;
(d) the buyout of agreement provisions whereby a tenant can opt for
MRO;
(e) the tenant’s option to allow for alternative and blended finance to
maintain MRO;
(f) an investment agreement will be a trigger event for MRO;
(g) an investment agreement will trigger the Parallel Rent Assessment;
and
(h) clarification that anagreement of investment means no opt out of
the Landlord and Tenants Act 1954.
(3) Any investment agreement must recognise the different nature and size of
pubs and relevant investment requirements.”
Clause 43
BARONESS NEVILLE-ROLFE
Page 39, line 18, after “rent” insert “only”
Page 39, line 20, after “rent” insert “only”
Page 39, line 23, leave out “the market rent”
Page 39, line 23, at end insert “—
(i) such rent as may be agreed between the pub-owning
business and the tied pub tenant in accordance with the
MRO procedure (see section 44), or
(ii) failing such agreement, the market rent.”
Page 39, line 25, after “rent” insert “only”
Page 39, line 27, after “rent” insert “only”
Page 39, line 44, leave out “may, in particular, require” and insert “must include
provision requiring”
Page 39, line 45, after “rent” insert “only”
LORD HODGSON OF ASTLEY ABBOTTS
Page 40, line 23, at end insert—
“( ) The Pubs Code may set out the circumstances in which subsections (6)(a)
and (b) are deferred for a specified period in circumstances where there is
a significant investment agreement with the tied pub.
( ) The Pubs Code will set out the process and definition of “significant
investment” and “specified period”, to be overseen by the Adjudicator.”
BARONESS NEVILLE-ROLFE
Page 40, line 24, leave out from “to” to “that” in line 26 and insert “the occupation
of particular premises under a tenancy or licence which is MRO-compliant, means
the estimated rent which it would be reasonable to pay in respect of that
occupation on the following assumptions—
(a) that the tenancy or licence concerned is entered into —
(i) on the date on which the determination of the estimated rent
is made;
(ii) in an arm’s length transaction ;
(iii) after proper marketing; and
(iv) between parties each of whom has acted knowledgeably,
prudently and willingly; and
(b) ”
LORD HODGSON OF ASTLEY ABBOTTS
Page 40, line 27, at end insert—
“( ) The requirement to offer a market rent only option set out in subsection (1)
does not apply to franchise agreements, defined as agreements whereby no
rent is paid by the franchisee and their share of the profit is unaffected by
the price paid for tied products.”
Clause 44
BARONESS NEVILLE-ROLFE
Page 40, line 31, after “rent” insert “only”
Page 40, line 31, leave out “the market rent option” and insert “the MRO”
Page 40, line 38, after “rent” insert “only”
Page 40, line 39, at end insert—
“(ab) specify a reasonable period (“the negotiation period”) during which
the pub-owning business and the tied pub tenant may seek to agree
the rent to be payable in respect of the tied pub tenant’s occupation
of the premises concerned under the proposed MRO-compliant
tenancy or licence;”
Page 40, line 42, after “where” insert “, at the end of the negotiation period,”
Page 40, line 43, leave out “cannot agree on that market rent” and insert “have not
reached agreement as mentioned in paragraph (ab)”
Page 41, line 2, at end insert—
“( ) require that the market rent must be determined by the
independent assessor within a specified reasonable period;”
Page 41, line 14, leave out “market rent option” and insert “MRO”
Page 41, line 18, leave out “market rent option” and insert “MRO”
Clause 45
LORD STONEHAM OF DROXFORD
Page 41, line 21, leave out “may” and insert “must”
BARONESS NEVILLE-ROLFE
Page 41, line 23, after “rent” insert “only”
LORD STONEHAM OF DROXFORD
Page 41, line 24, leave out “may” and insert “must”
BARONESS NEVILLE-ROLFE
Page 41, line 27, after “rent” insert “only”
Page 41, line 32, leave out “market rent option” and insert “MRO”
LORD STONEHAM OF DROXFORD
Page 41, line 34, leave out “may” and insert “must”
Clause 62
BARONESS NEVILLE-ROLFE
Page 49, line 5, after first “rent” insert “only”
Clause 68
LORD STONEHAM OF DROXFORD
Page 51, leave out lines 12 and 13 and insert “product or service tie supplied or
provided by”
BARONESS NEVILLE-ROLFE
Page 51, line 26, at end insert “(whether or not it restricts such sales)”
Clause 69
LORD WHITTY
Page 51, line 37, leave out “tied pubs” and insert “pubs of any kind”
Page 51, line 40, leave out “tied pubs” and insert “pubs of any kind”
BARONESS NEVILLE-ROLFE
Page 51, line 43, at end insert—
“(2A) A person not falling within subsection (1) and who is the landlord of a tied
pub occupied by a tied pub tenant who has extended protection in relation
to that tied pub is also a pub-owning business for the purposes of this Part
in relation to that occupation.
(2B) A tied pub tenant has “extended protection in relation to a tied pub” if—
(a) the tenant occupies the tied pub under a tenancy or licence at a time
when the landlord is a person who is a pub-owning business by
virtue of subsection (1), and
(b) before the end of that tenancy or licence the landlord is no longer
such a person (whether because of a transfer of title or because the
landlord ceases to fall within subsection (1)).
(2C) But a tied pub tenant ceases to have “extended protection in relation to a
tied pub” on the earlier of—
(a) the end of the tenancy or licence concerned, and
16
(b) the conclusion of the first rent assessment or assessment of money
17payable in lieu of rent to be provided after the landlord is no longer
a person who is a pub-owning business by virtue of subsection (1).
(2D) The Secretary of State may for the purposes of subsections (2B) and (2C) by
regulations specify—
(a) when a tenancy or licence ends;
22
(b) when a rent assessment or assessment of money payable in lieu of
rent is concluded.
24
(2E) Nothing in sections 43 to 45 and sections 53 to 59 has effect in relation to a
person who is a pub-owning business by virtue of subsection (2A).”
LORD WHITTY
[Amendments 33AW to 33AY are amendments to Amendment 33AV]
Line 16, leave out from beginning to “after” in line 17 and insert “10 years”
Line 22, leave out paragraph (b) and insert “, and
(b) from what day the 10 years commences”
Line 24, leave out subsection (2E)
Clause 71
LORD MENDELSOHN
LORD STEVENSON OF BALMACARA
Page 53, line 14, at end insert—
“( ) The regulations outlined in subsection (4) will be subject to the affirmative
procedure.”
Clause 72
BARONESS NEVILLE-ROLFE
Page 53, line 25, after second “rent” insert “only”
Page 53, line 27, leave out “market rent option” and insert “MRO”
Clause 75
BARONESS NEVILLE-ROLFE
Page 54, line 36, leave out subsection (5)
Schedule 3
BARONESS NEVILLE-ROLFE
Page 163, line 30, at end insert “, and
(i) if, in relation to that company, restrictions on using or
disclosing any of the individual’s PSC particulars are in
force under regulations under section 790ZF, that fact.”
LORD WATSON OF INVERGOWRIE
LORD PHILLIPS OF SUDBURY
Page 163, line 30, at end insert—
“(i) where the control is exercised through a chain of legal
entities (as described in Schedule 1A), details of name,
service address and jurisdiction of registration of all legal
entities in the chain”
Page 163, line 40, at end insert—
“(f) where the control is exercised through a chain of legal
entities (as described in Schedule 1A), details of name,
service address and jurisdiction of registration of all legal
entities in the chain”
Page 164, line 6, at end insert—
“(g) where the control is exercised through a chain of legal
entities (as described in Schedule 1A), details of name,
service address and jurisdiction of registration of all legal
entities in the chain”
LORD FLIGHT
Page 166, leave out line 3
Page 166, leave out lines 5 to 18
Page 166, line 21, after “person” insert “for a proper purpose”
BARONESS NEVILLE-ROLFE
Page 166, line 31, leave out from “used” to end of line 40
LORD FLIGHT
Page 166, line 40, at end insert—
“(5) For the purposes of this Part, a “proper purpose” shall mean—
(a) in the case of a national security agency, for safeguarding
national security or personal safety,
(b) in the case of HM Revenue and Customs, for the conduct
of tax investigations, and
(c) in the case of law enforcement authorities, for the
purpose of criminal investigations.”
LORD BORWICK
Page 167, line 46, at end insert—
“( ) A proper purpose under subsection (2) must be the same as the
purpose provided under section 790O(4)(c).”
Page 168, line 12, at end insert—
“( ) Where a person guilty of an offence under this section is a
company or organisation, every officer of that company or
organisation is guilty of the same offence.”
BARONESS NEVILLE-ROLFE
Page 168, line 24, at end insert—
“790SA Protected information
(1) Section 790N and subsections (1) and (2) of section 790O are
subject to—
(a) section 790ZE (protection of information as to usual
residential address), and
(b) any provision of regulations made under section 790ZF
(protection of material).
(2) Subsection (1) is not to be taken to affect the generality of the
power conferred by virtue of section 790ZF(3)(ea).”
Page 175, line 1, leave out “where an application is granted,”
Page 175, line 3, at end insert—
“(ea) the operation of sections 790N to 790S in cases where an
application is made, and”
Page 180, line 36, leave out “prepare and publish” and insert “issue”
Page 180, leave out line 39
Page 180, line 40, leave out from “guidance” to first “in” in line 41
Page 180, line 42, at end insert—
“(3A) Before issuing guidance under this paragraph the Secretary of
State must lay a draft of it before Parliament.
(3B) If, within the 40-day period, either House of Parliament
resolves not to approve the draft guidance, the Secretary of
State must take no further steps in relation to it.
(3C) If no such resolution is made within that period, the Secretary
of State must issue and publish the guidance in the form of the
draft.
(3D) Sub-paragraph (3B) does not prevent a new draft of proposed
guidance from being laid before Parliament.
(3E) In this section “the 40-day period”, in relation to draft
guidance, means the period of 40 days beginning with the day
on which the draft is laid before Parliament (or, if it is not laid
before each House on the same day, the later of the days on
which it is laid).
(3F) In calculating the 40-day period, no account is to be taken of
any period during which—
(a) Parliament is dissolved or prorogued, or
(b) both Houses are adjourned for more than 4 days.
(3G) The Secretary of State may revise guidance issued under this
paragraph, and a reference in this paragraph to guidance
includes a reference to revised guidance.”
Page 181, line 15, after “means” insert “—
( ) ”
Page 181, line 18, at end insert “, or
( ) a foreign limited partner.
(5) In this paragraph “foreign limited partner” means an
individual who—
(a) participates in arrangements established under the law
of a country or territory outside the United Kingdom,
and
(b) has the characteristics prescribed by regulations made
by the Secretary of State.
(6) Regulations under this paragraph may, in particular, prescribe
characteristics by reference to—
(a) the nature of arrangements;
(b) the nature of an individual’s participation in the
arrangements.
(7) Regulations under this paragraph are subject to affirmative
resolution procedure.”
After Clause 82
LORD WATSON OF INVERGOWRIE
LORD PHILLIPS OF SUDBURY
Insert the following new Clause—
The Secretary of State must once a year lay a report before Parliament on
the measures being taken, and the performance of such measures, to ensure
that PSC information recorded on the register is both accurate and
verified.”
Clause 87
BARONESS NEVILLE-ROLFE
Page 61, line 22, leave out “negative” and insert “affirmative”
Clause 92
LORD FLIGHT
Page 68, line 39, at end insert—
“(4) The registrar shall only make available information delivered
under this section for a proper purpose as defined in Part 21A.”
Page 69, line 8, at end insert—
“(5) The registrar shall only make available information delivered
under this section for a proper purpose as defined in Part 21A.”
After Clause 103
LORD STEVENSON OF BALMACARA
LORD MENDELSOHN
Insert the following new Clause—
(1) This section applies to directors of companies involved in any or all of the
following—
(a) takeover bids;
(b) merger transactions; and
(c) transactions (not falling within paragraph (a) or (b) that have or
may have, directly or indirectly, an effect on the ownership or
control of companies of which they are a director.
(2) Directors of companies affected by transactions outlined in subsection (1)
must set out clearly in a public statement when making recommendations
to shareholders how they have discharged their duties as directors, as
outlined in section 172 of the Companies Act 2006 (duty to promote the
success of the company).”
Clause 106
BARONESS NEVILLE-ROLFE
Page 86, line 5, leave out from “instrument” to “House” in line 6 and insert—
“(9) An order under this section may not be made unless a draft of the
instrument containing it has been laid before, and approved by a
resolution of, each”
After Clause 106
LORD MENDELSOHN
LORD STEVENSON OF BALMACARA
Insert the following new Clause—
The Secretary of State shall review existing provisions used to determine
the unfitness and disqualification of directors; and this review shall include
but is not limited to—
(a) greater consideration of a person’s fitness to perform a duty of a
director with specific consideration of the role of non-executive
directors;
(b) the case for examining misconduct or criminal investigations of
companies and how existing legislation and regulation have failed
to prevent these from occurring;
(c) the ability to exclude someone from performing a role as a public
listed company non-executive director;
(d) whether disqualification should extend to all non-executive
directors and in particular to the chairman, senior non-executive
and committee chairs for their role in a particular matter.”
Clause 122
BARONESS NEVILLE-ROLFE
Page 98, line 31, leave out “prescribed proportion of the” and insert “minimum
number of”
Page 98, line 32, leave out “of the”
Page 99, line 7, at end insert—
“(6A) For the purposes of subsection (3) the “minimum number” of creditors or
contributories is any of the following—
(a) 10% in value of the creditors or contributories;
(b) 10% in number of the creditors or contributories;
(c) 10 creditors or contributories.
(6B) The references in subsection (6A) to creditors are to creditors of any class,
even where a decision is sought only from creditors of a particular class.”
Page 99, line 12, leave out “In this section references” and insert “Except as
provided by subsection (6B), references in this section”
Page 99, line 36, leave out “prescribed proportion of the” and insert “appropriate
number of”
Page 99, line 37, leave out first “the”
Page 99, line 47, at end insert—
“( ) For the purposes of subsection (4) the “appropriate number” of relevant
creditors or relevant contributories is 10% in value of those creditors or
contributories.”
Page 100, line 10, at end insert—
“246ZG Power to amend sections 246ZE and 246ZF
(1) The Secretary of State may by regulations amend section 246ZE so as to
change the definition of—
(a) the minimum number of creditors;
(b) the minimum number of contributories.
(2) The Secretary of State may by regulations amend section 246ZF so as to
change the definition of—
(a) the appropriate number of relevant creditors;
(b) the appropriate number of relevant contributories.
(3) Regulations under this section may define the minimum number or the
appropriate number by reference to any one or more of—
(a) a proportion in value,
(b) a proportion in number,
(c) an absolute number,
and the definition may include alternative, cumulative or relative
requirements.
(4) Regulations under subsection (1) may define the minimum number of
creditors or contributories by reference to all creditors or contributories, or
by reference to creditors or contributories of a particular description.
(5) Regulations under this section may make provision that will result in
section 246ZE or 246ZF having different definitions for different cases,
including—
(a) for creditors and for contributories,
(b) for different kinds of decisions.
(6) Regulations under this section may make transitional provision.
(7) The power of the Secretary of State to make regulations under this section
is exercisable by statutory instrument.
(8) A statutory instrument containing regulations under this section may not
be made unless a draft of the instrument has been laid before, and
approved by a resolution of, each House of Parliament.””
Clause 123
BARONESS NEVILLE-ROLFE
Page 101, line 10, leave out “prescribed proportion of the” and insert “minimum
number of”
Page 101, line 22, at end insert—
“(6A) For the purposes of subsection (3) the “minimum number” of creditors is
any of the following—
(a) 10% in value of the creditors;
(b) 10% in number of the creditors;
(c) 10 creditors.
(6B) The references in subsection (6A) to creditors are to creditors of any class,
even where a decision is sought only from creditors of a particular class.”
Page 101, line 27, leave out “In this section references” and insert “Except as
provided by subsection (6B), references in this section”
Page 102, line 8, leave out “prescribed proportion of the” and insert “appropriate
number of”
Page 102, line 17, at end insert—
“( ) For the purposes of subsection (4) the “appropriate number” of relevant
creditors is 10% in value of those creditors.”
Page 102, line 24, at end insert—
“379ZC Power to amend sections 379ZA and 379ZB
(1) The Secretary of State may by regulations amend section 379ZA so as to
change the definition of the minimum number of creditors.
(2) The Secretary of State may by regulations amend section 379ZB so as to
change the definition of the appropriate number of relevant creditors.
(3) Regulations under this section may define the minimum number or the
appropriate number by reference to any one or more of—
(a) a proportion in value,
(b) a proportion in number,
(c) an absolute number,
and the definition may include alternative, cumulative or relative
requirements.
(4) Regulations under subsection (1) may define the minimum number of
creditors by reference to all creditors, or by reference to creditors of a
particular description.
(5) Regulations under this section may make provision that will result in
section 379ZA or 379ZB having different definitions for different cases,
including for different kinds of decisions.
(6) Regulations under this section may make transitional provision.
(7) The power of the Secretary of State to make regulations under this section
is exercisable by statutory instrument.
(8) A statutory instrument containing regulations under this section may not
be made unless a draft of the instrument has been laid before, and
approved by a resolution of, each House of Parliament.””
Before Clause 147
BARONESS THORNTON
LORD LOW OF DALSTON
LORD YOUNG OF NORWOOD GREEN
BARONESS PROSSER
Insert the following new Clause—
(1) The Secretary of State must, as soon as possible, and no later than 12
months after the passing of this Act, make regulations under section 78 of
the Equality Act 2010 (gender pay gap information) for the purpose of
requiring companies to publish information showing whether there are
differences in the pay of male and female employees.
(2) The Secretary of State may consult such persons as the Secretary of State
thinks appropriate on the details of such regulations prior to publication.”
After Clause 147
BARONESS NEVILLE-ROLFE
LORD STEVENSON OF BALMACARA
Insert the following new Clause—
(1) The Employment Rights Act 1996 is amended as follows.
(2) After section 49A insert—
“PART 5A
PROTECTION FOR APPLICANTS FOR EMPLOYMENT ETC IN THE HEALTH SERVICE
49B Regulations prohibiting discrimination because of protected
disclosure
(1) The Secretary of State may make regulations prohibiting an NHS
employer from discriminating against an applicant because it
appears to the NHS employer that the applicant has made a
protected disclosure.
(2) An “applicant”, in relation to an NHS employer, means an
individual who applies to the NHS employer for—
(a) a contract of employment,
(b) a contract to do work personally, or
(c) appointment to an office or post.
(3) For the purposes of subsection (1), an NHS employer discriminates
against an applicant if the NHS employer refuses the applicant’s
application or in some other way treats the applicant less
favourably than it treats or would treat other applicants in relation
to the same contract, office or post.
(4) Regulations under this section may, in particular—
(a) make provision as to circumstances in which discrimination
by a worker or agent of an NHS employer is to be treated,
for the purposes of the regulations, as discrimination by the
NHS employer;
(b) confer jurisdiction (including exclusive jurisdiction) on
employment tribunals or the Employment Appeal Tribunal;
(c) make provision for or about the grant or enforcement of
specified remedies by a court or tribunal;
(d) make provision for the making of awards of compensation
calculated in accordance with the regulations;
(e) make different provision for different cases or
circumstances;
(f) make incidental or consequential provision, including
incidental or consequential provision amending—
(i) an Act of Parliament (including this Act),
(ii) an Act of the Scottish Parliament,
(iii) a Measure or Act of the National Assembly for
Wales, or
(iv) an instrument made under an Act or Measure within
any of sub-paragraphs (i) to (iii).
(5) Subsection (4)(f) does not affect the application of section 236(5) to
the power conferred by this section.
(6) “NHS employer” means an NHS public body prescribed by
regulations under this section.
(7) “NHS public body” means—
(a) the National Health Service Commissioning Board;
(b) a clinical commissioning group;
(c) a Special Health Authority;
(d) an NHS trust;
(e) an NHS foundation trust;
(f) the Care Quality Commission;
(g) Health Education England;
(h) the Health Research Authority;
(i) the Health and Social Care Information Centre;
(j) the National Institute for Health and Care Excellence;
(k) Monitor;
(l) a Local Health Board established under section 11 of the
National Health Service (Wales) Act 2006;
(m) the Common Services Agency for the Scottish Health
Service;
(n) Healthcare Improvement Scotland;
(o) a Health Board constituted under section 2 of the National
Health Service (Scotland) Act 1978;
(p) a Special Health Board constituted under that section.
(8) The Secretary of State must consult the Welsh Ministers before
making regulations prescribing any of the following NHS public
bodies for the purposes of the definition of “NHS employer”—
(a) a Special Health Authority established under section 22 of
the National Health Service (Wales) Act 2006;
(b) an NHS trust established under section 18 of that Act;
(c) a Local Health Board established under section 11 of that
Act.
(9) The Secretary of State must consult the Scottish Ministers before
making regulations prescribing an NHS public body within any of
paragraphs (m) to (p) of subsection (7) for the purposes of the
definition of “NHS employer”.
(10) For the purposes of subsection (4)(a)—
(a) “worker” has the extended meaning given by section 43K,
and
(b) a person is a worker of an NHS employer if the NHS
employer is an employer in relation to the person within the
extended meaning given by that section.”
(3) In section 230(6) (interpretation of references to employees, workers etc) for
“and 47B(3)” substitute “, 47B(3) and 49B(10)”.
(4) In section 236(3) (orders and regulations subject to affirmative procedure)
after “47C,” insert “49B,”.”
LORD WILLS
LORD PHILLIPS OF SUDBURY
LORD LOW OF DALSTON
Insert the following new Clause—
The Secretary of State shall—
(a) not later than the end of the period of 12 months beginning on the
day on which this Act is passed, order a review of the operation of
the UK whistleblowing framework;
(b) not more than 6 months after that period, lay before Parliament a
report of the findings made in the review and of the conclusions
drawn from the findings; and
(c) every 36 months, commencing after a report has been made to
Parliament under paragraph (b), order a further review of the UK
whistleblowing framework and report to Parliament in line with
this section.”
Insert the following new Clause—
The Secretary of State shall by order require persons engaged in regulatory
work to establish a National Whistleblowing Review Officer.”
Insert the following new Clause—
(1) For the purposes of sections (The National Whistleblowing Review Officer:
Investigations to (Disclosure of information to the National Whistleblowing
Review Officer) a “whistleblowing concern” is where a disclosure of
information has been made to either a regulator or an employer which
must tend to show one of the following—
(a) that a criminal offence has been committed, is being committed or
is likely to be committed;
(b) that a person has failed, is failing or is likely to fail to comply with
any legal obligation to which he is subject;
(c) that a miscarriage of justice has occurred, is occurring or is likely to
occur;
(d) that the health or safety of any individual has been, is being or is
likely to be endangered;
(e) that the environment has been, is being or is likely to be damaged;
(f) that gross waste or mismanagement of funds is being committed or
is likely to be committed;
(g) that serious misuse or abuse of authority is being committed or is
likely to be committed; or
(h) that information tending to show any matter falling within any one
of the preceding paragraphs has been, is being or is likely to be
deliberately concealed;
(2) A “whistleblower” is—
(a) a worker;
(b) an employee;
(c) a former worker;
(d) a former employee;
(e) a student;
(f) a non-executive director;
(g) a public appointee; or
(h) a volunteer,
who has made a disclosure of information to either an organisation or a
regulator as set out in section 43F of the Employment Rights Act 1996
(disclosure to prescribed person).”
Insert the following new Clause—
(1) Subject to subsections (2) and (3), the National Whistleblowing Review
Officer may investigate alleged maladministration or a failure to
investigate by either an organisation or the regulator where a
whistleblowing concern has been made if—
(a) a whistleblower makes a complaint to the National Whistleblowing
Review Officer;
(b) representations are made to the National Whistleblowing Review
Officer by a legal or union representative on behalf of a
whistleblower; or
(c) an organisation or regulator refers itself to the National
Whistleblowing Review Officer for investigation.
(2) Unless the conditions set out in subsection (3) are satisfied, the National
Whistleblowing Review Officer shall not conduct an investigation in
respect of action in relation to which the whistleblower has or is
pursuing—
(a) a right of appeal, reference or review to or before a tribunal
constituted by or under any enactment or by virtue of Her
Majesty’s prerogative;
(b) a remedy by way of proceedings in any court of law; or
(c) where a regulatory or law enforcement body is conducting an
investigation.
(3) Where subsection (2) applies, the National Whistleblowing Review Officer
shall conduct an investigation where he is satisfied that—
(a) the procedure has been exhausted;
(b) in the particular circumstances it is not reasonable to expect that
procedure to be invoked or (as the case may be) exhausted; or
(c) the procedure or investigation has not been adequately pursued.”
Insert the following new Clause—
(1) The National Whistleblowing Review Officer must determine complaints
by reference to what is, in the opinion of the National Whistleblowing
Review Officer, fair and reasonable in all circumstances of the case.
(2) The determination may contain one or more of the following—
(a) a review of the handling of a whistleblowing concern to identify
failures in best practice, failure to address public interest issues or
the causing of injustice to a whistleblower;
(b) advice to an employer, where failure to follow best practice has
been found, to take appropriate or proportionate action;
(c) recommendations to the relevant system regulator or oversight
body that it make a direction requiring action, which may include
the following—
(i) addressing any ongoing risks not resolved from the
whistleblowing concern;
(ii) correction of any failure to investigate a whistleblowing
concern;
(iii) correction of any non-compliance of good practice
identified;
(iv) appropriate recognition of the contribution of the
whistleblower in raising a whistleblowing concern;
(v) rejection of the complaint where the Ombudsman is of the
opinion, after consideration, that—
(a) the complaint is frivolous;
(b) there is no substance to it, or
(c) the organisation or any third party organisation has
dealt with the concern raised by the whistleblower
or with the complaint about the way the
whistleblower has been treated,
(3) Nothing in this scheme prevents the whistleblower from pursuing a claim
under the Public Interest Disclosure Act 1998.
(4) The National Whistleblowing Review Officer shall make available a report
of any actions taken under this section.”
Insert the following new Clause—
(1) The National Whistleblowing Review Officer shall offer guidance on how
to investigate whistleblowing concerns.
(2) The National Whistleblowing Review Officer shall seek to improve public
awareness of, and public education about, whistleblowing.
(3) The National Whistleblowing Review Officer shall report annually to
Parliament about its activities and publish a report on its website.”
Insert the following new Clause—
(1) Nothing in this section shall detract from the duty upon relevant public
authorities to provide relevant information to the National Whistleblowing
Review Officer on request from the National Whistleblowing Review
Officer.
(2) In this Act—
“relevant information” shall include all information which may
reasonably be considered to relate to the cause of the event, the
event itself, and actions taken after the event as a result;
“public authority” shall have the same meaning as in the Freedom of
Information Act 2000.
(3) A public authority may only decline to provide information to the National
Whistleblowing Review Officer if disclosure of that information to the
National Whistleblowing Review Officer—
(a) is not possible for the purpose of safeguarding national security;
(b) would, or would be likely to, prejudice the defence of the realm or
the capability, effectiveness or security of the armed forces of the
Crown;
(c) is prohibited by or under any enactment, is incompatible with any
EU obligation, or would constitute or be punishable as a contempt
of court; or
(d) would, or would be likely to, prejudice a police investigation into
whether any person has failed to comply with the law.
(4) A public authority may request that the National Whistleblowing Review
Officer provides an assurance that information provided to the National
Whistleblowing Review Officer will be secured to the same data security
standard used by that authority, and the National Whistleblowing Review
Officer may provide such assurance and shall use its best endeavours to
maintain that standard.
(5) If information is withheld from the National Whistleblowing Review
Officer under subsection (3), the National Whistleblowing Review Officer
must be informed of the subject of the matter being withheld and the
reason for that exemption.
(6) Upon receiving a notification that information is being withheld, the
National Whistleblowing Review Officer may apply to the Information
Commissioner for a decision whether the public authority has assessed
correctly that disclosure is not possible under subsection (3).
(7) Upon receiving an application from The National Whistleblowing Review
Officer under subsection (6), the Information Commissioner shall consider
the application and issue a decision notice to the National Whistleblowing
Review Officer and to the relevant public authority stating either—
(a) that the public authority has correctly assessed that the information
should be withheld; or
(b) that all or some of the information should not be withheld, the steps
that the public authority must take to provide the information and
the period within which they must be taken.
(8) A decision notice issued by the Information Commissioner under
subsection (7) may be appealed by the National Whistleblowing Review
Officer or the relevant public authority to the Tribunal.
(9) If on an appeal under subsection (8) the Tribunal considers—
(a) that the notice against which the appeal is brought is not in
accordance with the law; or
(b) to the extent that the notice involved an exercise of discretion by the
Commissioner, that he or she ought to have exercised his or her
discretion differently, the Tribunal shall allow the appeal or
substitute such other notice as could have been served by the
Commissioner, and in any other case the Tribunal shall dismiss the
appeal.
(10) On such an appeal, the Tribunal—
(a) may review any finding of fact on which the notice in question was
based; and
(b) shall notify the Lord Chancellor of its decision.
(11) The National Whistleblowing Review Officer and any office or officials
supporting the work of the National Whistleblowing Review Officer are
not a public authority for the purpose of the Freedom of Information Act
2000.
(12) The provisions of Schedule 6 to the Data Protection Act 1998 (appeal
proceedings) have effect (so far as applicable) in relation to appeals under
this section.
(13) In this section, “Tribunal” has the meaning given by section 84 of the
Freedom of Information Act 2000 (interpretation).”
Clause 148
BARONESS NEVILLE-ROLFE
Page 127, leave out lines 20 to 23 and insert—
“(2) “Financial award”—
(a) means a sum of money (or, if more than one, the sums of
money) ordered by an employment tribunal on a claim
involving an employer and a worker, or on a relevant
appeal, to be paid by the employer to the worker, and
(b) includes—
(i) any sum (a “costs sum”) required to be paid in
accordance with an order in respect of costs or
expenses which relate to proceedings on, or
preparation time relating to, the claim or a relevant
appeal, and
(ii) in a case to which section 16 applies, a sum ordered
to be paid to the Secretary of State under that section.
(2A) Subsection (2)(b)(i) applies irrespective of when the order was
made or the amount of the costs sum was determined.”
Page 127, line 30, leave out “In subsection (2)”
Page 127, leave out line 33 and insert—
“( ) a decision to make, or not to make, an order in respect of a
financial award (including any costs sum) on the claim,”
Page 127, line 34, leave out second “the” and insert “any such”
Page 128, line 6, leave out “subject to subsection (4),”
Page 128, line 10, leave out from “17(3))” to end of line 26 and insert “together with
any costs sum, and
( ) in any other case, the sum or sums of money ordered to be
paid (including any costs sum).”
Page 128, line 28, at end insert—
“( ) when the worker could make an application for an order for
a costs sum in relation to—
(i) proceedings on the claim to which the financial
award relates,
(ii) proceedings on a relevant appeal,
( ) when the worker has made such an application but the
application has not been withdrawn or finally determined,”
Page 128, leave out line 31 and insert—
“( ) a decision to make, or not to make, a financial award
(including any costs sum) on the claim,”
Page 128, line 32, leave out second “the” and insert “any such”
Page 129, line 24, at end insert—
“( ) The provisions of this Part apply where a financial award consists
of two or more sums (whether or not any of them is a costs sum)
which are required to be paid at different times as if—
(a) it were a relevant sum to be paid by instalments, and
(b) those sums were the instalments.”
Page 135, line 20, leave out from “in” to end of line and insert “particular cases”
Page 135, line 30, at end insert—
“(3) The Secretary of State may by regulations make provision for this
Part to apply with modifications in cases where a financial award
has been made against an employer but is not regarded as
outstanding by virtue only of the fact that an application for an
order for a costs sum has not been finally determined (or any appeal
within section 37B(5)(a) so far as relating to the application could
still be made or has not been withdrawn or finally determined).
(4) Regulations under subsection (3) may in particular provide—
(a) for any provision of this Part to apply, or to apply if the
enforcement officer so determines, as if the application had
not been, and could not be, made;
(b) for any costs sum the amount of which is subsequently
determined, or the order for which is subsequently made, to
be treated for the purposes of this Part as a separate relevant
sum.”
Page 136, line 19, at end insert—
““costs sum” has the meaning given by section 37A;”
Page 136, line 24, at end insert—
““relevant appeal” has the meaning given by section 37A;”
Page 136, line 40, at end insert—
“( ) For the purposes of this Part a relevant sum is to be regarded as
having been paid in full when the amount unpaid in respect of that
sum on the date of payment has been paid.”
Clause 152
BARONESS NEVILLE-ROLFE
Page 141, line 29, leave out “prescribed” and insert “qualifying”
Page 141, line 30, leave out “qualifying exit payments” and insert “the repayment
mentioned in subsection (1)”
Clause 153
BARONESS NEVILLE-ROLFE
Page 142, line 17, leave out subsection (1) and insert—
“(1) For the purposes of section 152(1) circumstances are qualifying
circumstances if—
(a) an exit payee becomes—
(i) an employee or a contractor of a prescribed public sector
authority, or
(ii) a holder of a prescribed public sector office,
(b) less than one year has elapsed between the exit payee leaving the
employment or office in respect of which a qualifying exit payment
is payable and the event mentioned in paragraph (a), and
(c) any other prescribed conditions are met.”
Page 142, line 22, leave out subsection (2)
Page 142, line 31, after “(1)” insert “(a)”
Page 142, line 41, after “(1)” insert “(a)”
Clause 154
BARONESS NEVILLE-ROLFE
Page 143, line 24, leave out “an” and insert “—
(a) the Scottish Parliamentary Corporate Body, or
“(b) any”
After Clause 155
BARONESS NEVILLE-ROLFE
Insert the following new Clause—
(1) This section applies to an entitlement to concessionary coal or payments in
lieu of concessionary coal—
(a) arising in connection with employment by a company which on 1st
January 2014 was carrying on the business of deep coal-mining in
the United Kingdom, and
(b) which is not being met otherwise than by virtue of this section.
(2) The Secretary of State may, out of money provided by Parliament, make
such payments as the Secretary of State considers appropriate for the
purpose of securing that an entitlement to which this section applies is met.
(3) Payments under this section may be made only with the consent of the
Treasury.
(4) “Concessionary coal” means coal or other solid fuel supplied free of charge
or at reduced prices.”
Clause 159
BARONESS NEVILLE-ROLFE
Page 146, line 36, leave out “made by regulations” and insert “included in an
instrument”
Page 146, line 39, leave out “made by regulations” and insert “included in an
instrument”
Clause 162
BARONESS NEVILLE-ROLFE
Page 148, line 20, at end insert—
“(j) in Part 11, section (Concessionary coal) (concessionary coal).”
Page 148, line 23, leave out “section 89D” and insert “Part 4A”