Small Business, Enterprise and Employment Bill (HL Bill 103)

Small Business, Enterprise and Employment BillPage 150

(4) Regulations under section 154(1)—

(a) if made by the Treasury, are subject to negative resolution procedure;

(b) if made by the Scottish Ministers, are subject to the negative procedure.

157 Power of Secretary of State to waive repayment requirement

(1) 5The Secretary of State may waive the whole or any part of any repayment
required by regulations made by the Treasury under section 154(1).

(2) The Scottish Ministers may waive the whole or any part of any repayment
required by regulations made by the Scottish Ministers under section 154(1).

(3) A waiver may be given in respect of—

(a) 10a particular exit payee, or

(b) a description of exit payees.

(4) The exit payments regulations made by the Treasury may—

(a) make provision for the power under subsection (1) to be exercisable on
behalf of the Secretary of State by a prescribed person,

(b) 15make provision for a waiver to be given only—

(i) with the consent of the Treasury, or

(ii) following compliance with any directions given by the
Treasury, and

(c) make provision as to the publication of information about any waivers
20given.

(5) The exit payments regulations made by the Scottish Ministers may—

(a) make provision for the power under subsection (2) to be exercisable on
behalf of the Scottish Ministers by a prescribed person,

(b) make provision for a waiver to be given only—

(i) 25with the consent of the Scottish Ministers, or

(ii) following compliance with any directions given by the Scottish
Ministers,

(where provision is made by virtue of paragraph (a)), and

(c) make provision as to the publication of information about any waivers
30given.

(6) The exit payments regulations made by the Treasury may make provision for
the power conferred on the Secretary of State by subsection (1) to be exercised
instead—

(a) by the Department of Finance and Personnel in Northern Ireland, in
35relation to qualifying exit payments made by responsible authorities
who wholly or mainly exercise functions which could be conferred by
provision included in an Act of the Northern Ireland Assembly made
without the consent of the Secretary of State (see sections 6 to 8 of the
Northern Ireland Act 1998);

(b) 40by the Welsh Ministers, in relation to qualifying exit payments made by
responsible authorities who wholly or mainly exercise functions which
could be conferred by provision falling within the legislative
competence of the National Assembly for Wales (as defined in section
108 of the Government of Wales Act 2006).

Small Business, Enterprise and Employment BillPage 151

Concessionary coal

158 Concessionary coal

(1) This section applies to an entitlement to concessionary coal or payments in lieu
of concessionary coal—

(a) 5arising in connection with employment by a company which on 1
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
10payments 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
15at reduced prices.

Part 12 General

159 Consequential amendments, repeals and revocations

(1) A Minister of the Crown may by regulations make such provision as the
20Minister considers appropriate in consequence of this Act (other than sections
35 and 36 as they apply in Wales).

(2) The power conferred by subsection (1) includes power—

(a) to make transitional, transitory or saving provision;

(b) to amend, repeal, revoke or otherwise modify any provision made by
25or under an enactment (including an enactment contained in this Act
and any enactment passed or made in the same Session as this Act).

(3) Subject to subsection (4)(b), regulations under subsection (1) which amend,
repeal or revoke any provision of primary legislation are subject to affirmative
resolution procedure.

(4) 30Regulations under subsection (1) which—

(a) do not amend, repeal or revoke any provision of primary legislation, or

(b) amend, repeal or revoke any provision of primary legislation only in
connection with there ceasing to be any share warrants (see section 84),

are subject to negative resolution procedure.

(5) 35The Welsh Ministers may by regulations make such provision as they consider
appropriate in consequence of section 35 or 36 as it applies in Wales.

(6) The power conferred by subsection (5) includes power—

(a) to make transitional, transitory or saving provision;

(b) to amend, repeal, revoke or otherwise modify any provision made by
40or under any Act (including this Act and any Act passed in the same
Session as this Act) or any Measure or Act of the National Assembly for
Wales.

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(7) A statutory instrument containing regulations under subsection (5) which
amend or repeal an Act or a Measure or Act of the National Assembly for
Wales may not be made unless a draft of the instrument has been laid before,
and approved by a resolution of, the National Assembly for Wales.

(8) 5A statutory instrument containing regulations under subsection (5), other than
a statutory instrument within subsection (7), is subject to annulment in
pursuance of a resolution of the National Assembly for Wales.

(9) In this Part—

  • “enactment” includes an Act of the Scottish Parliament, a Measure or Act
    10of the National Assembly for Wales and Northern Ireland legislation;

  • “Minister of the Crown” has the same meaning as in the Ministers of the
    Crown Act 1975;

  • “primary legislation” means—

    (a)

    an Act of Parliament,

    (b)

    15an Act of the Scottish Parliament,

    (c)

    a Measure or Act of the National Assembly for Wales, and

    (d)

    Northern Ireland legislation.

160 Fines on summary conviction in England and Wales: transitory provision

(1) Subsection (2) applies to any provision of this Act that provides that a person
20guilty of an offence triable either way is liable on summary conviction in
England and Wales to a fine.

(2) In relation to an offence committed before section 85(1) of the Legal Aid,
Sentencing and Punishment of Offenders Act 2012 comes into force, the
reference to a fine is to be read as a reference to a fine not exceeding the
25statutory maximum.

(3) After section 1131 of the Companies Act 2006 insert—

1131A Fines on summary conviction in England and Wales: transitory
provision

(1) In relation to an offence committed before section 85(1) of the Legal
30Aid, Sentencing and Punishment of Offenders Act 2012 comes into
force, in the provisions mentioned in subsection (2), “a fine” is to is to
be read as “a fine not exceeding level 5 on the standard scale”.

(2) The provisions are—

(a) section 156A(7)(a);

(b) 35section 167D(5)(a);

(c) section 279D(5)(a);

(d) section 853L(2)(a).

(3) In relation to an offence committed before section 85(1) of the Legal
Aid, Sentencing and Punishment of Offenders Act 2012 comes into
40force, in the provisions mentioned in subsection (4), “a fine” is to be
read as “a fine not exceeding the statutory maximum”.

(4) The provisions are—

(a) section 790F(2)(b)(i);

(b) section 790R(3)(b)(i);

(c) 45section 1028A(11)(b)(i);

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(d) section 1032A(12)(b)(i);

(e) paragraphs 7(1)(b)(i), 13(4)(b)(i) and 14(3)(b)(i) of Schedule 1B.

161 Transitional, transitory or saving provision

(1) A Minister of the Crown may by regulations make such transitional, transitory
5or saving provision as the Minister considers appropriate in connection with
the coming into force of this Act (other than sections 35 and 36 as they apply in
Wales).

(2) The Welsh Ministers may by regulations make such transitional, transitory or
saving provision as they consider appropriate in connection with the coming
10into force of section 35 or 36 as it applies in Wales.

162 Supplementary provision about regulations

(1) Regulations under this Act, other than regulations made by the Scottish
Ministers under section 1 or 154(1), are to be made by statutory instrument.

(2) Regulations under this Act may—

(a) 15make different provision for different purposes or cases;

(b) make different provision for different areas;

(c) make provision generally or for specific cases;

(d) make provision subject to exceptions;

(e) make incidental, supplementary, consequential, transitional or
20transitory provision or savings.

(3) Where regulations under this Act are subject to “negative resolution
procedure” the statutory instrument containing the regulations is subject to
annulment in pursuance of a resolution of either House of Parliament.

(4) Where regulations under this Act are subject to “affirmative resolution
25procedure” the regulations may not be made unless a draft of the statutory
instrument containing them has been laid before Parliament and approved by
a resolution of each House of Parliament.

(5) Any provision that may be included in an instrument under this Act for which
no Parliamentary procedure is prescribed may be made by regulations subject
30to negative or affirmative resolution procedure.

(6) Any provision that may be included in an instrument under this Act subject to
negative resolution procedure may be made by regulations subject to
affirmative resolution procedure.

163 Financial provisions

35There is to be paid out of money provided by Parliament—

(a) any expenditure incurred under or by virtue of this Act by a Minister
of the Crown, and

(b) any increase attributable to this Act in the sums payable under any
other Act out of money so provided.

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164 Extent

(1) Subject to subsections (2) to (4), this Act extends to England and Wales,
Scotland and Northern Ireland.

(2) Any amendment, repeal or revocation made by this Act has the same extent as
5the enactment amended, repealed or revoked, except the amendments made
by sections 113 and 114, which extend as mentioned in subsection (1).

(3) Part

4

extends to England and Wales only.

(4) 10In Part

10

, sections 144 to 146 and Schedule 11 extend to England and Wales
and Scotland only.

165 Commencement

(1) 15The provisions of this Act come into force on such day as a Minister of the
Crown may by regulations appoint, subject to subsections (2) to (5).

(2) The following provisions of this Act come into force on the day this Act is
passed—

(a) in Part

201

, sections 4 to 7 (regulations about financial information on
small and medium sized businesses);

(b) in Part

3

25, section 39 (regulations about procurement);

(c) in Part 5, section 74 (funding for free of charge early years provision);

(d) in Part

11

, section 151 (employment tribunal procedure regulations:
30postponements);

(e) this Part.

(3) The following provisions of this Act come into force at the end of the period of
two months beginning with the day on which this Act is passed—

(a) in Part

351

(i) sections 1 and 2 (power to invalidate certain restrictive terms of
business contracts),

(ii) section 3 (companies: duty to publish report on payment
40practices),

(iii) sections 8 and 9 (VAT registration information),

(iv) sections 10 to 12 (exports), and

(v) section 14 (powers of the Payment Systems Regulator);

(b) in Part

452

(i) sections 15 and 16 (streamlined company registration),

(ii) sections 21 to 27 (business impact target), and

(iii) section 37 (CMA to publish recommendations on proposals for
50Westminster legislation);

(c) in Part

3

, section 40 (investigation of procurement functions);

(d) in Part

554

(i) sections 42 to 44 (the Pubs Code), and

(ii) sections 68 to 73 (Part 4: supplementary);

(e) in Part

605

, section 75 (exemption from requirement to register as early
years provider);

(f) Part

6

65;

(g) in Part

7

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(i) section 83 (amendment of section 813 of the Companies Act
2006),

(ii) sections 84 to 86 and Schedule 4 (abolition of share warrants to
bearer), and

(iii) 5sections 89 to 91 (shadow directors);

(h) in Part

8

(i) section 95 (recording of optional information on register),

(ii) 10section 99 (address of company registered office);

(i) in Part

10

(i) sections 120 and 121 (removing requirements to seek sanction),

(ii) 15sections 127 to 130 (administration),

(iii) sections 131 and 132 (small debts),

(iv) sections 134 and 135 (voluntary arrangements), and

(v) section 136 (voluntary winding-up: progress reports);

(j) in Part 11, section 158 (concessionary coal).

(4) 20Section 13 (electronic paying in of cheques etc) comes into force—

(a) on the day this Act is passed, for the purpose of enabling the making of
regulations under Part 4A of the Bills of Exchange Act 1882 (as inserted
by section 13);

(b) on 31 July 2016, for all other purposes.

(5) 25Sections 35 and 36 as they apply in Wales come into force on such day as the
Welsh Ministers may by regulations appoint.

(6) Before making regulations under subsection (1) in relation to section 112 and
Schedule 8, the Secretary of State must consult the Department of Enterprise,
Trade and Investment in Northern Ireland.

166 30Short title

This Act may be cited as the Small Business, Enterprise and Employment Act
2015.

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SCHEDULES

Section 41

SCHEDULE 1 The Pubs Code Adjudicator

Part 1 5The Pubs Code Adjudicator

Status

1 The Adjudicator is a corporation sole.

2 The Adjudicator carries out functions on behalf of the Crown.

Appointment

3 10The Adjudicator is to be appointed by the Secretary of State.

Deputy Adjudicator

4 The Secretary of State may appoint a Deputy Adjudicator.

5 The Deputy Adjudicator may carry out any of the Adjudicator’s functions.

Term of office etc

6 15A person holds and vacates office as the Adjudicator or Deputy Adjudicator
in accordance with the terms of the appointment, but—

(a) the initial term of office may not be more than 4 years,

(b) a person may be appointed for no more than 2 further terms of office,

(c) a further term may not be more than 3 years,

(d) 20the person may resign by giving written notice to the Secretary of
State, and

(e) the Secretary of State may dismiss the person if satisfied that the
person is unable, unwilling or unfit to perform the person’s
functions.

7 25Service as the Adjudicator, or as the Deputy Adjudicator, is not service in the
civil service of the state.

Remuneration

8 (1) The Adjudicator may pay to or in respect of the person holding office as the
Adjudicator or Deputy Adjudicator—

(a) 30remuneration;

Small Business, Enterprise and Employment BillPage 157

(b) allowances;

(c) sums by way of or in respect of pensions.

(2) The Secretary of State must determine rates and eligibility criteria for the
payments.

5Staff

9 (1) The Adjudicator may make arrangements for persons to be seconded to the
Adjudicator to serve as members of the Adjudicator’s staff.

(2) The arrangements may include provision for payments by the Adjudicator
to the person with whom the arrangements are made, or directly to
10seconded staff (or both).

(3) 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).

(4) 15Before 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) 20the terms and conditions on which staff are to be seconded.

Conflicts of interest

10 (1) The Adjudicator must make procedural arrangements for dealing with any
conflict of interest affecting—

(a) the Adjudicator,

(b) 25the Deputy Adjudicator, or

(c) staff working for the Adjudicator.

(2) The Adjudicator must consult the Secretary of State before making or
revising the arrangements.

(3) The Adjudicator must publish a summary of the arrangements.

11 (1) 30This paragraph applies if both the Adjudicator and the Deputy Adjudicator
are unable to act in relation to a matter because of conflicts of interest.

(2) The Secretary of State must appoint a person to act as a Deputy Adjudicator
if asked to do so by the Adjudicator.

(3) An acting Deputy Adjudicator may carry out any of the Adjudicator’s
35functions for the purpose of dealing with the matter in respect of which the
acting Deputy Adjudicator is appointed.

(4) A person holds and vacates office as an acting Deputy Adjudicator in
accordance with the terms of the person’s appointment (subject to sub-
paragraph (5)).

(5) 40Paragraphs 6(d) and (e), 7 and 8 apply to an acting Deputy Adjudicator as
they apply to the Deputy Adjudicator.

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Validity of acts

12 A defect in appointment does not affect the validity of things done by—

(a) the Adjudicator,

(b) the Deputy Adjudicator, or

(c) 5an acting Deputy Adjudicator.

Application of seal and proof of documents

13 The application of the Adjudicator’s seal must be authenticated by the
signature of—

(a) the Adjudicator, or

(b) 10some other person who has been authorised by the Adjudicator for
that purpose (whether generally or specially).

14 A document purporting to be duly executed under the seal—

(a) is to be received in evidence, and

(b) is to be treated as duly executed unless the contrary is shown.

15Accounts

15 (1) The Adjudicator must keep proper accounts and proper records in relation
to the accounts.

(2) For each financial year, the Adjudicator must prepare a statement of
accounts in respect of that financial year.

(3) 20The statement must be in whatever form the Secretary of State directs.

(4) The Adjudicator must send a copy of the statement, within a period
specified by the Secretary of State, to—

(a) the Secretary of State, and

(b) the Comptroller and Auditor General.

(5) 25After the Adjudicator has sent a copy of a statement of accounts to the
Comptroller and Auditor General, the Comptroller and Auditor General
must—

(a) examine, certify and report on the statement, and

(b) send a copy of the certified statement and the report to the Secretary
30of State as soon as possible.

(6) The Secretary of State must lay before Parliament a copy of the certified
statement and the report.

Incidental powers

16 The Adjudicator may do anything that is calculated to facilitate the carrying
35out of the Adjudicator’s functions or is conducive or incidental to the
carrying out of those functions.

Assistance from the Secretary of State

17 The Secretary of State may provide staff, premises, facilities or other
assistance to the Adjudicator (with or without charge).

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Exemption from liability for damages

18 (1) The following are exempt from liability in damages for anything done or
omitted in the exercise or purported exercise of their functions—

(a) the Adjudicator;

(b) 5the Deputy Adjudicator;

(c) acting Deputy Adjudicators;

(d) staff working for the Adjudicator.

(2) Sub-paragraph (1) does not apply—

(a) if the act or omission is shown to have been in bad faith, or

(b) 10so as to prevent an award of damages made in respect of an act or
omission on the ground that the act or omission was unlawful as a
result of section 6(1) of the Human Rights Act 1998.

Part 2 Information powers of the Pubs Code Adjudicator

19 (1) 15The Adjudicator may, for the purposes of an investigation, require a
person—

(a) to provide documents in the person’s possession or control;

(b) to provide other information in the person’s possession or control.

(2) The Adjudicator may, for the purposes of monitoring whether a pub-
20owning business has followed a recommendation made under section 56,
require the business—

(a) to provide documents in the possession or control of the business;

(b) to provide other information in the possession or control of the
business.

(3) 25The Adjudicator may, for the purposes of exercising functions in relation to
the offer of a market rent only option or the provision of parallel rent
assessments, require a person—

(a) to provide documents in the person’s possession or control;

(b) to provide other information in the person’s possession or control.

(4) 30A requirement imposed under this paragraph may include a requirement
for information to be provided orally.

(5) A requirement is imposed by giving written notice specifying—

(a) to whom the information is to be provided,

(b) where it is to be provided,

(c) 35when, or the time by which, it is to be provided, and

(d) the form and manner in which it is to be provided.

(6) A notice must also explain the possible consequences of failing to comply.

(7) If a notice requires an individual to attend at a particular place, the
Adjudicator must offer to pay necessary travelling expenses.

(8) 40A person may not be required under this paragraph to do anything that the
person could not be compelled to do in civil proceedings before the High
Court.