(1) The Trade Union and Labour Relations (Consolidation) Act 1992 is amended as follows.
(2) After section 24 (duty to maintain register of members' names and addresses) insert—
Duty to provide membership audit certificate
24ZA (1) A trade union required to maintain a register of the names and addresses of its members by section 24 must send to the Certification Officer a membership audit certificate in relation to each reporting period.
(2) In this section and in sections 24ZB to 24ZF, a “reporting period” means a period in relation to which the union is required by section 32 to send an annual return to the Certification Officer.
(3) The union must send the membership audit certificate in relation to a reporting period to the Certification Officer at the same time as it sends to the Officer its annual return under section 32 in relation to that period.
(4) In the case of a trade union required by section 24ZB to appoint an assurer in relation to a reporting period, the “membership audit certificate” in relation to that period is the certificate which the assurer is required to provide to the union in relation to that period pursuant to that appointment.
(5) In any other case, the “membership audit certificate” in relation to a reporting period is a certificate which—
(a) must be signed by an officer of the trade union who is authorised to sign on its behalf,
(b) must state the officer's name, and
(c) must state whether, to the best of the officer's knowledge and belief, the union has complied with its duties under section 24(1) throughout the reporting period.
(6) A trade union must, at a person's request, supply the person with a copy of its most recent membership audit certificate either free of charge or on payment of a reasonable charge.
(7) The Certification Officer must at all reasonable hours keep available for public inspection, either free of charge or on payment of a reasonable charge, copies of all membership audit certificates sent to the Officer under this section.
(3) In section 44(4) (discharge of duties in case of union having branches or sections), at the appropriate place in the list insert— “ section 24ZA (duty to provide membership audit certificate), ”.
(4) In section 118 (federated trade unions), after subsection (4) insert—
(4A) In the case of a federated trade union which, by virtue of subsection (4), is not required to send an annual return to the Certification Officer under section 32, section 24ZA (duty to provide membership audit certificate) applies as if section 32 does apply to the union.
(1) The Trade Union and Labour Relations (Consolidation) Act 1992 is amended as follows.
(2) After section 24ZA (which is inserted by section 40) insert—
Duty to appoint an assurer
24ZB (1) A trade union required to maintain a register of the names and addresses of its members by section 24 must, in relation to each reporting period, appoint a qualified independent person to be an assurer in relation to that period.
(2) There is incorporated in the assurer's appointment a duty which the assurer owes to the trade union—
(a) to provide to the union a membership audit certificate in relation to the reporting period which accords with the requirements of section 24ZD, and
(b) to carry out such enquiries as the assurer considers necessary to enable the assurer to provide that certificate.
(3) A person is a “qualified independent person” if—
(a) the person either satisfies such conditions as may be specified for the purposes of this section by order of the Secretary of State or is specified by name in such an order, and
(b) the trade union has no grounds for believing that—
(i) the person will carry out an assurer's functions otherwise than competently, or
(ii) the person's independence in relation to the union might reasonably be called into question.
(4) None of the following may act as an assurer—
(a) an officer or employee of the trade union or of any of its branches or sections;
(b) a person who is a partner of, or in the employment of, or who employs, such an officer or employee.
(5) This section does not apply to a trade union in relation to a reporting period if the number of its members at the end of the preceding reporting period did not exceed 10,000.
(6) Any order under this section is to be made by statutory instrument and is to be subject to annulment in pursuance of a resolution of either House of Parliament.
Appointment and removal of an assurer
24ZC (1) The rules of every trade union to which section 24ZB applies must contain provision for the appointment and removal of an assurer.
But the following provisions have effect notwithstanding anything in the rules.
(2) An assurer must not be removed from office except by resolution passed at a general meeting of the members of the union or of delegates of its members.
(3) A person duly appointed as an assurer in relation to a reporting period must be reappointed as assurer in relation to the following reporting period, unless—
(a) a resolution has been passed at a general meeting of the trade union appointing somebody else instead or providing expressly that the person is not to be re-appointed,
(b) the person has given notice to the union in writing of the person's unwillingness to be re-appointed,
(c) the person is not qualified for the appointment in accordance with section 24ZB, or
(d) the person has ceased to act as assurer by reason of incapacity.
(4) But a person need not automatically be re-appointed where—
(a) the person is retiring,
(b) notice has been given of an intended resolution to appoint somebody else instead, and
(c) that resolution cannot be proceeded with at the meeting because of the death or incapacity of the proposed replacement.
Requirements of assurer's membership audit certificate
24ZD (1) For the purposes of section 24ZB(2)(a) the requirements of a membership audit certificate in relation to a reporting period provided by an assurer are as follows.
(2) The certificate must state the name of, and be signed by, the assurer.
(3) The certificate must state—
(a) whether, in the assurer's opinion, the trade union's system for compiling and maintaining the register of the names and addresses of its members was satisfactory for the purposes of complying with the union's duties under section 24(1) throughout the reporting period, and
(b) whether, in the assurer's opinion, the assurer has obtained the information and explanations which the assurer considers necessary for the performance of the assurer's functions.
(4) If the certificate states that—
(a) in the assurer's opinion, the trade union's system for compiling and maintaining the register was not satisfactory for the purposes of complying with the union's duties under section 24(1) throughout the reporting period, or
(b) in the assurer's opinion, the assurer has failed to obtain the information and explanations which the assurer considers necessary for the performance of the assurer's functions,
the certificate must state the assurer's reasons for making that statement.
(5) In the case of a failure to obtain information or explanations as described in subsection (4)(b), the certificate must also—
(a) provide a description of the information or explanations requested or required which have not been obtained, and
(b) state whether the assurer required that information or those explanations from the union's officers, or officers of any of its branches or sections, under section 24ZE.
(6) The reference in subsection (2) to signature by the assurer is, where that office is held by a body corporate or partnership, to signature in the name of the body corporate or partnership by an individual authorised to sign on its behalf.
Rights of assurer
24ZE (1) An assurer appointed by a trade union under section 24ZB—
(a) has a right of access at all reasonable times to the register of the names and addresses of the union's members and to all other documents which the assurer considers may be relevant to whether the union has complied with any of the requirements of section 24(1), and
(b) is entitled to require from the union's officers, or the officers of any of its branches or sections, such information and explanations as the assurer considers necessary for the performance of the assurer's functions.
(2) In subsection (1) references to documents include information recorded in any form.
Duty to inform the Certification Officer
24ZF If an assurer provides a membership audit certificate in relation to a reporting period to a trade union which states that, in the assurer's opinion—
(a) the union's system for compiling and maintaining the register was not satisfactory for the purposes of complying with the union's duties under section 24(1) throughout that period, or
(b) the assurer has failed to obtain the information and explanations which the assurer considers necessary for the performance of the assurer's functions,
the assurer must send a copy of the certificate to the Certification Officer as soon as is reasonably practicable after it is provided to the union.
Duty of confidentiality
24ZG (1) The duty of confidentiality as respects the register is incorporated in an assurer's appointment by a trade union under section 24ZB.
(2) The duty of confidentiality as respects the register is a duty which the assurer owes to the union—
(a) not to disclose any name or address in the register of the names and addresses of the union's members except in permitted circumstances, and
(b) to take all reasonable steps to secure that there is no disclosure of any such name or address by another person except in permitted circumstances.
(3) The circumstances in which disclosure of a member's name or address is permitted are—
(a) where the member consents,
(b) where it is required or requested by the Certification Officer for the purposes of the discharge of any of the Officer's functions,
(c) where it is required for the purposes of the discharge of any of the functions of an inspector appointed by the Officer,
(d) where it is required for the purposes of the discharge of any of the functions of the assurer, or
(e) where it is required for the purposes of the investigation of crime or criminal proceedings.
(3) In section 24A(3) (securing confidentiality of register during ballots), after “duty of confidentiality”” insert “ , in the context of a scrutineer or independent person, ”.
(4) In section 44(4) (discharge of duties in case of union having branches or sections), at the appropriate place in the list insert— “ sections 24ZB and 24ZC (duty to appoint an assurer etc), ”.
(5) In section 299 (index of defined expressions), in the entry for “the duty of confidentiality”, after “confidentiality” insert “ , in the context of a scrutineer or independent person ”.
(1) The Trade Union and Labour Relations (Consolidation) Act 1992 is amended as follows.
(2) After section 24ZG (which is inserted by section 41) insert—
Power of Certification Officer to require production of documents etc
24ZH (1) If the Certification Officer thinks there is good reason to do so, the Officer—
(a) may give directions to a trade union, or a branch or section of a trade union, requiring it to produce such relevant documents as are specified in the directions;
(b) may authorise a member of the Officer's staff or any other person (“an authorised person”), on producing (if so required) evidence of that authority, to require a trade union, or a branch or section of a trade union, to produce immediately to the authorised person such relevant documents as that person specifies.
(2) “Relevant documents”, in relation to a trade union or a branch or section of a trade union, means—
(a) the register of the names and addresses of the trade union's members, and
(b) documents of any other description which the Certification Officer or authorised person considers may be relevant to whether the union has failed to comply with any of the requirements of section 24(1) (duties regarding the register of members).
(3) Directions under subsection (1)(a) must specify the time and place at which the documents are to be produced.
(4) Where the Certification Officer, or an authorised person, has power to require the production of documents by virtue of subsection (1), the Officer or authorised person has the like power to require production of those documents from any person who appears to the Officer or authorised person to be in possession of them.
(5) The power under this section to require the production of documents includes the power—
(a) if the documents are produced—
(i) to take copies of them or extracts from them;
(ii) to require the person by whom they are produced to provide an explanation of any of them;
(iii) to require any person who is or has been an official or agent of the trade union to provide an explanation of any of them;
(b) if the documents are not produced, to require the person who was required to produce them to state, to the best of the person's knowledge and belief, where they are.
(6) For the purposes of subsection (5)(a)(iii), “agent” includes an assurer appointed by the trade union under section 24ZB.
(7) For supplementary provision, see section 24ZK.
Investigations by inspectors
24ZI (1) The Certification Officer may appoint one or more members of the Officer's staff or other persons as an inspector or inspectors to—
(a) investigate whether a trade union has failed to comply with any of the requirements of section 24(1) (duties regarding the register of members), and
(b) report to the Officer in such manner as the Officer may direct.
(2) The Certification Officer may only make such an appointment if it appears to the Officer that there are circumstances suggesting that the union has failed to comply with a requirement of section 24(1), 24ZA or 24ZB (duties etc relating to the register of members).
(3) Where any person appears to the inspector or inspectors to be in possession of information relating to a matter considered by the inspector or inspectors to be relevant to the investigation, the inspector or inspectors may require the person—
(a) to produce to the inspector or inspectors any relevant documents relating to that matter,
(b) to attend before the inspector or inspectors, and
(c) otherwise to give the inspector or inspectors all assistance in connection with the investigation which the person is reasonably able to give.
(4) “Relevant documents” means—
(a) the register of the names and addresses of the trade union's members, and
(b) documents of any other description which the inspector or inspectors consider may be relevant to whether the union has failed to comply with any of the requirements of section 24(1).
(5) Where a person who is not a member of the Certification Officer's staff is appointed as an inspector under this section, there is incorporated in the appointment the duty of confidentiality as respects the register of the names and addresses of the trade union's members.
(6) The duty of confidentiality as respects that register is a duty which the inspector owes to the Certification Officer—
(a) not to disclose any name or address in the register of the names and addresses of the union's members except in permitted circumstances, and
(b) to take all reasonable steps to secure that there is no disclosure of any such name or address by another person except in permitted circumstances.
(7) The circumstances in which disclosure of a member's name or address is permitted are—
(a) where the member consents,
(b) where it is required or requested by the Certification Officer for the purposes of the discharge of any of the Officer's functions,
(c) where it is required for the purposes of the discharge of any of the functions of the inspector or any other inspector appointed by the Officer,
(d) where it is required for the purposes of the discharge of any of the functions of an assurer appointed under section 24ZB, or
(e) where it is required for the purposes of the investigation of crime or criminal proceedings.
(8) For supplementary provision, see section 24ZK.
Inspectors' reports etc
24ZJ (1) An inspector or inspectors appointed under section 24ZI—
(a) may make interim reports to the Certification Officer,
(b) must make such reports if so directed by the Officer, and
(c) on the conclusion of the investigation, must make a final report to the Officer.
(2) A report under subsection (1) must be in writing.
(3) An inspector or inspectors—
(a) may at any time inform the Certification Officer of any matters coming to their knowledge as a result of the investigation, and
(b) must do so if the Officer so directs.
(4) The Certification Officer may direct an inspector or inspectors—
(a) to take no further steps in the investigation, or
(b) to take only such further steps as are specified in the direction.
(5) Where such a direction is made, the inspector or inspectors are not required under subsection (1)(c) to make a final report to the Certification Officer unless the Officer so directs.
Sections 24ZH and 24ZI: supplementary
24ZK (1) Nothing in section 24ZH or 24ZI requires or authorises anyone to require—
(a) the disclosure by a person of information which the person would in an action in the court be entitled to refuse to disclose on grounds of legal professional privilege, or
(b) the production by a person of a document which the person would in such an action be entitled to refuse to produce on such grounds.
(2) But a lawyer may be required under section 24ZH or 24ZI to disclose the name and address of the lawyer's client.
(3) A person is not excused from providing an explanation or making a statement in compliance with a requirement imposed under section 24ZH(5) or 24ZI(3) on the ground that to do so would tend to expose the person to proceedings for an offence.
(4) But an explanation so provided or a statement so made may only be used in evidence against the person by whom it is provided or made on a prosecution for an offence where, in giving evidence, the person makes a statement inconsistent with it.
(5) In this section and in sections 24ZH and 24ZI—
(a) references to documents include information recorded in any form, and
(b) in relation to information recorded otherwise than in legible form, references to its production are to the production of a copy of the information in legible form.
(3) In section 24A(4)(b) (securing confidentiality of register during ballots), after “where it is” insert “ required or ”.
(1) The Trade Union and Labour Relations (Consolidation) Act 1992 is amended as follows.
(2) After section 24A (securing confidentiality of register during ballots) insert—
Enforcement of sections 24 to 24ZC by Certification Officer
24B (1) Where the Certification Officer is satisfied that a trade union has failed to comply with any of the requirements of section 24, 24ZA, 24ZB or 24ZC (duties etc relating to the register of members), the Officer may make a declaration to that effect.
(2) Before making such a declaration, the Certification Officer—
(a) may make such enquiries as the Officer thinks fit,
(b) must give the union an opportunity to make written representations, and
(c) may give the union an opportunity to make oral representations.
(3) If the Certification Officer makes a declaration it must specify the provisions with which the union has failed to comply.
(4) Where the Certification Officer makes a declaration and is satisfied—
(a) that steps have been taken by the union with a view to remedying the declared failure or securing that a failure of the same or any similar kind does not occur in future, or
(b) that the union has agreed to take such steps,
the Officer must specify those steps in the declaration.
(5) Where a declaration is made, the Certification Officer must give reasons in writing for making the declaration.
(6) Where a declaration is made, the Certification Officer must also make an enforcement order unless the Officer considers that to do so would be inappropriate.
(7) An “enforcement order” is an order imposing on the union one or both of the following requirements—
(a) to take such steps to remedy the declared failure, within such period, as may be specified in the order;
(b) to abstain from such acts as may be so specified with a view to securing that a failure of the same or a similar kind does not occur in future.
(8) Where, having given the union an opportunity to make written representations under subsection (2)(b), the Certification Officer determines not to make a declaration under subsection (1), the Officer must give the union notice in writing of that determination.
(9) Where the Certification Officer requests a person to provide information to the Officer in connection with enquiries under this section, the Officer must specify the date by which that information is to be provided.
(10) Where the information is not provided by the specified date, the Certification Officer must proceed with determining whether to make a declaration under subsection (1) unless the Officer considers that it would be inappropriate to do so.
(11) A declaration made by the Certification Officer under this section may be relied on as if it were a declaration made by the court.
(12) An enforcement order made by the Certification Officer under this section may be enforced in the same way as an order of the court.
(13) Where an enforcement order has been made, a person who is a member of the union and was a member at the time it was made is entitled to enforce obedience to the order as if the order had been made on an application by that person.
Enforcement of sections 24ZH and 24ZI by Certification Officer
24C (1) Where the Certification Officer is satisfied that a trade union or any other person has failed to comply with any requirement imposed under—
(a) section 24ZH (power of Certification Officer to require production of documents etc), or
(b) section 24ZI (investigations by inspectors),
the Officer may make an order requiring the trade union or person to comply with the requirement.
(2) Before making such an order, the Certification Officer must give the trade union or person an opportunity to be heard.
(3) In the case of a failure to comply with a requirement imposed under section 24ZH or 24ZI to produce a document, the Certification Officer may make an order only if the Officer is satisfied that—
(a) the document is in the possession of the union or person, and
(b) it is reasonably practicable for the union or person to comply with the requirement.
(4) In the case of a failure to comply with any other requirement imposed under section 24ZH or 24ZI, the Certification Officer may make an order only if the Officer is satisfied that it is reasonably practicable for the union or person to comply with the requirement.
(5) The order must specify—
(a) the requirement with which the trade union or person has failed to comply, and
(b) the date by which the trade union or person must comply.
(6) An order made by the Certification Officer under this section may be enforced in the same way as an order of the court.
(3) In section 24(6) (remedies for failure to comply with that section), after “court)” insert “ ; see also the powers of the Certification Officer under section 24B to make a declaration and an enforcement order ”.
(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(5) In section 26 (remedy for failure: application to the court), after subsection (8) insert—
(9) Where a person applies under this section in relation to an alleged failure and the Certification Officer has made a declaration regarding that failure under section 24B, the court must have due regard to the declaration and any order, observations or reasons made or given by the Officer under that section regarding that failure and brought to the court's notice.
(6) In section 45D (appeals from Certification Officer), after “section” insert “ 24B, 24C, ”.
(7) In section 256(1) (procedure before the Certification Officer)—
(a) omit the “or” at the end of paragraph (a), and
(b) in paragraph (b) after “matter” insert
, or
(c) determining whether to make a declaration or enforcement order under section 24B or an order under section 24C
.
There is to be paid out of money provided by Parliament—
(a) any expenditure incurred by a Minister of the Crown under or by virtue of this Act, and
(b) any increase attributable to this Act in the sums payable under any other Act out of money so provided.
(1) The following provisions of this Act come into force on such day as the Minister may appoint by order made by statutory instrument—
(a) Part 1, except as mentioned in subsection (3)(a);
(b) in Part 2—
(i) section 26(11) and (12) (definition of “election material”);
(ii) section 31 (extension of power to vary specified sums);
(iii) section 32 (recognised third parties);
(iv) section 36 (third party expenditure in respect of candidates);
(v) section 37 (candidate's personal expenses not to count for local election expenses limit in England and Wales);
(vi) section 38 (functions of Electoral Commission with respect to compliance);
(c) Part 3, except as mentioned in subsection (3)(c).
(2) An order under subsection (1)—
(a) may appoint different days for different purposes, and
(b) may make transitional, transitory or saving provision.
(3) The following provisions of this Act come into force on the day on which the Act is passed—
(a) any provision of Part 1 which confers power to make regulations, for the purposes of the exercise of that power;
(b) the provisions of Part 2 not mentioned in subsection (1)(b);
(c) section 41, for the purposes of the exercise of the power to make subordinate legislation conferred by section 24ZB(3) of the Trade Union and Labour Relations (Consolidation) Act 1992 (which is inserted by that section);
(d) Part 4.
(4) Section 46 contains transitional provision relating to the commencement of the provisions to which subsection (3)(b) applies.
(5) “The Minister” means—
(a) for the purposes of subsection (1)(a) and (b), the Secretary of State or the Lord President of the Council;
(b) for the purposes of subsection (1)(c), the Secretary of State.
(1) The amendments made by Part 2 which in accordance with section 45(3)(b) come into force on the day on which this Act is passed have effect only in relation to—
(a) regulated periods beginning after that day, or
(b) (for the purposes of enactments having effect otherwise than in relation to regulated periods) expenditure incurred after that day.
(2) In this section “regulated period” means a period in relation to which any limit is imposed by—
(a) Schedule 9 to PPERA 2000 (limits on campaign expenditure), or
(b) Schedule 10 to that Act (limits on controlled expenditure),
(including a period in relation to which a limit is imposed by that Schedule by virtue of subsection (3)(b) or (5)(b)).
(3) If, apart from this subsection, the day on which this Act is passed would fall within a period in relation to which one or more limits are imposed by paragraph 11 of Schedule 9 to PPERA 2000 (limit on campaign expenditure where combination of parliamentary election and other election)—
(a) paragraph 11(2) of that Schedule (which disapplies limits and periods which would otherwise be imposed by paragraph 3 of that Schedule and substitutes new limits and periods) is of no effect (and is treated as never having had effect) in relation to the parliamentary general election, and
(b) for the purposes of paragraph 3 of that Schedule as it applies by virtue of paragraph (a), the relevant period is the Schedule 9 transitional period.
(4) In subsection (3) “the Schedule 9 transitional period” means the period—
(a) beginning with 23 May 2014, and
(b) ending with the date of the poll for the parliamentary general election.
(5) If, apart from this subsection, the day on which this Act is passed would fall within a period in relation to which one or more limits are imposed by paragraph 11 of Schedule 10 to PPERA 2000 (limit on controlled expenditure where combination of parliamentary election and other election)—
(a) paragraph 11(2) of that Schedule (which disapplies limits and periods which would otherwise be imposed by paragraph 3 of that Schedule and substitutes new limits and periods) is of no effect (and is treated as never having had effect) in relation to the parliamentary general election, and
(b) for the purposes of paragraph 3 of that Schedule as it applies by virtue of paragraph (a), the relevant period is the Schedule 10 transitional period.
(6) In subsection (5) “the Schedule 10 transitional period” means the period—
(a) beginning with 19 September 2014, and
(b) ending with the date of the poll for the parliamentary general election.
(7) Subsections (3) and (5) do not apply in the case of a period in relation to which one or more limits are imposed by paragraph 11 of Schedule 9 to PPERA 2000, or paragraph 11 of Schedule 10 to that Act, that ends with the date of the poll for an early parliamentary general election.
(8) An “early parliamentary general election” is a parliamentary general election the date of the poll for which is appointed under section 2(7) of the Fixed-term Parliaments Act 2011.
(9) The Minister may by order made by statutory instrument make provision disapplying the preceding provisions of this section, and applying alternative transitional, transitory or saving provision, where a poll for an extraordinary general election to the Scottish Parliament, the National Assembly for Wales or the Northern Ireland Assembly takes place in the period—
(a) beginning with the day after that on which this Act is passed, and
(b) ending with the date of the poll for the next parliamentary general election.
(10) A statutory instrument containing an order under subsection (9) may not be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.
(11) In this section—
“the Minister” means the Secretary of State or the Lord President of the Council;
“PPERA 2000” means the Political Parties, Elections and Referendums Act 2000.
(1) The Minister may by order made by statutory instrument make provision consequential on any provision of Part 2 or section 46.
(2) An order under this section—
(a) may include provision amending or modifying any provision of or made under PPERA 2000 (including any provision inserted by this Act),
(b) may include incidental, supplementary, transitional, transitory or saving provision, and
(c) may make different provision for different purposes or cases or for different areas.
(3) A statutory instrument containing an order under this section that amends or modifies any provision of PPERA 2000 may not be made unless a draft of the instrument containing it has been laid before, and approved by a resolution of, each House of Parliament.
(4) Any other statutory instrument containing an order under this section is subject to annulment in pursuance of a resolution of either House of Parliament.
(5) No order may be made under this section after the date of the poll for the first relevant parliamentary general election.
(6) In this section—
“the first relevant parliamentary general election” has the same meaning as in section 39;
“the Minister” means the Secretary of State or the Lord President of the Council;
“PPERA 2000” means the Political Parties, Elections and Referendums Act 2000.
(1) Part 1 of this Act extends to the United Kingdom.
(2) In Part 2 of this Act—
(a) section 33(10) to (13) extends to the United Kingdom ..., and
(b) section 39 extends to the United Kingdom.
(3) Any amendment or repeal made by Part 2 or 3 of this Act has the same extent as the enactment amended or repealed.
(4) Part 4 of this Act extends to the United Kingdom ....
SCHEDULE 1 Carrying on the business of consultant lobbying
Section 2
Part 1 Exceptions
1 (1) A person does not, by reason of making a communication, carry on the business of consultant lobbying if—
(a) the person carries on a business which consists mainly of non-lobbying activities, and
(b) the making of the communication is incidental to the carrying on of those activities.
(2) In sub-paragraph (1) “non-lobbying activities” are activities other than making, on behalf of another person or persons, communications which—
(a) relate to any of the matters mentioned in section 2(3)(a) to (d), and
(b) are made to any of the persons within sub-paragraph (3).
(3) The persons are—
(a) members of, and office-holders in, government, and
(b) officials and members of staff of government.
(4) For the purposes of this paragraph, “government” includes—
(a) Her Majesty's Government in the United Kingdom,
(b) the Scottish Administration,
(c) the Welsh Assembly Government,
(d) the First Minister, the deputy First Minister, the Northern Ireland Ministers and any Northern Ireland department,
(e) the Government of any sovereign Power other than the United Kingdom,
(f) local government in any part of the United Kingdom, and
(g) any institution of the European Union;
(and the references to “the government” in section 2(3)(a) to (d) as applied by sub-paragraph (2)(a) are to be read accordingly).
2 A person does not carry on the business of consultant lobbying if—
(a) the person acts generally as a representative of persons of a particular class or description,
(b) the income of the person derives wholly or mainly from persons of that class or description, and
(c) the making of communications within section 2(3) on behalf of those persons is no more than an incidental part of that general activity.
3 (1) A person who, as an official or member of staff of—
(a) a sovereign Power other than the United Kingdom, or the Government of such a Power, or
(b) an international organisation,
makes communications within section 2(3) on its behalf does not, by reason of those communications, carry on the business of consultant lobbying.
(2) An “international organisation” is any organisation which, for the purposes of section 1 of the International Organisations Act 1968, is declared to be (or is treated as being) an organisation of which—
(a) the United Kingdom, or Her Majesty's Government in the United Kingdom, and
(b) at least one other sovereign Power, or the Government of such a Power,
are members.
(3) Regulations may specify other organisations which are to be “international organisations” for the purposes of this paragraph.
4 An individual does not carry on the business of consultant lobbying by reason of making communications as an employee in the course of a business carried on by the individual's employer.
Part 2 Meaning of terms used in section 2(1)
In return for payment
5 (1) “Payment” includes payment of any kind.
(2) But “payment” does not include any sums payable to a member of either House of Parliament—
(a) under section 4 or 5 of the Parliamentary Standards Act 2009 (MPs' salaries and allowances),
(b) pursuant to a resolution or a combination of resolutions of the House of Lords relating to expenses and allowances for its members, or
(c) otherwise out of money provided by Parliament or out of the Consolidated Fund (whether or not in respect of that membership).
6 (1) Communications may be made “in return for payment” whether the payment is made directly or indirectly.
(2) In particular, it does not matter—
(a) whether the person or persons making the payments is or are the person or persons on behalf of whom the communications are made, or
(b) whether a particular payment relates to any particular communication or communications.
7 (1) But a communication is not made “in return for payment” if—
(a) a person makes the communication on behalf of persons of a particular class or description,
(b) the income of the person making the communication derives wholly or mainly from persons who are not of that class or description, and
(c) the person does not receive payment, from persons of that class or description, in return for making that communication.
(2) If the person making the communication is an employee, the references in sub-paragraph (1)(b) and (c) to the person are to be read as references to the person's employer.
8 References in this Part of this Act to receiving payment to engage in lobbying are to be read in accordance with paragraphs 5 to 7.
Communications
9 A communication is not within section 2(3) if it is required to be made by or under any statutory provision or other rule of law.
Made on behalf of another
10 (1) Where an individual (“A”) makes a communication in the course of a business carried on by another person (“B”), the communication is to be regarded as being made by B as well as by A.
(2) Where A is an employee of B, then (whether or not the communication is made on behalf of a third party) A is not to be regarded as making the communication on behalf of B.
Part 3 Positions equivalent to permanent secretary
11 (1) The positions mentioned in section 2(6) are—
Cabinet Secretary;
Chief Executive of Her Majesty's Revenue and Customs;
Chief Medical Officer;
Director of Public Prosecutions;
First Parliamentary Counsel;
Government Chief Scientific Adviser;
Head of the Civil Service;
Prime Minister's Adviser for Europe and Global Issues.
(2) Regulations may amend sub-paragraph (1) by adding or removing a position.
Section 3
Status
1 The Registrar is a corporation sole.
2 The Registrar exercises the functions of that office on behalf of the Crown.
Appointment
3 (1) The Registrar is to be appointed by the Minister.
(2) The Registrar holds office in accordance with the terms and conditions of that appointment; but this is subject to sub-paragraphs (3) to (6).
(3) The term of office for which the Registrar is appointed must not be more than 4 years.
(4) A person may be appointed for a second or third term; but the term for which a person is re-appointed must not be more than 3 years.
(5) The Registrar may resign by giving written notice to the Minister.
(6) The Minister may dismiss the Registrar if the Minister is satisfied that the Registrar is unable, unwilling or unfit to perform the functions of the office.
4 (1) A person is ineligible for appointment as the Registrar if, at any time in the previous 5 years, the person—
(a) was a Minister of the Crown or a permanent secretary, or
(b) carried on the business of consultant lobbying or was an employee of a person who carried on that business.
(2) “Minister of the Crown” and “permanent secretary” have the meaning given by section 2(6).
5 A defect in the Registrar's appointment does not affect the validity of anything done by the Registrar.
Remuneration and staffing
6 Service as the Registrar is not service in the civil service of the State.
7 (1) The Registrar may make arrangements for sums in respect of the following to be paid to or in respect of the person holding office as the Registrar—
(a) remuneration;
(b) allowances;
(c) pension.
(2) The sums paid under sub-paragraph (1) are to be determined by the Minister.
8 (1) The Registrar may make arrangements with the Minister or other persons—
(a) for staff to be seconded to the Registrar;
(b) for accommodation or services to be provided to the Registrar.
(2) The payments that may be made under arrangements under sub-paragraph (1)(a) include payments to the staff in addition to, or instead of, payments to the person with whom the arrangements are made.
Accounts
9 (1) The Registrar must keep proper accounts and proper records in relation to the accounts.
(2) The Registrar must prepare a statement of accounts in respect of each financial year.
(3) The Registrar must send a copy of the statement, within a period specified by the Minister, to the Comptroller and Auditor General.
(4) After the Registrar 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) arrange for a copy of the certified statement and the report to be laid before Parliament as soon as possible.
(5) In this paragraph “financial year” means—
(a) the period beginning on the day on which section 3 comes into force and ending on the following 31 March, and
(b) each successive period of 12 months.
Funding
10 (1) The Minister may make grants or loans to the Registrar.
(2) The grants or loans may be subject to conditions (including conditions as to repayment with or without interest).
Amendment of other enactments
11 In Schedule 1 to the Public Records Act 1958 (definition of public records) at the appropriate place in Part 2 of the Table at the end of paragraph 3 insert— “ The Registrar of Consultant Lobbyists ”.
12 In Schedule 2 to the Parliamentary Commissioner Act 1967 (departments and authorities subject to investigation) before the entry for the “Registrar General for England and Wales” insert— “ The Registrar of Consultant Lobbyists ”.
13 In Part 6 of Schedule 1 to the Freedom of Information Act 2000 (other public bodies and offices which are public authorities) at the appropriate place insert— “ The Registrar of Consultant Lobbyists ”.
SCHEDULE 3 Controlled expenditure: qualifying expenses
Section 26
After Schedule 8 to the Political Parties, Elections and Referendums Act 2000 insert—
SCHEDULE 8A
Controlled expenditure: qualifying expenses
Section 85
Part 1 Qualifying expenses
1 For the purposes of section 85(2) the expenses falling within this Part of this Schedule are expenses incurred in respect of any of the matters set out in the following list.
List of matters
The production or publication of material which is made available to the public at large or any section of the public (in whatever form and by whatever means).
Canvassing, or market research seeking views or information from, members of the public.
Press conferences, or other media events, organised by or on behalf of the third party.
Transport (by any means) of persons to any place or places with a view to obtaining publicity.
Public rallies or other public events, other than—
annual conferences of the third party, or
any public procession or protest meeting, within the meaning of the Public Processions (Northern Ireland) Act 1998, in respect of which notice is given in accordance with section 6 or 7 of that Act (advance notice of public processions or related protest meetings).
Expenses in respect of such events include costs incurred in connection with the attendance of persons at such events, the hire of premises for the purposes of such events or the provision of goods, services or facilities at them.
But expenses in respect of such events do not include costs incurred in providing for the protection of persons or property.
2 (1) Nothing in paragraph 1 extends to—
(a) expenses incurred in respect of the publication of any matter relating to an election, other than an advertisement, in—
(i) a newspaper or periodical,
(ii) a broadcast made by the British Broadcasting Corporation, by Sianel Pedwar Cymru or by the Gibraltar Broadcasting Corporation, or
(iii) a programme included in any service licensed under Part 1 or 3 of the Broadcasting Act 1990 or Part 1 or 2 of the Broadcasting Act 1996;
(b) expenses incurred in respect of, or in consequence of, the translation of anything from English into Welsh or from Welsh into English;
(c) reasonable personal expenses incurred by an individual in travelling or in providing for the individual's accommodation or other personal needs;
(d) reasonable expenses incurred that are reasonably attributable to an individual's disability;
(e) expenses incurred in respect of the provision by any individual of the individual's own services which the individual provides voluntarily in the individual's own time and free of charge.
(2) In sub-paragraph (1)(d), “disability” has the same meaning as in the Equality Act 2010 (see section 6 of that Act).
Part 2 Supplemental
Guidance by the Commission
3 (1) The Commission may prepare, and from time to time revise, a code of practice giving guidance as to the kinds of expenses which do, or do not, fall within Part 1 of this Schedule.
(2) Once the Commission have prepared a draft code under this paragraph, they shall submit it to the Secretary of State for his approval.
(3) The Secretary of State may approve a draft code either without modification or with such modifications as he may determine.
(4) Once the Secretary of State has approved a draft code he shall lay a copy of the draft, whether—
(a) in its original form, or
(b) in a form which incorporates any modifications determined under sub-paragraph (3),
before each House of Parliament.
(5) If the draft incorporates any such modifications, the Secretary of State shall at the same time lay before each House a statement of his reasons for making them.
(6) If, within the 40-day period, either House resolves not to approve the draft, the Secretary of State shall take no further steps in relation to the draft code.
(7) If no such resolution is made within the 40-day period—
(a) the Secretary of State shall issue the code in the form of the draft laid before Parliament, and
(b) the code shall come into force on such date as the Secretary of State may by order appoint,
and the Commission shall arrange for it to be published in such manner as they consider appropriate.
(8) Sub-paragraph (6) does not prevent a new draft code from being laid before Parliament.
(9) In this paragraph “40-day period”, in relation to a draft code, means—
(a) if the draft is laid before one House on a day later than the day on which it is laid before the other House, the period of 40 days beginning with the later of the two days, and
(b) in any other case, the period of 40 days beginning with the day on which the draft is laid before each House,
no account being taken of any period during which Parliament is dissolved or prorogued or during which both Houses are adjourned for more than four days.
(10) In this paragraph references to a draft code include a draft revised code.
Power to amend Part 1
4 (1) The Secretary of State may by order make such amendments of Part 1 of this Schedule as he considers appropriate.
(2) The Secretary of State may make such an order either—
(a) where the order gives effect to a recommendation of the Commission, or
(b) after consultation with the Commission.
SCHEDULE 4 Requirements of quarterly and weekly donation reports
Section 33
After Schedule 11 to the Political Parties, Elections and Referendums Act 2000 insert—
SCHEDULE 11A
Requirements of quarterly and weekly donation reports
Sections 95A and 95B
Part 1 Preliminary
1 (1) In this Schedule—
(a) “quarterly report” means a report required to be prepared under section 95A;
(b) “reportable donation”, in relation to a quarterly report, has the same meaning as in that section;
(c) “weekly report” means a report required to be prepared under section 95B;
(d) “substantial donation”, in relation to a weekly report, has the same meaning as in that section;
(e) “reporting period”, in relation to a report, means the reporting period within the meaning of section 95A or 95B in respect of which the report is made.
(2) References in this Schedule to the value of a donation are to its value as determined in accordance with paragraph 5 of Schedule 11.
(3) References in this Schedule to section 56 are to that section as applied by paragraph 7 of Schedule 11.
Part 2 Quarterly reports
Requirements of quarterly reports
2 (1) A quarterly report in respect of a reporting period—
(a) must contain the statement mentioned in paragraph 3 (reportable donations accepted during reporting period), and
(b) must contain the statement mentioned in paragraph 5 (reportable donations from impermissible or unidentifiable donors dealt with during reporting period).
(2) Where, because of the application of paragraph 2(3B) of Schedule 6 by virtue of paragraph 3(2)(a), the information required in the statement mentioned in paragraph 3 is a statement that the recognised third party has seen certain evidence that an individual has an anonymous entry in an electoral register (within the meaning of the Representation of the People Act 1983), the quarterly report must be accompanied by that evidence.
Statement relating to reportable donations accepted during reporting period
3 (1) The statement required by paragraph 2(1)(a) to be contained in a quarterly report is a statement recording—
(a) the appropriate details in relation to each reportable donation accepted by the recognised third party during the reporting period which is of a substantial value in the context of that period,
(b) the total value of all other reportable donations which are accepted by the recognised third party during the reporting period, and
(c) such other information as may be required by regulations made by the Commission.
(2) In relation to a reportable donation of the kind mentioned in sub-paragraph (1)(a), the “appropriate details” means—
(a) the information about the donor which is, in connection with recordable donations to registered parties, required to be recorded in donation reports by virtue of paragraph 2 of Schedule 6,
(b) where the donation is of money, the amount of the donation,
(c) where the donation is not of money, the nature of the donation and its value,
(d) the date the donation was accepted by the recognised third party, and
(e) such other information as may be required by regulations made by the Commission.
4 (1) For the purposes of paragraph 3(1)(a), a reportable donation is of a substantial value in the context of a reporting period (“the reporting period”) if—
(a) in a case where there are no reportable donations made by the donor which have been recordable in any previous relevant quarterly report, condition A is met;
(b) in any other case, condition B is met.
(2) Condition A is met if—
(a) the value of the donation is more than £7,500, or
(b) its value, when added to the value of all other reportable donations (if any) made by the same donor which are accepted by the recognised third party in the relevant pre-dissolution period, is more than £7,500.
(3) Condition B is met if—
(a) the value of the donation is more than £1,500, or
(b) its value, when added to the value of all other reportable donations (if any) made by the same donor which fall within sub-paragraph (4), is more than £1,500.
(4) A reportable donation falls within this sub-paragraph if—
(a) it is accepted by the recognised third party in the relevant pre-dissolution period, and
(b) it was not recordable in any previous relevant quarterly report.
(5) If a reportable donation which is aggregated under sub-paragraph (2)(b) or (3)(b) was accepted by the recognised third party in a previous reporting period, the donation is to be treated for the purposes of paragraph 3(1)(a) as accepted by the third party during the reporting period.
(6) For the purposes of this paragraph a donation is “recordable in any previous relevant quarterly report” if details of the donation were required to be recorded under paragraph 3(1)(a) in any previous quarterly report in relation to the recognised third party in the case of the relevant pre-dissolution period.
(7) In this paragraph, “the relevant pre-dissolution period” means the pre-dissolution period (within the meaning of section 95A) within which the reporting period falls.
Statement of reportable donations dealt with during reporting period
5 (1) The statement required by paragraph 2(1)(b) to be contained in a quarterly report is a statement recording the appropriate details in relation to each reportable donation which—
(a) the recognised third party is prohibited from accepting by virtue of—
(i) paragraph 6(1)(a) of Schedule 11, or
(ii) paragraph 6(1)(b) of that Schedule, and
(b) is dealt with by the recognised third party during the reporting period in accordance with section 56(2).
(2) In relation to a reportable donation of the kind mentioned in sub-paragraph (1)(a)(i), the “appropriate details” means—
(a) the name and address of the donor,
(b) where the donation is of money, the amount of the donation,
(c) where the donation is not of money, the nature of the donation and its value,
(d) the date the donation was received by the recognised third party,
(e) the date and manner in which the donation was dealt with in accordance with section 56(2)(a), and
(f) such other information as may be required by regulations made by the Commission.
(3) In relation to a reportable donation of the kind mentioned in sub-paragraph (1)(a)(ii), the “appropriate details” means—
(a) details of the manner in which the donation was made,
(b) where the donation is of money, the amount of the donation,
(c) where the donation is not of money, the nature of the donation and its value,
(d) the date the donation was received by the recognised third party,
(e) the date and manner in which the donation was dealt with in accordance with section 56(2)(b), and
(f) such other information as may be required by regulations made by the Commission.
Supplementary
6 Where reference is made in this Part to a donation being accepted, or dealt with in accordance with section 56(2), by a recognised third party during a reporting period, it is irrelevant whether the donation was also received by that party in that period.
Part 3 Weekly Reports
7 (1) A weekly report in respect of a reporting period must contain a statement recording the appropriate details in relation to each substantial donation received by the recognised third party during that period.
(2) The “appropriate details” means—
(a) the information about the donor which is, in connection with recordable donations to registered parties, required to be recorded in donation reports by virtue of paragraph 3 of Schedule 6,
(b) where the donation is of money, the amount of the donation,
(c) where the donation is not of money, the nature of the donation and its value,
(d) the date the donation was received by the recognised third party, and
(e) such other information as may be required by regulations made by the Commission.