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ENTERPRISE AND REGULATORY REFORM ACT 2013

UK Public General Acts

Version 06/02/2015

2013 CHAPTER 24

Default Geographical Extent: E+W+S+N.I.


  • PART 1. UK Green Investment Bank
  • PART 2. Employment
    • Conciliation (E+W+S)
    • ACAS (E+W+S)
    • Procedure for deciding tribunal cases (E+W+S)
    • Unfair dismissal (E+W+S)
    • Financial penalties (E+W+S)
    • Protected disclosures (E+W+S)
    • Miscellaneous
    • General (E+W+S)
  • PART 3. The Competition and Markets Authority
  • PART 4. Competition Reform
    • CHAPTER 1. Mergers
      • Investigation powers
      • Interim measures
      • Time-limits
    • CHAPTER 2. Markets
      • Cross-market investigations
      • Public interest interventions
      • Investigation powers
      • Interim measures
      • Time-limits and procedure
    • CHAPTER 3. Anti-trust
      • Investigation powers
      • Interim measures and other sanctions
      • Miscellaneous
    • CHAPTER 4. Cartels
    • CHAPTER 5. Miscellaneous
      • Enforcement orders: markets and mergers
      • Concurrency
      • Miscellaneous
  • PART 5. Reduction of legislative burdens
    • Sunset and review
    • Heritage planning etc
    • Equality Acts (E+W+S)
    • Regulatory Enforcement and Sanctions Act 2008
    • Miscellaneous
  • PART 6. Miscellaneous and general
    • Copyright and rights in performances
    • Payments to directors of quoted companies
    • Redress schemes: lettings and property management agents (E+W)
    • Supply of customer data
    • Insolvency: protection of essential supplies (E+W+S)
    • Royal Charters (E+W)
    • Caste as an aspect of race (E+W+S)
    • Equal pay audits (E+W+S)
    • General
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  • Version 25/04/2013

Introductory Text

Enterprise and Regulatory Reform Act 2013

2013 CHAPTER 24

An Act to make provision about the UK Green Investment Bank; to make provision about employment law; to establish and make provision about the Competition and Markets Authority and to abolish the Competition Commission and the Office of Fair Trading; to amend the Competition Act 1998 and the Enterprise Act 2002; to make provision for the reduction of legislative burdens; to make provision about copyright and rights in performances; to make provision about payments to company directors; to make provision about redress schemes relating to lettings agency work and property management work; to make provision about the supply of customer data; to make provision for the protection of essential supplies in cases of insolvency; to make provision about certain bodies established by Royal Charter; to amend section 9(5) of the Equality Act 2010; and for connected purposes.

[25th April 2013]

Be it enacted by the Queen's most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows:—

PART 1
UK Green Investment Bank



1 The green purposes

(1) The green purposes are—

(a) the reduction of greenhouse gas emissions;
(b) the advancement of efficiency in the use of natural resources;
(c) the protection or enhancement of the natural environment;
(d) the protection or enhancement of biodiversity;
(e) the promotion of environmental sustainability.
(2) In this Part, “greenhouse gas” has the meaning given by section 92(1) of the Climate Change Act 2008.

2 Designation of the UK Green Investment Bank

(1) If the following three conditions are met, the Secretary of State may by order designate the UK Green Investment Bank for the purposes of sections 3 to 6.

(2) The first condition is that the Secretary of State is satisfied that the Bank's objects in its articles of association are such that, acting consistently with them, it would engage only in activities that involve, or are incidental or conducive to, making, facilitating or encouraging investments that it considers likely to contribute to the achievement of one or more of the green purposes (whether in the United Kingdom or elsewhere).

(3) The second condition is that the Secretary of State is satisfied that the Bank's objects in its articles of association are such that, acting consistently with them, its activities in making, facilitating or encouraging investments in each relevant period would (taken as a whole) be such as the Bank considers likely to contribute to a reduction of global greenhouse gas emissions.

(4) In subsection (3) , “relevant period” means each financial year of the Bank taken together with all of its preceding financial years.

(5) The third condition is that the Secretary of State has laid before Parliament a copy of an undertaking (the “operational independence undertaking”) provided by the Secretary of State to the Bank for the purpose of facilitating the Bank's ability to act as its directors consider appropriate in the light of the objects in its articles of association.

(6) An order may not be made under this section unless at the date on which it is made the UK Green Investment Bank is wholly owned by the Crown.

(7) An order under this section may not be amended or revoked.

(8) An order under this section—

(a) is to be made by statutory instrument, and
(b) is not to be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.
(9) References in this Part to the UK Green Investment Bank are to the public company limited by shares incorporated on 15 May 2012 with the company number SC424067 and with the name UK Green Investment Bank plc.

Annotations:

Commencement Information

I1 S. 2 wholly in force at 25.6.2013; s. 2 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(a)


3 Alteration of the objects of the UK Green Investment Bank

(1) Where an order has been made under section 2, the UK Green Investment Bank may not make any alteration to the objects in its articles of association unless—

(a) the alteration is made to give effect to an order of a court or other authority having power to alter the Bank's articles of association, or
(b) the making of the alteration has been approved by the Secretary of State by order under this section.
(2) The Secretary of State may not make an order under this section approving the making of an alteration unless the following two conditions are met.

(3) The first condition is that the Secretary of State is satisfied that, if the alteration were made, the Bank's objects in its articles of association would remain such that, acting consistently with them, it would engage only in activities that involve, or are incidental or conducive to, making, facilitating or encouraging investments that it considers likely to contribute to the achievement of one or more of the green purposes (whether in the United Kingdom or elsewhere).

(4) The second condition is that the Secretary of State is satisfied that, if the alteration were made, the Bank's objects in its articles of association would remain such that, acting consistently with them, its activities in making, facilitating or encouraging investments in each relevant period (within the meaning given by section 2(4) ) would (taken as a whole) be such as the Bank considers likely to contribute to a reduction of global greenhouse gas emissions.

(5) An order under this section—

(a) is to be made by statutory instrument, and
(b) is not to be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.
Annotations:

Commencement Information

I2 S. 3 wholly in force at 25.6.2013; s. 3 in force for specified purposes at Royal Assent and otherwise in force at 25.6.2013, see s. 103(1)(i)(2)(a)


4 Financial assistance

(1) Where an order has been made under section 2, the Secretary of State may, with the consent of the Treasury, give the UK Green Investment Bank financial assistance at any time when the Crown's shareholding in it is more than half of its issued share capital.

(2) The financial assistance may be given in any form that the Secretary of State, with the consent of the Treasury, considers appropriate.

(3) It may in particular be given by way of—

(a) grants,
(b) loans,
(c) guarantees,
(d) the purchase of share capital of the Bank, or
(e) the transfer of assets or rights to the Bank.
(4) The financial assistance may be provided subject to such terms and conditions as the Secretary of State, with the consent of the Treasury, considers appropriate (including, in the case of a grant or a loan, conditions requiring repayment or, in the case of a guarantee, conditions requiring reimbursement of any sums paid under it).

(5) The Treasury may arrange for money to be paid out of the National Loans Fund in order to enable loans to be made to the Bank under this section.

(6) Nothing in this section affects the exercise of any power of the Treasury or the Secretary of State to give financial assistance to the Bank otherwise than under this section at a time when the Crown's shareholding in the Bank is not more than half of its issued share capital.

5 Accounts, reports and payments to directors

(1) Where an order has been made under section 2, the UK Green Investment Bank is to be treated as being a quoted company within the meaning of section 385(2) of the Companies Act 2006 for the purposes of the application to it of—

(a) Chapters 4 and 4A of Part 10 of that Act, and
(b) Parts 15 and 16 of that Act (in respect of a financial year).
(2) Where an order has been made under section 2, each report prepared by the directors of the Bank for a financial year under section 415 of the Companies Act 2006 must include—

(a) an explanation of the steps that the Bank took in that year to ensure that its activities in making, facilitating or encouraging investments in that year and in any previous financial years would (taken as a whole) be likely to contribute to a reduction of global greenhouse gas emissions, and
(b) a statement of the directors' views on the likely effect of those activities in those years on global greenhouse gas emissions.

6 Documents to be laid before Parliament

(1) Subsection (2) applies if—

(a) after an order has been made under section 2, copies of the UK Green Investment Bank's annual accounts and reports are, in accordance with section 437 of the Companies Act 2006, laid before it in general meeting, and
(b) as at the date of the meeting, the Crown holds shares in the Bank.
(2) The Secretary of State must, as soon as practicable after the meeting, lay a copy of the annual accounts and reports before Parliament.

(3) Subsection (4) applies if—

(a) after an order has been made under section 2, the Secretary of State—
(i) makes a material alteration to the terms of the operational independence undertaking referred to in subsection (5) of section 2, or
(ii) revokes that undertaking, and
(b) as at the date of the alteration or revocation, the Crown's shareholding in the UK Green Investment Bank is more than half of its issued share capital.
(4) The Secretary of State must, as soon as practicable after the date referred to in subsection (3) (b) —

(a) in the case of an alteration, lay a copy of the revised undertaking before Parliament;
(b) in the case of revocation of the undertaking, lay before Parliament a statement reporting the revocation.

PART 2
Employment



Conciliation (E+W+S)


7 Conciliation before institution of proceedings (E+W+S)

(1) After section 18 of the Employment Tribunals Act 1996 (conciliation) insert—

“18A Requirement to contact ACAS before instituting proceedings
(1) Before a person (“the prospective claimant”) presents an application to institute relevant proceedings relating to any matter, the prospective claimant must provide to ACAS prescribed information, in the prescribed manner, about that matter.
This is subject to subsection (7).
(2) On receiving the prescribed information in the prescribed manner, ACAS shall send a copy of it to a conciliation officer.
(3) The conciliation officer shall, during the prescribed period, endeavour to promote a settlement between the persons who would be parties to the proceedings.
(4) If—
(a) during the prescribed period the conciliation officer concludes that a settlement is not possible, or
(b) the prescribed period expires without a settlement having been reached,
the conciliation officer shall issue a certificate to that effect, in the prescribed manner, to the prospective claimant.
(5) The conciliation officer may continue to endeavour to promote a settlement after the expiry of the prescribed period.
(6) In subsections (3) to (5) “ settlement ” means a settlement that avoids proceedings being instituted.
(7) A person may institute relevant proceedings without complying with the requirement in subsection (1) in prescribed cases.
The cases that may be prescribed include (in particular) — cases where the requirement is complied with by another person instituting relevant proceedings relating to the same matter; cases where proceedings that are not relevant proceedings are instituted by means of the same form as proceedings that are; cases where section 18B applies because ACAS has been contacted by a person against whom relevant proceedings are being instituted.
(8) A person who is subject to the requirement in subsection (1) may not present an application to institute relevant proceedings without a certificate under subsection (4).
(9) Where a conciliation officer acts under this section in a case where the prospective claimant has ceased to be employed by the employer and the proposed proceedings are proceedings under section 111 of the Employment Rights Act 1996, the conciliation officer may in particular—
(a) seek to promote the reinstatement or re-engagement of the prospective claimant by the employer, or by a successor of the employer or by an associated employer, on terms appearing to the conciliation officer to be equitable, or
(b) where the prospective claimant does not wish to be reinstated or re-engaged, or where reinstatement or re-engagement is not practicable, seek to promote agreement between them as to a sum by way of compensation to be paid by the employer to the prospective claimant.
(10) In subsections (1) to (7) “ prescribed ” means prescribed in employment tribunal procedure regulations.
(11) The Secretary of State may by employment tribunal procedure regulations make such further provision as appears to the Secretary of State to be necessary or expedient with respect to the conciliation process provided for by subsections (1) to (8).
(12) Employment tribunal procedure regulations may (in particular) make provision—
(a) authorising the Secretary of State to prescribe, or prescribe requirements in relation to, any form which is required by such regulations to be used for the purpose of providing information to ACAS under subsection (1) or issuing a certificate under subsection (4) ;
(b) requiring ACAS to give a person any necessary assistance to comply with the requirement in subsection (1) ;
(c) for the extension of the period prescribed for the purposes of subsection (3) ;
(d) treating the requirement in subsection (1) as complied with, for the purposes of any provision extending the time limit for instituting relevant proceedings, by a person who is relieved of that requirement by virtue of subsection (7) (a).
18B Conciliation before institution of proceedings: other ACAS duties
(1) This section applies where—
(a) a person contacts ACAS requesting the services of a conciliation officer in relation to a matter that (if not settled) is likely to give rise to relevant proceedings against that person, and
(b) ACAS has not received information from the prospective claimant under section 18A(1).
(2) This section also applies where—
(a) a person contacts ACAS requesting the services of a conciliation officer in relation to a matter that (if not settled) is likely to give rise to relevant proceedings by that person, and
(b) the requirement in section 18A(1) would apply to that person but for section 18A(7).
(3) Where this section applies a conciliation officer shall endeavour to promote a settlement between the persons who would be parties to the proceedings.
(4) If at any time—
(a) the conciliation officer concludes that a settlement is not possible, or
(b) a conciliation officer comes under the duty in section 18A(3) to promote a settlement between the persons who would be parties to the proceedings,
the duty in subsection (3) ceases to apply at that time.
(5) In subsections (3) and (4) “ settlement ” means a settlement that avoids proceedings being instituted.
(6) Subsection (9) of section 18A applies for the purposes of this section as it applies for the purposes of that section.”
(2) Schedule 1 (conciliation: minor and consequential amendments) has effect.

Annotations:

Commencement Information

I3 S. 7 partly in force; s. 7 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I4 S. 7(1)(2) in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, art. 3(a)(b) (with art. 4)

I5 S. 7(2) in force at 6.3.2014 for specified purposes by S.I. 2014/253, art. 2


8 Extension of limitation periods to allow for conciliation (E+W+S)

Schedule 2 (extension of limitation periods to allow for conciliation) has effect.

Annotations:

Commencement Information

I6 S. 8 in force at 6.4.2014 by S.I. 2014/253, art. 3(c)


9 Extended power to define “relevant proceedings” for conciliation purposes (E+W+S)

(1) Section 18 of the Employment Tribunals Act 1996 (conciliation) is amended as follows.

(2) In subsection (8) (power of Secretary of State and Lord Chancellor to amend list in subsection (1) of section 18) , for paragraphs (a) and (b) substitute “ amend the definition of “relevant proceedings” in subsection (1) by adding to or removing from the list in that subsection particular types of employment tribunal proceedings. ”

(3) After subsection (8) insert—

“(9) An order under subsection (8) that adds employment tribunal proceedings to the list in subsection (1) may amend an enactment so as to extend the time limit for instituting those proceedings in such a way as appears necessary or expedient in order to facilitate the conciliation process provided for by section 18A.
(10) An order under subsection (8) that removes employment tribunal proceedings from the list in subsection (1) may—
(a) repeal or revoke any provision of an enactment that, for the purpose mentioned in subsection (9) , extends the time limit for instituting those proceedings;
(b) make further amendments which are consequential on that repeal or revocation.”
Annotations:

Commencement Information

I7 S. 9 partly in force; s. 9 in force for specified purposes at Royal Assent, see s. 103(1)(i)

I8 S. 9 in force at 6.4.2014 in so far as not already in force by S.I. 2014/253, art. 3(d)


ACAS (E+W+S)


10 ACAS: prohibition on disclosure of information (E+W+S)

In Part 6 of the Trade Union and Labour Relations (Consolidation) Act 1992 (ACAS etc) , after section 251A insert—

“251B Prohibition on disclosure of information
(1) Information held by ACAS shall not be disclosed if the information—
(a) relates to a worker, an employer of a worker or a trade union (a “relevant person”) , and
(b) is held by ACAS in connection with the provision of a service by ACAS or its officers.
This is subject to subsection (2).
(2) Subsection (1) does not prohibit the disclosure of information if—
(a) the disclosure is made for the purpose of enabling or assisting ACAS to carry out any of its functions under this Act,
(b) the disclosure is made for the purpose of enabling or assisting an officer of ACAS to carry out the functions of a conciliation officer under any enactment,
(c) the disclosure is made for the purpose of enabling or assisting—
(i) a person appointed by ACAS under section 210(2) , or
(ii) an arbitrator or arbiter appointed by ACAS under any enactment,
to carry out functions specified in the appointment,
(d) the disclosure is made for the purposes of a criminal investigation or criminal proceedings (whether or not within the United Kingdom) ,
(e) the disclosure is made in order to comply with a court order,
(f) the disclosure is made in a manner that ensures that no relevant person to whom the information relates can be identified, or
(g) the disclosure is made with the consent of each relevant person to whom the information relates.
(3) Subsection (2) does not authorise the making of a disclosure which contravenes the Data Protection Act 1998.
(4) A person who discloses information in contravention of this section commits an offence and is liable on summary conviction to a fine not exceeding level 5 on the standard scale.
(5) Proceedings in England and Wales for an offence under this section may be instituted only with the consent of the Director of Public Prosecutions.
(6) For the purposes of this section information held by—
(a) a person appointed by ACAS under section 210(2) in connection with functions specified in the appointment, or
(b) an arbitrator or arbiter appointed by ACAS under any enactment in connection with functions specified in the appointment,
is information that is held by ACAS in connection with the provision of a service by ACAS.”