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Water Bill [HL]


Water Bill [HL]
Part 2 — New regulatory arrangements, etc

    57

 

           (4)           A person publishing a notice under this section shall have regard to the

need for excluding, so far as that is practicable, any matter which relates

to the affairs of a particular individual or body of persons (corporate or

unincorporate), where he considers that publication of that matter

would or might seriously and prejudicially affect the interests of that

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individual or body.

       27K            Sections 27H to 27J: supplementary

           (1)           The Secretary of State may make regulations prescribing—

                  (a)                 descriptions of information which a person to whom a direction

is given under section 27H or 27J above may refuse to supply; or

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                  (b)                 circumstances in which such a person may refuse to comply

with a direction given under either of those sections.

           (2)           The Council may, if no person is prescribed for the purpose under

subsection (3) below, refer a failure by a company holding an

appointment or a licensed water supplier to comply with a direction

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under section 27H above to the Authority.

           (3)           The Secretary of State may make regulations for the purpose of

enabling a failure to comply with a direction under section 27H or 27J

above to be referred by the person who gave the direction to such

person (other than the Authority) as may be prescribed by the

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regulations.

           (4)           A person to whom such a failure is referred (whether under subsection

(2) above or regulations under subsection (3) above) shall—

                  (a)                 consider any representations made by either party;

                  (b)                 determine whether the person failing to comply with the

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direction is entitled to refuse to do so, and, if not, order him to

comply with the direction; and

                  (c)                 give notice of his determination and any order under paragraph

(b), with reasons, to both parties.

           (5)           The duty of a company holding an appointment and a licensed water

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supplier to comply with an order under this section shall be enforceable

by the Authority under section 18 above.

           (6)           A notice under subsection (4) above may be published by either party

to the reference.

           (7)           Subsections (2) to (7) of section 27I above apply to the publication of

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such a notice under this section as they apply to the publication of a

notice given to the Council under section 27H(4) above.”

 48    Provision of statistical information to consumers etc

     (1)    After section 38A of the WIA there is inserted—

       “38B            Publication of statistical information about complaints

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           (1)           It shall be the duty of the Council to publish, in such form and manner

and with such frequency as it thinks appropriate, such statistical

information as it considers appropriate relating to complaints made by

consumers about any matter relating to the activities of water

 

 

Water Bill [HL]
Part 2 — New regulatory arrangements, etc

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undertakers or licensed water suppliers and the handling of such

complaints.

           (2)           In subsection (1) above, “complaints” includes complaints made

directly to water undertakers or licensed water suppliers (or anyone

carrying on activities on their behalf) and complaints to the Authority,

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the Council, the Assembly or the Secretary of State.”

     (2)    After section 95A of the WIA there is inserted—

       “95B            Publication of statistical information about complaints

           (1)           It shall be the duty of the Council to publish, in such form and manner

and with such frequency as it thinks appropriate, such statistical

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information as it considers appropriate relating to complaints made by

consumers about any matter relating to the activities of sewerage

undertakers and the handling of such complaints.

           (2)           In subsection (1) above, “complaints” includes complaints made

directly to sewerage undertakers (or anyone carrying on activities on

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their behalf) and complaints to the Authority, the Council, the

Assembly or the Secretary of State.”

 49    Consumer complaints

     (1)    For section 29 of the WIA (duties of customer service committees) there is

substituted—

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       “29            Consumer complaints

           (1)           This section applies to a complaint which any person (“the

complainant”) has against a relevant undertaker or a licensed water

supplier in relation to any matter connected with the functions of that

undertaker or the services provided by that licensed water supplier.

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           (2)           Where a complaint to which this section applies (other than one

appearing to the Council to be frivolous or vexatious) is referred to the

Council by or on behalf of the complainant, the Council shall (subject to

subsections (3) and (8) below) investigate the complaint for the purpose

of determining whether it is appropriate to take any action under

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subsection (9) below.

           (3)           Where it appears to the Council that the complaint is one the Authority

would be required to investigate under section 181 below, the Council

shall, instead of investigating the matter to which it relates, refer the

complaint to the Authority.

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           (4)           Where it appears to the Council that the complaint relates to a matter in

respect of which a function under section 18 or 22A above is or may be

exercisable by any person, the Council shall (unless it considers that

that person already has notice of the matter) refer the matter to that

person.

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           (5)           Where it appears to the Council that the complaint relates to a matter

which constitutes or might constitute an offence, the Council shall refer

the matter—

                  (a)                 to the Assembly, if the matter relates to a relevant undertaker

whose area is wholly or mainly in Wales or to services provided

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Water Bill [HL]
Part 2 — New regulatory arrangements, etc

    59

 

by a licensed water supplier using the supply system of a water

undertaker whose area is wholly or mainly in Wales; or

                  (b)                 to the Secretary of State, in any other case.

           (6)           Where it appears to the Council that the complaint relates to a matter

which constitutes a dispute of a kind which can be referred to the

5

Authority for determination under any provision of this Act, the

Council shall, if the complainant consents, refer the matter to the

Authority.

           (7)           A referral under subsection (6) above shall have effect for the purposes

of section 30A below as if it were a referral by the complainant of a

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dispute for determination by the Authority.

           (8)           The Council is not required to investigate any matter if it appears to the

Council that—

                  (a)                 it is unlikely that the complaint could be resolved by action

taken by the relevant undertaker or the licensed water supplier;

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                  (b)                 the relevant undertaker or the licensed water supplier has not

been given a reasonable opportunity to deal with the complaint;

or

                  (c)                 in a case mentioned in subsection (4) or (5) above or (where the

complainant does not consent to the matter being referred to the

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Authority) subsection (6) above, it is inappropriate to do so.

           (9)           Where it appears to the Council to be appropriate to do so with a view

to assisting in reaching a satisfactory resolution of a complaint referred

to it under this section, the Council shall make representations on

behalf of the complainant to the relevant undertaker or the licensed

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water supplier about anything to which the complaint relates.

           (10)          After investigating a complaint the Council may make a report to the

Authority, the Secretary of State or the Assembly.

           (11)          A report under subsection (10) above may include information about—

                  (a)                 any representations made by the Council under subsection (9)

30

above; and

                  (b)                 the response of the relevant undertaker or the licensed water

supplier to the complaint or any such representations.

           (12)          No report under subsection (10) above or information about a

complaint referred to the Council under this section, from which the

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complainant may be identified, shall be published or disclosed by the

Council, the Authority, the Secretary of State or the Assembly in the

exercise of any power under this Act without the consent of the

complainant.

           (13)          Where a representation made to the Authority, the Secretary of State or

40

the Assembly about any matter (other than a representation appearing

to the person to whom it is made to be frivolous or vexatious) appears

to that person—

                  (a)                 to be about a matter which is or amounts to a complaint to

which this section applies (other than one which, in the case of

45

the Authority, it is its duty to investigate under section 181

below); and

                  (b)                 to have been made by or on behalf of the complainant,

 

 

Water Bill [HL]
Part 2 — New regulatory arrangements, etc

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                                       that person shall refer the matter to the Council.”

     (2)    Section 30 of the WIA (duties of Director with respect to complaints) shall cease

to have effect.

 50    Investigations by the Council

After section 29 of the WIA there is inserted—

5

       “29A            Power of Council to investigate other matters

           (1)           The Council may investigate any matter (not being a matter which it is

its duty to investigate under this Part) which appears to it to be a matter

relating to the interests of consumers.

           (2)           Before undertaking an investigation under this section the Council

10

shall consult the Authority, the Secretary of State and the Assembly.

           (3)           Where the Council has investigated a matter under this section it may

make a report on that matter to the Authority, the Secretary of State, the

Office of Fair Trading, the Assembly or any other public authority

whose functions appear to the Council to be exercisable in relation to

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that matter.

           (4)           Subject to subsection (5) below, the Council may—

                  (a)                 send a report on any matter investigated under this section to

any person who appears to the Council to have an interest in

that matter; and

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                  (b)                 publish any such report in such manner as the Council thinks

appropriate.

           (5)           Information which relates to the affairs of any particular individual or

body of persons (corporate or unincorporate)—

                  (a)                 shall not be included in a report which is to be sent to any

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person under subsection (4)(a) above, unless one or more of

paragraphs (a) to (c) of subsection (6) below applies; and

                  (b)                 shall be excluded from any such report which is to be published

under subsection (4)(b) above, unless one or more of

paragraphs (a) to (c) of subsection (7) below applies.

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           (6)           Information relating to a particular individual or body may be included

in a report to be sent under subsection (4)(a) above if—

                  (a)                 that individual or body has consented to the disclosure;

                  (b)                 it is information that is available to the public from some other

source; or

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                  (c)                 it is not information the disclosure of which would or might, in

the opinion of the Council, seriously and prejudicially affect the

interests of that individual or body.

           (7)           Information relating to a particular individual or body may be included

in a report to be published under subsection (4)(b) above if—

40

                  (a)                 that individual or body has consented to the publication;

                  (b)                 it is information that is available to the public from some other

source; or

 

 

Water Bill [HL]
Part 2 — New regulatory arrangements, etc

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                  (c)                 it is not information the publication of which would or might,

in the opinion of the Council, seriously and prejudicially affect

the interests of that individual or body.

           (8)           Before deciding to include in such a report any information relating to

a particular individual or body in pursuance of subsection (6)(c) or

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(7)(c) above, the Council shall—

                  (a)                 consult that individual or body; and

                  (b)                 have regard to any opinion expressed by the Authority as to the

application of subsection (6)(c) or (7)(c) above to the

information or as to the desirability or otherwise of its inclusion

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in the report;

                                       and paragraph (b) applies whether the opinion is given in relation to

the information itself or to information of a description which applies

to that information.

           (9)           The Council shall not include in any report to be sent under subsection

15

(4)(a) above or published under subsection (4)(b) above any

information which it considers relates to any matter which is, or is

likely to be, the subject of criminal proceedings.

           (10)          In considering whether information relates to any matter as mentioned

in subsection (9) above, the Council shall have regard to any opinion

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expressed (whether in relation to the information itself or to

information of a description which applies to that information) by the

Secretary of State, the Assembly or the Director of Public Prosecutions.”

Enforcement of obligations

 51    Financial penalties

25

     (1)    After section 22 of the WIA there is inserted—

“Financial penalties

       22A            Penalties

           (1)           Where the Authority is satisfied—

                  (a)                 in the case of any company holding an appointment under

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Chapter 1 of this Part, that the company—

                        (i)                        has contravened or is contravening any condition of the

appointment;

                        (ii)                       has caused or contributed to, or is causing or

contributing to, a contravention by a company holding

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a licence under Chapter 1A of this Part of any condition

of the licence; or

                        (iii)                      has failed or is failing to achieve any standard of

performance prescribed under section 38(2) or 95(2)

below; or

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                  (b)                 in the case of any company holding a licence under Chapter 1A

of this Part, that the company—

                        (i)                        has contravened or is contravening any condition of the

licence; or

 

 

Water Bill [HL]
Part 2 — New regulatory arrangements, etc

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                        (ii)                       has caused or contributed to, or is causing or

contributing to, a contravention by a company holding

an appointment under Chapter 1 of this Part of any

condition of the appointment,

                                       the Authority may, subject to section 22C below, impose on the

5

company a penalty of such amount as is reasonable in all the

circumstances of the case.

           (2)           Where the Authority, the Secretary of State or the Assembly is

satisfied—

                  (a)                 in the case of any company holding an appointment under

10

Chapter 1 of this Part, that the company—

                        (i)                        has contravened or is contravening any statutory or

other requirement which is enforceable under section 18

above and in relation to which he or it is the enforcement

authority; or

15

                        (ii)                       has caused or contributed to, or is causing or

contributing to, a contravention by a company holding

a licence under Chapter 1A of this Part of any such

requirement; or

                  (b)                 in the case of any company holding a licence under Chapter 1A

20

of this Part, that the company—

                        (i)                        has contravened or is contravening any statutory or

other requirement which is enforceable under section 18

above and in relation to which he or it is the enforcement

authority; or

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                        (ii)                       has caused or contributed to, or is causing or

contributing to, a contravention by a company holding

an appointment under Chapter 1 of this Part of any such

requirement,

                         he or it may, subject to section 22C below, impose on the company a

30

penalty of such amount as is reasonable in all the circumstances of the

case.

           (3)           In a case in which—

                  (a)                 subsection (1) above applies by virtue of paragraph (a)(ii) or

(b)(ii) of that subsection, or

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                  (b)                 subsection (2) above applies by virtue of paragraph (a)(ii) or

(b)(ii) of that subsection,

                         references in the following provisions of this section and sections 22B

and 22C below to a contravention include references to causing or

contributing to a contravention.

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           (4)           Before imposing a penalty on a company under subsection (1) or (2)

above the Authority, the Secretary of State or the Assembly (the

“enforcement authority”) shall give notice—

                  (a)                 stating that it proposes to impose a penalty and the amount of

the penalty proposed to be imposed;

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                  (b)                 setting out the condition, requirement or standard of

performance in question;

                  (c)                 specifying the acts or omissions which, in the opinion of the

enforcement authority, constitute the contravention or failure in

question and the other facts which, in the opinion of the

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Water Bill [HL]
Part 2 — New regulatory arrangements, etc

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enforcement authority, justify the imposition of a penalty and

the amount of the penalty proposed; and

                  (d)                 specifying the period (not being less than twenty-one days from

the date of publication of the notice) within which

representations or objections with respect to the proposed

5

penalty may be made,

                                       and shall consider any representations or objections which are duly

made and not withdrawn.

           (5)           Before varying any proposal stated in a notice under subsection (4)(a)

above the enforcement authority shall give notice—

10

                  (a)                 setting out the proposed variation and the reasons for it; and

                  (b)                 specifying the period (not being less than twenty-one days from

the date of publication of the notice) within which

representations or objections with respect to the proposed

variation may be made,

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                                       and shall consider any representations or objections which are duly

made and not withdrawn.

           (6)           As soon as practicable after imposing a penalty, the enforcement

authority shall give notice—

                  (a)                 stating that he or it has imposed a penalty on the company and

20

its amount;

                  (b)                 setting out the condition, requirement or standard of

performance in question;

                  (c)                 specifying the acts or omissions which, in the opinion of the

enforcement authority, constitute the contravention or failure in

25

question and the other facts which, in the opinion of the

enforcement authority, justify the imposition of the penalty and

its amount; and

                  (d)                 specifying a date, no earlier than the end of the period of forty-

two days from the date of service of the notice on the company,

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by which the penalty is required to be paid.

           (7)           The company may, within twenty-one days of the date of service on it

of a notice under subsection (6) above, make an application to the

enforcement authority for him or it to specify different dates by which

different portions of the penalty are to be paid.

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           (8)           Any notice required to be given under this section shall be given—

                  (a)                 by publishing the notice in such manner as the enforcement

authority considers appropriate for the purpose of bringing the

matters to which the notice relates to the attention of persons

likely to be affected by them;

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                  (b)                 by serving a copy of the notice on the company;

                  (c)                 by serving a copy of the notice on the Council; and

                  (d)                 where the notice is given by the Secretary of State or the

Assembly, by serving a copy of the notice on the Authority.

           (9)           Any sums received by the enforcement authority by way of penalty

45

under this section shall be paid into the Consolidated Fund.

           (10)          The power of the enforcement authority to impose a penalty under this

section is not exercisable in respect of any contravention or failure

before the commencement of this section.

 

 

 
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