(1) Subject to subsections (4) and (5) below, it shall be the duty of every water undertaker to keep records of the location of—
(a) every resource main, water main or discharge pipe which is for the time being vested in that undertaker; and
(b) any other underground works, other than a service pipe, which are for the time being vested in that undertaker.
(1A) Subject to subsection (4) below, it shall also be the duty of every water undertaker to keep records of the location and (in the case of a water main) other relevant particulars of—
(a) every water main in relation to which a declaration of vesting has been made by the undertaker under Chapter 2 of Part 3 of this Act but has not taken effect; and
(b) every water main which is the subject of any agreement to make such a declaration which has been entered into by (or on behalf of) the undertaker.
(1B) For the purposes of this section the other relevant particulars of a water main are (in addition to its location) particulars of whether it is a water main in relation to which a declaration has been made under Chapter 2 of Part 3 of this Act or a water main which is the subject of an agreement to make such a declaration.
(2) It shall be the duty of every water undertaker to secure that the contents of any records for the time being kept by it under this section are available, at all reasonable times, for inspection by the public free of charge at an office of the undertaker.
(3) Any information which is required under this section to be made available by a water undertaker for inspection by the public shall be so made available in the form of a map.
(4) For the purpose of determining whether any failure to make a modification of any records kept under this section constitutes a breach of the duty imposed by subsection (1) or (1A) above, that duty shall be taken to require any modification of the records to be made as soon as reasonably practicable after the completion of the works which make the modification necessary; and, where records kept under this section are modified, the date of the modification and of the completion of the works making the modification necessary shall be incorporated in the records.
(5) Nothing in this section shall require a water undertaker, at any time before 1st September 1999, to keep records of—
(a) any pipe which was laid before 1st September 1989; or
(b) any underground works which were completed before 1st September 1989,
unless those particulars were shown on 31st August 1989 on a map kept by a water authority or statutory water company under section 12 of Schedule 3 to the Water Act 1945 (maps of underground works).
(6) The reference in subsection (5) above to section 12 of Schedule 3 to the Water Act 1945 shall have effect, without prejudice to section 20(2) of the Interpretation Act 1978 (references to enactments to include references to enactments as amended, extended or applied), as including a reference to that section as applied, with or without modifications, by any local statutory provision.
(7) The duties of a water undertaker under this section shall be enforceable under section 18 above by the Secretary of State.
(8) In this section “discharge pipe” has the same meaning as in Part VI of this Act.
(1) Subject to subsections (6) to (8) below, it shall be the duty of every sewerage undertaker to keep records of the location and other relevant particulars—
(a) of every public sewer , lateral drain or disposal main which is vested in the undertaker;
(b) of every sewer or lateral drain in relation to which a declaration of vesting has been made by the undertaker under Chapter II of Part IV of this Act but has not taken effect; and
(c) of every drain or sewer which is the subject of any agreement to make such a declaration which has been entered into by the undertaker under section 104 above.
(2) For the purposes of this section the relevant particulars of a drain, sewer or disposal main are (in addition to its location) particulars—
(a) of whether it is a drain, sewer or disposal main and of the descriptions of effluent for the conveyance of which it is or is to be used; and
(b) of whether it is vested in the undertaker or, if it is not, of whether it is a sewer in relation to which a declaration has been made under Chapter II of Part IV of this Act or a drain or sewer which is the subject of an agreement under section 104 above.
(3) The records kept by a sewerage undertaker under this section shall be kept separately in relation to the area of each local authority within whose area there is any drain, sewer or disposal main of which that undertaker is required to keep records and to whom the undertaker is required under section 200 below to provide copies of the contents of those records.
(4) It shall be the duty of every sewerage undertaker to secure that the contents of all the records for the time being kept by it under this section are available, at all reasonable times, for inspection by the public free of charge at an office of the undertaker.
(5) Any information which is required under this section to be made available by a sewerage undertaker for inspection by the public shall be so made available in the form of a map.
(6) For the purpose of determining whether any failure to make a modification of any records kept under this section constitutes a breach of the duty imposed by subsection (1) above, that duty shall be taken to require any modification of the records to be made as soon as reasonably practicable after the completion of the works which make the modification necessary; and, where records kept under this section are modified, the date of the modification and of the completion of the works making the modification necessary shall be incorporated in the records.
(7) Nothing in this section shall require a sewerage undertaker to keep records of any particulars of a drain, sewer or disposal main laid before 1st September 1989 if—
(a) the undertaker does not know of, or have reasonable grounds for suspecting, the existence of the drain, sewer or disposal main; or
(b) it is not reasonably practicable for the undertaker to discover the course of the drain, sewer or disposal main and it has not done so.
(8) Nothing in this section shall require a sewerage undertaker, at any time before 1st September 1999, to keep records of any particulars of any such drain, sewer or disposal main laid before 1st September 1989 as would not be excluded from its records by virtue of subsection (7) above unless—
(a) those particulars were shown on 31st August 1989 on a map kept by a local authority under section 32 of the Public Health Act 1936 (sewer maps); or
(b) it is a drain or sewer in relation to which a declaration of vesting, or an agreement to make such a declaration, has been made since 31st August 1989.
(9) The duties of a sewerage undertaker under this section shall be enforceable under section 18 above by the Secretary of State.
(1) It shall be the duty of every sewerage undertaker so to provide local authorities, free of charge, with—
(a) copies of the contents of records kept under section 199 above; and
(b) copies of any modifications of those records,
as to ensure that every local authority to whose area any of those records relate are at all times informed of the contents for the time being of the records relating to their area.
(2) A local authority shall secure that so much of any information provided to them by virtue of this section as consists in the contents for the time being of records kept by a sewerage undertaker under section 199 above is available, at all reasonable times, for inspection by the public free of charge at an office of the authority.
(3) Any information which is required under this section to be provided to a local authority or to be made available by a local authority for inspection by the public shall be so provided or made available in the form of a map.
(4) The duties of a sewerage undertaker under this section shall be enforceable under section 18 above by the Secretary of State.
(5) In this section and, accordingly, in section 199(3) above “local authority”, in relation to the Inner Temple and the Middle Temple, includes, respectively, the Sub-Treasurer of the Inner Temple and the Under-Treasurer of the Middle Temple.
201 Publication of certain information and advice.
(1) The Secretary of State may arrange for the publication, in such form and in such manner as he considers appropriate, of such information
(a) relating to any matter which is connected with the carrying out by a company holding an appointment under Chapter 1 of Part 2 of this Act of the functions of a relevant undertaker; or
(b) relating to any matter which is connected with the carrying on by a person holding a licence under Chapter 1A of that Part of the activities authorised by the licence,
as it may appear to him to be in the public interest to publish.
(2) The Authority may arrange for the publication, in such form and in such manner as he considers appropriate, of such information and advice as it may appear to it to be expedient to give to any customer or potential customer of a company holding an appointment under Chapter I of Part II of this Act or a person holding a licence under Chapter 1A of that Part.
(3) In arranging for the publication of any such information or advice the Secretary of State or the Authority shall have regard to the need for excluding, so far as that is practicable—
(a) any matter which relates to the affairs of an individual, where the publication of that matter would or might, in the opinion of the Secretary of State or (as the case may be) the Authority, seriously and prejudicially affect the interests of that individual; and
(b) any matter which relates specifically to the affairs of a particular body of persons, whether corporate or unincorporate, where publication of that matter would or might, in the opinion of the Secretary of State or (as the case may be) the Authority, seriously and prejudicially affect the interests of that body.
(4) The CMA shall consult the Authority before publishing under section 6 of the Enterprise Act 2002 any information or advice which may be published by the Authority under subsection (2) of this section.
202 Duties of undertakers to furnish the Secretary of State with information.
(1) It shall be the duty of a company holding an appointment as a relevant undertaker to furnish the Secretary of State with all such information relating to any matter which—
(a) is connected with, or with any proposals relating to, the carrying out by that company of the functions of a relevant undertaker; or
(b) is material to the carrying out by the Secretary of State of any of his functions under this Act, any of the other consolidation Acts or the Water Act 1989,
as the Secretary of State may reasonably require.
(1A) It shall be the duty of a person holding a licence under Chapter 1A of Part 2 of this Act to furnish the Secretary of State with all such information relating to any matter which—
(a) is connected with, or with any proposals relating to, the carrying on by that person of the activities authorised by the licence; or
(b) is material to the carrying out by the Secretary of State of any of his functions under this Act, any of the other consolidation Acts or the Water Act 1989,
as the Secretary of State may reasonably require.
(2) Information required under this section shall be furnished in such form and manner, and be accompanied or supplemented by such explanations, as the Secretary of State may reasonably require.
(3) The information which a person may be required to furnish to the Secretary of State under this section shall include information which, although it is not in the possession of that person or would not otherwise come into the possession of that person, is information which it is reasonable to require that person to obtain.
(4) A requirement for the purposes of this section shall be contained in a direction which—
(a) may describe the information to be furnished in such manner as the Secretary of State considers appropriate;
(b) may require the information to be furnished on a particular occasion, in particular circumstances or from time to time; and
(c) may be given to a particular company or person, to companies or persons of a particular description, to all the companies holding appointments under Chapter I of Part II of this Act or to all the persons holding licences under Chapter 1A of that Part.
(5) The obligations of a relevant undertaker , water supply licensee or sewerage licensee under this section shall be enforceable under section 18 above by the Secretary of State.
(6) In this section “the other consolidation Acts” means the Water Resources Act 1991, ... so much of the Land Drainage Act 1991 as confers functions on the Secretary of State with respect to the Environment Agency or on the Welsh Ministers with respect to the NRBW and the Water Consolidation (Consequential Provisions) Act 1991.
203 Power to acquire information for enforcement purposes.
(1) The Minister or the Authority may serve a notice under subsection (2) in respect of—
(a) a company that holds an appointment as a relevant undertaker, if of the opinion that Condition 1 is satisfied, or
(b) a person who holds a licence under Chapter 1A of Part 2, if of the opinion that Condition 2 is satisfied.
(1A) Condition 1 is that the company—
(a) may be contravening, or may have contravened, a condition of the appointment or a statutory or other requirement enforceable under section 18,
(b) may be causing or contributing to, or may have caused or contributed to, a contravention by another company holding an appointment as a relevant undertaker of a condition of the appointment or a statutory or other requirement enforceable under section 18,
(c) may be causing or contributing to, or may have caused or contributed to, a contravention by a person holding a licence under Chapter 1A of Part 2 of a condition of the licence or a statutory or other requirement enforceable under section 18,
(d) has not met the standards prescribed under section 38(2) in connection with the provision of supplies of water, or
(e) has not met the standards prescribed under section 95(2) in connection with the provision of sewerage services.
(1B) Condition 2 is that the person—
(a) may be contravening, or may have contravened, a condition of the licence or a statutory or other requirement enforceable under section 18,
(b) may be causing or contributing to, or may have caused or contributed to, a contravention by a company holding an appointment as a relevant undertaker of a condition of the appointment or a statutory or other requirement enforceable under section 18,
(c) may be causing or contributing to, or may have caused or contributed to, a contravention by another person holding a licence under Chapter 1A of Part 2 of a condition of the licence or a statutory or other requirement enforceable under section 18,
(d) has not met the standards prescribed under section 38ZA(2) in connection with the provision of water supplies, or
(e) has not met the standards prescribed under section 95ZA(2) in connection with the provision of sewerage services.
(1C) The notice may be served—
(a) on any person;
(b) for any purpose connected with powers under Chapter 2 of Part 2.
(2) A notice under this subsection is a notice signed by the Minister or the Authority and—
(a) requiring the person on whom it is served to produce, at a time and place specified in the notice, to—
(i) the Minister or the Authority; or
(ii) any person appointed by the Minister or the Authority for the purpose,
any documents which are specified or described in the notice and are in that person’s custody or under his control; or
(b) requiring that person, if he is carrying on a business, to furnish, at the time and place and in the form and manner specified in the notice, the Minister or the Authority with such information as may be specified or described in the notice.
(3) No person shall be required under this section to produce any documents which he could not be compelled to produce in civil proceedings in the High Court or, in complying with any requirement for the furnishing of information, to give any information which he could not be compelled to give in evidence in any such proceedings.
(4) A person who, without reasonable excuse, fails to do anything required of him by a notice under subsection (2) above shall be guilty of an offence and liable, on summary conviction, to a fine not exceeding level 5 on the standard scale.
(5) A person who intentionally alters, suppresses or destroys any document which he has been required by any notice under subsection (2) above to produce shall be guilty of an offence and liable—
(a) on summary conviction, to a fine not exceeding the statutory maximum;
(b) on conviction on indictment, to a fine.
(6) If a person makes default in complying with a notice under subsection (2) above, the High Court may, on the application of the Minister or the Authority, make such order as the Court thinks fit for requiring the default to be made good; and any such order may provide that all the costs or expenses of and incidental to the application shall be borne by the person in default or by any officers of a company or other association who are responsible for its default.
(7) Nothing in this section shall be construed as restricting any power of the Secretary of State or the Authority under section 202 above or the conditions of an appointment under Chapter I of Part II of this Act or of a licence under Chapter 1A of that Part to require a company holding such an appointment or a person holding such a licence to produce any document to him or to furnish him with any information.
(8) The Minister” means—
(a) the Secretary of State, in respect of—
(i) any relevant undertaker whose area is wholly or mainly in England;
(ii) any water supply licensee or sewerage licensee carrying out licensed activities using the supply system or sewerage system of any such undertaker;
(b) the Welsh Ministers, in respect of—
(i) any relevant undertaker whose area is wholly or mainly in Wales;
(ii) any water supply licensee or sewerage licensee carrying out licensed activities using the supply system or sewerage system of any such undertaker.
(9) In this section—
(a) references to the supply system of a water undertaker are to be construed in accordance with section 17B;
(b) references to the sewerage system of a sewerage undertaker are to be construed in accordance with section 17BA(7).
204 Provision of information to sewerage undertakers with respect to trade effluent discharges.
(1) The owner or occupier of any land on or under which is situated any sewer, drain, pipe, channel or outlet used or intended to be used for discharging any trade effluent into a sewer of a sewerage undertaker shall, when requested to do so by the undertaker—
(a) produce to the undertaker all such plans of the sewer, drain, pipe, channel or outlet as the owner or, as the case may be, occupier possesses or is able without expense to obtain;
(b) allow copies of the plans so produced by him to be made by, or under the directions of, the undertaker; and
(c) furnish to the undertaker all such information as the owner or, as the case may be, occupier can reasonably be expected to supply with respect to the sewer, drain, pipe, channel or outlet.
(2) A request by a sewerage undertaker for the purposes of this section shall be made in writing.
(3) Every person who fails to comply with this section shall be guilty of an offence and liable, on summary conviction to a fine not exceeding level 3 on the standard scale.
(4) Expressions used in this section and in Chapter III of Part IV of this Act have the same meanings in this section as in that Chapter; and, accordingly, section 139 above shall have effect for the purposes of this section as it has effect for the purposes of that Chapter.
205 Exchange of metering information between undertakers.
(1) Where—
(a) different services are provided in relation to the same premises by different service providers ;
(b) one of those providers has obtained a reading from a meter used in determining the amount of any charges fixed in relation to those premises;
(c) the charges in relation to those premises of another of those providers are fixed by reference to any matter to which the reading is relevant; and
(d) that other provider has agreed to bear a reasonable proportion of the expenses of obtaining the reading together with the reasonable expenses of the disclosure of the reading to it,
it shall be the duty of the provider who obtained the reading to disclose the reading to the other provider.
(2) Any dispute between a service provider and any other person (including another such provider)—
(a) as to the terms to be contained in any agreement for the purposes of subsection (1)(d) above; or
(b) as to the amount of any expenses to be borne by any person under any such agreement,
shall be referred to the arbitration of a single arbitrator appointed by agreement between the provider and that person or, in default of agreement, by the Authority.
(3) The duties of a service provider under this section shall be enforceable under section 18 above by the Authority.
(4) For the purposes of this section, the following are service providers—
(a) any relevant undertaker; ...
(b) any water supply licensee.
(c) any sewerage licensee.
(1) Each relevant undertaker must, before 1 April in each calendar year, prepare and publish a pollution incident reduction plan.
(2) A pollution incident reduction plan is a plan for how the undertaker intends to reduce the occurrence of pollution incidents that are attributable to its system.
(3) For the purposes of this section, references to pollution incidents that are attributable to the system of an undertaker—
(a) are references to discharges from any structure or apparatus comprised in that system of any content which may be harmful to health or the quality of the environment, but
(b) do not include references to discharges of treated effluent in accordance with an environmental permit (including any conditions to which it is subject).
(4) A pollution incident reduction plan must address in particular—
(a) the frequency with which pollution incidents have occurred during the preceding calendar year,
(b) the seriousness of those incidents and their causes,
(c) the steps the undertaker has taken to maintain any structure or apparatus comprised in its system which has been the cause of any such incidents,
(d) the measures the undertaker intends to take or continue for the purpose of reducing the occurrence of pollution incidents,
(e) the impact that the undertaker considers the measures will have in furthering that purpose,
(f) the likely sequence and timing for implementing those measures, and
(g) any other matters specified by the Minister in directions.
(5) The Minister must consult the appropriate agency before giving directions under subsection (4)(g).
(6) A relevant undertaker must have regard to any guidance given by the appropriate agency about the preparation and publication of a pollution incident reduction plan.
(7) The appropriate agency must consult the Authority and the Minister before giving guidance of the kind mentioned in subsection (6).
(8) A pollution incident reduction plan must include, or be published with, a statement by the chief executive of the undertaker that the chief executive has personally approved the plan.
(9) The first pollution incident reduction plan required by this section must be published by a relevant undertaker before 1 April in the calendar year after the one in which this section comes into force.
(10) In this section—
“appropriate agency” means—
the Environment Agency, in relation to relevant undertakers whose areas are wholly or mainly in England, and
the NRBW, in relation to relevant undertakers whose areas are wholly or mainly in Wales;
“chief executive”, in relation to an undertaker, means an employee of the undertaker who, alone or jointly with one or more others, is responsible under the immediate authority of the board of directors for the conduct of the whole of the business of the undertaker;
“environmental permit” means a permit granted under Chapter 2 of Part 2 of the Environmental Permitting (England and Wales) Regulations 2016;
“the Minister” means—
the Secretary of State, in relation to relevant undertakers whose areas are wholly or mainly in England, and
the Welsh Ministers, in relation to relevant undertakers whose areas are wholly or mainly in Wales;
“system”, in relation to a relevant undertaker, means—
in the case of a water undertaker, its supply system within the meaning of Chapter 1A of Part 2 (see section 17B);
in the case of a sewerage undertaker, its sewerage system within the meaning of that Chapter (see section 17BA(7)).
(11) In the case of a relevant undertaker that is both a water undertaker and a sewerage undertaker, the duty in subsection (1) is to be discharged in respect of both of its systems in a single plan.
(1) A relevant undertaker must, together with each pollution incident reduction plan that it publishes (except the first), publish an implementation report.
(2) An implementation report is a report containing the undertaker’s assessment of—
(a) the extent to which it succeeded in implementing the planned measures during the preceding calendar year, and
(b) to the extent that it failed to implement those measures during that year—
(i) the reasons for that failure, and
(ii) how the undertaker intends to avoid repeating that failure in respect of any measures in its current plan that are the same as, or similar to, those in respect of which the failure occurred.
(3) In subsection (2), “the planned measures”, in relation to an undertaker and a calendar year, means the measures set out in its previous pollution incident reduction plans so far as they were (according to those plans) likely to be implemented in that year.
(4) Subsections (6), (7) and (8) of section 205A apply in relation to implementation reports as they apply in relation to pollution incident reduction plans.
205C Sections 205A and 205B: enforcement and sanctions
(1) The duties of a relevant undertaker under sections 205A(1) and 205B(1) are enforceable by the appropriate agency.
(2) If a relevant undertaker fails to comply with its duty under section 205A(1) or 205B(1)—
(a) the undertaker commits an offence, and
(b) the chief executive of the undertaker commits an offence, subject to subsection (3).
(3) It is a defence for the chief executive to prove that they took all reasonable steps to avoid the failure.
(4) A person who commits an offence under this section is liable, on summary conviction or conviction on indictment, to a fine.
(5) An offence under this section is to be treated as a relevant offence in relation to the appropriate agency for the purposes of Part 3 of the Regulatory Enforcement and Sanctions Act 2008 (civil sanctions).
(6) Where, in deciding how to exercise its functions in relation to a relevant undertaker, the appropriate agency has regard to the record of the undertaker in complying with its legal obligations concerning pollution, it must also have regard to the record of the undertaker in implementing measures set out in its pollution incident reduction plans.
(7) In this section, “appropriate agency” and “chief executive” have the meanings given by section 205A(10).
(1) Subject to the following provisions of this section, no information with respect to any particular business which—
(a) has been obtained by virtue of any of the provisions of this Act; and
(b) relates to the affairs of any individual or to any particular business,
shall, during the lifetime of that individual or so long as that business continues to be carried on, be disclosed without the consent of that individual or the person for the time being carrying on that business.
(2) No person shall disclose any information furnished to him under section ... 204 above or under Chapter III of Part IV of this Act except—
(a) with the consent of the person by whom the information was furnished;
(b) in connection with the execution of that Chapter;
(c) for the purposes of any proceedings arising under that Chapter (including any appeal, application to the Secretary of State or the Authority or an arbitration);
(d) for the purposes of any criminal proceedings (whether or not so arising); or
(e) for the purposes of any report of any proceedings falling within paragraph (c) or (d) above.
(3) Subsection (1) above does not apply to any disclosure of information which is made—
(a) for the purpose of facilitating the carrying out by the Secretary of State, the Minister, the Environment Agency, the NRBW, the Scottish Environment Protection Agency, the Authority , the Council , the CMA or a county council or local authority of any of his, its or, as the case may be, their functions by virtue of this Act, any of the other consolidation Acts , the Water Act 1989, Part I or IIA of the Environmental Protection Act 1990 , the Environment Act 1995, regulations under section 2 of the Pollution Prevention and Control Act 1999, the Water Act 2003 , the Water Act 2014 or the Natural Resources Body for Wales (Establishment) Order 2012 (S.I.2012/1903);
(b) for the purpose of facilitating the performance by a relevant undertaker of any of the duties imposed on it by or under this Act, any of the other consolidation Acts , the Water Act 1989 , the Water Act 2003 or ... the Water Act 2014 or by a water supply licensee or sewerage licensee of any of the duties imposed on the licensee by or under this Act , the Water Act 2003 or the Water Act 2014;
(c) in pursuance of any duty imposed by section 27H above or section 197(1)(a) or (2) or 203(1), (1A), (2) or (2A) of the Water Resources Act 1991 (information about water flow and pollution);
(ca) for the purpose of complying with a request under section 14 of the Flood and Water Management Act 2010;
(d) for the purpose of facilitating the carrying out by any person mentioned in Part I of Schedule 15 to this Act of any of his functions under any of the enactments or instruments specified in Part II of that Schedule;
(e) for the purpose of enabling or assisting the Secretary of State, the Treasury, the Financial Conduct Authority, the Prudential Regulation Authority or the Bank of England to exercise any powers conferred by or under the Financial Services and Markets Act 2000 or by the enactments relating to companies or insolvency;
(ea) for the purpose of enabling or assisting any inspector appointed under enactments relating to companies to carry out his functions;
(f) for the purpose of enabling an official receiver to carry out his functions under the enactments relating to insolvency or for the purpose of enabling or assisting a recognised professional body for the purposes of section 391 of the Insolvency Act 1986 to carry out its functions as such;
(g) for the purpose of facilitating the carrying out by . . . the Health and Safety Executive of any of its functions under any enactment or of facilitating the carrying out by any enforcing authority, within the meaning of Part I of the Health and Safety at Work etc. Act 1974, of any functions under a relevant statutory provision, within the meaning of that Act;
(ga) for the purpose of facilitating the carrying out by the Office for Nuclear Regulation of any of its functions under any enactment;
(h) for the purpose of facilitating the carrying out by the Comptroller and Auditor General of any of his functions under any enactment;
(i) in connection with the investigation of any criminal offence or for the purposes of any criminal proceedings;
(j) for the purposes of any civil proceedings brought under or by virtue of this Act, any of the other consolidation Acts, , the Water Act 2003 , the Water Act 2014 or any of the enactments or instruments specified in Part II of Schedule 15 to this Act, or of any arbitration under this Act, any of the other consolidation Acts , the Water Act 1989 , the Water Act 2003 or the Water Act 2014; or
(k) in pursuance of an assimilated obligation.
(4) Nothing in subsection (1) above shall be construed—
(a) as limiting the matters which may be published under section 38A, 95A or 201 above or may be included in, or made public as part of, a report of the Environment Agency, the NRBW, the Scottish Environment Protection Agency, the Authority, the Council (or any regional committee) or the CMA under any provision of this Act , Part I or IIA of the Environmental Protection Act 1990, the Water Resources Act 1991, the Environment Act 1995 , regulations under section 2 of the Pollution Prevention and Control Act 1999, or the Water Act 2003; or
(b) as applying to any information which has been so published or has been made public as part of such a report or to any information exclusively of a statistical nature.
(5) Subject to subsection (6) below, nothing in subsection (1) above shall preclude the disclosure of information—
(a) if the disclosure is of information relating to a matter connected with the carrying out of the functions of a relevant undertaker, or with the carrying on by a water supply licensee or sewerage licensee of activities under the licence held by the licensee, and is made by one Minister of the Crown or government department to another; or
(b) if the disclosure is for the purpose of enabling or assisting any public or other authority for the time being designated for the purposes of this section by an order made by the Secretary of State to discharge any functions which are specified in the order.
(6) The power to make an order under subsection (5) above shall be exercisable by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament; and where such an order designates an authority for the purposes of paragraph (b) of that subsection, the order may—
(a) impose conditions subject to which the disclosure of information is permitted by virtue of that paragraph; and
(b) otherwise restrict the circumstances in which disclosure is so permitted.
(7) Any person who discloses any information in contravention of the preceding provisions of this section shall be guilty of an offence.
(8) A person who is guilty of an offence under this section by virtue of subsection (1) above shall be liable—
(a) on summary conviction, to a fine not exceeding the statutory maximum;
(b) on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
(9) A person who is guilty of an offence under this section by virtue of subsection (2) above shall be liable, on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding level 3 on the standard scale or to both .
(9A) Information obtained by the Authority in the exercise of functions which are exercisable concurrently with the CMA under Part I of the Competition Act 1998 is subject to Part 9 of the Enterprise Act 2002 (Information) and not to subsections (1) to (9) of this section.
(10) In this section “the other consolidation Acts” means the Water Resources Act 1991, ... the Land Drainage Act 1991 and the Water Consolidation (Consequential Provisions) Act 1991.
(11) In this section the reference to the Bank of England does not include the Bank acting in its capacity as the Prudential Regulation Authority.
(1) If any person, in furnishing any information or making any application under or for the purposes of any provision of this Act, makes any statement which he knows to be false in a material particular, or recklessly makes any statement which is false in a material particular, he shall be guilty of an offence and liable—
(a) on summary conviction, to a fine not exceeding the statutory maximum;
(b) on conviction on indictment, to a fine.
(2) Proceedings for an offence under subsection (1) above shall not be instituted except by or with the consent of the Secretary of State . . . or the Director of Public Prosecutions.
(1) The Secretary of State may by regulations provide for an appeal to lie to the CMA from—
(a) a decision by the Authority to make a revision to a designated code;
(b) a decision by the Authority, following consultation under this Act about a proposed revision to a designated code, not to make the proposed revision.
(2) For the purposes of this section a designated code is a code, or a part of a code, issued by the Authority under or by virtue of this Act that is designated for the purposes of this section by regulations under this section.
(3) The regulations may specify descriptions of revisions by reference to which an appeal under the regulations may not be brought.
(4) Regulations made under subsection (3) may provide—
(a) for the exclusion of certain descriptions of revisions to operate only in such cases as may be determined in accordance with the regulations;
(b) for a determination in accordance with the regulations to be made—
(i) by such persons,
(ii) in accordance with such procedures, and
(iii) by reference to such matters and the opinions of such persons (including the Authority),
as may be provided for in the regulations.
(5) The regulations may—
(a) specify the persons or descriptions of persons eligible to bring an appeal;
(b) specify conditions to be satisfied by a person wishing to bring an appeal.
(6) Regulations made under subsection (5) may—
(a) make different provision in relation to different codes or different parts of a code;
(b) provide for a representative body or association to bring an appeal.
(7) The regulations must—
(a) provide for appeals to be brought only where the CMA grants permission for an appeal;
(b) provide for the grounds on which the CMA may refuse permission.
(8) Before making regulations under this section the Secretary of State must consult—
(a) the Welsh Ministers;
(b) the Authority;
(c) such other persons as the Secretary of State considers appropriate.
(1) Except where otherwise provided, the functions of the CMA with respect to appeals under section 207A are to be carried out on behalf of the CMA by a group constituted for the purpose by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013.
(2) Schedule 16 (provision as to procedure on appeals) has effect.
(1) The Secretary of State may by regulations provide for the determination by the CMA of an appeal under section 207A.
(2) The regulations must require the CMA in determining the appeal to have regard, to the same extent as is required of the Authority, to the matters to which the Authority must have regard in exercising or performing the powers and duties mentioned in section 2(1).
(3) The regulations must provide that the CMA in determining the appeal—
(a) may have regard to any matter to which the Authority was not able to have regard in the case of the decision appealed against, but
(b) must not, in the exercise of that power, have regard to any matter to which the Authority would not have been entitled to have regard in that case had it had the opportunity of doing so.
(4) The regulations may specify the grounds on which an appeal may be allowed.
(5) The grounds specified by the regulations may include the following—
(a) that the Authority failed properly to have regard to the matters mentioned in subsection (2);
(b) that the Authority failed properly to have regard to the purposes for which the code in question is issued;
(c) that the Authority failed to give the appropriate weight to one or more of those matters or purposes.
(6) The regulations may make provision for the steps that the CMA is to take—
(a) if it allows the appeal;
(b) if it does not allow the appeal.
(7) Provision under subsection (6)(a) may include remitting a matter to the Authority for reconsideration and redetermination in accordance with directions given by the CMA.
(8) The regulations may make provision as to the decision of the CMA on the appeal, including in particular provision for the decision—
(a) to be contained in an order made by the CMA;
(b) to set out the reasons for the decision;
(c) to take effect—
(i) at the time specified in the order, or
(ii) at the time determined in accordance with provision set out in the order;
(d) to be notified to the persons who were parties to the appeal (see paragraph 2 of Schedule 16); and
(e) to be published.
(9) Provision under subsection (8)(e) may allow the CMA to exclude from publication any information which it is satisfied is—
(a) commercial information the disclosure of which would, or might, significantly harm the legitimate business interests of an undertaking to which it relates;
(b) information relating to the private affairs of an individual the disclosure of which would, or might, in its opinion, significantly harm his interests.
208 Directions in the interests of national security.
(1) The Secretary of State may, after consultation with a relevant undertaker, water supply licensee or sewerage licensee, give to that undertaker or licensee (as the case may be) such directions of a general character as appear to the Secretary of State to be requisite or expedient in the interests of national security or for the purpose of mitigating the effects of any civil emergency which may occur.
(2) If it appears to the Secretary of State to be requisite or expedient to do so in the interests of national security or for the purpose of mitigating the effects of any civil emergency which has occurred or may occur, he may, after consultation with a relevant undertaker , water supply licensee or sewerage licensee, give to that undertaker or licensee (as the case may be) a direction requiring that undertaker or licensee to do, or not to do, a particular thing specified in the direction.
(3) It shall be the duty of a relevant undertaker , water supply licensee or sewerage licensee, notwithstanding any other duty imposed on that undertaker or licensee (whether or not by or under this Act), to comply with any direction given to that undertaker or licensee by the Secretary of State under this section; and the duty of a relevant undertaker , water supply licensee or sewerage licensee to comply with any such direction shall be enforceable under section 18 above by the Secretary of State.
(3A) The Secretary of State may, after consultation with the Council, give to the Council such directions of a general character as appear to the Secretary of State to be requisite or expedient—
(a) in the interests of national security; or
(b) in connection with any civil emergency which may occur.
(3B) If it appears to the Secretary of State to be requisite or expedient to do so—
(a) in the interests of national security; or
(b) in connection with any civil emergency which has occurred or may occur,
he may, after consultation with the Council, give to the Council a direction requiring it to do, or not to do, a particular thing specified in the direction.
(3C) The Council shall comply with any direction given to it by the Secretary of State under this section.
(4) The Secretary of State shall lay before each House of Parliament a copy of every direction given under this section unless he is of the opinion that disclosure of the direction is against the interests of national security.
(5) A person shall not disclose, or be required by virtue of any enactment or otherwise to disclose, anything done by virtue of this section if the Secretary of State has notified him that the Secretary of State is of the opinion that disclosure of that thing is against the interests of national security.
(6) Any person who discloses any matter in contravention of subsection (5) above shall be guilty of an offence and liable, on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both.
(7) Any reference in this section to a civil emergency is a reference to any natural disaster or other emergency which, in the opinion of the Secretary of State, is or may be likely, in relation to any area—
(a) so to disrupt water supplies or sewerage services; or
(b) to involve such destruction of or damage to life or property in that area,
as seriously and adversely to affect all the inhabitants of that area, or a substantial number of them, whether by depriving them of any of the essentials of life or otherwise.
209 Civil liability of undertakers for escapes of water etc.
(1) Where an escape of water, however caused, from a pipe vested in a water undertaker causes loss or damage, the undertaker shall be liable, except as otherwise provided in this section, for the loss or damage.
(2) A water undertaker shall not incur any liability under subsection (1) above if the escape was due wholly to the fault of the person who sustained the loss or damage or of any servant, agent or contractor of his.
(3) A water undertaker shall not incur any liability under subsection (1) above in respect of any loss or damage for which the undertaker would not be liable apart from that subsection and which is sustained—
(a) by the Environment Agency, the NRBW, a relevant undertaker or any statutory undertakers, within the meaning of section 336(1) of the Town and Country Planning Act 1990;
(b) by any public gas supplier within the meaning of Part I of the Gas Act 1986 or the holder of a licence under section 6(1) of the ElectricityAct 1989;
(c) by any highway authority; or
(d) by any person on whom a right to compensation is conferred by section 82 of the New Roads and Street Works Act 1991.
(4) The Law Reform (Contributory Negligence) Act 1945, the Fatal Accidents Act 1976 and the Limitation Act 1980 shall apply in relation to any loss or damage for which a water undertaker is liable under this section, but which is not due to the undertaker’s fault, as if it were due to its fault.
(5) Nothing in subsection (1) above affects any entitlement which a water undertaker may have to recover contribution under the Civil Liability (Contribution) Act 1978; and for the purposes of that Act, any loss for which a water undertaker is liable under that subsection shall be treated as if it were damage.
(6) Where a water undertaker is liable under any enactment or agreement passed or made before 1st April 1982 to make any payment in respect of any loss or damage the undertaker shall not incur liability under subsection (1) above in respect of the same loss or damage.
(7) In this section “fault” has the same meaning as in the Law Reform (Contributory Negligence) Act 1945.
(8) Until the coming into force of section 82 of the New Roads and Street Works Act 1991, subsection (3) above shall have effect as if for paragraph (d) there were substituted the following paragraphs—
(d) by any bridge authority, bridge managers, street authority or street managers within the meaning of the Public Utilities Street Works Act 1950; or
(e) by any person on whom a right to compensation under section 26 of that Act of 1950 is conferred.
;but nothing in this section shall be taken to prejudice the power of the Secretary of State under that Act of 1991 to make an order bringing section 82 of that Act into force on different days for different purposes (including the purposes of this section).
(1) Subject to subsection (3) below, no express or implied term of any tenancy is to be regarded—
(a) as excluding or restricting the exercise by the tenant of any right to give—
(i) a measured charges notice under section 144A above, or
(ii) any consent for the purposes of section 144B(2)(a)(ii) above,
(b) as preventing the installation or connection, in pursuance of such a notice or consent given by the tenant, of a meter for use in determining the charges which may be fixed in relation to water supplied to the premises comprised in the tenancy, or
(c) as requiring any consent to be obtained in relation to such installation or connection.
(2) In subsection (1) above “tenancy” includes a licence which is treated as a tenancy by virtue of section 79(3) of the Housing Act 1985; and references to a “tenant” are to be construed accordingly.
(3) Subsection (1) above does not apply where the tenancy is a fixed term tenancy for a term of less than six months; and for this purpose “fixed term tenancy” means any tenancy other than a periodic tenancy.
(1) Where a body corporate is guilty of an offence under this Act and that offence is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity, then he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
(2) Where the affairs of a body corporate are managed by its members, subsection (1) above shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.
211 Limitation on right to prosecute in respect of sewerage offences.
Proceedings in respect of an offence created by or under any of the relevant sewerage provisions shall not, without the written consent of the Attorney-General, be taken by any person other than—
(a) a party aggrieved;
(b) a sewerage undertaker;
(ba) a sewerage licensee; or
(c) a body whose function it is to enforce the provisions in question.
No judge of any court or justice of the peace shall be disqualified from acting in relation to any proceedings to which a relevant undertaker is a party by reason only that he is or may become liable to pay a charge to that undertaker in respect of any service that is not the subject-matter of the proceedings.
(1) The powers of the Secretary of State to make regulations under this Act shall be exercisable by statutory instrument subject (except in the case of regulations under section 8(1) or (2) , 17D(8), 36A , 87(6A) 96K, 96N, 105A, 141DA or 141DB above) to annulment in pursuance of a resolution of either House of Parliament.
(1A) But on the occasion of the first exercise by the Secretary of State of the power to make regulations under—
(a) each of sections 89 and 90, and
(b) each of sections 207A and 207C and Schedule 16;
the instrument containing the regulations shall not be made unless a draft of the instrument has been laid before, and approved by a resolution of, each House of Parliament.
(1B) The power of the Assembly to make regulations under section 89 above shall be exercisable by statutory instrument.
(2) Subject to subsection (3) below, the provisions of any regulations made by the Secretary of State under this Act may include-
(a) provision for any duty or other requirement imposed by the regulations on a water undertaker , sewerage undertaker, water supply licensee or sewerage licensee to be enforceable under section 18 above by the Secretary of State, by the Authority or by either of them;
(b) provision, where such a duty or requirement is so enforceable by either of them, for enforcement by the Authority to be subject to such consent or authorisation as may be prescribed;
(c) provision which, in relation to the furnishing of any information or the making of any application under the regulations, makes provision corresponding to section 207 above;
(d) provision for anything that may be prescribed by the regulations to be determined under the regulations and for anything falling to be so determined to be determined by such persons, in accordance with such procedure and by reference to such matters, and to the opinion of such persons, as may be prescribed;
(dd) as to awarding costs or expenses of proceedings in any determination under the regulations, including the amount of the costs or expenses and the enforcement of the awards;
(e) different provision for different cases, including different provision in relation to different persons, circumstances or localities; and
(f) such supplemental, consequential and transitional provision as the Secretary of State considers appropriate.
(2A) Such regulations may include provision—
(a) for the determination of questions of fact or of law which may arise in giving effect to the regulations;
(b) for regulating (otherwise than in relation to any court proceedings) any matters relating to the practice and procedure to be followed in connection with the determination of such questions;
(c) as to the mode of proof of any matter;
(d) as to parties and their representation; and
(e) for the right to appear before and be heard by the Secretary of State, the Authority and other authorities.
(2B) Any such regulations which prescribe a period within which things are to be done may provide for extending the period so prescribed.
(3) Except to the extent that they would do so apart from this section, the power to make regulations under section 113, 125 or 126 above or under section 214 below or Schedule 8 to this Act—
(a) shall not include the powers conferred by virtue of paragraphs (a) to (d) of subsection (2) above; and
(b) in the case of the power to make regulations under section 214 below, shall also not include the powers conferred by virtue of paragraphs (e) and (f) of that subsection.
(1) The Secretary of State may by regulations prescribe the form of any notice or other document to be used for any of the purposes of the relevant sewerage provisions.
(2) If forms are prescribed under this section, those forms or forms to the like effect may be used in all cases to which those forms are applicable.
(1) The Secretary of State may cause a local inquiry to be held in any case where he is authorised by any of the relevant sewerage provisions to determine any difference, to make any order, to give any consent or otherwise to act under any of those provisions.
(2) Subject to subsection (3) below, subsections (2) to (5) of section 250 of the Local Government Act 1972 (which contain supplementary provisions with respect to local inquiries held in pursuance of that section) shall apply to local inquiries under subsection (1) above or any of the other provisions of this Act as they apply to inquiries under that section.
(3) Subsection (4) of the said section 250 shall apply in accordance with subsection (2) above in relation to such local inquiries under this Act as are held with respect to any matter affecting the carrying out of any function of the Environment Agency or the NRBW as if the reference to a local authority in that subsection included a reference to the Environment Agency or, as the case may be, the NRBW .
216 Provisions relating to the service of documents.
(1) Any document required or authorised by virtue of this Act to be served on any person may be served—
(a) by delivering it to him or by leaving it at his proper address or by sending it by post to him at that address; or
(b) if the person is a body corporate, by serving it in accordance with paragraph (a) above on the secretary or clerk of that body; or
(c) if the person is a partnership, by serving it in accordance with paragraph (a) above on a partner or a person having the control of management of the partnership business.
(2) For the purposes of this section and section 7 of the Interpretation Act 1978 (which relates to the service of documents by post) in its application to this section, the proper address of any person on whom a document is to be served shall be his last known address, except that—
(a) in the case of service on a body corporate or its secretary or clerk, it shall be the address of the registered or principal office of the body;
(b) in the case of service on a partnership or a partner or a person having the control or management of a partnership business, it shall be the principal office of the partnership;
and for the purposes of this subsection the principal office of a company registered outside the United Kingdom or of a partnership carrying on business outside the United Kingdom is its principal office within the United Kingdom.
(3) If a person to be served by virtue of this Act with any document by another has specified to that other an address within the United Kingdom other than his proper address (as determined in pursuance of subsection (2) above) as the one at which he or someone on his behalf will accept documents of the same description as that document, that address shall also be treated as his proper address for the purposes of this section and for the purposes of the said section 7 in its application to this section.
(4) Where under any provision of this Act any document is required to be served on the owner, on a lessee or on the occupier of any premises then—
(a) if the name or address of the owner, of the lessee or, as the case may be, of the occupier of the premises cannot after reasonable inquiry be ascertained; or
(b) in the case of service on the occupier, if the premises appear to be or are unoccupied,
that document may be served either by leaving it in the hands of a person who is or appears to be resident or employed on the land or by leaving it conspicuously affixed to some building or object on the land.
(4A) Any document required or authorised by virtue of this Act to be served on any person may be served by electronic means.
(4B) But a document may be served by electronic means on a person who is a consumer only if—
(a) the person has consented in writing to the receipt of documents by electronic means (and has not withdrawn that consent), and
(b) the document is sent to the number or address most recently specified by the person for that purpose.
(4C) For the purposes of subsection (4B) “consumer” means a person who is liable to pay charges in respect of—
(a) the supply of water to any premises, or
(b) the provision of sewerage services to any premises,
but does not include a water undertaker, a water supply licensee, a sewerage undertaker, a sewerage licensee, or the Authority.
(5) This section shall not apply to any document in relation to the service of which provision is made by rules of court.
217 Construction of provision conferring powers by reference to undertakers’ functions.
(1) The purposes to which this section applies shall be the construction of any enactment which, by reference to the functions of a relevant undertaker, confers any power on or in relation to that undertaker.
(2) For the purposes to which this section applies the functions of every relevant undertaker shall be taken to include joining with or acting on behalf of—
(a) the Environment Agency or the NRBW;
(b) one or more other relevant undertakers; or
(c) the Environment Agency or the NRBW and one or more other such undertakers,
for the purpose of carrying out any works or acquiring any land which at least one of the bodies with which it joins, or on whose behalf it acts, is authorised to carry out or acquire for the purposes of that body’s functions under any enactment or of any function which is taken to be a function of that body for the purposes to which this section or section 3 of the Water Resources Act 1991 (functions of Environment Agency for certain purposes) applies.
(3) For the purposes to which this section applies the functions of every relevant undertaker shall be taken to include the protection against pollution—
(a) of any waters, whether on the surface or underground, which belong to the Environment Agency or the NRBW or any water undertaker or from which the Environment Agency or the NRBW or any water undertaker is authorised to take water;
(b) without prejudice to paragraph (a) above, of any reservoir which belongs to or is operated by the Environment Agency or the NRBW or any water undertaker or which the Environment Agency or the NRBW or any water undertaker is proposing to acquire or construct for the purpose of being so operated; and
(c) of any underground strata from which the Environment Agency or the NRBW or any water undertaker is for the time being authorised to abstract water in pursuance of a licence under Chapter II of Part II of the Water Resources Act 1991.
(4) For the purposes to which this section applies the functions of every relevant undertaker shall be taken to include the furtherance of research into matters in respect of which functions are conferred by or under this Act, the other consolidation Acts or the Water Act 1989 on the Environment Agency, on the NRBW, on water undertakers or on sewerage undertakers.
(5) For the purposes to which this section applies the functions of every relevant undertaker shall be taken to include the provision of houses and other buildings for the use of persons employed by that undertaker and the provision of recreation grounds for persons so employed.
(6) For the purposes to which this section applies the functions of every water undertaker shall be taken to include the provision of supplies of water in bulk, whether or not such supplies are provided for the purposes of, or in connection with, the carrying out of any other function of that undertaker.
(7) For the purposes to which this section applies the functions of every water undertaker shall be taken to include the doing of anything in pursuance of any arrangements under section 20 of the Water Resources Act 1991 between that undertaker and the Environment Agency or the NRBW.
(8) In this section “the other consolidation Acts” has the same meaning as in section 206 above.
218 Meaning of “domestic purposes” in relation to water supply.
(1) Subject to the following provisions of this section, in this Act references to domestic purposes, in relation to a supply of water to any premises or in relation to any cognate expression, are references to the drinking, washing, cooking, central heating and sanitary purposes for which water supplied to those premises may be used.
(2) Where the whole or any part of the premises are or are to be occupied as a house, those purposes shall be taken to include—
(a) the purposes of a profession carried on in that house or, where—
(i) that house and another part of the premises are occupied together; and
(ii) the house comprises the greater part of what is so occupied,
in that other part; and
(b) such purposes outside the house (including the washing of vehicles and the watering of gardens) as are connected with the occupation of the house and may be satisfied by a supply of water drawn from a tap inside the house and without the use of a hosepipe or similar apparatus.
(3) No such reference to domestic purposes shall be taken to include a reference—
(a) to the use of a bath having a capacity, measured to the centre line of overflow or in such other manner as may be prescribed, of more than two hundred and thirty litres;
(b) to the purposes of the business of a laundry; or
(c) to any purpose of a business of preparing food or drink for consumption otherwise than on the premises.
(1) In this Act, except in so far as the context otherwise requires—
“accessories”, in relation to a water main, sewer or other pipe, includes any manholes, ventilating shafts, inspection chambers, settling tanks, wash-out pipes, pumps, ferrules or stopcocks for the main, sewer or other pipe, or any machinery or other apparatus which is designed or adapted for use in connection with the use or maintenance of the main, sewer or other pipe or of another accessory for it, but does not include any electronic communications apparatus unless it—
(a) is or is to be situated inside or in the close vicinity of the main, sewer or other pipe or inside or in the close vicinity of another accessory for it; and
(b) is intended to be used only in connection with the use or maintenance of the main, sewer or other pipe or of another accessory for it;
“analyse”, in relation to any sample of land, water or effluent, includes subjecting the sample to a test of any description, and cognate expressions shall be construed accordingly;
“the Assembly” means the National Assembly for Wales;
“the Authority” means the Water Services Regulation Authority;
“ the CMA ” means the Competition and Markets Authority
“ charging rules ” means rules issued under section 144ZA;
“conservancy authority” means any person who has a duty or power under any enactment to conserve, maintain or improve the navigation of a tidal water, and is not a harbour authority or navigation authority;
“contravention” includes a failure to comply, and cognate expressions shall be construed accordingly;
“the Council” means the Consumer Council for Water;
“customer or potential customer”, in relation to a company holding an appointment under Chapter I of Part II of this Act, means—
(a) any person for or to whom that company provides any services in the course of carrying out the functions of a water undertaker or sewerage undertaker (other than a water supply licensee or sewerage licensee; or
(b) any person who might become such a person on making an application for the purpose to the company;
“damage”, in relation to individuals, includes death and any personal injury, including any disease or impairment of physical or mental condition;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“disposal”—
in relation to land or any interest or right in or over land, includes the creation of such an interest or right and a disposal effected by means of the surrender or other termination of any such interest or right; and
in relation to sewage, includes treatment;
and cognate expressions shall be construed accordingly;
“disposal main” means (subject to subsection (2) below) any outfall pipe or other pipe which—
is a pipe for the conveyance of effluent to or from any sewage disposal works, whether of a sewerage undertaker or of any other person; and
is not a public sewer;
“domestic purposes”, except in relation to sewers, shall be construed in accordance with section 218 above;
“drain” means (subject to subsection (2) below) a drain used for the drainage of one building or of any buildings or yards appurtenant to buildings within the same curtilage;
“effluent” means any liquid, including particles of matter and other substances in suspension in the liquid;
“enactment” includes an enactment contained in this Act or in any Act passed after this Act;
“engineering or building operations”, without prejudice to the generality of that expression, includes—
(a) the construction, alteration, improvement, maintenance or demolition of any building or structure or of any reservoir, watercourse, dam, weir, well, borehole or other works; and
(b) the installation, modification or removal of any machinery or apparatus;
“financial year” means the twelve months ending with 31st March;
“functions”, in relation to a relevant undertaker, means the functions of the undertaker under or by virtue of any enactment and shall be construed subject to section 217 above;
“harbour authority” means a person who is a harbour authority within the meaning of Chapter II of Part VI of the Merchant Shipping Act 1995 and is not a navigation authority;
“highway” and “highway authority” have the same meanings as in the Highways Act 1980;
“house” means any building or part of a building which is occupied as a dwelling-house, whether or not a private dwelling-house, or which, if unoccupied, is likely to be so occupied;
“information” includes anything contained in any records, accounts, estimates or returns;
“inland waters”, has the same meaning as in the Water Resources Act 1991;
“lateral drain” means—
that part of a drain which runs from the curtilage of a building (or buildings or yards within the same curtilage) to the sewer with which the drain communicates or is to communicate; or
(if different and the context so requires) the part of a drain identified in a declaration of vesting made under section 102 above or in an agreement made under section 104 above;
...
“limited company” means a company (as defined in section 1(1) of the Companies Act 2006) that—
is registered in England and Wales or Scotland, and
is limited by shares.
“local authority” means the council of a district or of a London borough or the Common Council of the City of London but, in relation to Wales, means the council of a county or county borough;
“local statutory provision” means—
(a) a provision of a local Act (including an Act confirming a provisional order);
(b) a provision of so much of any public general Act as has effect with respect to a particular area, with respect to particular persons or works or with respect to particular provisions falling within any paragraph of this definition;
(c) a provision of an instrument made under any provision falling within paragraph (a) or (b) above; or
(d) a provision of any other instrument which is in the nature of a local enactment;
“meter” means any apparatus for measuring or showing the volume of water supplied to, or of effluent discharged from, any premises;
“micro-organism” includes any microscopic biological entity which is capable of replication;
“modifications” includes additions, alterations and omissions, and cognate expressions shall be construed accordingly;
. . .
. . .
“the NRBW” means the Natural Resources Body for Wales;
“navigation authority” means any person who has a duty or power under any enactment to work, maintain, conserve, improve or control any canal or other inland navigation, navigable river, estuary, harbour or dock;
“new towns residuary body” means—
in relation to a new town in England, the Homes and Communities Agency so far as exercising functions in relation to anything transferred (or to be transferred) to it as mentioned in section 52(1)(a) or (b) of the Housing and Regeneration Act 2008 or the Greater London Authority so far as exercising its new towns and urban development functions (and references to the “English new towns residuary body” are to be read accordingly); and
in relation to a new town in Wales, the Welsh Ministers so far as exercising functions in relation to anything transferred (or to be transferred) to them as mentioned in section 36(1)(a)(i) or (ii) of the New Towns Act 1981 (and references to the “Welsh new towns residuary body” are to be read accordingly);
“notice” means notice in writing;
...
“owner”, in relation to any premises, means the person who—
is for the time being receiving the rack-rent of the premises, whether on his own account or as agent or trustee for another person; or
would receive the rack-rent if the premises were let at a rack-rent,
and cognate expressions shall be construed accordingly;
“prescribed” means prescribed by regulations made by the Secretary of State;
“protected land”, in relation to a company holding an appointment under Chapter I of Part II of this Act, means any land which, or any interest or right in or over which—
was transferred to that company in accordance with a scheme under Schedule 2 to the Water Act 1989 or, where that company is a statutory water company, was held by that company at any time during the financial year ending with 31st March 1990;
is or has at any time on or after 1st September 1989 been held by that company for purposes connected with the carrying out of its functions as a water undertaker or sewerage undertaker (including any functions which for the purposes for which section 217 above has effect are taken to be such functions by virtue of subsection (6) or (7) of that section); or
has been transferred to that company in accordance with a scheme under Schedule 2 to this Act from another company in relation to which that land was protected land when the other company held an appointment under that Chapter;
“public authority” means any Minister of the Crown or government department, the Environment Agency, the NRBW, any local authority or county council or any person certified by the Secretary of State to be a public authority for the purposes of this Act;
“public sewer” means (subject to section 106(1A) above) a sewer for the time being vested in a sewerage undertaker in its capacity as such, whether vested in that undertaker by virtue of a scheme under Schedule 2 to the Water Act 1989 or Schedule 2 to this Act or under section 179 above or otherwise, and “private sewer” shall be construed accordingly;
“railway undertakers” means the British Railways Board, Transport for London or any subsidiary (within the meaning of the Greater London Authority Act 1999) of Transport for London, or any other person authorised by any enactment, or by any order, rule or regulation made under any enactment, to construct, work or carry on any railway;
“records” includes computer records and any other records kept otherwise than in a document;
“regional committee” means a regional committee of the Council established under section 27A above;
“the relevant sewerage provisions” means the following provisions of this Act, that is to say—
(a) Chapters II and III of Part IV (except sections 98 to 101 and 110 and so much of Chapter III of that Part as provides for regulations under section 138 or has effect by virtue of any such regulations);
(b) sections 160, 171, 172(4), 178, 184, 189, 196 and 204 and paragraph 4 of Schedule 12; and
(c) the other provisions of this Act so far as they have effect for the purposes of any provision falling within paragraph (a) or (b) of this definition;
“relevant undertaker” means a water undertaker or sewerage undertaker;
“resource main” means (subject to subsection (2) below) any pipe, not being a trunk main, which is or is to be used for the purpose of—
(a) conveying water from one source of supply to another, from a source of supply to a regulating reservoir or from a regulating reservoir to a source of supply; or
(b) giving or taking a supply of water in bulk;
“ retail exit area ” has the meaning given by section 42 of the Water Act 2014;
“service pipe” means (subject to subsection (2) below and to section 51E(3) above) so much of a pipe which is, or is to be, connected with a water main for supplying water from that main to any premises as—
is or is to be subject to water pressure from that main; or
would be so subject but for the closing of some valve,
and includes part of any service pipe;
“services” includes facilities;
“sewer” includes (without prejudice to subsection (2) below) all sewers and drains (not being drains within the meaning given by this subsection) which are used for the drainage of buildings and yards appurtenant to buildings;
“ sewerage licensee ” is to be construed in accordance with section 17BA(6);
“sewerage services” —
in the case of a sewerage undertaker, includes the disposal of sewage and any other services which are required to be provided by a sewerage undertaker for the purpose of carrying out its functions; or
in the case of a sewerage licensee, means the services provided by that person in that person's capacity as a sewerage licensee;
“special administration order” has the meaning given by section 23 above;
“statutory water company” means any company which was a statutory water company for the purposes of the Water Act 1973 immediately before 1st September 1989;
“stopcock” includes any box or pit in which a stopcock is enclosed and the cover to any such box or pit;
“street” has, subject to subsection (5) below, the same meaning as in Part III of the New Roads and Street Works 1991;
“subordinate legislation” has the same meaning as in the Interpretation Act 1978;
“substance” includes micro-organisms and any natural or artificial substance or other matter, whether it is in solid or liquid form or in the form of a gas or vapour;
“supply of water in bulk” means a supply of water for distribution by a water undertaker taking the supply;
“surface water” includes water from roofs;
“trunk main” means a water main which is or is to be used by a water undertaker for the purpose of—
(a) conveying water from a source of supply to a filter or reservoir or from one filter or reservoir to another filter or reservoir; or
(b) conveying water in bulk, whether in the course of taking a supply of water in bulk or otherwise, between different places outside the area of the undertaker, from such a place to any part of that area or from one part of that area to another part of that area;
“underground strata” means strata subjacent to the surface of any land;
“vessel” includes a hovercraft within the meaning of the Hovercraft Act 1968;
“water main” means (subject to subsection (2) below) any pipe, not being a pipe for the time being vested in a person other than the undertaker, which is used or to be used by a water undertaker or water supply licensee for the purpose of making a general supply of water available to customers or potential customers of the undertaker or licensee, as distinct from for the purpose of providing a supply to particular customers;
“watercourse” includes all rivers, streams, ditches, drains, cuts, culverts, dykes, sluices, sewers and passages through which water flows except mains and other pipes which belong to the Environment Agency , the NRBW or a water undertaker or are used by a water undertaker or any other person for the purpose only of providing a supply of water to any premises.
“ water supply licensee ” is to be construed in accordance with section 17A(7);
(2) In this Act—
(a) references to a pipe, including references to a main, a drain or a sewer, shall include references to a tunnel or conduit which serves or is to serve as the pipe in question and to any accessories for the pipe; and
(b) references to any sewage disposal works shall include references to the machinery and equipment of those works and any necessary pumping stations and outfall pipes;
and, accordingly, references to the laying of a pipe shall include references to the construction of such a tunnel or conduit, to the construction or installation of any such accessories and to the making of a connection between one pipe and another.
(3) Nothing in Part III or IV of this Act by virtue of which a relevant undertaker owes a duty to any particular person to lay any water main, resource main or service pipe or any sewer, lateral drain, disposal main or discharge pipe shall be construed—
(a) as conferring any power in addition to the powers conferred apart from those Parts; or
(b) as requiring the undertaker to carry out any works which it has no power to carry out.
(4) References in this Act to the fixing of charges in relation to any premises by reference to volume are references to the fixing of those charges by reference to the volume of water supplied to those premises, to the volume of effluent discharged from those premises, to both of those factors or to one or both of those factors taken together with other factors.
(4A) In this Act, unless otherwise stated, references to the supply system of a water undertaker are to the water mains and other pipes which it is the undertaker’s duty to develop and maintain by virtue of section 37 above.
(5) Until the coming into force of Part III of the New Roads and Street Works Act 1991, the definition of “street” in subsection (1) above shall have effect as if the reference to that Part were a reference to the Public Utilities Street Works Act 1950; but nothing in this section shall be taken—
(a) to prejudice the power of the Secretary of State under that Act of 1991 to make an order bringing Part III of that Act into force on different days for different purposes (including the purposes of this section); or
(b) in the period before the coming into force of that Part, to prevent references in this Act to a street, where the street is a highway which passes over a bridge or through a tunnel, from including that bridge or tunnel.
(6) For the purposes of any provision of this Act by or under which power is or may be conferred on any person to recover the expenses incurred by that person in doing anything, those expenses shall be assumed to include such sum as may be reasonable in respect of establishment charges or overheads.
(7) References in this Act to the later or latest of two or more different times or days are, in a case where those times or days coincide, references to the time at which or, as the case may be, the day on which they coincide.
(8) Where by virtue of any provision of this Act any function of a Minister of the Crown is exercisable concurrently by different Ministers, that function shall also be exercisable jointly by any two or more of those Ministers.
(9) Sub-paragraph (1) of paragraph 1 of Schedule 2 to the Water Consolidation (Consequential Provisions) Act 1991 has effect (by virtue of sub-paragraph (2)(b) of that paragraph) so that references in this Act to things done under or for the purposes of provisions of this Act or the Water Resources Act 1991 include references to things done, or treated as done, under or for the purposes of the corresponding provisions of the law in force before the commencement of this Act.
(10) If the Assembly designates a person as Chief Inspector of Drinking Water for Wales under section 86(1B) above, references in this Act to the Chief Inspector of Drinking Water, as respects anything to be done in relation to him, shall be taken as references to the person designated as the Chief Inspector of Drinking Water by the Secretary of State and also the person designated by the Assembly as the Chief Inspector of Drinking Water for Wales.
(11) Subsection (10) does not apply to references to the Chief Inspector of Drinking Water in sections 8, 17AA, 51CA, 51CB, 66DB, 66P and 86ZA.
Subject to any provision to the contrary which is contained in Schedule 26 to the Water Act 1989 or in the Water Consolidation (Consequential Provisions) Act 1991, nothing in any local statutory provision passed or made before 1st September 1989 shall be construed as relieving any relevant undertaker from any liability arising by virtue of this Act in respect of any act or omission occurring on or after that date.
(1) Subject to the provisions of this section, this Act shall bind the Crown.
(2) No contravention by the Crown of any provision made by or under this Act shall make the Crown criminally liable; but the High Court may, on the application of the appropriate agency, a water undertaker or a sewerage undertaker, declare unlawful any act or omission of the Crown which constitutes such a contravention.
(3) Notwithstanding anything in subsection (2) above, any provision made by or under this Act shall apply to persons in the public service of the Crown as it applies to other persons.
(4) If the Secretary of State certifies that it appears to him, as respects any Crown premises and any powers of entry exercisable in relation to them specified in the certificate, that it is requisite or expedient that, in the interests of national security, the powers should not be exercisable in relation to those premises, those powers shall not be exercisable in relation to those premises.
(5) Nothing in this section shall be taken as in any way affecting Her Majesty in her private capacity; and this subsection shall be construed as if section 38(3) of the Crown Proceedings Act 1947 (interpretation of references to Her Majesty in her private capacity) were contained in this Act.
(6) Subject to subsections (4) and (5) above, the powers conferred by sections 155, 159, 161(2) and 167 above shall be exercisable in relation to land in which there is a Crown or Duchy interest only with the consent of the appropriate authority.
(7) In this section—
“the appropriate agency” means-
in relation to any act or omission of the Crown in England, the Agency;
in relation to any act or omission of the Crown in Wales, the NRBW;
“the appropriate authority” has the same meaning as it has in Part XIII of the Town and Country Planning Act 1990 by virtue of section 293(2) of that Act;
“Crown or Duchy interest” means an interest which belongs to Her Majesty in right of the Crown or of the Duchy of Lancaster, or to the Duchy of Cornwall, or belonging to a government department or held in trust for Her Majesty for the purposes of a government department;
“Crown premises” means premises held by or on behalf of the Crown.
(8) The provisions of subsection (3) of section 293 of the Town and Country Planning Act 1990 (questions relating to Crown application) as to the determination of questions shall apply for the purposes of this section.
(1) Subject to the provisions of any order under this section, this Act shall not apply in relation to the Isles of Scilly.
(2) The Secretary of State may, after consultation with the Council of the Isles of Scilly, by order provide for the application of any provisions of this Act to the Isles of Scilly; and any such order may provide for the application of those provisions to those Isles with such modifications as may be specified in the order.
(3) An order under this section may—
(a) make different provision for different cases, including different provision in relation to different persons, circumstances or localities; and
(b) contain such supplemental, consequential and transitional provision as the Secretary of State considers appropriate, including provision saving provision repealed by or under any enactment.
(4) The power of the Secretary of State to make an order under this section shall be exercisable by statutory instrument subject to annulment in pursuance of a resolution of either House of Parliament.
(1) This Act may be cited as the Water Industry Act 1991.
(2) This Act shall come into force on 1st December 1991.
(3) Except for the purpose of giving effect to any scheme under Schedule 2 to this Act, this Act extends to England and Wales only.
Remuneration, pensions etc.
1 (1) There shall be paid to the Director such remuneration, and such travelling and other allowances, as the Secretary of State may determine.
(2) In the case of any such holder of the office of the Director as may be determined by the Secretary of State, there shall be paid such pension, allowances or gratuities to or in respect of him, or such payments towards provision for the payment of a pension, allowances or gratuities to or in respect of him, as may be so determined.
(3) If, when any person ceases to hold office as the Director, the Secretary of State determines that there are special circumstances which make it right that he should receive compensation, there may be paid to him a sum by way of compensation of such amount as may be determined by the Secretary of State.
(4) The approval of the Treasury shall be required for the making of a determination under this paragraph.
Staff
2 (1) The Director may, with the approval of the Treasury as to numbers and terms and conditions of service, appoint such staff as he may determine.
(2) Anything authorised or required by or under any enactment to be done by the Director may be done by any member of the staff of the Director who has been authorised for the purpose, whether generally or specially, by the Director.
Expenses of the Director and his staff
3 There shall be paid out of money provided by Parliament—
(a) the remuneration of, and any travelling or other allowances payable under this Act to, the Director and any staff of the Director; and
(b) any expenses duly incurred by the Director or by any of his staff in consequence of the provisions of this Act.
Official seal
4 The Director shall have an official seal for the authentication of documents required for the purposes of his functions.
Documentary evidence
5 The Documentary Evidence Act 1868 shall have effect as if the Director were included in the first column of the Schedule to that Act, as if the Director and any person authorised to act on behalf of the Director were mentioned in the second column of that Schedule, and as if the regulations referred to in that Act included any document issued by the Director or by any such person.
SCHEDULE 1A The Water Services Regulation Authority
Section 1A(3)
Membership
1 (1) The Authority shall consist of a chairman, and at least two other members, appointed by the Secretary of State.
(2) The Secretary of State shall consult—
(a) the Assembly, before appointing any member; and
(b) the chairman, before appointing any other member.
Terms of appointment, remuneration, pensions etc
2 (1) Subject to this Schedule, the chairman and other members of the Authority shall hold and vacate office as such in accordance with the terms of their respective appointments.
(2) Their terms of appointment shall be determined by the Secretary of State.
Terms of appointment, remuneration, pensions etc
3 (1) An appointment of a person to hold office as chairman or as one of the other members of the Authority shall be for a term not exceeding five years.
(2) A person holding office as chairman or other member—
(a) may resign that office by giving notice in writing to the Secretary of State; and
(b) may be removed from office by the Secretary of State on the ground of incapacity or misbehaviour.
(3) The Secretary of State shall consult the Assembly before removing from office a person holding office as chairman or other member.
(4) A previous appointment as chairman or other member does not affect a person’s eligibility for appointment to either office.
Terms of appointment, remuneration, pensions etc
4 (1) The Authority shall pay to its chairman and its other members such remuneration, and such travelling and other allowances, as may be determined by the Secretary of State.
(2) The Authority shall, if required to do so by the Secretary of State—
(a) pay such pension, allowances or gratuities as may be determined by the Secretary of State to or in respect of a person who is or has been the chairman or a member of the Authority; or
(b) make such payments as may be so determined towards provision for the payment of a pension, allowances or gratuities to or in respect of such a person.
(3) If the Secretary of State determines that there are special circumstances which make it right for a person ceasing to hold office as chairman or other member of the Authority to receive compensation, the Authority shall pay to him a sum by way of compensation of such amount as may be determined by the Secretary of State.
Staff
5 The Authority may, with the approval of the Minister for the Civil Service as to numbers and terms and conditions of service, appoint such staff as it may determine.
Committees
6 (1) The Authority may establish committees and any committee of the Authority may establish sub-committees.
(2) The members of a committee of the Authority may include persons who are not members of the Authority (and the members of a sub-committee may include persons who are not members of the committee or the Authority).
Proceedings etc
7 (1) The Authority may regulate its own procedure.
(2) The validity of anything done by the Authority is not affected by a vacancy among its members or by a defect in the appointment of a member.
Proceedings etc
8 A document purporting to be duly executed under the seal of the Authority, or signed on its behalf, shall be received in evidence and, unless the contrary is proved, shall be taken to be so executed or signed.
Code of Practice
9 (1) The Authority shall prepare, and may revise, a code of practice governing the discharge by it of its functions.
(2) The Authority shall, in exercising its functions, have regard to the provisions of the code.
(3) In preparing or revising the code, the Authority shall consult—
(a) the Secretary of State;
(b) the Assembly;
(c) the Environment Agency;
(ca) the NRBW;
(d) the Council;
(e) relevant undertakers;
(f) water supply licensees;
(fa) sewerage licensees; and
(g) such other persons as the Authority considers appropriate.
(4) The Authority shall publish in such manner as it considers appropriate the code as for the time being in force.
Performance of functions
10 (1) Anything authorised or required to be done by the Authority may be done by—
(a) any member or employee of the Authority who is authorised for that purpose by the Authority, whether generally or specially;
(b) any committee of the Authority which has been so authorised.
(2) The Authority may not so authorise a committee whose members include any person who is not a member or employee of the Authority.
(3) Sub-paragraph (1) is subject to provision in rules made under section 51 of the Competition Act 1998 by virtue of paragraph 1A of Schedule 9 to that Act in respect of the exercise of a function under Part 1 of that Act.
Payments to the Authority
11 The Secretary of State shall make payments out of money provided by Parliament to the Authority of such amounts, at such times and on such conditions (if any) as he considers appropriate.
Supplementary powers
12 (1) The Authority has power to do anything which is calculated to facilitate, or is conducive or incidental to, the performance of its functions.
(2) That power includes the formation of advisory bodies.
SCHEDULE 2 Transitional Provision on Termination of Appointments
Sections 10 and 23.
Cases where Schedule applies
1 (1) This Schedule shall apply in each of the cases specified in sub-paragraphs (2) to (3A) below.
(2) The first case in which this Schedule applies is where—
(a) the Secretary of State or the Authority is proposing to make an appointment or variation replacing a company as a relevant undertaker; and
(b) by virtue of that appointment a company (“the new appointee”) will hold an appointment as the water undertaker or sewerage undertaker for an area which is or includes the whole or any part of the area for which, until the relevant date, another company (“the existing appointee”) holds an appointment as the water undertaker or, as the case may be, sewerage undertaker.
(3) The second case in which this Schedule applies is where—
(a) the High Court has made a special administration order in relation to any company holding an appointment under Chapter 1 of this Part(“the existing appointee”); and
(b) it is proposed that on and after the relevant date another company (“the new appointee”) should, without any such appointment or variation as is mentioned in sub-paragraph (2) above having been made, hold an appointment as water undertaker or sewerage undertaker for an area which is or includes the whole or any part of the area for which until that date the existing appointee holds an appointment as water undertaker or, as the case may be, sewerage undertaker.
(3A) The third case in which this Schedule applies is where—
(a) the High Court has made a special administration order in relation to any company which is a qualifying water supply licensee or a qualifying sewerage licensee (“the transferor”); and
(b) it is proposed that on and after the relevant date another company (“the transferee”) should carry on—
(i) activities relating to the introduction or introductions of water mentioned in section 23(6)(b) of this Act which were carried on by the transferor until that date; or
(ii) activities relating to the removal or removals of matter mentioned in section 23(9) of this Act which were carried on by the transferor until that date (as the case may be).
(4) In this Schedule—
“existing appointee” and “new appointee” shall be construed in accordance with sub-paragraph (2) or (3) above according to whether this Schedule is applying in the case mentioned in the first or second of those sub-paragraphs;
“new owner” means, where securities are transferred to a company as described in paragraph 2A(1)(b) or (2)(b), the company to which the transfer is made;
“other appointees” means any companies, other than the existing appointee and the new appointee, which are likely on or at a time after the relevant date to be holding appointments as water undertakers or sewerage undertakers for any area which is or includes any part of the area for which the existing appointee has at any time held an appointment as water undertaker or sewerage undertaker;
“other relevant companies” means any companies, other than the transferor and the transferee, which are likely on or at a time after the relevant date to be—
(a) holding appointments as water undertakers for any area in which, or in part of which, the activities relating to the introduction or introductions of water mentioned in section 23(6)(b) of this Act will be carried on by the transferee; or
(b) holding appointments as sewerage undertakers for any area in which, or in part of which, the activities relating to the removal or removals of matter mentioned in section 23(9) of this Act will be carried on by the transferee (as the case may be);
“the relevant date” means—
(a) where this Schedule applies by virtue of sub-paragraph (2) above, the coming into force of the appointment or variation mentioned in paragraph (a) of that sub-paragraph; and
(b) where this Schedule applies by virtue of sub-paragraph (3) or (3A) above, such day, being a day before the discharge of the special administration order takes effect, as the High Court may appoint for the purposes of this Schedule; and
“special administrator”, in relation to a company in relation to which a special administration order has been made, means the person for the time being holding office for the purposes of section 23(1) of this Act;
“transferor” and “transferee” shall be construed in accordance with sub-paragraph (3A) above.
Making and modification of transfer schemes
2 (1) The existing appointee, acting with the consent of the new appointee and, in relation to the matters affecting them, of any other appointees, may make a scheme under this Schedule for the transfer of property, rights and liabilities from the existing appointee to the new appointee.
(2) A scheme under this Schedule shall not take effect unless it is approved by the Secretary of State or the Authority.
(3) Where a scheme under this Schedule is submitted to the Secretary of State or the Authority for his approval, he may, with the consent of the new appointee and the existing appointee modify the scheme before approving it.
(4) If at any time after a scheme under this Schedule has come into force in relation to the property, rights and liabilities of any company the Secretary of State considers it appropriate to do so and the existing appointee and the new appointee consent to the making of the order, the Secretary of State may by order provide that that scheme shall for all purposes be deemed to have come into force with such modifications as may be specified in the order.
(5) An order under sub-paragraph (4) above may make, with effect from the coming into force of the scheme to which it relates, any such provision as could have been made by the scheme and, in connection with giving effect to that provision from that time, may contain such supplemental, consequential and transitional provision as the Secretary of State considers appropriate.
(6) In determining, in accordance with his duties under Part I of this Act, whether and in what manner to exercise any power conferred on him by this paragraph the Secretary of State or the Authority shall have regard to the need to ensure that any provision for the transfer of property, rights and liabilities in accordance with a scheme under this Schedule allocates property, rights and liabilities to the different companies affected by the scheme in such proportions as appear to him to be appropriate in the context of the different functions which will, by virtue of this Act, be carried out at different times on and after the relevant date by the new appointee, by the existing appointee and by any other appointees.
(7) It shall be the duty of the new appointee, of the existing appointee and of any other appointees to provide the Secretary of State or the Authority with all such information and other assistance as he may reasonably require for the purposes of, or in connection with, the exercise of any power conferred on him by this paragraph.
(7ZA) In a case where—
(a) another scheme under this Schedule provides for the transfer of the property, rights and liabilities of the existing appointee, and
(b) that other scheme makes provision for a transfer that is effected as described in paragraph 2A (hive down),
the duty in sub-paragraph (7) also applies to the new owner in relation to that other scheme.
(7A) In a case specified in paragraph 1(3A) above—
(a) the preceding provisions of this paragraph shall have effect as if—
(i) any reference to the existing appointee were a reference to the transferor;
(ii) any reference to the new appointee were a reference to the transferee; and
(iii) any reference to other appointees were a reference to other relevant companies; and
(b) sub-paragraph (6) above shall have effect as if the reference to functions were, in relation to a company which is a water supply licensee or sewerage licensee, a reference to activities authorised by its licence and any statutory functions imposed on it in consequence of its licence.
(8) A company which without reasonable excuse fails to do anything required of it by virtue of sub-paragraph (7) above shall be guilty of an offence and liable, on summary conviction, to a fine not exceeding level 5 on the standard scale.
(9) Without prejudice to the other provisions of this Act relating to the special administrator of a company, anything which is required by this paragraph to be done by a company shall, where that company is a company in relation to which a special administration order is in force, be effective only if it is done on the company’s behalf by its special administrator.
Transfer schemes providing for transfer by hive down
2A. (1) In a case specified in paragraph 1(3) (special administration order in relation to existing appointee), a scheme under this Schedule may provide for a transfer under section 23(2) that is effected by—
(a) the transfer of property, rights and liabilities from the existing appointee to a new appointee that is a wholly-owned subsidiary of the existing appointee, and
(b) the subsequent transfer of securities in the new appointee to another company.
(2) In a case specified in paragraph 1(3A) (special administration order in relation to a qualifying licensee) where the transferor is a qualifying water supply licensee, a scheme under this Schedule may provide for a transfer under section 23(2A) that is effected by—
(a) the transfer of property, rights and liabilities from the transferor to a transferee that is a wholly-owned subsidiary of the transferor, and
(b) the subsequent transfer of securities in the transferee to another company.
(3) In a case where a transfer is effected or proposed to be effected as described in sub-paragraph (1) or (2), paragraph 2 has effect as if—
(a) in sub-paragraphs (1) and (3) of paragraph 2, the references to the consent of the new appointee were references to the consent of the new owner;
(b) in sub-paragraph (4), the persons whose consent is required included the new owner;
(c) in sub-paragraph (7), the persons subject to the duty imposed by that sub-paragraph included the new owner.
Transfers by scheme
3 (1) A scheme under this Schedule for the transfer of the existing appointee’s property, rights and liabilities shall come into force on the relevant date and, on coming into force, shall have effect, in accordance with its provisions and without further assurance, so as to transfer the property, rights and liabilities to which the scheme relates to the new appointee.
(1A) Where a scheme under this Schedule provides for a transfer of securities as described in paragraph 2A(1)(b) or (2)(b), that transfer has effect in accordance with the provisions of the scheme and without further assurance, immediately after the transfer of property, rights and liabilities mentioned in paragraph 2A(1)(a) or (2)(a).
(2) For the purpose of making any division of property, rights or liabilities which it is considered appropriate to make in connection with the transfer of property, rights and liabilities in accordance with a scheme under this Schedule, the provisions of that scheme may—
(a) create for the existing appointee, the new appointee or any other appointees an interest in or right over any property to which the scheme relates;
(b) create new rights and liabilities as between any two or more of those companies (but may not impose new liabilities on any other appointee); and
(c) in connection with any provision made by virtue of paragraph (a) or (b) above, make incidental provision as to the interests, rights and liabilities of other persons with respect to the subject-matter of the scheme.
(3) A scheme under this Schedule may contain provision for the consideration to be provided by the new appointee and by any other appointees in respect of the transfer or creation of property, rights and liabilities by means of the scheme; and any such provision shall be enforceable in the same way as if the property, rights and liabilities had been created or transferred, and (if the case so requires) had been capable of being created or transferred, by agreement between the parties.
(3A) Where a scheme under this Schedule provides for a transfer of securities as described in paragraph 2A(1)(b) or (2)(b), the scheme may contain provision for the consideration to be provided by the new owner in respect of the transfer; and any such provision is enforceable in the same way as if the securities had been transferred, and (if the case so requires) had been capable of being transferred, by agreement between the parties.
(4) The property, rights and liabilities of the existing appointee that shall be capable of being transferred in accordance with a scheme under this Schedule shall include—
(a) property, rights and liabilities that would not otherwise be capable of being transferred or assigned by the existing appointee;
(b) such property, rights and liabilities to which the existing appointee may become entitled or subject after the making of the scheme and before the relevant date as may be described in the scheme;
(c) property situated anywhere in the United Kingdom or elsewhere;
(d) rights and liabilities under enactments;
(e) rights and liabilities under the law of any part of the United Kingdom or of any country or territory outside the United Kingdom.
(5) The provision that may be made by virtue of sub-paragraph (2)(b) above includes—
(a) provision for treating any person who is entitled by virtue of a scheme under this Schedule to possession of a document as having given another person an acknowledgement in writing of the right of that other person to the production of the document and to delivery of copies thereof; and
(b) provision applying section 64 of the Law of Property Act 1925 (production and safe custody of documents) in relation to any case in relation to which provision falling within paragraph (a) above has effect.
(6) For the avoidance of doubt, it is hereby declared that the transfers authorised by paragraph (a) of sub-paragraph (4) above include transfers which, by virtue of that paragraph, are to take effect as if there were no such contravention, liability or interference with any interest or right as there would be, in the case of a transfer or assignment otherwise than in accordance with a scheme under this Schedule, by reason of any provision having effect (whether under any enactment or agreement or otherwise) in relation to the terms on which the existing appointee is entitled or subject to the property, right or liability in question.
(7) In a case specified in paragraph 1(3A) above the preceding provisions of this paragraph shall have effect as if—
(a) any reference to the existing appointee were a reference to the transferor;
(b) any reference to the new appointee were a reference to the transferee; and
(c) any reference to other appointees were a reference to other relevant companies.
Transfer of appointment
4 (1) Where a scheme under this Schedule is made in the case specified in paragraph 1(3) above, the scheme may provide for the transfer to the new appointee, with such modifications as may be specified in the scheme, of the appointment under Chapter I of Part II of this Act which is held by the existing appointee.
(2) In such a case different schemes under this Schedule may provide for the transfer of such an appointment to different companies as respects different parts of the area to which the appointment relates.
Exclusion of transfer of licence
4A Where a scheme under this Schedule is made in the case specified in paragraph 1(3A) above, the scheme may not provide for the transfer to the transferee of the licence under Chapter 1A of Part 2 of this Act which is held by the transferor.
Supplemental provisions of schemes
5 (1) A scheme under this Schedule may contain supplemental, consequential and transitional provision for the purposes of, or in connection with, the provision for the transfers or any other provision made by the scheme.
(2) Without prejudice to the generality of sub-paragraph (1) above, a scheme under this Schedule may provide—
(a) that for purposes connected with any transfers made in accordance with the scheme (including the transfer of rights and liabilities under an enactment) the new appointee is to be treated as the same person in law as the existing appointee;
(b) that, so far as may be necessary for the purposes of or in connection with any such transfers, agreements made, transactions effected and other things done by or in relation to the existing appointee are to be treated as made, effected or done by or in relation to the new appointee;
(c) that, so far as may be necessary for the purposes of or in connection with any such transfers, references in any agreement (whether or not in writing) or in any deed, bond, instrument or other document to, or to any officer of, the existing appointee are to have effect with such modifications as are specified in the scheme;
(d) that proceedings commenced by or against the existing appointee are to be continued by or against the new appointee;
(e) that the effect of any transfer under the scheme in relation to contracts of employment with the existing appointee is not to be to terminate any of those contracts but is to be that periods of employment with the existing appointee are to count for all purposes as periods of employment with the new appointee;
(f) that disputes as to the effect of the scheme between —
(i) the existing appointee and the new appointee or new owner,
(ii) a person referred to in sub-paragraph (i) and any other appointee or new owner of any other appointee, or
(iii) different companies which are other appointees or new owners of other appointees,
are to be referred to such arbitration as may be specified in or determined under the scheme;
(g) that determinations on such arbitrations and certificates given jointly by two or more such persons as are mentioned in paragraph (f) above as to the effect of the scheme as between the companies giving the certificates are to be conclusive for all purposes.
(3) In a case specified in paragraph 1(3A) above—
(a) sub-paragraph (2) above shall have effect as if—
(i) any reference to the existing appointee were a reference to the transferor;
(ii) any reference to the new appointee were a reference to the transferee; and
(iii) any reference to any other appointee or appointees were a reference to any other relevant company or companies; and
(b) paragraph (g) of that sub-paragraph shall have effect as if the reference to two or more such persons as are mentioned in paragraph (f) of that sub-paragraph were a reference to two or more such persons as are mentioned in that paragraph (as it has effect by virtue of paragraph (a) above).
Duties of existing appointee after the scheme comes into force
6 (1) A scheme under this Schedule may provide for the imposition of duties on the existing appointee and on the new appointee to take all such steps as may be requisite to secure that the vesting in the new appointee, by virtue of the scheme, of any foreign property, right or liability is effective under the relevant foreign law.
(2) The provisions of a scheme under this Schedule may require the existing appointee to comply with any directions of the new appointee in performing any duty imposed on the existing appointee by virtue of a provision included in the scheme under sub-paragraph (1) above.
(3) A scheme under this Schedule may provide that, until the vesting of any foreign property, right or liability of the existing appointee in the new appointee is effective under the relevant foreign law, it shall be the duty of the existing appointee to hold that property or right for the benefit of, or to discharge that liability on behalf of, the new appointee.
(4) Nothing in any provision included by virtue of this paragraph in a scheme under this Schedule shall be taken as prejudicing the effect under the law of any part of the United Kingdom of the vesting by virtue of the scheme in the new appointee of any foreign property, right or liability.
(5) A scheme under this Schedule may provide that, in specified cases, foreign property, rights or liabilities that are acquired or incurred by an existing appointee after the scheme comes into force are immediately to become property, rights or liabilities of the new appointee; and such a scheme may make the same provision in relation to any such property, rights or liabilities as can be made, by virtue of the preceding provisions of this paragraph, in relation to foreign property, rights and liabilities vested in the existing appointee when the scheme comes into force.
(6) References in this paragraph to any foreign property, right or liability are references to any property, right or liability as respects which any issue arising in any proceedings would have to be determined (in accordance with the rules of private international law) by reference to the law of a country or territory outside the United Kingdom.
(7) Any expenses incurred by an existing appointee in consequence of any provision included by virtue of this paragraph in a scheme under this Schedule shall be met by the new appointee.
(8) Duties imposed on a company by virtue of this paragraph shall be enforceable in the same way as if they were imposed by a contract between the existing appointee and the new appointee.
(9) In a case specified in paragraph 1(3A) above, the preceding provisions of this paragraph shall have effect as if—
(a) any reference to the existing appointee were a reference to the transferor; and
(b) any reference to the new appointee were a reference to the transferee.
Further transitional provision and local statutory provisions
7 (1) The Secretary of State may, if he thinks it appropriate to do so for the purposes of, or in connection with, any appointment or variation replacing a company as a relevant undertaker or any scheme under this Schedule, by order made by statutory instrument—
(a) make any provision which corresponds, in relation to any enactment referred to at the passing of the Water Act 1989 in Schedule 26 to that Act, to any provision originally made by that Schedule or makes similar provision in relation to any other enactment; or
(b) amend or repeal any local statutory provision.
(2) An order under this paragraph may—
(a) make provision applying generally in relation to local statutory provisions of a description specified in the order;
(b) make different provision for different cases, including different provision in relation to different persons, circumstances or localities; and
(c) contain such supplemental, consequential and transitional provision as the Secretary of State considers appropriate.
SCHEDULE 2ZA Procedure for appeals under section 12D
Section 12E
Application for permission to bring appeal
1 (1) An application for permission to bring an appeal may be made only by sending a notice to the CMA requesting the permission.
(2) Only a person entitled under section 12D to bring the appeal if permission is granted may apply for permission.
(3) Where the Authority publishes a decision to modify the conditions of any appointment under section 12A(9), any application for permission to appeal is not to be made after the end of 20 working days beginning with the first working day after the day on which the decision is published.
(4) An application for permission to appeal must be accompanied by all such information as may be required by appeal rules.
(5) Appeal rules may require information contained in an application for permission to appeal to be verified by a statement of truth.
(6) A person who applies for permission to bring an appeal in accordance with this paragraph is referred to in this Schedule as the appellant.
(7) The appellant must send the Authority—
(a) a copy of the application for permission to appeal at the same time as it is sent to the CMA, and
(b) such other information as may be required by appeal rules.
(8) The CMA’s decision whether to grant permission to appeal is to be taken by an authorised member of the CMA.
(9) Before the authorised member decides whether to grant permission under this paragraph, the Authority must be given an opportunity of making representations or observations, in accordance with paragraph 3(2).
(10) The CMA’s decision on an application for permission to appeal must be made—
(a) where the Authority makes representations or observations in accordance with paragraph 3(2), before the end of 10 working days beginning with the first working day after the day on which those representations or observations are received;
(b) in any other case, before the end of 14 working days beginning with the first working day after the day on which the application for permission was received.
(11) The grant of permission may be made subject to conditions, which may include—
(a) conditions which limit the matters that are to be considered on the appeal in question,
(b) conditions for the purpose of expediting the determination of the appeal, and
(c) conditions requiring that appeal to be considered together with other appeals (including appeals relating to different matters or decisions and appeals brought by different persons).
(12) Where a decision is made to grant or to refuse an application for permission, an authorised member of the CMA must notify the decision, giving reasons—
(a) to the appellant, and
(b) to the Authority.
(13) A decision of the CMA under this paragraph must be published, in a way an authorised member of the CMA considers appropriate, as soon as reasonably practicable after it is made.
(14) Section 12I(2) applies to the publication of a decision under sub-paragraph (13) as it does to the publication under section 12I of a determination by the CMA on an appeal.
Suspension of decision
2 (1) The CMA may direct that, pending the determination of an appeal against a decision of the Authority—
(a) the decision is not to have effect, or
(b) the decision is not to have effect to such extent as may be specified in the direction.
(2) In the case of an appeal against a decision of the Authority which already has effect by virtue of section 12B, the CMA may direct that the modification that is the subject of the decision—
(a) ceases to have effect entirely or to such extent as may be specified in the direction, and
(b) does not have effect, or does not have effect to the specified extent, pending the determination of the appeal.
(3) The power to give a direction under this paragraph is exercisable only where—
(a) an application for its exercise has been made by the appellant at the same time the appellant made an application in accordance with paragraph 1(3) for permission to bring an appeal against a decision of the Authority,
(b) the Authority has been given an opportunity of making representations or observations, in accordance with paragraph 3(2),
(c) the appellant (or, where the appellant is within section 12D(2)(c) or (d), those represented by the appellant, or consumers, respectively) would incur significant costs if the decision were to have effect before the determination of the appeal, and
(d) the balance of convenience does not otherwise require effect to be given to the decision pending that determination.
(4) The CMA’s decision on an application for a direction under this paragraph must be made—
(a) where the Authority makes representations or observations in accordance with paragraph 3(2), before the end of 10 working days beginning with the first working day after the day on which those representations or observations are received;
(b) in any other case, before the end of 14 working days beginning with the first working day following the day on which the application under sub-paragraph (3)(a) is received.
(5) The appellant must send the Authority a copy of the application for a direction under this paragraph at the same time as it is sent to the CMA.
(6) A direction under this paragraph must be—
(a) given by an authorised member of the CMA, and
(b) published, in a way an authorised member of the CMA considers appropriate, as soon as reasonably practicable after it is given.
(7) Section 12I(2) applies to the publication of a direction under sub-paragraph (6) as it does to the publication under section 12I of a determination by the CMA on an appeal.
Time limit for representations and observations by the Authority
3 (1) Sub-paragraph (2) applies where the Authority wishes to make representations or observations to the CMA in relation to—
(a) an application for permission to bring an appeal under paragraph 1;
(b) an application for a direction under paragraph 2.
(2) The Authority must make the representations or observations in writing before the end of 10 working days beginning with the first working day after the day on which it received a copy of the application under paragraph 1(7) or 2(5) as the case may be.
(3) Sub-paragraph (4) applies where an application for permission to bring an appeal has been granted and the Authority wishes to make representations or observations to the CMA in relation to—
(a) the Authority’s reasons for the decision in relation to which the appeal is being brought, and
(b) any grounds on which that appeal is being brought against that decision.
(4) The Authority must make the representations or observations in writing before the end of 15 working days beginning with the first working day after the day on which permission to bring the appeal was granted.
(5) The Authority must send a copy of the representations and observations it makes under this paragraph to the appellant.
Consideration and determination of appeal by group
4 (1) A group constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013 for the purpose of carrying out functions of the CMA with respect to an appeal under section 12D must consist of three members of the CMA panel.
(2) A decision of the group is effective if, and only if—
(a) all the members of the group are present when it is made, and
(b) at least two members of the group are in favour of the decision.
Matters to be considered on appeal
5 (1) The CMA, if it thinks it necessary to do so for the purpose of securing the determination of an appeal within the period provided for by section 12H, may disregard—
(a) any or all matters raised by an appellant that were not raised by that appellant at the time of the relevant application, and
(b) any or all matters raised by the Authority that were not contained in representations or observations made for the purposes of the appeal in accordance with paragraph 3.
(2) In this paragraph “relevant application” means an application under paragraph 1 or 2.
Production of documents etc
6 (1) For the purposes of this Schedule, the CMA may, by notice, require—
(a) a person to produce to the CMA the documents specified or otherwise identified in the notice;
(b) any person who carries on a business to supply to the CMA such estimates, forecasts, returns or other information as may be specified or described in the notice in relation to that business.
(2) The power to require the production of a document, or the supply of any estimate, forecast, return or other information, is a power to require its production or, as the case may be, supply—
(a) at the time and place specified in the notice, and
(b) in a legible form.
(3) No person is to be compelled under this paragraph to produce a document or supply an estimate, forecast, return or other information that the person could not be compelled to produce in civil proceedings in the High Court.
(4) An authorised member of the CMA may, for the purpose of the exercise of the functions of the CMA, make arrangements for copies to be taken of a document produced or an estimate, forecast, return or other information supplied under this paragraph.
(5) A notice for the purposes of this paragraph—
(a) may be issued on the CMA’s behalf by an authorised member of the CMA;
(b) must include information about the possible consequences of not complying with the notice (as set out in paragraph 10).
Oral hearings
7 (1) For the purposes of this Schedule an oral hearing may be held, and evidence may be taken on oath—
(a) by a person considering an application for permission to bring an appeal under paragraph 1,
(b) by a person considering an application for a direction under paragraph 2, or
(c) by a group with the function of determining an appeal,
and, for that purpose, such a person or group may administer oaths.
(2) The CMA may, by notice, require a person—
(a) to attend at a time and place specified in the notice, and
(b) at that time and place, to give evidence to a person or group mentioned in sub-paragraph (1).
(3) At any oral hearing, the person or group conducting the hearing may require—
(a) the appellant, or the Authority, if present at the hearing to give evidence or to make representations or observations, or
(b) a person attending the hearing as a representative of the appellant or of the Authority to make representations or observations.
(4) A person who gives oral evidence at the hearing may be cross-examined by or on behalf of any party to the appeal.
(5) If the appellant, the Authority, or the appellant’s or Authority’s representative is not present at a hearing—
(a) there is no requirement to give notice to that person under sub-paragraph (2), and
(b) the person or group conducting the hearing may determine the application or appeal without hearing that person’s evidence, representations or observations.
(6) No person is to be compelled under this paragraph to give evidence which that person could not be compelled to give in civil proceedings in the High Court.
(7) Where a person is required under this paragraph to attend at a place more than 10 miles from that person’s place of residence, an authorised member of the CMA must arrange for that person to be paid the necessary expenses of attendance.
(8) A notice for the purposes of this paragraph may be issued on the CMA’s behalf by an authorised member of the CMA.
Written statements
8 (1) The CMA may, by notice, require a person to produce a written statement with respect to a matter specified in the notice to—
(a) a person who is considering, or is to consider, an application for a direction under paragraph 2, or
(b) a group with the function of determining an appeal.
(2) The power to require the production of a written statement includes power—
(a) to specify the time and place at which it is to be produced, and
(b) to require it to be verified by a statement of truth,
and a statement required to be so verified must be disregarded unless it is so verified.
(3) No person is to be compelled under this paragraph to produce a written statement with respect to any matter about which that person could not be compelled to give evidence in civil proceedings in the High Court.
(4) A notice for the purposes of this paragraph may be issued on the CMA’s behalf by an authorised member of the CMA.
Expert advice
9 Where permission to bring an appeal is granted under paragraph 1, the CMA may commission expert advice with respect to any matter raised by a party to that appeal.
Defaults in relation to evidence
10 (1) This paragraph applies if a person (“the defaulter”)—
(a) fails to comply with a notice issued or other requirement imposed under paragraph 6, 7 or 8,
(b) in complying with a notice under paragraph 8, makes a statement that is false in any material particular, or
(c) in providing information verified in accordance with a statement of truth required by appeal rules, provides information that is false in a material particular.
(2) An authorised member of the CMA may certify the failure, or the fact that such a false statement has been made or such false information has been given, to the High Court.
(3) The High Court may inquire into a matter certified to it under this paragraph and if, after having heard—
(a) any witness against or on behalf of the defaulter, and
(b) any statement in the defaulter’s defence,
it is satisfied that the defaulter, without reasonable excuse, failed to comply with the notice or other requirement, or made the false statement, or gave the false information, that court may punish that defaulter as if the person had been guilty of contempt of court.
(4) Where the High Court has power under this paragraph to punish a body corporate for contempt of court, it may so punish any director or other officer of that body (either instead of or as well as punishing the body).
(5) A person who wilfully alters, suppresses or destroys a document that the person has been required to produce under paragraph 6 is guilty of an offence and shall be liable—
(a) on summary conviction to a fine;
(b) on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine, or to both.
Appeal rules
11 (1) The CMA Board may make rules of procedure regulating the conduct and disposal of appeals under section 12D.
(2) Those rules may include provision supplementing the provisions of this Schedule in relation to any application, notice, hearing, power or requirement for which this Schedule provides; and that provision may, in particular, impose time limits or other restrictions on—
(a) the taking of evidence at an oral hearing, or
(b) the making of representations or observations at such a hearing.
(3) The CMA Board must publish rules made under this paragraph in a way it considers appropriate for bringing them to the attention of those likely to be affected by them.
(4) Before making rules under this paragraph, the CMA Board must consult such persons as it considers appropriate.
(5) Rules under this paragraph may make different provision for different cases.
Costs
12 (1) A group that determines an appeal must make an order requiring the payment to the CMA of the costs incurred by the CMA in connection with the appeal.
(2) An order under sub-paragraph (1) must require those costs to be paid—
(a) where the appeal is allowed in full, by the Authority,
(b) where the appeal is dismissed in full, by the appellant, or
(c) where the appeal is partially allowed, by one or more parties in such proportions as the CMA considers appropriate in all the circumstances.
(3) The group that determines an appeal may also make such order as it thinks fit for requiring a party to the appeal to make payments to another party in respect of costs reasonably incurred by that other party in connection with the appeal.
(4) A person who is required by an order under this paragraph to pay a sum to another person must comply with the order before the end of the period of 28 days beginning with the day after the making of the order.
(5) Sums required to be paid by an order under this paragraph but not paid within the period mentioned in sub-paragraph (4) shall bear interest at such rate as may be determined in accordance with provision contained in the order.
(6) Any costs payable by virtue of an order under this paragraph and any interest that has not been paid may be recovered as a civil debt by the person in whose favour that order is made.
Interpretation of Schedule
13 (1) In this Schedule—
“appeal” means an appeal under section 12D;
“appeal rules” means rules of procedure under paragraph 11;
“authorised member of the CMA”—
in relation to a power exercisable in connection with an appeal in respect of which a group has been constituted by the chair of the CMA under Schedule 4 to the Enterprise and Regulatory Reform Act 2013, means a member of that group who has been authorised by the chair of the CMA to exercise that power;
in relation to a power exercisable in connection with an application for permission to bring an appeal, or otherwise in connection with an appeal in respect of which a group has not been so constituted by the chair of the CMA, means—
any member of the CMA Board who is also a member of the CMA panel, or
any member of the CMA panel authorised by the Secretary of State (whether generally or specifically) to exercise the power in question;
“CMA Board” and “CMA panel” have the same meaning as in Schedule 4 to the Enterprise and Regulatory Reform Act 2013;
“statement of truth”, in relation to the production of a statement or provision of information by a person, means a statement that the person believes the facts stated in the statement or information to be true;
“working day” means any day other than—
Saturday or Sunday;
Christmas Day or Good Friday;
a day which is a bank holiday in England and Wales under the Banking and Financial Dealings Act 1971.
(2) References in this Schedule to a party to an appeal are references to—
(a) the appellant, or
(b) the Authority.
Operation of the authorisations in England and Wales
1 In the descriptions of the following authorisations, a reference to the supply system of a water undertaker is a reference to the supply system of a water undertaker whose area is wholly or mainly in England—
(a) a retail authorisation;
(b) a wholesale authorisation.
2 In the descriptions of the following authorisations, a reference to the supply system of a water undertaker is a reference to the supply system of a water undertaker whose area is wholly or mainly in Wales—
(a) a restricted retail authorisation;
(b) a supplementary authorisation.
Retail authorisation
3 A retail authorisation given by a water supply licence is an authorisation to the water supply licensee to use the supply system of a water undertaker for the purpose of supplying water to the premises of—
(a) the licensee,
(b) persons associated with the licensee, or
(c) the licensee's customers.
4 None of the premises supplied by a water supply licensee under a retail authorisation may be household premises (as defined in section 17C).
Wholesale authorisation
5 A wholesale authorisation given by a water supply licence is an authorisation to the water supply licensee to introduce water into the supply system of a water undertaker—
(a) by means of which system any particular supply in accordance with a retail authorisation (whether the licensee's or another water supply licensee's) is to take place, and
(b) where that introduction is to be made in connection with that intended supply.
Restricted retail authorisation
6 A restricted retail authorisation given by a water supply licence is an authorisation to the water supply licensee to use the supply system of a water undertaker for the purpose of supplying water to the premises of the licensee's customers.
7 The following requirements must be satisfied in relation to each of the premises to be supplied by a water supply licensee under a restricted retail authorisation—
(a) the requirement that the premises are not household premises (as defined in section 17C);
(b) the threshold requirement (construed in accordance with section 17D).
Supplementary authorisation
8 A supplementary authorisation given by a water supply licence is an authorisation to the water supply licensee to introduce water into the supply system of a water undertaker—
(a) by means of which system any particular supply in accordance with the licensee's restricted retail authorisation is to take place, and
(b) where that introduction is to be made in connection with that intended supply.
Enforcement and guidance
9 The requirements in paragraphs 4 and 7 are enforceable by the Authority under section 18.
10 (1) The Authority may from time to time, with the approval of the Secretary of State, issue guidance as to the factors that are, or are not, to be taken into account in determining the extent of any premises for the purposes of paragraphs 4 and 7.
(2) Before giving approval under sub-paragraph (1) the Secretary of State must consult the Welsh Ministers.
Interpretation
11 For the purposes of this Schedule, a person (A) is associated with a water supply licensee (L) if—
(a) where A and L are bodies corporate, one of them is a subsidiary of the other or both are subsidiaries of the same body corporate;
(b) where A or L is an individual or an unincorporated association and the other is a body corporate, that individual or unincorporated association controls the other or a body corporate of which the other is a subsidiary;
(c) A is a partnership of which L is a member.
12 In paragraph 11 “subsidiary” has the meaning given by section 1159 of the Companies Act 2006; and sections 450(1) to (4) and 451(1) to (3) of the Corporation Taxes Act 2010 (control of a company) apply for the purposes of paragraph 11 as they apply for the purposes of Part 10 of that Act.”
Retail authorisation
1 A retail authorisation given by a sewerage licence is an authorisation to the sewerage licensee to use the sewerage system of a sewerage undertaker for the purpose of enabling the licensee to provide sewerage services in respect of the premises of—
(a) the licensee,
(b) persons associated with the licensee, or
(c) the licensee's customers.
2 None of the premises served by a sewerage licensee under a retail authorisation may be household premises (as defined in section 17C).
3 The requirement in paragraph 2 is enforceable by the Authority under section 18.
4 The Authority may from time to time, with the approval of the Secretary of State, issue guidance as to the factors which are, or are not, to be taken into account in determining the extent of any premises for the purposes of paragraph 2.
Wholesale authorisation
5 A wholesale authorisation given by a sewerage licence is an authorisation to the sewerage licensee to remove matter from the sewerage system of a sewerage undertaker where—
(a) the sewerage system is being used to enable a sewerage licensee (whether the licensee or another sewerage licensee) to provide sewerage services in respect of premises in accordance with a retail authorisation, and
(b) the removing of matter from the sewerage system is done in connection with sewerage services so provided.
Disposal authorisation
6 A disposal authorisation given by a sewerage licence is an authorisation to the sewerage licensee to remove matter from the sewerage system of a sewerage undertaker.
7 If a sewerage licensee with a disposal authorisation has, or a person associated with the licensee has, a retail authorisation—
(a) the licensee or the person associated with it, or both of them, must obtain a wholesale authorisation, and
(b) neither the licensee nor the person associated with it (if that person has a disposal authorisation) may remove matter from a sewerage system in accordance with the disposal authorisation (or either disposal authorisation, if both have such an authorisation) while matter may be removed in accordance with the wholesale authorisation (or either wholesale authorisation, if both have such an authorisation).
Interpretation
8 For the purposes of this Schedule, a person (A) is associated with a sewerage licensee (L) if—
(a) where A and L are bodies corporate, one of them is a subsidiary of the other or both are subsidiaries of the same body corporate;
(b) where A or L is an individual or an unincorporated association and the other is a body corporate, that individual or unincorporated association controls the other or a body corporate of which the other is a subsidiary;
(c) A is a partnership of which L is a member.
9 In paragraph 8 “subsidiary” has the meaning given by section 1159 of the Companies Act 2006; and sections 450(1) to (4) and 451(1) to (3) of the Corporation Taxes Act 2010 (control of a company) apply for the purposes of paragraph 8 as they apply for the purposes of Part 10 of that Act.
Section 23.
Part I MODIFICATIONS OF THE 1986 ACT
General application of provisions of 1986 Act
1 Where a special administration order has been made, sections 11 to 15, 17 to 23 and 27 of the 1986 Act (which relate to administration orders under Part II of that Act) shall apply, with the modifications specified in the following provisions of this Part of this Schedule—
(a) as if references in those sections to an administration order were references to a special administration order and references to an administrator were references to a special administrator; ...
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Effect of order
2 In section 11 of the 1986 Act (effect of order), as applied by this Part of this Schedule—
(a) the requirement in subsection (1)(a) that any petition for the winding up of the company shall be dismissed shall be without prejudice to the special administration order in a case where the order is made by virtue of section 25 of this Act; and
(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . and
(c) the reference in subsection (3)(d) to proceedings shall include a reference to any proceedings under or for the purposes of section 18 of this Act.
Appointment of special administrator
3 In section 13 of the 1986 Act (appointment of administrator), as applied by this Part of this Schedule, for subsection (3) there shall be substituted the following subsection—
(3) An application for an order under subsection (2) may be made—
(a) by the Secretary of State;
(b) with the consent of the Secretary of State, by the Director General of Water Services;
(c) by any continuing special administrator of the company or, where there is no such special administrator, by the company, the directors or any creditor or creditors of the company.
General powers of special administrator
4 In section 14 of the 1986 Act (general powers of administrator), as applied by this Part of this Schedule
(a) in subsection (1)(b), the reference to the powers specified in Schedule 1 to that Act shall be deemed to include a reference to a power to act on behalf of the company for the purposes of this Act, any local statutory provision or the exercise or performance of any power or duty which is conferred or imposed on the company by virtue of its holding an appointment under Chapter I of Part II of this Act or a licence under Chapter 1A of that Part ; and
(b) in subsection (4), the reference to a power conferred by the company’s articles of association shall be deemed to include a reference to a power conferred by a local statutory provision or by virtue of the company’s holding such an appointment or licence .
Power to deal with charged property
5 (1) Section 15 of the 1986 Act (power to deal with charged property), as applied by this Part of this Schedule, shall have effect as follows.
(2) In subsection (5)(b) (amount to be paid to chargeholder not to be less than open market value), for the words “in the open market by a willing vendor” there shall be substituted the words “ for the best price which is reasonably available on a sale which is consistent with the purposes of the special administration order ”.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duties of special administrator
6 (1) Section 17 of the 1986 Act (duties of administrator), as applied by this Part of this Schedule, shall have effect as follows.
(2) For subsection (2) there shall be substituted the following subsection—
(2) Subject to any directions of the court, it shall be the duty of the special administrator to manage the affairs, business and property of the company in accordance with proposals, as for the time being revised under section 23, which have been prepared for the purposes of that section by him or any predecessor of his.
(3) In subsection (3), paragraph (a) (right of creditors to require the holding of a creditors’ meeting) shall be omitted.
Discharge of order
7 (1) Section 18 of the 1986 Act (discharge and variation of administration order), as applied by this Part of this Schedule, shall have effect as follows.
(2) For subsections (1) and (2) there shall be substituted the following subsection—
(1) An application for a special administration order to be discharged may be made—
(a) by the special administrator, on the ground that the purposes of the order have been achieved; or
(b) by the Secretary of State or, with the consent of the Secretary of State, the Director General of Water Services, on the ground that it is no longer necessary that those purposes are achieved.
(3) In subsection (3), the words “or vary” shall be omitted.
(4) In subsection (4), the words “or varied” and “or variation” shall be omitted and for the words “to the registrar of companies” there shall be substituted—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) ... the words “to the registrar of companies and to the Director General of Water Services”.
Notice of making of order
8 In section 21(2) of the 1986 Act (notice of order to be given by administrator), as applied by this Part of this Schedule, for the words “to the registrar of companies” there shall be substituted—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) ... the words “to the registrar of companies, to the Director General of Water Services”.
Statement of proposals
9 In section 23 of the 1986 Act (statement of proposals), as applied by this Part of this Schedule, for subsections (1) and (2) there shall be substituted the following subsections—
(1) Where a special administration order has been made, the special administrator shall, within 3 months (or such longer period as the court may allow) after the making of the order, send a statement of his proposals for achieving the purposes of the order—
(a) to the Secretary of State and to the Director General of Water Services;
(b) so far as he is aware of their addresses, to all creditors of the company; and
(c) ... to the registrar of companies;
and may from time to time revise those proposals.
(2) If at any time—
(a) the special administrator proposes to make revisions of the proposals for achieving the purposes of the special administration order; and
(b) those revisions appear to him to be substantial,
the special administrator shall, before making those revisions, send a statement of the proposed revisions to the Secretary of State, to the Director General of Water Services, (so far as he is aware of their addresses) to all creditors of the company and... to the registrar of companies.
(2A) Where the special administrator is required by subsection (1) or (2) to send any person a statement before the end of any period or before making any revision of any proposals, he shall also, before the end of that period or, as the case may be, before making those revisions either—
(a) send a copy of the statement (so far as he is aware of their addresses) to all members of the company; or
(b) publish in the prescribed manner a notice stating an address to which members should write for copies of the statement to be sent to them free of charge.
Applications to court
10 (1) Section 27 of the 1986 Act (protection of interests of creditors and members), as applied by this Part of this Schedule, shall have effect as follows.
(2) After subsection (1) there shall be inserted the following subsection—
(1A) At any time when a special administration order is in force the Secretary of State or, with the consent of the Secretary of State, the Director General of Water Services may apply to the High Court by petition for an order under this section on the ground that the special administrator has exercised or is exercising, or proposing to exercise, his powers in relation to the company in a manner which—
(a) will not best ensure the achievement of the purposes of the order; or
(b) without prejudice to paragraph (a) above, involves either a contravention of the conditions of the company’s appointment under Chapter I of Part II of the Water Industry Act 1991 or its licence under Chapter 1A of that Part or of any statutory or other requirement imposed on the company in consequence of that appointment or licence .
(3) In subsection (3) (order not to prejudice or prevent voluntary arrangements or administrator’s proposals), for paragraphs (a) and (b) there shall be substituted the words “ the achievement of the purposes of the order ”.
(4) Subsections (4)(d) and (6) (power of court to order discharge) shall be omitted.
Part II SUPPLEMENTAL
General adaptations and saving
11 (1) Subject to the preceding provisions of this Schedule, references in the 1986 Act (except in sections 8 to 10 and 24 to 26), or in any other enactment passed before 6th July 1989, to an administration order under Part II of that Act, to an application for such an order and to an administrator shall include references, respectively, to a special administration order, to an application for a special administration order and to a special administrator.
(2) Subject as aforesaid and to sub-paragraph (3) below, references in the 1986 Act, or in any other enactment passed before 6th July 1989, to an enactment contained in Part II of that Act shall include references to that enactment as applied by section 24 of this Act or Part I of this Schedule.
(3) Sub-paragraphs (1) and (2) above shall apply in relation to a reference in an enactment contained in Part II of the 1986 Act only so far as necessary for the purposes of the operation of the provisions of that Part as so applied.
(4) The provisions of this Schedule shall be without prejudice to the power conferred by section 411 of the 1986 Act (company insolvency rules), as modified by sub-paragraphs (1) and (2) above.
Interpretation
12 (1) In this Schedule “the 1986 Act” means the Insolvency Act 1986.
(2) In this Schedule, and in any modification of the 1986 Act made by this Schedule, “special administrator”, in relation to a special administration order, means any person appointed in relation to that order for the purposes of section 23(1) of this Act; and in any such modification “special administration order” has the same meaning as in this Act.