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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 | |
(b) circumstances in which such a person may refuse to comply | 5 |
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 | |
under section 27H above to the Authority. | 10 |
(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 | |
regulations. | 15 |
(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 | |
direction is entitled to refuse to do so, and, if not, order him to | 20 |
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 | |
supplier to comply with an order under this section shall be enforceable | 25 |
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 a | |
notice under this section as they apply to the publication of a notice | 30 |
given to the Council under section 27H(4) above.” | |
45 Provision of statistical information to consumers etc | |
(1) After section 38A of the WIA there is inserted— | |
“38B Publication of statistical information about complaints | |
(1) It shall be the duty of the Council to publish, in such form and manner | 35 |
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 | |
undertakers or licensed water suppliers and the handling of such | |
complaints. | 40 |
(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, | |
the Council, the Assembly or the Secretary of State.” | |
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(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 | |
information as it considers appropriate relating to complaints made by | 5 |
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 | |
their behalf) and complaints to the Authority, the Council, the | 10 |
Assembly or the Secretary of State.” | |
46 Consumer complaints | |
(1) For section 29 of the WIA (duties of customer service committees) there is | |
substituted— | |
“29 Consumer complaints | 15 |
(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. | |
(2) Where a complaint to which this section applies (other than one | 20 |
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 | |
subsection (9) below. | 25 |
(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. | |
(4) Where it appears to the Council that the complaint relates to a matter in | 30 |
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. | |
(5) Where it appears to the Council that the complaint relates to a matter | 35 |
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 | |
by a licensed water supplier using the supply system of a water | 40 |
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 | |
Authority for determination under any provision of this Act, the | 45 |
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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 | |
dispute for determination by the Authority. | 5 |
(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; | |
(b) the relevant undertaker or the licensed water supplier has not | 10 |
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 | |
Authority) subsection (6) above, it is inappropriate to do so. | 15 |
(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 | |
water supplier about anything to which the complaint relates. | 20 |
(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) | |
above; and | 25 |
(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 | |
complainant may be identified, shall be published or disclosed by the | 30 |
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 | |
the Assembly about any matter (other than a representation appearing | 35 |
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 | |
the Authority, it is its duty to investigate under section 181 | 40 |
below); and | |
(b) to have been made by or on behalf of the complainant, | |
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. | 45 |
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47 Investigations by the Council | |
After section 29 of the WIA there is inserted— | |
“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 | 5 |
relating to the interests of consumers. | |
(2) Before undertaking an investigation under this section the Council | |
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 | 10 |
OFT, the Assembly or any other public authority whose functions | |
appear to the Council to be exercisable in relation to 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 | 15 |
that matter; and | |
(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)— | 20 |
(a) shall not be included in a report which is to be sent to any | |
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 | 25 |
paragraphs (a) to (c) of subsection (7) below applies. | |
(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 | 30 |
source; or | |
(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 | 35 |
in a report to be published under subsection (4)(b) above if— | |
(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 | |
(c) it is not information the publication of which would or might, | 40 |
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 | |
(7)(c) above, the Council shall— | 45 |
(a) consult that individual or body; and | |
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(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 | |
in the report; | |
and paragraph (b) applies whether the opinion is given in relation to | 5 |
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 | |
(4)(a) above or published under subsection (4)(b) above any | |
information which it considers relates to any matter which is, or is | 10 |
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 | |
expressed (whether in relation to the information itself or to | |
information of a description which applies to that information) by the | 15 |
Secretary of State, the Assembly or the Director of Public Prosecutions.” | |
Enforcement of obligations | |
48 Financial penalties | |
(1) After section 22 of the WIA there is inserted— | |
“Financial penalties | 20 |
22A Penalties | |
(1) Where the Authority is satisfied— | |
(a) in the case of any company holding an appointment under | |
Chapter 1 of this Part, that the company— | |
(i) has contravened or is contravening any condition of the | 25 |
appointment; | |
(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 condition | |
of the licence; or | 30 |
(iii) has failed or is failing to achieve any standard of | |
performance prescribed under section 38(2) or 95(2) | |
below; or | |
(b) in the case of any company holding a licence under Chapter 1A | |
of this Part, that the company— | 35 |
(i) has contravened or is contravening any condition of the | |
licence; or | |
(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 | 40 |
condition of the appointment, | |
the Authority may, subject to section 22C below, impose on the | |
company a penalty of such amount as is reasonable in all the | |
circumstances of the case. | |
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(2) Where the Authority, the Secretary of State or the Assembly is | |
satisfied— | |
(a) in the case of any company holding an appointment under | |
Chapter 1 of this Part, that the company— | |
(i) has contravened or is contravening any statutory or | 5 |
other requirement which is enforceable under section 18 | |
above and in relation to which he or it is the enforcement | |
authority; or | |
(ii) has caused or contributed to, or is causing or | |
contributing to, a contravention by a company holding | 10 |
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 | |
of this Part, that the company— | |
(i) has contravened or is contravening any statutory or | 15 |
other requirement which is enforceable under section 18 | |
above and in relation to which he or it is the enforcement | |
authority; or | |
(ii) has caused or contributed to, or is causing or | |
contributing to, a contravention by a company holding | 20 |
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 | |
penalty of such amount as is reasonable in all the circumstances of the | |
case. | 25 |
(3) In a case in which— | |
(a) subsection (1) above applies by virtue of paragraph (a)(ii) or | |
(b)(ii) of that subsection, or | |
(b) subsection (2) above applies by virtue of paragraph (a)(ii) or | |
(b)(ii) of that subsection, | 30 |
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. | |
(4) Before imposing a penalty on a company under subsection (1) or (2) | |
above the Authority, the Secretary of State or the Assembly (the | 35 |
“enforcement authority”) shall give notice— | |
(a) stating that it proposes to impose a penalty and the amount of | |
the penalty proposed to be imposed; | |
(b) setting out the condition, requirement or standard of | |
performance in question; | 40 |
(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 | |
enforcement authority, justify the imposition of a penalty and | |
the amount of the penalty proposed; and | 45 |
(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 | |
penalty may be made, | |
and shall consider any representations or objections which are duly | 50 |
made and not withdrawn. | |
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(5) Before varying any proposal stated in a notice under subsection (4)(a) | |
above the enforcement authority shall give notice— | |
(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 | 5 |
representations or objections with respect to the proposed | |
variation may be made, | |
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 | 10 |
authority shall give notice— | |
(a) stating that he or it has imposed a penalty on the company and | |
its amount; | |
(b) setting out the condition, requirement or standard of | |
performance in question; | 15 |
(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 | |
enforcement authority, justify the imposition of the penalty and | |
its amount; and | 20 |
(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, | |
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 | 25 |
enforcement authority for him or it to specify different dates by which | |
different portions of the penalty are to be paid. | |
(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 | 30 |
matters to which the notice relates to the attention of persons | |
likely to be affected by them; | |
(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 | 35 |
Assembly, by serving a copy of the notice on the Authority. | |
(9) Any sums received by the enforcement authority by way of penalty | |
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 | 40 |
before the commencement of this section. | |
(11) No penalty imposed by an enforcement authority under this section | |
may exceed 10% of the turnover of the company (determined in | |
accordance with provisions specified in an order made, after consulting | |
the Assembly, by the Secretary of State). | 45 |
(12) The power of the Secretary of State to make an order under subsection | |
(11) above shall be exercisable by statutory instrument subject to | |
annulment in pursuance of a resolution of either House of Parliament. | |
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