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The Guaranteed Minimum Pensions Increase Order 2012
Accordingly, the Secretary of State for Work and Pensions, in exercise of the power conferred by section 109(4) of that Act, makes the following Order.
Citation and commencement
1
This Order may be cited as the Guaranteed Minimum Pensions Increase Order 2012 and shall come into force on 6th April 2012.
Increase of guaranteed minimum pensions
2
For the purposes of section 109(2) and (3) of the Pension Schemes Act 1993, the percentage by which there is to be an increase in the rate of that part of any guaranteed minimum pension which is attributable to earnings factors for the tax years in the relevant period shall be 3 per cent.
Signed by authority of the Secretary of State for Work and Pensions.
Steve Webb
Minister of State,
Department for Work and Pensions
3rd March 2012 |
The Police Act 1997 (Criminal Records) (Jersey) (Amendment) Order 2012
Her Majesty, in exercise of the powers conferred upon Her by section 168 of the Serious Organised Crime and Police Act 2005 , section 66(4) of the Safeguarding Vulnerable Groups Act 2006 and section 118 of the Protection of Freedoms Act 2012 , is pleased, by and with the advice of Her Privy Council, to make the following Order:
Citation and commencement
1
1
This Order may be cited as the Police Act 1997 (Criminal Records) (Jersey) (Amendment) Order 2012.
2
This Order comes into force on the day after the day on which it is registered by the Royal Court of Jersey .
3
Notwithstanding paragraph (2) —
a
any provision extended as specified in paragraph (2) of article 4 and any provision in any Part extended as specified in paragraphs (3) to (6) of article 4 (subject to the modifications specified in Schedules 1 to 5 of this Order) does not have effect in Jersey until the day that provision comes into force in England and Wales;
b
paragraph (4) of Schedule 1 shall have effect in Jersey when the extensions and modifications specified in paragraphs (3) to (6) of article 4 have effect in Jersey.
Interpretation
2
1
In this Order —
“the 2010 Order ” means the Police Act 1997 (Criminal Records) (Jersey) Order 2010 ;
“the 2012 Act ” means the Protection of Freedoms Act 2012;
“Jersey” means the Bailiwick of Jersey and its adjacent territorial sea.
2
The Interpretation (Jersey) Law 1954 shall apply to this Order as if this Order were an enactment for the purposes of that Law.
Amendment of the 2010 Order
3
1
The 2010 Order is amended as follows.
2
In article 1(4), for “upon the ending of the second transitional period” substitute “on such day as the Minister for Home Affairs for Jersey may by Order appoint”.
3
In article 2(1), the definitions of “the first transitional period” and “the second transitional period” are omitted.
4
Articles 6, 7 and 8 are revoked.
5
In paragraph 17(a)(i) of Schedule 1, for “in England and Wales, Northern Ireland, Guernsey or the Isle of Man” substitute “in England and Wales, Northern Ireland, the Isle of Man, Guernsey or Jersey”.
6
Schedule 3 is revoked.
Extension of Part 5 of, and Schedules 9 and 10 to, the Protection of Freedoms Act 2012 to Jersey
4
1
The following provisions of Part 5 (Safeguarding of vulnerable groups, criminal records, etc. ) of the 2012 Act extend to Jersey subject to the modifications specified in Schedule 1.
2
The provisions are —
a
section 79 (restriction on information provided to certain persons);
b
section 80 (minimum age for applicants for certificates or to be registered);
c
section 82 (enhanced criminal record certificates: additional safeguards);
d
section 83 (up-dating certificates);
e
section 84 (criminal conviction certificates: conditional cautions);
f
section 87 (formation and constitution of DBS );
g
section 88 (transfer of functions to DBS and dissolution of ISA);
h
section 89 (orders under section 88).
3
Part 6 of Schedule 9 (Safeguarding of vulnerable groups) to the 2012 Act extends to Jersey subject to the modifications specified in Schedule 2.
4
Part 7 of Schedule 9 (Criminal records) to the 2012 Act extends to Jersey subject to the modifications specified in Schedule 3.
5
Part 5 of Schedule 10 (Safeguarding of vulnerable groups) to the 2012 Act extends to Jersey subject to the modifications specified in Schedule 4.
6
Part 6 of Schedule 10 (Criminal records) to the 2012 Act extends to Jersey subject to the modifications specified in Schedule 5.
Subordinate legislation made under extended provisions
5
Any order or regulations made by the Secretary of State under the provisions extended to Jersey by this Order shall not have effect in Jersey until the order or regulations, having been communicated to the Bailiff of Jersey for registration by the Royal Court, have been so registered; and they shall come into force on the day following registration or the day of coming into force specified in the order or regulations, whichever is the later.
Richard Tilbrook
Clerk of the Privy Council
SCHEDULE 1
Modifications to provisions of Part 5 of the 2012 Act
Article 4(1)
1
In section 79 (restriction on information provided to certain persons) —
a
omit subsection (1);
b
in subsection (3) for “120AB” substitute “120ZA”.
2
In section 80 (minimum age for applicants for certificates or to be registered) —
a
in the heading omit “or to be registered”;
b
omit subsection (2).
3
In section 82 (enhanced criminal record certificates: additional safeguards), in subsection (3)(a) at the end of the inserted definition of “relevant chief officer” add “and the Chief Officer of the States of Jersey Police Force”.
4
After section 84 insert the following section —
Consequential amendments, repeals and revocations
84A
1
Schedule 9 (consequential amendments) has effect.
2
The provisions listed in Schedule 10 are repealed or (as the case may be) revoked to the extent specified.
.
5
In section 87 (formation and constitution of DBS), omit subsection (3).
6
In section 88 (transfer of functions to DBS and dissolution of ISA), for subsection (2) substitute —
2
The Secretary of State may by order transfer to DBS any function of the Secretary of State under, or in connection with, Part 5 of the Police Act 1997 (criminal records).
.
7
In section 89 (orders under section 88) —
a
omit subsections (2) to (4);
b
for subsection (5), substitute —
5
In this section ‘enactment’ does not include an enactment within the meaning of Article 1 of the Interpretation (Jersey) Law 1954.
.
SCHEDULE 2
Modifications to Part 6 of Schedule 9 to the 2012 Act
Article 4(3)
1
Omit paragraphs 36 and 37.
2
Omit paragraphs 40 to 42.
3
Omit paragraphs 43 to 103.
SCHEDULE 3
Modifications to Part 7 of Schedule 9 to the 2012 Act
Article 4(4)
1
For paragraph 107 substitute —
107
In section 116, for subsection (3) substitute —
3
Sections 113B(3) to (11), 113BA to 113BC, 120AC and 120AD shall apply in relation to this section with any necessary modifications.
.
2
In paragraph 109 —
a
in subparagraph (2)(b) for “, 117A” substitute “or 117A”;
b
in subparagraph (3), in the inserted subsection (3A) —
i
for the first reference to the “Secretary of State” substitute “Minister for Home Affairs”;
ii
after “fingerprints” insert “for transmission to the Secretary of State”.
3
In paragraph 110 —
a
for subparagraph (2), substitute —
2
In subsection (1A), after ‘certificate’ insert ‘, or the provision of up-date information under section 116A’.
;
b
for subparagraph (5), substitute —
5
In subsection (4) after ‘certificate’ insert ‘, or the provision of up-date information under section 116A’.
;
c
for subparagraph (6), substitute —
6
In subsection (8), after ‘certificate’ insert ‘, or the provision of up-date information under section 116A’.
.
4
For paragraph 112 substitute —
112
1
Section 120 (registered persons), is amended as follows.
2
In subsection (2), after paragraph (a) insert ‘and’.
.
5
Omit paragraphs 113 and 114.
6
Omit paragraphs 119 to 129.
SCHEDULE 4
Modifications to Part 5 of Schedule 10 to the 2012 Act
Article 4(5)
For Part 5 substitute —
PART 5 SAFEGUARDING OF VULNERABLE GROUPS
Short title Extent of repeal or revocation
Police Act 1997 Section 113BA(2)(b) to (d) Section 113BB(2)(b) to (d)
.
SCHEDULE 5
Modifications to Part 6 of Schedule 10 to the 2012 Act
Article 4(6)
For Part 6 substitute —
PART 6 CRIMINAL RECORDS
Short title Extent of repeal
Police Act 1997 Section 113A(4). In section 113B — (a) in subsection (4), the words “, in the chief officer’s opinion”, (b) subsections (5) and (6), and (c) in subsection (9), the definition of “relevant police force”. In section 119B — (a) subsection (5)(a), and (b) in subsection (5)(c), the words from “or disclosed” to the end. In section 124 — (a) in subsection (4)(b), the words “(5) or”, and (b) subsection (5). In section 124A(1)(c), the words “or registered person”. Safeguarding Vulnerable Groups Act 2006 In Schedule 9, paragraph 14(5) and (6).
. |
The Libya (Asset-Freezing) (Amendment) Regulations 2012
The Treasury make the following Regulations in exercise of the powers conferred by section 2(2) of the European Communities Act 1972:
Citation and commencement
1
These Regulations may be cited as the Libya (Asset-Freezing) (Amendment) Regulations 2012 and come into force at 4.30 p.m. on 11th January 2012.
Amendment of the Libya (Asset-Freezing) Regulations 2011
2
In regulation 3(1A)(a) of the Libya (Asset-Freezing) Regulations 2011 (freezing of funds and economic resources) , omit paragraphs (i) and (ii).
Angela Watkinson
Michael Fabricant
Two of the Lords Commissioners of
Her Majesty’s Treasury
At 11.00 a.m. on 11th January 2012 |
The Community Right to Challenge (Fire and Rescue Authorities and Rejection of Expressions of Interest) (England) Regulations 2012
The Secretary of State for Communities and Local Government makes these Regulations in exercise of the powers conferred by sections 81(2)(d), 83(11) and 235(2)(a) of the Localism Act 2011.
Citation and commencement
1
These Regulations may be cited as the Community Right to Challenge (Fire and Rescue Authorities and Rejection of Expressions of Interest) (England) Regulations 2012 and shall come into force on the day after the day on which they are made.
Interpretation
2
1
In these Regulations “ NHS body” has the meaning defined for the purposes of the National Health Service Act 2006 , apart from in Schedule 15 to that Act.
2
Any reference in these Regulations to a section is a reference to a section of the Localism Act 2011 unless otherwise stated.
Relevant authorities
3
Each of the following bodies in England is specified as a relevant authority for the purposes of section 81(2)(d) —
a
a metropolitan county fire and rescue authority established under section 26 of the Local Government Act 1985 ,
b
the London Fire and Emergency Planning Authority,
c
a fire and rescue authority that is constituted by a scheme under section 2 of the Fire and Rescue Services Act 2004 , or
d
a fire and rescue authority that is constituted by a scheme to which section 4 of that Act applies.
Grounds for rejection of expression of interest
4
The grounds listed in the Schedule are specified for the purposes of section 83(11) (grounds for rejection of expression of interest).
Signed by authority of the Secretary of State for Communities and Local Government
Andrew Stunell
Parliamentary Under Secretary of State
Department for Communities and Local Government
26th June 2012
SCHEDULE
Grounds for rejection of expression of interest
Regulation 4
1
The expression of interest does not comply with one or more of the requirements specified in section 81(1) or in regulations made by the Secretary of State under section 81(1)(b) (duty to consider expression of interest).
2
The relevant body provides information in the expression of interest which, in the opinion of the relevant authority, is in a material particular inadequate or inaccurate.
3
The relevant authority considers, based on the information in the expression of interest, that the relevant body or, where applicable, —
a
any member of the consortium of which it is a part, or
b
any sub-contractor referred to in the expression of interest,
is not suitable to provide or assist in providing the relevant service.
4
The expression of interest relates to a relevant service where a decision, evidenced in writing, has been taken by the relevant authority to stop providing that service.
5
The expression of interest relates to a relevant service —
a
provided, in whole or in part, by or on behalf of the relevant authority to persons who are also in receipt of a service provided or arranged by an NHS body which is integrated with the relevant service, and
b
the continued integration of such services is, in the opinion of the relevant authority, critical to the well-being of those persons.
6
The relevant service is already the subject of a procurement exercise.
7
The relevant authority and a third party have entered into negotiations for provision of the relevant service, which negotiations are at least in part conducted in writing.
8
The relevant authority has published its intention to consider the provision of the relevant service by a body that 2 or more specified employees of that authority propose to establish.
9
The relevant authority considers that the expression of interest is frivolous or vexatious.
10
The relevant authority considers that acceptance of the expression of interest is likely to lead to contravention of an enactment or other rule of law or a breach of statutory duty. |
The Licensing Act 2003 (Premises licences and club premises certificates) (Amendment) Regulations 2012
The Secretary of State, in exercise of the powers conferred by sections 17(5)(aa), 30(2), 34(5), 41A(4), 51(3), 53A(3), 54, 71(6)(aa), 84(4), 86A(4), 87(3), 91, 167(4) and 193 of the Licensing Act 2003 , makes the following Regulations.
Citation and commencement
1
These Regulations may be cited as the Licensing Act 2003 (Premises licences and club premises certificates) (Amendment) Regulations 2012 and come into force on 25th April 2012.
Premises licences and club premises certificates: amendment to advertising and other requirements
2
The Licensing Act 2003 (Premises licences and club premises certificates) Regulations 2005 are amended in accordance with regulations 3 to 11.
Interpretation
3
In regulation 2(1), in the definition of “representations”, for “an interested party or a responsible authority” substitute “a responsible authority or any other person”.
Representations
4
In regulation 22(1) for “An interested party or a responsible authority” substitute “A responsible authority or any other person”.
Advertisement of applications: applicant
5
Before regulation 25, for the heading substitute —
Advertisement of applications by applicant
.
6
In regulation 26(4)(d) for “an interested party or responsible authority” substitute “a responsible authority or any other person”.
7
In regulation 26A(2)(b)(vii) for “an interested party” substitute “a person”.
Advertisement of applications: licensing authority
8
After regulation 26A, insert —
Advertisement of applications by licensing authority
26B
In the case of an application for a premises licence under section 17, for a provisional statement under section 29, to vary a premises licence under section 34 (except where the only variation sought is the inclusion of the alternative licence condition), for a club premises certificate under section 71 or to vary a club premises certificate under section 84, the relevant licensing authority shall advertise the application —
a
for a period of no less than 28 consecutive days starting on the day after the day on which the application was given to the relevant licensing authority;
b
by publication of a notice on its website containing the information set out in regulation 26C.
26C
1
In the case of an application for a premises licence or a club premises certificate, the notice referred to in regulation 26B shall contain a statement of the relevant licensable activities or relevant qualifying club activities as the case may require which it is proposed will be carried on on or from the premises.
2
In the case of an application for a provisional statement, the notice referred to in regulation 26B —
a
shall state that representations are restricted after the issue of a provisional statement; and
b
where known, may state the relevant licensable activities which it is proposed will be carried on on or from the premises.
3
In the case of an application to vary a premises licence or a club premises certificate, the notice referred to in regulation 26B shall briefly describe the proposed variation.
4
In all cases, the notice referred to in regulation 26B shall state —
a
the name of the applicant or club;
b
the postal address of the premises or club premises, if any, or if there is no postal address for the premises a description of those premises sufficient to enable the location and extent of the premises or club premises to be identified;
c
the postal address and, where applicable, the worldwide web address where the register of the relevant licensing authority is kept and where and when the record of the application may be inspected;
d
the date by which a responsible authority or any other person may make representations to the relevant licensing authority;
e
that representations must be made in writing; and
f
that it is an offence knowingly or recklessly to make a false statement in connection with an application and the maximum fine for which a person is liable on summary conviction for the offence.
.
Review of premises licence: representations
9
In regulations 37(b) and 39(b) for “interested parties and responsible authorities” substitute “responsible authorities and any other persons”.
Transfer of premises licence: form
10
For the form in Schedule 6 substitute the form in Schedule 1 to these Regulations.
Review of premises licence or club premises certificate: form
11
For the form in Schedule 8 substitute the form in Schedule 2 to these Regulations.
Lord Henley
Minister of State
Home Office
24th March 2012
SCHEDULE 1
Regulation 10
SCHEDULE 2
Regulation 11 |
The Legal Services Act 2007 (The Law Society) (Modification of Functions) (Amendment) Order 2012
A draft of this Order has been approved by a resolution of each House of Parliament pursuant to section 206(4) and (5) of that Act.
Citation
1
This Order may be cited as the Legal Services Act 2007 (The Law Society) (Modification of Functions) (Amendment) Order 2012.
Commencement
2
This Order comes into force on the day after the day on which it is made.
Interpretation
3
In this Order “the 2011 Order ” means the Legal Services Act 2007 (The Law Society and The Council for Licensed Conveyancers) (Modification of Functions) Order 2011 .
Amendment of article 5 of the 2011 Order
4
1
In the heading to article 5 of the 2011 Order omit “for a transitional period”.
2
In article 5 of the 2011 Order omit “in respect of a transitional period”.
Extended power to make compensation rules: removal of transitional limitation
5
1
The Schedule to the 2011 Order (which extends the power to make compensation rules in respect of acts or omissions of solicitors to include acts or omissions of licensed bodies) is amended as follows.
2
In the heading, omit “for a transitional period”.
3
In paragraph 1, omit the definition of “transitional period”.
4
In paragraph 2 —
a
in sub-paragraphs (a), (b) and (c), omit “which occurs during the transitional period”;
b
for sub-paragraph (d) substitute —
d
the exercise by the Society of any of its powers under Schedule 14 to the Legal Services Act 2007.
.
Signed by authority of the Lord Chancellor
Helen Grant
Parliamentary Under-Secretary of State
Ministry of Justice
29th November 2012 |
Domestic Violence, Crime and Victims (Amendment) Act 2012
Causing or allowing child or vulnerable adult to suffer serious physical harm
1
1
Section 5 of the Domestic Violence, Crime and Victims Act 2004 (offence of causing or allowing the death of a child or vulnerable adult) is amended as follows.
2
In subsection (1) —
a
in paragraph (a), after “dies” insert “or suffers serious physical harm”;
b
in paragraph (d), for “V’s death” substitute “the death or serious physical harm”.
3
In subsection (3)(a), for “V’s death” substitute “the death or serious physical harm”.
4
In subsection (4)(b), for “V’s death” substitute “the death or serious physical harm”.
5
In subsection (7), after “this section” insert “of causing or allowing a person’s death”.
6
After that subsection insert —
8
A person guilty of an offence under this section of causing or allowing a person to suffer serious physical harm is liable on conviction on indictment to imprisonment for a term not exceeding 10 years or to a fine, or to both.
7
The italic heading before section 5 becomes “ Causing or allowing a child or vulnerable adult to die or suffer serious physical harm ”.
8
The amendments made by this section do not apply in relation to any harm resulting from an act that occurs, or so much of an act as occurs, before the commencement of this section.
Evidence and procedure in cases of serious physical harm
2
After section 6 of the Domestic Violence, Crime and Victims Act 2004 insert —
Evidence and procedure in cases of serious physical harm: England and Wales
6A
1
Subsections (3) to (5) apply where a person (“the defendant”) is charged in the same proceedings with a relevant offence and with an offence under section 5 in respect of the same harm (“the section 5 offence”).
2
In this section “relevant offence” means —
a
an offence under section 18 or 20 of the Offences against the Person Act 1861 (grievous bodily harm etc );
b
an offence under section 1 of the Criminal Attempts Act 1981 of attempting to commit murder.
3
Where by virtue of section 35(3) of the Criminal Justice and Public Order Act 1994 a court or jury is permitted, in relation to the section 5 offence, to draw such inferences as appear proper from the defendant’s failure to give evidence or refusal to answer a question, the court or jury may also draw such inferences in determining whether the defendant is guilty of a relevant offence, even if there would otherwise be no case for the defendant to answer in relation to that offence.
4
The charge of the relevant offence is not to be dismissed under paragraph 2 of Schedule 3 to the Crime and Disorder Act 1998 (unless the section 5 offence is dismissed).
5
At the defendant’s trial the question whether there is a case for the defendant to answer on the charge of the relevant offence is not to be considered before the close of all the evidence (or, if at some earlier time the defendant ceases to be charged with the section 5 offence, before that earlier time).
Consequential amendments
3
The Schedule contains consequential amendments.
Short title, commencement and extent
4
1
This Act may be cited as the Domestic Violence, Crime and Victims (Amendment) Act 2012.
2
This Act comes into force on such day as the Secretary of State may by order made by statutory instrument appoint.
3
Subject to subsection (4) , this Act extends to England and Wales.
4
The amendments made by paragraphs 9 to 11 of the Schedule have the same extent as the provisions to which they relate.
SCHEDULE
Consequential amendments
Section 3
Criminal Justice Act 1982
1
In Schedule 1 to the Criminal Justice Act 1982 (offences excluded from early release provisions), in Part 2, in the entry relating to section 5 of the Domestic Violence, Crime and Victims Act 2004, for “the death of a child or vulnerable adult” substitute “a child or vulnerable adult to die or suffer serious physical harm”.
Coroners Act 1988
2
1
The Coroners Act 1988 is amended as follows.
2
In section 16 (adjournment of inquest in event of criminal proceedings), in subsection (1)(a)(iv), for “(causing or allowing the death of a child or vulnerable adult)” substitute “of causing or allowing the death of a child or vulnerable adult”.
3
In section 17 (provisions supplementary to section 16), in subsections (1)(d) and (2)(d), for “(causing or allowing the death of a child or vulnerable adult)” substitute “of causing or allowing the death of a child or vulnerable adult”.
4
The amendments made by this paragraph cease to have effect when the repeal of that Act by Schedule 23 to the Coroners and Justice Act 2009 has effect for all purposes.
Law Reform (Year and a Day Rule) Act 1996
3
In section 2 of the Law Reform (Year and a Day Rule) Act 1996 (restriction on institution of proceedings for fatal offence), in subsection (3)(c), for “(causing or allowing the death of a child or vulnerable adult)” substitute “of causing or allowing the death of a child or vulnerable adult”.
Criminal Justice and Court Services Act 2000
4
1
In Schedule 4 to the Criminal Justice and Court Services Act 2000 (meaning of “offence against a child” for purposes of disqualification orders), in paragraph 3(sb), for “the death of a child or vulnerable adult” substitute “a child or vulnerable adult to die or suffer serious physical harm”.
2
The amendment made by sub-paragraph (1) ceases to have effect when the repeal of that Schedule by Schedule 10 to the Safeguarding Vulnerable Groups Act 2006 has effect for all purposes.
Sexual Offences Act 2003
5
In Schedule 5 to the Sexual Offences Act 2003 (offences for purposes of making sexual offences prevention orders), in paragraph 63A, for “the death of a child or vulnerable adult” substitute “a child or vulnerable adult to die or suffer serious physical harm”.
Criminal Justice Act 2003
6
In Part 1 of Schedule 15 to the Criminal Justice Act 2003 (specified violent offences for purposes of Chapter 5 of Part 12 of that Act), in paragraph 63A, for “the death of a child or vulnerable adult” substitute “a child or vulnerable adult to die or suffer serious physical harm”.
Domestic Violence, Crime and Victims Act 2004
7
The Domestic Violence, Crime and Victims Act 2004 is amended as follows.
8
1
In section 6 (evidence and procedure: England and Wales), in subsection (5), after “section 5” insert “of causing or allowing a person’s death”.
2
The heading of that section becomes “ Evidence and procedure in cases of death: England and Wales ”.
9
In section 8 (evidence and procedure: the Court Martial), after subsection (3) insert —
4
Section 6A(1), (3) and (5) has effect in relation to proceedings before the Court Martial with the following adaptations.
5
A reference to an offence —
a
listed in section 6A(2), or
b
under section 5,
is to be read as a reference to an offence under section 42 of the Armed Forces Act 2006 as respects which the corresponding offence under the law of England and Wales (within the meaning given by that section) is that offence.
6
A reference to the court or jury is to be read as a reference to the court.
10
In section 62(4) (extent of section 8), after “section 6” insert “or 6A”.
Armed Forces Act 2006
11
In section 51 of the Armed Forces Act 2006 (jurisdiction of Service Civilian Court), in subsection (5)(a), for “(causing or allowing death of child etc)” substitute “of causing or allowing the death of a child or vulnerable adult”.
Coroners and Justice Act 2009
12
In paragraph 1 of Schedule 1 to the Coroners and Justice Act 2009 (suspension of investigations where certain criminal charges may be brought), in sub-paragraph (6), in paragraph (d) of the definition of “homicide offence”, for “(causing or allowing the death of a child or vulnerable adult)” substitute “of causing or allowing the death of a child or vulnerable adult”. |
The Export Control (Syria Sanctions) and (Miscellaneous Amendments) Order 2012
The Secretary of State, in exercise of the powers conferred by section 2(2) of the European Communities Act 1972, by paragraph 1A of Schedule 2 to that Act and by sections 1, 2, 3, 4, 5 and 7 of the Export Control Act 2002 , makes the following Order.
Citation, Commencement and Application
1
1
This Order may be cited as the Export Control (Syria Sanctions) and (Miscellaneous Amendments) Order 2012 and comes into force on 5th April 2012.
2
An offence may be committed under this Order —
a
in the United Kingdom by any person;
b
elsewhere by any person who is a United Kingdom person within the meaning of section 11 of the Export Control Act 2002.
Revocations
2
The legislation specified in column 1 of the Schedule is revoked to the extent specified in column 3 of that Schedule.
Interpretation
3
1
In this Order —
“the 1979 Act ” means the Customs and Excise Management Act 1979 ;
“the 2008 Order ” means the Export Control Order 2008 ;
“EU authorisation” means an authorisation or an approval granted under Articles 2(3), 3(2), 4(1) or 5 of the Syria Regulation ;
“the Syria Regulation” means Council Regulation (EU) No 36/2012 at last amended by Council Regulation (EU) 168/2012 concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No 442/2011 , and a reference to an Annex to that Regulation is to be construed as a reference to that Annex as amended from time to time.
2
An expression used both in this Order and in the Syria Regulation has the meaning that it bears in the Regulation.
Offences related to equipment and goods and technology listed in Annex I or in the Common Military List of the European Union
4
A person who is knowingly concerned in an activity, other than the export of goods, prohibited by any of the following Articles of the Syria Regulation with intent to evade a prohibition in those Articles commits an offence and may be arrested —
a
Article 2(1)(a) (prohibition on sale etc. of equipment listed in Annex I to any person, entity or body in Syria, or for use in Syria);
b
Article 3(1)(a) (prohibition on provision of technical assistance related to the goods and technology listed in the Common Military List of the European Union to any person, entity or body in Syria, or for use in Syria);
c
Article 3(1)(b) (prohibition on provision of technical assistance or brokering services related to equipment listed in Annex I to any person, entity or body in Syria, or for use in Syria);
d
Article 3(1)(c) (prohibition on provision of financing or financial assistance related to goods and technology in the Common Military List of the European Union or listed in Annex I to any person, entity or body in Syria, or for use in Syria).
Offences related to equipment, technology and software listed in Annex V
5
A person who is knowingly concerned in an activity, other than the export of goods, prohibited by any of the following Articles of the Syria Regulation with intent to evade a prohibition in those Articles commits an offence and may be arrested —
a
Article 4(1) (prohibition on sale etc. of items listed in Annex V to any person, entity or body in Syria, or for use in Syria);
b
Article 5(1)(a) (prohibition on provision of technical assistance, brokering services related to items listed in Annex V to any person, entity or body in Syria, or for use in Syria);
c
Article 5(1)(b)(prohibition on provision of financing or financial assistance related to items listed in Annex V to any person, entity or body in Syria, or for use in Syria);
d
Article 5(1)(c)(prohibition on provision of any telecommunications or internet monitoring or interception services of any kind to, or for the direct or indirect benefit of, the State of Syria, its Government, its public bodies, corporations and agencies or any person or entity acting on their behalf or at their direction).
Offences related to crude oil and petroleum products listed in Annex IV
6
A person who is knowingly concerned in an activity, other than the import of goods, prohibited by any of the following Articles of the Syria Regulation with intent to evade a prohibition in those Articles commits an offence and may be arrested —
a
Article 6(b) (prohibition on purchase of crude oil or petroleum products which are located in or which originated in Syria);
b
Article 6(c) (prohibition on transporting crude oil or petroleum products if they originate in Syria, or are being exported from Syria to any other country);
c
Article 6(d) (prohibition on provision of financing or financial assistance related to the prohibitions set out in points (a) to (c) of Article 6 of the Syria Regulation).
Offences related to key equipment and technology listed in Annex VI
7
A person who is knowingly concerned in an activity, other than the export of equipment or technology, prohibited by any of the following Articles of the Syria Regulation with intent to evade the prohibitions in those Articles commits an offence and may be arrested —
a
Article 8(1) (prohibition on sale, etc. of equipment and technology listed in Annex VI to any Syrian person, entity or body, or for use in Syria);
b
Article 9(a) (prohibition on provision of technical assistance or brokering services related to equipment and technology listed in Annex VI, to any Syrian person, entity or body, or for use in Syria);
c
Article 9(b) (prohibition on provision of financing or financial assistance related to equipment and technology listed in Annex VI, to any Syrian person, entity or body, or for use in Syria).
Offences related to the movement of Syrian bank notes and coins
8
A person who is knowingly concerned in an activity, other than the export of goods, prohibited by Article 11 of the Syria Regulation (prohibition on sale, etc. of new Syrian denominated banknotes and coinage, printed or minted in the Union, to the Central Bank of Syria) with intent to evade the prohibitions in that Article commits an offence and may be arrested.
Offences related to the movement of gold, precious metals and diamonds listed in Annex VIII
9
A person who is knowingly concerned in an activity, other than the export or the import of goods, prohibited by any of the following Articles of the Syria Regulation with intent to evade the prohibitions in those Articles commits an offence and may be arrested —
a
Article 11a(1)(a) (prohibition on sale, etc. of gold, precious metals and diamonds, as listed in Annex VIII, to the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria, any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them);
b
Article 11a(1)(b) (prohibition to purchase, etc. of gold, precious metals and diamonds, as listed in Annex VIII, from the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria and any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them);
c
Article 11a(1)(c) (prohibition on provision of technical assistance or brokering services or financing or financial assistance related to goods listed in Annex VIII to the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria and any person, entity or body acting on their behalf or at their direction, or any entity or body owned ore controlled by them).
Offences related to equipment and technology listed in Annex VII
10
A person who is knowingly concerned in an activity, other than the export of equipment or technology, prohibited by any of the following Articles of the Syria Regulation with intent to evade the prohibitions in those Articles commits an offence and may be arrested —
a
Article 12(1)(a) (prohibition on sale, etc. of equipment or technology listed in Annex VII to be used in the construction or installation in Syria of new power plants for electricity production);
b
Article 12(1)(b) (prohibition on the provision of financial or technical assistance in relation to any project referred to in point (a) of Article 12(1) of the Syria Regulation).
Offences related to restrictions on financing certain enterprises
11
A person who is knowingly concerned in an activity prohibited by any of the following Articles of the Syria Regulation with intent to evade the prohibitions in those Articles commits an offence and may be arrested —
a
Article 13(1)(a) (prohibition on the granting of any financial loan or credit to any Syrian person, entity or body engaged in certain specified activities);
b
Article 13(1)(b) (prohibition on the acquisition or extension of a participation in any Syrian person, entity or body engaged in certain specified activities);
c
Article 13(1)(c) (prohibition on the creation of a joint venture with any Syrian person, entity or body engaged in certain specified activities).
Offences related to EU authorisations
12
1
If, for the purpose of obtaining an EU authorisation, a person —
a
makes any statement or furnishes any document or information which to that person’s knowledge is false in a material particular; or
b
recklessly makes any statement or furnishes any document or information which is false in a material particular,
that person commits an offence and may be arrested.
2
An EU authorisation granted in connection with the application for which the false statement was made or the false document or information furnished is void from the time it was granted.
3
A person who, having acted under the authority of an EU authorisation, fails to comply with a requirement or condition of the EU authorisation commits an offence and may be arrested, unless —
a
the EU authorisation was modified after the completion of the act authorised; and
b
the alleged failure to comply would not have been a failure had the EU authorisation not been so modified.
Circumvention of prohibitions
13
1
A person commits an offence and may be arrested who participates, knowingly and intentionally, in activities the object or effect of which is (whether directly or indirectly) —
a
to circumvent any of the prohibitions in Articles 2(1)(a), 4(1), 8(1), 11, 11a(1)(a) or 12(1)(a) of the Syria Regulation, or
b
to enable or facilitate the contravention of any such prohibition.
2
A person commits an offence and may be arrested who participates, knowingly and intentionally, in activities the object or effect of which is (whether directly or indirectly) —
a
to circumvent any of the prohibitions in Articles 3(1)(a) to (c), 5(1)(a) to (c), 6(b) to (d), 9(a) or (b), 11a(1)(b) or (c),12(1)(b) or 13(1)(a) to (c) of the Syria Regulation, or
b
to enable or facilitate the contravention of any such a prohibition.
Penalties
14
1
A person guilty of an offence under articles 4(a) or 5(a), 7(a), 8, 9(a), 10(a) or 13(1) of this Order is liable —
a
on summary conviction —
i
in England and Wales, to imprisonment for a term not exceeding six months or to a fine not exceeding the statutory maximum, or to both;
ii
in Scotland or Northern Ireland, to imprisonment for a term not exceeding six months or to a fine not exceeding the statutory maximum, or to both.
b
on conviction on indictment, to imprisonment for a term not exceeding ten years or to a fine, or to both.
2
In relation to an offence committed after the commencement of section 154(1) of the Criminal Justice Act 2003 , for “six months” in paragraph (1)(a)(i) substitute “twelve months”.
3
A person guilty of an offence under articles 4(b) to (d), 5(b) to (d), 6, 7(b) or (c), 9(b) or (c), 10(b), 11, 12 or 13(2) of this Order is liable —
a
on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding the statutory maximum, or to both;
b
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine, or to both.
4
In the case of an offence committed under the 1979 Act in connection with the prohibitions of exportation in Articles 2(1)(a), 4(1), 8(1), 11, 11a(1)(a) and 12(1)(a) of the Syria Regulation, sections 68(3)(b) and 170(3)(b) of the 1979 Act have the effect as if for the words “7 years” there were substituted the words “10 years”.
5
In the case of an offence committed under the 1979 Act in connection with the prohibitions of importation in Articles 6(a) or 11(a)(1)(b) of the Syria Regulation, sections 50(4)(b) and 170(3)(b) of the 1979 Act have the effect as if for the words “7 years” there were substituted the words “10 years”.
Application of the 1979 Act
15
1
Where the Commissioners for Her Majesty’s Revenue and Customs investigate or propose to investigate any matter with a view to determining —
a
whether there are grounds for believing that an offence under this Order has been committed; or
b
whether a person should be prosecuted for such an offence,
the matter shall be treated as an assigned matter.
2
Section 77A of the 1979 Act (provision as to information powers) applies to a person concerned in an activity which, if not authorised by an EU authorisation, would contravene Articles 2 to 5 of the Syria Regulation and accordingly references in section 77A of the 1979 Act to exportation shall be read as including any such activity.
3
Section 138 of the 1979 Act (provision as to arrest of persons) applies to the arrest of a person for an offence under this Order as it applies to the arrest of a person for an offence under the customs and excise Acts.
4
Sections 145 , 146 , 146A , 147 , 148, 150 , 151 , 152 , 154 , and 155 of the 1979 Act (proceedings for offences, mitigation of penalties, proof and other matters) apply in relation to offences and penalties under this Order as they apply in relation to offences and penalties under the customs and excise Acts.
5
“The customs and excise Acts” and “assigned matter” have the same meanings as in section 1 of the 1979 Act.
Review
16
1
Before the end of each review period, the Secretary of State must —
a
carry out a review of articles 1 and 3 to 15 of this Order,
b
set out the conclusions of the review in a report, and
c
publish the report.
2
In carrying out the review the Secretary of State must, so far as is reasonable, have regard to the rules on penalties applicable to infringements of the provisions of the Syria Regulation and the measures taken to implement them in other member States.
3
The report must in particular —
a
set out the objectives intended to be achieved by the rules on penalties applicable to infringements of the provisions of the Syria Regulation established by this Order and the measures taken to implement them,
b
assess the extent to which those objectives are achieved, and
c
assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.
4
“Review period” means —
a
the period of five years beginning with the day on which this Order comes into force, and
b
subject to paragraph (5), each successive period of five years.
5
If a report under this Order is published before the last day of the review period to which it relates, the following review period is to begin with the day on which that report is published.
Mark Prisk
Minister of State for Business and Enterprise
Department for Business, Innovation and Skills
8th March 2012
SCHEDULE
REVOCATIONS
Article 2
(1) (2) (3)
Orders revoked Reference Extent of revocation The Export Control (Uzbekistan) (Amendment) Order 2009 S.I. 2009/1174 The whole Order The Export Control (Syria and Miscellaneous Amendments) Order 2011 S.I. 2011/1304 The whole Order except articles 8 and 9 The Export Control (Belarus) and (Syria Amendment) Order 2011 S.I. 2011/2010 Article 10 |
The Police and Crime Commissioner Elections (Designation of Local Authorities) (No.2) Order 2012
This Order is made by the Secretary of State in exercise of the powers conferred by section 75(1) of the Police Reform and Social Responsibility Act 2011 .
Citation, commencement and interpretation
1
1
This Order may be cited as the Police and Crime Commissioner Elections (Designation of Local Authorities) (No.2) Order 2012.
2
This Order comes into force on the day after the day on which it is made.
3
“Police area” means a police area listed in Schedule 1 to the Police Act 1996 (police areas outside London).
Revocation
2
The Police and Crime Commissioner Elections (Designation of Local Authorities) Order 2012 is revoked.
Designation of police area returning officers
3
1
This article designates for the purposes of section 75(1) of the Police Reform and Social Responsibility Act 2011 (the appropriate officer) a local authority for each police area in England and each police area in Wales.
2
In respect of a police area in England listed in column 1 of Schedule 1, the designated local authority is to be the local authority listed in column 2 of the Schedule opposite to the name of the police area.
3
In respect of a police area in Wales listed in column 1 of Schedule 2, the designated local authority is to be the local authority listed in column 2 of the Schedule opposite to the name of the police area.
Nick Herbert
Minister of State
Home Office
9th August 2012
SCHEDULES
SCHEDULE 1
Appropriate officers: England
Article 3(2)
Column 1
Name of police area in England
Column 2
Local authority for which the head of paid service is the appropriate officer
Avon & Somerset Bristol City Council Bedfordshire Luton Borough Council Cambridgeshire East Cambridgeshire District Council Cheshire Halton Borough Council Cleveland Stockton Borough Council Cumbria South Lakeland District Council Derbyshire Amber Valley Borough Council Devon and Cornwall Cornwall Council Dorset Borough of Poole Council Durham Durham County Council Essex Chelmsford Borough Council Gloucestershire Stroud District Council Greater Manchester Manchester City Council Hampshire Southampton City Council Hertfordshire Broxbourne Borough Council Humberside East Riding of Yorkshire Council Kent Dover District Council Lancashire Blackburn with Darwen Borough Council Leicestershire North West Leicestershire District Council Lincolnshire Lincoln Council Merseyside Liverpool City Council Norfolk Norwich City Council North Yorkshire City of York Council Northamptonshire Kettering Borough Council Northumbria Sunderland City Council Nottinghamshire Rushcliffe Borough Council South Yorkshire Barnsley Metropolitan Borough Council Staffordshire Stoke-on-Trent City Council Suffolk Suffolk Coastal District Council Surrey Guildford Borough Council Sussex Crawley Borough Council Thames Valley Aylesbury Vale District Council Warwickshire Stratford on Avon District Council West Mercia Shropshire Council West Midlands Birmingham City Council West Yorkshire Wakefield Metropolitan District Council Wiltshire Swindon Borough Council
SCHEDULE 2
Appropriate officers: Wales
Article 3(3)
Column 1
Name of police area in Wales
Column 2
Local authority for which the head of paid service is the appropriate officer
Dyfed-Powys Pembrokeshire County Council Gwent Newport City Council North Wales Flintshire County Council South Wales Neath Port Talbot County Borough Council |
The Regional Strategy for the East of England (Revocation) Order 2012
The Secretary of State, in exercise of the powers conferred by section 109(3), (5) and (6) of the Localism Act 2011 , makes the following Order:
Citation, commencement and application
1
1
This Order may be cited as the Regional Strategy for the East of England (Revocation) Order 2012 and shall come into force on 3rd January 2013.
2
This Order applies in relation to England only.
Revocation of Regional Strategy
2
1
The Regional Strategy for the East of England comprises —
a
the regional spatial strategy published on 12 th May 2008 (“the RSS ”) and any policies contained in revisions to the RSS ; and
b
the regional economic strategy published in 2008 .
2
The Regional Strategy for the East of England is revoked.
Revocation of directions preserving structure plans
3
All directions preserving policies contained in structure plans in the area to which the RSS relates are revoked.
Signed by authority of the Secretary of State for Communities and Local Government
Eric Pickles
Secretary of State
Department for Communities and Local Government
6th December 2012 |
The Data Protection (Processing of Sensitive Personal Data) Order 2012
In accordance with section 67(4) of that Act, a draft of this Order was laid before and approved by a resolution of each House of Parliament.
Citation and commencement
1
This Order may be cited as the Data Protection (Processing of Sensitive Personal Data) Order 2012 and comes into force on the day after the day on which it is made.
Circumstances specified for the purposes of processing sensitive personal data
2
1
The circumstances in paragraph (2) are specified for the purposes of paragraph 10 of Schedule 3 to the Data Protection Act 1998.
2
The circumstances are the disclosure of sensitive personal data relating to the events that occurred at Hillsborough Stadium in Sheffield on 15th April 1989 where that disclosure is necessary to give effect to the protocol on disclosure of information published on 15th December 2009 by the Secretary of State for the Home Department for the purposes of the Hillsborough Independent Panel established on that date by that Secretary of State .
McNally
Minister of State
Ministry of Justice
25th July 2012 |
The Health and Social Care Act 2012 (Commencement No.3, Transitional, Savings and Transitory Provisions and Amendment) Order 2012
In accordance with section 307 of that Act , the Secretary of State has consulted the Scottish Ministers.
Citation and interpretation
1
1
This Order may be cited as the Health and Social Care Act 2012 (Commencement No.3, Transitional, Savings and Transitory Provisions and Amendment) Order 2012.
2
In this Order —
“ the Act ” means the Health and Social Care Act 2012;
“the 2006 Act ” means the National Health Service Act 2006 ;
“the Second Commencement Order ” means the Health and Social Care Act 2012 (Commencement No.2 and Transitional, Savings and Transitory Provisions) Order 2012 .
Commencement of provisions
2
1
Insofar as they are not already in force , the following provisions of the Act shall come into force in accordance with this Order.
2
1st November 2012 is the day appointed for the coming into force of —
section 61(2) and Schedule 8 (Monitor);
section 62 (general duties of Monitor), except subsection (6)(b) and except insofar as it relates to Monitor’s functions under Chapter 5 of the 2006 Act;
section 63 (Secretary of State’s guidance on Monitor’s duty under section 62(9) of the Act);
section 64 (general duties of Monitor: supplementary provision);
section 66 (matters Monitor is to have regard to in exercise of its functions), except insofar as it relates to Monitor’s functions under Chapter 5 of the 2006 Act;
section 67 (conflicts between Monitor’s functions), except subsection (3);
section 68(1) to (3) (Monitor’s duty to review regulatory burdens), except insofar as it relates to Monitor’s functions under Chapter 5 of the 2006 Act;
section 70 (information obtained etc. by Monitor);
section 71 (Monitor’s failure to perform functions);
section 94(1) to (6) (standard conditions), only insofar as it relates to the preparation of, and consultation on, draft standard conditions under section 94(7), and publication of those conditions under section 94(9);
section 94(7) to (10) and (11)(b) and (c);
section 95 (special conditions), for the purpose only of enabling Monitor to take steps under section 95 to enable it to include a special condition in the licence of an NHS foundation trust from the date upon which section 81(1) (requirement for health service providers to be licensed) comes into force in relation to NHS foundation trusts;
section 96 (limits on Monitor’s functions to set or modify licence conditions), only insofar as —
it relates to functions under section 96(1)(a) and (b), and
in the case of section 96(2)(a), only insofar as that paragraph applies for the purpose of regulating the price payable for the provision of healthcare services for the purpose of the NHS in accordance with the national tariff to be published by Monitor under section 116(1) of the Act (the national tariff);
section 97 (conditions: supplementary) only insofar as it relates to —
the preparation of, and consultation on, draft standard conditions under section 94(7) of the Act, and publication of those conditions under section 94(9) of the Act, and
special conditions under section 95 of the Act;
section 98(1) and (2) (conditions relating to the continuation of the provision of services etc.), only insofar as it relates to the preparation of, and consultation on, draft standard conditions under section 94(7) of the Act and publication of those conditions under section 94(9) of the Act, and special conditions;
section 98(4) and (7);
section 101(1) and (2) (modification references to the Competition Commission), except insofar as it relates to licence holders and the inclusion or modification of a special condition in their licence;
section 101(5) and (6) only insofar as it relates to references under section 101(2);
section 101(8);
section 103(1) and (2) (standard condition as to transparency of certain criteria), only insofar as it relates to the preparation of, and consultation on, draft standard conditions under section 94(7) of the Act, and publication of those conditions under section 94(9) of the Act;
section 104(1), (2)(a) and (f), (3) and (4)(a) and (d) (power to require documents and information);
section 108(1) to (4) (guidance as to use of enforcement powers), for the purposes only of enabling Monitor to prepare and consult upon the first draft guidance under that section;
section 144(3)(b) and (6) (investment principles and reviews);
section 148 (service of documents), except section 148(6)(a);
section 149 (electronic communications);
section 150(1) and (3) (interpretation and transitional provision in relation to Part 3);
section 156(1) and (2) (annual report and forward plan of NHS foundation trusts);
section 166 (information);
sections 173 to 178 (failure provisions in respect of NHS foundation trusts), except section 173(2);
Schedule 10 (references by Monitor to the Competition Commission);
in Schedule 13 (minor and consequential amendments related to Part 3 of the Act) —
paragraph 9, and
paragraph 10,
and paragraph 8 and section 150(5) insofar as they relate to those paragraphs.
3
1st December 2012 is the day appointed for the coming into force of —
section 222 (the Professional Standards Authority for Health and Social Care);
section 226(2)(b) and (5), and section 226(1) insofar as it relates to those provisions (accountability and governance in relation to the Professional Standards Authority for Health and Social Care);
sections 228 and 229 (establishment and accreditation of voluntary registers); and
section 230(1) to (4) and (6) and Part 3 of Schedule 15 (consequential amendments and savings in relation to the Professional Standards Authority for Health and Social Care).
4
1st February 2013 is the day appointed for the coming into force of —
section 9 (the NHS Commissioning Board), only insofar as it inserts section 1H(3)(a) into the 2006 Act;
section 10 (clinical commissioning groups), only insofar as it inserts section 1I(2) into the 2006 Act, and only insofar as the function conferred by that subsection relates to the provision of services for the purposes of the health service in England on or after 1st April 2013;
section 13(2) to (5) (duties of clinical commissioning groups as to commissioning certain health services) and section 13(1) insofar as it relates to those subsections, only insofar as it relates to the provision of services for the purposes of the health service in England on or after 1st April 2013;
section 13(8);
section 14 (power of clinical commissioning groups to commission certain health services), only insofar as that function relates to the provision of services for the purposes of the health service in England on or after 1st April 2013;
section 15 (power to require Board to commission certain health services);
section 17(10) (provision of vehicles for disabled persons) only insofar as it relates to the provision of services for the purposes of the health service in England on or after 1st April 2013;
section 20 (regulations as to the exercise of functions by the Board or clinical commissioning groups);
section 23 (the NHS Commissioning Board: further provision), only insofar as it inserts sections 13O and 13Q into the 2006 Act;
section 26 (clinical commissioning groups: general duties etc.), only insofar as it inserts sections 14Z2 and 14Z7(1), (6) and (7) into the 2006 Act;
section 40(1) to (4) and (8), only insofar as it relates to the provision of after-care services for the purposes of the health service in England on or after 1st April 2013;
section 78 (guidance);
in Schedule 4 (amendments of the 2006 Act) —
paragraph 2(3), and paragraph 2(1) insofar as it relates to that provision;
paragraph 9, only insofar as it relates to commissioning arrangements that are to take effect on or after 1st April 2013,
and section 55(1) insofar as it relates to those paragraphs;
in Schedule 21 (amendments relating to relationships between the health services) —
paragraph 2(3)(a) to (c), (e) and (h) (amendment of the National Health Service (Scotland) Act 1978), and paragraph 1 insofar as it relates to those provisions,
paragraph 6 (amendment of the National Health Service Act 2006), and paragraph 5 insofar as it relates to that paragraph,
paragraph 12 (amendment of the National Health Service (Wales) Act 2006) insofar as it relates to paragraphs 13(c) to (f), 18 to 21, 33 and 38(1)(a) and (b) and (2),
paragraphs 13(c) to (f),
paragraphs 18 to 21,
paragraph 33,
paragraph 38(1)(a) and (b) and (2),
paragraph 43(2)(b) (amendment of the Health and Personal Social Services (Northern Ireland) Order 1991), except insofar as it inserts sub-paragraph (gf) into article 8(2) of the Health and Personal Social Services (Northern Ireland) Order 1991 , and paragraph 43(1) insofar as it relates to that provision,
paragraph 43(2)(c) to (e) and (3), and paragraph 43(1) insofar as it relates to that provision,
and section 297 insofar as it relates to those paragraphs.
Transitory modification in respect of the commencement of section 64 of the Act (supplementary provision as to the general duties of Monitor)
3
Until section 9 of the Act (the National Health Service Commissioning Board) comes fully into force, section 64(4) of the Act is to be read as if the words “, except” to the end were omitted.
Transitory modification in respect of the commencement of section 67 of the Act (conflicts between Monitor’s functions)
4
Until the commencement of sections 111 and 113 of the Act (imposition of licence conditions on NHS foundations trusts during transitional period), section 67(2)(a) of the Act is to be read as if “or under sections 111 and 113 of this Act (imposition of licence conditions on NHS foundation trusts during transitional period)” were omitted.
Transitory modification in respect of the commencement of section 71 of the Act (Monitor’s failure to perform functions)
5
Until the commencement of sections 72 and 73 of the Act (functions under the Competition Act 1998 and Part 4 of the Enterprise Act 2002), section 71 of the Act is to be read as if “, other than a function it has by virtue of section 72 or 73,” were omitted.
Transitory modification in respect of the commencement of section 78 of the Act (guidance)
6
Until the commencement of section 72 of the Act, section 78(1) of the Act is to be read as if “may” is substituted for “must”.
Transitory modification in respect of the commencement of section 95 of the Act (special conditions)
7
Until section 95 of the Act comes fully into force, a reference in that section to “the applicant” is to be read as a reference to “the NHS foundation trust”.
Transitory modification in respect of the commencement of section 98 of the Act (conditions relating to the continuation of the provision of services etc.)
8
Until the commencement of section 81(1) of the Act (requirement for health service providers to be licensed), section 98(4) of the Act is to be read as if “may” is substituted for “must”.
Transitory modifications in respect of the commencement of sections 101 (power to require documents and information) and 104 (modification references to the Competition Commission) of the Act
9
Until the commencement of section 85 of the Act (application for licence) a reference in the following sections to “applicant” is to be read as a reference to “NHS foundation trust” —
a
section 101(1)(b), (2) and (5); and
b
section 104(2)(a).
Saving provision in respect of the commencement of section 166 of the Act (information)
10
Until section 81(1) of the Act (requirement for health service providers to be licensed) comes fully into force, section 48(1)(b) and (2) of the 2006 Act (information), as in force before the substitution made by section 166 of the Act, is to continue to have effect.
Transitory modification in respect of the commencement of paragraph 13 of Schedule 8 to the Act (Monitor)
11
Until the commencement of —
a
section 145 of the Act (borrowing), paragraph 13 of Schedule 8 is to be read as if “section” were substituted for “sections”, and as if “145 and” and “power to borrow for exercising functions in relation to financial assistance and” were omitted; and
b
section 146 of the Act (shortfall; or excess of available funds, etc.), paragraph 13 of Schedule 8 is to be read as if “section” were substituted for “sections”, and as if “and 146” and “and power of Secretary of State to lend etc.” were omitted.
Saving provision in respect of the commencement of paragraph 10 of Schedule 13 to the Act
12
Until section 62 of the Act (Monitor’s general duties) comes fully into force, and except where the saving provision in paragraph 10(2) of Schedule 13 applies, section 32 of the 2006 Act (Monitor’s general duties) continues to have effect in relation to Monitor’s functions under Chapter 5 of the 2006 Act (NHS foundation trusts).
Transitory modification in respect of the commencement of paragraph 38 of Schedule 21 to the Act
13
Until the commencement of section 33 of the Act (abolition of Strategic Health Authorities), the definition of “NHS body” in section 206(1) of the National Health Service (Wales) Act 2006 is to be read as if it included a reference to a Strategic Health Authority.
Transitory modifications in respect of the commencement of paragraph 43(3) of Schedule 21 to the Act
14
From 1st February 2013 until commencement of —
a
section 232 of the Act (the National Institute for Health and Care Excellence), article 8(10) of the Health and Personal Social Services (Northern Ireland) Order 1991 has effect as if the reference to sub-paragraph (ia), as inserted by paragraph 43(2) of Schedule 21 to the Act, were omitted;
b
section 252 of the Act (the Health and Social Care Information Centre), article 8(10) of the Health and Personal Social Services (Northern Ireland) Order 1991 has effect as if the reference to sub-paragraph (ib), as inserted by paragraph 43(2) of Schedule 21 to the Act, were omitted; and
c
section 179 of the Act (abolition of NHS trusts in England), article 8(10) of the Health and Personal Social Services (Northern Ireland) Order 1991 has effect as if the reference to sub-paragraph (gf), as inserted by paragraph 43(2) of Schedule 21 to the Act, was a reference to sub-paragraph (ge), as inserted by that paragraph.
Amendment of article 10 of the Second Commencement Order
15
In article 10 of the Second Commencement Order (saving provision and transitory modification in relation to the commencement of paragraph 1 of Schedule 4 to the Act) —
a
in paragraph (2), at the beginning insert “Subject to paragraph (2A)”;
b
in paragraph (2)(b), at the end insert —
except insofar as —
i
that contract is entered into on or after 1st February 2013, and
ii
under that contract, the services are to be provided as part of the health service on or after 1st April 2013.
;
c
at the end insert —
2A
From 1st February 2013 until the commencement of section 34 of the Act, the power of a clinical commissioning group under section 2 of the 2006 Act includes the power to enter into a commissioning contract under which services are to be provided as part of the health service on or after 1st April 2013.
.
Signed by authority of the Secretary of State for Health.
Anna Soubry
Parliamentary Under-Secretary of State,
Department of Health
22nd October 2012 |
The Police (Amendment No. 4) Regulations 2012
In accordance with section 63(3) of that Act, the Secretary of State has supplied a draft of regulations 3 and 4 to the Police Advisory Board for England and Wales and taken into consideration their representations.
Citation and commencement
1
These Regulations may be cited as the Police (Amendment No. 4) Regulations 2012 and come into force on 22nd November 2012.
Interpretation
2
In these Regulations, “the 2003 Regulations ” means the Police Regulations 2003 .
Part-time appointments: re-appointment as full-time member
3
1
Regulation 5 of the 2003 Regulations (part-time appointments) is amended as follows.
2
In paragraph (4) —
a
in sub-paragraph (a), for “one month” substitute “2 months”;
b
in sub-paragraph (b), for “3 months” substitute “4 months”.
Fixed term appointments of senior officers
4
1
Regulation 11 of the 2003 Regulations (appointment of senior officers) is amended as follows.
2
In paragraph (2A), for “(2B)” substitute “(2B) to (2D)”.
3
In paragraph (2B), omit all of the words after “each of a maximum of one year”.
4
After paragraph (2B) insert —
2C
The reference in paragraph (2B) to the person who made the appointment shall have effect —
a
in the case of an appointment of a deputy chief constable under section 11A of the Act , as a reference to the chief constable; and
b
in the case of an appointment of an Assistant Commissioner under section 9F of the Act or a Deputy Assistant Commissioner under section 9FA of the Act , as a reference to the Commissioner of Police of the Metropolis.
2D
Where an appointment for a fixed term is due to expire at a time when the person appointed is acting as chief officer, the appointment shall not expire until —
a
the date when the person ceases to act as chief officer, if the reason for the cessation is that the person is appointed as chief officer; or
b
six months after the date when the person ceases to act as chief officer, if the reason for the cessation is that another person is appointed as chief officer.
2E
Where sub-paragraph (b) of paragraph (2D) applies, the chief officer shall notify the person appointed, not less than three months before the end of the six month period mentioned in that sub-paragraph, as to whether or not the appointment is to be extended in accordance with paragraph (2B) (and, if it applies, paragraph (2C)).
2F
For the purposes of paragraph (2D) a person is acting as chief officer when the person is —
a
exercising or performing functions of a chief constable in accordance with section 41(1)(a) of the Police Reform and Social Responsibility Act 2011;
b
exercising powers or duties of the Commissioner of Police of the Metropolis in accordance with section 44(1)(a) or (b) of that Act; or
c
exercising duties of the Commissioner of Police for the City of London in accordance with section 25 of the City of London Police Act 1839 .
.
5
In paragraph (3), for “Paragraph (2) is” substitute “Paragraphs (2) and (2D) are”.
Days treated as public holidays
5
1
Regulation 26 of the 2003 Regulations (public holidays and rest days) is amended as follows.
2
In paragraph (1), for sub-paragraphs (a) and (b) substitute —
a
public holidays;
b
days which a member of a police force has elected to treat as public holidays; or
c
rostered rest days,
.
Replacement allowance: increases
6
1
Paragraph 7 of Schedule 3 to the 2003 Regulations (variation and termination of replacement allowance) is amended as follows.
2
In sub-paragraph (3), after “the replacement allowance in question is” insert “not”.
Damian Green
Minister of State
Home Office
29th October 2012 |
The Traffic Management (London Borough of Havering) Permit Scheme Order 2012
The Secretary of State for Transport having approved the London Borough of Havering Permit Scheme under section 34(2) of the Traffic Management Act 2004 makes this Order in exercise of the powers conferred by sections 34(4) and (5) and 39(2) of that Act.
Citation and commencement
1
This Order may be cited as the Traffic Management (London Borough of Havering) Permit Scheme Order 2012 and comes into force on 1st April 2013.
Interpretation
2
In this Order —
“the London Borough of Havering Permit Scheme” means the permit scheme set out in the Schedule in terms commonly known as the “London Permit Scheme” which was prepared and submitted to the Secretary of State by the London Borough of Havering and has been approved by the Secretary of State; and
“specified streets” has the meaning given by regulation 8 of the Traffic Management Permit Scheme (England) Regulations 2007 .
Commencement of Permit Scheme
3
The London Borough of Havering Permit Scheme comes into effect on 1st April 2013.
Application of Part 8 of the Traffic Management Permit Scheme (England) Regulations 2007
4
Part 8 of the Traffic Management Permit Scheme (England) Regulations 2007 shall apply to the specified streets within the London Borough of Havering Permit Scheme.
Signed by authority of the Secretary of State for Transport
Norman Baker
Parliamentary Under Secretary of State
Department for Transport
10th December 2012
SCHEDULE
THE LONDON BOROUGH OF HAVERING PERMIT SCHEME
Article 2 |
The West Lindsey (Electoral Changes) Order 2012
The Local Government Boundary Commission for England has decided to give effect to the recommendations for electoral changes and in exercise of the powers conferred by section 59(1) of the 2009 Act makes the following Order:
Citation and commencement
1
1
This Order may be cited as the West Lindsey (Electoral Changes) Order 2012.
2
This Order comes into force —
a
for the purpose of proceedings preliminary or relating to the elections of councillors, on 15th October 2014;
b
for all other purposes, on the ordinary day of election of councillors in 2015.
Interpretation
2
In this Order —
“map” means the map marked “Map referred to in the West Lindsey (Electoral Changes) Order 2012”, of which prints are available for inspection at the principal office of the Local Government Boundary Commission for England;
“ordinary day of election of councillors” has the meaning given by section 37 of the Representation of the People Act 1983 .
Wards of the district of West Lindsey and number of councillors
3
1
The existing wards of the district of West Lindsey are abolished.
2
The district is divided into twenty wards each bearing a name listed in column 1 of the Schedule.
3
Each ward comprises the area designated on the map by reference to the name of the ward.
4
The number of councillors to be elected for each ward is the number specified in relation to that ward in column 2 of the Schedule.
5
Where a boundary is shown on the map as running along a road, railway line, footway, watercourse or similar geographical feature, it is to be treated as running along the centre line of the feature.
Wards of the parish of Gainsborough and number of councillors
4
1
The existing wards of the parish of Gainsborough are abolished.
2
The parish is divided into three wards named respectively —
a
Gainsborough East;
b
Gainsborough North;
c
Gainsborough South-West.
3
Each ward comprises the area designated on the map by reference to the name of the ward.
4
Seven councillors are to be elected for Gainsborough North ward.
5
Six councillors are to be elected for Gainsborough East ward.
6
Five councillors are to be elected for Gainsborough South-West ward.
Sealed with the seal of the Local Government Boundary Commission for England on the 3rd day of January 2012
Max Caller
Chairman
Local Government Boundary Commission for England
3rd January 2012
SCHEDULE
Names of district wards and numbers of councillors
Article 3
1 2 Name of District Ward Number of Councillors
Bardney 1 Caistor and Yarborough 2 Cherry Willingham 3 Dunholme and Welton 3 Gainsborough East 3 Gainsborough North 3 Gainsborough South-West 2 Hemswell 1 Kelsey Wold 1 Lea 1 Market Rasen 3 Nettleham 2 Saxilby 2 Scampton 1 Scotter and Blyton 3 Stow 1 Sudbrooke 1 Torksey 1 Waddingham and Spital 1 Wold View 1 |
The Syria (Restrictive Measures) (Overseas Territories) Order 2012
Her Majesty, in exercise of the powers conferred on Her by section 112 of the Saint Helena Act 1833 , the British Settlements Acts 1887 and 1945 , and all of the other powers enabling Her to do so, is pleased, by and with the advice of Her Privy Council, to order as follows:
Citation, commencement and application
1
1
This Order may be cited as the Syria (Restrictive Measures) (Overseas Territories) Order 2012 and comes into force on 12th July 2012.
2
This Order extends to the territories listed in Schedule 1.
Interpretation
2
1
In this Order, unless otherwise provided —
“aircraft” means a fixed wing, swivel wing, rotary wing, tilt rotor or tilt wing airborne vehicle or helicopter;
“assistance” means any form of assistance including advice, training, technical assistance, financing and financial assistance, investment, brokering or other services, and the transfer of financial resources and services;
“branch”, in relation to a financial or credit institution, means a place of business which forms a legally dependent part of a financial or credit institution and which carries out directly all or some of the transactions inherent in the business of financial or credit institutions;
“brokering services” means —
the negotiation or arrangement of transactions for the purchase, sale or supply of goods and technology or of financial and technical services, including from a third country to any other third country, or
the selling or buying of goods and technology or of financial and technical services, including where they are located in third countries for their transfer to another third country;
“commander”, in relation to an aircraft, means the member of the flight crew designated as commander of the aircraft by the operator thereof, or, failing such a person, the person who is for the time being the pilot in command of the aircraft;
“contract or transaction” means any transaction of whatever form and whatever the applicable law, whether comprising one or more contracts or similar obligations made between the same or different parties, and for this purpose “contract” includes a bond, guarantee or indemnity, (particularly a financial guarantee or financial indemnity) and credit, whether legally independent or not, as well as any related provision arising under or in connection with the transaction;
“the Council Regulation ” means Council Regulation ( EU ) No 36/2012 adopted by the Council of the European Union on 18th January 2012 concerning restrictive measures in view of the situation in Syria and repealing Regulation EU No 442/2011, and a reference to an Annex to that Regulation is to be construed as a reference to that Annex as amended from time to time;
“designated person” means any person, entity or body listed in Annex II or IIa to the Council Regulation;
“document” includes information recorded in any form, and in relation to information recorded otherwise than in legible form, references to its production include references to producing a copy of the information in legible form;
“economic resources” means assets of every kind, whether tangible or intangible, movable or immovable, which are not funds but may be used to obtain funds, goods or services;
“export” includes shipment as stores;
“exportation” in relation to any ship or aircraft, includes the taking out of the Territory of the ship or aircraft, whether or not it is conveying goods or passengers, or moving under its own power; and cognate expressions are to be construed accordingly;
“financing and financial assistance” in relation to the provision of assistance related to restricted goods includes in particular grants, loans and export credit insurance, as well as insurance and reinsurance, for any sale, supply, transfer or export of such goods;
“funds” means financial assets and benefits of every kind, including (but not limited to) —
cash, cheques, claims on money, drafts, money orders and other payment instruments,
deposits with relevant institutions or other entities, balances on accounts, debts and debt obligations,
publicly and privately traded securities and debt instruments, including stocks and shares, certificates representing securities, bonds, notes, warrants, debentures and derivatives contracts,
interest, dividends or other income on or value accruing from or generated by assets,
credit, rights of set-off, guarantees, performance bonds or other financial commitments,
letters of credit, bills of lading, bills of sale,
documents providing evidence of an interest in funds or financial resources, or
any other instrument of export financing;
“frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a listed person;
“Gazette” means the official gazette of the Territory or any other form in which official information is normally made available in the Territory;
“goods” includes items, materials and equipment;
“Governor” means the Governor or other officer administering the Government of the Territory;
“insurance” means an undertaking or commitment where a natural or legal person is obliged, in return for a payment, to provide another person, in the event of materialisation of a risk, with an indemnity or a benefit as determined by the undertaking or commitment;
“master”, in relation to a ship, includes any persons (other than a pilot) for the time being in charge of the ship;
“officer”, in relation to a body corporate, means a director, manager, secretary or other similar officer of the body corporate or any person who has purported to act in any such capacity;
“operator”, in relation to an aircraft or vehicle, means the person for the time being having the management of the aircraft or vehicle;
“owner”, in relation to a ship, where the owner is not the operator, means the operator and any person to whom it is chartered;
“person” means any natural or legal person, entity or body;
“a person to whom this Order applies” means any person in the Territory, or any person elsewhere who is —
a British citizen, a British overseas territories citizen, a British Overseas citizen, a British subject, a British National (Overseas) or a British protected person and is ordinarily resident in the Territory; or
a body incorporated or constituted under the law of any part of the Territory;
“prohibited goods” means any goods, software or technology, including restricted goods, the sale, supply, transfer, export or purchase of which is prohibited by articles 4 to 16;
“reinsurance” means the activity consisting in accepting risks ceded by an insurance undertaking or by another reinsurance undertaking or, in the case of the association of underwriters known as Lloyd’s, the activity consisting in accepting risks, ceded by any member of Lloyd’s, by an insurance or reinsurance undertaking other than the association of underwriters known as Lloyd’s;
“relevant institution” means —
any person who may lawfully accept deposits in or from within the Territory by way of a business;
any society established lawfully in the Territory whose principal purpose is the making of loans secured on residential property where such loans are funded substantially by its members;
“restricted goods” means the goods, software and technology specified in Schedule 2 to the Export Control Order 2008 and, in so far as they are not covered in that Schedule, the goods, software and technology specified in the Common Military List of the European Union ;
“ship” includes every description of vessel used in navigation;
“shipment” includes loading into an aircraft;
“stores” means goods for use in a ship or aircraft and includes fuel and spare parts and other articles of equipment, whether or not for immediate fitting, but excludes any goods for use in a ship or aircraft as merchandise for sale by retail to persons carried in them;
“Syrian person, entity or body” means —
the State of Syria or any public authority of the State of Syria,
any natural person in, or resident in, Syria,
any legal person, entity or body having its registered office in Syria,
any legal person, entity or body, inside or outside Syria, owned or controlled directly or indirectly by one or more of the persons or bodies mentioned in paragraphs (a) to (c);
“technical assistance” means any technical support related to repairs, development, manufacture, assembly, testing, maintenance, or any other technical service, and may take forms such as instruction, advice, training, transmission of working knowledge or skills or consulting services, including verbal forms of assistance;
“vehicle” means land transport vehicle.
2
For the purpose of the definition of “relevant institution” in paragraph (1) —
a
the activity of accepting deposits has the meaning given in any relevant order made under section 22 of the Financial Services and Markets Act 2000 , and
b
a person is not regarded as accepting deposits by way of business if —
i
the person does not hold himself or herself out as accepting deposits on a day to day basis, and
ii
any deposits which the person accepts are accepted only on particular occasions, whether or not involving the issue of any securities.
3
In determining for the purposes of paragraph (2)(b)(ii) whether deposits are accepted only on particular occasions, regard is to be had to the frequency of those occasions and to any characteristics distinguishing them from each other.
4
In the application of this Order to any of the territories listed in Schedule 1, the expression “the Territory” in this Order means that territory.
5
An expression used both in this Order and in the Council Regulation has the meaning that it bears in the Council Regulation.
Publicly available list of designated persons and restricted goods
3
1
The Governor must publish in the Gazette a list of —
a
designated persons, and
b
restricted goods.
2
A list published under paragraph (1) must be updated as necessary.
Restricted and prohibited goods
Supply of restricted goods to Syria
4
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
supplies or delivers, or agrees to supply or deliver, restricted goods to any person or destination in Syria, or
b
does anything else calculated to promote the supply or delivery of restricted goods to any person or destination in Syria.
2
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this article.
Exportation of restricted goods to Syria
5
1
A person to whom this Order applies (“P”) commits an offence if P knowingly exports, or attempts to export, restricted goods from the Territory —
a
to any destination in Syria, or
b
to any other destination for the purpose of delivery (directly or indirectly) to, or to the order of, any person in Syria.
2
Restricted goods which are exported, or attempted to be exported, in contravention of paragraph (1) may be forfeited, disposed of or transferred as appropriate.
3
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this article.
4
If, but for this paragraph, P would be guilty of an offence under this article and article 4, P is not guilty of an offence under this article.
Provision of assistance related to the supply, sale, transfer, manufacture, maintenance or use of restricted goods
6
1
A person to whom this Order applies (“P”) commits an offence if P knowingly provides (directly or indirectly) assistance relating to —
a
the sale, supply or transfer of restricted goods to a person or destination in Syria, or
b
the maintenance, manufacture or use of restricted goods by a person in Syria.
2
Paragraph (1) does not apply if the person is acting under the authority of a licence granted by the Governor under this article.
Use of ships, aircraft and vehicles for carriage of prohibited goods to Syria
7
1
A person falling within paragraph (2) (“P”) commits an offence if P knowingly —
a
uses a relevant ship or aircraft for the carriage of prohibited goods, or
b
uses any vehicle within the Territory for the carriage of prohibited goods,
if the carriage is, or forms part of, carriage from any place outside Syria to any destination in Syria.
2
The following persons fall within this paragraph —
a
a person to whom this Order applies;
b
in the case of a ship registered in the Territory, the owner or master of the ship;
c
in the case of any other ship, the person to whom the ship is for the time being chartered if the person is a person to whom this Order applies;
d
in the case of an aircraft registered in the Territory, the operator or commander of the aircraft;
e
in the case of any other aircraft, the person to whom the aircraft is for the time being chartered if the person is a person to whom this Order applies; or
f
in the case of a vehicle, the operator or driver of the vehicle.
3
For the purposes of paragraph (1)(a), “a relevant ship or aircraft” is —
a
a ship or aircraft registered in the Territory, or
b
any other ship or aircraft that is for the time being chartered to a person to whom this Order applies.
4
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this Order.
5
This article is without prejudice to any other provision of law prohibiting or restricting the use of ships, aircraft or vehicles.
Licences granted under articles 4 to 7
8
The Governor may grant a licence under articles 4, 5, 6 or 7 in respect of —
a
supplies and technical assistance intended solely for the support of, or use by, the United Nations Disengagement Observer Force;
b
the sale, supply or delivery of non-lethal military equipment or of equipment which might be used for internal repression but which is intended solely for humanitarian or protective use, or for institution building programmes of the United Nations and the European Union, or for European Union and United Nations crisis management operations;
c
the sale, supply or delivery of non-combat vehicles which have been manufactured or fitted with materials to provide ballistic protection and which are intended solely for humanitarian or protective use of personnel of the European Union and its Member States in Syria;
d
the provision of technical assistance or brokering services related to the equipment or programmes or operations referred to in paragraphs (a) to (c);
e
the provision of financing and financial assistance related to the equipment or programmes or operations referred to in paragraphs (a) to (c); or
f
the sale, supply or delivery of protective clothing, including flak jackets and military helmets temporarily exported to Syria by United Nations personnel, personnel of the European Union or its Member States, representatives of the media and humanitarian and development work and associated personnel for their personal use only.
Further export and import restrictions relating to listed goods etc.
Offences related to equipment, goods and technology listed in Annex I, IA or IX
9
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
sells, supplies, transfers or exports (directly or indirectly) equipment which might be used for internal repression listed in Annex I to the Council Regulation to persons in Syria or for use in Syria;
b
sells, supplies, transfers or exports (directly or indirectly) equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression listed in Annex IA to the Council Regulation to persons in Syria or for use in Syria;
c
sells, supplies, transfers or exports (directly or indirectly) equipment, goods or technology which might be used for internal repression or for the manufacture and maintenance of products which might be used for internal repression listed in Annex IX to the Council Regulation to persons in Syria or for use in Syria;
d
provides (directly or indirectly) technical assistance or brokering services related to the equipment, goods or technology which might be used for internal repression listed in Annex I or IA of the Council Regulation, to persons in Syria or for use in Syria;
e
provides (directly or indirectly) technical assistance or brokering services related to the equipment, goods or technology listed in Annex IX to the Council Regulation, or related to the provision, manufacture, maintenance or use of goods included in that Annex, to persons in Syria or for use in Syria; or
f
provides (directly or indirectly) financing or financial assistance related to the goods and technology listed in Annex I, IA or IX to the Council Regulation or for any provision of related technical assistance, brokering services or other services to persons in Syria or for use in Syria.
2
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this article.
3
Paragraph (1)(a) does not apply to protective clothing, including flak jackets and helmets, temporarily exported to Syria by United Nations personnel, personnel of the European Union or its Member States, representatives of the media or humanitarian and development workers and associated persons exclusively for their personal use.
4
The Governor may grant a licence under this article to authorise a transaction —
a
in relation to equipment referred to in paragraph (1)(a), if it is intended only for humanitarian or protective use;
b
in relation to equipment, goods and technology referred to in paragraph (1)(b), if the goods or technology are for food, agricultural, medical or other humanitarian purposes;
c
in relation to —
i
equipment, goods or technology referred to in paragraph (1)(c),
ii
technical assistance or brokering services referred to in paragraph (1)(e), or
iii
financing or financial assistance referred to in paragraph (1)(f) and related to the goods and technology listed in Annex IX,
unless the Governor reasonably suspects that any such transaction is or may be intended to contribute to internal repression or for the manufacture and maintenance of products which might be used for internal repression; or
d
in relation to —
i
technical assistance referred to in paragraph (1)(d), or
ii
financing or financial assistance referred to in paragraph (1)(f) and related to the equipment, goods or technology listed in Annex I or IA,
if one of the conditions in paragraph (5) is met.
5
The conditions referred to in paragraph (4)(d) are that the technical assistance, financing or financial assistance is —
a
technical assistance intended solely for the support of the United Nations Disengagement Observer Force,
b
related to non-lethal military equipment, or equipment which might be used for internal repression, intended solely for humanitarian purposes or protective use or for institution building programmes of the UN and the European Union, or for European Union or UN crisis management operations, or
c
non-combat vehicles fitted with materials to provide ballistic protection, intended solely for the protective use of personnel of the European Union and its Member States in Syria.
Offences related to equipment, technology and software listed in Annex V
10
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
sells, supplies, transfers or exports (directly or indirectly) equipment, technology or software listed in Annex V to the Council Regulation to persons in Syria or for use in Syria;
b
provides (directly or indirectly) technical assistance or brokering services related to the equipment, technology or software listed in Annex V, or related to the provision, manufacture, maintenance and use of equipment, technology or software listed in that Annex, or to the provision, installation, operation or updating of any software listed in that Annex, to persons in Syria or for use in Syria;
c
provides (directly or indirectly) financing or financial assistance related to the equipment, technology or software listed in Annex V, to persons in Syria or for use in Syria; or
d
provides any telecommunication or internet monitoring or interception services of any kind to, or for the direct or indirect benefit of, the State of Syria, its Government, its public bodies, corporations and agencies or any person or entity acting on their behalf or at their direction.
2
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this article.
3
The Governor must not grant a licence for an activity mentioned in paragraph (1), and may annul, suspend, modify or revoke a licence that has already been so granted, if the Governor reasonably believes that the equipment, technology or software is or may be intended for use in connection with —
a
the monitoring, by or on behalf of the Syrian regime, of internet or telephone communications in Syria, or
b
the interception, by or on behalf of the Syrian regime, of internet or telephone communications in Syria.
Offences related to crude oil and petroleum products listed in Annex IV
11
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
imports crude oil or petroleum products listed in Annex IV to the Council Regulation into the Territory if the products originated in Syria, or have been exported from Syria;
b
purchases crude oil or petroleum products listed in Annex IV which are located in or which originated in Syria;
c
transports crude oil or petroleum products listed in Annex IV if the products originated in Syria, or are being exported from Syria to any other country; or
d
provides (directly or indirectly) financing or financial assistance (including financial derivatives, insurance and reinsurance) related to the import, purchase or transport of crude oil and petroleum products listed in Annex IV if the products originated in Syria, or have been imported from Syria.
2
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this Order.
3
Paragraph (1) does not apply to —
a
the execution of an obligation arising from a contract concluded before the date on which this Order comes into force, or
b
the purchase of crude oil or petroleum products which had been exported from Syria before the date on which this Order comes into force or, where the export was made pursuant to paragraph (a), on or before that date,
if the person, entity or body seeking to perform the obligation concerned has notified the transaction or activity to the Governor of the Territory in which it is established at least 7 working days in advance.
Offences related to key equipment or technology listed in Annex VI
12
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
sells, supplies, transfers or exports key equipment or technology listed in Annex VI to the Council Regulation (directly or indirectly) to any Syrian person, entity or body or for use in Syria;
b
provides (directly or indirectly) technical assistance or brokering services related to the key equipment and technology listed in Annex VI, or related to the provision, manufacture, maintenance and use of goods listed in that Annex, to any Syrian person, entity or body or for use in Syria; or
c
provides (directly or indirectly) financing or financial assistance related to the key equipment and technology listed in Annex VI to any Syrian person, entity or body or for use in Syria.
2
Paragraph (1) does not apply if P is acting under the authority of a licence granted by the Governor under this Order.
3
Paragraph (1) does not apply to the performance of an obligation required by a contract which was awarded or concluded before the date on which this Order comes into force, provided that the person or entity seeking to rely on this paragraph has notified the Governor of the Territory in which it is established at least 21 calendar days in advance.
4
For the purposes of paragraph (3), a contract has been “awarded” to a person or entity if express written confirmation of the award of the contract to that person or entity has been sent by the other contracting party, following the conclusion of a formal tender process.
Offences related to the movement of Syrian banknotes or coins
13
A person to whom this Order applies (“P”) commits an offence if P knowingly sells, supplies, transfers or exports (directly or indirectly) new Syrian denominated banknotes or coinage printed or minted in the Territory, to the Central Bank of Syria.
Offences related to the movement of gold, precious metals or diamonds listed in Annex VIII
14
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
sells, supplies, transfers or exports (directly or indirectly) gold, precious metals or diamonds, as listed in Annex VIII to the Council Regulation, to the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria or any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them;
b
purchases, imports or transports (directly or indirectly) gold, precious metals or diamonds as listed in Annex VIII, whether or not the item concerned originated in Syria, from the Government of Syria, its public bodies, corporations and agencies or any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them; or
c
provides (directly or indirectly) technical assistance or brokering services, financing or financial assistance, related to gold, precious metals and diamonds as listed in Annex VIII, to the Government of Syria, its public bodies, corporations and agencies, the Central Bank of Syria or any person, entity or body acting on their behalf or at their direction, or any entity or body owned or controlled by them.
Offences related to luxury goods listed in Annex X
15
1
A person to whom this Order applies (“P”) commits an offence if P knowingly sells, supplies, transfers or exports (directly or indirectly) luxury goods listed in Annex X to the Council Regulation to Syria.
2
The prohibition in paragraph (1) does not apply to goods of a non-commercial nature, for personal use, contained in travellers’ luggage.
Offences related to equipment or technology listed in Annex VII
16
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
sells, supplies, transfers or exports equipment or technology to be used in the construction or installation in Syria of new power plants for electricity production, as listed in Annex VII to the Council Regulation, or
b
provides (directly or indirectly) financial or technical assistance in relation to any project referred to in paragraph (a).
2
Paragraph (1) does not apply to the performance of an obligation required by a contract or agreement which was concluded before the date on which this Order comes into force, provided that the person or entity seeking to rely on this paragraph has notified the Governor of the Territory in which it is established at least 21 calendar days in advance.
Offences related to restrictions on financing of certain enterprises
17
1
A person to whom this Order applies (“P”) commits an offence if P knowingly —
a
grants any financial loan or credit to a relevant Syrian person, entity or body,
b
acquires or extends a participation in a relevant Syrian person, entity or body, or
c
creates a joint venture with a relevant Syrian person, entity or body.
2
Paragraph (1) —
a
does not apply to the execution of an obligation arising from an agreement or contract concluded before the date on which this Order comes into force and relating to —
i
the exploration, production or refining of crude oil, or
ii
the construction or installation of new power plants for electricity production; and
b
does not prevent the extension of a participation relating to —
i
the exploration, production or refining of crude oil, if such extension is an obligation under an agreement concluded before the date on which this Order comes into force, or
ii
the construction or installation of new power plants for electricity production, if such extension is an obligation under an agreement concluded before the date on which this Order comes into force.
3
For the purposes of this article —
“the exploration of crude oil” includes the exploration for, prospecting for and management of crude oil reserves, as well as the provision of geological services in relation to such reserves;
“the refining of crude oil” means the processing, conditioning or preparation of oil for the ultimately final sale of fuels;
“relevant Syrian person, entity or body” means a Syrian person entity or body engaged —
in the exploration, production or refining of crude oil, or
the construction or installation of new power plants for electricity production.
Circumvention of prohibitions in articles 4 to 17
18
A person to whom this Order applies (“P”) commits an offence if P participates, knowingly and intentionally, in activities the object or effect of which is (directly or indirectly) —
a
to circumvent any of the prohibitions in articles 4 to 17, or
b
to enable or facilitate the contravention of any such prohibition.
Customs powers and investigations
Customs powers to demand evidence of destination of prohibited goods
19
1
The Governor may require any person who exports or ships prohibited goods that have been exported from the Territory to provide proof to the Governor’s satisfaction that the goods have reached a permitted destination.
2
For the purposes of paragraph (1), “a permitted destination” means —
a
a destination to which the exportation of prohibited goods is not prohibited by this Order, or
b
a destination to which the exportation of prohibited goods is authorised by a licence granted under this Order.
3
A person (“P”) commits an offence if P fails to comply with a requirement under paragraph (1), unless P proves that P did not consent to or connive at the goods reaching a destination other than a permitted destination.
Declaration as to goods: powers of search
20
1
An officer authorised by the Governor may require any person who is about to leave the Territory (“P”) to —
a
declare whether P is carrying prohibited goods destined for Syria or for delivery (directly or indirectly) to, or to the order of, any person in Syria, and
b
produce any such goods that P is carrying.
2
P commits an offence if P —
a
fails without reasonable excuse to comply with a requirement under paragraph (1), or
b
knowingly or recklessly makes a declaration which is false in a material particular.
3
An officer authorised by the Governor, or a person acting under the officer’s authority, may search P for the purpose of finding out whether P is carrying prohibited goods.
4
A search under paragraph (3) must be carried out by a person of the same sex as P.
5
P commits an offence if P fails without reasonable excuse to comply with a request to be searched under paragraph (3).
6
An officer authorised by the Governor, or a person acting under the officer’s authority, must, if requested to do so, produce evidence of his or her authority before exercising any power conferred by this article.
Investigation etc. of suspected ships
21
1
Where an authorised officer reasonably suspects that a ship has been, is being, or is about to be used in the commission of an offence under article 7(1) —
a
the officer may (alone or assisted by persons under the officer’s authority) board the ship and search it and, for that purpose, may use or authorise the use of reasonable force;
b
the officer may request the owner or master of the ship to provide such information relating to the ship and its cargo and produce for inspection such documents and cargo as the officer may specify; and
c
the officer must seize any prohibited goods on the ship, and may take further action in accordance with paragraph (2).
2
The further action referred to in paragraph (1)(c) is —
a
to direct the master of the ship to refrain from landing any part of the ship’s cargo specified under paragraph (1)(b) at any port specified by the officer, except with the officer’s consent, or
b
to request the master of the ship to take any of the following steps —
i
to stop the ship from proceeding with the voyage on which it is engaged, or about to engage, until notified by an authorised officer that the ship may so proceed;
ii
if the ship is in port in the Territory, to cause it to remain there until notified by an authorised officer that the ship may depart;
iii
if the ship is in any other place, to take it to a port specified by the officer and keep it there until notified by an authorised officer that the ship may depart;
iv
to take the ship to any other destination specified by the officer in agreement with the master.
3
An authorised officer may take such steps as appear necessary to secure compliance with a request under paragraph (2)(b) where —
a
the master fails to comply with the request, or
b
the officer reasonably suspects that the request may not be complied with.
4
Those steps may include in particular —
a
entering, or authorising entry upon, the ship, and
b
using, or authorising the use of, reasonable force.
5
A master or owner of a ship (“P”) commits an offence if P —
a
fails to comply with a direction under paragraph (2)(a),
b
fails without reasonable excuse to comply with a request under paragraph (1)(b) or (2),
c
knowingly or recklessly provides information or a document which is false in a material particular in response to a request under paragraph (1)(b), or
d
wilfully obstructs an authorised officer, or a person acting under the officer’s authority, in the exercise of any power conferred by this article.
6
An authorised officer, or a person acting under the officer’s authority, must, if requested to do so, produce evidence of his or her authority before exercising any power conferred by this article.
7
In this article “authorised officer” means —
a
a commissioned naval or military officer;
b
a British consular officer;
c
a police or customs officer; or
d
a person authorised by the Governor for the purpose of this article, whether generally or in a particular case.
Investigation etc. of suspected aircraft
22
1
Where an authorised person reasonably suspects that an aircraft has been, is being, or is about to be used in the commission of an offence under article 7(1) —
a
the person may (alone or assisted by persons under the authorised person’s authority) board the aircraft and search it and, for that purpose, may use or authorise the use of reasonable force;
b
the person may request the charterer, operator or commander of the aircraft to provide such information relating to the aircraft and its cargo and produce for inspection such documents and cargo as the person may specify; and
c
if the aircraft is in the Territory, the person may request the charterer, operator or commander to keep the aircraft and any of its cargo in the Territory until notified that the aircraft and its cargo may depart.
2
An authorised person may take such steps as appear necessary to secure compliance with a request under paragraph (1)(c) where —
a
the charterer, operator or commander fails to comply with the request, or
b
the person reasonably suspects that the request may not be complied with.
3
Those steps may include in particular —
a
entering, or authorising entry upon, the aircraft or any land;
b
detaining, or authorising the detention of, the aircraft and any of its cargo;
c
seizing any prohibited goods; and
d
using, or authorising the use of, reasonable force.
4
A charterer, operator or commander of an aircraft (“P”) commits an offence if P —
a
fails without reasonable excuse to comply with a request under paragraph (1),
b
knowingly or recklessly provides information or a document which is false in a material particular in response to a request under paragraph (1)(b), or
c
wilfully obstructs an authorised person, or a person acting under that person’s authority, in the exercise of any power conferred by this article.
5
An authorised person, or a person acting under that person’s authority, must, if requested to do so, produce evidence of his or her authority before exercising any power conferred by this article.
6
In this article, “authorised person” means a person authorised by the Governor for the purpose of this article either generally or in a particular case.
Investigation etc. of suspected vehicles
23
1
Where an authorised person reasonably suspects that a vehicle in the Territory has been, is being, or is about to be used in the commission of an offence under article 7(1) —
a
the person may (alone or assisted by persons under the authorised person’s authority) enter the vehicle and search it and, for that purpose, may use or authorise the use of reasonable force;
b
the person may request the operator or driver of the vehicle to provide such information relating to the vehicle and any goods in the vehicle and produce for inspection such documents and goods as the person may specify; and
c
the person may request the operator or driver to keep the aircraft and any goods in the vehicle in the Territory until notified that the vehicle may depart.
2
An authorised person may take such steps as appear necessary to secure compliance with a request under paragraph (1)(c) where —
a
the operator or driver fails to comply with the request, or
b
the person reasonably suspects that the request may not be complied with.
3
Those steps may include in particular —
a
entering, or authorising entry of, the vehicle or upon any land;
b
detaining, or authorising the detention of, the vehicle and any goods in the vehicle;
c
seizing any prohibited goods; and
d
using, or authorising the use of, reasonable force.
4
An operator or driver of a vehicle (“P”) commits an offence if P —
a
fails without reasonable excuse to comply with a request under paragraph (1),
b
knowingly or recklessly provides information or a document which is false in a material particular in response to a request under paragraph (1)(b), or
c
wilfully obstructs an authorised person, or a person acting under that person’s authority, in the exercise of any power conferred by this article.
5
An authorised person, or a person acting under that person’s authority, must, if requested to do so, produce evidence of his or her authority before exercising any power conferred by this article.
6
In this article, “authorised person” means a person authorised by the Governor for the purpose of this article either generally or in a particular case.
Provisions supplementary to articles 21 to 23
24
1
A person (“P”) to whom this Order applies commits an offence if P discloses information given or a document produced by a person in accordance with a request made under article 21, 22 or 23 except —
a
to any person who would have been authorised to request the information or document under article 21, 22 or 23, or to any person holding or acting in any office under or in the service of —
i
the Crown in right of the Government of the United Kingdom,
ii
the Government of the Isle of Man,
iii
the States of Guernsey or Alderney or the Chief Pleas of Sark,
iv
the States of Jersey, or
v
the Government of any British overseas territory;
for the purpose of giving assistance or co-operation, pursuant to the Regulation, to any person in the service of the Council of the European Union, the European Commission or the government of any country;
with a view to instituting, or otherwise for the purposes of, any proceedings —
in the Territory, for an offence under this Order or, with respect to any of the matters regulated by this Order, for an offence relating to customs; or
in the United Kingdom, any of the Channel Islands, the Isle of Man or any British overseas territory, for an offence under a similar provision in any such jurisdiction;
to the Financial Services Authority of the United Kingdom, or to the relevant authority with responsibility in any other country or territory for the regulation and supervision of financial services business;
with the consent of a person, who in the person’s own right, is entitled to the information, or to possession of the document, to any third party.
2
In paragraph (1)(d) “in the person’s own right” means not merely in the capacity as a servant or agent of another person.
3
Any power conferred by article 21, 22 or 23 to request for inspection information, a document, cargo or goods includes a power to specify the form in which the information or document should be given, and the period within which the information, document, goods or cargo should be produced for inspection.
4
This article and articles 21 to 23 are without prejudice to any other provision of law conferring powers, imposing restrictions or enabling restrictions to be imposed in respect of ships, aircraft or vehicles.
Freezing funds and making funds available
Freezing funds and economic resources
25
1
A person to whom this Order applies (“P”), including the designated person, commits an offence if P deals with funds or economic resources belonging to, or owned, held or controlled by, a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.
2
In this article, “deals with” means —
a
in relation to funds —
i
use, alter, move, allow access to or transfer;
ii
deal with the funds in any other way that would result in a change in volume, amount, location, ownership, possession, character or destination; or
iii
make any other change that would enable use, including portfolio management; and
b
in relation to economic resources, use to obtain funds, goods or services in any way, including by selling, hiring or mortgaging the resources.
3
Paragraph (1) is subject to articles 30 and 33.
Making funds available to a designated person
26
1
A person to whom this Order applies (“P”) commits an offence if P makes funds available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
Paragraph (1) is subject to articles 31 and 33.
Making funds available for the benefit of a designated person
27
1
A person to whom this Order applies (“P”) commits an offence if P makes funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
For the purposes of paragraph (1) —
a
funds are made available for the benefit of a designated person only if that person obtains, or is able to obtain, a significant financial benefit from the funds, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to articles 31 and 33.
Making economic resources available to a designated person
28
1
A person to whom this Order applies (“P”) commits an offence if P makes economic resources available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect —
a
that P is making the economic resources so available, and
b
that the designated person would be likely to exchange the economic resources, or use them in exchange, for funds, goods or services.
2
Paragraph (1) is subject to article 33.
Making economic resources available for the benefit of a designated person
29
1
A person to whom this Order applies (“P”) commits an offence if P makes economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.
2
For the purposes of paragraph (1) —
a
economic resources are made available for the benefit of a designated person only if that person obtains, or is able to obtain, a significant financial benefit from the economic resources, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to article 33.
Trade contract payments
30
1
Article 25 is not contravened by a person who deals with funds or economic resources belonging to, or owned, held or controlled by, an entity (“A”) listed in Annex IIa to the Council Regulation provided that —
a
A received the funds or economic resources after the date on which A was so listed,
b
A used the funds or economic resources to make a payment during the period of two months from the date on which A was listed,
c
the payment was due under a trade contract, and
d
the Governor has determined that the payment will not be received (directly or indirectly) by a designated person.
2
In paragraph (1) “deals with” has the same meaning as in article 25(1).
Credits to a frozen account
31
1
Articles 26 and 27 are not contravened by a person who credits a frozen account with —
a
interest or other earnings due on the account, or
b
payments due under contracts, agreements or obligations that were concluded or arose before the account became a frozen account.
2
Articles 26 and 27 do not prevent a relevant institution from crediting a frozen account where it receives funds transferred to the account.
Circumvention of prohibitions in articles 25 to 29
32
A person (“P”) commits an offence if P intentionally participates in activities knowing that the object or effect of them is (directly or indirectly) —
a
to circumvent any of the prohibitions in articles 25 to 29, or
b
to enable or facilitate the contravention of any such prohibition.
Licences granted under articles 25 to 29
33
1
The prohibitions in articles 25 to 29 do not apply to anything done under the authority of a licence granted by the Governor.
2
A licence granted under articles 25 to 29 may relate to —
a
payment of basic expenses of designated persons and their dependent family members, including payments for foodstuffs, rent or mortgage, medicines, medical treatment, taxes, insurance premiums and public utility charges;
b
payment of reasonable professional fees and expenses associated with the provision of legal services;
c
payment of fees or service charges for the routine holding or maintenance of frozen funds or economic resources;
d
payment of necessary extraordinary expenses as determined by the Governor, provided that the other Member States and the Commission of the European Union have been notified of the grounds for the Governor’s determination at least two weeks before the Governor’s authorisation of the payment;
e
satisfaction of a judicial, administrative or arbitral lien or judgment entered into prior to the date on which this Order comes into force and not for the benefit of a designated person;
f
the making available of funds or economic resources held by the Central Bank of Syria, or the making available of funds or economic resources to the Central Bank of Syria, determined by the Governor to be necessary for or in connection with —
i
providing financial institutions with liquidity for the financing of trade, or
ii
a specific trade contract, the execution of which may involve the Central Bank of Syria, provided that the payment will not contribute to an activity prohibited under this Order; or
g
payment by a designated person of sums due under a contract or agreement entered into prior to the date on which the person was designated, or under an obligation that arose for the designated person prior to that date, provided that the payment is not directly or indirectly received by a designated person.
Licences: general
34
1
Any licence granted by the Governor under this Order must specify the acts authorised by it and may be —
a
general or granted to a category of persons or to a particular person;
b
subject to conditions; and
c
of indefinite duration or subject to an expiry date.
2
The Governor may vary or revoke a licence at any time.
3
On the grant, variation or revocation of a licence, the Governor must —
a
in the case of a licence granted to a particular person, give written notice of the grant, variation or revocation to that person, and
b
in the case of a general licence or a licence granted to a category of persons, take such steps as the Governor considers appropriate to publicise the grant, variation or revocation of the licence.
4
A person who, for the purpose of obtaining a licence, knowingly or recklessly makes any statement or gives any document or information which is false in a material particular commits an offence.
5
A licence granted in connection with the application for which the false statement was made or the false document or information given is void from the time it was granted.
6
A person (“P”) commits an offence if, having acted under the authority of a licence, P fails to comply with any conditions in the licence.
7
P is not guilty of an offence under paragraph (6) if —
a
the licence was modified after the completion of the act authorised by the licence, and
b
the alleged failure to comply with a condition in the licence would not have been a failure if the licence had not been so modified.
Notices
35
1
This article has effect in relation to any notice to be given to a person by the Governor under article 34(3)(a).
2
The notice may be given —
a
by posting it to the person’s last known address, or
b
where the person is a body corporate, partnership or unincorporated body other than a partnership, by posting it to the registered or principal office in the Territory of the body or partnership.
3
Where the Governor does not have an address in the Territory for the person, the Governor must make arrangements for the notice to be given to the person at the first available opportunity.
Restrictions on financial services
Sale or purchase of Syrian bonds
36
1
A person (“P”) commits an offence if P sells or purchases (directly or indirectly) Syrian public or public-guaranteed bonds issued after the date on which this Order comes into force to or from a person, entity or body falling within paragraph (4) if P knows or has reasonable cause to suspect that the sale or purchase is to or from such a person, entity or body.
2
A person (“P”) commits an offence if P provides brokering services with respect to Syrian public or public-guaranteed bonds issued after the date on which this Order comes into force to a person, entity or body falling within paragraph (4) if P knows or has reasonable cause to suspect that the services are being provided to such a person, entity or body.
3
A person (“P”) commits an offence if P assists a person, entity or body falling within paragraph (4) to issue Syrian public or public-guaranteed bonds, by providing —
a
brokering services,
b
advertising, or
c
any other service with respect to such bonds,
if P knows or has reasonable cause to suspect that P is assisting such a person, entity or body.
4
The following persons, entities and bodies fall within this paragraph —
a
the State of Syria or its Government, and its public bodies, corporations and agencies;
b
a credit or financial institution domiciled in Syria, including the Central Bank of Syria;
c
a branch or subsidiary, wherever located, of a credit or financial institution domiciled in Syria;
d
a credit or financial institution that is not domiciled in Syria, but is controlled by a person or entity domiciled in Syria;
e
a person, entity or body acting on behalf of or at the direction of a legal person, entity or body falling within sub-paragraph (a), (b), (c) or (d);
f
a legal person, entity or body owned or controlled by a person, entity or body falling within sub-paragraph (a), (b), (c), (d) or (e).
Credit and financial institutions: accounts and correspondent banking relationships
37
1
A credit or financial institution (“P”) commits an offence if P —
a
opens a new bank account,
b
establishes a new correspondent banking relationship, or
c
establishes a new joint venture,
with a person, entity or body falling within article 36(4) if P knows or has reasonable cause to suspect that the account, relationship or venture is with such a person, entity or body.
2
P commits an offence if P —
a
opens a new representative office in Syria, or
b
establishes a new branch or subsidiary in Syria.
Agreements
38
A person (“P”) commits an offence if P concludes an agreement for, or on behalf of, a person, entity or body falling within article 36(4) which relates to the opening of a representative office or the establishment of a branch or subsidiary in the Territory if P knows or has reasonable cause to suspect that the agreement is for, or on behalf of, such a person.
Acquisition or extension of ownership interest
39
A credit or financial institution (“P”) commits an offence if P allows a person, entity or body falling within article 36(4) to acquire or extend a participation, or acquire any other ownership interest in P.
Insurance and reinsurance
40
1
A person (“P”) commits an offence if P provides insurance or reinsurance, or brokers the provision of insurance or reinsurance, to —
a
the State of Syria or its Government, or its public bodies, corporations or agencies, or
b
a person, entity or body acting on behalf of or at the direction of a person, entity or body referred to in sub-paragraph (a),
if P knows or has reasonable cause to suspect that the insurance or reinsurance is being provided to such a person, entity or body.
2
Paragraph (1) applies to the extension or renewal of an insurance or reinsurance agreement concluded before the date on which this Order comes into force (except where there is a prior contractual obligation on the part of the insurer or reinsurer to accept an extension or renewal of a policy), but, subject to articles 26 to 29, does not apply to compliance with an insurance or reinsurance agreement concluded before that date.
3
Paragraph (1) does not apply to the provision of compulsory or third party liability insurance or reinsurance to Syrian persons, entities or bodies based in the Territory, or to the provision of insurance for Syrian diplomatic or consular missions in the Territory.
4
Paragraph (1)(b) does not apply to the provision of —
a
insurance, including health and travel insurance, to individuals acting in their private capacity, or
b
reinsurance relating to insurance falling within sub-paragraph (a).
5
Paragraph (1)(b) does not prevent the provision of insurance or reinsurance or brokering of insurance to the owner of a vessel, aircraft or vehicle which is chartered by a person, entity or body referred to in paragraph (1)(a), provided that the person, entity or body to which it is chartered is not a designated person.
6
For the purposes of paragraph (1)(b), a person, entity or body does not act at the direction of a person, entity or body referred to in paragraph (1)(a) where the direction is for the purposes of docking, loading, unloading or safe transit of a vessel or aircraft temporarily in Syrian waters or airspace.
General
Failure to disclose knowledge or suspicion
41
1
If a relevant institution knows or suspects that a relevant person —
a
is a designated person, or
b
has committed an offence under articles 25, 26, 27, 28, 29, 32 or 34,
it must disclose to the Governor the information or other matter specified in paragraph (2) as soon as reasonably practicable after that information or other matter comes to its attention.
2
When making a disclosure to the Governor under paragraph (1), a relevant institution must state —
a
the information or other matter on which the knowledge or suspicion is based,
b
any information it holds about the relevant person by which the person can be identified, and
c
if the relevant person is a listed person, the nature and amount or quantity of any funds or economic resources held by the relevant institution for that person since the person first became a listed person.
3
A relevant institution must inform the Governor without delay if it credits a frozen account in accordance with article 31(1)(b) or (2).
4
A relevant institution commits an offence if it fails to comply with a requirement in paragraph (1), (2) or (3).
5
In this paragraph “relevant person” means —
a
a customer of a relevant institution,
b
a person who has been a customer of a relevant institution at any time on or after the date on which this Order comes into force and has ceased to be a customer, or
c
a person with whom a relevant institution has had dealings in the course of business on or after that date.
6
Where a relevant institution discloses to the Governor —
a
its knowledge or suspicion that a person is a listed person or a person who has committed an offence under article 25, 26, 27, 28, 29, 32 or 34, or
b
any information or other matter on which that knowledge or suspicion is based, or
c
any other information pursuant to paragraph (2),
the disclosure is not to be treated as a breach of any restriction imposed by statute or otherwise.
Evidence and information
42
Schedule 5 (which contains further provisions about obtaining evidence and information) has effect.
Penalties
43
1
A person guilty of an offence under article 4, 5, 6, 7, 9(1)(a) to (c), 10(1)(a), 12(1)(a), 13, 14(a), 15, 16(1)(a) or 18 is liable —
a
on conviction on indictment, to imprisonment for a term not exceeding seven years or to a fine or to both; or
b
on summary conviction, to imprisonment for a term not exceeding six months or to a fine not exceeding £5,000 or its equivalent or to both.
2
A person guilty of an offence under article 9(1)(d) to (f), 10(1)(b) to (d), 11, 12(1)(b) or (c), 14(b) or (c), 16(1)(b), 17, 21(5)(c), 23(4)(b), 25, 26, 27, 28, 29, 32, 36, 37, 38, 39, 40 or paragraph 4(b) or (d) of Schedule 5 is liable —
a
on conviction on indictment to imprisonment for a term not exceeding two years or to a fine or to both; or
b
on summary conviction, to imprisonment for a term not exceeding six months or to a fine not exceeding £5,000 or its equivalent or to both.
3
A person guilty of an offence under article 20(2)(b), 22(4)(b), 34 or 41 is liable —
a
on conviction on indictment to imprisonment for a term not exceeding two years or to a fine or to both; or
b
on summary conviction to a fine not exceeding £5,000 or its equivalent or to both.
4
A person guilty of an offence under article 21(5)(a), (b) or (d), 22(4)(a) or (c), 23(4)(a) or (c) or 24 is liable on summary conviction to imprisonment for a term not exceeding six months or to a fine not exceeding £5,000 or its equivalent or to both.
5
A person guilty of an offence under article 19(3), 20(2)(a) or 20(5) is liable on summary conviction to a fine not exceeding £5,000 or its equivalent.
6
If an offence committed by a body corporate is shown —
a
to have been committed with the consent or connivance of an officer of the body corporate, or
b
to be attributable to any neglect on the part of an officer of the body corporate,
the officer as well as the body corporate is guilty of an offence and is liable to be proceeded against and punished accordingly.
7
This article applies —
a
to the Sovereign Base Areas of Akrotiri and Dhekelia as set out in Schedule 2;
b
to the Falkland Islands and South Georgia and the South Sandwich Islands subject to the modification set out in Schedule 3;
c
to St Helena, Ascension and Tristan da Cunha as set out in Schedule 4.
Proceedings
44
1
Proceedings against any person for an offence may be taken before the appropriate court in the Territory having jurisdiction in the place where that person is for the time being.
2
Summary proceedings for an offence alleged to have been committed outside the Territory, may be instituted at any time not later than 12 months from the date on which the person charged first enters the Territory after committing the offence.
3
No proceedings for an offence may be instituted in the Territory except by or with the consent of the principal public officer of the Territory having responsibility for criminal prosecutions.
4
Irrespective of whether such consent has been obtained, paragraph (3) does not prevent —
a
the arrest, or the issue or execution of a warrant for the arrest, of any person in respect of such an offence, or
b
the remand in custody or on bail of any person charged with such an offence.
5
In this article, “offence” means an offence under this Order.
6
This article applies to the Sovereign Base Areas of Akrotiri and Dhekelia as set out in Schedule 2.
Functions of the Governor
45
1
The Governor may, to such extent and subject to such restrictions and conditions as the Governor thinks proper, delegate or authorise the delegation of any of the Governor’s powers under this Order to any person, or class or description of persons.
2
References in this Order to the Governor are to be construed accordingly.
3
The Governor may by regulations specify in the currency of the Territory the amount which is to be taken as equivalent to sums expressed in sterling in this Order.
Miscellaneous
46
Any provision of this Order which makes it an offence to act except under the authority of a licence granted by the Governor does not have effect if —
a
the act is done anywhere other than the Territory, and
b
the act is done under the authority of a licence granted in accordance with the law in force in the place where it is done corresponding to the provisions of this Order.
Liability
47
No liability will arise for any person concerned in the freezing of funds or economic resources in accordance with article 25 unless it is proved that the funds or economic resources were frozen or withheld as a result of negligence.
Revocation
48
The Syria (Restrictive Measures) (Overseas Territories) Order 2011 is revoked.
Richard Tilbrook
Clerk of the Privy Council
SCHEDULE 1
Territories to which this Order extends
Article 1(2)
Anguilla
British Antarctic Territory
British Indian Ocean Territory
Cayman Islands
Falkland Islands
Montserrat
Pitcairn, Henderson, Ducie and Oeno Islands
St Helena, Ascension Island and Tristan da Cunha
South Georgia and the South Sandwich Islands
The Sovereign Base Areas of Akrotiri and Dhekelia in the Island of Cyprus
Turks and Caicos Islands
Virgin Islands
SCHEDULE 2
Application of Articles 43 and 44 to the Sovereign Base Areas of Akrotiri and Dhekelia in the Island of Cyprus
Article 43
1
Any person guilty of an offence under article 4, 5, 6, 7, 9(1)(a) to (c), 10(1)(a), 12(1)(a), 13, 14(a), 15, 16(1)(a) or 18 is liable on conviction to imprisonment for a term not exceeding seven years, or to a fine, or to both.
2
Any person guilty of an offence under article 9(1)(d) to (f), 10(1)(b) to (d), 11, 12(1)(b) or (c), 14(b) or (c), 16(1)(b), 17, 20(2)(b), 21(5)(c), 22(4)(b), 23(4)(b), 25, 26, 27, 28, 29, 32, 34, 36, 37, 38, 39, 40, 41 or paragraph 4(b) or (d) of Schedule 5 is liable on conviction to imprisonment for a term not exceeding two years, or to a fine, or to both.
3
Any person guilty of an offence under article 21(5)(a), (b) or (d), 22(4)(a) or (c), 23(4)(a) or (c) or 24 is liable on conviction to imprisonment for a term not exceeding three months, or to a fine not exceeding £5000 or its equivalent, or to both.
4
Any person guilty of an offence under article 19(3), 20(2)(a) or 20(5) is liable on conviction to a fine not exceeding £5000 or its equivalent.
5
Where a body corporate is guilty of an offence under this Order, 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 an officer of the body corporate, the officer, as well as the body corporate, is guilty of that offence and is liable to be proceeded against and punished accordingly.
6
Proceedings against any person for an offence under this Order may be taken before the appropriate court in the Territory having jurisdiction in the place where that person is for the time being.
7
No proceedings for an offence under this Order are to be instituted in the Territory except by or with the consent of the Attorney General and Legal Adviser.
8
Irrespective of whether consent under paragraph 7 has been obtained, paragraph 7 does not prevent —
a
the arrest, or the issue or execution of a warrant for the arrest, of any person in respect of such an offence; or
b
the remand in custody or on bail of any person charged with such an offence.
SCHEDULE 3
Application of Article 43 to the Falkland Islands and to South Georgia and the South Sandwich Islands
Article 43
When the Magistrate’s Court is sentencing a person following a summary conviction for an offence under this Order, as an alternative to the penalties applicable under article 43 to the relevant offence upon summary conviction, any penalties which would be applicable under article 43 upon conviction on indictment for that offence are available to the Magistrate’s Court.
SCHEDULE 4
Application of Article 43 to St Helena, Ascension and Tristan da Cunha
Article 43
1
A person guilty of an offence under article 4, 5, 6, 7, 9(1)(a) to (c), 10(1)(a), 12(1)(a), 13, 14(a), 15, 16(1)(a) or 18 is liable on conviction to imprisonment for a term not exceeding seven years or to a fine or to both.
2
A person guilty of an offence under article 9(1)(d) to (f), 10(1)(b) to (d), 11, 12(1)(b) or (c), 14(b) or (c), 16(1)(b), 17, 20(2)(b), 21(5)(c), 22(4)(b), 23(4)(b), 25, 26, 27, 28, 29, 32, 34, 36, 37, 38, 39, 40, 41 or paragraph 4(b) or (d) of Schedule 5 is liable on conviction to imprisonment for a term not exceeding two years or to a fine or to both.
3
A person guilty of an offence under article 21(5)(a), (b) or (d), 22(4)(a) or (c), 23(4)(a) or (c) or 24 shall be liable on conviction to imprisonment for a term not exceeding three months or to a fine not exceeding £5,000 or to both.
4
A person guilty of an offence under article 19(3), 20(2)(a) or 20(5) shall be liable on conviction to a fine not exceeding £5,000.
5
If an offence under this Order committed by a body corporate is shown —
a
to have been committed with the consent or connivance of an officer of the body corporate, or
b
to be attributable to any neglect on the part of an officer of the body corporate,
the officer as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
SCHEDULE 5
Evidence and Information
Article 42
1
1
The Governor may request any person in or resident in the Territory to provide any information or to produce any document in the person’s possession or control which the Governor may require for the purpose of —
a
securing compliance with or detecting evasion of this Order;
b
obtaining evidence of the commission of an offence under this Order;
c
establishing the nature and amount or quantity of any funds or economic resources owned, held or controlled by a designated person; or
d
establishing the nature of any financial transactions entered into by any such person.
2
This includes power to —
a
take copies of or extracts from any document so produced;
b
request any person producing a document to give an explanation of it; and
c
where that person is a body corporate, request any person who is a present or past officer of, or employee of, the body corporate to give such an explanation.
3
Any person to whom a request is made must comply with it within such time and in such manner as may be specified in the request.
4
Nothing in this paragraph is to be taken to require any person who has acted as counsel or solicitor for any person to disclose any privileged information or document in the person’s possession in that capacity.
2
A person commits an offence who —
a
without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request made under this Schedule;
b
knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;
c
with intent to evade the provisions of this Schedule, destroys, mutilates, defaces, conceals or removes any document; or
d
otherwise intentionally obstructs the Governor in the exercise of the Governor’s powers under this Schedule.
3
Where a person is convicted of an offence under paragraph 4(a), the court may make an order requiring the person, within such period as may be specified in the Order, to give the requested information or to produce the requested document.
4
1
The Governor may only disclose any information given or document produced under this Schedule (including any copy or extract made of any such document) —
a
to any person holding or acting in any office under or in the service of —
i
the Crown in right of the Government of the United Kingdom;
ii
the Government of the Isle of Man;
iii
the States of Guernsey or Alderney or the Chief Pleas of Sark;
iv
the States of Jersey; or
v
the Government of any British overseas territory;
b
with a view to instituting, or otherwise for the purposes of, any proceedings —
i
in the Territory, for an offence under this Order, or
ii
in the United Kingdom, any of the Channel Islands, the Isle of Man or any British overseas territory, for an offence under a similar provision in any such jurisdiction;
c
to the Financial Services Authority of the United Kingdom or to the relevant authority with responsibility in any other country or territory for regulating and supervising financial services business;
d
to any third party, with the consent of a person who, in the person’s own right, is entitled to the information or to possession of the document, copy or extract;
2
In sub-paragraph (1)(d) “in the person’s own right” means not merely in the person’s capacity as a servant or agent of another person.
5
An action done under this Schedule is not to be treated as a breach of any restriction imposed by statute or otherwise. |
The Data-gathering Powers (Relevant Data) Regulations 2012
Accordingly the Treasury make the following Regulations in exercise of the power conferred by paragraph 1(3) of Schedule 23 to the Finance Act 2011.
Citation, commencement and interpretation
1
These Regulations may be cited as the Data-gathering Powers (Relevant Data) Regulations 2012 and come into force on 1st April 2012.
2
In these Regulations “Schedule 23” means Schedule 23 to the Finance Act 2011.
Salaries, fees, commission etc
3
1
The relevant data for a data-holder of the type described in paragraph 9(1)(a) of Schedule 23 are information relating to all payments made by the employer that relate to the employment (referred to in this regulation as “employment related payments”).
2
The relevant data for a data-holder of the type described in paragraph 9(1)(b) are information relating to payments by any other person who has made employment related payments to the employer’s employees or to the employees of another person.
3
Information relating to apportioned expenses incurred partly in respect of employment related payments and partly in, or in connection with, other matters are relevant data for the purposes of paragraph 9(1)(a) and 9(1)(b).
4
The relevant data for a data-holder of the type described in paragraph 9(1)(c) are information and documents relating to the donations made under Part 12 of the Income Tax (Earnings and Pensions) Act 2003 (payroll giving) .
5
For the purposes of paragraph 9(1)(d) and, where relevant, paragraph 9(4) —
a
the relevant data are information relating to relevant payments made in connection with a business, or a part of a business;
b
particulars of the following payments are not relevant data —
i
payments from which income tax is deductible; and
ii
payments made to any one person where the total of those payments, particulars of which would otherwise fall to be provided, does not exceed £500.
4
The relevant data for a data-holder of the type described in paragraph 11 of Schedule 23 are the data described in paragraph 11(2)(b).
Interest etc
5
1
The relevant data for a data-holder of the type described in paragraph 12 of Schedule 23 are information and documents relating to accounts or sums on which relevant interest is payable, including but not limited to the data in regulations 8, 9 and 10.
2
“Relevant interest” means interest paid or credited —
a
on money received or retained in the United Kingdom; and
b
either without deduction of income tax or after deduction of income tax.
6
Information relating to the following payments is not relevant data for the purposes of a data-holder of the type described in paragraph 12 —
a
a payment in respect of a certificate of deposit within the meaning given by section 1019 of the Income Tax Act 2007 ;
b
a payment in respect of an investment or a deposit held by a branch of a person to whom a data-holder notice is issued, where the branch is situated in a territory other than the United Kingdom;
c
a payment falling within regulation 9(c) or 10(d) if the name and address of the person to whom the interest was paid or credited is not the person beneficially entitled to the interest;
d
a payment in respect of an investment under a plan provided for by regulations made under Chapter 3 of Part 6 of the Income Tax (Trading and Other Income) Act 2005 ;
e
a payment to or a receipt for a person other than an individual (in whatever capacity the individual is acting), except where the case falls within regulation 9(c) or 10(d);
f
any other payment not falling within any of paragraphs (a) to (e) which is specified in the data-holder notice as being a payment in respect of which information is not required.
7
1
Information is not relevant data for the purposes of a data-holder of the type described in paragraph 12 if it is in respect of a relevant dormant account before the balance of the account is paid out to the account-holder following a repayment claim (such payment being referred to in this regulation as the repayment claim being “settled”).
2
Where a repayment claim to the balance of a dormant account is settled, all interest paid, credited or included in the balance of the account, during and at the end of the relevant dormant period, is relevant data for the purposes of paragraph 12 and shall be treated —
a
as paid at the time the repayment claim is settled; and
b
as if the bank or building society in question had retained the balance of the account, in the ordinary course of the operations of its trade or business.
3
If the data-holder notice specifies the year of assessment in which the relevant dormant period for any account ends, the notice shall (unless it states otherwise) be deemed to require as relevant data the inclusion of information for all relevant dormant accounts, in respect of which repayment claims were settled in that year.
4
Information in respect of a relevant dormant account which, at the time it first became a relevant dormant account, was a plan provided for by regulations made under Chapter 3 of Part 6 of the Income Tax (Trading and Other Income) Act 2005 (individual investment plans) is not relevant data for the purpose of paragraph 12.
5
In this regulation —
“relevant dormant account” has the meaning in section 39(2) of the Finance Act 2008 ;
“relevant dormant period” means the period between the time when a dormant account becomes a relevant dormant account and the time at which a repayment claim is settled; and
“repayment claim” means a repayment claim mentioned in section 5(6) of the Dormant Bank and Building Society Accounts Act 2008 (“the Dormant Accounts Act”).
Other terms used have the same meaning as in the Dormant Accounts Act.
8
If a payment is made in circumstances in which a certificate has been supplied under regulation 4 of the Income Tax (Deposit-takers and Building Societies) (Interest Payments) Regulations 2008 , that the person beneficially entitled to the payment is unlikely to be liable to pay any amount by way of income tax for the tax year in which the payment was made, the relevant data are —
a
the name and address of the person or persons by or on behalf of whom a certificate has been given in connection with the payment (“the beneficiary”) if other than the person or persons to whom the payment was made;
b
the date of birth of the beneficiary;
c
the national insurance number or tax identification number of the beneficiary (or confirmation that a national insurance number or tax identification number is not held) for any account in respect of which the payment was made opened on or after 6th April 2013, and for any account opened earlier if such number is provided to the deposit-taker or building society;
d
notification of the fact that the account in respect of which the payment was made is or was one in connection with which a certificate or certificates had been given which had not ceased to be valid at the 5th April in the year in which the payment was made or at the date of closure of the account, if earlier in that year;
e
the reference number of the account referred to in paragraph (d) and, where necessary for identifying the account, the branch of the payer where the account is held;
f
where the payment was made to two or more account-holders each of whom was beneficially entitled to the payment, notification of that fact and, if known, the number of such persons;
g
the national insurance numbers or tax identification numbers of persons referred to in paragraph (f) other than the beneficiary referred to in paragraphs (b) and (c) (or confirmation that a national insurance number or tax identification number is not held) for any account opened on or after 6th April 2013, and for any account opened earlier if such number is provided to the deposit-taker or building society;
h
where a certificate was given by or on behalf of one, or more, but not all, of the persons referred to in paragraph (f) and had not ceased to be valid at the 5th April in the year in which the payment was made or at the date of closure of the account, if earlier in that year, notification of those facts;
i
where the payment was the first payment made in respect of an account, notification of that fact;
j
where the payment was in a currency other than sterling and the amount of the payment is recorded in that currency in the data provided under a data-holder notice notification of the fact that the amount is so recorded and the specification of the currency concerned.
9
In cases to which regulation 8 does not apply, the relevant data relating to payments in respect of deposits are —
a
the reference number of the account in respect of which a payment was made and, where necessary for identifying the account, the branch of the payer where the account is held;
b
where a payment was made to two or more account holders, notification of that fact and, if known, the number of such persons;
c
where the payment was made without deduction of tax by virtue of a declaration made after 5th April 2001 under section 858, 859, 860 or 861 of the Income Tax Act 2007 —
i
the name and principal residential address of the individual beneficially entitled to the payment or, if more than one, of each individual entitled to the payment; or
ii
where the person beneficially entitled to the payment is a Scottish partnership, all the partners in which are individuals, the name and principal residential address of each of the partners;
d
in a case falling within paragraph (c) notification of the fact that the account in respect of which the payment was made was one in respect of which a declaration had been made as mentioned in that paragraph;
e
the national insurance number or tax identification number (or confirmation that a national insurance number or tax identification number is not held) of the person or, where paragraph (b) applies, each person to whom a payment was made for any account opened on or after 6th April 2013, and for any account opened earlier if such number is provided to the deposit-taker or building society;
f
where a payment made in the course of the year was the first payment in respect of an account, notification of that fact;
g
where a payment was in a currency other than sterling and the amount of the payment is recorded in that currency in the data provided under a data-holder notice notification of the fact that the amount is so recorded and the specification of the currency concerned.
10
In cases to which regulation 8 does not apply, the relevant data relating to payments and receipts of interest other than payments in respect of deposits are —
a
identification of the security or investment in respect of which the payment was made or received;
b
where a payment or receipt was in a currency other than sterling and the amount of the payment is recorded in that currency in the data provided under a data-holder notice notification of the fact that the amount is so recorded and the specification of the currency concerned;
c
where a payment was made to, or the receipt was for, two or more persons, notification of that fact and, if known, the number of such persons;
d
where a payment was made without deduction of tax by virtue of a declaration made under regulation 31 of the Authorised Investment Funds (Tax) Regulations 2006 , the name and principal residential address of the person beneficially entitled to the payment, or if more than one, of each person beneficially entitled to the payment;
e
in a case falling within paragraph (d), notification of the fact that the account in respect of which the payment was made was one in respect of which the declaration had been made.
Income, assets etc belonging to others
11
The relevant data for a data-holder of the type described in paragraph 13 of Schedule 23 are —
a
information relating to the money or value received; and
b
the name and address of the beneficial owner of the money or value.
Payments derived from securities
12
The relevant data for a data-holder of the type described in paragraph 14 of Schedule 23 are —
a
whether the relevant data-holder is the beneficial owner (or sole beneficial owner) of the securities or payment in question;
b
if not —
i
details of the beneficial owner (or other beneficial owners); and
ii
if those details are not known or if different, details of the person for whom the securities are held or to whom the payment is or may be paid on; and
c
if there is more than one beneficial owner or more than one person of the kind mentioned in paragraph (b)(ii), their respective interests in the securities or payment.
13
The relevant data for a data-holder of the type described in paragraph 15 of Schedule 23 are details of the amounts paid that were received from or paid on behalf of another person including the name and address of each such person.
Grants and subsidies out of public funds
14
The relevant data for a data-holder of the type described in paragraph 16 of Schedule 23 are —
a
the name and address of the person to whom the payment has been made or on whose behalf the payment has been received;
b
the amount of the payment so made or received; and
c
the address of any property in respect of which the payment has been made.
Licences, approvals etc
15
The relevant data for a data-holder of the type described in paragraph 17 of Schedule 23 are —
a
the name and address of anyone who is or has been the holder of a licence or approval or to whom an entry in the register relates or related;
b
particulars of the licence, approval or entry;
c
information relating to any application for such a licence or approval or for entry on that register.
Rent and other payments arising from land
16
1
The relevant data for a data-holder of the type described in paragraph 18 of Schedule 23 are —
a
information relating to the terms applying to the lease, occupation or use of land;
b
information relating to any consideration given for the grant or assignment of the tenancy;
c
information relating to any person on whose behalf the land is managed or the payments received, including particulars of payments arising from the land.
2
In this regulation —
a
“lease” includes an agreement for a lease, and any tenancy, but does not include a mortgage or heritable security;
b
“lessee” includes a successor in title of a lease; and
c
in relation to Scotland, “assignment” means an assignation.
Dealing etc in securities
17
1
The relevant data for a data-holder of the type described in paragraph 19 of Schedule 23 are —
a
information and documents relating to securities transactions in respect of which that person is a relevant data-holder; and
b
in relation to a person who carries on a business of effecting public issues or placings or otherwise effects public issues or placings, information relating to the issue, allotment or placing of the public issues or placings.
2
In this regulation —
a
“placing” means a placing of shares or securities in a company; and
b
“public issue” means a public issue of shares or securities in a company.
Dealing in other property
18
The relevant data for a data-holder of the type described in paragraph 20 of Schedule 23 are —
a
particulars of any transactions effected through a clearing house;
b
particulars of any transaction which meets the following conditions —
i
the transaction is effected by or through that person;
ii
in the transaction, an asset which is tangible moveable property is disposed of; and
iii
the amount or value of the consideration for the disposal exceeds, in the hands of the recipient, £6,000.
Lloyd’s
19
The relevant data for a data-holder of the type described in paragraph 21 of Schedule 23 are information and documents relating to, and to the activities of, the syndicate of underwriting members of Lloyd’s.
Investment plans etc
20
The relevant data for a data-holder of the type described in paragraph 22 of Schedule 23 are —
a
information and documents relating to the plan, including investments which are or have been held under the plan;
b
information and documents relating to the child trust fund including investments which are or have been held under the fund.
Petroleum activities
21
The relevant data for a data-holder of the type described in paragraph 23 of Schedule 23 are —
a
particulars of transactions in connection with any activities authorised by a petroleum licence as a result of which any person is or might be liable to tax by virtue of section 276 of the Taxation of Chargeable Gains Act 1992 , section 1313 of the Corporation Tax Act 2009 or section 874 of the Income Tax (Trading and Other Income) Act 2005 ;
b
particulars of earnings or money treated as earnings, which constitute employment income (see section 7(2)(a) or (b) of the Income Tax (Earnings and Pensions) Act 2003 ) or other payments paid or payable in respect of duties or services performed in an area in which those activities may be carried on under the petroleum licence;
c
particulars of the persons to whom such earnings, money or other payments were paid and are payable;
d
information and documents relating to the oil field.
Insurance activities
22
The relevant data for a data-holder of the type described in paragraph 24 of Schedule 23 are —
a
information and documents relating to contracts of insurance entered into in the course of an insurance business;
b
if paragraph 24(b) or (c) applies, information and documents relating to the contracts of insurance.
Environmental activities
23
The relevant data for a data-holder of the type described in paragraph 25 of Schedule 23 are —
a
information and documents relating to aggregates levy matters in which the person is or has been involved;
b
information and documents relating to climate change levy matters in which the person is or has been involved;
c
information and documents relating to any landfill disposal.
Settlements
24
The relevant data for a data-holder of the type described in paragraph 26 of Schedule 23 are information and documents relating to the settlement in question and to income or gains arising to the settlement.
Charities
25
The relevant data for a data-holder of the type described in paragraph 27 of Schedule 23 are information relating to donations to the charity that are eligible for tax relief under any of the following provisions —
a
section 257 of the Taxation of Chargeable Gains Act 1992 (gifts to charities etc) ;
b
section 63(2)(a) or (aa) of the Capital Allowances Act 2001(cases in which disposal value is nil) ;
c
Part 12 of the Income Tax (Earnings and Pensions) Act 2003 (payroll giving) ;
d
section 108 of the Income Tax (Trading and Other Income) Act 2005 (gifts of trading stock to charities etc) ;
e
Chapter 2 or 3 of Part 8 of the Income Tax Act 2007 (gift aid, gifts of shares, securities and real property to charities etc) ;
f
section 105 of the Corporation Tax Act 2009 (gifts of trading stock to charities etc) ; and
g
Part 6 of the Corporation Tax Act 2010 (charitable donations relief) .
Michael Fabricant
James Duddridge
Two of the Lords Commissioners of Her Majesty’s Treasury
14th March 2012 |
The European Union (Definition of Treaties) (Second Agreement amending the Cotonou Agreement) Order 2012
Accordingly, Her Majesty, in exercise of the powers conferred on Her by section 1(3) of the European Communities Act 1972, is pleased, by and with the advice of Her Privy Council, to order as follows:
1
This Order may be cited as the European Union (Definition of Treaties) (Second Agreement amending the Cotonou Agreement) Order 2011.
2
This Order shall come into force on the date upon which the treaty specified in the Schedule enters into force for the United Kingdom .
3
The treaty specified in the Schedule is to be regarded as an EU Treaty as defined in section 1(2) of the European Communities Act 1972 .
Richard Tilbrook
Clerk of the Privy Council
SCHEDULE
Agreement amending for the second time the 2000 Partnership Agreement between the Members of the African, Caribbean and Pacific Group of States, of the one part, and the European Community and its Member States, of the other part, signed in Ouagadougou, Burkina Faso on 22 June 2010 . |
The Charities Act 2011 (Commencement No. 1) Order 2012
The Minister for the Cabinet Office makes the following Order in exercise of the powers conferred by paragraph 29 of Schedule 9 to the Charities Act 2011 :
Citation and interpretation
1
1
This Order may be cited as the Charities Act 2011 (Commencement No. 1) Order 2012.
2
In this Order “ the Act ” means the Charities Act 2011.
Commencement
2
1
Subject to paragraph (2), the day appointed as the relevant commencement date for the purposes of paragraph 26(2) of Schedule 9 to the Act (transitory modifications relating to CIOs ) is 2nd January 2013.
2
Paragraph (1) does not apply in relation to sections 228 to 234 in Part 11 of the Act (conversion of certain bodies to CIO ).
Nick Hurd
Parliamentary Secretary
Cabinet Office
5th December 2012 |
The Care Quality Commission (Registration and Membership) (Amendment) Regulations 2012
Citation and commencement
1
1
These Regulations may be cited as the Care Quality Commission (Registration and Membership) (Amendment) Regulations 2012.
2
These Regulations come into force on 1st June 2012.
Amendments to the Care Quality Commission (Registration) Regulations 2009
2
In regulations 16(4) (notification of death of service user) and 18(4) (notification of other incidents) of the Care Quality Commission (Registration) Regulations 2009 , for the reference to “the National Patient Safety Agency” substitute “the NHS Commissioning Board Authority established under article 2 of the NHS Commissioning Board Authority (Establishment and Constitution) Order 2011” .
Amendments to the Care Quality Commission (Membership) Regulations 2008
3
In the Care Quality Commission (Membership) Regulations 2008 —
a
in regulation 2 (members of the Care Quality Commission), for “not more than ten” substitute “not more than twelve”; and
b
omit paragraph 27 of the Schedule to those Regulations (grounds for disqualification).
Signed by authority of the Secretary of State for Health.
Simon Burns
Minister of State,
Department of Health
30th April 2012 |
The Nursing and Midwifery Council (Constitution) (Amendment) Order 2012
Their Lordships make the following Order in exercise of the powers conferred by article 3(7A) of, and paragraph 1A and 1B of Schedule 1 to, the Nursing and Midwifery Order 2001 .
Citation, commencement and interpretation
1
1
This Order is to be cited as the Nursing and Midwifery Council (Constitution) (Amendment) Order 2012.
2
This Order comes into force on 1st May 2013.
3
In this Order, “the NMC Constitution Order ” means the Nursing and Midwifery Council (Constitution) Order 2008 .
Amendments to the NMC Constitution Order
2
The NMC Constitution Order is amended as follows —
a
in article 2, in both places where it occurs, for “7” substitute “6”;
b
for paragraph (2) of article 3, substitute —
2
No member of the Council may hold office as a member of the Council for more than an aggregate of 8 years during any continuous period of 20 years.
; and
c
in article 10, for “8” substitute “7”.
Transitional provisions: Council members in office
3
1
Subject to paragraph (2), the terms of office of all members of the Nursing and Midwifery Council in office on the date on which this Order comes into force are to come to an end on that date but this does not affect their eligibility for reappointment.
2
If a new Chair of the Nursing and Midwifery Council is appointed after 29th March 2012 the term of office of that appointee will not be brought to an end by this Order.
Richard Tilbrook
Clerk of the Privy Council |
The City of Leeds (Mayoral Referendum) Order 2012
In accordance with section 105(6) of that Act, a draft of this instrument has been laid before and approved by a resolution of each House of Parliament.
Citation and commencement
1
This Order may be cited as the City of Leeds (Mayoral Referendum) Order 2012 and comes into force on the day after the day on which it is made.
Interpretation
2
In this Order “the authority” means Leeds City Council.
Referendum on whether to operate a mayor and cabinet executive
3
The authority must, on 3rd May 2012, hold a referendum on whether to operate a mayor and cabinet executive.
Action to be taken after referendum
4
1
If the result of the referendum held by virtue of this Order is to approve a change to a mayor and cabinet executive, the authority must implement that change.
2
If the result of the referendum held by virtue of this Order is to reject a change to a mayor and cabinet executive, the authority shall continue to operate their existing form of governance.
Default powers of the Secretary of State
5
The Secretary of State may, in the event of any failure by the authority to take any action which must be taken by the authority by virtue of this Order, take that action.
Signed by authority of the Secretary of State for Communities and Local Government
Greg Clark
Minister of State
Department for Communities and Local Government
8th February 2012 |
The Housing and Regeneration Act 2008 (Consequential Provisions) Order 2012
The Secretary of State, in exercise of the powers conferred by section 321 of the Housing and Regeneration Act 2008 , makes the following Order:
Citation and commencement
1
This Order may be cited as the Housing and Regeneration Act 2008 (Consequential Provisions) Order 2012 and comes into force on 5th November 2012.
Consequential amendment: Part 1 of the Housing and Regeneration Act 2008
2
In Part 1 of the Schedule to the Local Authorities (Goods and Services) (Public Bodies) Order 1972 , for “Commission for the New Towns” substitute “Homes and Communities Agency”.
Signed by authority of the Secretary of State for Communities and Local Government
Mark Prisk
Minister of State
Department for Communities and Local Government
8th October 2012 |
London Local Authorities Act 2012
May it therefore please your Majesty that it may be enacted, and be it enacted, by the Queen's Most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows:
PART 1
Preliminary
Citation and commencement
1
1
This Act may be cited as the London Local Authorities Act 2012.
2
This Act and the London Local Authorities Acts 1990 to 2007 may be cited together as the London Local Authorities Acts 1990 to 2012.
3
This Act shall come into operation at the end of the period of two months beginning with the date on which it is passed but sections 11 (minor and consequential amendments) and 12 (Keeling Schedule) and Schedules 1 and 2 shall be deemed to have come into operation immediately after the other provisions of this Act.
General interpretation
2
In this Act —
”the Act of 2007" means the London Local Authorities Act 2007;
”authorised officer", in relation to a borough council, means —
any employee of the council;
any other person by whom, in pursuance of arrangements made with the council, any functions under this Act fall to be discharged; or
any employee of any such person,
who is authorised in writing by the council to act in relation to the relevant provision of this Act;
”borough council" means London borough council and includes the Common Council of the City of London in its capacity as a local authority and ”borough" and ”council" shall be construed accordingly.
PART 2
Penalty charges
Powers exercisable by police civilians and accredited persons
3
1
Where a designation under section 38 of the Police Reform Act 2002 applies paragraph 1 of Schedule 4 to that Act (community support officers' powers to issue fixed penalty notices) to any person, that person shall have the power of a borough council to serve a penalty charge notice under section 61(2) of the Act of 2007 (penalty charges) where he has reason to believe that a penalty charge is payable by the person being served to the borough council by virtue of a penalty charge provision within the meaning of section 61(7) of that Act.
2
An accredited person within the meaning of section 47 of the Police Reform Act 2002 whose accreditation specifies that this subsection applies to him shall have the power of a borough council to serve a penalty charge notice under section 61(2) of the Act of 2007 (penalty charges) where he has reason to believe that a penalty charge is payable by the person being served to the borough council by virtue of a penalty charge provision within the meaning of section 61(7) of that Act.
3
An accreditation may only specify that subsection (2) applies to an accredited person if that person's accreditation also specifies that paragraph 1 of Schedule 5 to the Police Reform Act 2002 (accredited person's powers to issue fixed penalty notices) applies to him.
Power to require name and address
4
1
If a borough council or a community support officer proposes to serve on a person a penalty charge notice under section 61(2) of the Act of 2007 (penalty charges), the council or community support officer may require the person to give him his name and address.
2
Where a requirement of the borough council under subsection (1) is made in person then —
a
it must be made by an authorised officer of the council; and
b
the authorised officer must, if required to do so, show proof of his authorisation.
3
A person commits an offence if —
a
he fails to give his name and address when required to do so under subsection (1); or
b
he gives a false or inaccurate name or address in response to a requirement under that subsection.
4
A person guilty of an offence under subsection (3) is liable on summary conviction to a fine not exceeding level 3 on the standard scale.
PART 3
Public health, environmental protection and highways
Street litter control notices
5
Section 94(1)(a) of the Environmental Protection Act 1990 (street litter: supplementary provisions) shall apply in Greater London as though for ”commercial or retail premises" there were substituted ”premises other than dwellings".
Use of turnstiles at public toilets
6
Section 1 of the Public Lavatories (Turnstiles) Act 1963 (abolition of turnstiles) shall not apply in respect of a public lavatory or public sanitary convenience controlled or managed by a borough council.
Charges for permitting the use of objects, etc. on the highway
7
1
In relation to a relevant permission, ”the standard amount" in section 115F(2) of the 1980 Act (power to impose conditions on permissions for execution of works and use of objects, etc. on the highway) means such amount as may be sufficient in the aggregate taking one year with another to cover the reasonable costs of a borough council, not otherwise recovered, of —
a
the cleansing of streets in which permitted activities take place so far as that cleansing is attributable to permitted activities; and
b
any reasonable administrative or other costs incurred in connection with the administration of Part VIIA of the 1980 Act (provision of amenities on certain highways) in relation to relevant permissions; and
c
the cost of enforcing —
i
the provisions of Part VIIA of the 1980 Act so far as it relates to permitted activities;
ii
section 130 of the 1980 Act (protection of public rights) in relation to activities which are capable of being authorised by a relevant permission but are not;
iii
the law in relation to obstruction of the highway in relation to activities which are capable of being authorised by a relevant permission but are not.
2
Section 115F(3) of the 1980 Act shall not apply in the area of a borough council in relation to a relevant permission.
3
In this section —
”the 1980 Act" means the Highways Act 1980;
”permitted activities" means activities carried out under the authority of a relevant permission;
”relevant permission" means a permission granted by a borough council under section 115E(1)(b)(i) of the 1980 Act (permission to use objects, etc. on, in or over the highway resulting in the production of income).
PART 4
Licensing
Miscellaneous
Amendment of City of Westminster Act 1996
8
1
The City of Westminster Act 1996 (which makes provision about the closure of unlawful sex establishments) is amended as follows.
2
In section 3(2)(a) for ”section 4(5)(a)" substitute ”section 4(6)(a)".
3
In section 8(1)(c) and (d) for ”sending it in a prepaid registered letter, or by the recorded delivery service" substitute respectively ”post" and ”by post".
4
In section 8(2)(b)(i) for ”in a prepaid registered letter, or by the recorded delivery service and is not returned to the authority sending it" substitute ”by post".
Street trading: vehicles and the internet
9
1
The London Local Authorities Act 1990 is amended as follows.
2
In section 21 (interpretation of Part III) —
a
in subsection (1), in the definition of ”street trading", for ”subsections (1A)" substitute ”subsections (1ZA), (1A)";
b
after subsection (1) insert the following subsection —
1ZA
In this Part of this Act ”street trading" shall also include the selling or exposure or offer for sale of any motor vehicle in the course of a business if the vehicle is —
a
exposed or offered for sale on the internet; and
b
kept on a street during the period when it is so exposed or offered for sale.
.
3
In section 32 (fees and charges), after subsection (2) insert —
2A
In calculating the levels of fees and charges under subsections (1) and (2) above, the council shall disregard costs incurred by them in relation to street trading of the type described in subsection (1ZA) of section 21 (interpretation of Part III) of this Act.
.
City of Westminster Act 1999
Street trading in the City of Westminster
10
1
The City of Westminster Act 1999 is amended as follows.
2
In section 2 (interpretation), in the definition of ”street trading", for ”subsection (2)" substitute ”subsections (1A) and (2)".
3
After section 2(1) insert the following subsection —
1A
In this Act ”street trading" shall also include the selling or exposure or offer for sale of any motor vehicle in the course of business if the vehicle is —
a
exposed or offered for sale on the internet; and
b
kept on a street during the period when it is so exposed or offered for sale.
.
4
In subsection (9) of section 9 (street trading licences), after ”street trading" insert ”(other than street trading of the type described in subsection (1A) of section 2 (interpretation) of this Act)".
5
In section 22 (fees and charges), after subsection (2) insert —
2A
In calculating the levels of fees and charges under subsections (1) and (2) above, the council shall disregard costs incurred by them in relation to street trading of the type described in subsection (1A) of section 2 (interpretation) of this Act.
.
6
Renumber subsections (5) and (6) of section 27 (unlicensed street trading) as subsections (1) and (2) of a new section, headed ”27A Seizure".
7
After subsection (2) in the new section 27A insert —
3
An authorised officer or constable may also seize any receptacle or equipment (other than a motor vehicle) which —
a
is in a street; and
b
he has reasonable cause to believe is intended to be used in connection with an offence under section 27 of this Act involving the sale, offer for sale, display, or exposing for sale of refreshments.
.
8
Renumber subsection (7) of section 27 as subsection (4) of new section 27A.
9
After new section 27A insert the following new section —
Seizure: notices
27B
1
In this section ”relevant item" means —
a
any receptacle used in the sale, offer for sale, display, or exposing for sale of refreshments which has been seized under subsection (1) or (2) of section 27A (seizure) of this Act;
b
any receptacle or equipment seized under subsection (3) of that section.
2
An authorised officer or a constable —
a
may give a notice under this section to the person from whom a relevant item was seized under subsection (1) or (2) of section 27A (seizure) of this Act (but no such notice may be given under this paragraph in respect of a motor vehicle);
b
shall give a notice under this section to the person from whom a relevant item was seized under subsection (3) of that section,
and any such notice must be given as soon as reasonably practicable after the item was seized.
3
A notice under this section shall be in such form as the council may prescribe, and shall —
a
explain that unless the recipient of the notice completes it in accordance with subsection (4) below and then returns it to the council in accordance with subsection (5) below, the council may dispose of the relevant item in question in accordance with section 27D (disposal of seized objects by council) of this Act; and
b
set out —
i
the address to which the completed notice should be returned;
ii
the date by which it must be returned (which must be no earlier than the date on which expires the period of 14 days beginning with the date on which the notice was given under subsection (2) above).
4
A notice under this section is completed by writing, in the appropriate place on the notice —
a
the name and full postal address of the recipient of the notice under subsection (2) above; and
b
(in the case of a notice given in accordance with subsection (2)(a) above) confirmation that that person —
i
intends to contest any criminal proceedings brought in respect of the alleged offence in respect of which the item in question was seized; or
ii
if not, that he requires the council to make a complaint for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question; and
c
(in the case of a notice given in accordance with subsection (2)(b) above) confirmation that that person requires the council to make a complaint for a disposal order under the said section 27I in respect of the relevant item in question; and
d
the signature of that person; and
e
the date on which it was signed.
5
A notice under this section, once completed, is returned by delivering it or sending it by post to the address set out on the notice as mentioned in subsection (3)(b)(i) above on or before the date as mentioned in that subsection.
6
If a notice given in accordance with subsection (2) above is completed and returned in accordance with subsections (4) and (5) above the council must, no later than the date on which expires the period of 28 days beginning with the date on which the notice was received by them —
a
make a complaint to the magistrates' court for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question; or
b
return the relevant item in question to the person whose name and address are written on the returned notice,
unless, before the expiry of that period, an information has been laid and not withdrawn in respect of any alleged offence in respect of which the item was seized.
.
10
For subsection (8)(a) of section 27 substitute the following as subsection (1) of a new section, headed ”27C Return of seized items" —
After new section 27A insert the following new section —
1
The provisions of this section shall have effect where any item is seized under subsection (1) of section 27A (seizure) of this Act (except where a notice is given under section 27B(2)(a) (seizure: notices) in respect of the item) or is seized and retained because it is required for evidential purposes under subsection (2) of the said section 27A and references in those provisions to proceedings are to proceedings in respect of the alleged offence in relation to which the item is seized.
.
11
Renumber paragraphs (b) to (h) of section 27(8) as subsections (2) to (8) of the new section 27C.
12
After new section 27C insert the following new section —
Disposal of seized objects by council
27D
1
The council may, in such manner as they think fit, dispose of —
a
any relevant item (within the meaning of section 27B (seizure: notices) of this Act) seized under subsection (1) or (2) of section 27A (seizure) of this Act if in respect of the alleged offence in question —
i
a fixed penalty is paid in accordance with section 16 of the London Local Authorities Act 2004 (c. i) before the expiry of the period mentioned in subsection (2) of that section; and
ii
the fixed penalty notice contained or was accompanied by written notice that the recipient could require the council on or before the time when the fixed penalty was paid to make a complaint for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question; and
iii
no such requirement was made of the council on or before that time; or
b
any such relevant item seized under subsection (1), (2) or (3) of the said section 27A if a notice was given under section 27B (seizure: notices) as soon as reasonably practicable after the article or thing was seized and the notice was not completed and returned to the council in accordance with subsections (4) and (5) of that section.
2
The council may recover their costs of disposing of a relevant item under subsection (1) above from the person from whom the object was seized.
3
Where a requirement of the sort mentioned under subsection (1)(a)(ii) was made on or before the time when the fixed penalty was paid, the council must make a complaint for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question.
.
13
Renumber subsections (9), (10)(a) and (10)(b) of section 27 as subsections (1), (2) and (3) of a new section, headed ”27E Forfeiture of seized items by court".
14
Renumber subsections (11)(a), (b) and (c) and (12) of section 27 as subsections (1) to (4) of a new section, headed ”27F Compensation" and —
a
renumber subsections (11)(a)(i) and (ii) as subsections (1)(a) and (b); and
b
renumber subsections (11)(a)(ii)(A) and (B) as subsections (1)(b)(i) and (ii).
15
After paragraph (b)(ii) of new section 27F(1) as numbered by subsection (14) insert —
iii
(in the case of a relevant item (within the meaning of section 27B (seizure: notices) of this Act) seized under subsection (3) of section 27A (seizure) of this Act) the council has failed to comply with subsection (6) of section 27B (seizure: notices) of this Act.
.
16
Renumber section 27A (seizure of perishable items) as section 27G.
17
Renumber section 27B (motor vehicles) as section 27H.
18
Renumber section 27C (disposal orders) as section 27I.
Minor and consequential amendments
11
Schedule 1 (which makes minor and consequential amendments to the City of Westminster Act 1999) has effect.
Keeling Schedule
12
The City of Westminster Act 1999 as amended by the London Local Authorities Act 2004, the Act of 2007 and this Act is set out in Schedule 2.
Street trading in the London Borough of Camden
Interpretation of Camden provisions
13
In sections 14 to 16 —
”the Act of 1990" means the London Local Authorities Act 1990;
”the Borough" means the London Borough of Camden;
”the Council" means Camden London Borough Council;
”street" has the same meaning as in Part III of the Act of 1990.
Seizure of certain objects
14
1
An authorised officer of the Council or a constable may in the Borough seize any receptacle or equipment (other than a motor vehicle) which —
a
is in a street; and
b
he has reasonable cause to believe is intended to be used in connection with an offence under section 38 (unlicensed street trading) of the Act of 1990 involving the sale, offer for sale, display, or exposing for sale of refreshments.
2
An authorised officer shall produce his authority if requested to do so by the person having control or possession of any receptacle or equipment seized under subsection (1).
Seizure: notices
15
1
In this section ”relevant item" means —
a
any receptacle used or intended to be used in the Borough in the sale, offer for sale, display, or exposing for sale of refreshments which has been seized under subsection (4) or (4A) of section 38 (unlicensed street trading) of the Act of 1990;
b
any receptacle or equipment seized under section 14.
2
An authorised officer of the Council or a constable —
a
may give a notice under this section to the person from whom a relevant item falling within subsection (1)(a) was seized (but no such notice may be given under this paragraph in respect of a motor vehicle);
b
shall give a notice under this section to the person from whom a relevant item falling within subsection (1)(b) was seized under section 14,
and any such notice must be given as soon as reasonably practicable after the item was seized.
3
A notice under this section shall be in such form as the Council may prescribe, and shall —
a
explain that unless the recipient of the notice completes it in accordance with subsection (4) and then returns it to the Council in accordance with subsection (5), the Council may dispose of the relevant item in question in accordance with section 16; and
b
set out —
i
the address to which the completed notice should be returned;
ii
the date by which it must be returned (which must be no earlier than the date on which expires the period of 14 days beginning with the date on which the notice was given under subsection (2) above).
4
A notice under this section is completed by writing, in the appropriate place on the notice —
a
the name and full postal address of the recipient of the notice under subsection (2); and
b
(in the case of a notice given in accordance with subsection (2)(a)) confirmation —
i
that that person intends to contest any criminal proceedings brought in respect of the alleged offence in respect of which the item in question was seized; or
ii
if not, that he requires the Council to make a complaint for a disposal order under section 38C of the Act of 1990 (disposal orders) in respect of the relevant item in question; and
c
(in the case of a notice given in accordance with subsection (2)(b) above) confirmation that that person requires the Council to make a complaint for a disposal order under the said section 38C in respect of the relevant item in question; and
d
the signature of that person; and
e
the date on which it was signed.
5
A notice under this section, once completed, is returned by delivering it or sending it by post to the address set out on the notice as mentioned in subsection (3)(b)(i) on or before the date as mentioned in that subsection
6
If a notice given in accordance with subsection (2) is completed and returned in accordance with subsections (4) and (5) the Council must, no later than the date on which expires the period of 28 days beginning with the date on which the notice was received by them —
a
make a complaint to the magistrates' court for a disposal order under section 38C of the Act of 1990 in respect of the relevant item in question; or
b
return the relevant item in question to the person whose name and address are written on the returned notice,
unless, before the expiry of that period, an information has been laid and not withdrawn in respect of any alleged offence in respect of which the item was seized.
7
Any person who, in completing a notice under subsection (4) makes a statement which he knows to be false in a material particular shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
Return and disposal of seized objects by Council
16
1
Subsection (4C)(a) of section 38 of the Act of 1990 (unlicensed street trading) shall apply as respects the Council as though after ”subsection (4) above" the words ”(except where notice is given under section 15(2)(a) of the London Local Authorities Act 2012 (seizure: notices))" were inserted.
2
The Council may, in such manner as they think fit, dispose of —
a
any relevant item (within the meaning of section 15) seized under subsection (4) or (4A) of section 38 of the Act of 1990 (unlicensed street trading) if —
i
in respect of the alleged offence in question, a fixed penalty is paid in accordance with section 16 of the London Local Authorities Act 2004 before the expiry of the period mentioned in subsection (2) of that section; and
ii
the fixed penalty notice contained or was accompanied by written notice that the recipient could require the Council on or before the time when the fixed penalty was paid to make a complaint for a disposal order under section 38C of the Act of 1990 (disposal orders) in respect of the relevant item in question; and
iii
no such requirement was made of the Council on or before that time; or
b
any such relevant item seized under subsection (4) or (4A) or under section 14 if a notice was given under section 15 as soon as reasonably practicable after the article or thing was seized and the notice was not completed and returned to the Council in accordance with subsections (4) and (5) of that section.
3
The Council may recover their costs of disposing of a relevant item under subsection (2) above from the person from whom the object was seized.
4
Where a requirement of the sort mentioned under subsection (2)(a)(ii) was made on or before the time when the fixed penalty was paid, the Council must make a complaint for a disposal order under section 38C of the Act of 1990 (disposal orders) in respect of the relevant item in question.
5
Subsection (8)(a)(i) of section 38 shall apply as respects the Council as though at the end the words ”or under section 14 (seizure of certain objects) of the London Local Authorities Act 2012" were inserted.
6
In addition to the alternative requirements as set out in subsection (8)(a)(ii)(A) and (B) of section 38, one of which must be satisfied before compensation may be recovered under that subsection, the following alternative requirement is added in relation to the Council —
C
(in the case of a relevant item (within the meaning of section 15 (seizure: notices) of the London Local Authorities Act 2012) seized under section 14 of that Act) the council has failed to comply with subsection (6) of the said section 15.
.
7
Section 38C of the Act of 1990 (disposal orders) shall apply as respects the Council as though in subsection (1) the following paragraph were inserted after paragraph (b) —
”; or
ba
a relevant item under subsection (3) of section 16 (return and disposal of seized objects by Council) of the London Local Authorities Act 2012,
.
PART 5
Miscellaneous and Supplemental
Minor amendments to London Local Authorities Act 2007, etc.
17
1
In section 24(4) of the Act of 2007 (littering from vehicles), for ”subsection (2)" substitute ”subsection (4A)".
2
In subsection (3A) of section 59 of the Environmental Protection Act 1990 (as inserted by section 25 (3) of the Act of 2007 (powers to require removal of waste unlawfully deposited)) for ”waste control authority" substitute ”waste collection authority".
Proof of resolution
18
In any proceedings which require proof of the passing of a resolution under this Act it shall be presumed, unless the contrary is proved, that the said resolution was duly passed and that any requirements relating to the passing of the resolution and the giving of any notices or information before or after the passing of the resolution were properly complied with.
Liability of directors, etc.
19
Where an offence under this Act committed by a body corporate is proved to have been committed with the consent of a director of the body corporate, he, as well as the body corporate, shall be guilty of the offence.
SCHEDULES
SCHEDULE 1
MINOR AND CONSEQUENTIAL AMENDMENTS TO CITY OF WESTMINSTER ACT 1999
Section 11
Offences
1
In paragraph (b) of section 24 (offences) after ”temporary licence" insert ”or in completing a notice in accordance with subsection (4) of section 27B (seizure: notices) of this Act".
Seizure
2
In new section 27A (seizure) —
a
in subsection (1) (as numbered by section 26(6)) —
i
for ”this section" substitute ”section 27 (unlicensed street trading) of this Act";
ii
for ”subsection (9) below" substitute ”section 27E (forfeiture of seized items by court) of this Act";
b
in subsection (4) (as numbered by section 26(8)), for ”subsections (5) and (6)" substitute ”subsections (1) to (3)".
3
In new section 27C (return of seized items) —
a
in subsection (2) (as numbered by section 26(11)) —
i
for ”paragraph (f)" substitute ”subsection (6)";
ii
for ”article or thing" substitute ”item";
iii
for ”subsection (9) below" substitute ”section 27E (forfeiture of seized items by the court) of this Act";
b
in subsection (3) (as so numbered), for ”article or thing" in all four places substitute ”item";
c
in subsection (4) (as so numbered) —
i
for ”sub-paragraph (e)" substitute ”subsection (5)";
ii
for ”subsection (5) above" substitute ”subsection (1) of the said section 27A";
d
in subsection (5) (as so numbered), for ”Sub-paragraph (d)" substitute ”Subsection (4)";
e
in subsection (6) (as so numbered), at the beginning insert ”Subject to subsection (8) below,";
f
in subsection (7) (as so numbered) —
i
for ”Paragraph (h)" substitute ”Subsection (8)";
ii
for ”article, thing, receptacle or equipment" substitute ”item";
g
in subsection (8) (as so numbered) —
i
for ”paragraph" substitute ”subsection";
ii
for ”section 27C" substitute ”section 27I".
Forfeiture
4
In new section 27E (forfeiture of seized objects by court) —
a
in subsection (1) (as numbered by section 26(13) —
i
for ”subsection (10)" substitute ”subsection (2)";
ii
for ”this section" where it appears the first time substitute ”section 27 (unlicensed street trading) of this Act";
iii
for ”this section" where it appears the second time substitute ”that section";
b
in subsection (2) (as so numbered) —
i
for ”subsection (9)" substitute ”subsection (1)"; and
ii
renumber paragraphs (i) and (ii) as (a) and (b);
c
in subsection (3) (as so numbered) for ”this section" substitute ”the said section 27".
Compensation
5
In new section 27F (compensation) —
a
in subsection (1) (as numbered by section 26(14)) —
i
for ”This subsection" substitute ”This section";
ii
in paragraph (a) (as so numbered) for ”article, thing, receptacle or equipment" substitute ”item";
iii
in paragraph (a) (as so numbered) for ”subsection (5) or (6) above" substitute ”subsections (1) to (3) of section 27A (seizure) of this Act";
iv
in paragraph (b)(i) (as so numbered) for ”this section" substitute ”section 27 (unlicensed street trading)";
b
in subsection (2) (as so numbered) —
i
for ”subsection" substitute ”section";
ii
for ”article, thing, receptacle or equipment" substitute ”item";
c
in subsection (3) (as so numbered) —
i
for ”paragraph (b)" substitute ”subsection (2)";
ii
for ”subsection (5) or (6)" substitute ”subsections (1) to (4) of section 27A (seizure) of this Act".
Seizure of perishable items
6
In section 27G (as renumbered by section 26(16)) —
a
in subsection (1) —
i
for ”article or thing" substitute ”item" in both places where those words appear;
ii
for ”subsection (5) of section 27 (unlicensed street trading)" substitute ”subsection (1) of section 27A (seizure)";
b
in subsection (2) —
i
for ”subsection (5)" where it appears the first time substitute ”subsection (1)";
ii
for ”subsection (5)" where it appears the second time substitute ”subsection (3)";
iii
for ”subsection (10) of the said section 27" substitute ”subsection (2) of section 27E (forfeiture of seized items by court) of this Act";
c
in subsection (5) —
i
for the words from the beginning to ”section 27" substitute ”Subsections (1) to (4) of section 27C (return of seized items) and subsections (1) to (3) of section 27E (forfeiture of seized items by court) of this Act";
ii
for ”that section" substitute ”section 27A (seizure) of this Act";
iii
for ”article or thing" in both places substitute ”item".
d
in subsection (6) —
i
for the words from the beginning to ”section 27" substitute ”Subsections (6) to (8) of the said section 27C";
ii
for ”that section" substitute ”the said section 27A";
iii
for ”article or thing" substitute ”item";
iv
for ”paragraph (f)" substitute ”subsection (6)";
e
in subsection (7) —
i
for ”Subsection (11) of the said section 27" substitute ”Section 27F (compensation) of this Act";
ii
for ”paragraph (c)" substitute ”subsection (3)";
iii
for ”that section" where it appears the first time substitute ”the said section 27A";
iv
for ”paragraph (a)(ii)(A) or (B)" substitute ”subsection (1)(b) of the said section 27F";
f
in subsection (8) —
i
for ”article or thing" substitute ”item";
ii
for ”subsection (4)" substitute ”subsection (3)";
g
in subsection (10) for ”the said section 27" substitute ”section 27 (unlawful street trading) of this Act";
h
in subsection (11) leave out ”borough".
Motor vehicles
7
In section 27H (as renumbered by section 26(17) —
a
in subsection (2) for ”subsection (5) or (6) of section 27 (unlicensed street trading)" substitute ”subsection (1) or (2) of section 27A (seizure)";
b
in subsection (3) for ”subsection (8)(f) of that section" substitute ”subsection (6) of section 27C (return of seized items) of this Act";
c
in subsection (5) for ”subsection (5) or subsection (6)" substitute ”subsection (1) or subsection (2)".
Disposal orders
8
In section 27I (as renumbered by section 26(18) —
a
for subsection (1) substitute —
1
This section applies in respect of a complaint made by the council for a disposal order under —
a
subsection (6)(a) of section 27B (seizure: notices) of this Act;
aa
subsection (8) of section 27C (return of seized items) of this Act; or
ab
subsection (3) of section 27D (disposal of seized objects by the council) of this Act; or
b
subsection (5) of section 27H (motor vehicles) of this Act,
and items that are the subject of the complaint are referred to as ”seized items" in this section.
;
b
in subsection (2) omit ”complainant";
c
in subsection (3) for ”article, thing, receptacle or equipment" substitute ”seized item".
SCHEDULE 2
CITY OF WESTMINSTER ACT 1999 AS HAVING EFFECT AS AMENDED BY SECTION 20(2) OF THE LONDON LOCAL AUTHORITIES ACT 2004 CHAPTER 2 OF PART 3 OF THE LONDON LOCAL AUTHORITIES ACT 2007 AND THIS ACT
Section 12
Citation and commencement
1
1
This Act may be cited as the City of Westminster Act 1999.
2
This Act shall come into operation at the end of the period of two months beginning with the date on which it is passed.
Interpretation
2
1
In this Act, except as otherwise expressly provided or unless the context otherwise requires —
”authorised officer" means a person authorised by the council to act in relation to the relevant provisions of this Act;
”the city" means the City of Westminster;
”the Commissioner" means the Commissioner of Police of the Metropolis;
”the council" means the Westminster City Council;
”house" includes any part of a building constituting a separate dwelling;
”ice cream trading" means the selling, exposing or offering for sale of goods consisting wholly or mainly of ice cream, frozen confectionery or other similar commodities;
”itinerant ice cream trading" means ice cream trading from a vehicle which goes from place to place remaining in any one location in the course of trading for short periods only;
”licence street" means a street or part of a street designated under section 5 (designation of streets and specification of articles) and section 6 (designating resolution) of this Act;
”receptacle" includes a vehicle, trailer or stall and any basket, bag, box, vessel, stand, easel, board, tray or thing which is used (whether or not constructed or adapted for such use) as a container for or for the display of any article or thing or equipment used in the provision of any service;
street" includes —
any road or footway;
any other area, not being within permanently enclosed premises, within 7 metres of any road or footway, to which the public obtain access without payment —
whether or not they need the consent of the owner or occupier; and
if they do, whether or not they have obtained it;
any part of such road, footway or area;
any part of any housing development provided or maintained by a local authority under Part II of the Housing Act 1985;
”street trading" means, subject to subsections (1A) and (2) below and section 3 (Exemptions) of this Act —
the selling, offering for sale, display or exposing for sale of any article (including a living thing); and
the purchasing of or offering to purchase any ticket for gain or reward; and
the supplying or offering to supply a service for gain or reward (whether or not the gain or reward accrues to the person actually carrying out the trading),
in a street;
”street trading licence" means a licence granted under this Act but excludes a temporary licence;
”street trading pitch" means the area authorised by a street trading licence or a temporary licence for street trading purposes;
”temporary licence" means a licence granted under this Act for one or more days not exceeding six months.
1A
In this Act ”street trading" shall also include the selling or exposure or offer for sale of any motor vehicle in the course of business if the vehicle is —
a
exposed or offered for sale on the internet; and
b
kept on a street during the period when it is so exposed or offered for sale.
2
In determining whether activity amounts to street trading for the purposes of this Act, the fact —
a
that a transaction was completed elsewhere than in a street in the case where the initial offer or display of the articles in question or the offer of services, as the case may be, took place in a street;
b
that either party to the transaction was not in a street at the time it was completed;
c
that the articles actually sold or services actually supplied, as the case may be, were different from those offered,
shall be disregarded.
Exemptions
3
The following are not street trading for the purposes of this Act —
a
trading only as a newsvendor provided that no undue interference or inconvenience or safety hazard is caused to people using the street and that the only articles sold, exposed or offered for sale are current newspapers or periodicals and that such articles are being sold, offered or exposed for sale —
i
without a receptacle; or
ii
from a single receptacle which does not —
A
exceed 1 metre in length or width or 2 metres in height; or
B
occupy a ground area exceeding 0.25 square metres; or
C
stand on the carriageway of the street.
b
the selling of articles or things to occupiers of premises adjoining any street, or the offering or exposing of them for sale by a delivery person from a vehicle which is used only for the regular delivery of milk or other perishable goods to those persons.
c
the selling, exposure or offer for sale of articles or the provision of services on private land adjacent to a shop provided that the selling, exposure or offer for sale of the articles or the provision of the services —
i
forms part of the business of the owner of the shop or person assessed for uniform business rate of the shop; and
ii
takes place during the period during which the shop is open to the public for business.
d
the doing of anything authorised by regulations made under section 5 of the Police, Factories, &c. (Miscellaneous Provisions) Act 1916 or by permit or order made under Part III of the Charities Act 1992.
e
trading by a person acting as a pedlar under the authority of a pedlar's certificate under the Pedlars Act 1871, if the trading is carried out only by means of visits from house to house.
Itinerant ice cream trading
4
1
Nothing in this Act shall apply to itinerant ice cream trading in any street unless —
a
that street is a licence street; or
b
the street has been designated as a prohibited street under the following provisions of this section.
2
If at any time it is necessary to prohibit itinerant ice cream trading in any street in the city which is not a licence street in the interests of preventing a safety hazard, obstruction to traffic or undue interference or inconvenience to persons using that street, the council may by resolution designate the street as a prohibited street and may from time to time rescind or vary any such resolution.
3
The council shall not pass such a resolution unless they have first given notice in writing of their intention to do so —
a
to the Commissioner;
b
to the highway authority (except where the council is the highway authority); and
c
to any body which appears to the council to be representative of persons carrying on ice cream trading in the area affected by the proposed resolution.
4
The notice shall —
a
give details of the proposed resolution and the reasons for it; and
b
state that representations may be made regarding the proposed resolution by the date specified in the notice as the due date which shall be not less than 42 days after the notice has been given.
5
As soon as practicable after the due date the council shall consider all representations received by that date and may at their discretion consider representations received after that date.
6
The council shall give to any person who makes representations by the due date an opportunity to make oral representations to the council and may at their discretion give to other persons making representations a similar opportunity.
7
The council may pass the proposed resolution, with any modifications they consider appropriate as a result of any representations received under this section.
8
As soon as practicable after passing a resolution under subsection (7) above, the council shall by notice in writing inform all persons given notice of the proposed resolution.
Designation of streets and specification of articles
5
1
The council may pass any of the following resolutions —
a
a resolution designating a street or part of a street in the city as a licence street (a ”designating resolution");
b
a resolution specifying that in relation to a licence street or streets either —
i
only specified articles, things or services or classes of articles, things or services may be sold, offered or provided in that street; or
ii
the sale, offer or provision of specified articles, things or services or classes of articles, things or services are prohibited in that street (a ”specifying resolution").
2
The council may from time to time rescind or vary any such resolution.
Designating resolution
6
1
The council shall not pass a designating resolution or rescind or vary such a resolution unless they have first given notice in writing of their intention to do so —
a
to the Commissioner;
b
to the highway authority (except where the council is the highway authority);
c
to any body which appears to the council to represent the relevant street traders;
d
to all licence holders whom the council could reasonably expect would be affected by the proposed resolution; and
e
where the proposed resolution would designate private land, to the owner of that land or to the person assessed for the uniform business rate on it.
2
The council may, if they think fit, also give notice in writing to residents associations or amenity societies representing residents living in the vicinity of the area which is the subject of a proposed designating resolution.
3
The notice shall —
a
give details of the proposed resolution; and
b
state that representations may be made regarding the proposed resolution by the date specified in the notice as the due date, which date shall be not less than 28 days after the notice has been given.
4
As soon as practicable after the due date the council shall consider all representations received by that date and may at their discretion consider representations received after that date.
5
The council shall give to any person who makes representations by the due date an opportunity to make oral representations to the council and may at their discretion give to other persons making representations a similar opportunity.
6
The council may pass the proposed resolution with any modifications they consider appropriate as a result of any representations received under this section except that no designating resolution may be passed —
a
in respect of private land without the consent of the owner of that land or the person assessed for the uniform business rate on it; or
b
in respect of a highway in respect of which the council is not the highway authority, without the consent of the highway authority.
7
As soon as practicable after passing a resolution under subsection (6) above the council shall by notice in writing inform all persons given notice of the proposed resolution.
8
If a street trading pitch becomes temporarily unsuitable for street trading purposes the council may after consulting the Commissioner, the highway authority, the licence holder and any other body or person they think fit, temporarily designate an alternative location for that pitch.
9
A temporary designation under subsection (8) above shall remain in force for a period of no longer than five years from the date of designation and the street trading licence for the temporarily unsuitable pitch may be transferred, with any necessary modification to that licence, to the temporarily designated pitch.
Specifying resolution
7
1
The council shall not pass a specifying resolution or rescind or vary such a resolution unless they have first given notice in writing —
a
to all licence holders whom the council could reasonably expect would be affected by the proposed resolution; and
b
to any body which appears to the council to represent such licence holders.
2
The notice shall —
a
give details of the proposed resolution; and
b
state that representations may be made regarding the proposed resolution by the date specified in the notice as the due date which date shall be not less than 28 days after the notice has been given.
3
As soon as practicable after the due date the council shall consider all representations received by that date and may at their discretion consider representations received after that date.
4
The council shall give to any person who makes representations by the due date an opportunity to make oral representations to the council and may at their discretion give to other persons making representations a similar opportunity.
5
The council may pass the resolution with any modifications which they consider appropriate as a result of any representations received under this section.
6
As soon as practicable after passing a resolution under subsection (5) above the council shall by notice in writing inform all parties given notice of the proposed resolution.
Licensing of street traders
8
1
Subject to section 4 (itinerant ice cream trading) of this Act it shall be unlawful for any person to engage in street trading (whether or not in or from a stationary position) within the city unless that person is authorised to do so by a street trading licence or a temporary licence.
2
For the purposes of this Act a person shall be deemed to engage in street trading whether or not he regularly carries on the business of street trading.
Street trading licences
9
1
The council may grant a street trading licence on such reasonable terms and conditions relevant to street trading as the council may specify.
2
Without prejudice to the generality of subsection (1) above such conditions may include conditions —
a
identifying the street trading pitch at which the licence holder may engage in street trading under the licence;
b
identifying the articles, things or services or the classes of articles, things or services which the licence holder may sell or expose or offer for sale or provide;
c
identifying the days and times during which the licence holder may engage in street trading;
d
identifying the nature, type and number of any receptacle which may be used by the licence holder in connection with the sale or exposure or offer for sale of articles or things or the provision of services;
e
requiring that any receptacle so used shall carry in a conspicuous position the name of the licence holder and the number of his licence in a form acceptable to the council;
f
identifying any position in the licence street or adjoining streets where articles or things needed for re-stocking any such receptacle may be stored and the period during which they may be so stored;
g
regulating the storage of receptacles or perishable goods;
h
regulating the deposit and removal of refuse and the containers to be used for the deposit of refuse and their location pending its removal;
i
requiring that the licence holder shall commence trading by a certain time on any day or forfeit his right to trade under his street trading licence for that day; and
j
requiring third party insurance cover.
3
Such conditions may also include conditions relating to the prevention of nuisance and may include specific restrictions relating to the hours between 10 p.m. on Sunday to Friday and 7 a.m. the day following and 10 p.m. on Saturday and 9 a.m. on Sunday.
4
A street trading licence shall remain in force until it is cancelled or revoked by the council.
5
A licence granted to an individual shall bear his photograph. The photograph, subject to subsection (7) below, shall be one of the photographs provided pursuant to subsection (3) of section 11 (applications) of this Act.
6
Where a licence is granted to an individual the council may give him notice in writing, at intervals of not less than five years, requiring him to provide the council with three new photographs of the type prescribed by subsection (3) of section 11 (applications) of this Act, signed as there provided, but the council may, at their discretion, accept a lesser number of photographs.
7
On each occasion when new photographs are provided by a licence holder pursuant to subsection (6) above the council shall re-issue his licence and the re-issued licence shall bear one of the new photographs.
8
Where a licence is granted to a company incorporated under the Companies Acts, to an unincorporated association or to a partnership to carry on ice cream trading, any individual carrying on ice cream trading in accordance with that licence shall at all times while he is so trading carry with him, and produce on request by an authorised officer or a constable, a recent photograph of himself authenticated by the company or on behalf of the unincorporated association or partnership, as the case may be, which holds the licence.
9
Where a licence is granted to an individual he shall at all times while engaged in street trading (other than street trading of the type described in subsection (1A) of section 2 (interpretation) of this Act) carry with him, and produce on request by an authorised officer or a constable, either the licence or an approved form of identity issued by the council for the purposes of this Act.
Standard conditions
10
1
The council may prescribe standard conditions which are to apply to all street trading licences.
2
Before prescribing such conditions or changing any condition so prescribed, the council shall first give notice in writing to all holders of street trading licences whom the council could reasonably expect would be affected by the proposed conditions or changes to the conditions and to any body which appears to the council to represent such licence holders.
3
The notice shall —
a
give details of the proposed conditions or changes to the conditions;
b
state that representations may be made with regard to the proposal by the date specified in the notice as the due date, which date shall be not less than 28 days after the notice has been given.
4
As soon as practicable after the due date the council shall consider all representations received by that date and may at their discretion consider representations received after that date.
5
The council shall give to any person who makes representations by the due date an opportunity to make oral representations to the council and may at their discretion give to other persons making representations a similar opportunity.
6
The council may prescribe the proposed conditions or changes to conditions with any modifications they consider appropriate as a result of any representations received under this section.
7
As soon as practicable and in any event no later than 7 days after prescribing such conditions or changes to conditions the council shall by notice in writing inform all the holders of street trading licences to whom previous notice was given under subsection (2) above of the conditions or changes to conditions and the conditions or changes to conditions shall come into force 35 days after the date on which the conditions or changes to conditions were prescribed.
Applications
11
1
An application for the grant or variation of a street trading licence shall be made in writing to the council in such form as the council may prescribe.
2
In the application the applicant shall state —
a
in the case of an application by an individual, his full name and home address and date of birth;
b
in the case of an application for a licence to carry on ice cream trading —
i
by a company incorporated under the Companies Acts, the name of the company and its registered office;
ii
by a partnership or unincorporated association, the names of its members and the address of its principal office;
c
the licence street in which, the days on which and times between which he desires to trade and, if appropriate, the street trading pitches from which he desires to trade;
d
the description of articles, things or services in which he desires to trade; and
e
such other particulars, relevant to street trading, as the council may reasonably require:
and may in the case of an individual specify the name of the person to whom he would wish the licence to be granted in the circumstances of any of the events listed in section 20 (succession) of this Act.
2A
In the case of an application for a street trading licence which, if granted, would authorise street trading on land which falls within paragraph (b) in the definition of ”street" in subsection (1) of section 2 (interpretation) of this Act, the applicant shall provide evidence in writing —
a
that he has consent to trade on the land from the owner of the land in question; or
b
that he is the owner of the land in question.
3
In the case of an application by an individual the applicant shall, with his application, hand to an authorised officer three identical clear full face photographs of himself, without headgear (unless on religious grounds the applicant permanently wears headgear) or sunglasses, taken within the preceding 12 months, each photograph being signed by the applicant on the reverse, but the council may, at their discretion, accept a lesser number of photographs.
4
If a standard condition prescribed under section 10 (standard conditions) of this Act requires third party insurance cover the applicant shall produce to an authorised officer proof of such third party insurance cover before a licence is granted.
5
The council may make regulations prescribing the procedure for determining applications.
6
Before making such regulations or changing them the council shall consult with any body which appears to the council to represent licence holders and give consideration to any representations received within 28 days of the date the council's proposals were notified to the body concerned.
Mandatory grounds of refusal
12
1
The council shall refuse to grant an application made under section 11 (applications) of this Act —
a
where the applicant is not an individual;
b
where the applicant is under the age of 17 years;
c
where the applicant holds a street trading licence in any other licence street granted under this Act, or a street trading licence in the area of another local authority granted under the London Local Authorities Act 1990 which, in either case, enables him to carry on street trading during the period stated in his application;
d
where the council are satisfied that there is not enough space in the street for the applicant to engage in the trading in which he desires to trade without causing a safety hazard or undue interference or inconvenience to persons or vehicular traffic using the street;
e
where the street to which the application relates is a street in respect of which a specifying resolution is in force and the grant of the licence would be contrary to any of the terms of that resolution;
f
to trade in a street which is not a licence street;
g
where the application, if granted, would authorise street trading on land which falls within paragraph (b) in the definition of ”street” in subsection (1) of section 2 (interpretation) of this Act, unless the applicant has provided sufficient such evidence as is mentioned in subsection (2A) above to satisfy the council.
2
Subsection (1)(a) above shall not apply where the application is to carry on ice cream trading.
Discretionary grounds of refusal
13
1
The council may refuse to grant an application made under section 11 (applications) of this Act on any of the following grounds: —
a
that, in the case of an application for the grant of a licence the council considers that there are enough traders trading in the street or in any street adjoining the street in respect of which the application is made in the goods in which the applicant desires to trade;
b
that the applicant is on account of misconduct or for any other sufficient reason unsuitable to hold a street trading licence;
c
that the applicant has persistently failed to comply with any condition of his street trading licence or a previous street trading licence held by the individual, member of the unincorporated association or partnership or company concerned;
d
that the applicant is an individual who has persistently without reasonable excuse failed to make full personal use of a previous street trading licence;
e
that the applicant is a partnership, unincorporated association or company which has without reasonable excuse persistently failed to avail itself fully of a previous street trading licence;
f
that the applicant has at any time been granted a street trading licence by the council which was revoked or could have been revoked on the grounds that he had refused or neglected to pay fees or other charges due to them in respect of the licence;
g
that the applicant has failed to provide or to identify suitable or adequate premises for the storage of any receptacles or perishable goods in which he proposes to trade when street trading is not taking place;
h
that since the grant of a previous street trading licence the licence holder has persistently failed to remove to the place of storage the receptacles used by him for trading or any perishable goods in which he trades;
i
that in the vicinity of the street trading pitch concerned undue disturbance is likely to be caused as a result of the proposed activities of the applicant;
j
that in the case of an application for the grant of a street trading licence —
i
the only available position is in that part of the street which is in front of any part of the frontage of a shop or in front of the paved area of the frontage of that shop; and
ii
the articles, things or services mentioned in the application are sold or provided at the shop;
k
that in the case of an application for the grant of a street trading licence —
i
the only available position in the street is within the curtilage of a shop; and
ii
the applicant is not the owner or occupier of the premises comprising the shop.
2
If the council consider that grounds for refusal exist under subsection (1) (a), (c), (d), (e) or (i) above they may grant the applicant a licence which permits him —
a
to trade on fewer days or during a shorter period in each day than is specified in the application; or
b
to trade on a different street trading pitch from that specified in the application; or
c
to trade in goods other than those specified in the application or in only some of the goods so specified.
Cancellation of licences
14
A holder of a street trading licence or a temporary licence may at any time surrender his licence with a written and signed request for its cancellation and the cancellation shall take effect when the licence together with the request for its cancellation is received by the council.
Revocation of licences
15
1
The council may at any time revoke a street trading licence or a temporary licence if they are satisfied that —
a
owing to circumstances which have arisen since the grant of the licence, there is not or will not be enough space in the street in which the licence holder trades for him to engage in the trading permitted by the licence without causing a safety hazard or undue interference or inconvenience to persons or vehicular traffic using the street; or
b
the licence holder is trading in breach of the terms of a specifying resolution; or
c
the licence holder is an individual who has persistently without reasonable excuse failed to make full personal use of his licence; or
d
the licence holder is a partnership, unincorporated association or company which has without reasonable excuse persistently failed to avail itself fully of the licence; or
e
the licence holder is on account of misconduct or for any other sufficient reason unsuitable to hold the licence; or
f
since the grant of the licence, the licence holder has for a period of four weeks or more failed to pay fees or charges due to the council in connection with the street trading licence or has failed to pay any charges due from him for accommodation provided in pursuance of subsection (2) of section 23 (receptacles and containers) of this Act; or
g
since the grant of the licence, the licence holder has persistently failed to pay fees or charges as they fall due to the council in connection with the street trading licence; or
h
since the grant of the licence, the licence holder has failed to make provision for the suitable and adequate storage when trading is not taking place of the receptacles used by him for trading or of any perishable goods in which he trades; or
i
since the grant of the licence, the licence holder has persistently failed to remove to the place of storage the receptacles used by him for trading or any perishable goods in which he trades; or
j
the licence holder has persistently failed to comply with any condition of his licence; or
k
in the vicinity of the street trading pitch concerned undue disturbance has been caused by the activities of the licence holder; or
l
the licence holder has failed to provide the council with the photographs required in pursuance of a notice under subsection (6) of section 9 (street trading licences) of this Act.
2
If the council consider that a licence could be revoked on any of the grounds mentioned in paragraphs (a) to (d) and (k) of subsection (1) above they may instead of revoking it, vary its conditions by attaching further conditions —
a
reducing the number of days in any week or the period in any one day during which the licence holder is permitted to trade; or
b
specifying a different street trading pitch at which licensed street trading may take place; or
c
restricting the description of articles, things or services in which the licence holder is permitted to trade.
Variation of licences
16
1
In addition to changes to any of the standard conditions which the council may make under section 10 (standard conditions) of this Act the council may vary a street trading licence on 1st January in any year during the currency of the licence.
2
Subject to the provisions of this Act, the council may also at any time vary a street trading licence on application by the licence holder in accordance with his application.
Further provisions relating to refusal, revocation or variation of street trading licences
17
1
The council shall before —
a
refusing an application for the grant of a street trading licence, other than on the grounds specified in section 12 (mandatory grounds of refusal) of this Act;
b
revoking a street trading licence or a temporary licence valid for a period exceeding 28 days; or
c
varying a street trading licence other than a variation to a standard condition as set out in section 10 (standard conditions) of this Act;
give to the applicant or licence holder at least 21 days notice in writing of their proposal and the grounds on which the proposed refusal, revocation or variation would be based and giving the applicant or licence holder the opportunity to appear before the committee, sub-committee, authorised officer or panel of officers determining the matter.
2
The council may consider and determine any of the matters set out in paragraph (a) to (c) of subsection (1) above where a shorter period of notice than the 21 days required by that subsection has been given, provided the applicant or licence holder has so consented in writing.
3
If an application is refused or a licence is revoked or varied (other than under subsection (2) of section 16 (variation of licences) of this Act) the council shall notify the applicant or licence holder in writing of —
a
the decision together with the grounds and reasons for that decision; and
b
any rights of appeal against that decision.
Lapsing of licence in certain cases
17A
In the case of a street trading licence which authorises street trading on land which falls within paragraph (b) in the definition of ”street" in subsection (1) of section 2 (interpretation) of this Act, the licence shall lapse if —
a
the consent is discontinued by the person who gave it, or a successor in title of that person, and the council is provided with written notice of the discontinuation of the consent by the person who discontinues it; or
b
the holder of the licence no longer is the owner of the land in question, as the case may be.
Appeals against refusal, revocation or variation of licences
18
1
Any person aggrieved —
a
by a decision of the council to refuse an application under section 11 (applications) of this Act other than on any of the grounds specified in section 12 (mandatory grounds of refusal) of this Act or to revoke a street trading licence; or
b
by a decision of the council to grant a street trading licence on terms other than those sought; or
c
by a decision of the council to vary a street trading licence other than by a change to the standard conditions; or
d
by the attachment to a street trading licence of any condition other than a condition to which the licence had hitherto been subject or a standard condition; or
e
by a prohibition under subsection (2) of section 4 (itinerant ice cream trading) of this Act;
may appeal to a magistrates' court acting for the area in which the street trading pitch is situated or in which is situated the street to which the prohibition relates.
2
An appeal under subsection (1) above may be brought —
a
in the case of an appeal under subsections (1)(a) to (d) above, at any time before the expiration of the period of 21 days beginning with the date upon which notification in writing is given of the decision;
b
in the case of an appeal under paragraph (e) of that subsection, at any time before the expiration of the period of 21 days beginning with the date on which the person aggrieved is informed under subsection (8) of the said section 4 of this Act of the council's resolution to make the prohibition.
3
A person desiring to appeal against such a decision as is mentioned in subsection (1) above shall give written notice to the magistrates' court and to the council specifying the decision against which he wishes to appeal and the grounds upon which such appeal is made.
4
An appeal by either party against the decision of the magistrates' court under this section may be made to the Crown Court.
5
On an appeal to the magistrates' court or to the Crown Court under this section, the court may make such order as it thinks fit, such order to be limited to the matter which is the subject of the appeal.
6
Subject to subsection (7) below, it shall be the duty of the council to give effect to the order of the magistrates' court or the Crown Court.
7
The council need not give effect to the order of the magistrates' court until the time for bringing an appeal under subsection (4) above has expired and, if such an appeal is duly brought, until the determination or abandonment of the appeal.
8
Where the council decide to revoke a street trading licence, or to vary its conditions (other than a standard condition) without the consent of the licence holder the revocation or variation shall not take effect until the time for bringing an appeal to the magistrates' court or the Crown Court under subsection (1) or (4) above has expired or where such an appeal is duly brought, until the determination or abandonment of the appeal.
9
Notwithstanding the provisions of subsection (8) above where the council —
a
has revoked a street trading licence on the grounds that the licence holder has failed to pay fees and charges due to the council and the licence holder has appealed it shall only be lawful for the licence holder to trade under the authority of that licence, until any appeal has been determined or abandoned, if —
i
all fees and charges due to the council have been paid; and
ii
he continues to pay fees and charges due to the council under that licence;
b
has revoked a street trading licence on any other grounds and the licence holder has appealed the licence holder may continue to trade under the authority of that licence by virtue of subsection (8) above only whilst he continues to pay fees and charges due to the council under that licence.
Appeals to Secretary of State
19
1
Any person aggrieved —
a
by a resolution varying or rescinding a designating resolution;
b
by a specifying resolution or a resolution varying such a resolution;
c
by a standard condition; or
d
by the amount of a fee or charge under section 22 (fees and charges) of this Act,
may appeal to the Secretary of State whose decision shall be final.
2
An appeal under subsection (1) above may be brought at any time before the expiration of a period of three months commencing on the date on which notice has been given in writing to the person aggrieved under subsection (7) of section 6 (designating resolution), subsection (6) of section 7 (specifying resolution), subsection (7) of section 10 (standard conditions) or subsection (15) of the said section 22 of this Act as appropriate.
Succession
20
1
a
The holder of a street trading licence who is an individual may at the time of making application under section 11 (applications) of this Act or at any time thereafter by written notice to the council specify the name and address of a relative (or employee under subsection (3)(e) below) to whom he would wish the licence to be granted if he —
i
dies; or
ii
retires having reached the age of 60; or
iii
notifies the council that owing to ill-health he is unable to continue to engage in the street trading permitted by the licence, and submits evidence to satisfy the council as to his ill-health,
and he may vary his nomination at any time by giving written notice thereof to the council, specifying the name and address of such other person to whom he would wish the licence to be granted and such notice shall revoke all previous nominations made by the licence holder;
b
When a holder of a street trading licence has nominated a person in accordance with paragraph (a) above the council shall not (except as provided in paragraph (c) below) grant a licence in respect of the street trading pitch for which the former licence holder was licensed until the expiration of 28 days from the date of the death of the licence holder or his retirement or receiving the notification, as the case may be;
c
If during the said period of 28 days the person previously nominated by the licence holder as the person to whom he desired the licence to be granted in any of the events mentioned in paragraph (a) above makes application for the grant of a licence in respect of the street trading pitch concerned the council shall save as provided by subsection (1)(a) to (c) of section 12 (mandatory grounds of refusal) and subsection (1)(b) to (f) of section 13 (discretionary grounds of refusal) of this Act grant a licence to that person on the same terms and conditions as were previously in force.
2
For the purposes of this section a person shall be treated as being related to another person if the latter is the wife, common law wife, husband, common law husband, father, mother, grandfather, grandmother, stepfather, stepmother, son, daughter, grandson, granddaughter, stepson, stepdaughter, brother, sister, half-brother or half-sister of the former and shall be deemed to be so related notwithstanding that he is so related only through an illegitimacy or in consequence of adoption.
3
The council may at their discretion —
a
grant the licence to a nominee where a licence holder has given up or proposes to give up his licence on grounds other than those specified in paragraph (a)(ii) or (a)(iii) of subsection (1) above; or
b
extend the period of 28 days specified in subsection (1)(b) above; or
c
grant the licence to a relative not mentioned in subsection (2) above; or
d
grant the licence to a relative as defined by subsection (2) above where the former licence holder failed to make a nomination; or
e
grant the licence to an employee of at least five years standing of the former licence holder where —
i
the former licence holder had previously notified the council of his employment of that person; and
ii
the former licence holder or the applicant has made available to the council all necessary tax and other records to prove that the person is or was a bona fide employee.
4
The council shall not grant a street trading licence under subsection (3) above if to do so —
a
would cause a breach of a specifying resolution; or
b
would be contrary to the provisions of section 12 (mandatory grounds of refusal) of this Act.
5
Where a street trading licence cannot be granted under this section because of the provisions of subsection (1)(c) of the said section 12 of this Act the council may at their discretion grant a licence to another relative of the former licence holder or to a relative of the person who, but for the provisions of subsection (1)(c) of the said section 12 of this Act, would have been granted the licence.
Temporary licences
21
1
The council may if they think fit on the receipt from any person of an application for that purpose and accompanied by the appropriate fee grant to that person a temporary licence.
2
A temporary licence shall remain in force only for the day or period specified in the licence and —
a
shall be in a similar form to a street trading licence with such modifications therein as the circumstances require; and
b
shall contain such terms and conditions as the council may specify.
2A
In the case of an application for a temporary licence which, if granted, would authorise street trading on land which falls within paragraph (b) in the definition of ”street" in subsection (1) of section 2 (interpretation) of this Act, the applicant shall provide evidence in writing —
a
that he has the consent to trade on the land from the owner of the land in question; or
b
that he is the owner of the land in question.
2B
An application for a temporary licence shall not be granted, if the licence would authorise street trading on land which falls within the said paragraph (b), unless the applicant has provided sufficient evidence, as is mentioned in subsection (3) of section 11 (applications) of this Act, to satisfy the council.
2C
In the case of a temporary licence which authorises street trading on land which falls within the said paragraph (b), the licence shall lapse if —
a
the consent to trade on the land is discontinued, and the council is provided with written notice of the discontinuance of the permission by the person who gave the consent or by a successor in title to that person; or
b
the holder of the licence is no longer the owner of the land in question.
2D
The council may revoke or suspend the operation of a temporary licence held in respect of land which falls within the said paragraph (b) if circumstances have arisen since the grant of the licence or are about to arise which necessitate such revocation or suspension on the grounds of safety.
2E
Where a temporary licence is revoked or suspended under subsection (2D) above, the council shall return to the licensee such proportion of any fee paid for the granting of the licence as is appropriate, taking into account the period for which the licence was granted and the period remaining on the licence when it was revoked or the period for which the licence was suspended, as the case may be.
3
Where the holder of a street trading licence is not for the time being exercising his rights under the licence or has indicated in writing to the council his intention not to exercise those rights, a temporary licence authorising street trading from the same street trading pitch may be granted to any other person but subject to the condition that —
a
in a case where a temporary licence has been granted but has yet to come into effect; or
b
in a case where a temporary licence is granted for longer than 24 hours and has come into effect,
the temporary licence shall, if the appropriate notice is given by the holder of the street trading licence, cease to be valid at the end of the day on which the appropriate notice expires.
4
Where a temporary licence ceases to be valid under subsection (3) above —
a
if it ceases to be valid before it comes into effect, the application fee shall be returned to the applicant by the council;
b
in any other case, the proportion of the application fee which is attributable to any period in respect of which the temporary licence ceases to be valid shall be returned to the applicant by the council.
5
In this section ”appropriate fee" means such fee as the council may have determined under section 22 (Fees and charges) of this Act and ”appropriate notice" means 24 hours notice or 7 days notice where a temporary licence has been granted for longer than 24 hours.
6
The council may establish a register of persons to whom they would be prepared to grant temporary licences.
Fees and charges
22
1
The council may charge to applicants for the grant or variation of street trading licences such fees as are sufficient in the aggregate, taking one year with another, to recover the reasonable costs of dealing with such applications.
2
The council may recover from licence holders such charges as may be sufficient in the aggregate, taking one year with another, to cover the reasonable costs of —
a
the collection, removal and disposal of refuse or other services rendered by them to such licence holders; and
b
the cleansing of streets in which street trading takes place in so far as that cleansing is attributable to such trading; and
c
any reasonable administrative costs or other costs not otherwise recovered under this Act incurred in connection with the administration of the provisions of this Act; and
d
the cost of enforcing the provisions of this Act.
2A
In calculating the levels of fees and charges under subsections (1) and (2) above, the council shall disregard costs incurred by them in relation to street trading of the type described in subsection (1A) of section 2 (interpretation) of this Act.
3
The council may make a charge for the supply of an approved form of identity issued under subsection (9) of section 9 (street trading licences) of this Act and for a plate identifying a street trading pitch; any such charge shall not exceed the council's reasonable costs of supplying those items.
4
The council may charge an annual fee for registration or renewal of registration in the register established under subsection (6) of section 21 (temporary licences) of this Act, sufficient in the aggregate, taking one year with another, to cover the council's cost of administering the registration scheme.
5
a
The council may at the request of a majority of licence holders in a particular market or area provide other services to licence holders in that market or area;
b
The cost of these services may be included in the charge referred to in subsection (2) above provided that those costs are only included in the charges made to the licence holders in that particular market or area;
c
At any time a majority of licence holders in a particular market or area may request the council to cease to provide such services and the council shall, subject to any contractual arrangements, accede to such a request within three months of the request.
6
Without prejudice to the generality of subsection (2) above it shall be lawful for the council to make a lower charge to licence holders who pay charges in full in advance or in full by means of standing order or direct debit.
7
The council may require that an application for a licence or for variation of a licence under this Act be accompanied by the whole or part of the fee determined under subsection (1) above.
8
The council may determine that a fee be charged on application for the grant of a temporary licence under section 21 (temporary licences) of this Act, and in determining the amount of such fees they shall have regard to the matters specified in subsections (1), (2) and where appropriate (5) above and such fees shall be included in the computation for the purposes of determining the charges under subsections (1) and (2) above.
9
The council shall not determine or vary charges made under subsection (2) above unless they have first given notice in writing to —
a
all licence holders who would be affected by the proposal; and
b
any body which appears to the council to represent such licence holders.
10
The notice shall —
a
give details of proposed charges;
b
state that representations may be made regarding the proposed charges by the date specified in the notice as the due date which date shall be not less than 28 days after the notice has been given;
c
be accompanied by a statement showing how the proposed charges have been computed.
11
Within 21 days of the giving of the notice any body representative of licence holders may ask the council for such further information or explanations with regard to the proposed charges as the body concerned may reasonably require to ascertain whether the proposed charges are reasonable and in accordance with the provisions of this section and as soon as reasonably practicable the council shall comply with the request.
12
Where a request under subsection (11) above is made the period within which representations may be made shall be extended by the number of days in the period beginning with the date on which the request is made and ending on the date that it is complied with.
13
As soon as practicable after the expiry of the period specified in subsection (10) above, with any extension under subsection (12) above, the council shall consider all representations received by that date and may at their discretion consider representations received after that date.
14
The council shall give to any person who may make representations by the due date an opportunity to make oral representations to the council and may at their discretion give to other persons making representations a similar opportunity.
15
As soon as practicable the council shall by notice in writing inform all licence holders affected by the council's decision as to the determination or variation of fees or charges.
16
The fees and charges as determined or varied by the council shall come into force on a date set by the council which shall be not less than 14 days from the date on which the decision as to the determination or variation of fees or charges was made.
Receptacles and containers
23
1
The council may sell or let on hire or otherwise provide to any person holding a street trading licence or a temporary licence under this Act receptacles for use by him in street trading.
2
The council may provide and maintain accommodation for the storage of receptacles and containers for the deposit of refuse arising in the course of street trading and for that purpose may —
a
adapt any premises or erect any buildings on any land belonging to them but not already appropriated for such purpose; and
b
make such reasonable charges as they think fit for the use of such accommodation.
Offences
24
Any person who —
a
without reasonable excuse contravenes any of the conditions of a street trading licence or a temporary licence; or
b
in connection with an application for a street trading licence or a temporary licence or in completing a notice in accordance with subsection (4) of section 27B (seizure: notices) of this Act makes a statement which he knows to be false in a material particular; or
c
resists or intentionally obstructs an authorised officer in the execution of his duties under this Act; or
d
fails on demand without reasonable excuse in the case of an individual licence holder to produce to an authorised officer or to a constable his licence or other approved form of identity issued by the council for the purposes of this Act, or, in the case of an individual carrying on ice cream trading under a licence granted to a company incorporated under the Companies Acts or to a partnership or unincorporated association, to produce the photograph required by subsection (8) of section 9 (Street trading licences) of this Act,
shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
Power to remove receptacles
25
1
Where any receptacle used by a licence holder is not removed to a place of storage on the cessation of trading on any day it shall be lawful for the council to cause it to be removed to a place of storage and to recover from the licence holder the reasonable costs incurred by them in removing and storing the receptacle.
2
Such reasonable charges as the council may incur in respect of the cost of removal and storage of a receptacle in pursuance of subsection (1) above, shall be payable by the licence holder before the return of the receptacle to him.
3
The provisions of subsection (1) above are without prejudice to the power of the council to take other enforcement action against the licence holder for any breach of the conditions of his licence arising from the failure to remove the receptacle.
4
If a receptacle removed under subsection (1) above is not recovered by the licence holder within three months of the date it was removed by the council it shall be lawful for the council to dispose of the receptacle in any way they think fit; the council shall take reasonable steps to sell the receptacle at the best possible price which can reasonably be obtained before disposing of it in any other manner.
Employment of assistants
26
A person holding a street trading licence or a temporary licence may employ any other person to assist him in the conduct of street trading authorised by the licence but if any person employed by a licence holder, whether or not the licensed holder is present, fails to comply with the conditions of the ** licence held by his employer such failure shall be deemed to be a failure by the licence holder.
Unlicensed street trading
27
1
A person who is not the holder of a street trading licence or a temporary licence and who engages in street trading whether or not from a stationary position in the city shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
2
Any person who is the holder of a street trading licence or a temporary licence and who engages in street trading whether or not from a stationary position in the city on a day or in a place not specified in that licence without the council's specific permission in writing shall be guilty of an offence and shall be liable on summary conviction to a fine not exceeding level 3 on the standard scale.
3
In any proceedings for an offence under this section or for an offence of aiding, abetting, counselling or procuring the commission of an offence under this section where it is shown that —
a
any article or thing was displayed (whether or not in or on any receptacle) in any street; or
b
any other article or thing of a similar kind to any article or thing referred to in sub-paragraph (a) above was in the possession of or under the control of any person who was displaying an article or thing; or
c
any receptacle or equipment was used in the display of any article or thing in any street; or
d
any receptacle or equipment used in the provision of any service was available in any street in such circumstances that a service was being offered;
the article, thing, receptacle or equipment concerned shall be deemed to have been used for purposes for which a street trading licence was required unless it can be proved to the satisfaction of the court that the article, thing, receptacle or equipment was brought into the street for some purpose other than street trading.
4
Where an offence under this section committed by a body corporate 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, he, as well as the body corporate, shall be guilty of the offence and liable to the same maximum penalty as the body corporate.
Seizure
27A
1
Subject to section 27G (seizure of perishable items) of this Act, if an authorised officer or a constable has reasonable grounds for suspecting that a person has committed an offence under section 27 (unlicensed street trading) of this Act he may seize —
a
any article or thing being offered for sale, displayed or exposed for sale; or
b
any other article or thing of a similar nature to that being offered or exposed for sale which is in the possession of or under the control of any person who is displaying an article or thing; or
c
any receptacle or equipment being used by that person,
which may be required to be used in evidence in any proceedings in respect of that offence, or may be the subject of forfeiture under section 27E (forfeiture of seized items by court) of this Act.
2
An authorised officer or constable may also seize, for examination purposes, any article or thing which he has reasonable cause to suspect may be an article or thing which is prohibited by a specifying resolution made under subsection (1)(b) of section 5 (designation of streets and specification of articles) of this Act and unless the article or thing is required for evidential purposes it shall be returned as soon as possible to the person from whom it was seized.
3
An authorised officer or constable may also seize any receptacle or equipment (other than a motor vehicle) which —
a
is in a street; and
b
he has reasonable cause to believe is intended to be used in connection with an offence under the said section 27 involving the sale, offer for sale, display, or exposing for sale of refreshments.
4
An authorised officer shall produce his authority if required to do so by the person having control or possession of anything seized in pursuance of the powers in subsections (1) to (3) above.
Seizure: notices
27B
1
In this section, ”relevant item" means —
a
any receptacle used in the sale, offer for sale, display, or exposing for sale of refreshments which has been seized under section (1) or (2) of section 27A (seizure) of this act;
b
any receptacle or equipment seized under subsection (3) of that section.
2
An authorised officer or a constable —
a
may give a notice under this section to the person from whom a relevant item falling within subsection (1)(a) above was seized (but no such notice may be given under this paragraph in respect of a motor vehicle);
b
shall give a notice under this section to the person from whom a relevant item falling within subsection (1)(b) above was seized,
and any such notice must be given as soon as reasonably practicable after the item was seized.
3
A notice under this section shall be in such form as the council may prescribe, and shall —
a
explain that unless the recipient of the notice completes it in accordance with subsection (4) below and then returns it to the council in accordance with subsection (5) below, the council may dispose of the relevant item in question in accordance with section 27D (disposal of seized objects by council) of this Act; and
b
set out —
i
the address to which the completed notice should be returned;
ii
the date by which it must be returned (which must be no earlier than the date on which expires the period of 14 days beginning with the date on which the notice was given under subsection (2) above).
4
A notice under this section is completed by writing, in the appropriate place on the notice —
a
the name and full postal address of the recipient of the notice under subsection (2) above; and
b
(in the case of a notice given in accordance with subsection (2)(a) above) confirmation that that person —
i
intends to contest any criminal proceedings brought in respect of the alleged offence in respect of which the item in question was seized;
ii
if not, that he requires the council to make a complaint for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question; and
c
(in the case of a notice given in accordance with subsection (2)(b) above) confirmation that that person requires the council to make a complaint for a disposal order under the said section 27I in respect of the relevant item in question; and
d
the signature of that person; and
e
the date on which it was signed.
5
A notice under this section, once completed, is returned by delivering it or sending it by post to the address set out on the notice as mentioned in subsection (3)(b)(i) above on or before the date as mentioned in that subsection.
6
If a notice given in accordance with subsection (2) above is completed and returned in accordance with subsections (4) and (5) above the council must, no later than the date on which expires the period of 28 days beginning with the date on which the notice was received by them —
a
make a complaint to the magistrates' court for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question; or
b
return the relevant item in question to the person whose name and address are written on the returned notice,
unless, before the expiry of that period, an information has been laid and not withdrawn in respect of any alleged offence in respect of which the item was seized.
Return of seized items
27C
1
The provisions of this section shall have effect where any item is seized under subsection (1) of section 27A (seizure) of this Act (except where a notice is given under section 27B(2)(a) (seizure: notices) in respect of the item) or is seized and retained because it is required for evidential purposes under subsection (2) of the said section 27A and references in those provisions to proceedings are to proceedings in respect of the alleged offence in relation to which the item is seized.
2
Subject to subsection (6) below, following the conclusion of the proceedings the item shall be returned to the person from whom it was seized unless —
a
the court orders it to be forfeited under section 27E (forfeiture of seized items by the court) of this Act; or
b
any award of costs to the council by the court, which may include removal, return and storage costs, have not been paid within 28 days of the making of the order.
3
Where after 28 days any costs awarded by the court to the council have not been paid to the council in full, the item may be disposed of in any way the council thinks fit and any sum obtained by the council in excess of the costs awarded by the court shall be returned to the person to whom the item belongs and when any item is disposed of by the council under this subsection the council shall have a duty to secure the best possible price which can reasonably be obtained for that item.
4
Subject to subsection (5) below, where a receptacle seized under subsection (1) of the said section 27A is a motor vehicle used for ice cream trading the council or the Commissioner (as the case may be) shall, within three days of the receipt of an application in writing by the owner or registered keeper of the vehicle, permit him to remove it.
5
Subsection (4) above shall not apply where —
a
the owner or registered keeper of the vehicle has been convicted of an offence under this Act or Part III of the London Local Authorities Act 1990; or
b
the owner or registered keeper of the vehicle is being prosecuted for a previous alleged offence under this Act or Part III of the said Act of 1990; or
c
the vehicle has been used in the commission of such an offence or previous alleged offence,
if the offence or previous alleged offence was committed or is alleged to have been committed no more than three years before the seizure and (in the case of an alleged offence) the proceedings are continuing.
6
Subject to subsection (8) below, if no proceedings are instituted before the expiration of a period of 28 days beginning with the date of seizure, or any proceedings instituted within that period are discontinued, at the expiration of that period or, as the case may be, on the discontinuance of the proceedings, the item shall be returned to the person from whom it was seized unless it has not proved possible, after diligent enquiry, to identify that person or ascertain his address.
7
Subsection (8) below applies where the item is not returned because —
a
it has not proved possible to identify the person from whom it was seized or ascertain his address; or
b
the person from whom it was seized and the owner (if different) have disclaimed or refused to accept it.
8
Where this subsection applies, the council may make a complaint to the magistrates' court for a disposal order under section 27I (disposal orders) of this Act (whether or not proceedings for an offence under this section have been commenced).
Disposal of seized objects by council
27D
1
The council may, in such manner as they think fit, dispose of —
a
any relevant item (within the meaning of section 27B (seizure: notices) of this Act) seized under subsection (1) or (2) of section 27A (seizure) of this Act if, in respect of the alleged offence in question —
i
a fixed penalty is paid in accordance with section 16 of the London Local Authorities Act 2004 (c. i) before the expiry of the period mentioned in subsection (2) of that section; and
ii
the fixed penalty notice contained or was accompanied by written notice that the recipient could require the council on or before the time when the fixed penalty was paid to make a complaint for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question; and
iii
no such requirement was made of the council on or before that time; or
b
any such relevant item seized under subsection (1), (2) or (3) of the said section 27A if a notice was given under section 27B (seizure: notices) as soon as reasonably practicable after the article or thing was seized and the notice was not completed and returned to the council in accordance with subsections (4) and (5) of that section.
2
The council may recover their costs of disposing of a relevant item under subsection (1) above from the person from whom the object was seized.
3
Where a requirement of the sort mentioned under subsection (1)(a)(ii) was made on or before the time when the fixed penalty was paid, the council must make a complaint for a disposal order under section 27I (disposal orders) of this Act in respect of the relevant item in question.
Forfeiture of seized items by court
27E
1
Subject to subsection (2) below the court by or before which a person is convicted of an offence under section 27 (unlicensed street trading) of this Act or for an offence of aiding, abetting, counselling or procuring the commission of an offence under that section may order anything produced to the court, and shown to the satisfaction of the court to relate to the offence, to be forfeited and dealt with in such manner as the court may order.
2
The court shall not order anything to be forfeited under subsection (1) above where a person claiming to be the owner of or otherwise interested in it applies to be heard by the court, unless an opportunity has been given to him to show cause why the order should not be made and in considering whether to make such an order a court shall have regard —
a
to the value of the property; and
b
to the likely financial and other effects on the offender of the making of the order (taken together with any other order that the court contemplates making).
3
For the avoidance of doubt the court may order forfeiture notwithstanding that the value of the article, thing, receptacle or equipment exceeds the maximum penalties referred to in the said section 27.
Compensation
27F
1
This section shall have effect where —
a
an item is seized under subsections (1) to (3) of section 27A (seizure) of this Act; and
b
either —
i
not less than six months have passed since the date of the seizure and no information has been laid against any person for an offence under section 27 (unlicensed street trading) in respect of the act or circumstances which occasioned the seizure; or
ii
proceedings for such an offence have been brought and either the person charged has been acquitted (whether or not on appeal) and the time for appealing against or challenging the acquittal (where applicable) has expired without an appeal or challenge being brought, or the proceedings (including any appeal) have been withdrawn by, or have failed for want of prosecution by, the person by whom the original proceedings were brought; or
iii
(in the case of a relevant item (within the meaning of section 27B (seizure: notices) of this Act) seized under subsection (3) of section 27A (seizure) of this Act) the council has failed to comply with subsection (6) of section 27B (seizure: notices) of this Act.
2
When this section has effect a person who has or at the time of seizure had a legal interest in the item seized may recover compensation from the council or (where it is seized by a constable) the Commissioner by civil action in the County Court in respect of any loss suffered by him as a result of the seizure and any such compensation shall not be included in the computation for calculating charges under section 22 (fees and charges) of this Act.
3
The court may only make an order for compensation under subsection (2) above if satisfied that seizure was not lawful under subsections (1) to (4) of section 27A (seizure) of this Act.
4
Any sums accruing to the council arising out of this section shall be included in the computation for calculating charges under the said section 22 of this Act.
Seizure of perishable items
27G
1
No item which is of a perishable nature (in this section referred to as a ”perishable item") shall be seized under the provisions of subsection (1) of section 27A (seizure) of this Act unless the council gives a certificate under subsection (2) below to the person from whom the item is seized.
2
Where a perishable item is seized under the said subsection (1), the person from whom it is seized must be given a certificate —
a
stating the effect of subsection (3) below and subsection (2) of section 27E (forfeiture of seized items by court) of this Act;
b
giving the address from which the article or thing may be collected;
c
informing the recipient that if he is not the owner of the article or thing, then he should give the owner the information referred to in paragraphs (a) and (b) above.
3
If the person from whom a perishable item was so seized fails to collect it within 48 hours of the seizure the council may dispose of it.
4
When any perishable item is disposed of by the council under subsection (3) above, the council shall have a duty to secure the best possible price which can reasonably be obtained for it.
5
Subsections (1) to (4) of section 27C (return of seized items) and subsections (1) to (3) of section 27E (forfeiture of seized items by court) of this Act shall apply to a perishable item seized under section 27A (seizure) of this Act only in cases where the item concerned has not been disposed of by the council at the conclusion of the proceedings in respect of the alleged offence in relation to which the item was seized.
6
Subsections (6) to (8) of the said section 27C apply to a perishable item seized under the said section 27A only in cases where the item concerned has not been disposed of by the council at the expiration of the period mentioned in the said subsection (6); otherwise subsections (8) to (11) below shall apply.
7
Section 27F (compensation) of this Act shall apply with the omission of subsection (3) in respect of a perishable item seized under the said section 27A in cases where the article or thing concerned has not been disposed of by the council by the time the circumstances mentioned in subsection (1)(b) of the said section 27F arise otherwise subsections (8) to (11) below shall apply.
8
Subsection (11) below shall have effect where the council have disposed of a perishable item under subsection (3) above and any of the following conditions apply.
9
The first condition is that no proceedings in respect of the alleged offence in relation to which the article or thing was seized are instituted before the expiration of a period of 28 days beginning with the date of seizure of the article or thing, or any such proceedings instituted within that period are discontinued.
10
The second condition is that —
a
not less than six months have passed since the date of the seizure and no information has been laid against any person for an offence under section 27 (unlawful street trading) of this Act in respect of the acts or circumstances which occasioned the seizure; or
b
proceedings for such an offence have been brought and either the person charged has been acquitted (whether or not on appeal) and the time for appealing against or challenging the acquittal (where applicable) has expired without an appeal or challenge being brought, or the proceedings (including any appeal) have been withdrawn by, or have failed for want of prosecution by, the person by whom the original proceedings were brought.
11
When this subsection has effect a person who has or at the time of seizure had a legal interest in the item seized may recover compensation from the council or (where it is seized by a constable) the Commissioner of Police of the Metropolis by civil action in the County Court in respect of any loss suffered by him as a result of the seizure and any such compensation shall not be included in the computation for calculating charges under section 22 (fees and charges) of this Act.
Motor vehicles
27H
1
Subsection (4) below applies where the following conditions are met.
2
The first condition is that where, in ascertaining the identity of the person from whom a vehicle was seized under subsection (1) or (2) of section 27A (seizure) of this Act, the council has, before the expiry of 14 days from the date of the seizure, made a request to the Secretary of State for the supply of relevant particulars.
3
The second condition is that those particulars have not been supplied to the council before the date after which the council would, but for this section, have to return the vehicle in accordance with subsection (6) of section 27C (return of seized items) of this Act.
4
Where this subsection applies, the council must return the vehicle to its owner if —
a
no proceedings are instituted in respect of the alleged offence in respect of which the vehicle was seized before the expiry of the period of 14 days beginning with the date on which the relevant particulars are supplied; or
b
any such proceedings instituted within that period are discontinued,
at the expiry of that period or on the discontinuance of the proceedings, as the case may be.
5
If the council seeks to return a vehicle in accordance with the said subsection (1) or subsection (2), but the person to whom the council seeks to return the vehicle cannot be found or disclaims or refuses to accept the vehicle, the council may make a complaint for a disposal order in respect of the vehicle under section 27I (disposal orders) of this Act.
6
In this section, ”relevant particulars" are particulars relating to the identity of the owner of the vehicle contained in the register of mechanically propelled vehicles maintained by the Secretary of State under the Vehicle Excise and Registration Act 1994 (c. 22) .
7
The owner of a vehicle for the purposes of this section shall be taken to be the person by whom the vehicle is kept.
8
In determining who was the owner of a motor vehicle at any time, it shall be presumed that the owner is the person in whose name the vehicle is at that time registered under the Vehicle Excise and Registration Act 1994.
Disposal orders
27I
1
This section applies in respect of a complaint made by the council for a disposal order under —
a
subsection (6)(a) of section 27B (seizure: notices) of this Act;
aa
subsection (8) of section 27C (return of seized items) of this Act; or
ab
subsection (3) of section 27D (disposal of seized objects by the council) of this Act; or
b
subsection (5) of section 27H (motor vehicles) of this Act,
and items that are the subject of the complaint are referred to as ”seized items" in this section.
2
On a complaint to which this section applies, a magistrates' court if satisfied that the council has made reasonable efforts to identify the person from whom the seized item was seized or its owner, as the case may be, or has made reasonable efforts to return the seized item, may make an order authorising the council —
a
to dispose of the seized item in question; and
b
after payment out of any proceeds arising from the disposal of the expenses incurred in the seizure, storage and disposal, to apply the balance, if any, towards the costs of the council as mentioned in paragraphs (a) to (d) of subsection (2) of section 22 (fees and charges) of this Act.
3
The court shall not make a disposal order under subsection (2) above where a person claiming to be the owner of or otherwise interested in the seized item applies to be heard by the court, unless an opportunity has been given to him to show cause why the order should not be made.
4
Subsection (5) below applies where —
a
a person appears before the court under subsection (3) above to show why the order should not be made; and
b
the court makes an order under subsection (2) above authorising the council to dispose of the item; and
c
the seized item in question is not of sufficient value to defray the expenses of seizing and storing it; and
d
the court is satisfied that the person mentioned in paragraph (a) above was the owner of the seized item in question or was the person from whom it was seized, as the case may be.
5
Where this section applies, the court may order that the person mentioned in subsection (4)(a) above pay the expenses, or the balance of the expenses, reasonably incurred by the council in seizing and storing the seized item in question.
6
In considering whether to make an order under subsection (2) above a court shall have regard —
a
to the value of the seized item;
b
to the likely financial and other effects on the offender of the making of the order (taken together with any other order that the court contemplates making); and
c
any other circumstances considered to be relevant.
7
The court may make a disposal order under this section notwithstanding that the value of the seized item would exceed the maximum penalty for the offence in respect of which the seized item had originally been seized had the said offence been prosecuted to conviction.
8
For the purposes of this section, ”owner" in respect of a vehicle, has the same meaning as it has for the purposes of the said section 27H.
Savings
28
1
Nothing in this Act shall affect the sale or exposure or offer for sale by London Regional Transport or (as the case may be) any of its subsidiaries of refreshments at any shelter or other accommodation provided by either of them under section 65 (refreshment shelters etc.) of the London Passenger Transport Act 1938.
2
This Act shall not apply in respect of any land owned by Railtrack PLC or London Regional Transport unless the land forms part of a highway for which the council is responsible as highway authority.
3
Nothing in this Act shall afford a defence to a charge in respect of any offence at common law or under an enactment other than this Act.
Provision as to notices
29
1
Any notice, summons or other document required or authorised to be served or given in writing under this Act may be served or given either —
a
by delivering it to the person on whom it is to be served or to whom it is to be given; or
b
by leaving it at the usual or last known place of abode or business of that person, or, in a case where an address for service has been given by that person, at that address; or
c
by sending it by ordinary post addressed to that person at his usual or last known place of abode or business, or, in a case where an address for service has been given by that person, at that address; or
d
in the case of a company or body incorporated in England or Wales, by delivering it to the secretary or clerk of the company or body at their registered or principal office, or sending it by ordinary post addressed to the secretary or clerk of the company or body at that office.
2
The delivery, in the absence of a holder of a street trading licence from his street trading pitch, of a document or notice to a person appearing to be an assistant employed by that licence holder shall be deemed to be delivery of that document or notice to the licence holder under subsection (1)(a) above.
3
A notice required by this Act to be given shall be deemed to be given on the date it is delivered, left, affixed, or posted in accordance with this section.
Proof of resolution
30
In any proceedings which require proof of the passing of a resolution under this Act it shall be presumed, unless the contrary is proved, that the said resolution was duly passed and that any requirements relating to the passing of the resolution and the giving of any notices or information before or after the passing of the resolution were properly complied with.
Exercise of powers
31
Notwithstanding the provisions of section 101 of the Local Government Act 1972 the council's powers under this Act may be exercised by a committee, sub-committee, officer or panel of officers.
Disapplication of Part III of London Local Authorities Act 1990
32
1
Subject to subsection (2) below, on the date of commencement of this Act Part III (street trading) of the London Local Authorities Act 1990 shall cease to have effect in the city and on that date all —
a
applications made;
b
licences issued;
c
standard conditions prescribed;
d
fees and charges set;
e
designating, specifying and prohibition resolutions passed;
f
regulations for determining applications made; and
g
appeals made,
under that Act shall be deemed to have been made, issued, prescribed, set or passed under this Act.
2
In any case where, before the date of commencement of this Act, an application has been made for the renewal of a street trading licence under Part III of the said Act of 1990, and —
a
no decision on the application has been notified to the applicant; or
b
the council has refused renewal of the licence or granted a licence with conditions different from those of the existing licence,
Part III of the Act of 1990 shall continue to apply to the application. |
The Alternative Provision Academies and 16 to 19 Academies (Consequential Amendments to Subordinate Legislation) (England) Order 2012
The Secretary of State makes this Order in exercise of the powers conferred by sections 54(2)(b) and 78(2)(c) of the Education Act 2011 .
Citation, commencement and application
1
This Order —
a
may be cited as the Alternative Provision Academies and 16 to 19 Academies (Consequential Amendments to Subordinate Legislation)(England) Order 2012;
b
comes into force on 1st May 2012; and
c
applies in relation to England only.
Consequential amendments
2
The consequential amendments made by the Schedule have effect.
Jonathan Hill
Parliamentary Under Secretary of State
Department for Education
29th March 2012
SCHEDULE
Consequential amendments
Article 2
The Local Authorities (Goods and Services)(Public Bodies) Order 1975
1
In the Schedule to the Local Authorities (Goods and Services)(Public Bodies) Order 1975 , in the part headed “EDUCATIONAL BODIES” —
a
in the second entry, after “independent school” insert “, or alternative provision Academy that is not an independent school,”; and
b
after that entry insert —
The proprietor of a 16 to 19 Academy.
.
The Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975
2
In Part 2 of Schedule 1 to the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (offices, employments and work) , in paragraph 14(b), after “institution” insert “or 16 to 19 Academy”.
The Taxes (Relief for Gifts)(Designated Educational Establishments) Regulations 1992
3
1
The Taxes (Relief for Gifts)(Designated Educational Establishments) Regulations 1992 are amended as follows.
2
In regulation 2 —
a
in paragraph (1), after the definition of “charity” insert —
“the Education Acts” has the meaning given in section 578 of the Education Act 1996;
; and
b
in paragraph (2), omit “1944 to 1992”.
3
In the Schedule —
a
in Part 1 (schools: England and Wales), for paragraph 4 substitute —
4
Any independent school, or any alternative provision Academy that is not an independent school, that —
a
is on the register of independent schools in England; and
b
is conducted by an educational charity.
; and
b
in Part 3 (establishments of further and higher education: England and Wales), after paragraph 5 insert —
5A
Any 16 to 19 Academy.
.
The Education (Grammar School Ballots) Regulations 1998
4
1
The Education (Grammar School Ballots) Regulations 1998 are amended as follows.
2
In regulation 2(1) (interpretation), in paragraph (c) of the definition of “electoral list” after “independent school” insert “or an alternative provision Academy that is not an independent school”.
3
In regulation 4(1) (meaning of “eligible parent”) —
a
in sub-paragraph (b), for “an independent school situated in the area” substitute —
a school situated in the area where the school is —
i
an independent school, or
ii
an alternative provision Academy that is not an independent school
; and
b
in sub-paragraph (c)(i), for “or an independent school” substitute “, an independent school or an alternative provision Academy that is not an independent school”.
4
In regulation 20(3)(c) (information to be given to parents), after “school” insert “or at an alternative provision Academy that is not an independent school”.
5
In regulation 21 (application of section 497 of the Education Act 1996), after “schools” insert “and alternative provision Academies that are not independent schools”.
The National Minimum Wage Regulations 1999
5
Regulation 31(6) of the National Minimum Wage Regulations 1999 (reductions from payments to be taken into account) is amended as follows —
a
for the first reference to “or Further Education Institution” substitute “, Further Education Institution or a 16 to 19 Academy”;
b
at the end, insert “or on a full-time course provided by a 16 to 19 Academy”.
The Immigration and Asylum Act 1999 (Part V Exemption: Educational Institutions and Health Sector Bodies) Order 2001
6
In Schedule 2 to the Immigration and Asylum Act 1999 (Part V Exemption: Educational Institutions and Health Sector Bodies) Order 2001 (educational institutions) , after paragraph (1)(b) insert —
ba
a 16 to 19 Academy.
.
The Higher Education Funding Council for England (Supplementary Functions) Order 2001
7
In article 2 of the Higher Education Funding Council for England (Supplementary Functions) Order 2001 (additional function) , at the end insert “or to proprietors of 16 to 19 Academies”.
The Education (Grant)(Financial Support for Students) Regulations 2001
8
In regulation 2 of the Education (Grant)(Financial Support for Students) Regulations 2001 (interpretation) , in the definition of “relevant institution”, at the end insert “or a 16 to 19 Academy”.
The Education (Special Educational Needs)(England)(Consolidation) Regulations 2001
9
1
Part A of Schedule 1 to the Education (Special Educational Needs)(England)(Consolidation) Regulations 2001 is amended as follows.
2
In the paragraph beginning “If you think that” —
a
for “or an independent school” substitute “, an independent school or an alternative provision Academy that is not an independent school”; and
b
after the second occurrence of “independent school” insert “and alternative provision Academies”.
3
In the paragraph beginning “Such lists of independent”, after “independent” insert “schools, alternative provision Academies”.
The Children’s Homes Regulations 2001
10
1
The Children’s Homes Regulations 2001 are amended as follows.
2
In regulation 3(1) (excepted establishments), after sub-paragraph (a) insert —
aa
any 16 to 19 Academy;
.
3
For regulation 18(4) (education, employment and leisure activity), substitute —
4
In this regulation, “college” means —
a
an institution within the further education sector as defined in section 91 of the Further and Higher Education Act 1992; or
b
a 16 to 19 Academy.
.
The Police Act 1997 (Criminal Records) Regulations 2002
11
1
The Police Act 1997 (Criminal Records) Regulations 2002 are amended as follows.
2
In regulation 5A(za) (enhanced criminal record certificates: prescribed purposes), after “2002)” insert “or 16 to 19 Academy”.
3
In regulation 12(1) (exception to unlawful disclosure provisions) —
a
at the end of sub-paragraph (a) omit “or” and insert —
aa
by an alternative provision Academy that does not fall within sub-paragraph (a),
;
b
after sub-paragraph (b) insert —
or
c
by a 16 to 19 Academy,
; and
c
at the end insert “or Academy”.
The Education (Teacher Student Loans)(Repayment etc. ) Regulations 2002
12
In regulation 4(1)(a) of the Education (Teacher Student Loans)(Repayment etc.) Regulations 2002 (eligible employment) , after paragraph (i) insert —
ia
a 16 to 19 Academy,
.
The School Companies Regulations 2002
13
In regulation 5(2) of the School Companies Regulations 2002 (persons who may be admitted to membership of school companies) —
a
after paragraph (c) insert —
ca
the proprietor of an alternative provision Academy that is not an independent school;
; and
b
after paragraph (e) insert —
ea
the proprietor of a 16 to 19 Academy;
.
The School Companies Regulations (Private Finance Initiative Companies) Regulations 2002
14
In regulation 5(2) of the School Companies Regulations (Private Finance Initiative Companies) Regulations 2002 (persons who may be admitted to membership of a school PFI company) , after paragraph (e) insert —
ea
the proprietor of a 16 to 19 Academy;
eb
the proprietor of an alternative provision Academy that is not an independent school;
.
The Education (Governors’ Allowances)(England) Regulations 2003
15
In regulation 5(1)(c) of the Education (Governors’ Allowances)(England) Regulations 2003 (schools without delegated budgets and other institutions) , after “independent school” insert “, alternative provision Academy that is not an independent school”.
The Education (Teacher Student Loans)(Repayment etc.) Regulations 2003
16
Regulation 4 of the Education (Teacher Student Loans)(Repayment etc.) Regulations 2003 (eligible employment) is amended as follows —
a
in paragraph (1)(a)(ii), at the end insert “or at a 16 to 19 Academy”;
b
in paragraph (5)(b), after “sector” insert “or at a 16 to 19 Academy”.
The Crime and Disorder Strategies (Prescribed Descriptions)(England) Order 2004
17
In article 2(2) of the Crime and Disorder Strategies (Prescribed Descriptions)(England) Order 2004 , after paragraph (d) insert —
da
the proprietor of an alternative provision Academy that is not an independent school;
db
the proprietor of a 16 to 19 Academy;
.
The Education (Pupil Information)(England) Regulations 2005
18
1
The Education (Pupil Information)(England) Regulations 2005 are amended as follows.
2
In regulation 2 (interpretation), in the definition of “responsible person” —
a
in paragraph (a), at the end insert “or of an alternative provision Academy that is not an independent school”; and
b
in paragraph (c), for “further education institution or” substitute “16 to 19 Academy, further education institution,”.
3
In regulation 5(5) (disclosure of curricular and educational records), before “further education institution” insert “16 to 19 Academy,”.
The Further Education (Providers of Education)(England) Regulations 2006
19
1
The Further Education (Providers of Education)(England) Regulations 2006 are amended as follows.
2
In regulation 9 (new members of staff) —
a
in paragraph (1)(b), after “England” insert “, or in a 16 to 19 Academy,”; and
b
in paragraph (2), after “institution” insert “or 16 to 19 Academy”.
3
In regulation 19(2)(a)(ii) (supply staff), after “England” insert “, or in a 16 to 19 Academy,”.
The Childcare Act 2006 (Childcare Assessments) Regulations 2007
20
In regulation 2(d) of the Childcare Act 2006 (Childcare Assessments) Regulations 2007 (consultation) , after sub-paragraph (v) insert —
va
proprietors of 16 to 19 Academies,
.
The Education (Information About Children in Alternative Provision)(England) Regulations 2007
21
1
The Education (Information About Children in Alternative Provision)(England) Regulations 2007 are amended as follows.
2
In regulation 3(b) (application), after “an independent school” insert “or at an alternative provision Academy that is not an independent school, where the education is”.
3
In regulation 6(k)(ii) (individual information), at the end insert “or in an alternative provision Academy that is not an independent school”.
The Childcare (Inspections) Regulations 2008
22
In regulation 5 (the title to which becomes “Arrangements for inspection of independent schools and alternative provision Academies that are not independent schools”) of the Childcare (Inspections) Regulations 2008 , in paragraph (1), after “school” insert “or alternative provision Academy that is not an independent school”.
The National Child Measurement Programme Regulations 2008
23
In regulation 2(1) of the National Child Measurement Programme Regulations 2008 (gathering and further processing height and weight information) , for “and proprietors of independent schools” substitute “, the proprietors of independent schools and the proprietors of alternative provision Academies that are not independent schools”.
The School Information (England) Regulations 2008
24
1
The School Information (England) Regulations 2008 are amended as follows.
2
In regulation 5(1) (local authority to publish composite prospectus), for “Academies” substitute “Academy schools”.
3
In regulations 6(1)(b)(ii) (manner of publication) and 9(1)(b)(ii) (manner of publication), after “Academy” insert “school”.
4
In Part 2 of Schedule 3 (information to be published by local authorities) —
a
in paragraph 13, for “and independent schools” substitute “schools, independent schools and alternative provision Academies that are not independent schools”; and
b
in paragraph 15, for “and independent schools” substitute “, independent schools and alternative provision Academies that are not independent schools”.
The Education (Individual Pupil Information)(Prescribed Persons)(England) Regulations 2009
25
1
The Education (Individual Pupil Information)(Prescribed Persons)(England) Regulations 2009 are amended as follows.
2
In regulation 2(1) (interpretation), in the definition of “work-based learning provider”, after “school” insert “, 16 to 19 Academy”.
3
In regulation 3(6)(a) (prescribed persons), at the end insert “or 16 to 19 Academies”.
The School Staffing (England) Regulations 2009
26
1
The School Staffing (England) Regulations 2009 are amended as follows.
2
In regulations 12(6)(b) (manner of appointment), 18(3)(b) (supply staff), 24(6)(b) (manner of appointment) and 30(3)(b) (supply staff), after “England” insert “, or in a 16 to 19 Academy,”.
The Health and Social Care Act 2008 (Regulated Activities) Regulations 2010
27
In Schedule 1 to the Health and Social Care Act 2008 (Regulated Activities) Regulations 2010 (regulated activities) , in paragraph 2(2)(c) (accommodation for persons who require nursing or personal care), at the end insert “or in a 16 to 19 Academy”.
The Teachers’ Pensions Regulations 2010
28
1
Schedule 2 to the Teachers’ Pensions Regulations 2010 (pensionable employment) is amended as follows.
2
In Part 1 (employments pensionable without election) —
a
in paragraph 2(a), after “Academy” insert “school, alternative provision Academy,”; and
b
at the end of paragraph 2(a), omit “or” and insert —
aa
in a 16 to 19 Academy by the proprietor of the Academy, or
.
The Education (Independent School Standards)(England) Regulations 2010
29
1
The Education (Independent School Standards)(England) Regulations 2010 are amended as follows.
2
In regulation 2(1) (interpretation), in the definition of “school”, at the end insert “or an alternative provision Academy that is not an independent school”.
3
In regulation 3(2) (independent school standards), omit “independent”.
4
In Part 4 of Schedule 1, in paragraphs 20(1) and 21(1), for “an independent school” substitute “the school”.
The Care Leavers (England) Regulations 2010
30
In regulation 5(4)(b)(iv) of the Care Leavers (England) Regulations 2010 (assessment of needs) , after “school” insert “, 16 to 19 Academy”.
The Education (Independent Educational Provision in England)(Provision of Information) Regulations 2010
31
1
The Education (Independent Educational Provision in England)(Provision of Information) Regulations 2010 are amended as follows.
2
In regulation 1(2) (citation, commencement and application), after “independent schools” insert “and alternative provision Academies that are not independent educational institutions”.
3
In regulation 2 (interpretation) —
a
in the definition of “application”, omit the words from “for” to the end; and
b
in the definition of “school”, at the end insert “or an alternative provision Academy that is not an independent educational institution”.
4
In regulation 3, in the title, omit “of an independent school”.
5
In Part 2 of the Schedule, in paragraph 3(1), after “independent school” insert “or an alternative provision Academy that is not an independent educational institution”.
The Education (Non-Maintained Special Schools)(England) Regulations 2011
32
1
Part 1 of the Schedule to the Education (Non-Maintained Special Schools)(England) Regulations 2011 (conditions of approval under section 342 of the 1996 Act) is amended as follows.
2
In paragraphs 4(6)(c) (suitability of staff) and 5(4)(c) (supply staff), after “England” insert “, or in a 16 to 19 Academy,”. |
The Tuberculosis (England) (Amendment) Order 2012
The Secretary of State, in exercise of the powers conferred by sections 1, 8(1) and 25 of the Animal Health Act 1981 and now vested in the Secretary of State , makes the following Order.
Title and commencement
1
This Order —
a
may be cited as the Tuberculosis (England) (Amendment) Order 2012, and
b
comes into force on 1st July 2012.
Amendments to the Tuberculosis (England) Order 2007
2
1
The Tuberculosis (England) Order 2007 is amended as follows.
2
In the heading to article 1 (title, commencement and application) for “and application” substitute “, application and expiry”.
3
After article 1(2) insert —
3
This Order ceases to have effect on 1st July 2019.
4
In article 3 (interpretation) —
a
in the definition of “approved disinfectant” for “the Diseases of Animals (Approved Disinfectants) Order 1978” substitute “the Diseases of Animals (Approved Disinfectants) Order 2007” , and
b
in the definition of “reactor” for “affected” substitute “infected”.
5
In article 9 (pre-movement testing) omit paragraph (2)(c).
6
In article 20(1) (isolation of M. bovis in a laboratory) for “Veterinary Laboratories Agency” substitute “Secretary of State”.
7
After article 24 (savings) insert —
Review
25
1
Before the 1st July 2017 the Secretary of State must —
a
carry out a review of this Order;
b
set out the conclusions of the review in a report; and
c
publish the report.
2
The report must, in particular —
a
set out the objectives intended to be achieved by this Order;
b
assess the extent to which those objectives are achieved; and
c
assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.
.
8
In the Schedule (permitted movements) —
a
paragraph 3 (movement within a sole occupancy group) is renumbered as paragraph 3(1);
b
after paragraph 3(1) insert —
2
Sub-paragraph (1) does not apply where the sole occupancy group comprises —
a
premises situated in an area where routine testing of cattle herds for tuberculosis occurs annually or biennially, and
b
premises situated in an area where routine testing of cattle herds for tuberculosis occurs less frequently than biennially.
; and
c
for paragraph 5 (movement to agricultural shows) substitute —
5
The movement of a bovine animal to an agricultural show that does not involve a stay of more than 24 hours or housing of that animal at the showground and provided that the animal either goes directly from the show to slaughter or is returned directly to its premises of origin after the show.
.
Jim Paice
Minister of State
Department for Environment, Food and Rural Affairs
14th May 2012 |
The Council Tax Reduction Schemes (Prescribed Requirements and Default Scheme) (England) (Amendment) Regulations 2012
The Secretary of State makes the following Regulations in exercise of the powers conferred by section 113(1) of, and paragraphs 2 and 4 of Schedule 1A to, the Local Government Finance Act 1992 :
Citation and commencement
1
These Regulations may be cited as the Council Tax Reduction Schemes (Prescribed Requirements and Default Scheme) (England) (Amendment) Regulations 2012 and come into force on 10th January 2013.
Amendments to the Council Tax Reduction Schemes (Prescribed Requirements) (England) Regulations 2012
2
The Council Tax Reduction Schemes (Prescribed Requirements) (England) Regulations 2012 are amended in accordance with regulations 3 to 6.
3
In paragraph 8 of Schedule 1 (non-dependant deductions) —
a
in sub-paragraph (1)(a) for “£9.90” substitute “£10.95”;
b
in sub-paragraph (1)(b) for “£3.30” substitute “£3.65”;
c
in sub-paragraph (2)(a) for “£183.00” substitute “£186.00”;
d
in sub-paragraph (2)(b) for “£183.00”, “£316.00” and “£6.55” substitute “£186.00”, “£322.00” and “£7.25” respectively;
e
in sub-paragraph (2)(c) for “£316.00”, “£394.00” and “£8.25” substitute “£322.00”, “£401.00” and “£9.15” respectively.
4
In Schedule 2 (applicable amounts) —
a
in column (2) of the Table in paragraph 1 —
i
in sub-paragraph (1)(a) for “£142.70” substitute “£145.40”;
ii
in sub-paragraph (1)(b) for “£161.25” substitute “£163.50”;
iii
in sub-paragraph (2)(a) for “£217.90” substitute “£222.05”;
iv
in sub-paragraph (2)(b) for “£241.65” substitute “£244.95”;
v
in sub-paragraph (3)(a) for “£217.90” substitute “£222.05”;
vi
in sub-paragraph (3)(b) for “£75.20” substitute “£76.65”;
vii
in sub-paragraph (4)(a) for “£241.65” substitute “£244.95”;
viii
in sub-paragraph (4)(b) for “£80.40” substitute “£81.45”;
b
in column (2) of the Table in paragraph 2 for “£64.99” in each place in which it occurs substitute “£65.62”;
c
in the second column of the Table in Part 4 —
i
in paragraph (1)(a) and (b)(i) for “£58.20” substitute “£59.50”;
ii
in paragraph (1)(b)(ii) for “£116.40” substitute “£119.00”;
iii
in paragraph (2) for “£22.89” substitute “£23.45”;
iv
in paragraph (3) for “£56.63” substitute “£57.89”;
v
in paragraph (4) for “£32.60” substitute “£33.30”.
5
In column (1) of the Table in paragraph 1 of Schedule 3 (amount of alternative maximum council tax reduction) —
a
in paragraph (b)(i) for “£180.00” substitute “£183.00”;
b
in paragraph (b)(ii) for “£180.00” and “£235.00” substitute “£183.00” and “£239.00” respectively.
6
In paragraph 19(2) of Schedule 5 (amounts to be disregarded in the calculation of income: applicant is parent of student in advanced education) for paragraph (b) substitute —
b
£56.80 less the weekly amount of any award, bursary, scholarship, allowance or payment referred to in sub-paragraph (1)(b),
.
Amendments to the Council Tax Reduction Schemes (Default Scheme) (England) Regulations 2012
7
The scheme set out in the Schedule to the Council Tax Reduction Schemes (Default Scheme) (England) Regulations 2012 is amended as follows.
8
In paragraph 30 (non-dependant deductions) —
a
in sub-paragraph (1)(a) for “£9.90” substitute “£10.95”;
b
in sub-paragraph (1)(b) for “£3.30” substitute “£3.65”;
c
in sub-paragraph (2)(a) for “£183.00” substitute “£186.00”;
d
in sub-paragraph (2)(b) for “£183.00”, “£316.00” and “£6.55” substitute “£186.00”, “£322.00” and “£7.25” respectively;
e
in sub-paragraph (2)(c) for “£316.00”, “£394.00” and “£8.25” substitute “£322.00”, “£401.00” and “£9.15” respectively.
9
In Schedule 2 (applicable amounts: pensioners) —
a
in column (2) of the Table in paragraph 1 —
i
in sub-paragraph (1)(a) for “£142.70” substitute “£145.40”;
ii
in sub-paragraph (1)(b) for “£161.25” substitute “£163.50”;
iii
in sub-paragraph (2)(a) for “£217.90” substitute “£222.05”;
iv
in sub-paragraph (2)(b) for “£241.65” substitute “£244.95”;
v
in sub-paragraph (3)(a) for “£217.90” substitute “£222.05”;
vi
in sub-paragraph (3)(b) for “£75.20” substitute “£76.65”;
vii
in sub-paragraph (4)(a) for “£241.65” substitute “£244.95”;
viii
in sub-paragraph (4)(b) for “£80.40” substitute “£81.45”;
b
in column (2) of the Table in paragraph 2, for “£64.99” in each place in which it occurs substitute “£65.22”;
c
in the second column of the Table in paragraph 12 —
i
in sub-paragraph (1)(a) and (b)(i) for “£58.20” substitute “£59.50”;
ii
in sub-paragraph (1)(b)(ii) for “£116.40” substitute “£119.00”;
iii
in sub-paragraph (2) for “£22.89” substitute “£23.45”;
iv
in sub-paragraph (3) for “£56.63” substitute “£57.89”;
v
in sub-paragraph (4) for “£32.60” substitute “£33.30”.
10
In Schedule 3 (applicable amounts: persons who are not pensioners) —
a
in column (2) of the Table in paragraph 1 —
i
in sub-paragraph (1)(a) and (b) for “£71.00” substitute “£71.70”;
ii
in sub-paragraph (1)(c) for “£56.25” substitute “£56.80”;
iii
in sub-paragraph (2) for “£71.00” substitute “£71.70”;
iv
in sub-paragraph (3) for “£111.45” substitute “£112.55”;
b
in column (2) of the Table in paragraph 3, for “£64.99” in each place in which it occurs substitute “£65.62”;
c
in the second column of the Table in paragraph 17 —
i
in sub-paragraph (1)(a) for “£30.35” substitute “£31.00”;
ii
in sub-paragraph (1)(b) for “£43.25” substitute “£44.20”;
iii
in sub-paragraph (2)(a) and (b)(i) for “£58.20” substitute “£59.50”;
iv
in sub-paragraph (2)(b)(ii) for “£116.40” substitute “£119.00”;
v
in sub-paragraph (3) for “£56.63” substitute “£57.89”;
vi
in sub-paragraph (4) for “£32.60” substitute “£33.30”;
vii
in sub-paragraph (5)(a) for “£22.89” substitute “£23.45”;
viii
in sub-paragraph (5)(b) for “£14.80” substitute “£15.15”;
ix
in sub-paragraph (5)(c) for “£21.30” substitute “£21.75”;
d
in paragraph 23 for “£28.15” substitute “£28.45”;
e
in paragraph 24 for “£34.05” substitute “£34.80”.
11
In column (1) of the Table in paragraph 1 of Schedule 4 (amount of alternative maximum council tax reduction) —
a
in paragraph (b)(i) for “£180.00” substitute “£183.00”;
b
in paragraph (b)(ii) for “£180.00” and “£231.00” substitute “£183.00” and “£239.00” respectively.
Signed by authority of the Secretary of State for Communities and Local Government
Brandon Lewis
Parliamentary Under Secretary of State
Department for Communities and Local Government
11th December 2012 |
The Occupational Pension Schemes (Disclosure of Information) (Amendment) Regulations 2012
In accordance with section 185(1) of that Act, the Secretary of State has consulted such persons as the Secretary of State considers appropriate before making these Regulations.
Citation and commencement
1
1
These Regulations may be cited as the Occupational Pension Schemes (Disclosure of Information) (Amendment) Regulations 2012.
2
These Regulations come into force on 1st October 2012.
Amendment of the Occupational Pension Schemes (Disclosure of Information) Regulations 1996
2
1
The Occupational Pension Schemes (Disclosure of Information) Regulations 1996 are amended as follows.
2
In regulation 1(2) (interpretation), after the definition of “independent trade union” insert —
“jobholder information” means the information specified in regulation 3 of the Occupational and Personal Pension Schemes (Automatic Enrolment) Regulations 2010 .
3
For regulation 4(2) (basic information about the scheme), substitute —
2
The information specified in Schedule 1 shall be given as of course, where practicable, to every prospective member, and where such information has not already been given to a person, it shall be given —
a
where the trustees of the scheme have received jobholder information in relation to that person, to that person within 1 month of the scheme receiving that information, or
b
where no jobholder information has been received, to that person within 2 months of his becoming a member of the scheme.
2A
To the extent that any information specified in Schedule 1 has not previously been given to a member who was a deferred member of the scheme on 5 th April 1997, such information shall be given to that member within 2 months of his becoming a pensioner member.
4
For paragraph 2 of Schedule 1, substitute —
2
How persons who are eligible to be members of the scheme are admitted to it
.
Signed by authority of the Secretary of State for Work and Pensions
Steve Webb
Minister of State
Department for Work and Pensions
11th July 2012 |
The Civil Courts (Amendment) (No. 2) Order 2012
Citation and Commencement
1
This Order may be cited as the Civil Courts (Amendment) (No. 2) Order 2012 and shall come into force on 10th September 2012.
Closure of Pontefract County Court
2
The holding of Pontefract County Court is discontinued.
Transitional Provisions
3
Wakefield County Court shall have jurisdiction in proceedings pending at Pontefract County Court before this Order comes into force in accordance with directions made under section 2 of the County Courts Act 1984.
4
No process shall be invalid only because Pontefract County Court has been discontinued by this Order.
Amendments to the Civil Courts Order 1983
5
1
The Civil Courts Order 1983 is amended as follows.
2
In Schedule 1, omit “Pontefract” from its position in the first column and the corresponding entry for “Pontefract” in the second column.
3
In Schedule 3, omit the entry relating to Pontefract County Court.
Signed by authority of the Lord Chancellor
J. Djanogly
Parliamentary Under Secretary of State
Ministry of Justice
18th July 2012
I concur
Judge C.J.
Lord Chief Justice
23rd July 2012 |
The Rent Officers (Housing Benefit Functions) (Amendment) Order 2012
The Secretary of State for Work and Pensions makes the following Order in exercise of the powers conferred by section 122(1) and (6) of the Housing Act 1996 .
Citation and commencement
1
This Order may be cited as the Rent Officers (Housing Benefit Functions) (Amendment) Order 2012 and comes into force on 2nd April 2012.
Amendment of the Rent Officers (Housing Benefit Functions) Order 1997
2
1
The Rent Officers (Housing Benefit Functions) Order 1997 is amended as follows.
2
In article 2(1) (interpretation) before the definition of “assured tenancy” insert —
“applicable consumer prices index” in relation to any year means the consumer prices index of annual inflation as at September of that year published by the Office of National Statistics ;
.
3
In article 4B (broad rental market area determinations and local housing allowance determinations) —
a
in paragraph (1A) for “On 20th March 2008 and so often thereafter as a rent officer considers appropriate, a rent officer shall” substitute “At such times as a rent officer considers appropriate, a rent officer shall, if the Secretary of State agrees”;
b
for paragraph (2A) substitute —
2A
In 2012, and in each subsequent year, no more than 20 working days after the applicable consumer prices index is published, a rent officer shall —
a
for each broad rental market area determine, in accordance with Schedule 3B, a local housing allowance for each of the categories of dwelling set out in paragraph 1 of Schedule 3B; and
b
notify each local authority of the local housing allowance determination made in accordance with sub-paragraph (a) for each broad rental market area falling within, in whole or in part, the area of that authority.
; and
c
for paragraph (3A) substitute —
3A
Any broad rental market area determination made in accordance with paragraph (1A) shall take effect —
a
on the day the determination is made for the purpose of enabling a rent officer to determine a local housing allowance for that area; and
b
for all other purposes on the next 1st April following the day on which the determination is made.
3B
Any local housing allowance determination made in accordance with paragraph (2A) shall take effect on the next 1st April following the day on which the determination is made.
.
4
In Schedule 3B (broad rental market area determinations and local housing allowance determinations) —
a
in paragraph 1(1) (categories of dwelling) for “article 4B(2A)(a)(i)” substitute “article 4B(2A)(a)”; and
b
in paragraph 2 (local housing allowance for category of dwelling in paragraph 1) —
i
after sub-paragraph (1) insert —
1A
Subject to sub-paragraph (12), the local housing allowance for a category of dwelling is —
a
the rent at the 30th percentile determined in accordance with sub-paragraphs (2) to (10) where that does not exceed the amount determined in accordance with sub-paragraph (11); or
b
in any other case, the amount determined in accordance with sub-paragraph (11).
;
ii
omit sub-paragraph (9); and
iii
for sub-paragraphs (11) and (12) substitute —
11
The amount to be determined by the rent officer for the purposes of sub-paragraph (1A) is as follows —
a
where the applicable consumer prices index is a positive number, the local housing allowance last determined for that category of dwelling multiplied by the factor “M”; or
b
where the applicable consumer prices index is a negative number or zero, the local housing allowance last determined for that category of dwelling.
12
Where the local housing allowance would otherwise not be a whole number of pence, it must be rounded to the nearest whole penny by disregarding any amount less than half a penny and treating any amount of half a penny or more as a whole penny.
13
In this paragraph the factor “M” is determined as follows —
M = 1 + (CPI/100)
where “ CPI ” is the applicable consumer prices index in relation to the year in which the determination is made.
.
Amendment of the Rent Officers (Housing Benefit Functions) (Scotland) Order 1997
3
1
The Rent Officers (Housing Benefit Functions) (Scotland) Order 1997 is amended as follows.
2
In article 2(1) (interpretation) before the definition of “assured tenancy” insert —
“applicable consumer prices index” in relation to any year means the consumer prices index of annual inflation as at September of that year published by the Office of National Statistics;
.
3
In article 4B (broad rental market area determinations and local housing allowance determinations) —
a
in paragraph (1A) for “On 20th March 2008 and so often thereafter as a rent officer considers appropriate, a rent officer shall” substitute “At such times as a rent officer considers appropriate, a rent officer shall, if the Secretary of State agrees”; and
b
for paragraph (2A) substitute —
2A
In 2012, and in each subsequent year, no more than 20 working days after the applicable consumer prices index is published, a rent officer shall —
a
for each broad rental market area determine, in accordance with Schedule 3B, a local housing allowance for each of the categories of dwelling set out in paragraph 1 of Schedule 3B; and
b
notify each local authority of the local housing allowance determination made in accordance with sub-paragraph (a) for each broad rental market area falling within, in whole or in part, the area of that authority.
; and
c
for paragraph (3A) substitute —
3A
Any broad rental market area determination made in accordance with paragraph (1A) shall take effect —
a
on the day the determination is made for the purpose of enabling a rent officer to determine a local housing allowance for that area; and
b
for all other purposes on the next 1st April following the day on which the determination is made.
3B
Any local housing allowance determination made in accordance with paragraph (2A) shall take effect on the next 1st April following the day on which the determination is made.
.
4
In Schedule 3B (broad rental market area determinations and local housing allowance determinations) —
a
in paragraph 1(1) (categories of dwelling) for “article 4B(2A)(a)(i)” substitute “article 4B(2A)(a)”;
b
in paragraph 2 (local housing allowance for category of dwelling in paragraph 1) —
i
after sub-paragraph (1) insert —
1A
Subject to sub-paragraph (12), the local housing allowance for a category of dwelling is —
a
the rent at the 30th percentile determined in accordance with sub-paragraphs (2) to (10) where that does not exceed the amount determined in accordance with sub-paragraph (11); or
b
in any other case, the amount determined in accordance with sub-paragraph (11).
;
ii
omit sub-paragraph (9); and
iii
for sub-paragraphs (11) and (12) substitute —
11
The amount to be determined by the rent officer for the purposes of sub-paragraph (1A) is as follows —
a
where the applicable consumer prices index is a positive number, the local housing allowance last determined for that category of dwelling multiplied by the factor “M”; or
b
where the applicable consumer prices index is a negative number or zero, the local housing allowance last determined for that category of dwelling.
12
Where the local housing allowance would otherwise not be a whole number of pence, it must be rounded to the nearest whole penny by disregarding any amount less than half a penny and treating any amount of half a penny or more as a whole penny.
13
In this paragraph the factor “M” is determined as follows —
M = 1 + (CPI/100)
where “CPI” is the applicable consumer prices index in relation to the year in which the determination is made.
.
Signed by authority of the Secretary of State for Work and Pensions.
Freud
Parliamentary Under-Secretary of State,
Department for Work and Pensions
29th February 2012 |
The School Admissions Code and School Admission Appeals Code (Appointed Day) Order 2012
The Secretary of State for Education makes the following Order in exercise of the power conferred by section 85(5) of the School Standards and Framework Act 1998 :
Citation and application
1
1
This Order may be cited as the School Admissions Code and School Admission Appeals Code (Appointed Day) Order 2012.
2
This Order applies in relation to England.
Appointed day
2
The day appointed for the coming into force of the School Admissions Code and of the School Admission Appeals Code (copies of drafts of which were laid before each House of Parliament on 1st December 2011) is 1st February 2012.
Nick Gibb
Minister of State
Department for Education
30th January 2012 |
The A30 Trunk Road (Turks Head Link) (Trunking) Order 2012
The Secretary of State for Transport makes this Order in exercise of powers conferred by section 10 of the Highways Act 1980 and now vested in the Secretary of State for Transport :
1
This Order may be cited as the A30 Trunk Road (Turks Head Link) (Trunking) Order 2012 and shall come into force on 27th November 2012.
2
In this Order, all measurements of distance are measured along the route of the relevant highway.
3
The length of highway described in the Schedule to this Order shall become part of the A30 trunk road from the date when this Order comes into force.
4
The new trunk road is indicated by hatched marking on the plan numbered HA/10/MP/105 marked “The A30 Trunk Road (Turks Head Link) (Trunking) Order 2012” signed by authority of the Secretary of State for Transport and deposited at the DfT Records Management Branch, Floor 13 (IMD), Ashdown House, St. Leonards on Sea, Hastings, East Sussex, TN37 7GA.
Signed by authority of the Secretary of State for Transport
Mike Wilson
A Divisional Director in the Highways Agency
13th November 2012
SCHEDULE
LENGTH OF HIGHWAY BECOMING A TRUNK ROAD
Article 3
The length of highway becoming a trunk road starts from the junction of the slip road leading from the westbound carriageway of the A30 Trunk Road (Turks Head Lane) (marked A on the plan) and continues in a south easterly direction to the junction with the A35 Exeter Road (marked B on the plan) west of Honiton in the District of East Devon in the County of Devon. It is shown by hatched ladder marking on the plan and is 151 metres in length. |
The Police and Criminal Evidence Act 1984 (Armed Forces) (Amendment) Order 2012
The Secretary of State makes the following Order in exercise of the powers conferred by section 113(1) of the Police and Criminal Evidence Act 1984 .
Citation and Commencement
1
1
This Order may be cited as the Police and Criminal Evidence Act 1984 (Armed Forces) (Amendment) Order 2012 and comes into force on 30th October 2012.
2
In this Order, “the 2009 Order ” means the Police and Criminal Evidence Act 1984 (Armed Forces) Order 2009 .
Amendments to the 2009 Order
2
1
The 2009 Order is amended as follows.
2
In article 15(12), for “3 years” substitute “4 years”.
3
In paragraph 17(5)(a) of Schedule 2, for “3 years” substitute “4 years”.
Mark Francois
Parliamentary Under Secretary of State
Ministry of Defence
Date 1st October 2012 |
The Council Tax and Non-Domestic Rating (Demand Notices) (England) (Amendment) Regulations 2012
The Secretary of State, in exercise of the powers conferred by sections 143(1) and (2) of, and paragraphs 1 and 2(2)(ga) and (h) of Schedule 9 to the Local Government Finance Act 1988 , makes the following Regulations:
Application, citation and commencement
1
These Regulations, which apply in relation to England only, may be cited as the Council Tax and Non-Domestic Rating (Demand Notices) (England) (Amendment) Regulations 2012 and shall come into force on 31 st March 2012.
Amendments
2
The Council Tax and Non-Domestic Rating (Demand Notices) (England) Regulations 2003 are amended as follows.
Content of demand notices
3
In regulation 3(4), for “Part 2 of that Schedule”, substitute “paragraphs 2 to 4 of Part 2 of Schedule 2 to the Council Tax (Demand Notices) (England) Regulations 2011 ”.
Matters to be contained in a rate demand notice
4
For the explanatory notes in paragraph 7 of Part 1 of Schedule 2, substitute —
Signed by authority of the Secretary of State for Communities and Local Government
Bob Neill
Parliamentary Under Secretary of State
Department for Communities and Local Government
27th February 2012 |
The International Development Association (Sixteenth Replenishment) Order 2011
Accordingly, the Secretary of State for International Development makes the following Order:
Citation and commencement
1
This Order may be cited as the International Development Association (Sixteenth Replenishment) Order 2011 and comes into force on the day after the day on which it is made.
Interpretation
2
In this Order —
“ the Association ” means the International Development Association established by an agreement dated 29th January 1960 and accepted on behalf of the Government on 14th September 1960 ;
“the Government” means the Government of the United Kingdom; and
“ the Resolution ” means Resolution No 227 entitled ‘Additions to Resources: Sixteenth Replenishment’ adopted by the Board of Governors of the Association on 26th April 2011.
Relevant Payments
3
The Secretary of State may, on behalf of the Government —
a
make payment of a further contribution to the Association not exceeding 2,664,000,000 pounds sterling in accordance with arrangements made between the Government and the Association in accordance with the Resolution; and
b
make payment of sums required to redeem any non-interest-bearing and non-negotiable notes or other obligations which may be issued or created by the Secretary of State and accepted by the Association pursuant to the arrangements mentioned in paragraph (a),
in accordance with section 11 of the International Development Act 2002.
Andrew Mitchell
One of Her Majesty’s Principal Secretaries of State
12th December 2011
We approve,
Michael Fabricant
Angela Watkinson
Two of the Lords Commissioners of Her Majesty’s Treasury
12th December 2011 |
The Social Security Revaluation of Earnings Factors Order 2012
The Secretary of State makes the following Order in exercise of the powers conferred upon him by section 148(3) and (4) and section 189(1), (4) and (5) of the Social Security Administration Act 1992 .
Citation and commencement
1
This Order may be cited as the Social Security Revaluation of Earnings Factors Order 2012 and shall come into force on 6th April 2012.
Revaluation of earnings factors
2
The earnings factors for tax years specified in the Schedule to this Order in so far as they are relevant —
a
to the calculation —
i
of the additional pension in the rate of any long-term benefit, or
ii
of any guaranteed minimum pension ; or
b
to any other calculation required under Part 3 of the Pension Schemes Act 1993 (including that Part as modified by or under any other enactment),
are directed to be increased for those tax years by the percentage of their amount shown opposite those tax years in that Schedule.
Rounding of fractional amounts
3
Where any earnings factor relevant to the calculation specified in article 2(a)(i) of this Order, as increased in accordance with this Order, would not but for this article be expressed as a whole number of pounds, it shall be so expressed by rounding down any fraction of a pound less than one half and rounding up any other fraction of a pound.
Signed by authority of the Secretary of State for Work and Pensions.
Steve Webb
Minister of State,
Department of Work and Pensions
26th January 2012
SCHEDULE
Percentage increase of earnings factor for specified tax years
Article 2
Tax year Percentage increase
1978-1979 719.5 1979-1980 623.3 1980-1981 504.3 1981-1982 406.1 1982-1983 359.6 1983-1984 326.8 1984-1985 295.2 1985-1986 270.7 1986-1987 240.4 1987-1988 217.0 1988-1989 191.6 1989-1990 163.2 1990-1991 145.3 1991-1992 122.8 1992-1993 109.2 1993-1994 99.2 1994-1995 93.2 1995-1996 85.1 1996-1997 80.0 1997-1998 71.5 1998-1999 63.9 1999-2000 57.3 2000-2001 48.0 2001-2002 42.3 2002-2003 36.4 2003-2004 31.7 2004-2005 26.9 2005-2006 21.9 2006-2007 17.9 2007-2008 13.2 2008-2009 8.7 2009-2010 5.4 2010-2011 4.1 2011-2012 1.8 |
The Armed Forces (Enhanced Learning Credit Scheme and Further and Higher Education Commitment Scheme) Order 2012
The Secretary of State, in exercise of the powers conferred by sections 1(1) and (3) of the Armed Forces (Pensions and Compensation) Act 2004 makes the following Order:
PART 1 PRELIMINARY
Citation and Commencement
1
This Order may be cited as the Armed Forces (Enhanced Learning Credit Scheme and Further and Higher Education Commitment Scheme) Order 2012 and comes into force on 2nd September 2012.
Interpretation
2
In this Order —
“the 2004 Act” means the Armed Forces (Pensions and Compensation) Act 2004;
“academic year” means the period of twelve months beginning on 1st January, 1st April, 1st July or 1st September of the calendar year in which the academic year of the course in question begins according to whether that academic year begins on or after 1st January and before 1st April, on or after 1st April and before 1st July, on or after 1st July and before 1st August, or on or after 1 August and on or before 31 December, respectively;
“additional adoption leave” means leave which, in the opinion of the Defence Council, corresponds to additional adoption leave prescribed in regulations made under section 75B(2) and (3) of the Employment Rights Act 1996 ;
“additional maternity leave” means leave which, in the opinion of the Defence Council, corresponds to additional maternity leave prescribed in regulations made under section 73(2) and (3) of the Employment Rights Act 1996 ;
“additional paternity leave” means leave which, in the opinion of the Defence Council, corresponds to additional paternity leave within the meaning of the Additional Paternity Leave Regulations 2010 ;
“applicant” means a person who has applied for a payment under the ELC Scheme or the FHEC Scheme;
“approved learning provider” means an establishment on the Scheme administrator’s list of approved providers;
“the Armed Forces Pension Scheme 1975” means the occupational pension scheme arrangements set out in —
the Naval and Marine Pensions (Armed Forces Pension Scheme 1975 and Attributable Benefits Scheme) (Amendment) Order 2010 made on 15th December 2010 as amended by the Naval and Marine Pensions (Armed Forces Pension Scheme 1975 and Attributable Benefits Scheme) (Amendment) Order 2012 made on 15th February 2012 ;
the Army Pensions (Armed Forces Pension Scheme 1975 and Attributable Benefits Scheme) (Amendment) Warrant 2010 made on 15th December 2010 as amended by the Army Pensions (Armed Forces Pension Scheme 1975 and Attributable Benefits Scheme) (Amendment) Warrant 2012 ;
the Air Force (Armed Forces Pension Scheme 1975 and Attributable Benefits Scheme) made on 14th December 2010 as amended by the Air Force (Armed Forces Pension Scheme 1975 and Attributable Benefits Scheme) (Amendment) Order 2012 .
“the Armed Forces Pension Scheme 2005” means the occupational pension scheme arrangements set out in the Armed Forces Pension Scheme Order 2005 ;
“discharged on attributable medical grounds” means that a person has been discharged from service on the grounds that they are medically unfit to continue in service due to an injury or illness caused wholly or predominantly by service or predominantly worsened by service and the phrase “attributable medical discharge” is to be construed accordingly;
“ELC Scheme” means the Enhanced Learning Credit Scheme established by article 4(1);
“FHEC Scheme” means the Further and Higher Education Commitment Scheme established by article 4(2);
“higher level learning” means full or part time study towards the achievement of a higher level learning qualification;
“higher level learning qualification” means a qualification at Level 3 or above on the Qualifications and Credit Framework or other equivalent qualification (including an equivalent vocational qualification);
“higher tier payment” has the meaning given by article 9(4);
“individual resettlement training costs grant” means a grant paid towards the cost of training to enhance skills and qualifications in preparation for new employment;
“lower tier payment” has the meaning given by article 9(3);
“ordinary adoption leave” means leave which, in the opinion of the Defence Council, corresponds to ordinary adoption leave prescribed in regulations made under section 75A(2) and (2A) of the Employment Rights Act 1996 ;
“ordinary maternity leave” means leave which, in the opinion of the Defence Council, corresponds to ordinary maternity leave prescribed in regulations made under section 71(2) and (3) of the Employment Rights Act 1996 ;
“ordinary paternity leave” means leave which, in the opinion of the Defence Council, corresponds to paternity leave within the meaning of regulation 4 or 8 of the Paternity and Adoption Leave Regulations 2002 ;
“Phase 1 training” means all initial training to recruits into the armed forces to provide basic military skills;
“Phase 2 training” means —
initial individual specialisation training, and
technical training,
following phase 1 training;
“publicly funded” means maintained or assisted by recurrent grants of public funds;
“qualification level learning” means learning leading to —
a first full Level 3 qualification as defined by the Qualifications and Credit Framework;
a first vocational qualification which is the equivalent of a qualification falling within paragraph (a);
a first undergraduate degree (including a foundation degree);
a first Higher National Certificate or first Higher National Diploma for which the entry qualification is lower than a degree; or
such qualifications in Scotland which are the equivalent of qualifications falling within paragraphs (a) to (d).
“qualifying service” means service in the armed forces and includes time spent on ordinary maternity leave, additional maternity leave, ordinary paternity leave, additional paternity leave, ordinary adoption leave or additional adoption leave, but does not include time spent on any unpaid career break;
“senior responsible officer” means the person within each single service with overall responsibility for the ELC Scheme;
“service leaver” means a person who has ceased to be a member of the armed forces;
“six month window” means the six month period which commences on the eighth anniversary of enlistment or commission;
“the Scheme administrator” means the person appointed by the Secretary of State under section 1(3) of the 2004 Act to administer the ELC Scheme and the FHEC Scheme;
“tuition fees” means the costs charged by the approved learning provider which may include registration, examination and accreditation fees.
Definition of “eligible adult dependant”
3
1
A person is an eligible adult dependant if they are the spouse, civil partner or eligible partner of a member of the armed forces, or, where a member of the armed forces has died, they are the surviving spouse, surviving civil partner or surviving eligible partner of the deceased and in this paragraph “eligible partner” and “surviving eligible partner” have the meaning set out in paragraphs (2) and (3).
2
A person is a surviving eligible partner of a member of the armed forces if the Secretary of State is satisfied that the person is a surviving eligible partner for the purposes of either the Armed Forces Pension Scheme 1975 or the Armed Forces Pension Scheme 2005.
3
A person is an eligible partner of a member of the armed forces if the Secretary of State is satisfied that if the member of the armed forces had died the person would be a surviving eligible partner for the purposes of either the Armed Forces Pension Scheme 1975 or the Armed Forces Pension Scheme 2005.
PART 2 ESTABLISHMENT OF THE ELC AND FHEC SCHEMES
4
1
The Scheme set out in Part 3 of this Order has effect and is to be known as “the ELC Scheme”.
2
The Scheme set out in Part 4 of this Order has effect and is to be known as “the FHEC Scheme”.
3
The Scheme Administrator shall administer both Schemes.
PART 3 THE ENHANCED LEARNING CREDIT SCHEME
Registration as a member of the ELC Scheme
5
1
A member of the armed forces may register as a member of the ELC Scheme —
a
within 12 months of enlistment or commission into the armed forces; or
b
within the six month window.
2
Where the senior responsible officer is satisfied that, for reasons due to service, a member of the armed forces was unable to comply with the time limits in paragraph (1), that member may register outside the time limits.
Eligibility conditions for payments under the ELC Scheme
6
1
A service leaver is eligible for payments under the ELC Scheme for higher level learning if conditions A to D of this article are met.
2
Condition A is that the service leaver’s course of higher level learning commences before the tenth anniversary of their ceasing to be a member of the armed forces.
3
Condition B is that the service leaver is a member of the ELC Scheme.
4
Condition C is that the service leaver has completed eligible service.
5
Condition D is that the service leaver is not applying for, or in receipt of, any other payment from public funds towards the cost of tuition fees for higher level learning unless such payment is either an individual resettlement training costs grant or is made under the FHEC Scheme.
6
In this article “eligible service” means —
a
in relation to a lower tier payment, at least 4 years but less than 8 years qualifying service; or
b
in relation to a higher tier payment, at least 8 years qualifying service.
7
For both higher and lower tier payments, the period of eligible service is to be calculated in accordance with paragraphs (8) to (10).
8
Subject to paragraph (9), eligible service commences from —
a
the date of enlistment or commission for persons to whom article 5(1)(a) applies; or
b
the first day of the six month window for persons to whom article 5(1)(b) applies.
9
Where —
a
a service leaver’s service in the armed forces commenced before 1st April 2003, and
b
they registered as a member of the ELC Scheme before 1st April 2004,
eligible service commences from whichever is the later of 1st April 2000 and the date of enlistment or commission.
10
Where a service leaver registered as a member of the ELC Scheme by virtue of article 5(2) and their service in the armed forces commenced —
a
before 1st April 2003, eligible service commences from whichever is the later of 1st April 2000 and the date of enlistment or commission;
b
on or after 1st April 2003, eligible service commences from the date of enlistment or commission.
Eligibility conditions in certain cases of attributable medical discharge
7
1
A service leaver who has not met conditions A to D of article 6 is eligible for payments under the ELC Scheme if conditions A to E of this article are met.
2
Where this article applies any payment made under the ELC Scheme must be a lower tier payment.
3
Condition A is that the service leaver is discharged on attributable medical grounds on or after 1st November 2010.
4
Condition B is that the service leaver’s course of higher level learning commences before the tenth anniversary of their ceasing to be a member of the armed forces.
5
Condition C is that the service leaver is a member of the ELC Scheme.
6
Condition D is that the service leaver has completed Phase 1 and Phase 2 training.
7
Condition E is that the service leaver is not applying for, or in receipt of, any other payment from public funds towards the costs of tuition fees for higher level learning unless such payment is either an individual resettlement training costs grant or is made under the FHEC Scheme.
Entitlement of eligible adult dependants in certain cases of death or attributable medical discharge
8
1
Where a member of the armed forces (A) dies and such death is caused either wholly or predominantly by service, an eligible adult dependant of A is eligible for payments under the ELC Scheme if —
a
the conditions in either paragraph (2) or (3) are met; and
b
the conditions in both paragraphs (11) and (12) are met.
2
The conditions are that —
a
A died on or after 1st April 2004, and
b
on the date of A’s death, A was a member of the ELC Scheme and had completed the eligible service specified in either article 6(6)(a) or article 6(6)(b).
3
The conditions are that —
a
A died on or after 1st November 2010, and
b
on the date of A’s death, A was a member of the ELC Scheme and had completed Phase 1 and Phase 2 training.
4
In any case where the conditions in paragraph (2) are met the payment made under the ELC Scheme must be —
a
a lower tier payment if on the date of A’s death, A had completed the eligible service specified in article 6(6)(a), or
b
a higher tier payment if on the date of A’s death, A had completed the eligible service specified in article 6(6)(b).
5
In any case where the conditions in paragraph (2) are not met but the conditions in paragraph (3) are met the payment made under the ELC Scheme must be a lower tier payment.
6
Where a member of the armed forces (B) is discharged on attributable medical grounds, and due to the illness or injury which caused that attributable medical discharge, B is unable to undertake higher level learning, an eligible adult dependant of B is eligible for payments under the ELC Scheme if —
a
the conditions in either paragraph (7) or (8) are met; and
b
the conditions in both paragraphs (11) and (12) are met.
7
The conditions are that —
a
B’s attributable medical discharge occurred on or after 1st April 2004, and
b
on the date of B’s attributable medical discharge, B was a member of the ELC Scheme and had completed the eligible service specified in either article 6(6)(a) or article 6(6)(b).
8
The conditions are that —
a
B’s attributable medical discharge occurred on or after 1st November 2010, and
b
on the date of B’s attributable medical discharge, B was a member of the ELC Scheme and had completed Phase 1 and Phase 2 training.
9
In any case where the conditions in paragraph (7) are met the payment made under the ELC Scheme must be —
a
a lower tier payment if on the date of B’s attributable medical discharge B had completed the eligible service specified in article 6(6)(a), or
b
a higher tier payment if on the date of B’s attributable medical discharge B had completed the eligible service specified in article 6(6)(b).
10
In any case where the conditions in paragraph (7) are not met, but the conditions in paragraph (8) are met, the payment under the ELC Scheme must be a lower tier payment.
11
The condition is that the eligible adult dependant must not be applying for, or in receipt of, any other payment from public funds towards the costs of tuition fees for higher level learning unless such funding is made under the FHEC scheme.
12
The condition is that the eligible adult dependant’s course of higher level learning commences before the tenth anniversary of the death of A or the attributable medical discharge of B.
Payments under the ELC Scheme
9
1
A payment under the ELC Scheme must be made to an approved learning provider.
2
Subject to paragraph (3) a payment referred to in paragraph (1) may be —
a
a lower tier payment; or
b
a higher tier payment.
3
A lower tier payment —
a
may be up to 80% of the total cost of the tuition fees for higher level learning; but
b
must not exceed £1,000 per financial year.
4
A higher tier payment —
a
may be up to 80% of the total cost of the tuition fees for higher level learning; but
b
must not exceed £2,000 per financial year.
5
Only one payment may be made under the ELC Scheme in any one financial year in respect of the qualifying service of any one member of the armed forces.
6
The maximum number of payments which may be made under the ELC Scheme in respect of the qualifying service of any one member of the armed forces is three.
7
Where a payment has previously been made under the ELC Scheme, any subsequent application for a further payment must be accompanied by written evidence from the previous approved learning provider that the applicant satisfactorily completed the study to which the previous payment related.
PART 4 THE FURTHER AND HIGHER EDUCATION COMMITMENT SCHEME
Eligibility conditions for payments to service leaders under the FHEC Scheme
10
1
A service leaver is eligible for payments under the FHEC Scheme for qualification level learning if conditions A to I are met.
2
Condition A is that the service leaver left the armed forces on or after 17th July 2008.
3
Condition B is that the service leaver’s course of qualification level learning commences before the tenth anniversary of their ceasing to be a member of the armed forces.
4
Condition C is that the service leaver is a member of the ELC Scheme.
5
Condition D is that the service leaver has completed eligible service.
6
Condition E is that the service leaver is not applying for, or in receipt of, any other payment from public funds for tuition fees for qualification level learning unless such payment is made under the ELC Scheme.
7
Condition F is that if the service leaver has any remaining entitlement under the ELC Scheme then such entitlement must be used for the purposes of study under the FHEC Scheme.
8
Condition G is that the service leaver is applying for payment of tuition fees in order to undertake no less than half of a full-time course leading to a qualification which falls within the definition of qualification level learning.
9
Condition H is that the service leaver satisfies the eligibility requirements concerning assistance by way of allowances or support for tuition fees in the part of Great Britain where they are ordinarily resident.
10
Condition I is that the service leaver remains resident in the United Kingdom for the period of the qualification level learning.
11
Subject to paragraph (12), in this article “eligible service” means 4 or more years qualifying service.
12
Where a service leaver is discharged on attributable medical grounds “eligible service” means the completion of Phase 1 and Phase 2 training.
13
For the purposes of paragraph (9), any period during which the service leaver served outside the United Kingdom as a member of the armed forces is to be treated as a period of ordinary residence in the United Kingdom.
Entitlement of eligible adult dependants under the FHEC Scheme in certain cases of death or attributable medical discharge
11
1
Where a member of the armed forces dies and such death is caused either wholly or predominantly by service, or is discharged on attributable medical grounds, their eligible adult dependant is eligible for payments under the FHEC Scheme if —
a
the conditions in either paragraph (2) or (3) are met; and
b
conditions A to G are met.
2
The condition is that the member of the armed forces died on or after 17th July 2008.
3
The condition is that the member of the armed forces has been discharged on attributable medical grounds on or after 17th July 2008, and is unable, due to the injury or illness which caused the attributable medical discharge, to undertake qualification level learning.
4
Condition A is that the member of the armed forces was, at the date of death or attributable medical discharge as the case may be, a member of the ELC Scheme.
5
Condition B is that the member of the armed forces had completed, at the date of death or attributable medical discharge as the case may be, either —
a
the eligible service requirement specified in article 10(11) above, or
b
Phase 1 and Phase 2 training.
6
Condition C is that the eligible adult dependant is not applying for, or in receipt of, any other payment from public funds for tuition fees for qualification level learning unless such payment is made under the ELC Scheme.
7
Condition D is that the eligible adult dependant is applying for the payment of tuition fees in order to undertake no less than half of a full-time course leading to a qualification which falls within the definition of qualification level learning.
8
Condition E is that the eligible adult dependant satisfies the eligibility requirements concerning assistance by way of allowances or support for tuition fees in the part of Great Britain where they are ordinarily resident.
9
Condition F is that the eligible adult dependant remains resident in the United Kingdom for the period of the qualification level learning.
10
Condition G is that the eligible adult dependant’s course of qualification level learning commences before the tenth anniversary of the death or attributable medical discharge of the member of the armed forces.
11
For the purposes of paragraph (8), any period during which the eligible adult dependant accompanied the service leaver on their service in the armed forces outside the United Kingdom is to be treated as a period of ordinary residence in the United Kingdom.
Payments under the FHEC Scheme
12
1
A payment under the FHEC Scheme must be made to an approved learning provider.
2
A payment under the FHEC Scheme must be for the total amount of the tuition fees charged in respect of an academic year to the applicant by the approved learning provider for the course of qualification level learning for which the applicant has enrolled, provided that such payment shall not exceed the total amount of the capped fees as defined in paragraphs (3) to (5).
3
Where an approved learning provider is located in England, “capped fees” means the maximum tuition fees which that establishment may lawfully charge persons who fall within Schedule 1 to the Education (Fees and Awards) (England) Regulations 2007 provided that —
a
where that approved learning provider is a publicly funded educational establishment, those fees do not exceed the higher amount as defined in section 24(6) of the Higher Education Act 2004 and as prescribed in regulations made for the purposes of that sub-section ; or
b
where that approved learning provider is not a publicly funded educational establishment, those fees do not exceed whichever is the higher of the two alternative amounts specified in regulation 23(4) of the Education (Student Support) Regulations 2011 .
4
Where an approved learning provider is located in Wales, “capped fees” means the maximum tuition fees which that establishment may lawfully charge persons who fall within the Schedule to the Education (Fees and Awards) (Wales) Regulations 2007 provided that —
a
where that approved learning provider is a publicly funded educational establishment, those fees do not exceed the higher amount as defined in section 28(6) of the Higher Education Act 2004 and as prescribed in regulations made for the purposes of that sub-section ; or
b
where that approved learning provider is not a publicly funded educational establishment, those fees do not exceed whichever is the higher of the two alternative amounts set out in regulation 24A(3) of the Assembly Loans and Grants (Higher Education) (Wales) (No 2) Regulations 2011 .
5
Where an approved learning provider is located in Scotland, “capped fees” means the tuition fees which that establishment may lawfully charge students with a relevant connection with Scotland within the meaning of regulation 3 of the Education (Fees) (Scotland) Regulations 2011 , provided that those fees do not exceed the highest amount specified in regulations made under section 9(6) and (7) of the Further and Higher Education (Scotland) Act 2005 or determined thereafter by the Scottish Ministers .
Andrew Robathan
Parliamentary Under Secretary of State
Ministry of Defence
9th July 2012 |
The Registered Pension Schemes and Overseas Pension Schemes (Miscellaneous Amendments) Regulations 2012
The Commissioners for Her Majesty’s Revenue and Customs, in exercise of the powers conferred by sections 132 and 133(2) of the Finance Act 1999 , sections 135 and 136 of the Finance Act 2002 and sections 150(7) and (8), 169(4) and 251(1) and (4) of, and paragraph 5(2) of Schedule 33 and paragraph 51(4) of Schedule 36 to, the Finance Act 2004 and now exercisable by them , make the following Regulations:
Citation, commencement and effect
1
1
These Regulations may be cited as the Registered Pension Schemes and Overseas Pension Schemes (Miscellaneous Amendments) Regulations 2012 and shall come into force on 6th April 2012.
2
The amendments made by —
a
regulations 7 and 8(1) to (5), (7) and (8) have effect in respect of information relating to payments that are made, or are treated as made, on or after 6th April 2012; and
b
regulations 11 and 12 have effect in relation to recognised transfers which are requested by the member on or after 6th April 2012.
Amendments to the Pension Schemes (Categories of Country and Requirements for Overseas Pension Schemes and Recognised Overseas Pension Schemes) Regulations 2006
2
The Pension Schemes (Categories of Country and Requirements for Overseas Pension Schemes and Recognised Overseas Pension Schemes) Regulations 2006 are amended as follows.
3
1
Regulation 2 (requirements of an overseas pension scheme) is amended as follows.
2
In paragraph (3) —
a
for “primary conditions and also meets one of Conditions A and B” substitute “following conditions”;
b
for the italic cross headings “ Primary condition 1 ”, “ Primary condition 2 ” and “ Condition A ” substitute respectively the italic cross headings “ Condition 1 ”, “ Condition 2 ” and “ Condition 3 ”;
c
in condition 2 (as amended by sub-paragraph (b)) in sub-paragraph (ab) for “the Schedule” substitute “Schedule 1”; and
d
omit condition B.
4
In regulation 3 (recognised overseas pension schemes: prescribed countries or territories and prescribed conditions) —
a
in paragraph (1) for “the pension scheme must” to the end substitute —
the pension scheme must satisfy —
a
the requirement in paragraph (6); and
b
one or more of the following requirements —
i
the requirement that the scheme must be established in a country or territory mentioned in paragraph (2),
ii
the requirement in paragraph (4),
iii
the requirement in paragraph (5).
;
b
in paragraph (2) —
i
for “paragraph (1)(a)” substitute “paragraph (1)(b)(i)”;
ii
in sub-paragraph (c) after “any country or territory” insert “, other than New Zealand,”;
c
in paragraph (4) omit “The requirement is that,”; and
d
after paragraph (4) insert —
5
At the time of a transfer of sums or assets which would, subject to these Regulations, constitute a recognised transfer the scheme must be of a kind specified in Schedule 2 to these Regulations.
6
Where tax relief in respect of benefits paid from the scheme is available to a member of the scheme who is not resident in the country or territory in which the scheme is established, the same or substantially the same tax relief must —
a
also be available to members of the scheme who are resident in the country or territory; and
b
apply regardless of whether the member was resident in the country or territory —
i
when the member joined the scheme; or
ii
for any period of time when they were a member of the scheme.
7
For the purposes of paragraph (6) “tax relief” —
a
is any tax relief that is available under the system of taxation of personal income in the country or territory in which the scheme is established; and
b
includes the grant of an exemption from tax other than an exemption which applies by virtue of double taxation arrangements.
8
In paragraph (7)(b) “double taxation arrangements” means arrangements made between the country or territory in which the scheme is established and another country or territory with a view to affording relief from double taxation.
.
5
In the Schedule (specified schemes), for the heading “Schedule” substitute the heading “Schedule 1”.
6
After Schedule 1 (as amended by regulation 5) insert —
SCHEDULE 2
Specified Schemes
Regulation 3(5)
A pension scheme which is a KiwiSaver scheme as defined in section 4(1) (interpretation) of the KiwiSaver Act 2006 of New Zealand.
.
Amendments to the Pension Schemes (Information Requirements - Qualifying Overseas Pension Schemes, Qualifying Recognised Overseas Pensions Schemes and Corresponding Relief) Regulations 2006
7
The Pension Schemes (Information Requirements – Qualifying Overseas Pension Schemes, Qualifying Recognised Overseas Pensions Schemes and Corresponding Relief) Regulations 2006 are amended as follows.
8
1
Regulation 3 (information – qualifying recognised overseas pension schemes) is amended as follows.
2
In paragraph (2)(a) —
a
after “name and” insert “principal residential”; and
b
at the end omit “and”.
3
After paragraph (2)(a) insert —
aa
the relevant member’s national insurance number, if any; and
.
4
In paragraph (3) for “the relevant member” to the end substitute —
the following conditions are met —
a
at the date of the payment more than ten years has elapsed beginning with the date on which the relevant transfer fund in respect of the relevant member came into existence; and
b
the relevant member to whom the payment is made or treated as made is a person to whom the member payment provisions do not apply (see paragraph 2 of Schedule 34).
.
5
In paragraph (5) for “provided by 31st January” to the end substitute —
provided —
a
within 90 days beginning with the day on which the payment is made or is treated as made; or
b
by such other time as may be agreed between an officer of Revenue and Customs and the scheme manager.
.
6
After paragraph (5) insert —
5A
Where the scheme manager is a company it must provide the names and addresses of the directors of the company to an officer of Revenue and Customs if required to do so in writing, and within such time as may be specified, by the officer.
.
7
In paragraph (6) in the definition of “relevant member” omit from “within the meaning” to the end.
8
After paragraph (6) insert —
7
For the purposes of this regulation and regulation 3B “relevant transfer fund” has the meaning given in paragraph 4(2) of Schedule 34.
.
9
After regulation 3 insert —
Information - transfer of sums or assets to a qualifying recognised overseas pension scheme
3A
1
For the purposes of section 169(4), where paragraph (2) applies a qualifying recognised overseas pension scheme (“the scheme”) mentioned in that paragraph must provide to an officer of Revenue and Customs such of the information specified in paragraph (3) as may be required in writing by the officer.
2
This paragraph applies where there is a transfer to a qualifying recognised overseas pension scheme of sums or assets which have at any time been held for the purposes of, or representing accrued rights under, a registered pension scheme from —
a
a registered pension scheme; or
b
another qualifying recognised overseas pension scheme.
3
The information is —
a
the date of the transfer;
b
the name and address of any bank and details of any bank account which the scheme has used in relation to the transfer;
c
details of the sums or assets transferred;
d
where information is required from a scheme which is a transferee, the way that the sums or assets have been applied by the scheme;
e
where the transfer is from a registered pension scheme, the name and address of that scheme;
f
the name, principal residential address, date of birth and, if any, the national insurance number of the member who is connected with the sums or assets;
g
where the member referred to in sub-paragraph (f) is a person to whom the member payment provisions do not apply by virtue of paragraph 2 of Schedule 34, the date that the member ceased to be resident in the United Kingdom;
h
the name and address of the body that regulates the scheme and the reference number, if any, issued to the scheme by the regulator;
i
the name and address of the tax authority that administers the scheme and the reference number, if any, issued to the scheme by the authority;
j
evidence to show that the scheme met at the time of the transfer and continues to meet the requirements specified in regulations 2 and 3 of the Pension Schemes (Categories of Country and Requirements for Overseas Pension Schemes and Recognised Overseas Pension Schemes) Regulations 2006; and
k
any other evidence relating to the transfer as may be required by the officer of Revenue and Customs.
4
Information required in accordance with paragraph (1) must be provided —
a
within 90 days beginning with the day on which the requirement is notified by the officer of Revenue and Customs; or
b
by such other time as may be agreed between the officer and the scheme manager.
Information – cessation of qualifying recognised overseas pension scheme
3B
For the purposes of section 169(4), a pension scheme which ceases to be a qualifying recognised overseas pension scheme must within 30 days beginning with the day on which the cessation takes place (“the cessation date”) provide to an officer of Revenue and Customs —
a
the value at the cessation date of the relevant transferred sums or assets pertaining to each relevant transfer fund under the scheme; and
b
the name, principal residential address, date of birth and, if any, the national insurance number of each member in respect of whom there is a relevant transfer fund under the scheme at the cessation date.
Information - changes, completion or correction
3C
For the purposes of section 169(4), if at any time after a pension scheme has provided an officer of Revenue and Customs with information in accordance with regulation 3, 3A or 3B it becomes apparent to the scheme that —
a
there is a material change affecting that information; or
b
the information is incomplete or contains a material inaccuracy,
the scheme must provide to an officer of Revenue and Customs details of the change, the complete information or correction of the inaccuracy without undue delay.
.
10
In regulation 4 (notice in cases of serious prejudice to proper assessment or collection of tax) —
a
in paragraph 1(a) for “these Regulations” substitute “regulation 2”; and
b
in paragraph (2) for “regulations 2 and 3” substitute “regulation 2”.
Amendments to the Registered Pension Schemes (Provision of Information) Regulations 2006
11
The Registered Pension Schemes (Provision of Information) Regulations 2006 are amended as follows.
12
In regulation 3 (provision of information by scheme administrator to the Commissioners) —
a
in paragraph (1), in entry 9 in the table (transfers to qualifying recognised overseas pension schemes) —
i
in the first column after “qualifying recognised overseas pension scheme” insert “(“ QROPS ”)”;
ii
in the second column for entries (a) to (d) substitute —
a
the member’s principal residential address and, where that address is not in the United Kingdom, the member’s last principal residential address in the United Kingdom;
b
the member’s date of birth;
c
the member’s telephone number, if any, which the member has provided to the scheme administrator for use by the Commissioners in relation to the scheme;
d
the acknowledgement mentioned in regulation 11BA(2)(b);
e
the date of the recognised transfer;
f
in the case of a transfer of sums, the amount of the sums;
g
in the case of a transfer of assets, a description and valuation of each type of asset transferred including the value of any unquoted shares, quoted shares and real property;
h
the name and address of the QROPS to which the sums or assets have been transferred;
i
the country or territory under the law of which the QROPS is established and regulated; and
j
the name, address, business telephone number and, where available, the electronic mail address of the manager of the QROPS.
.
b
in paragraph (6)(b) after “qualification in” insert “paragraph (7) and”; and
c
after paragraph (6) insert —
7
An event report in respect of reportable event 9 must be delivered within 60 days beginning with the day of the transfer to which it relates.
.
13
After regulation 11B (information provided by members to scheme administrators: pension commencement lump sums) insert —
Information provided by members to scheme administrators: recognised transfers
11BA
1
Paragraph (2) applies where a member of a registered pension scheme makes a request to the scheme administrator to make a recognised transfer (“transfer request”) in respect of a qualifying recognised overseas pension scheme.
2
The member must provide to the scheme administrator —
a
the member’s —
i
name;
ii
date of birth;
iii
principal residential address and, where that address is not in the United Kingdom, the member’s last principal residential address in the United Kingdom;
iv
national insurance number or, where applicable, confirmation in writing that the member does not qualify for a national insurance number;
v
telephone number, if any, which the member provides for use by the scheme administrator or the Commissioners in relation to the scheme;
vi
the name and address of the qualifying recognised overseas pension scheme;
vii
the country or territory under the law of which the qualifying recognised overseas pension scheme is established and regulated; and
b
the member’s acknowledgement in writing that the member is aware that a transfer other than a recognised transfer to a qualifying recognised overseas pension scheme of sums or assets held for the purposes of, or representing accrued rights under, an arrangement under a registered pension scheme —
i
gives rise to a liability under section 208 (unauthorised payments charge); and
ii
may give rise to a liability under section 209 (unauthorised payments surcharge).
3
The information specified in paragraph (2) must be provided within 60 days beginning with the day of the transfer request.
4
The scheme administrator must send the member notification of the requirements specified in this regulation within 30 days beginning with the day of the transfer request.
.
14
In regulation 11C(1) (information provided by individuals to scheme administrator: national insurance number) after “event report” insert “, other than an event report in respect of reportable event 9,”.
Amendments to the Registered Pension Schemes and Overseas Pension Schemes (Electronic Communication of Returns and Information) Regulations 2006
15
1
The Registered Pension Schemes and Overseas Pension Schemes (Electronic Communication of Returns and Information) Regulations 2006 are amended as follows.
2
In Schedule 1 (information which must be supplied to Revenue and Customs by an approved method of electronic communications) —
a
in the entry beginning with “A return under section 254”, after the words “that return” insert —
, which does not relate to a currently-relieved non-UK pension scheme
; and
b
for “An event report under” substitute “An event report in respect of a reportable event specified in entries 1 to 8A and 10 to 21 in the table in paragraph (1) of”.
3
In Schedule 2 (information which may be supplied either to or by Revenue and Customs by an approved method of electronic communications) —
a
after the entry beginning “A notice under section 250” insert —
An amendment to a return under section 250 by the scheme administrator.
; and
b
after the entry beginning “A certificate by Revenue and Customs under the ELA Regulations” insert —
An amendment to an event report in respect of a reportable event specified in entries 1 to 8A and 10 to 21 in the table in paragraph (1) of regulation 3 of the Registered Pension Schemes (Provision of Information) Regulations 2006 (provision of information by scheme administrator to the Commissioners).
.
Stephen Banyard
Simon Bowles
Two of the Commissioners for Her Majesty’s Revenue and Customs
20th March 2012 |
The Localism Act 2011 (Commencement No. 8 and Transitional, Transitory and Savings Provisions) Order 2012
The Secretary of State for Communities and Local Government, in exercise of the powers conferred by section 240(2) and (7) of the Localism Act 2011 , makes the following Order:
Citation and interpretation
1
1
This Order may be cited as the Localism Act 2011 (Commencement No. 8 and Transitional, Transitory and Savings Provisions) Order 2012.
2
In this Order —
“the 2000 Act ” means the Local Government Act 2000 ;
“allegation” means an allegation in writing that relates to the conduct of a member of a police authority where that alleged conduct occurred prior to the commencement date;
“commencement date” means the 22nd November 2012;
“elected member” means a member of a county, district or county borough council appointed to a police authority in accordance with regulation 7 of the Police Authority Regulations 2008 ;
“host authority”, in relation to an independent member, means the local authority which is being provided by the Secretary of State with financial resources in connection with the exercise of functions by or in relation to the Police and Crime Panel in the area of the independent member’s former police authority ;
“independent member” means an independent member of a police authority who was appointed in accordance with regulation 9 of the Police Authority Regulations 2008;
“member” means an elected or independent member;
“police authority” means a police authority in England or Wales established under section 3 of the Police Act 1996 ; and
“relevant local authority” means —
in the case of an elected member, the relevant council within the meaning given by paragraph 8 of Schedule 2 to the Police Act 1996 of which that person is a member; or
in the case of an independent member, the host authority in relation to that member.
Provisions coming into force on the commencement date
2
Subject to articles 3, 4, 5 and 6, the following provisions of the Localism Act 2011 come into force in relation to England and Wales on the commencement date —
a
section 36 so far as it is not yet in force;
b
section 26 and Schedule 4 so far as they relate to police authorities; and
c
Part 5 of Schedule 25 and section 237 so far as relating to that Part, so far as they relate to police authorities.
Saving provision in relation to police authorities in England and Wales coming into force on the commencement date
3
Notwithstanding the amendment of sections 49(6) and 83 of the 2000 Act by Schedule 4 to the Localism Act 2011, those sections shall continue to have effect in their un-amended form for the purposes of the definition of “relevant authority” in Part 3 of the 2000 Act for the purposes of the transitional provisions made by this Order.
Transitional, transitory and savings provisions in relation to police authorities in England
4
1
This article applies where an allegation concerning a member of a police authority in England is made —
a
before the commencement date, to the police authority and in respect of which no finding has been made by the standards committee of that authority; and
b
on or after the commencement date but before 20th December 2012, to the relevant local authority in relation to that member.
2
Where this article applies —
a
the allegation shall be treated as having been made to the relevant local authority under Chapter 7 of Part 1 of the Localism Act 2011;
b
the relevant local authority shall deal with the allegation in accordance with the standards arrangements the authority is required to have in place under that Act; and
c
section 28 of that Act has effect as though —
i
references to a relevant authority’s code of conduct are references to the code of conduct of the police authority of the member who is the subject of an allegation, and
ii
references to an allegation have the same meaning as in this Order.
3
Notwithstanding article 2 —
a
section 50 of the 2000 Act and any order made under that section, and
b
section 51 of that Act and any code adopted under that section,
continue to have effect for the purposes of enabling an allegation to be dealt with in accordance with this article.
5
Notwithstanding article 2, the provisions of the 2000 Act, and any regulations made under them, which are repealed or amended by sections 26 and 237 of, and Schedule 4 and Part 5 of Schedule 25 to, the Act continue to have effect for the purposes of —
a
the bringing of an appeal under regulation 21 of the Standards Committee (England) Regulations 2008 ;
b
proceedings before the First Tier Tribunal on a referral under section 64(3)(b) or 65(4) of the 2000 Act or under regulation 17 of the Standards Committee (England) Regulations 2008 or on an appeal under regulation 21 of those Regulations; or
c
legal proceedings associated with proceedings on an appeal or referral,
where proceedings were commenced before 22nd November 2012 or relate to a finding made by a standards committee before 22nd November 2012.
Transitional, transitory and savings provisions in relation to police authorities in Wales
6
1
This article applies —
a
where an allegation concerning a member of a police authority in Wales is made to the Public Services Ombudsman for Wales —
i
before the commencement date and in respect of which no determination has been made; and
ii
on or after the commencement date but before 20th December 2012; or
b
in any other case in which the Public Services Ombudsman for Wales considers that a member of a police authority in Wales has failed, or may have failed, to comply with the authority’s code of conduct prior to the commencement date and which has come to the Ombudsman’s attention as a result of an investigation arising from an allegation made in accordance with paragraph (a) or (b).
2
Where this article applies —
a
the provisions in Chapters 3 and 4 of Part 3 of the 2000 Act, and any regulations made under them, shall continue to apply to a member of a police authority in Wales as though the member was a member or co-opted member of a relevant authority in Wales; and
b
the allegation or case shall be determined in accordance with the provisions in the 2000 Act but with the following modifications —
i
an investigation may not determine the finding that a matter should be referred to a monitoring officer under section 69(4)(c) or (5), and section 71(2) and (4)(b) shall therefore not apply;
ii
where an investigation is ceased before completion, the matters under investigation may not be referred to a monitoring officer under section 70(4) or (5);
iii
the requirements in section 71(1)(c) and (3)(c) to send a report to the monitoring officer and in section 71(1)(d) to inform the monitoring officer of the outcome of the investigation, do not apply;
iv
in section 73(7) the references to the Public Services Ombudsman for Wales referring any matter to the monitoring officer under section 70(4) or (5) or 71(2) or (4) shall not apply; and
v
in section 79, if the person concerned is a member of another relevant authority in Wales, any notice required to be given to a standards committee under subsection (2), (7), (8) or (10) must instead be given to the standards committee of that other relevant authority and subsection (11) has effect accordingly.
3
Notwithstanding article 2 —
a
section 50 of the 2000 Act and any order made under that section, and
b
section 51 of that Act and any code adopted under that section,
continue to have effect for the purposes of enabling an allegation or case to be determined in accordance with this article.
Signed by authority of the Secretary of State for Communities and Local Government
Brandon Lewis
Parliamentary Under Secretary of State
Department for Communities and Local Government
20th November 2012 |
The Road Vehicles (Registration and Licensing) (Amendment) Regulations 2012
In determining the amount of the fees specified in these Regulations, the Secretary of State has taken into account the costs of the functions listed in paragraphs 42 and 43 of Schedule 1 to the Department for Transport (Fees) Order 2009 and has taken into account the matters listed in Schedule 2 to that Order in determining the costs of those functions.
Citation and commencement
1
These Regulations may be cited as the Road Vehicles (Registration and Licensing) (Amendment) Regulations 2012 and they come into force on 1st April 2012.
Amendment of Regulations
2
The Road Vehicles (Registration and Licensing) Regulations 2002 are amended as follows.
Amendments to Schedule 2 (Reduced pollution certificates and the reduced pollution requirements)
3
In paragraph 13 (prescribed fees) of Schedule 2 —
a
in sub-paragraph (1)(a), for “£32” substitute “£34”;
b
in sub-paragraph (1)(b), for “£19” substitute “£20”;
c
after sub-paragraph (2), insert —
3
If, at the request of the applicant, an examination is carried out otherwise than at premises provided by the Secretary of State under section 52 of the 1988 Act the fee payable under sub-paragraph (1)(a) shall be reduced by £2, and the fee payable under sub-paragraph (1)(b) shall be reduced by £1.
;
d
for sub-paragraph (4), substitute —
4
in sub-paragraph (2) “out of hours” means —
a
at any time on Saturday, Sunday, Christmas Day, Good Friday or a Bank Holiday (as defined by the Banking and Financial Dealings Act 1971 ), or any other day on which tests are not normally conducted at vehicle testing stations; or
b
on any other day except between 6.00 am and 8.00 pm.
; and
e
after sub-paragraph (4), add —
5
Sub-paragraphs (2), (3) and (4) do not apply in Northern Ireland.
.
Signed by authority of the Secretary of State
Mike Penning
Parliamentary Under Secretary of State
Department for Transport
7th February 2012 |
The Ecclesiastical Judges, Legal Officers and Others (Fees) Order 2012
The Fees Advisory Commission, in exercise of the powers conferred by section 6(1), (1A) and (2) of the Measure, makes the following Order:
Citation, commencement and interpretation
1
1
This Order may be cited as the Ecclesiastical Judges, Legal Officers and Others (Fees) Order 2012.
2
It comes into operation on 1st January 2013.
3
In this Order —
a
“diocesan board of finance” means in relation to a diocese, the board of that name constituted under the Diocesan Boards of Finance Measure 1925 ;
b
“the Measure” means the Ecclesiastical Fees Measure 1986; and
c
any reference to an ecclesiastical judge or legal officer includes the deputy of such judge or officer.
Fees payable
2
The Schedule sets out the fees which are to be paid —
1
to the ecclesiastical judges and legal officers described in the Schedule in respect of the carrying out by them of the duties of their offices that are specified; and
2
to diocesan boards of finance in respect of the matters specified in Part 2 of Table 1 of the Schedule.
Revocation or 2011 Order
3
The Ecclesiastical Judges, Legal Officers and Others (Fees) Order 2011 is revoked.
Supplementary annual fee
4
1
Subject to paragraph (2), nothing in this Order shall preclude a diocesan board of finance from agreeing to pay any sum to a diocesan registrar by way of annual fee or retainer which is additional to the annual fee payable under Table 1 of Schedule 1.
2
Any such agreement shall —
a
be in writing;
b
be expressed to be an agreement made in accordance with this article; and
c
state the period for which it is to run, or, if no such period is stated, remain binding until determined by not less than three months’ notice on either side.
Travel, subsistence, accommodation and court hearings
5
A fee specified in the Schedule (other than a fee specified in Part 2 of Table 1) shall be increased by a sum for reasonable expenses of travel, subsistence, accommodation and the holding of court hearings.
Value Added Tax
6
Where Value Added Tax is chargeable in respect of the provision of any service for which a fee is prescribed in this Order the amount of the Value Added Tax chargeable is payable in addition to that fee.
J Alpass
H Dellar
C Fletcher
M Goddard
J Jones
J Rees
E Renshaw
G Tattersall
T Walker
The Fees Advisory Commission
Church House, London
6th July 2012
This Order was approved by the General Synod on 6th July 2012
C. J. Podmore
Clerk to the Synod
Church House, London
SCHEDULE
Fees payable under this Order
Article 2
TABLE 1 Faculty and other fees
Except where the contrary intention appears, this Table and Table 2 apply to the following proceedings —
1
Faculty petitions and other faculty proceedings (including appeals);
2
Proceedings for an injunction or a restoration under section 13(4) and (5) of the Care of Churches and Ecclesiastical Jurisdiction Measure 1991 (including appeals); and
3
Proceedings under section 18 of the Care of Cathedrals Measure 2011 (including appeals).
PART 1
Dean of the Arches, Vicar-General or Chancellor Registrar or other Officer by usage performing the duty £ £
1. Archdeacon’s Faculty. Fee payable on submission of petition (rule 4). – 72 2. Chancellor’s Faculty. Fee payable on submission of petition (rule 4). 47 110 3. Additional fees where the Chancellor has ordered under rule 26 that the proceedings are to be determined upon consideration of written representations, such fees, and by whom they are to be paid, to be fixed by the Chancellor within the limits shown. 172–273 111–164 4. On the registrar referring a petition in respect of which a fee has become payable under paragraph 1 of this Table to the Chancellor under rule 7(5), 8 or 10, the petitioner, if he or she wishes to proceed, shall pay a further fee of 47 40 5. Fees on the Judge, Court or registrar giving other directions (otherwise than at a hearing in respect of which fees are payable under paragraph 6 of this Table), such fees, and by whom they are to be paid, to be fixed by the Judge within the limits shown — (a) on a pre-trial review of the case as a whole under rule 19 — (i) directions given by Judge 105–314 72–207 (ii) directions given by registrar – 105–314 (b) on giving of other directions — (i) directions given by Judge or Court 41–125 32–81 (ii) directions given by registrar. – 41–125 6. Fees where the issue, whether opposed or unopposed, whether interlocutory or final, is to be heard in Court or in Chambers before the Chancellor’s Court, the Vicar-General’s Court, the Arches Court of Canterbury or Chancery Court of York, or the Court of Ecclesiastical Cases Reserved — (a) if the case lasts half a day or less 326 248 (b) if the case lasts a whole day or more than a half 551 413 (fees on same scale for subsequent days). 7. Fee on the Judge or other member of the Court preparing a written judgment or drafting the form of order or both, such fee to be at the hourly rate shown and in respect of the number of hours certified by the Judge or other member of the Court as spent in such work, and by whom the fee is to be paid to be determined by the Court. 52 – 8. Preparatory and ancillary work and correspondence (if any) in relation to petition for faculty, appeal or other proceedings – not to exceed without the sanction of the Judge. – 47 9. (a) No fees are payable under paragraphs 5, 6 and 7 to members of the Court of Ecclesiastical Causes Reserved. (b) In the case of the Arches Court of Canterbury or the Chancery Court of York (constituted in accordance with section 47(1)(b) of the Ecclesiastical Jurisdiction Measure 1963 ) — (i) any fee payable under paragraph 5(b) to the Dean of the Arches shall be payable to each member of those Courts who joins in the giving of directions within that sub-paragraph; (ii) any fee calculated in accordance with paragraph 6 payable under that paragraph to the Dean of the Arches shall be payable to each member of those Courts; and (iii) a fee calculated in accordance with paragraph 7 shall be payable to each member of those Courts who prepares a separate written judgment or who is principally responsible for drafting the form of order or both. (c) All other fees of the Registry (otherwise than in respect of an unopposed faculty petition which is not the subject of a hearing before the Consistory Court) are to be paid on the same scale as allowed for Court fees, from time to time, in the Supreme Court of Judicature. (d) “Judge” means the Chancellor or Presiding Judge of the Appellate Court. (e) Where the Vicar-General’s court of the Province of Canterbury exercises the faculty jurisdiction of the Consistory Court by virtue of section 3(5)(a) of the Care of Places of Worship Measure 1999 , “Chancellor” shall be taken as referring to the Vicar-General and “registrar” shall be taken as referring to the registrar of the province of Canterbury acting as registrar of the Vicar-General’s court. (f) References to Rules are to the Faculty Jurisdiction Rules 2000 , and reference to any provision of the Rules shall include reference to the corresponding provision of the Faculty Jurisdiction (Care of Places of Worship) Rules 2000 applying to faculty proceedings in relation to buildings, curtilages, objects and structures which are subject to the faculty jurisdiction by virtue of section 3(2) of the Care of Places of Worship Measure 1999.
PART 2
On the submission of a petition for a faculty in respect of any building or part of a building, any curtilage of a building or any object or structure fixed to a building or part of a building or within its curtilage, which is subject to the faculty jurisdiction by virtue of section 3(2) of the Care of Places of Worship Measure 1999, a fee of £189 shall be payable to the diocesan board of finance (“the Board”) in respect of work done in relation to the petition (before or after it is lodged) by the diocesan advisory committee and any such work done by any archdeacon in the diocese.
Provided that —
4
The Board may in its discretion waive the whole or part of that fee in a particular case where it considers that such a waiver is appropriate having regard to any financial contribution to the funds of the diocese made by those responsible for the building concerned, those who worship regularly in that building or any other persons who in the Board’s opinion have a substantial interest in or connection with that building; and
5
No fee shall be payable under this part of this Table in respect of any faculty petition relating to a building, part of a building, curtilage, object or structure where the building concerned is one specified in section 1(2)(e) or section 3(5) of the Care of Places of Worship Measure 1999.
TABLE 2 Additional fees payable in connection with appeals
Fee £
1. Application under rules 4-6 for leave to appeal or to determine the Court to which appeal lies or both. To be paid to the registrar specified below by the applicant on lodging the application — for judge at first instance, or for the Dean of the Arches and Auditor if application is made to him or her 114 for registrar of the Court of first instance or, if the application is made to the Dean of the Arches and Auditor, for the registrar of the appellate court. 66 2. Appeal from decision of the Consistory Court or Vicar-General’s Court. To be paid to the registrars by the appellant on lodging the notice of appeal — to the registrar of the court of first instance 221 to the registrar of the appellate court 111 Plus a fee, to be fixed by the registrar of the appellate court, in respect of the cost of preparing for the use of the members of the court five copies (in the case of the Court of Ecclesiastical Causes Reserved) or three copies (in the case of the Arches Court of Canterbury or the Chancery Court of York constituted in accordance with section 47(1)(b) of the Ecclesiastical Jurisdiction Measure 1963) of the following documents — (i) the record of the proceedings at first instance and any other documents and exhibits transmitted by the registrar of the court of first instance to the registrar of the appellate court; (ii) the note by the judge of the proceedings at first instance; to be paid to the registrar of the appellate court by the appellant when assessed by the registrar. 3. Petition for Review under rule 17. To be paid to the registrar of the Court of Ecclesiastical Causes Reserved by the petitioner on lodging petition. 221 4. Interlocutory application within rule 19. To be paid to the registrar of the appellate court by the applicant on lodging the application. 32 5. Appeal against the decision of the registrar of the appellate court on an interlocutory application. To be paid to the registrar of the appellate court by the appellant on lodging the notice of appeal. 32
NOTES
References to rules are to the Faculty Jurisdiction (Appeal) Rules 1998 ( S.I. 1998/1713 ).
The fees set out above are additional to those set out in Table 1.
TABLE 3 Fees for proceedings in respect of ecclesiastical offences
This Table applies to proceedings (including proceedings authorised to be taken and appeals) of the descriptions specified in sections 6(i)(a) or 10(i)(a) of the Ecclesiastical Jurisdiction Measure 1963.
Judge Registrar £ £
1. Fees payable on the Judge or Court giving directions (otherwise than at the hearing in respect of which fees are payable under paragraph 2 of this Table), such fees to be fixed by the Judge within the limits shown. 41–315 32–207 2. Fees payable where the issue, whether interlocutory or final, is heard in Court or in Chambers — (a) if the hearing lasts half a day or less 326 248 (b) if the hearing lasts a whole day or more than a half 551 413 (fees on same scale for subsequent days). 3. Fee on the Judge preparing a written judgment or drafting the form of order or both, such fee to be at the hourly rate shown and in respect of the number of hours certified by the Judge as spent on such work.. 52 – 4. On an appeal to the Arches Court of Canterbury, the Chancery Court of York or the Court of Ecclesiastical Causes Reserved, a fee, to be fixed by the Judge and paid to the registrar of the appellate court, in respect of the cost of preparing for the use of the members of the Court five copies of the following documents — (a) the notice of appeal; (b) the record of the proceedings at first instance and any other documents and exhibits transmitted by the registrar of the court of first instance to the registrar of the appellate court; (c) the note by the judge of the proceedings at first instance and any transcript of the judgment or any other part of the proceedings; (d) all other documents required for the use of the Court. 5. Fee in respect of all other work carried out by the registrar in his or her capacity as such, in relation to proceedings to which this Table applies, on or after the date on which the proceedings were instituted in accordance with the Ecclesiastical Jurisdiction Measure 1963 or on which a person was authorised to act as complainant in accordance with that Measure (including preparatory and ancillary work and correspondence) – the fee to be calculated at an hourly rate fixed by the Judge in respect of the number of hours certified by the registrar and approved by the Judge as spent on such work.. 6. (a) Subject to sub-paragraph (b) below, paragraphs 1-3 above apply to the Consistory Court, the Arches Court of Canterbury, the Chancery Court of York and the Court of Ecclesiastical Causes Reserved. (b) “Judge” means the Chancellor or other presiding Judge of any Court concerned, provided that no fees are to be payable under this Table to any member of the Court of Ecclesiastical Causes Reserved. (c) “Registrar” means the registrar of the Consistory Court, the Arches Court of Canterbury, the Chancery Court of York or the Court of Ecclesiastical Causes Reserved. (d) Subject to any other order or direction by any Court concerned, fees under this Table are to be paid in accordance with section 62 of the Ecclesiastical Jurisdiction Measure 1963 as if they were costs or expenses to which that section applies.
TABLE 4 Fees for proceedings under the Clergy Discipline Measure 2003
This Table applies to proceedings (including appeals) instituted under section 10 of the Clergy Discipline Measure 2003.
Judge Registrar £ £
1. Fees payable on the Judge, Registrar of Tribunals, Provincial Registrar or Court giving directions (otherwise than at the hearing in respect of which fees are payable under paragraph 2 of this Table), such fees to be fixed by the Judge within the limits shown. 41–315 32–207 2. Fees payable for a hearing conducted by telephone, in camera or in public, whether interim, final or in relation to penalty or the removal of a penalty — (a) if the hearing lasts half a day or less 326 248 (b) if the hearing lasts a whole day or more than a half 551 413 (fees on same scale for subsequent days). 3. Fee on the Judge, Registrar of Tribunals or Provincial Registrar preparing a written judgment or drafting the form of order or both, such fee to be at the hourly rate shown and in respect of the number of hours certified by the Judge, Registrar of Tribunals or Provincial Registrar as spent on such work.. 52 38 4. Fee in respect of all other work carried out by the Registrar of Tribunals or Provincial Registrar in relation to proceedings to which this Table applies, on or after the date on which the proceedings were instituted in accordance with the Clergy Discipline Measure 2003 – the fee to be calculated at an hourly rate fixed by the Judge in respect of the number of hours certified by such registrar and approved by the Judge as spent on such work.. 5. (a) Paragraphs 1-3 above apply to the bishop’s disciplinary tribunal, the Courts of the Vicars-General, the Arches Court of Canterbury, and the Chancery Court of York. (b) “Judge” means the person presiding over any tribunal or Court concerned and includes when so presiding the President of Tribunals, the Deputy President of Tribunals, the Dean of the Arches and Auditor and the Vicars-General. (c) Subject to any other order or direction by any tribunal or Court concerned, fees under this Table are to be paid in accordance with section 62 of the Ecclesiastical Jurisdiction Measure 1963 as if they were costs or expenses to which that section applies.
TABLE 5 Fees payable on taxation of costs
Fee £
1. To be paid to registrar by party applying for taxation on lodging application. 29 2. To be paid to registrar by party applying on taxation of a bill of costs — (a) where the amount allowed does not exceed £1,000 50 (b) where the amount allowed exceeds £1,000 (i) for the first £1,000 50 (ii) for every £20 or fraction thereof over £1,000. 0.50
NOTE
For the taxation of costs in proceedings under the Clergy Discipline Measure 2003, reference in this Table to the registrar means the Registrar of Tribunals, or the Provincial Registrar in the case of an appeal.
TABLE 6 Fees payable for permissions under the Overseas and Other Clergy (Ministry and Ordination) Measure 1967 and for issue of the Archbishop’s licence for service chaplains and annual fees payable to some ecclesiastical judges
Fee £
1. Fee payable to the Provincial Registrar for permission under the Overseas Clergy (Ministry and Ordination) Measure 1967 120 2. Fee payable to the Provincial Registrar for issue of the Archbishop’s licence for service chaplains 55 3. Annual fee for the Vicar-General of the Province of Canterbury 2,516 4. Annual fee for the Vicar-General of the Province of York 2,041 5. Annual fee for the President of Tribunals 3,100 6. Annual fee for the Deputy President of Tribunals 3,100
NOTE
These fees are the liability of the Archbishop, subject to the provisions of section 8 of the Measure.
TABLE 7 Fees for duties under the Patronage (Benefices) Rules 1987
Fees for work by the diocesan registrar in connection with —
1
any search in the register of patrons (“the register”) maintained under Part 1 of the Patronage (Benefices) Measure 1986 (rule 10(1));
2
the making of any extract from the register (rule 10(1));
3
supplying a certified copy of any entry in the register (rule 10(2));
except so far as the work is within the scope of the annual fee payable to the diocesan registrar under the Legal Officers (Annual Fees) Order for the time being in force made under section 5 of the Ecclesiastical Fees Measure 1986.
Fees payable to the diocesan registrar to be calculated in accordance with the Solicitors’ (Non-Contentious Business) Remuneration Order 2009 and to be payable by the person making the search or extract or requesting the certified copy.
NOTE
References to rules are to the Patronage (Benefices) Rules 1987 ( S.I. 1987/773 ).
TABLE 8 Fees for elections to the General Synod
Fees for duties required to be performed as presiding officer at elections to the Lower Houses of the Convocations or to the House of Laity of the General Synod, payable to the diocesan registrar where he or she acts as presiding officer. Such fees, or fees calculated on such basis, as may be agreed from time to time between the diocesan registrar and the diocesan board of finance. |
The Slough (Electoral Changes) Order 2012
The Local Government Boundary Commission for England has decided to give effect to the recommendations for electoral changes and in exercise of the powers conferred by section 59(1) of the 2009 Act makes the following Order:
Citation
1
This Order may be cited as the Slough (Electoral Changes) Order 2012.
Commencement
2
1
This Order, with the exception of article 6, comes into force —
a
for the purpose of proceedings preliminary or relating to the elections of councillors for district wards, on 15th October 2013;
b
for all other purposes, on the ordinary day of election of councillors in 2014.
2
Article 6 comes into force —
a
for the purpose of proceedings preliminary or relating to the elections of parish councillors, on 15th October 2014;
b
for all other purposes, on the ordinary day of election of councillors in 2015.
Interpretation
3
In this Order —
“map” means the map marked “Map referred to in the Slough (Electoral Changes) Order 2012”, of which prints are available for inspection at the principal office of the Local Government Boundary Commission for England;
“ordinary day of election of councillors” has the meaning given by section 37 of the Representation of the People Act 1983 .
Wards of the district of Slough and number of councillors
4
1
The existing wards of the district of Slough are abolished.
2
The district is divided into fifteen wards each bearing a name listed in column 1 of Schedule 1.
3
Each ward comprises the area designated on the map by reference to the name of the ward.
4
The number of councillors to be elected for each ward is the number specified in relation to that ward in column 2 of Schedule 1.
5
Where a boundary is shown on the map as running along a road, railway line, footway, watercourse or similar geographical feature, it is to be treated as running along the centre line of the feature.
Elections of the council of the district of Slough
5
1
Elections of all councillors for all wards of the district are to be held simultaneously on the ordinary day of election of councillors in 2014 .
2
The councillors holding office for any ward of the district immediately before the fourth day after the ordinary day of election of councillors in 2014 are to retire on that date and the newly elected councillors are to come into office on that date.
3
The order of retirement of councillors is to be as set out in Schedule 2.
4
Where the number of councillors elected in 2014 for any ward of the district is two or more —
a
the first to retire is, subject to paragraphs (5) and (6), to be the councillor elected by the smallest number of votes; and
b
the second to retire is, subject to those paragraphs, to be the councillor elected by the next smallest number of votes.
5
In the case of an equality of votes between any persons elected which makes it uncertain which of them is to retire in any year, the person to retire in that year is to be determined by lot.
6
If an election of councillors for any ward is not contested, the person to retire in each year is to be determined by lot.
7
Where under this article any question is to be determined by lot, the lot is to be drawn at the next practicable meeting of the council after the question has arisen and the drawing is to be conducted under the direction of the person presiding at the meeting.
Wards of the parish of Britwell and number of councillors
6
1
The parish of Britwell is divided into two wards named respectively —
a
Britwell East;
b
Britwell West.
2
Each ward comprises the area designated on the map by reference to the name of the ward.
3
Twelve councillors are to be elected for Britwell East ward.
4
One councillor is to be elected for Britwell West ward.
Sealed with the seal of the Local Government Boundary Commission for England on the 5th day of November 2012
Max Caller
Chairman
Local Government Boundary Commission for England
5th November 2012
SCHEDULE 1
Names of district wards and numbers of councillors
Article 4
1 2 Name of District Ward Number of Councillors
Baylis and Stoke 3 Britwell and Northborough 3 Central 3 Chalvey 3 Cippenham Green 3 Cippenham Meadows 3 Colnbrook with Poyle 2 Elliman 3 Farnham 3 Foxborough 1 Haymill and Lynch Hill 3 Langley Kedermister 3 Langley St Mary’s 3 Upton 3 Wexham Lea 3
SCHEDULE 2
Order of retirement of councillors
Article 5
1 2 3 4 Name of District Ward Number of councillors to retire in 2015 Number of councillors to retire in 2016 Number of councillors to retire in 2018
Baylis and Stoke 1 1 1 Britwell and Northborough 1 1 1 Central 1 1 1 Chalvey 1 1 1 Cippenham Green 1 1 1 Cippenham Meadows 1 1 1 Colnbrook with Poyle 1 0 1 Elliman 1 1 1 Farnham 1 1 1 Foxborough 0 1 0 Haymill and Lynch Hill 1 1 1 Langley Kedermister 1 1 1 Langley St Mary’s 1 1 1 Upton 1 1 1 Wexham Lea 1 1 1 |
The Eritrea (Asset-Freezing) Regulations 2012
The Treasury, in exercise of the powers conferred by section 2(2) of, and paragraph 1A of Schedule 2 to, the European Communities Act 1972, make the following Regulations.
Citation, commencement and application
1
1
These Regulations may be cited as the Eritrea (Asset-Freezing) Regulations 2012 and shall come into force on 5th July 2012.
2
An offence under these Regulations may be committed by conduct wholly or partly outside the United Kingdom by —
a
a UK national, or
b
a body incorporated or constituted under the law of any part of the United Kingdom.
3
In paragraph (2) —
“conduct” includes acts and omissions;
“UK national” means —
a British citizen,
a British overseas territories citizen who acquired their citizenship from a connection with Gibraltar, or
a British subject under Part 4 of the British Nationality Act 1981 (British subjects) with the right of abode in the United Kingdom.
Interpretation
2
1
In these Regulations —
“the 2000 Act ” means the Financial Services and Markets Act 2000 ;
“the Council Regulation ” means Council Regulation (EU) No. 667/2010 of 26 July 2010 concerning restrictive measures in respect of Eritrea, and a reference to Annex I to that Regulation is to be construed as a reference to that Annex as amended from time to time;
“designated person” means a person, entity or body listed in Annex I to the Council Regulation;
“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;
“relevant institution” means —
a person who has permission under Part 4 of the 2000 Act (permission to carry on regulated activities) ;
an EEA firm of the kind mentioned in paragraph 5(b) of Schedule 3 to the 2000 Act (EEA passport rights) which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12 of that Schedule ) to accept deposits; or
an undertaking which by way of business operates a currency exchange office, transmits money (or any representations of monetary value) by any means or cashes cheques which are made payable to customers.
2
The definition of “relevant institution” in paragraph (1) must be read with —
a
section 22 of the 2000 Act (the classes of activity and categories of investment),
b
any relevant order under that section , and
c
Schedule 2 to that Act (regulated activities).
3
Any expression used both in these Regulations and in the Council Regulation has the meaning that it bears in the Council Regulation.
Freezing of funds and economic resources
3
1
A person (“P”) must not deal with funds or economic resources belonging to, or owned, held or controlled by, a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.
2
In paragraph (1) “deal with” means —
a
in relation to funds —
i
use, alter, move, allow access to or transfer,
ii
deal with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination, or
iii
make any other change that would enable use, including portfolio management;
b
in relation to economic resources, exchange, or use in exchange, for funds, goods or services.
3
Paragraph (1) is subject to regulation 9.
Making funds available to a designated person
4
1
A person (“P”) must not make funds available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
Paragraph (1) is subject to regulations 8 and 9.
Making funds available for the benefit of a designated person
5
1
A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
For the purposes of this regulation —
a
funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulations 8 and 9.
Making economic resources available to a designated person
6
1
A person (“P”) must not make economic resources available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect —
a
that P is making the economic resources so available, and
b
that the designated person would be likely to exchange the economic resources, or use them in exchange, for funds, goods or services.
2
Paragraph (1) is subject to regulation 9.
Making economic resources available for the benefit of a designated person
7
1
A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.
2
For the purposes of this regulation —
a
economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulation 9.
Credits to a frozen account
8
1
The prohibitions in regulations 4 and 5 are not contravened by a person crediting a frozen account with —
a
interest or other earnings due on the account, or
b
payments due under contracts, agreements or obligations that were concluded or arose before the account became a frozen account.
2
The prohibitions in regulations 4 and 5 on making funds available do not prevent a relevant institution from crediting a frozen account where it receives funds transferred to the account.
3
A relevant institution must inform the Treasury without delay if it credits a frozen account in accordance with paragraph (1)(b) or (2).
4
In this regulation “frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person.
Licences
9
1
The prohibitions in regulations 3 to 7 do not apply to anything done under the authority of a licence granted by the Treasury.
2
A licence must specify the acts authorised by it and may be —
a
general or granted to a category of persons or to a particular person;
b
subject to conditions;
c
of indefinite duration or subject to an expiry date.
3
The Treasury may vary or revoke a licence at any time.
4
On the grant, variation or revocation of a licence, the Treasury must —
a
in the case of a licence granted to a particular person, give written notice of the grant, variation or revocation to that person,
b
in the case of a general licence or a licence granted to a category of persons, take such steps as the Treasury consider appropriate to publicise the grant, variation or revocation of the licence.
5
A person commits an offence who, for the purpose of obtaining a licence, knowingly or recklessly —
a
provides information that is false in a material respect, or
b
provides or produces a document that is not what it purports to be.
6
A person who purports to act under the authority of a licence but who fails to comply with any conditions included in the licence commits an offence.
Contravention and circumvention of prohibitions
10
1
A person who contravenes any of the prohibitions in regulations 3 to 7 commits an offence.
2
A person commits an offence who intentionally participates in activities knowing that the object or effect of them is (whether directly or indirectly) —
a
to circumvent any of the prohibitions in regulations 3 to 7, or
b
to enable or facilitate the contravention of any such prohibition.
Information provisions
11
The Schedule (which contains provisions concerning information gathering and disclosure) has effect.
Officers of a body corporate etc.
12
1
Where an offence under these Regulations committed by a body corporate —
a
is committed with the consent or connivance 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, or
b
is attributable to any neglect on the part of any such person,
that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
2
In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
3
Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference —
a
in the case of a partnership, to a partner;
b
in the case of an unincorporated body other than a partnership —
i
where the body’s affairs are managed by its members, to a member of the body;
ii
in any other case, to a member of the governing body.
Penalties
13
1
A person guilty of an offence under regulation 9 or 10 is liable —
a
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both;
b
on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding the statutory maximum or to both.
2
A person guilty of an offence under paragraph 1(5) or 4(1) of the Schedule is liable on summary conviction to imprisonment for a term not exceeding three months or to a fine not exceeding level 5 on the standard scale or to both.
Proceedings
14
1
Proceedings against any person for an offence under these Regulations may be taken before the appropriate court in the United Kingdom having jurisdiction in the place where that person is for the time being.
2
In England and Wales an information relating to an offence that is triable by a magistrates’ court may be so tried if it is laid —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.
3
In Scotland —
a
summary proceedings for an offence may be commenced —
i
before the end of twelve months from the date on which evidence sufficient in the Lord Advocate’s opinion to justify the proceedings came to the Lord Advocate’s knowledge, and
ii
not later than three years after the commission of the offence; and
b
section 136(3) of the Criminal Procedure (Scotland) Act 1995 (time limit for certain offences) applies for the purpose of this paragraph as it applies for the purpose of that section.
4
In Northern Ireland summary proceedings for an offence may be instituted —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify proceedings comes to the knowledge of the prosecutor.
5
For the purposes of this regulation a certificate of the prosecutor (or in Scotland, the Lord Advocate) as to the date on which such evidence as is referred to above came to their notice is conclusive evidence.
Consent to prosecution
15
1
Proceedings for an offence under these Regulations (other than a summary offence) may not be instituted —
a
in England and Wales, except by or with the consent of the Attorney General,
b
in Northern Ireland —
i
where the offence is committed wholly or partly outside Northern Ireland, except by or with the consent of the Advocate General for Northern Ireland;
ii
for all other offences, except by or with the consent of the Director for Public Prosecutions for Northern Ireland.
2
Nothing in paragraph (1) prevents —
a
the arrest of a person in respect of an offence under these Regulations, or
b
the remand in custody or on bail of any person charged with such an offence.
Notices
16
1
This regulation has effect in relation to any notice to be given to a person by the Treasury under regulation 9.
2
Any such notice may be given —
a
by posting it to the person’s last known address, or
b
where the person is a body corporate, partnership or unincorporated body other than a partnership, by posting it to the registered or principal office of the body or partnership concerned.
3
Where the Treasury do not have an address for the person, they must make arrangements for the notice to be given to the person at the first available opportunity.
The Crown
17
1
These Regulations bind the Crown.
2
No contravention by the Crown of a provision of these Regulations makes the Crown criminally liable.
3
The High Court or, in Scotland, the Court of Session may, on the application of a person appearing to the court to have an interest, declare unlawful any act or omission of the Crown that constitutes a contravention of a provision of these Regulations.
4
Nothing in this regulation affects Her Majesty in her private capacity.
5
Paragraph (4) is to be read as if section 38(3) of the Crown Proceedings Act 1947 (meaning of Her Majesty in her private capacity) were contained in these Regulations.
Michael Fabricant
Brooks Newmark
Two of the Lords Commissioners of Her Majesty’s Treasury
12th June 2012
SCHEDULE
Information Provisions
Regulation 11
Reporting obligations of relevant institutions
1
1
A relevant institution must inform the Treasury as soon as practicable if —
a
it knows, or has reasonable cause to suspect, that a person —
i
is a designated person, or
ii
has committed an offence under regulation 9 or 10, and
b
the information or other matter on which the knowledge or suspicion is based came to it in the course of carrying on its business.
2
Where a relevant institution informs the Treasury under sub-paragraph (1), it must state —
a
the information or other matter on which the knowledge or suspicion is based, and
b
any information it holds about the person by which the person can be identified.
3
Sub-paragraph (4) applies if —
a
a relevant institution informs the Treasury under sub-paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and
b
that person is a customer of the institution.
4
The relevant institution must also state the nature and amount or quantity of any funds or economic resources held by it for the customer.
5
A relevant institution that fails to comply with any requirement of sub-paragraph (1), (2) or (4) commits an offence.
Powers to request information
2
1
The Treasury may request a designated person to provide information concerning —
a
funds or economic resources owned, held or controlled by or on behalf of the designated person, or
b
any disposal of such funds or economic resources.
2
The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure —
a
by or on behalf of the designated person, or
b
for the benefit of the designated person.
3
The power in sub-paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of these Regulations.
4
The Treasury may request a person acting under a licence granted under regulation 9 to provide information concerning —
a
funds or economic resources dealt with under the licence, or
b
funds or economic resources made available under the licence.
5
The Treasury may request any person in or resident in the United Kingdom to provide such information as the Treasury may reasonably require for the purpose of —
a
establishing for the purposes of these Regulations —
i
the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,
ii
the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person, or
iii
the nature of any financial transactions entered into by a designated person,
b
monitoring compliance with or detecting evasion of these Regulations, or
c
obtaining evidence of the commission of an offence under these Regulations.
6
The Treasury may specify the manner in which, and the period within which, information is to be provided.
7
If no such period is specified, the information which has been requested must be provided within a reasonable time.
8
A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.
9
Information requested under this paragraph may relate to any period of time during which a person is, or was, a designated person.
10
Information requested under sub-paragraph (1)(b), (2) or (5)(a)(iii) may relate to any period of time before a person became a designated person (as well as, or instead of, any subsequent period of time).
Production of documents
3
1
A request under paragraph 2 may include a request to produce specified documents or documents of a specified description.
2
Where the Treasury request that documents be produced, they may —
a
take copies of or extracts from any document so produced,
b
request any person producing a document to give an explanation of it, and
c
where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is —
i
in the case of a partnership, a present or past partner or employee of the partnership,
ii
in any other case, a present or past officer or employee of the body concerned,
to give such an explanation.
3
Where the Treasury request a designated person or a person acting under a licence granted under regulation 9 to produce documents, that person must —
a
take reasonable steps to obtain the documents (if not already in the person’s possession or control);
b
keep the documents under the person’s possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).
Failure to comply with request for information
4
1
A person commits an offence who —
a
without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request made under this Schedule,
b
knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request,
c
with intent to evade the provisions of this Schedule, destroys, mutilates, defaces, conceals or removes any document, or
d
otherwise intentionally obstructs the Treasury in the exercise of their powers under this Schedule.
2
Where a person is convicted of an offence under this paragraph, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.
General power to disclose information
5
1
The Treasury may disclose any information obtained by them pursuant to these Regulations —
a
to a police officer;
b
to any person holding or acting in any office under or in the service of —
i
the Crown in right of the Government of the United Kingdom,
ii
the Crown in right of the Scottish Administration, the Northern Ireland Administration or the Welsh Assembly Government,
iii
the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark,
iv
the Government of the Isle of Man, or
v
the Government of any British overseas territory;
c
to any law officer of the Crown for Jersey, Guernsey or the Isle of Man;
d
to the Legal Services Commission, the Scottish Legal Aid Board or the Northern Ireland Legal Services Commission;
e
to the Financial Services Authority, the Jersey Financial Services Commission, the Guernsey Financial Services Commission, the Isle of Man Insurance and Pensions Authority or the Isle of Man Financial Supervision Commission;
f
for the purpose of giving assistance or co-operation, pursuant to the Council Regulation, to —
i
any organ of the United Nations, or
ii
the Council of the European Union, the European Commission or the Government of a Member State;
g
with a view to instituting, or otherwise for the purposes of, any proceedings —
i
in the United Kingdom, for an offence under these Regulations, or
ii
in any of the Channel Islands, the Isle of Man or any British overseas territory, for an offence under a similar provision in any such jurisdiction; or
h
with the consent of a person who, in their own right, is entitled to the information or to possession of the document, copy or extract, to any third party.
2
In sub-paragraph (1)(h) “in their own right” means not merely in the capacity as a servant or agent of another person.
Application of provisions
6
1
Nothing done under this Schedule is to be treated as a breach of any restriction imposed by statute or otherwise.
2
But nothing in this Schedule authorises a disclosure that —
a
contravenes the Data Protection Act 1998 , or
b
is prohibited by Part 1 of the Regulation of Investigatory Powers Act 2000 .
3
Nothing in this Schedule is to be read as requiring a person who has acted as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.
4
This Schedule does not limit the circumstances in which information may be disclosed apart from this Schedule.
5
This Schedule does not limit the powers of the Treasury to impose conditions in connection with the discharge of their functions under regulation 9.
6
In this paragraph “privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings. |
The Excise Goods (Holding, Movement and Duty Point) (Amendment) Regulations 2012
The Commissioners for Her Majesty’s Revenue and Customs make the following Regulations in exercise of the powers conferred by section 93(1)(d), (2)(a), (e) and (fa) and (3) of the Customs and Excise Management Act 1979 , section 41A(7) of the Alcoholic Liquor Duties Act 1979 and section 2(2) of the European Communities Act 1972 having been designated for the purposes of that section in relation to excise matters of the EU
and payment of excise duty:
Citation and commencement
1
These Regulations may be cited as the Excise Goods (Holding, Movement and Duty Point) (Amendment) Regulations 2012 and come into force on 1st December 2012.
Amendment to the Excise Goods (Holding, Movement and Duty Point) Regulations 2010
2
Amend the Excise Goods (Holding, Movement and Duty Point) Regulations 2010 as follows.
3
For paragraph (2E) of regulation 62 (simplified procedure for certain movements of alcoholic liquors) substitute —
2E
In the case of any alcoholic liquors, premises in respect of which a person (other than the producer or manufacturer of the liquors) who is treated under sections 43A to 43D of the Value Added Tax Act 1994 as a member of the same group as the producer or manufacturer —
a
is registered or holds a licence under any of the provisions referred to in paragraphs (2A) to (2C); or
b
is the authorised warehousekeeper.
.
Ruth Owen
Jim Harra
Two of the Commissioners for Her Majesty’s Revenue and Customs
6th November 2012 |
The Traffic Management (Leeds City Council) Permit Scheme Order 2012
The Secretary of State for Transport having approved the Leeds City Council Permit Scheme under section 34(2) of the Traffic Management Act 2004 makes this Order in exercise of the powers conferred by sections 34(4) and (5) and 39(2) of that Act.
Citation and commencement
1
This Order may be cited as the Traffic Management (Leeds City Council) Permit Scheme Order 2012 and comes into force on 12th June 2012.
Interpretation
2
In this Order —
“the Leeds City Council Permit Scheme ” means the permit scheme set out in the Schedule to this Order in terms commonly known as the “Yorkshire Common Permit Scheme” which was prepared and submitted to the Secretary of State by Leeds City Council and has been approved by the Secretary of State; and
“specified streets” has the meaning given by regulation 8 of the Traffic Management Permit Scheme (England) Regulations 2007 .
Commencement of Permit Scheme
3
The Leeds City Council Permit Scheme comes into effect on 12th June 2012.
Application of Part 8 of the Traffic Management Permit Scheme (England) Regulations 2007
4
Part 8 of the Traffic Management Permit Scheme (England) Regulations 2007 shall apply to the specified streets within the Leeds City Council Permit Scheme.
Signed by authority of the Secretary of State for Transport
Norman Baker
Parliamentary Under Secretary of State
Department for Transport
10th May 2010
SCHEDULE
THE LEEDS CITY COUNCIL PERMIT SCHEME
Article 2 |
The Customs (Inspections by Her Majesty’s Inspectors of Constabulary and the Scottish Inspectors) Regulations 2012
The Secretary of State, in exercise of the powers conferred by sections 29 and 37(2) of the Borders Citizenship and Immigration Act 2009 , makes the following Regulations:
Citation and commencement
1
These Regulations may be cited as the Customs (Inspections by Her Majesty’s Inspectors of Constabulary and the Scottish Inspectors) Regulations 2012 and shall come into force on 10 th December 2012.
Interpretation
2
In these Regulations, “ the Act ” means the Borders Citizenship and Immigration Act 2009 .
Inspection functions: England and Wales
3
1
Paragraph (2) applies where the following conduct takes place at one or more premises specified in Part 1 of the Schedule to these Regulations, or whilst transporting a person to or from those premises in England and Wales —
a
the exercise by designated customs officials of customs functions;
b
the exercise by officials of the Secretary of State of customs functions;
c
the exercise by the Secretary of State of general customs functions;
d
the exercise by the Director of Border Revenue of the Director’s functions;
e
the exercise by any person of the functions of the Director of Border Revenue;
f
the provision of services by a person pursuant to arrangements relating to the discharge of a function of a person mentioned in sub-paragraphs (a) to (e).
2
Her Majesty’s Inspectors of Constabulary shall inspect and report on the efficiency and effectiveness of the conduct specified in paragraph (1).
Inspection functions: Scotland
4
1
Paragraph (2) applies where the following conduct takes place at the premises specified in Part 2 of the Schedule to these Regulations, or whilst transporting a person to or from those premises in Scotland —
a
the exercise by designated customs officials of customs functions;
b
the exercise by officials of the Secretary of State of customs functions;
c
the exercise by the Secretary of State of general customs functions;
d
the exercise by the Director of Border Revenue of the Director’s functions;
e
the exercise by any person of the functions of the Director of Border Revenue;
f
the provision of services by a person pursuant to arrangements relating to the discharge of a function of a person mentioned in sub-paragraphs (a) to (e).
2
The Scottish inspectors and Her Majesty’s Inspectors of Constabulary shall jointly inspect and report on the efficiency and effectiveness of the conduct specified in paragraph (1).
Requirement for an inspection
5
1
The Secretary of State may at any time require an inspection under regulation 3(2) or 4(2) to be carried out.
2
A requirement under paragraph (1) may include a requirement for the inspection to be confined to one or more premises specified in the Schedule to these Regulations, to particular matters or to particular activities.
Delegation of functions
6
1
Her Majesty’s Inspectors of Constabulary may delegate any of their functions under these Regulations (to such an extent as they may determine) to another public authority.
2
If the carrying out of an inspection is delegated under paragraph (1) it is nevertheless to be regarded for the purposes of these Regulations as carried out by Her Majesty’s Inspectors of Constabulary.
3
“public authority” includes any person certain of whose functions are functions which are public in nature.
Powers of Her Majesty’s Inspectors of Constabulary regarding information etc.
7
1
A person mentioned in regulation 3(1) or 4(1) must —
a
provide to an inspector such information and documents specified or described in a notification given by an inspector to the person, and
b
produce and deliver up to an inspector all such evidence and other things so specified or described,
as appears to the inspector to be required for the purpose of an inspection under regulation 3(2) or 4(2).
2
A notification under paragraph (1) requiring any information or documents to be provided may authorise or require that they be provided electronically.
3
Anything that a person is obliged to provide, produce or deliver up by virtue of a requirement imposed under paragraph (1) must be provided, produced or delivered up in such form and manner, and within such period, as may be specified —
a
in the notification imposing the requirement, or
b
in any subsequent notification given by an inspector to the person.
4
Nothing in this paragraph requires a person —
a
to comply with an obligation imposed under paragraph (1) before the earliest time at which it is practicable to do so, or
b
to comply at all with such an obligation if it never becomes practicable to do so.
5
In this regulation —
“document” means anything in which information of any description is recorded, and
“inspector” means an inspector of Her Majesty’s Inspectors of Constabulary.
Powers of Her Majesty’s Inspectors of Constabulary regarding access to specified premises etc.
8
1
Paragraph (2) applies if —
a
an inspector requires a person mentioned in regulation 3(1) or 4(1) to allow the inspector to have access to any premises specified in the Schedule to these Regulations, any vehicle used to transport a person to or from those premises, and to documents, persons and other things on those premises or in those vehicles, and
b
the requirement is imposed for the purposes of an inspection under regulation 3(2) or 4(2).
2
The person must secure that the required access is allowed to the inspector.
3
Where there are reasonable grounds for not allowing the inspector to have access at the time at which the inspector seeks to have it, the obligation under paragraph (2) has effect as an obligation to secure that the required access is allowed to the inspector at the earliest practicable time specified by the inspector after there ceases to be any such grounds.
4
In this regulation, “document” and “inspector” have the same meaning as in regulation 7(5).
Reports
9
1
Where —
a
Her Majesty’s Inspectors of Constabulary carry out an inspection under regulation 3(2); or
b
The Scottish inspectors and Her Majesty’s Inspectors of Constabulary jointly carry out an inspection under regulation 4(2),
they must make a report of the inspection.
2
Her Majesty’s Inspectors of Constabulary and, in relation to a joint inspection under regulation 4(2), the Scottish inspectors must arrange for a report prepared under paragraph (1) to be published in such a manner as appears to them to be appropriate.
3
But Her Majesty’s Inspectors of Constabulary and, in relation to a joint inspection under regulation 4(2), the Scottish inspectors must exclude from publication of a report under paragraph (2) anything that they consider —
a
would be against the interests of national security, or
b
might jeopardise the safety of any person.
4
Her Majesty’s Inspectors of Constabulary and, in relation to an inspection under regulation 4(2), the Scottish inspectors must disclose to the Secretary of State and the Director of Border Revenue anything excluded from publication by virtue of paragraph (3).
5
Her Majesty’s Inspector’s of Constabulary and, in relation to an inspection under regulation 4(2), the Scottish inspectors must send a copy of a report published under paragraph (2) to the Secretary of State and the Director of Border Revenue.
6
The Secretary of State and the Director of Border Revenue shall prepare comments on the report received pursuant to paragraph (5) and shall arrange for those comments to be published in such manner as appears to the Secretary of State and Director of Border Revenue to be appropriate.
7
Her Majesty’s Inspectors of Constabulary shall in each year prepare a report on the carrying out of inspections under regulation 3(2) and 4(2) and shall lay a copy of the annual report before Parliament.
Inspection programmes and inspection frameworks
10
The chief inspector of Her Majesty’s Inspectors of Constabulary must include proposed inspections under these Regulations within any inspection programme or inspection framework prepared in accordance with paragraph 2(1) of Schedule 4A to the Police Act 1996 , and paragraph 2(2) , 2(2A) , 2(2B) , 2(3) and 2(5) of that Schedule shall apply accordingly.
Co-operation
11
1
Section 54(2D) of the Police Act 1996 shall apply to the chief inspector of Her Majesty’s Inspectors of Constabulary in respect of the functions of Her Majesty’s Inspectors of Constabulary under these Regulations.
2
Paragraph 4 of Schedule 4A to the Police Act 1996 shall apply to the functions of Her Majesty’s Inspectors of Constabulary under these Regulations.
Joint action
12
Paragraph 5 of Schedule 4A to the Police Act 1996 shall apply to the functions of Her Majesty’s Inspectors of Constabulary under these Regulations.
Payment
13
The Secretary of State shall pay such amount to Her Majesty’s Inspectors of Constabulary and to the Scottish inspectors in respect of their functions under these Regulations as the Secretary of State may with the consent of the Treasury determine.
Mark Harper
Minister of State
Home Office
12th November 2012
THE SCHEDULE
PART 1 The premises specified for the purposes of regulation 3(1) are:
Regulation 3(1)
Customs Spine Suite, Birmingham Airport, Diamond House, Birmingham International Airport, Birmingham, B26 3QJ
Customs Spine Suite, Building 26, Dover Port, Priory Court, St John’s Road, Dover, Kent CT17 9SH
Customs Spine Suite, Gatwick Airport, Concorde 2000 South Wing, Gatwick Airport, Crawley, West Sussex RH6 0LX
Customs Spine Suite, Heathrow Airport, 2 nd Floor Short Term Holding Facility, Colnbrook Immigration Removal Centre, A4 Colnbrook Bypass 67, Harmondsworth, Middx UB7 0FX
Customs Spine Suite, Manchester Airport, International Arrivals, Terminal One, Manchester Airport, Manchester M90 3EX
Customs Interview Suite, Harwich Port, UK Border Force Office, Passenger Terminal, Harwich International Port, Parkeston, Essex CO12 4SX
Customs Interview Suite, Luton Airport, Terminal Building, Luton, Bedfordshire, LU2 9NJ
Customs Interview Suite, St. Pancras International Station, St Pancras Road, London N1C 4QP
Customs Interview Suite, Stansted Airport, Main Terminal Building, Stansted, Essex CM24 1QS
PART 2 The premises specified for the purposes of regulation 4(1) are:
Regulation 4(1)
Customs Spine Suite, Terminal Building, Glasgow Airport, St Andrews Drive, Paisley PA3 2SR. |
The Early Years Foundation Stage (Welfare Requirements) Regulations 2012
In accordance with section 43(2) of that Act, the Secretary of State has consulted Her Majesty’s Chief Inspector of Education, Children’s Services and Skills and other appropriate persons.
Citation and commencement
1
These Regulations may be cited as the Early Years Foundation Stage (Welfare Requirements) Regulations 2012 and come into force on 1st September 2012.
Interpretation
2
In these Regulations —
“ the Act ” means the Childcare Act 2006;
“the Document” means the Document entitled “Statutory Framework for the Early Years Foundation Stage” published by the Secretary of State on 27th March 2012 on the website of the Department for Education;
“registered early years provider” means a person who is registered in the early years register under Chapter 2 of Part 3 of the Act.
Specification of the welfare requirements
3
1
Regulations 7, 8 and 9 specify welfare requirements under section 39(1)(b) of the Act.
2
It is directed that the provisions in Section 3 of the Document have effect, for the purposes of specifying the welfare requirements under section 39(1)(b) of the Act.
3
Early years providers to whom section 40 of the Act applies must have regard to the matters in Section 3 of the Document in securing that the early years provision they provide complies with the welfare requirements.
Requirement on the Chief Inspector
4
The Chief Inspector must have regard to the welfare requirements specified in regulation 3 and the matters in Section 3 of the Document in exercising functions under Part 3 of the Act.
Matters to be considered by the Chief Inspector
5
Any allegation that an early years provider has —
a
failed to meet the welfare requirements; or
b
failed to have regard to the matters in Section 3 of the Document
may be taken into account by the Chief Inspector in the exercise of functions under Part 3 of the Act.
Proceedings under Part 3 of the Act
6
Any allegation that an early years provider has —
a
failed to meet the welfare requirements; or
b
failed to have regard to the matters in Section 3 of the Document
may be taken into account in any proceedings under Part 3 of the Act.
Welfare of children: prohibition on corporal punishment
7
1
A registered early years provider must not use corporal punishment on a child for whom early years provision is provided and, so far as is reasonably practicable, must ensure that corporal punishment is not used on any such child by —
a
any person who cares for, or is in regular contact with, children; or
b
any person living or working on the premises on which the early years provision is provided.
2
A person will not be taken to have used corporal punishment for the purposes of paragraph (1) if the action was taken for reasons that include averting an immediate danger of personal injury to, or an immediate danger of death of, any person including the child.
3
For the purposes of paragraphs (1) and (2) above, “corporal punishment” means anything done for the purposes of punishing the child (whether or not there are other reasons for doing it) which, absent any justification, would constitute battery.
Provision of information
8
1
A registered early years provider must notify the Chief Inspector of the occurrence of any of the events set out in the Schedule to these Regulations and must at the same time provide the Chief Inspector with the information specified in that Schedule in respect of that event.
2
The notification and information referred to in paragraph (1) must be provided to the Chief Inspector —
a
where it is reasonably practicable to do so, in advance of the event occurring; and
b
in all other cases as soon as reasonably practicable, but in any event within 14 days beginning with the date that the event occurred.
3
Where the registered early years provider is required to notify the Chief Inspector of a change of person under paragraphs 11(a) or 12(a) or (b) of the Schedule, the notification must include the new person’s —
a
full name, and any former name or alias,
b
date of birth, and
c
home address.
Provision of information relating to disqualification
9
1
A registered early years provider must provide the following information to the Chief Inspector —
a
details of any order, determination, conviction or other ground for disqualification from registration made or applying in relation to a person listed in paragraph (2) which results in that person being disqualified from registration under regulations made under section 75 of the Act (disqualification from registration);
b
the date when the order, determination or conviction was made or when any other ground for disqualification from registration arose;
c
the body or court by which the order, determination or conviction was made and the sentence, if any, imposed;
d
in relation to an order or conviction, a certified copy of the relevant order or court order.
2
The persons in respect of whom the information referred to in paragraph (1) must be provided are —
a
the registered early years provider; and
b
any person who lives in the same household as the registered early years provider or who is employed in that household.
3
The information referred to in paragraph (1) must be provided to the Chief Inspector as soon as reasonably practicable, but in any event within 14 days beginning with the date on which the registered early years provider became aware of that information or ought reasonably to have become aware of it if they had made reasonable enquiries.
Failure to comply with welfare requirements notice
10
1
Where the Chief Inspector considers that a registered early years provider to whom section 40 applies has failed or is failing to comply with the welfare requirements the Chief Inspector may give a notice to the registered early years provider specifying —
a
in what respect the registered early years provider has failed or is failing to comply with those requirements; and
b
where appropriate —
i
what action the registered early years provider should take to comply; and
ii
the period within which the registered early years provider should take that action, such period to begin with the date of the notice.
2
The registered early years provider must comply with the terms of the notice within the period specified in the notice.
3
A notice under this regulation must be given in accordance with regulation 11.
Service of the welfare requirements notice
11
1
A notice may be given to a registered early years provider by the Chief Inspector —
a
by delivering it to the provider,
b
by sending it by post,
c
subject to paragraph (2), by transmitting it electronically.
2
If the notice is transmitted electronically, it is to be treated as given only if the following requirements are met —
a
the person upon whom the notice is required or authorised to be given must have indicated to the Chief Inspector a willingness to receive notices transmitted by electronic means and must have provided an address suitable for that purpose; and
b
the notice must be sent to the address provided by the person.
3
An indication given for the purposes of paragraph (2) must be given for the purpose of the service of notices under this regulation.
4
For the purposes of section 7 of the Interpretation Act 1978 (references to service by post) a notice under this regulation is to be treated as properly addressed if it is addressed to the registered early years provider at the address notified to the Chief Inspector as the address to which correspondence to the registered early years provider should be sent.
Offence
12
1
A registered early years provider who, without reasonable excuse, fails to comply with the requirements of regulation 7(1), 8(1), 8(2) or 10(2) is guilty of an offence and is liable on summary conviction to a fine not exceeding level 5 on the standard scale.
2
Proceedings under this regulation may only be taken —
a
by the Chief Inspector, and
b
after the Chief Inspector has allowed a period not exceeding one month, beginning with the date the Chief Inspector notified the registered early years provider of the decision to take proceedings, for the registered early years provider to make representations.
Revocations
13
The following regulations are revoked —
The Early Years Foundation Stage (Welfare Requirements) Regulations 2007 ;
The Early Years Foundation Stage (Welfare Requirements) (Amendment) Regulations 2008 ;
The Early Years Foundation Stage (Welfare Requirements) (Amendment) Regulations 2009 .
Sarah Teather
Minister of State
Department for Education
26th March 2012
SCHEDULE
Events to be notified to the Chief Inspector
Regulation 8
1
Any change to the address of the premises on which childcare is provided.
2
Particulars of any change to the premises on which childcare is provided that may affect the space available to children and the quality of childcare available to them.
3
Particulars of any proposal to change the hours during which childcare is to be provided which will entail the provision of overnight childcare.
4
Particulars of any allegation of serious harm to or abuse of a child committed by any person living, working or caring for children at the premises on which childcare is provided (whether that allegation relates to harm or abuse committed on those premises or elsewhere), and any other abuse which is alleged to have taken place on those premises, and of the action taken in respect of the allegation.
5
Particulars of any serious accident, serious illness, serious injury to, or death of, any child whilst in the care of the early years provider, and of the action taken in respect of the serious accident, serious illness, serious injury, or death.
6
Particulars of any incident of food poisoning affecting two or more children cared for on the premises on which childcare is provided.
7
Particulars of any other significant event which is likely to affect the suitability of the early years provider or any person who cares for, or is in regular contact with, children on the premises on which childcare is provided to look after children.
8
Where childcare is provided by a body corporate, any change in the name or registered number of the company.
9
Where childcare is provided by a registered charity, any change in the name or registration number of the charity.
10
In the case of an early years provider who is not an early years childminder —
a
any change in the name or address of the provider;
b
any change of the person who is managing the early years provision.
11
In the case of an early years childminder —
a
any change of the persons of 16 years or older living or working on the premises on which childcare is provided (providing that persons are not to be treated as working on the premises for the purpose of this paragraph if none of their work is done in the part of the premises in which children are cared for or if they do not work on the premises at times when children are there);
b
any change in the name or address of the childminder.
12
1
In the case of an early years provider (other than an early years childminder) which is a partnership, body corporate or unincorporated association —
a
any change of the person who is the nominated individual, and
b
where the early years provider’s sole or main purpose is the provision of childcare, any change of a person who is a partner in, or a director, secretary or other officer or member of the governing body of, the early years provider.
2
For the purposes of sub-paragraph (1)(a), “the nominated individual” has the meaning given in paragraph 9 of Schedule 2 to the Childcare (Early Years Register) Regulations 2008 . |
The Criminal Justice Act 2003 (Commencement No. 30 and Consequential Amendment) Order 2012
The Secretary of State makes the following Order in exercise of the power conferred by section 336(3) of the Criminal Justice Act 2003 .
Citation and interpretation
1
1
This Order may be cited as the Criminal Justice Act 2003 (Commencement No. 30 and Consequential Amendment) Order 2012.
2
In this Order “ the Act ” means the Criminal Justice Act 2003.
Commencement of sentencing provision
2
Section 257(2)(c) of the Act (additional days for disciplinary offences) comes into force on 3rd December 2012 in so far as it relates to paragraphs 17, 19(2) and 26 of Schedule 20B to the Act .
Commencement of certain provisions which repeal sentencing provisions
3
1
The entry in Part 7 of Schedule 37 to the Act relating to section 65 of the Criminal Justice Act 1991 (supervision of young offenders after release) comes into force —
a
on 3rd December 2012 in so far as it relates to section 65(1); and
b
on 1st May 2013 for remaining purposes.
2
Subject to paragraph (3), the entry in Part 7 of Schedule 37 to the Act relating to section 85 of the Sentencing Act (sexual and violent offences: extension of certain custodial sentences for licence purposes) comes into force on 3rd December 2012 for remaining purposes.
3
The coming into force of the entry mentioned in article 3(2) is of no effect in relation to a person convicted before 3rd December 2012.
4
The entry in Part 7 of Schedule 37 to the Act relating to sections 116 and 117 of the Sentencing Act (return to prison etc. where offence committed during original sentence) comes into force on 3rd December 2012 for remaining purposes.
Amendment of the Criminal Justice Act 2003 (Commencement No. 8 and Transitional and Saving Provisions) Order 2005
4
1
In Schedule 2 to the Criminal Justice Act 2003 (Commencement No. 8 and Transitional and Saving Provisions) Order 2005 —
a
in paragraph 5(2)(c)(xii), omit “85,”; and
b
omit paragraph 29.
2
This article comes into force on 3rd December 2012.
Signed by authority of the Secretary of State
Jeremy Wright
Parliamentary Under Secretary of State
Ministry of Justice
17th November 2012 |
The Education Act 2011 (Abolition of the GTCE Consequential Amendments and Revocations) Order 2012
The Secretary of State makes the following Order in exercise of the powers conferred by sections 11(2) and 78(2)(a) and (c) of the Education Act 2011 .
Citation and commencement
1
This Order may be cited as the Education Act 2011 (Abolition of the GTCE Consequential Amendments and Revocations) Order 2012 and comes into force on 25th May 2012.
Amendments to the Safeguarding Vulnerable Groups Act 2006 (Regulated Activity, Miscellaneous and Transitional Provisions and Commencement No. 5) Order 2009
2
1
The Safeguarding Vulnerable Groups Act 2006 (Regulated Activity, Miscellaneous and Transitional Provisions and Commencement No. 5) Order 2009 is amended as follows.
2
In article 21 (information provided by ISA ) —
a
for paragraph (8) substitute —
8
If ISA becomes aware of relevant information relating to a person who it knows or thinks is a person–
a
to whom sections 141B to 141E of the 2002 Act apply, or
b
who appears in the register of teachers maintained under section 3 of the Teaching and Higher Education Act 1998 by the General Teaching Council for Wales ,
it must provide that information to the Secretary of State or the General Teaching Council for Wales, as the case may be.
; and
b
for paragraph 9(b) substitute —
b
is relevant to the exercise of any function of —
i
the Secretary of State in respect of sections 141B to 141E of the 2002 Act, or
ii
the General Teaching Council for Wales,
.
Revocations
3
The instruments listed in Column 1 of the table in the Schedule are revoked to the extent indicated in Column 3.
Nick Gibb
Minister of State
Department for Education and Skills
25th April 2012
SCHEDULE
Revocations
Article 3
Column 1
Instruments Revoked
Column 2
References
Column 3
Extent of revocation
The General Teaching Council for England (Constitution) Regulations 1999 S.I. 1999/1726 The whole instrument The General Teaching Council for England (Constitution) (Amendment) Regulations 1999 S.I. 1999/2019 The whole instrument The General Teaching Council for England (Constitution) (Amendment) Regulations 2000 S.I. 2000/1447 The whole instrument The General Teaching Council for England (Constitution) (Amendment) Regulations 2004 S.I. 2004/1935 The whole instrument The Equality Act 2006 (Dissolution of Commissions and Consequential and Transitional Provisions) Order 2007 S.I. 2007/2602 Paragraph 2 of the Schedule The Education (Miscellaneous Amendments relating to Safeguarding Children) (England) Regulations 2009 S.I. 2009/1924 Regulation 3 The General Teaching Council for England (Additional Functions) Order 2000 S.I. 2000/2175 The whole instrument The General Teaching Council for England (Additional Functions) (Amendment) Order 2001 S.I. 2001/1270 The whole instrument The General Teaching Council for England (Disciplinary Functions) Regulations 2001 S.I. 2001/1268 The whole instrument The General Teaching Council for England (Disciplinary Functions) (Amendment) Regulations 2003 S.I. 2003/1186 The whole instrument The General Teaching Council for England (Disciplinary Functions) (Amendment) Regulations 2008 S.I. 2008/3256 The whole instrument The General Teaching Council for England (Disciplinary Functions) (Amendment) Regulations 2011 S.I. 2011/2785 The whole instrument The General Teaching Council for England (Registration of Teachers) Regulations 2000 S.I. 2000/2176 The whole instrument The General Teaching Council for England (Registration of Teachers) (Amendment) Regulations 2001 S.I. 2001/23 The whole instrument The General Teaching Council for England (Registration of Teachers) (Amendment No. 2) Regulations 2001 S.I. 2001/1267 The whole instrument The General Teaching Council for England (Registration of Teachers) (Amendment) Regulations 2007 S.I. 2007/1883 The whole instrument The General Teaching Council for England (Deduction of Fees) Regulations 2001 S.I. 2001/3993 The whole instrument The General Teaching Council for England (Deduction of Fees) (Amendment) Regulations 2003 S.I. 2003/985 The whole instrument The Education Act 2002 (School Teachers) (Consequential Amendments, etc ) (England) Regulations 2003 S.I. 2003/2039 Regulation 3 The Secretaries of State for Children, Schools and Families, for Innovation, Universities and Skills and for Business, Enterprise and Regulatory Reform Order 2007 S.I. 2007/3224 Paragraph 30 of the Schedule The Secretary of State for Education Order 2010 S.I. 2010/1836 Paragraph 11(d) of the Schedule The General Teaching Council for England (Additional Functions) Order 2004 S.I. 2004/1886 The whole instrument The General Teaching Council for England (Eligibility for Provisional Registration) Regulations 2008 S.I. 2008/1884 The whole instrument The General Teaching Council (Registration of Temporary Teachers from Relevant European States) (England and Wales) Regulations 2009 S.I. 2009/3200 The whole instrument in so far as it applies in relation to
England |
The Merchant Shipping (Ship-to-Ship Transfers) (Amendment) Regulations 2012
The Secretary of State makes the following Regulations in exercise of the powers conferred by section 130 of the Merchant Shipping Act 1995 :
Citation and commencement
1
1
These Regulations may be cited as the Merchant Shipping (Ship-to-Ship Transfers) (Amendment) Regulations 2012.
2
They come into force on 31st March 2012.
Expiry and review of the Merchant Shipping (Ship-to-Ship Transfers) Regulations 2010
2
1
After regulation 1(4) of the Merchant Shipping (Ship-to-Ship Transfers) Regulations 2010 , insert —
5
These Regulations cease to have effect at the end of the period of seven years beginning with the day on which these Regulations come into force.
Review
1A
1
Before the end of the review period, the Secretary of State must —
a
carry out a review these Regulations;
b
set out the conclusions of the review in a report; and
c
publish the report.
2
The report must in particular —
a
set out the objectives intended to be achieved by the regulatory system established by these Regulations;
b
assess the extent to which those objectives are achieved; and
c
assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation .
3
“Review period” means the period of five years beginning with the day on which these Regulations come into force.
Other amendments of the Merchant Shipping (Ship-to-Ship Transfers) Regulations 2010
3
1
The Merchant Shipping (Ship-to-Ship Transfers) Regulations 2010 are amended as follows.
2
After regulation 1(3), insert —
3A
Regulation 5A(2) comes into force on 1st April 2012
.
3
In regulation 2 —
a
in paragraph (b) of the definition of “lightening operation”, for “at the direction” substitute “with the prior consent”;
b
for paragraph (c) of that definition substitute —
c
in order to reduce the draught of the ship transferring the cargo, to enable it to move to shallower waters in a harbour authority area;
;
c
after the definition of “lightening operation” insert —
“Merchant Shipping Notice” means a notice described as such and issued by the Maritime and Coastguard Agency, an executive agency of the Department for Transport, and any reference to a particular Merchant Shipping Notice includes a reference to that Merchant Shipping Notice as revised or reissued from time to time;
.
4
In regulation 3 —
a
for paragraph (1) substitute —
1
Subject to paragraph (3) and regulation 6, a cargo transfer must not be carried out in United Kingdom waters unless —
a
the ships carrying out the transfer are within harbour authority waters; or
b
the ships carrying out the cargo transfer are within the permit area, and a permit has been obtained from the Secretary of State in accordance with the procedure set out in Merchant Shipping Notice 1829 .
;
b
after paragraph (2) insert —
2A
Subject to paragraphs (3) and (5) and regulation 6, a bunkering operation must not be carried out in United Kingdom waters unless the ships carrying out the operation are within harbour authority waters.
;
c
in paragraph (3), for “Paragraphs (1) and (2)” substitute “Paragraphs (1), (2) and (2A)”;
d
after paragraph (4) insert —
5
Paragraph (2A) does not apply to a bunkering operation between a ship and its rescue boat or tender.
6
In this regulation —
“permit area” means the area of sea off Southwold in Suffolk defined by a circle of radius 1.5 nautical miles centred on position 52° 16’N. 01° 57.3’E;
“rescue boat” means a ship designed or used to rescue persons in distress and to marshal life rafts.
.
5
After regulation 5, insert —
Ship-to-ship transfer operations plans and notification of cargo transfers in the Pollution Control Zone
5A
1
A cargo transfer to or from a ship with a gross tonnage of 150 tons or more must not be carried out in United Kingdom waters or in the Pollution Control Zone unless a ship-to-ship transfer operations plan has been approved by the ship’s flag State.
2
A cargo transfer to or from such a ship must not be carried out in the Pollution Control Zone unless the Secretary of State has been notified in accordance with the procedure specified in Merchant Shipping Notice 1829.
3
A cargo transfer to or from such a ship in United Kingdom waters or in the Pollution Control Zone must be carried out in compliance with its ship-to-ship transfer operations plan.
4
In this regulation —
“flag State”, in relation to a ship, means the State whose flag the ship is entitled to fly;
“Pollution Control Zone” means the areas of sea defined in the Schedule to the Merchant Shipping (Prevention of Pollution) (Limits) Regulations 1996 ; and
“ship-to-ship transfer operations plan” means a document which —
is in the working language of the ship to which it relates; and
sets out how cargo transfer operations should be conducted, based on best practice guidelines identified by the International Maritime Organization.
5
For the purposes of this regulation, gross tonnage is to be determined in accordance with Schedule 3.
.
6
In regulation 8, for “1st October 2010” (twice occurring) substitute “1st April 2012”.
7
After Schedule 2, insert the Schedule set out in the Schedule to these Regulations.
Signed by authority of the Secretary of State for Transport
Mike Penning
Parliamentary Under Secretary of State
Department for Transport
5th March 2012
SCHEDULE
New Schedule to be inserted in the Merchant Shipping (Ship-to-Ship Transfers) Regulations 2010
Regulation 3(7)
SCHEDULE 3
Gross Tonnage
Regulation 5A(5)
1
The “gross tonnage” of a United Kingdom ship is to be determined in accordance with paragraphs 3 to 5. The “gross tonnage” of a ship other than a United Kingdom ship is to be determined in accordance with paragraphs 6 to 8.
2
In this Schedule —
“the 1997 Regulations ” means the Merchant Shipping (Tonnage) Regulations 1997 ;
“length” has the same meaning as in the 1997 Regulations; and
“the Tonnage Convention ” means the International Convention on Tonnage Measurement of Ships, 1969 .
United Kingdom ships
3
In the case of a ship of 24 metres in length or over for which the Secretary of State permits the continuing use of a gross tonnage pursuant to regulation 12(1) of the 1997 Regulations, the “gross tonnage” is the smaller of —
a
the largest gross tonnage permitted for that ship pursuant to regulation 12(1) of the 1997 Regulations; and
b
the gross tonnage of the ship determined in accordance with regulation 6 of the 1997 Regulations.
4
In the case of any other ship of 24 metres in length or over, the “gross tonnage” is the gross tonnage of the ship determined in accordance with regulation 6 of the 1997 Regulations.
5
In the case of a ship of less than 24 metres in length, the “gross tonnage” is the tonnage of the ship determined in accordance with regulation 14(2) of the 1997 Regulations.
Ships other than United Kingdom ships
6
Subject to paragraph 7, in the case of a ship which has a gross tonnage determined in accordance with the Tonnage Convention, the “gross tonnage” is that gross tonnage.
7
Where a ship has a gross tonnage determined in accordance with the Tonnage Convention but the State whose flag the ship flies or is entitled to fly permits the use of some other gross tonnage, the “gross tonnage” of the ship is the smaller of —
a
the largest gross tonnage permitted by the flag State to be used for that ship; and
b
the gross tonnage determined in accordance with the Tonnage Convention.
8
In the case of a ship which does not have a gross tonnage determined in accordance with the Tonnage Convention, the “gross tonnage” is the gross tonnage or equivalent measure determined in accordance with the law of the State whose flag the ship flies or is entitled to fly (and where the ship has more than one such gross tonnage or equivalent measure, the “gross tonnage” is to be taken to be the largest of them). |
The Health and Social Care Act 2008 (Consequential Amendments) (Council Tax) Order 2012
Citation and commencement
1
This Order may be cited as the Health and Social Care Act 2008 (Consequential Amendments) (Council Tax) Order 2012 and shall come into force on 23rd August 2012.
Amendment to the Council Tax (Chargeable Dwellings) Order 1992
2
1
The Council Tax (Chargeable Dwellings) Order 1992 is amended as follows.
2
In article 2 in the definition of “care home” after “Part 2 of that Act” insert “in relation to Wales, or Part 1 of the Health and Social Care Act 2008 in relation to England”.
3
In article 3A after “Part 2 of the Care Standards Act 2000,” insert “in relation to Wales, or Part 1 of the Health and Social Care Act 2008, in relation to England”.
Amendment to the Council Tax (Liability for Owners) Regulations 1992
3
In regulation 2 of the Council Tax (Liability for Owners) Regulations 1992 in “Class A” after “Part 2 of that Act” insert “in relation to Wales, or Part 1 of the Health and Social Care Act 2008 in relation to England”.
Signed by authority of the Secretary of State for Communities and Local Government
Bob Neill
Parliamentary Under Secretary of State
Department for Communities and Local Government
18th July 2012 |
The International Fund for Agricultural Development (Eighth Replenishment) Order 2012
Accordingly, the Secretary of State for International Development makes the following Order:
Citation and commencement
1
This Order may be cited as the International Fund for Agricultural Development (Eighth Replenishment) Order 2012 and comes into force on the day after the day on which it is made.
Interpretation
2
In this Order —
“ the Fund ” means the International Fund for Agricultural Development established by an agreement dated 13th June 1976 as ratified by the Government on 9th September 1977 ;
“the Government” means the Government of the United Kingdom; and
“ the Resolution ” means Resolution No 154/ XXXII on the Eighth Replenishment of the Fund’s Resources adopted by the Board of Governors of the Fund on 19th February 2009.
Relevant Payments
3
The Secretary of State may, on behalf of the Government —
a
make payment of a further contribution to the Fund not exceeding 33,852,000 pounds sterling in accordance with arrangements made between the Government and the Fund in accordance with the Resolution; and
b
make payment of sums required to redeem any non-interest-bearing and non-negotiable notes or other obligations which may be issued or created by the Secretary of State and accepted by the Fund pursuant to the arrangements mentioned in paragraph (a),
in accordance with section 11 of the International Development Act 2002.
Andrew Mitchell
One of Her Majesty’s Principal Secretaries of State
13th August 2012
Angela Watkinson
James Duddridge
We approve,
Two of the Lords Commissioners of Her Majesty’s Treasury
22nd August 2012 |
The Misuse of Drugs Act 1971 (Temporary Class Drug) Order 2012
The Secretary of State has consulted the Advisory Council on the Misuse of Drugs in accordance with section 2B(2)(a) of the Misuse of Drugs Act 1971, and has determined that this Order should be made.
Citation, commencement and interpretation
1
1
This Order may be cited as the Misuse of Drugs Act 1971 (Temporary Class Drug) Order 2012 and comes into force on 5th April 2012.
2
In this Order the “ 2001 Regulations ” means the Misuse of Drugs Regulations 2001 .
Drugs subject to temporary control
2
The following substances are specified under section 2A(1) of the Misuse of Drugs Act 1971 as drugs subject to temporary control —
a
2-(ethylamino)-2-(3-methoxyphenyl)cyclohexanone;
b
any stereoisomeric form of 2-(ethylamino)-2-(3-methoxyphenyl)cyclohexanone;
c
any ester or ether of a substance specified in paragraph (a) or (b);
d
any salt of a substance specified in any of paragraphs (a) to (c); and
e
any preparation or other product containing a substance specified in any of paragraphs (a) to (d).
Application of the Misuse of Drugs (Safe Custody) Regulations 1973 and of the 2001 Regulations to 2-(ethylamino)-2-(3-methoxyphenyl)cyclohexanone and related substances
3
The Misuse of Drugs (Safe Custody) Regulations 1973 apply to the substances specified in article 2(a) to (e), and the 2001 Regulations apply to those substances as if those substances were specified as controlled drugs to which Schedule 1 to the 2001 Regulations applied.
Lord Henley
Minister of State
Home Office
29th March 2012 |
The Wireless Telegraphy (Licence Award) Regulations 2012
Before making these Regulations OFCOM have given notice of their proposal to do so in accordance with section 122(4)(a) of the 2006 Act, published notice of their proposal in accordance with section 122(4)(b) of the 2006 Act and have considered the representations made to them before the time specified in that notice in accordance with section 122(4)(c) of the 2006 Act.
PART 1 INTRODUCTORY
Citation, commencement, and extent
1
1
These Regulations may be cited as the Wireless Telegraphy (Licence Award) Regulations 2012 and shall come into force on 23rd November 2012.
2
These Regulations shall not extend to the Channel Islands or to the Isle of Man.
Interpretation
2
1
In these Regulations —
“1800 MHz band” has the meaning given in regulation 18(6) ;
“additional price” has the meaning given in regulation 106 (1);
“adjusted demand” shall be construed in accordance with regulation 30 ;
“applicant” means a body corporate making an application for a licence;
“applicant group” means, in relation to an applicant —
that applicant;
each associate of that applicant; and
each person in respect of whom the applicant has delivered to OFCOM a completed document in the form set out in Schedule 5;
“assignment stage” has the meaning given in regulation 17(1) ;
“assignment stage bid” has the meaning given in regulation 88(2) ;
“assignment stage bid form” has the meaning given in regulation 93(1) ;
“assignment stage option” has the meaning given in regulation 88(5);
“assignment stage option list” has the meaning given in regulation 88(5);
“assignment stage round” has the meaning given in regulation 72(2) ;
“associate” means, in relation to an applicant or bidder, a person who has a material interest in that applicant or bidder;
“authorised person” means a person specified by an applicant in its application as authorised to bind that applicant for all purposes relating to the award process;
“base price” has the meaning given in regulation 68 ;
“bidder” means an applicant which has qualified to bid in the award process and which has not withdrawn from the award process on or before the last day for withdrawal;
“bidder group” shall be construed in accordance with regulation 6(3) ;
“confidential information” means, in relation to any applicant or bidder, any information which is not in the public domain and which, if it were made public or disclosed to another applicant (or potential applicant) or bidder or a member of their respective applicant or bidder group, would be likely to affect decisions that such other applicant (or potential applicant) or bidder may make in relation to the award process;
“deadline”, in relation to any requirement imposed on any person by or under these Regulations, means (as the case may require) —
the time,
the date, or
the date, and the time on that date,
by which that requirement must be fulfilled by that person;
“electronic auction system” means the system established by OFCOM for bidders to participate in the award process;
“eligibility limit” means, in relation to a bidder, a number of eligibility points which limits the bids that may be made by the bidder in the principal stage in accordance with these Regulations;
“end of round time” has the meaning given in regulation 53(1) ;
“excess demand” shall be construed in accordance with regulation 29 ;
“existing spectrum holdings” has the meaning given in regulation 4(6) ;
“final principal stage deposit” has the meaning given in regulation 69(a)(i)(cc) ;
“ GHz ” means gigahertz;
“grant stage” has the meaning given in regulation 17(1) ;
“initial deposit” shall be construed in accordance with regulation 4(3)(b) ;
“key bid” shall be construed in accordance with regulation 31 ;
“last day for withdrawal” has the meaning given in regulation 12(1) ;
“licence” means a wireless telegraphy licence to be granted pursuant to these Regulations to establish or use a wireless telegraphy station or install or use wireless telegraphy apparatus in the United Kingdom at frequencies to be determined in accordance with the procedure set out in Part 4 of these Regulations;
“material interest” means, whether held directly or indirectly —
any interest (construed in accordance with sections 820 to 825 of the Companies Act 2006 ) in —
any share which carries, or any shares which together carry, more than twenty five per cent. of the votes entitled to be cast at a general meeting of the applicant or bidder; or
any share or shares in the case where the consent of the holder of that share or those shares is required for the conduct of any business of the applicant or bidder; or
the right to appoint or remove a majority of the applicant’s or bidder’s board of directors;
“MHz” means megahertz;
“OFCOM” means the Office of Communications;
“OFCOM’s bank account” means the bank account nominated by OFCOM for the purposes of the award process, details of which are published on their internet website;
“opt-in bid” has the meaning given in regulation 20(1) ;
“opt-in bid form” has the meaning given in regulation 20(2) ;
“opt-in round” has the meaning given in regulation 17(2) ;
“opt-in selection” has the meaning given in regulation 19(5) ;
“opted-in bidder” has the meaning given in regulation 21(3) ;
“permissible bid selection” has the meaning given in regulation 22(5) ;
“permissible bid selection list” has the meaning given in regulation 22(5) ;
“pounds” means pounds sterling;
“primary bid” has the meaning given in regulation 25(3) ;
“primary bid form” has the meaning given in regulation 25(6) ;
“primary bid rounds” has the meaning given in regulation 17(2) ;
“principal stage” has the meaning given in regulation 17(1) ;
“principal stage bid” means an opt-in bid, a primary bid, or a supplementary bid;
“recorded spectrum holdings” has the meaning given in regulation 16(2);
“round” means a period of time specified by OFCOM during which bidders may make bids in accordance with the procedure set out in Part 4 of these Regulations;
“round price” shall be construed in accordance with regulation 25 ;
“selection of lots” has the meaning given in regulation 17(4) ;
“spectrum cap rule” shall be construed in accordance with regulation 24 ;
“supplementary bid” has the meaning given in regulation 42 ;
“supplementary bids form” has the meaning given in regulation 43(1) ;
“supplementary bids round” has the meaning given in regulation 17(2) ;
“valid assignment stage bid” shall be construed in accordance with regulation 95 ;
“valid opt-in bid” shall be construed in accordance with regulation 21 ;
“valid primary bid” has the meaning given in regulation 26 ;
“valid principal stage bid” means a valid opt-in bid, a valid primary bid, or a valid supplementary bid;
“valid supplementary bid” has the meaning given in regulation 44 ;
“winning assignment stage bid” shall be construed in accordance with regulation 103 , 104 or 105 as the case may require;
“winning bidder” means a bidder that submitted a winning principal stage bid; and
“winning principal stage bid” shall be construed in accordance with regulation 67 .
2
A reference in these Regulations to —
a
an “800 MHz paired frequency lot”;
b
a “2.6 GHz paired frequency lot”;
c
a “2.6 GHz individual frequency lot”;
d
the “800 MHz coverage obligation lot”;
e
a “2.6 GHz concurrent low power 10 MHz lot”;
f
a “2.6 GHz concurrent low power 20 MHz lot”;
shall be construed in accordance with Schedule 1.
3
A reference in these Regulations to a “type of lot” or “lot” shall be construed in accordance with Schedule 1.
4
A reference in these Regulations to a numbered 800 MHz paired frequency lot, a numbered 2.6 GHz paired frequency lot, a numbered 2.6 GHz individual frequency lot or a “block” of such lots shall be construed in accordance with Schedule 1.
5
A reference in these Regulations to a number of “eligibility points” associated with lots shall be construed in accordance with Schedule 6.
PART 2 APPLICATION STAGE
Applications for the grant of a licence
3
Applications for the grant of a licence shall only be made in accordance with the procedure set out in these Regulations.
Application
4
1
Only a body corporate may apply to OFCOM for a licence.
2
A body corporate may only make one application.
3
To apply for a licence, a body corporate must —
a
on the day specified by OFCOM for receipt of applications, deliver to OFCOM at Riverside House, 2a Southwark Bridge Road, London SE1 9HA within the times on that day specified by OFCOM a sealed envelope containing —
i
a document containing the application information required by, and the warranty set out in, Schedule 4, completed in respect of the applicant and signed on its behalf by two authorised persons;
ii
for each person, not being an associate of the applicant, which the applicant wishes to join its applicant group, a document in the form set out in Schedule 5 which has been —
aa
completed by the applicant and signed on its behalf by two authorised persons; and
bb
completed by and signed by or on behalf of the person in respect of whom that document is completed;
iii
a document setting out the details of the existing spectrum holdings of —
aa
the applicant;
bb
each other member of its applicant group;
cc
each person in whom the applicant has a material interest;
dd
each person in whom any other member of its applicant group has a material interest;
ee
any person (“third party”) who has entered into a contract or arrangement with the applicant (or with any other member of its applicant group or any person in whom the applicant or any other member of its applicant group has a material interest) to acquire rights under a licence granted pursuant to the award process;
ff
any person who has a material interest in any such third party;
gg
any person in whom a person referred to in sub-paragraph (ff) has a material interest; and
hh
any person in whom any such third party has a material interest; and
b
by a deadline specified by OFCOM, pay into OFCOM’s bank account by a same day electronic transfer, with accompanying information which identifies the applicant, an initial deposit of one hundred thousand pounds.
4
If the applicant wishes to bid in the opt-in round it must deliver to OFCOM in the sealed envelope a statement in writing that it wishes to participate in the opt-in round.
5
OFCOM shall publish the day, times and deadline on their internet website.
6
“Existing spectrum holdings” means —
a
any authorisation to establish or use a wireless telegraphy station, or to install or use wireless telegraphy apparatus, under a wireless telegraphy licence which relates to any of the frequencies in the frequency bands listed in Schedule 3; and
b
any contract or arrangement under which such an authorisation is to be acquired.
7
The details of existing spectrum holdings that are required are —
a
the wireless telegraphy licence number; and
b
the frequencies.
PART 3 QUALIFICATION STAGE
Notification of names of applicants and associates
5
1
OFCOM shall give notice to each applicant of —
a
the name of each other applicant and the names of their associates; and
b
the deadline by when each applicant must notify OFCOM under paragraph (3) .
2
On receipt of that notice, each applicant must examine the names of the other applicants and their associates and determine whether any member of its applicant group is also an associate of another applicant or is also an applicant.
3
Where an applicant determines that a member of its applicant group is also an associate of another applicant or is also an applicant, it must notify the other applicant and OFCOM of that fact by the deadline specified by OFCOM.
4
If it appears to OFCOM from any application or notice that a member of one applicant group is also a member of another applicant group, OFCOM shall give notice to each of the applicants concerned of that fact and specify a deadline by when each applicant concerned must notify OFCOM of any change in circumstances the effect of which is that no member of its applicant group is also a member of another applicant group.
Recording of applicant group members
6
1
Where there has been a change in the composition of an applicant’s applicant group since the date of the application, that applicant must deliver to OFCOM revised versions of the documents provided under regulation 4(3)(a)(i) , (ii) and (iii) which comply with those provisions following that change.
2
OFCOM shall record the members of each applicant group, taking account of any changes notified under paragraph (1) .
3
Each applicant group so recorded shall constitute a bidder group.
Subsequent changes to bidder groups
7
1
An applicant or bidder may change its bidder group but, in relation to the award process, the applicant or bidder shall be subject to regulations 10(2), 112 and 114 if they apply to any such change.
2
If a change involves the addition or departure of an associate, the applicant or bidder must notify OFCOM of the change and deliver to OFCOM revised versions of the documents provided under regulation 4(3)(a)(i) and (iii) which comply with those provisions following the change.
3
If a change involves the addition of a person who is not an associate of the applicant or bidder to its bidder group, the applicant or bidder must deliver to OFCOM —
a
a document in the form set out in Schedule 5 completed by the applicant or bidder and signed on its behalf by two authorised persons and completed by and signed by or on behalf of the person in respect of whom that document is completed; and
b
a revised version of the document provided under regulation 4(3)(a)(iii) which complies with that provision following the change.
Changes to existing spectrum holdings before recording
8
If an applicant or, in relation to an applicant, any person referred to in regulation 4(3)(a)(iii) changes its existing spectrum holdings before spectrum holdings are recorded under regulation 16, the applicant must notify OFCOM and deliver to OFCOM a revised version of the document provided under regulation 4(3)(a)(iii) which complies with that provision following the change.
Fitness to hold a licence
9
1
OFCOM shall, for each applicant which has submitted an application in accordance with regulation 4 , determine whether that applicant is fit to hold a licence.
2
In making their determination under paragraph (1) , OFCOM shall take into account —
a
any direction given by the Secretary of State to OFCOM under section 5 of the Communications Act 2003 ;
b
whether the applicant is a fit and proper person to hold a licence having regard to the probity of —
i
the applicant;
ii
each other member of the applicant’s bidder group; and
iii
each director of each member of the applicant’s bidder group;
c
whether any of the information submitted to OFCOM by the applicant in connection with the award process is false or misleading;
d
whether any member of the applicant’s bidder group has colluded, or attempted to collude, or is colluding or attempting to collude, with another person to distort the outcome of the award process;
e
whether any member of the applicant’s bidder group has acted or is acting in a way which is likely to distort the outcome of the award process;
f
whether any member of the applicant’s bidder group, or any person to whom confidential information has been disclosed, has disclosed, or is disclosing or attempting to disclose or has incited or is inciting another person to disclose, any confidential information, whether directly or indirectly, to any person, except where the disclosure is —
i
to OFCOM;
ii
to a member of the applicant’s bidder group;
iii
to a provider of finance for the purpose of raising finance for the applicant’s application; or
iv
to a person for the purpose of enabling that person to decide whether to participate as a member of the applicant’s bidder group;
g
whether any member of the applicant’s bidder group has obtained or is obtaining or attempting to obtain confidential information relating to another applicant;
h
whether any member of the applicant’s bidder group is receiving or is attempting to receive services in relation to the award process from any person who has provided or is providing services to OFCOM in relation to the award process; and
i
whether any person who is a member or a director or an employee of a member of the applicant’s bidder group and is also a director or an employee of a member of another bidder group is —
i
taking part in the preparation of both bidder groups for participation in the award process; or
ii
receiving confidential information relating to both bidder groups.
3
Applicants must, if requested to do so by OFCOM, provide by a deadline specified by OFCOM any information or documentation which OFCOM require to make their determination.
4
If an applicant does not provide such information or documentation by the deadline specified by OFCOM, OFCOM shall also take that fact into account in making their determination.
5
Where OFCOM determine that an applicant is not fit to hold a licence the applicant shall be disqualified from the award process.
6
OFCOM shall inform an applicant which is disqualified of their decision and the reasons for it but that applicant’s initial deposit shall not be forfeited because of that decision.
Qualification to participate in the award process
10
1
Each applicant —
a
which was not disqualified under regulation 9 , and
b
which has no member of its bidder group which is also a member of the bidder group of another applicant which was not disqualified under regulation 9 ,
shall be qualified to participate in the award process.
2
An applicant which has a member of its bidder group which is also a member of the bidder group of another applicant which was not disqualified under regulation 9 shall not be qualified to participate in the award process.
3
Where an applicant is not qualified to participate in the award process OFCOM shall inform that applicant of that fact but that applicant’s initial deposit shall not be forfeited for that reason.
Publication of names of qualified applicants
11
OFCOM shall notify each applicant qualified to participate of the name of each other applicant who is so qualified, and the names of their associates, and shall publish the names of all applicants who are so qualified on OFCOM’s internet website.
Withdrawal of an application
12
1
OFCOM shall notify each applicant qualified to participate of the last day for withdrawal from the award process (“last day for withdrawal”) and shall publish the last day for withdrawal on OFCOM’s internet website.
2
If, on or before the last day for withdrawal, OFCOM receives notice from an applicant that it wishes to withdraw its application, signed by two authorised persons, the application shall be withdrawn and the applicant shall be excluded from the award process but that applicant’s initial deposit shall not be forfeited for that reason.
3
That applicant shall not be re-admitted to the award process.
4
OFCOM shall notify all other applicants of the withdrawal.
Determination of number of bidders
13
1
After the last day for withdrawal, OFCOM shall determine the number of bidders.
2
Where there are no bidders, OFCOM shall complete the award process by refunding to applicants which were not qualified, or withdrew in accordance with regulation 12 , their initial deposit (where such deposit has not been forfeited) but not any interest which has accrued on the deposit.
3
Where there are one or more bidders, OFCOM shall grant licences in accordance with the procedure set out in Part 4 of these Regulations.
4
OFCOM shall publish the names of the bidders on OFCOM’s internet website.
Additional deposit before the opt-in round and the first primary bid round
14
1
In addition to the initial deposit, a bidder may pay an additional sum in pounds as a deposit which shall be taken into account by OFCOM in accordance with regulation 15 for the purpose of calculating the bidder’s eligibility limit for the opt-in round (if the bidder has stated that it wishes to bid in that round) and for the first primary bid round.
2
A bidder wishing to pay such an additional sum must, by a deadline specified by OFCOM, pay the additional sum into OFCOM’s bank account by a same day electronic transfer with accompanying information which identifies the bidder.
Determination of bidder’s eligibility limit for the opt-in round and first primary bid round
15
1
After the deadline specified in regulation 14(2) , OFCOM shall determine each bidder’s eligibility limit for the opt-in round (if the bidder has stated that it wishes to bid in that round) and for the first primary bid round in accordance with the requirements of this regulation.
2
OFCOM shall divide by one hundred thousand the total amount of pounds that the bidder has on deposit (including the initial deposit and any additional sum paid under regulation 14 ).
3
Where the number that results from the calculation in paragraph (2) is not a whole number, that number shall be rounded down to the nearest whole number.
4
The eligibility limit shall be that whole number.
5
Where a bidder’s eligibility limit calculated in accordance with this regulation is less than one point, that bidder shall be excluded from the award process and shall not receive a refund of any sums which the bidder has paid as a deposit under these Regulations, which shall (where not already forfeited) be forfeited together with any interest which has accrued on the deposit.
Recording of spectrum holdings
16
1
After the deadline specified in regulation 14(2) OFCOM shall, for each bidder, record the existing spectrum holdings which have been notified by that bidder under regulation 4(3)(a)(iii) , taking account of any notifications of subsequent changes to those spectrum holdings which may have been made under regulations 6(1) , 7(2) , 7(3) or 8.
2
The spectrum holdings so recorded are that bidder’s “recorded spectrum holdings”.
3
After the recording of spectrum holdings, the bidder and, in relation to the bidder, any person referred to in regulation 4(3)(a)(iii) may change its existing spectrum holdings but in relation to the award process —
a
the bidder shall be subject to regulations 112 and 114 if they apply to that change; and
b
the bidder’s recorded spectrum holdings shall not be amended.
4
If there is such a change, the bidder concerned must notify OFCOM of the change and deliver to OFCOM a revised version of the document provided under regulation 4(3)(a)(iii) which complies with that provision following the change.
PART 4 BIDDING PROCEDURE
CHAPTER 1
Principal stage, assignment stage and grant stage
Principal stage, assignment stage and grant stage
17
1
The process for the award of licences shall consist of the procedure set out in Chapters 2 to 9 of this Part (“principal stage”), the procedure set out in Chapters 10 to 14 of this Part (“assignment stage”) and the procedure set out in Chapter 15 of this Part (“grant stage”).
2
During the principal stage there shall be one round for the submission of opt-in bids (“opt-in round”), one or more rounds for the submission of primary bids (“primary bid rounds”) and one round for the submission of supplementary bids (“supplementary bids round”).
3
A bid made during the principal stage shall be a bid for a licence which authorises the use of frequencies corresponding to a selection of lots chosen by the bidder.
4
A selection of lots means one or more lots of the same or different types, where the number of lots of each type included in the selection is specified but not any particular numbered lot which falls within that type.
5
After the conclusion of the supplementary bids round, OFCOM shall determine which of the bids made in the principal stage are winning principal stage bids.
6
Following completion of the principal stage, the specific frequencies that are to be assigned to the winning bidders shall be determined by OFCOM in accordance with the procedure set out in the assignment stage.
7
Licences authorising the use of the frequencies so determined shall be granted by OFCOM in accordance with the grant stage.
CHAPTER 2
Opt-in round
Opt-in round
18
1
Only bidders satisfying each of the four requirements in this regulation may bid in the opt-in round.
2
The first requirement is that the bidder must have stated at the time it submitted its application in accordance with regulation 4(4) that it wished to participate in the opt-in round.
3
The second requirement is that the bidder’s recorded spectrum holdings must not include any frequencies within the following frequency bands —
a
880.1 to 914.9 MHz;
b
925.1 to 959.9 MHz.
4
The third requirement is that the bidder’s recorded spectrum holdings must not include more than thirty megahertz of frequencies within the 1800 MHz band.
5
The fourth requirement is that the bidder’s eligibility limit must be —
a
at least 6750 points if the bidder’s recorded spectrum holdings do not include any frequencies in the 1800 MHz band; or
b
at least 2250 points if the bidder’s recorded spectrum holdings do include frequencies in the 1800 MHz band.
6
The “1800 MHz band” means —
a
1710.1 to 1781.7 MHz; and
b
1805.1 to 1876.7 MHz.
Opt-in selections
19
1
The selections of lots that each bidder eligible to bid in the opt-in round may bid for in the opt-in round shall be the selections of lots included in the list or lists in Schedule 2 that apply to that bidder in accordance with this regulation.
2
List A and List B in Schedule 2 apply to bidders with recorded spectrum holdings that do not include any frequencies in the 1800 MHz band.
3
List C and List D in Schedule 2 apply to bidders with —
a
recorded spectrum holdings that include frequencies in the 1800 MHz band; and
b
an eligibility limit of at least 4500 points.
4
List C in Schedule 2 applies to bidders with —
a
recorded spectrum holdings that include frequencies in the 1800 MHz band; and
b
an eligibility limit of less than 4500 points.
5
Each of the different selections of lots included in a list in Schedule 2 is an “opt-in selection”.
Opt-in bids
20
1
A bid made during the opt-in round (“opt-in bid”) shall be for a selection of lots which matches an opt-in selection for that bidder.
2
In order to make an opt-in bid a bidder must, on a form provided to the bidder by OFCOM (“opt-in bid form”), specify the amount in whole pounds which it is willing to pay for a licence which authorises the use of frequencies corresponding to the selection of lots.
3
The amount so specified for the selection of lots must be the sum set out as being the opt-in price for that opt-in selection in Schedule 2.
4
If a bidder to which List A and List B apply in accordance with regulation 19(2) wishes to bid in the opt-in round, it must submit —
a
one opt-in bid for the first opt-in selection in List A and one opt-in bid for the second opt-in selection in List A; or
b
one opt-in bid for the first opt-in selection in List B, one opt-in bid for the second opt-in selection in List B, one opt-in bid for the third opt-in selection in List B and one opt-in bid for the fourth opt-in selection in List B.
5
If a bidder to which List C and List D apply in accordance with regulation 19(3) wishes to bid in the opt-in round, it must submit —
a
one opt-in bid for the first opt-in selection in List C and one opt-in bid for the second opt-in selection in List C; or
b
one opt-in bid for the first opt-in selection in List D, one opt-in bid for the second opt-in selection in List D and one opt-in bid for the third opt-in selection in List D.
6
If a bidder to which List C applies in accordance with regulation 19(4) wishes to bid in the opt-in round, it must submit one opt-in bid for the first opt-in selection in List C and one opt-in bid for the second opt-in selection in List C.
Valid opt-in bids
21
1
If a bidder is eligible to bid in the opt-in round and all of that bidder’s opt-in bids are made in accordance with regulations 20 and 46 , then each of that bidder’s opt-in bids is a valid opt-in bid.
2
If a bidder is not eligible to bid in the opt-in round or if any of that bidder’s opt-in bids are not made in accordance with regulations 20 and 46 , then none of that bidder’s opt-in bids is a valid opt-in bid.
3
A bidder which has made a valid opt-in bid is an “opted-in bidder”.
CHAPTER 3
Permissible bid selections
Permissible bid selections
22
1
OFCOM shall, for the primary bid rounds and supplementary bids round, determine which selections of lots each bidder may bid for.
2
Each selection of lots determined by OFCOM shall consist of lots of one or more of the following types —
a
800 MHz paired frequency lots;
b
2.6 GHz paired frequency lots;
c
2.6 GHz individual frequency lots;
d
the 800 MHz coverage obligation lot;
e
2.6 GHz concurrent low power 10 MHz lots;
f
2.6 GHz concurrent low power 20 MHz lots.
3
For each selection of lots, OFCOM shall specify how many lots of each type (if any) are included in the selection.
4
The list of possible selections of lots provided to each bidder may be different for each bidder.
5
The list is the “permissible bid selection list” and each selection of lots in that list is a “permissible bid selection”.
6
The permissible bid selection list for each bidder shall not change during the primary bid rounds and supplementary bids round.
Preparing a permissible bid selection list for each bidder
23
1
In determining the permissible bid selection list for each bidder OFCOM shall include each possible selection of lots which —
a
would, if it were to be included in a licence granted to that bidder, comply with the spectrum cap rule in respect of that bidder;
b
does not include more than one 2.6 GHz concurrent low power 10 MHz lot;
c
does not include more than one 2.6 GHz concurrent low power 20 MHz lot;
d
if it includes one 2.6 GHz concurrent low power 10 MHz lot, does not also include a 2.6 GHz concurrent low power 20 MHz lot;
e
if it includes one 2.6 GHz concurrent low power 20 MHz lot, does not also include a 2.6 GHz concurrent low power 10 MHz lot;
f
if it includes one 2.6 GHz concurrent low power 10 MHz lot, does not include more than twelve 2.6 GHz paired frequency lots;
g
if it includes one 2.6 GHz concurrent low power 20 MHz lot, does not include more than ten 2.6 GHz paired frequency lots;
h
if it includes any 2.6 GHz individual frequency lots, includes at least two such lots;
i
does not include more lots of a type than the number of lots available of that type;
j
has a number of eligibility points associated with it which is not more than the number that OFCOM have determined under regulation 15 to be the bidder’s eligibility limit for the first primary bid round;
k
meets the rule set out in paragraph (2) if that paragraph applies; and
l
meets the rule set out in paragraph (3) if that paragraph applies.
2
If there is only one opted-in bidder, each permissible bid selection on that bidder’s permissible bid selection list must include (in addition to any other lots which are included) all of the lots selected in a valid opt-in bid made by that bidder.
3
If there is at least one opted-in bidder, the permissible bid selections for each bidder must all be such that if that bidder were to make a valid principal stage bid for any one of those selections, that bid could, when taken together with others (which were also valid principal stage bids), form a combination which meets the requirements (in regulation 67(4) ) which must be satisfied for a combination of principal stage bids to be a valid combination of principal stage bids.
4
The number of eligibility points associated with a selection of lots shall be the number equal to the total of the eligibility points associated with the lots included in the selection of lots.
The spectrum cap rule
24
1
The spectrum cap rule consists of the two requirements on spectrum holdings.
2
The first requirement is that a bidder’s post-award spectrum holdings may not amount to total rights of use of more than —
a
two hundred and ten megahertz of frequencies in the frequency bands set out in List A in Schedule 3, if the bidder’s post-award spectrum holdings do not include rights of use of frequencies in the frequency band 2570 MHz to 2615 MHz; or
b
two hundred and fifteen megahertz of frequencies in the frequency bands set out in List A in Schedule 3, if the bidder’s post-award spectrum holdings do include rights of use of frequencies in the frequency band 2570 MHz to 2615 MHz.
3
The second requirement is that a bidder’s post-award spectrum holdings may not amount to total rights of use of more than fifty five megahertz of frequencies in the frequency bands set out in List B in Schedule 3.
4
“Post-award spectrum holdings”, in relation to a bidder, means —
a
the bidder’s recorded spectrum holdings; and
b
rights of use of frequencies that the bidder acquires under this award process.
CHAPTER 4
The primary bid rounds
Primary bids
25
1
A primary bid must be for a selection of lots which matches a permissible bid selection for that bidder.
2
For each primary bid round there shall be a round price for each type of lot, which is the price at which each lot of that type is offered to bidders during that primary bid round.
3
A bid made during a primary bid round (“primary bid”) shall be at an amount in whole pounds being the total amount of the round prices in that primary bid round for the lots included in the selection of lots specified in the bid.
4
The round prices for the first primary bid round are set out in regulation 32 .
5
The round prices for each subsequent primary bid round shall be determined by OFCOM in accordance with regulation 33 .
6
In order to make a primary bid a bidder must, on a form provided to the bidder by OFCOM (“primary bid form”), specify —
a
the number of 800 MHz paired frequency lots it wishes to be included in a licence at the round price for those lots;
b
the number of 2.6 GHz paired frequency lots it wishes to be included in a licence at the round price for those lots;
c
the number of 2.6 GHz individual frequency lots it wishes to be included in a licence at the round price for those lots;
d
if it wishes the 800 MHz coverage obligation lot to be included in a licence at the round price for that lot;
e
if it wishes a 2.6 GHz concurrent low power 10 MHz lot to be included in a licence at the round price for those lots; and
f
if it wishes a 2.6 GHz concurrent low power 20 MHz lot to be included in a licence at the round price for those lots.
7
A bidder must not submit more than one primary bid in each primary bid round.
8
The selection of lots specified in a primary bid made by a bidder must be such that the total number of eligibility points associated with the primary bid does not exceed the bidder’s eligibility limit for that primary bid round (determined in accordance with regulation 15 or 40 and notified to the bidder in accordance with regulation 52(1)(c) ).
9
The number of eligibility points associated with a primary bid shall be the number equal to the total of the eligibility points associated with the lots included in the selection of lots specified in the primary bid.
Valid primary bids
26
A primary bid is a valid primary bid if the bidder complies with the provisions of regulations 25 and 54 in respect of that primary bid.
Requirement for a valid primary bid in the first primary bid round
27
Any bidder which does not submit a valid primary bid in the first primary bid round having an associated eligibility of at least one eligibility point shall be excluded from the award process and shall not receive a refund of any sums which the bidder has paid as a deposit under these Regulations, which shall (where not already forfeited) be forfeited together with any interest which has accrued on the deposit.
Number of primary bid rounds
28
1
After each primary bid round OFCOM shall determine if there is excess demand in accordance with regulation 29 .
2
Where OFCOM have determined that there is no excess demand there shall be no further primary bid rounds but there shall be a supplementary bids round.
3
Where there is excess demand there shall be another primary bid round, unless OFCOM determine that they are satisfied that it is unlikely that the information that would be made available to bidders following any such further primary bid rounds would change —
a
the winning principal stage bids in accordance with regulation 67 ; or
b
the base price payable by a winning bidder in accordance with regulation 68 .
4
If OFCOM determine under paragraph (3) that it is unlikely that the information that would be made available to bidders would change either of these things there shall be no further primary bid rounds but there shall be a supplementary bids round.
Determination of excess demand
29
1
There is excess demand if any of the following conditions is satisfied —
a
the adjusted demand for any type of lot is greater than the number of lots of that type that are available in the award process;
b
the number produced by adding together the adjusted demand for 2.6 GHz concurrent low power 10 MHz lots and the adjusted demand for 2.6 GHz concurrent low power 20 MHz lots is greater than ten;
c
the adjusted demand for 2.6 GHz concurrent low power 10 MHz lots is greater than zero and the adjusted demand for 2.6 GHz paired frequency lots is greater than twelve; or
d
the adjusted demand for 2.6 GHz concurrent low power 20 MHz lots is greater than zero and the adjusted demand for 2.6 GHz paired frequency lots is greater than ten.
2
OFCOM shall determine the adjusted demand for types of lots in accordance with regulation 30 .
Determination of adjusted demand
30
1
This paragraph applies where —
a
there are no valid opt-in bids; or
b
at least one opted-in bidder submitted a valid primary bid in the most recent primary bid round, and that bid was for a selection of lots which included (in addition to any other lots which were included) all of the lots comprised in one of that bidder’s valid opt-in bids.
2
Where paragraph (1) applies, the adjusted demand for a type of lot is the total number of lots of that type selected in the valid primary bids submitted in the most recent primary bid round.
3
Where paragraph (1) does not apply, the adjusted demand for a type of lot is the number determined in accordance with paragraph (4) .
4
The number is the total of —
a
the number of lots of that type selected in the key bid, and
b
the number of lots of that type selected in the valid primary bids submitted in the most recent primary bid round, but not including the valid primary bid (if any) of the bidder which submitted the key bid.
5
The key bid shall be identified by OFCOM in accordance with regulation 31 .
Identifying the key bid
31
1
The key bid is the bid which has the lowest value of n calculated in accordance with paragraph (2) out of all of the bids which satisfy —
a
the requirement in paragraph (3) (“the first requirement”); and
b
the requirement in paragraph (4) (“the second requirement”).
2
For each such bid, the value of n is the difference (if any) between —
a
the total amount of the round prices in the most recent primary bid round for the lots included in the bid; and
b
the amount of the bid.
3
The first requirement is that the bid must be a valid opt-in bid or a valid primary bid made by an opted-in bidder.
4
The second requirement is that if the bid is a valid primary bid it must be for a selection of lots which includes (in addition to any other lots which are included) all of the lots comprised in one of the valid opt-in bids made by that bidder.
5
Where there is more than one bid for which the value of n is lowest (“tied n bids”), the key bid shall be determined in accordance with the order of precedence set out in paragraph (6) .
6
Tied n bids with a lesser value of a prevail over tied n bids with a greater value of a , where a is calculated in accordance with paragraph (7) .
7
For each tied n bid, the value of a is the total amount of the round prices in the most recent primary bid round for the lots included in the tied n bid, less the total amount of the round prices (in the most recent primary bid round) for those lots included in the tied n bid which were also included in the valid primary bid (if any) submitted in the most recent primary bid round by the bidder which submitted the tied n bid.
8
Where there is more than one tied n bid for which the value of a is lowest (“tied a bids”), the key bid shall be determined in accordance with the order of precedence set out in paragraph (9) .
9
Tied a bids with a lesser value of b prevail over tied a bids with a greater value of b , where b is calculated in accordance with paragraph (10) .
10
For each tied a bid, the value of b is the total amount of the round prices in the most recent primary bid round for the lots included in the valid primary bid (if any) submitted in the most recent primary bid round by the bidder which submitted the tied a bid, less the total amount of the round prices (in the most recent primary bid round) for those lots included in the valid primary bid which were also included in the tied a bid.
11
Where a bidder which submitted a tied a bid did not submit a valid primary bid in the most recent primary bid round, the value of b in relation to that tied a bid shall be zero.
12
Where there is more than one tied a bid for which the value of b is lowest (“tied b bids”), OFCOM shall employ a method of random selection from amongst those tied b bids to identify the key bid.
Round prices for the first primary bid round
32
For the first primary bid round, the round price for —
a
each 800 MHz paired frequency lot shall be two hundred and twenty five million pounds;
b
each 2.6 GHz paired frequency lot shall be fifteen million pounds;
c
each 2.6 GHz individual frequency lot shall be one hundred thousand pounds;
d
the 800 MHz coverage obligation lot shall be two hundred and fifty million pounds;
e
each 2.6 GHz concurrent low power 10 MHz lot shall be three million pounds; and
f
each 2.6 GHz concurrent low power 20 MHz lot shall be six million pounds.
Determination of round prices for subsequent primary bid rounds
33
1
For each subsequent primary bid round, the round price for each type of lot shall be determined by OFCOM.
2
The round price for each 800 MHz paired frequency lot shall be determined in accordance with regulation 34 .
3
The round price for each 2.6 GHz paired frequency lot shall be determined in accordance with regulation 35 .
4
The round price for each 2.6 GHz individual frequency lot shall be determined in accordance with regulation 36 .
5
The round price for the 800 MHz coverage obligation lot shall be determined in accordance with regulation 37 .
6
The round price for each 2.6 GHz concurrent low power 10 MHz lot shall be determined in accordance with regulation 38
7
The round price for each 2.6 GHz concurrent low power 20 MHz lot shall be determined in accordance with regulation 39 .
Round price for 800 MHz paired frequency lots
34
1
The round price for each 800 MHz paired frequency lot shall be the same as it was for the previous primary bid round except where paragraph (3) applies.
2
Where paragraph (3) applies the round price shall be higher than it was for the previous primary bid round, but not more than twice the amount of the round price for the previous primary bid round.
3
This paragraph applies where the adjusted demand for 800 MHz paired frequency lots in the previous primary bid round is greater than four.
Round price for 2.6 GHz paired frequency lots
35
1
The round price for each 2.6 GHz paired frequency lot shall be the same as it was for the previous primary bid round except where any of paragraphs (3) , (4) or (5) apply.
2
Where any of paragraphs (3) , (4) or (5) apply the round price shall be higher than it was for the previous primary bid round, but not more than twice the amount of the round price for the previous primary bid round.
3
This paragraph applies where the adjusted demand for 2.6 GHz paired frequency lots in the previous primary bid round is greater than fourteen.
4
This paragraph applies where —
a
the adjusted demand for 2.6 GHz concurrent low power 10 MHz lots in the previous round is greater than zero; and
b
the adjusted demand for 2.6 GHz paired frequency lots in the previous round is greater than twelve.
5
This paragraph applies where —
a
the adjusted demand for 2.6 GHz concurrent low power 20 MHz lots in the previous round is greater than zero; and
b
the adjusted demand for 2.6 GHz paired frequency lots in the previous round is greater than ten.
Round price for 2.6 GHz individual frequency lots
36
1
The round price for each 2.6 GHz individual frequency lot shall be the same as it was for the previous primary bid round except where paragraph (3) applies.
2
Where paragraph (3) applies the round price shall be higher than it was for the previous primary bid round, but not more than twice the amount of the round price for the previous primary bid round.
3
This paragraph applies where the adjusted demand for 2.6 GHz individual frequency lots in the previous primary bid round is greater than nine.
Round price for the 800 MHz coverage obligation lot
37
1
The round price for the 800 MHz coverage obligation lot shall be the same as it was for the previous primary bid round except where paragraph (3) applies.
2
Where paragraph (3) applies the round price shall be higher than it was for the previous primary bid round, but not more than twice the amount of the round price for the previous primary bid round.
3
This paragraph applies where the adjusted demand for the 800 MHz coverage obligation lot in the previous primary bid round is greater than one.
Round price for 2.6 GHz concurrent low power 10 MHz lots
38
1
The round price for each 2.6 GHz concurrent low power 10 MHz lot shall be the same as it was for the previous primary bid round except where paragraph (5) or (6) applies.
2
Where paragraph (5) applies, but not paragraph (6) , the round price shall be higher than it was for the previous primary bid round but not more than the upper 10 MHz limit.
3
Where paragraph (6) applies, but not paragraph (5) , the round price shall not be lower than it was for the previous primary bid round, and shall be —
a
not less than the lower 10 MHz limit, and
b
not more than the upper 10 MHz limit,
subject to paragraph (7) .
4
Where paragraph (5) and paragraph (6) both apply, the round price shall be higher than it was for the previous primary bid round, and shall be —
a
not less than the lower 10 MHz limit, and
b
not more than the upper 10 MHz limit,
subject to paragraph (7) .
5
This paragraph applies where the number produced by adding together the adjusted demand for 2.6 GHz concurrent low power 10 MHz lots in the previous round and the adjusted demand for 2.6 GHz concurrent low power 20 MHz lots in the previous round is greater than ten.
6
This paragraph applies where the adjusted demand for 2.6 GHz paired frequency lots in the previous round is greater than twelve.
7
In a case where the lower 10 MHz limit is greater than the upper 10 MHz limit, the upper 10 MHz limit shall be disregarded and the round price shall be an amount equal to the lower 10 MHz limit.
8
In this regulation —
“upper 10 MHz limit” means twice the amount of the round price for 2.6 GHz concurrent low power 10 MHz lots for the previous round; and
“lower 10 MHz limit” means one fifth of the amount that OFCOM have determined to be the round price for 2.6 GHz paired frequency lots for the round in respect of which OFCOM is determining the round price.
Round price for 2.6 GHz concurrent low power 20 MHz lots
39
1
The round price for each 2.6 GHz concurrent low power 20 MHz lot shall be the same as it was for the previous primary bid round except where paragraph (5) or (6) applies.
2
Where paragraph (5) applies, but not paragraph (6) , the round price shall be higher than it was for the previous primary bid round but not more than the upper 20 MHz limit.
3
Where paragraph (6) applies, but not paragraph (5) , the round price shall not be lower than it was for the previous primary bid round, and shall be —
a
not less than the lower 20 MHz limit, and
b
not more than the upper 20 MHz limit,
subject to paragraph (7) .
4
Where paragraph (5) and paragraph (6) both apply, the round price shall be higher than it was for the previous primary bid round, and shall be —
a
not less than the lower 20 MHz limit, and
b
not more than the upper 20 MHz limit,
subject to paragraph (7) .
5
This paragraph applies where the number produced by adding together the adjusted demand for 2.6 GHz concurrent low power 10 MHz lots in the previous round and the adjusted demand for 2.6 GHz concurrent low power 20 MHz lots in the previous round is greater than ten.
6
This paragraph applies where the adjusted demand for 2.6 GHz paired frequency lots in the previous round is greater than 10.
7
In a case where the lower 20 MHz limit is greater than the upper 20 MHz limit, the upper 20 MHz limit shall be disregarded and the round price shall be an amount equal to the lower 20 MHz limit.
8
In this regulation —
a
“upper 20 MHz limit” means twice the amount of the round price for 2.6 GHz concurrent low power 20 MHz lots for the previous round; and
b
“lower 20 MHz limit” means the amount produced by adding together —
i
the amount that OFCOM have determined to be the round price for 2.6 GHz concurrent low power 10 MHz lots for the round in respect of which OFCOM is determining the round price; and
ii
one fifth of the amount that OFCOM have determined to be the round price for 2.6 GHz paired frequency lots for that round.
Bidders’ eligibility limit for second and subsequent primary bid rounds
40
Before the second primary bid round and before each subsequent primary bid round OFCOM shall determine an eligibility limit for each bidder for that primary bid round in accordance with regulation 41 .
Determination of bidders’ eligibility limit for second and subsequent primary bid rounds
41
1
Where a bidder makes a valid primary bid in a primary bid round, OFCOM shall determine the bidder’s eligibility limit for the next primary bid round by calculating the number of eligibility points associated with that valid primary bid.
2
The number of eligibility points associated with a valid primary bid shall be the number equal to the total of the eligibility points associated with the lots included in the selection specified in that valid primary bid.
3
The bidder’s eligibility limit shall be the number equal to the number of eligibility points associated with that valid primary bid.
4
Where a bidder does not make a valid primary bid in a primary bid round, the bidder’s eligibility limit for the next primary bid round shall be zero.
5
Where regulation 59(4) applies, a bidder’s eligibility limit for the next primary bid round shall be zero, notwithstanding any determination of an eligibility limit under paragraphs (1) to (4).
CHAPTER 5
The supplementary bids round
Supplementary bid selection
42
A bid made during the supplementary bids round (“supplementary bid”) shall be a bid for a selection of lots which matches a permissible bid selection for that bidder.
Supplementary bids
43
1
In order to make a supplementary bid a bidder must, on a form provided to the bidder by OFCOM (“supplementary bids form”), specify —
a
the number of 800 MHz paired frequency lots it wishes to be included in a licence;
b
the number of 2.6 GHz paired frequency lots it wishes to be included in a licence;
c
the number of 2.6 GHz individual frequency lots it wishes to be included in a licence;
d
if it wishes the 800 MHz coverage obligation lot to be included in a licence;
e
if it wishes a 2.6 GHz concurrent low power 10 MHz lot to be included in a licence;
f
if it wishes a 2.6 GHz concurrent low power 20 MHz lot to be included in a licence; and
g
the amount in whole thousands of pounds that it is willing to pay for a licence which authorises the use of frequencies corresponding to the lots that are selected.
2
The selection of lots specified in a supplementary bid made by a bidder must be such that the number of eligibility points associated with the supplementary bid in accordance with paragraph (3) does not exceed the bidder’s eligibility limit for the first primary bid round.
3
The number of eligibility points associated with a supplementary bid shall be the number equal to the total of the eligibility points associated with the lots included in the selection of lots specified in that supplementary bid.
4
The selection of lots specified in a supplementary bid made by a bidder may be the same as or different from the selection of lots specified in any opt-in bid or any primary bid made by that bidder.
5
The amount of the supplementary bid shall be determined by the bidder, subject to the restrictions in paragraph (6) .
6
The restrictions are —
a
the amount of the supplementary bid must not be less than the total amount of the round prices in the first primary bid round for the lots included in the selection of lots specified in that bid;
b
where the supplementary bid is for a selection of lots in respect of which the bidder has also made a primary bid, the amount of the supplementary bid must not be less than the amount of the highest primary bid made by the bidder for that selection of lots; and
c
where —
i
the bidder did not make a valid primary bid in the final primary bid round, or
ii
the supplementary bid is for a selection of lots that is different from the selection of lots specified in the valid primary bid made by the bidder in the final primary bid round,
the amount of the supplementary bid must not be greater than the amount “
C
” determined in accordance with paragraph (7) .
7
The amount “
C
” referred to in paragraph (6)(c) shall be calculated in accordance with the formula —
C = R P + B − P
where —
“
R P
” is the total amount of the round prices in the primary bid round referred to in paragraph (9) for the selection of lots specified in the supplementary bid;
“
B
” is the amount determined in accordance with paragraph (8) ; and
“
P
” is, where the bidder made a valid primary bid in the round referred to in paragraph (9) , the amount of that valid primary bid, and is otherwise zero.
8
The amount of B is —
a
where the bidder made a valid primary bid in the round referred to in paragraph (9) , the higher of —
i
the amount of the highest valid opt-in bid (if any) or valid primary bid made by the bidder for the same selection of lots as was specified in that valid primary bid; and
ii
the amount of the supplementary bid (if any) for the same selection of lots as was specified in that valid primary bid; or
b
where the bidder did not make a valid primary bid in the round referred to in paragraph (9) , zero.
9
The primary bid round referred to is the latest primary bid round in which a primary bid made by the bidder for the selection of lots specified in the supplementary bid could have satisfied the restriction set out in regulation 25(8) .
10
A bidder may submit any number of supplementary bids in the supplementary bids round, up to a maximum of four thousand supplementary bids.
11
A bidder must submit all of its supplementary bids on the same supplementary bids form.
12
A bidder may not submit more than one supplementary bid for any particular selection of lots.
13
A bidder is not required to submit a supplementary bid.
Valid supplementary bids
44
A supplementary bid is a valid supplementary bid if the bidder complies with regulations 42 , 43 and 61 in respect of that supplementary bid.
CHAPTER 6
Procedure for opt-in round
Notice to be given to bidders before the opt-in round
45
Before the start of the opt-in round, OFCOM shall notify each bidder of the date on which, and the times on that date within which, the opt-in round will take place.
Submission of opt-in bid form to OFCOM
46
1
A bidder must submit the completed opt-in bid form to OFCOM by using the electronic auction system, except as provided for in regulation 47 .
2
Except as provided for in regulation 48 , the completed opt-in bid form must be received by OFCOM within the times notified to bidders under regulation 45 .
Alternative method for submission of opt-in bid form
47
1
Where OFCOM are satisfied that a bidder is unable to submit an opt-in bid form by using the electronic auction system because of technical failure (or an event or circumstance with similar effect on the bidder’s ability to use the electronic auction system), OFCOM shall notify the bidder of an alternative method of submitting the opt-in bid form and any requirements relating to the authentication of communications made by means of the alternative method.
2
The bidder must submit the opt-in bid form by means of the alternative method and must comply with any requirements which have been notified to it under paragraph (1) relating to the authentication of communications.
Extension to opt-in round
48
1
Where —
a
OFCOM have not received a completed opt-in bid form from a bidder by the time notified to bidders under regulation 45 as the end of the opt-in round, and
b
paragraph (2) applies,
the time by which the bidder’s completed opt-in bid form must be received by OFCOM shall be the time sixty minutes after the time notified to bidders under regulation 45 as the end of the opt-in round.
2
This paragraph applies where OFCOM are satisfied that circumstances existed which were beyond the bidder’s control which had the effect that the bidder could not submit its opt-in bid form so that it was received by OFCOM on time.
Incomplete or defective opt-in bid form
49
1
Where, due to the manner of completion, an opt-in bid form is incomplete or defective but OFCOM believe that they can ascertain the bidder’s intention in relation to the making of opt-in bids, OFCOM shall ask the bidder to confirm in a notice to OFCOM by a deadline specified by OFCOM that OFCOM have correctly ascertained the bidder’s intention in relation to the making of opt-in bids.
2
Where the bidder confirms in a notice given to OFCOM by the deadline which is signed by two authorised persons that OFCOM have correctly ascertained the bidder’s intention, the opt-in bid form in its entirety shall be accepted by OFCOM on that basis.
3
Where the bidder does not give such confirmation, the opt-in bid form in its entirety shall be rejected by OFCOM and the opt-in bids submitted on the opt-in bid form shall not be valid opt-in bids.
Notification that opt-in bid not valid
50
Where a bidder submits an opt-in bid that is not a valid opt-in bid, OFCOM shall, after the end of the opt-in round, notify the bidder of that fact and shall give the reasons why the bid is not a valid opt-in bid.
Release of information on opt-in bidders in principal stage
51
After the end of the opt-in round and before the start of the first primary bid round OFCOM shall notify each bidder of the number of bidders that submitted valid opt-in bids.
CHAPTER 7
Procedure and further deposit for primary bid rounds
Notice to be given to bidders before primary bid rounds
52
1
Before the start of each primary bid round, OFCOM shall notify each bidder of —
a
the date on which, and the times on that date within which, the primary bid round will take place;
b
the round price for —
i
each 800 MHz paired frequency lot;
ii
each 2.6 GHz paired frequency lot;
iii
each 2.6 GHz individual frequency lot;
iv
the 800 MHz coverage obligation lot;
v
each 2.6 GHz concurrent low power 10 MHz lot;
vi
each 2.6 GHz concurrent low power 20 MHz lot;
c
the bidder’s eligibility limit for that primary bid round; and
d
whether there is more than one opted-in bidder which has an eligibility limit for that primary bid round which is the same as or more than that bidder’s eligibility threshold.
2
An opted-in bidder’s eligibility threshold is the number equal to the number of eligibility points associated with the valid opt-in bid made by that bidder which, out of all of the valid opt-in bids made by that bidder, has the lowest number of eligibility points associated with it.
3
The number of eligibility points associated with a valid opt-in bid shall be the number equal to the total of the eligibility points associated with the lots included in the selection of lots specified in that valid opt-in bid.
Extension to primary bid rounds
53
1
The time notified by OFCOM under regulation 52(1)(a) as the end of the primary bid round (“end of round time”) may be treated by a bidder in respect of —
a
no more than two primary bid rounds, and also
b
in respect of each occasion where paragraph (2) applies to the bidder, a further primary bid round,
as that time extended by thirty minutes and OFCOM shall treat that extended time as the end of round time for the purposes of regulation 54(2) .
2
This paragraph applies to a bidder where —
a
in respect of a previous primary bid round, the bidder treated the end of round time for that round as extended by thirty minutes in accordance with paragraph (1) ;
b
the bidder submitted its completed primary bid form for that primary bid round so that it was received by OFCOM by the end of round time so extended; and
c
OFCOM have notified the bidder that they are satisfied that, in respect of that primary bid round, circumstances existed which were beyond the bidder’s control which had the effect that the bidder could not have submitted its primary bid form so that it was received by OFCOM by the end of round time without such an extension.
Submission of primary bid form to OFCOM
54
1
A bidder must submit the completed primary bid form to OFCOM by using the electronic auction system, except as provided for in regulation 55 .
2
The completed primary bid form must be received by OFCOM by the end of round time.
Alternative method for submission of primary bid form
55
1
Where OFCOM are satisfied that a bidder is unable to submit a primary bid form by using the electronic auction system because of technical failure (or an event or circumstance with similar effect on the bidder’s ability to use the electronic auction system), OFCOM shall notify the bidder of an alternative method of submitting the primary bid form and any requirements relating to the authentication of communications made by means of the alternative method.
2
The bidder must submit the primary bid form by means of the alternative method and must comply with any requirements which have been notified to it under paragraph (1) relating to the authentication of communications.
Incomplete or defective primary bid form
56
1
Where, due to the manner of completion, a primary bid form is incomplete or defective but OFCOM believe that they can ascertain the bidder’s intention in relation to the making of the primary bid, OFCOM shall ask the bidder to confirm in a notice to OFCOM by a deadline specified by OFCOM that OFCOM have correctly ascertained the bidder’s intention in relation to the making of the primary bid.
2
Where the bidder confirms in a notice given to OFCOM by the deadline which is signed by two authorised persons that OFCOM have correctly ascertained the bidder’s intention, the primary bid form in its entirety shall be accepted by OFCOM on that basis.
3
Where the bidder does not give such confirmation, the primary bid form in its entirety shall be rejected by OFCOM and the primary bid submitted on the primary bid form shall not be a valid primary bid.
Notification that primary bid not valid
57
Where a bidder submits a primary bid that is not a valid primary bid during a primary bid round, OFCOM shall, after the end of that primary bid round, notify the bidder of that fact and shall give the reasons why the bid is not a valid primary bid.
Release of information on primary bids in principal stage
58
After the end of each primary bid round and before the start of the next primary bid round (or before the start of the supplementary bids round if there is no further primary bid round), OFCOM shall notify bidders of —
a
the total number of 800 MHz paired frequency lots included in valid primary bids made in the primary bid round that has most recently ended;
b
the total number of 2.6 GHz paired frequency lots included in valid primary bids made in that round;
c
the total number of 2.6 GHz individual frequency lots included in valid primary bids made in that round;
d
the total number of 800 MHz coverage obligation lots included in valid primary bids made in that round;
e
the total number of 2.6 GHz concurrent low power 10 MHz lots included in valid primary bids made in that round;
f
the total number of 2.6 GHz concurrent low power 20 MHz lots included in valid primary bids made in that round; and
g
whether there is excess demand.
Further deposit during primary bid rounds
59
1
Where, in respect of a primary bid, the amount which a bidder specifies that it is willing to pay is more than double the total amount that the bidder has on deposit with OFCOM for the purposes of the award process at that time OFCOM may, having regard to the desirability of securing an efficient outcome to the principal stage, subsequently notify the bidder that the bidder is required to pay a further sum in pounds as a deposit.
2
The further sum shall be an amount determined by OFCOM such that the total amount that the bidder is required to have on deposit is at most half the amount of the highest valid primary bid that the bidder made before OFCOM gave notice to the bidder under paragraph (1) .
3
Any such sum must be paid into OFCOM’s bank account by a same day electronic transfer, with accompanying information which identifies the bidder, by a deadline specified by OFCOM.
4
Where a bidder does not satisfy the requirements set out in paragraph (3) , OFCOM shall notify the bidder of that fact, and for any primary bid rounds following notice being given under this paragraph the bidder’s eligibility limit shall be zero.
CHAPTER 8
Procedure and further deposit for supplementary bids round
Notice to be given to bidders before supplementary bids round
60
Before the start of the supplementary bids round, OFCOM shall notify each bidder of —
a
the date on which, and the times on that date within which, the supplementary bids round will take place;
b
the deadline (which shall be after the end of the supplementary bids round) by when bidders must pay a further sum in pounds as a deposit calculated in accordance with regulation 66 ; and
c
if applicable, the proportion referred to in regulation 66(1)(a) .
Submission of supplementary bids form to OFCOM
61
1
A bidder must submit the completed supplementary bids form to OFCOM by using the electronic auction system, except as provided for in regulation 62 .
2
The completed supplementary bids form must be received by OFCOM within the times notified to bidders under regulation 60(a) except as provided for in regulation 63 .
Alternative method for submission of supplementary bids form
62
1
Where OFCOM are satisfied that a bidder is unable to submit a supplementary bids form by using the electronic auction system because of technical failure (or an event or circumstance with similar effect on the bidder’s ability to use the electronic auction system), OFCOM shall notify the bidder of an alternative method of submitting the supplementary bids form and any requirements relating to the authentication of communications made by means of the alternative method.
2
The bidder must submit the supplementary bids form by means of the alternative method and must comply with any requirements which have been notified to it under paragraph (1) relating to the authentication of communications.
Extension to supplementary bids round
63
1
Where —
a
OFCOM have not received a completed supplementary bids form from a bidder by the time notified to bidders under regulation 60(a) as the end of the supplementary bids round, and
b
paragraph (2) applies,
the time by which the bidder’s completed supplementary bids form must be received by OFCOM shall be the time sixty minutes after the time notified to bidders under regulation 60(a) as the end of the supplementary bids round.
2
This paragraph applies where OFCOM are satisfied that circumstances existed which were beyond the bidder’s control which had the effect that the bidder could not submit its supplementary bids form so that it was received by OFCOM on time.
Incomplete or defective supplementary bids form
64
1
Where, due to the manner of completion, a supplementary bids form is incomplete or defective but OFCOM believe that they can ascertain the bidder’s intention in relation to the making of the supplementary bid or bids, OFCOM shall ask the bidder to confirm in a notice to OFCOM by a deadline specified by OFCOM that OFCOM have correctly ascertained the bidder’s intention in relation to the making of the supplementary bid or bids.
2
Where the bidder confirms in a notice given to OFCOM by the deadline which is signed by two authorised persons that OFCOM have correctly ascertained the bidder’s intention, the supplementary bids form in its entirety shall be accepted by OFCOM on that basis.
3
Where the bidder does not give such confirmation —
a
where the incompleteness or defect relates to one or more of the supplementary bids made on the supplementary bids form, that supplementary bid or those supplementary bids (as the case may be) shall not be valid;
b
where sub-paragraph (a) does not apply, the supplementary bids form in its entirety shall be rejected by OFCOM and none of the supplementary bids made on that supplementary bids form shall be valid.
Notification that supplementary bid not valid
65
Where a bidder submits a supplementary bid that is not a valid supplementary bid, OFCOM shall, after the end of the supplementary bids round, notify the bidder of that fact and shall give the reasons why the bid is not a valid supplementary bid.
Further deposit for supplementary bids round
66
1
By the deadline notified to bidders under regulation 60(b) , each bidder must pay into OFCOM’s bank account a further sum in pounds as a deposit so that the total amount the bidder has on deposit is not less than —
a
where a bidder has on all occasions paid sums for deposit by the time specified for payment by OFCOM under regulation 59, a proportion specified by OFCOM, which is at most one half, of the amount of the bidder’s highest valid principal stage bid; or
b
where a bidder has not on all occasions paid sums for deposit by the time specified for payment by OFCOM under regulation 59, the amount of the bidder’s highest valid principal stage bid.
2
The further sum must be paid into OFCOM’s bank account by a same day electronic transfer with accompanying information which identifies the bidder.
3
Where a bidder does not so make payment, OFCOM shall notify the bidder and the bidder shall be excluded from the award process and shall not receive a refund of any sums which the bidder paid as a deposit under these Regulations, which shall (where not already forfeited) be forfeited together with any interest which has accrued on the deposit, and all of that bidder’s principal stage bids shall be deemed to be invalid and shall not be taken into consideration for the purposes of determining —
a
the winning principal stage bids in accordance with regulation 67 ;
b
the base price payable by a winning bidder in accordance with regulation 68 .
CHAPTER 9
Determination of the winning principal stage bids and conclusion of principal stage
Determination of the winning principal stage bids
67
1
The winning principal stage bids shall be those valid principal stage bids that comprise the winning combination of principal stage bids.
2
The winning combination of principal stage bids shall be the valid combination of principal stage bids for which the total value of the combination of bids calculated in accordance with paragraph (9) is the highest.
3
Where there is more than one valid combination of principal stage bids for which the total value is equal highest, the winning combination of principal stage bids shall be determined in accordance with the order of precedence set out in paragraph (5) and then in accordance with paragraph (6) if necessary.
4
A combination of principal stage bids is a valid combination of principal stage bids if —
a
all of the bids included in the combination are valid principal stage bids;
b
there is no more than one principal stage bid from each bidder within the combination;
c
there is at least one bid in the combination from an opted-in bidder (if there are one or more valid opt-in bids) for a selection of lots that includes (in addition to any other lots which are included) all of the lots selected in a valid opt-in bid made by that bidder;
d
the total number of lots of each type in the combination is not greater than the number of lots of that type available in the award process;
e
the number produced by adding together the number of 2.6 GHz concurrent low power 10 MHz lots in the combination and the number of 2.6 GHz concurrent low power 20 MHz lots in the combination is not greater than ten;
f
if any bid in the combination includes a 2.6 GHz concurrent low power 10 MHz lot, the total number of 2.6 GHz paired frequency lots in the combination is not greater than twelve; and
g
if any bid in the combination includes a 2.6 GHz concurrent low power 20 MHz lot, the total number of 2.6 GHz paired frequency lots in the combination is not greater than ten.
5
The order of precedence referred to in paragraph (3) shall be determined by the total number of eligibility points associated with each such valid combination of principal stage bids in accordance with paragraph (7) such that valid combinations of principal stage bids with which a greater total number of eligibility points are associated prevail over valid combinations of principal stage bids with which a lesser total number of eligibility points are associated.
6
If after the provisions in paragraph (5) have been applied more than one valid combination of principal stage bids of highest ranking in the order of precedence remains, OFCOM shall employ a method of random selection from amongst those remaining valid combinations of principal stage bids of highest ranking in the order of precedence to determine the winning combination of principal stage bids.
7
The number of eligibility points associated with a valid combination of principal stage bids shall be the number equal to the total of the eligibility points associated with each bid in that valid combination of principal stage bids.
8
The number of eligibility points associated with a bid shall be the number equal to the total of the eligibility points associated with the lots included in the selection specified in that bid.
9
The total value of a combination of bids (“ TV ”) shall be calculated in accordance with the formula —
T V = A + L − Y
where —
“A” is the total of the amounts in pounds of the bids in the combination;
“ L ” is the number determined in accordance with paragraph (10) ;
“ Y ” is the number determined under paragraph (11) .
10
“ L ” is the number which is the total of the round prices for the first primary bid round for each —
a
800 MHz paired frequency lot,
b
2.6 GHz paired frequency lot,
c
2.6 GHz individual frequency lot, and
d
800 MHz coverage obligation lot,
that is available in the award process but was not included in the combination.
11
“Y ” is —
a
sixty million if the combination includes at least one 2.6 GHz concurrent low power 20 MHz lot;
b
thirty million if the combination includes at least one 2.6 concurrent 10 MHz lot and does not include any 2.6 GHz concurrent low power 20 MHz lots; or
c
zero, if neither (a) nor (b) apply.
Determination of base price for each winning principal stage bid
68
In respect of each winning principal stage bid OFCOM shall determine an amount in accordance with Schedule 7 (“base price”) which shall be payable by the relevant winning bidder.
Notification of results of principal stage and refund of deposits
69
Following the determination of the winning principal stage bids under regulation 67 , and the determination of the base price for each winning principal stage bid under regulation 68 , OFCOM shall —
a
notify —
i
each winning bidder of —
aa
the selection of lots included in its winning principal stage bid;
bb
the amount of the base price for its winning principal stage bid; and
cc
the further sum (if any) in pounds as a deposit that it is required to pay in accordance with regulation 70 (“final principal stage deposit”); and
ii
all other bidders that they have not made a winning principal stage bid;
b
refund to applicants which were not qualified or which withdrew in accordance with regulation 12 , and to bidders which were not winning bidders, any sums which they have paid as a deposit under these Regulations (where such deposits have not been forfeited), but not any interest which has accrued on the deposits.
Final principal stage deposit
70
1
The final principal stage deposit shall be an amount such that the total amount that the bidder has on deposit is not less than the amount of the base price for that bidder’s winning principal stage bid determined under regulation 68 .
2
The final principal stage deposit must be paid into OFCOM’s bank account by a same day electronic transfer, with accompanying information which identifies the bidder, by a deadline specified by OFCOM.
3
Where a bidder does not satisfy the requirements set out in paragraph (2) —
a
OFCOM shall notify the bidder;
b
the bidder shall be excluded from the award process;
c
the bidder’s winning principal stage bid shall not be treated as a winning principal stage bid in the assignment stage or the grant stage, and the bidder shall not be assigned any frequencies; and
d
the bidder shall not receive a refund of any sums which the bidder has paid as a deposit under these Regulations, which shall (where not already forfeited) be forfeited together with any interest which has accrued on the deposit.
4
The exclusion of a bidder under paragraph (3) shall not affect the determination of the winning principal stage bids that OFCOM made under regulation 67 or the determination of the base price payable by each winning bidder that OFCOM made under regulation 68 .
Publication of results of principal stage
71
1
After the giving of notice under regulation 69(a) , OFCOM shall publish on their internet website —
a
the names of the winning bidders;
b
in respect of each such winning bidder —
i
the selection of lots included in its winning principal stage bid; and
ii
the base price for its winning principal stage bid;
2
If any winning bidder is excluded from the award process in accordance with regulation 70(3), OFCOM shall publish the name of that bidder on their internet website.
CHAPTER 10
Assignment stage: preliminary
Assignment stage
72
1
Where one of the regulations in Chapter 11 applies, OFCOM shall assign frequencies to the bidder that submitted the relevant winning principal stage bid in accordance with that regulation.
2
If —
a
more than one winning principal stage bid included 800 MHz paired frequency lots and regulation 76 does not apply,
b
more than one winning principal stage bid included 2.6 GHz paired frequency lots and none of regulations 80 , 81 , 82 or 83 apply, or
c
more than one winning principal stage bid included 2.6 GHz individual frequency lots,
there shall be one further round of bidding (“assignment stage round”) in accordance with Chapters 12 to 14 to determine which frequencies shall be assigned to each winning bidder that submitted one of those winning principal stage bids.
3
If a particular type of lot was not included in any winning principal stage bid, there shall be no assignment of the frequencies corresponding to that type of lot and no licence shall be granted for those frequencies.
CHAPTER 11
Assignment stage: pre-determined frequency assignments
Assignment of frequencies in respect of the 800 MHz coverage obligation lot
73
Where the 800 MHz coverage obligation lot was included in a winning principal stage bid, OFCOM shall assign to the bidder that submitted that winning principal stage bid the frequencies corresponding to that lot.
Assignment of numbered 800 MHz paired frequency lots to winner of the 800 MHz coverage obligation lot
74
1
This regulation applies where the winning principal stage bid referred to in regulation 73 also included one or more 800 MHz paired frequency lots.
2
OFCOM shall assign to the bidder that submitted that winning principal stage bid the frequencies corresponding to the block of numbered 800 MHz paired frequency lots that satisfies both of the conditions in paragraph (3) .
3
The conditions are —
a
the number of 800 MHz paired frequency lots contained within that block is equal to the number of 800 MHz paired frequency lots selected in the winning principal stage bid; and
b
800 MHz paired frequency lot 4 is contained within that block.
Assignment of numbered 800 MHz paired frequency lots in the case where 800 MHz paired frequency lots were included in only one winning principal stage bid
75
1
This regulation applies where 800 MHz paired frequency lots were included in only one winning principal stage bid, and that winning principal stage bid did not also include the 800 MHz coverage obligation lot.
2
OFCOM shall assign to the bidder that submitted that winning principal stage bid the frequencies corresponding to the block of numbered 800 MHz paired frequency lots that satisfies both of the conditions in paragraph (3) .
3
The conditions are that —
a
the number of 800 MHz paired frequency lots contained within that block is equal to the number of 800 MHz paired frequency lots selected in that winning principal stage bid; and
b
800 MHz paired frequency lot 4 is contained within that block.
Assignment of numbered 800 MHz paired frequency lots in the case where 800 MHz paired frequency lots were included in two winning principal stage bids, one of which also included the 800 MHz coverage obligation lot
76
1
This regulation applies where 800 MHz paired frequency lots were included in two winning principal stage bids, one of which also included the 800 MHz coverage obligation lot.
2
OFCOM shall assign to the bidder that submitted the winning principal stage bid that did not include the 800 MHz coverage obligation lot the frequencies corresponding to the block of numbered 800 MHz paired frequency lots that satisfies all of the conditions in paragraph (3) .
3
The conditions are that —
a
the number of 800 MHz paired frequency lots contained within that block is equal to the number of 800 MHz paired frequency lots selected in that winning principal stage bid;
b
the numbered 800 MHz paired frequency lots contained within that block are different from the numbered 800 MHz paired frequency lots assigned under regulation 74 ; and
c
the block of numbered 800 MHz paired frequency lots assigned under this regulation and the block of numbered 800 MHz paired frequency lots assigned under regulation 74 , taken together, form a single block of numbered 800 MHz paired frequency lots.
Assignment of numbered 2.6 GHz paired frequency lots in the case where 2.6 GHz paired frequency lots were included in only one winning principal stage bid
77
1
Where 2.6 GHz paired frequency lots were included in only one winning principal stage bid, OFCOM shall assign to the bidder that submitted that winning principal stage bid the frequencies corresponding to the block of numbered 2.6 GHz paired frequency lots that satisfies the conditions in paragraph (2) .
2
The conditions are that —
a
the number of 2.6 GHz paired frequency lots contained within that block is equal to the number of 2.6 GHz paired frequency lots selected in that winning principal stage bid; and
b
2.6 GHz paired frequency lot 1 is contained within that block.
Assignment of 2.6 GHz concurrent low power 10 MHz lots in the case where 2.6 GHz paired frequency lots were included in only one winning principal stage bid
78
1
This regulation applies where —
a
numbered 2.6 GHz paired frequency lots have been assigned in accordance with regulation 77 ; and
b
there are one or more winning principal stage bids which included a 2.6 GHz concurrent low power 10 MHz lot.
2
OFCOM shall assign to each bidder that submitted a winning principal stage bid which included a 2.6 GHz concurrent low power 10 MHz lot the frequencies corresponding to the two sequentially numbered 2.6 GHz paired frequency lots that satisfy the condition in (3) .
3
The condition is that the number of the lower of the two numbered 2.6 GHz paired frequency lots must be one greater than the highest numbered 2.6 GHz paired frequency lot that has been assigned in accordance with regulation 77 .
Assignment of 2.6 GHz concurrent low power 20 MHz lots in the case where 2.6 GHz paired frequency lots were included in only one winning principal stage bid
79
1
This regulation applies where —
a
2.6 GHz paired frequency lots have been assigned in accordance with regulation 77 ; and
b
there are one or more winning principal stage bids which included a 2.6 GHz concurrent low power 20 MHz lot.
2
OFCOM shall assign to each bidder that submitted a winning principal stage bid which included a 2.6 GHz concurrent low power 20 MHz lot the frequencies corresponding to the four sequentially numbered 2.6 GHz paired frequency lots that satisfy the condition in (3) .
3
The condition is that the number of the lowest of the four numbered 2.6 GHz paired frequency lots must be one greater than the highest numbered 2.6 GHz paired frequency lot that has been assigned in accordance with regulation 77 .
Assignment of numbered 2.6 GHz paired frequency lots and 2.6 GHz concurrent low power 10 MHz lots in the first special case
80
1
This regulation applies where —
a
no winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot;
b
at least one winning principal stage bid included a 2.6 GHz concurrent low power 10 MHz lot; and
c
2.6 GHz paired frequency lots were included in two winning principal stage bids, with eleven such lots included in one of those winning principal stage bids, and one such lot in the other winning principal stage bid.
2
OFCOM shall assign —
a
to the bidder that submitted the winning principal stage bid that included eleven 2.6 GHz paired frequency lots, the frequencies corresponding to the block of eleven 2.6 GHz paired frequency lots containing 2.6 GHz paired frequency lot 1;
b
to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot, the frequencies corresponding to 2.6 GHz paired frequency lot 12 and 2.6 GHz paired frequency lot 13; and
c
to the bidder that submitted the winning principal stage bid that included one 2.6 GHz paired frequency lot, the frequencies corresponding to 2.6 GHz paired frequency lot 14.
Assignment of numbered 2.6 GHz paired frequency lots and 2.6 GHz concurrent low power 10 MHz lots in the second special case
81
1
This regulation applies where —
a
no winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot;
b
at least one winning principal stage bid included a 2.6 GHz concurrent low power 10 MHz lot; and
c
2.6 GHz paired frequency lots were included in two winning principal stage bids, with ten such lots included in one of those winning principal stage bids, and one such lot in the other winning principal stage bid.
2
OFCOM shall assign —
a
to the bidder that submitted the winning principal stage bid that included ten 2.6 GHz paired frequency lots, the frequencies corresponding to the block of ten 2.6 GHz paired frequency lots containing 2.6 GHz paired frequency lot 1;
b
to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot, the frequencies corresponding to 2.6 GHz paired frequency lot 11 and 2.6 GHz paired frequency lot 12; and
c
to the bidder that submitted the winning principal stage bid that included one 2.6 GHz paired frequency lot, the frequencies corresponding to 2.6 GHz paired frequency lot 13.
Assignment of 2.6 GHz paired frequency lots, 2.6 GHz concurrent low power 10 MHz lots and 2.6 GHz concurrent low power 20 MHz lots in the third special case
82
1
This regulation applies where —
a
at least one winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot; and
b
2.6 GHz paired frequency lots were included in two winning principal stage bids, with nine such lots included in one of those winning principal stage bids, and one such lot in the other winning principal stage bid.
2
OFCOM shall assign —
a
to the bidder that submitted the winning principal stage bid that included nine 2.6 GHz paired frequency lots, the frequencies corresponding to the block of nine 2.6 GHz paired frequency lots containing 2.6 GHz paired frequency lot 1;
b
to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 20 MHz lot, the frequencies corresponding to 2.6 GHz paired frequency lot 10, 2.6 GHz paired frequency lot 11, 2.6 GHz paired frequency lot 12 and 2.6 GHz paired frequency lot 13;
c
to each bidder (if any) that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot, the frequencies corresponding to 2.6 GHz paired frequency lot 10 and 2.6 GHz paired frequency lot 11; and
d
to the bidder that submitted the winning principal stage bid that included one 2.6 GHz paired frequency lot, the frequencies corresponding to 2.6 GHz paired frequency lot 14.
Assignment of 2.6 GHz paired frequency lots, 2.6 GHz concurrent low power 10 MHz lots and 2.6 GHz concurrent low power 20 MHz lots in the fourth special case
83
1
This regulation applies where —
a
at least one winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot; and
b
2.6 GHz paired frequency lots were included in two winning principal stage bids, with eight such lots included in one of those winning principal stage bids, and one such lot in the other winning principal stage bid.
2
OFCOM shall assign —
a
to the bidder that submitted the winning principal stage bid that included eight 2.6 GHz paired frequency lots, the frequencies corresponding to the block of eight 2.6 GHz paired frequency lots containing 2.6 GHz paired frequency lot 1;
b
to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 20 MHz lot, the frequencies corresponding to 2.6 GHz paired frequency lot 9, 2.6 GHz paired frequency lot 10, 2.6 GHz paired frequency lot 11 and 2.6 GHz paired frequency lot 12;
c
to each bidder (if any) that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot, the frequencies corresponding to 2.6 GHz paired frequency lot 9 and 2.6 GHz paired frequency lot 10; and
d
to the bidder that submitted the winning principal stage bid that included one 2.6 GHz paired frequency lot, the frequencies corresponding to 2.6 GHz paired frequency lot 13.
Assignment of 2.6 GHz concurrent low power 10 MHz lots in the case where 2.6 GHz paired frequency lots were included in more than one winning principal stage bid
84
1
This regulation applies where —
a
no winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot;
b
at least one winning principal stage bid included a 2.6 GHz concurrent low power 10 MHz lot;
c
more than one winning principal stage bid included 2.6 GHz paired frequency lots; and
d
neither regulation 80 nor regulation 81 apply.
2
OFCOM shall assign to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot the frequencies corresponding to a block of two numbered 2.6 GHz paired frequency lots.
3
OFCOM shall identify the block of two numbered 2.6 GHz paired frequency lots referred to in paragraph (2) after OFCOM has determined the winning assignment stage bids for numbered 2.6 GHz paired frequency lots in accordance with regulation 104 .
4
The block of two numbered 2.6 GHz paired frequency lots shall be the block which meets the requirement in paragraph (5) .
5
The combination of the block of two numbered 2.6 GHz paired frequency lots referred to in paragraph (2) , and the blocks of numbered 2.6 GHz paired frequency lots included in winning assignment stage bids for numbered 2.6 GHz paired frequency lots, must form a single block of numbered 2.6 GHz paired frequency lots.
Assignment of 2.6 GHz concurrent low power 10 MHz lots and 2.6 GHz concurrent low power 20 MHz lots in the case where 2.6 GHz paired frequency lots were included in more than one winning principal stage bid
85
1
This regulation applies where —
a
at least one winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot;
b
more than one winning principal stage bid included 2.6 GHz paired frequency lots; and
c
neither regulation 82 nor regulation 83 apply.
2
OFCOM shall assign to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 20 MHz lot the frequencies corresponding to a block of four numbered 2.6 GHz paired frequency lots.
3
OFCOM shall identify the block of four numbered 2.6 GHz paired frequency lots referred to in paragraph (2) after OFCOM has determined the winning assignment stage bids for numbered 2.6 GHz paired frequency lots in accordance with regulation 104 .
4
The block of four numbered 2.6 GHz paired frequency lots shall be the block which meets the requirement in paragraph (5) .
5
The combination of the block of four numbered 2.6 GHz paired frequency lots referred to in paragraph (2) , and the blocks of numbered 2.6 GHz paired frequency lots included in winning assignment stage bids for numbered 2.6 GHz paired frequency lots, must form a single block of numbered 2.6 GHz paired frequency lots.
6
If any bidder submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot, OFCOM shall assign to each such bidder the frequencies corresponding to a block of two numbered 2.6 GHz paired frequency lots, being the lowest two numbered 2.6 GHz paired frequency lots included in the block of four numbered 2.6 GHz paired frequency lots referred to in paragraph (2) .
Assignment of 2.6 GHz concurrent low power lots in the case where 2.6 GHz paired frequency lots were not included in any winning principal stage bid
86
1
This regulation applies where —
a
at least one winning principal stage bid included a 2.6 GHz concurrent low power 10 MHz lot or a 2.6 GHz concurrent low power 20 MHz lot; and
b
2.6 GHz paired frequency lots were not included in any winning principal stage bid.
2
OFCOM shall assign to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 10 MHz lot the frequencies corresponding to the following 2.6 GHz paired frequency lots —
a
2.6 GHz paired frequency lot 5; and
b
2.6 GHz paired frequency lot 6.
3
OFCOM shall assign to each bidder that submitted a winning principal stage bid that included a 2.6 GHz concurrent low power 20 MHz lot the frequencies corresponding to the following 2.6 GHz paired frequency lots —
a
2.6 GHz paired frequency lot 5;
b
2.6 GHz paired frequency lot 6;
c
2.6 GHz paired frequency lot 7; and
d
2.6 GHz paired frequency lot 8.
Assignment of 2.6 GHz individual frequency lots in the case where 2.6 GHz individual frequency lots were included in only one winning principal stage bid
87
1
Where 2.6 GHz individual frequency lots were included in only one winning principal stage bid, OFCOM shall assign to the bidder that submitted that winning principal stage bid the frequencies corresponding to the block of 2.6 GHz individual frequency lots that satisfies both of the conditions in paragraph (2) .
2
The conditions are that —
a
the number of 2.6 GHz individual frequency lots contained within that block is equal to the number of 2.6 GHz individual frequency lots selected in that winning principal stage bid; and
b
2.6 GHz individual frequency lot 9 is contained within that block.
CHAPTER 12
Assignment stage: frequency assignments determined by bidding
Assignment stage round and assignment stage bids
88
1
Only the following bidders may bid in the assignment stage round —
a
winning bidders that submitted a winning principal stage bid that included one or more 800 MHz paired frequency lots, and have not been assigned frequencies in respect of those lots under Chapter 11;
b
winning bidders that submitted a winning principal stage bid that included one or more 2.6 GHz paired frequency lots, and have not been assigned frequencies in respect of those lots under Chapter 11;
c
winning bidders that submitted a winning principal stage bid that included one or more 2.6 GHz individual frequency lots, and have not been assigned frequencies in respect of those lots under Chapter 11.
2
A bid made during the assignment stage round (“assignment stage bid”) shall be a bid for a licence which authorises the use of frequencies corresponding to —
a
a block of numbered 800 MHz paired frequency lots;
b
a block of numbered 2.6 GHz paired frequency lots; or
c
a block of numbered 2.6 GHz individual frequency lots.
3
OFCOM shall determine which blocks of —
a
numbered 800 MHz paired frequency lots,
b
numbered 2.6 GHz paired frequency lots, and
c
numbered 2.6 GHz individual frequency lots,
each bidder may bid for.
4
The list of possible blocks of numbered lots provided to each bidder may be different for each bidder.
5
The list shall be known as the “assignment stage option list” and each block of lots in that list shall be known as an “assignment stage option”.
6
A bid made during the assignment stage round shall be a bid for —
a
a block of numbered 800 MHz paired frequency lots,
b
a block of numbered 2.6 GHz paired frequency lots, or
c
a block of numbered 2.6 GHz individual frequency lots,
which matches an assignment stage option for that bidder.
Preparing an assignment stage option list for each bidder
89
1
OFCOM shall determine which assignment stage options shall be included in the assignment stage option list for each bidder which is eligible to bid.
2
If the bidder is eligible to bid under regulation 88(1)(a) , the bidder’s assignment stage options shall include each possible block of numbered 800 MHz paired frequency lots which meets the requirements of regulation 90 in relation to that bidder’s winning principal stage bid.
3
If the bidder is eligible to bid under regulation 88(1)(b) , the bidder’s assignment stage options shall include each possible block of numbered 2.6 GHz paired frequency lots which meets the requirements of regulation 91 in relation to that bidder’s winning principal stage bid.
4
If the bidder is eligible to bid under regulation 88(1)(c) , the bidder’s assignment stage options shall include each possible block of numbered 2.6 GHz individual frequency lots which meets the requirements of regulation 92 in relation to that bidder’s winning principal stage bid.
Assignment stage options for 800 MHz paired frequency lots
90
1
Where no winning principal stage bid included the 800 MHz coverage obligation lot, or the winning principal stage bid that included the 800 MHz coverage obligation lot did not also include any 800 MHz paired frequency lots, the assignment stage options for a bidder eligible to bid under regulation 88(1)(a) , in respect of the 800 MHz paired frequency lots included in its winning principal stage bid, shall be those blocks of numbered 800 MHz paired frequency lots which satisfy the following conditions —
a
the number of 800 MHz paired frequency lots contained in the block is equal to the number of such lots included in the bidder’s winning principal stage bid; and
b
if that winning bidder were assigned the frequencies corresponding to that block, the following conditions would be satisfied —
i
each other winning bidder that included 800 MHz paired frequency lots in its winning principal stage bid could be assigned frequencies corresponding to a block of numbered 800 MHz paired frequency lots that, in respect of that bidder’s winning principal stage bid, satisfies the condition in sub-paragraph (a) ;
ii
no numbered 800 MHz paired frequency lot would be included in more than one of the following blocks of numbered 800 MHz paired frequency lots —
aa
the block that is the assignment stage option under this paragraph; and
bb
the blocks comprising the frequencies to be assigned to other winning bidders that included 800 MHz paired frequency lots in their winning principal stage bids;
iii
those blocks of numbered 800 MHz paired frequency lots would, taken together, form a single block of numbered 800 MHz paired frequency lots; and
iv
800 MHz paired frequency lot 4 would be included in that single block of numbered 800 MHz paired frequency lots.
2
Where the winning principal stage bid that included the 800 MHz coverage obligation lot also included at least one 800 MHz paired frequency lot (such that frequencies corresponding to numbered 800 MHz paired frequency lots have been assigned to that bidder under regulation 74 ), the assignment stage options for a bidder eligible to bid under regulation 88(1)(a) , in respect of the 800 MHz paired frequency lots included in its winning principal stage bid, shall be those blocks of numbered 800 MHz paired frequency lots which satisfy the following conditions —
a
the number of 800 MHz paired frequency lots contained in the block is equal to the number of 800 MHz paired frequency lots included in the bidder’s winning principal stage bid; and
b
if that winning bidder were assigned the frequencies corresponding to that block of numbered 800 MHz paired frequency lots, the following conditions would be satisfied —
i
each other winning bidder that included 800 MHz paired frequency lots in its winning principal stage bid could be assigned frequencies corresponding to a block of numbered 800 MHz paired frequency lots that, in respect of that bidder’s winning principal stage bid, satisfies the condition in sub-paragraph (a) ;
ii
no numbered 800 MHz paired frequency lot would be included in more than one of the following blocks of numbered 800 MHz paired frequency lots —
aa
the block that is the assignment stage option under this paragraph;
bb
the blocks comprising the frequencies to be assigned to other winning bidders that included 800 MHz paired frequency lots in their winning principal stage bids;
cc
the block comprising the frequencies assigned under regulation 74 ; and
iii
the blocks of numbered 800 MHz paired frequency lots referred to in sub-paragraph (ii) would, taken together, form a single block of numbered 800 MHz paired frequency lots.
Assignment stage options for 2.6 GHz paired frequency lots
91
1
Where no winning principal stage bid included a 2.6 GHz concurrent low power 10 MHz lot or a 2.6 GHz concurrent low power 20 MHz lot, the assignment stage options for a bidder eligible to bid under regulation 88(1)(b) , in respect of the 2.6 GHz paired frequency lots included in its winning principal stage bid, shall be those blocks of numbered 2.6 GHz paired frequency lots which satisfy the following conditions —
a
the number of 2.6 GHz paired frequency lots contained in the block is equal to the number of such lots included in the bidder’s winning principal stage bid; and
b
if that winning bidder were assigned the frequencies corresponding to that block the following conditions would be satisfied —
i
each other winning bidder that included 2.6 GHz paired frequency lots in its winning principal stage bid could be assigned frequencies corresponding to a block of numbered 2.6 GHz paired frequency lots that, in respect of that bidder’s winning principal stage bid, satisfies the condition in sub-paragraph (a) ;
ii
no numbered 2.6 GHz paired frequency lot would be included in more than one of the following blocks of numbered 2.6 GHz paired frequency blocks —
aa
the block that is the assignment stage option under this paragraph; and
bb
the blocks comprising the frequencies to be assigned to other winning bidders that included 2.6 GHz paired frequency lots in their winning principal stage bids;
iii
the blocks of numbered 2.6 GHz paired frequency lots referred to in sub-paragraph (ii) would, taken together, form a single block of numbered 2.6 GHz paired frequency lots; and
iv
2.6 GHz paired frequency lot 1 would be included in that single block of numbered 2.6 GHz paired frequency lots.
2
Where no winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot, but one or more winning principal stage bids included a 2.6 GHz concurrent low power 10 MHz lot, the assignment stage options for a bidder eligible to bid under regulation 88(1)(b) , in respect of the 2.6 GHz paired frequency lots included in its winning principal stage bid, shall be those blocks of numbered 2.6 GHz paired frequency lots which satisfy the following conditions —
a
the number of 2.6 GHz paired frequency lots contained in the block is equal to the number of 2.6 GHz paired frequency lots included in the bidder’s winning principal stage bid; and
b
if that winning bidder were assigned the frequencies corresponding to that block of 2.6 GHz paired frequency lots, the following conditions would be satisfied —
i
each other winning bidder that included 2.6 GHz paired frequency lots in its winning principal stage bid could be assigned frequencies corresponding to a block of numbered 2.6 GHz paired frequency lots that, in respect of that bidder’s winning principal stage bid, satisfies the condition in sub-paragraph (a) ;
ii
the winning bidders that included a 2.6 GHz concurrent low power 10 MHz lot in their winning principal stage bids could, collectively, be assigned frequencies corresponding to a single block of two numbered 2.6 GHz paired frequency lots that does not include any of the following lots —
aa
2.6 GHz paired frequency lot 1
bb
2.6 GHz paired frequency lot 2;
cc
2.6 GHz paired frequency lot 13;
dd
2.6 GHz paired frequency lot 14;
iii
no numbered 2.6 GHz paired frequency lot would be included in more than one of the following blocks of numbered 2.6 GHz paired frequency lots —
aa
the block that is the assignment stage option under this paragraph;
bb
the blocks comprising the frequencies to be assigned to other winning bidders that included 2.6 GHz paired frequency lots in their winning principal stage bids; and
cc
the block comprising the frequencies to be assigned to winning bidders that included a 2.6 GHz concurrent low power 10 MHz lot in their winning principal stage bids;
iv
the blocks of numbered 2.6 GHz paired frequency lots referred to in sub-paragraph (iii) would, taken together, form a single block of numbered 2.6 GHz paired frequency lots; and
v
2.6 GHz paired frequency lot 1 would be included in that single block of numbered 2.6 GHz paired frequency lots.
3
Where one or more winning principal stage bids included a 2.6 GHz concurrent low power 20 MHz lot, the assignment stage options for a bidder eligible to bid under regulation 88(1)(b) , in respect of the 2.6 GHz paired frequency lots included in its winning principal stage bid, shall be those blocks of numbered 2.6 GHz paired frequency lots which satisfy the following conditions —
a
the number of 2.6 GHz paired frequency lots contained in the block is equal to the number of 2.6 GHz paired frequency lots included in the bidder’s winning principal stage bid; and
b
if that winning bidder were assigned the frequencies corresponding to that block of numbered 2.6 GHz paired frequency lots, the following conditions would be satisfied —
i
each other winning bidder that included 2.6 GHz paired frequency lots in its winning principal stage bid could be assigned frequencies corresponding to a block of numbered 2.6 GHz paired frequency lots that, in respect of that bidder’s winning principal stage bid, satisfies the condition in sub-paragraph (a) ;
ii
the winning bidders that included a 2.6 GHz concurrent low power 20 MHz lot in their winning principal stage bids could, collectively, be assigned the frequencies corresponding to a single block of four numbered 2.6 GHz paired frequency lots that does not include any of the following lots —
aa
2.6 GHz paired frequency lot 1
bb
2.6 GHz paired frequency lot 2;
cc
2.6 GHz paired frequency lot 13;
dd
2.6 GHz paired frequency lot 14;
iii
no numbered 2.6 GHz paired frequency lots would be included in more than one of the following blocks of numbered 2.6 GHz paired frequency lots —
aa
the block that is the assignment stage option under this paragraph;
bb
the blocks comprising the frequencies to be assigned to other winning bidders that included 2.6 GHz paired frequency lots in their winning principal stage bids; and
cc
the block comprising the frequencies to be assigned to winning bidders that included a 2.6 GHz concurrent low power 10 MHz lot in their winning principal stage bids;
iv
the blocks of numbered 2.6 GHz paired frequency lots referred to in sub-paragraph (iii) would, taken together, form a single block of numbered 2.6 GHz paired frequency lots; and
v
2.6 GHz paired frequency lot 1 would be included in that single block of numbered 2.6 GHz paired frequency lots.
Assignment stage options for 2.6 GHz individual frequency lots
92
The assignment stage options for a bidder eligible to bid under regulation 88(1)(c) , in respect of the 2.6 GHz individual frequency lots included in its winning principal stage bid, shall be those blocks of numbered 2.6 GHz individual frequency lots which satisfy the following conditions —
a
the number of 2.6 GHz individual frequency lots contained in the block is equal to the number of such lots included in the bidder’s winning principal stage bid; and
b
if that bidder were assigned the frequencies corresponding to that block the following conditions would be satisfied —
i
each other winning bidder that included 2.6 GHz individual frequency lots in its winning principal stage bid could be assigned frequencies corresponding to a block of numbered 2.6 GHz individual frequency lots that, in respect of that bidder’s winning principal stage bid, satisfies the condition in sub-paragraph (a) ;
ii
no numbered 2.6 GHz individual frequency lot would be included in more than one of the following blocks of numbered 2.6 GHz individual frequency lots —
aa
the block that is the assignment stage option; and
bb
the blocks comprising the frequencies to be assigned to other winning bidders that included 2.6 GHz individual frequency lots in their winning principal stage bids;
iii
those blocks of numbered 2.6 GHz individual frequency lots would, taken together, form a single block of numbered 2.6 GHz individual frequency lots; and
iv
2.6 GHz individual frequency lot 9 would be included in that single block of numbered 2.6 GHz individual frequency lots.
CHAPTER 13
Assignment stage: procedure for assignment stage round
Assignment stage bids
93
1
In order to make an assignment stage bid for an assignment stage option, a bidder must, on a form provided to the bidder by OFCOM (“assignment stage bid form”), specify an amount in whole pounds that it is willing to pay, in addition to the base price for that bidder’s winning principal stage bid determined under regulation 68 , for a licence that authorises the use of the frequencies corresponding to —
a
the block of numbered 800 MHz paired frequency lots,
b
the block of numbered 2.6 GHz paired frequency lots, or
c
the block of numbered 2.6 GHz individual frequency lots,
that is the assignment stage option.
2
A bidder may submit no more than one assignment stage bid for each assignment stage option.
3
A bidder is not required to submit an assignment stage bid.
4
A bidder must submit all of its assignment stage bids on the same assignment stage bid form.
Assignment stage bid deposit
94
1
Each bidder that makes an assignment stage bid must, by a deadline specified by OFCOM (which shall be after the end of the assignment stage round), pay into OFCOM’s bank account by a same day electronic transfer, with accompanying information which identifies the bidder, a further sum in pounds as a deposit so that the total amount the bidder has on deposit is an amount that is not less than the amount (“ d ”) calculated in accordance with the formula set out in paragraph (2) .
2
The formula is —
d = b +
a
1
+
a
2
+
a
3
where —
“ b ” is the amount of the base price of the bidder’s winning principal stage bid (determined in accordance with regulation 68 );
“a 1 ” is the amount of the highest assignment stage bid made by the bidder for an assignment stage option in relation to numbered 800 MHz paired frequency lots;
“a 2 ” is the amount of the highest assignment stage bid made by the bidder for an assignment stage option in relation to numbered 2.6 GHz paired frequency lots;
“a 3 ” is the amount of the highest assignment stage bid made by the bidder for an assignment stage option in relation to numbered 2.6 GHz individual frequency lots.
Valid assignment stage bids
95
1
An assignment stage bid is a valid assignment stage bid if —
a
the bidder complies with regulations 88(6) , 93 and 97 in respect of that assignment stage bid; and
b
the bidder has paid the full sum required under regulation 94(1) by the deadline.
Notice to bidders before the assignment stage round
96
Before the start of the assignment stage round, OFCOM shall notify each bidder that may make an assignment stage bid in the assignment stage round of —
a
the assignment stage options that are available to that bidder as determined in accordance with regulation 89 ;
b
the date on which, and the times on that date within which, the assignment stage round will take place.
Submission of assignment stage bid form to OFCOM
97
1
A bidder must submit the completed assignment stage bid form to OFCOM by using the electronic auction system, except as provided for in regulation 98 .
2
The completed assignment stage bid form must be received by OFCOM by the time notified to bidders under regulation 96(b) as the end of the assignment stage round, except as provided for in regulation 99 .
Alternative method for submission of assignment stage bid form
98
1
Where OFCOM are satisfied that a bidder is unable to submit an assignment stage bid form by using the electronic auction system because of technical failure (or an event or circumstance with similar effect on the bidder’s ability to use the electronic auction system), OFCOM shall notify the bidder of an alternative method of submitting the assignment stage bid form and any requirements relating to the authentication of communications made by means of the alternative method.
2
The bidder must submit the assignment stage bid form by means of the alternative method and must comply with any requirements which have been notified to it under paragraph (1) relating to the authentication of communications.
Extension to assignment stage round
99
1
Where —
a
OFCOM have not received a completed assignment stage bid form from a bidder by the time notified to bidders under regulation 96(b) as the end of the assignment stage round, and
b
paragraph (2) applies,
the time by which the bidder’s completed assignment stage bid form must be received by OFCOM shall be the time sixty minutes after the time notified to bidders under regulation 96(b) as the end of the assignment stage round.
2
This paragraph applies where OFCOM are satisfied that circumstances existed which were beyond the bidder’s control which had the effect that the bidder could not submit its assignment stage bid form so that it was received by OFCOM on time.
Incomplete or defective assignment stage bid form
100
1
Where, due to the manner of completion, an assignment stage bid form is incomplete or defective but OFCOM believe that they can ascertain the bidder’s intention in relation to the making of assignment stage bids, OFCOM shall ask the bidder to confirm in a notice to OFCOM by a deadline specified by OFCOM that OFCOM have correctly ascertained the bidder’s intention in relation to the making of assignment stage bids.
2
Where the bidder confirms in a notice given to OFCOM by the deadline which is signed by two authorised persons that OFCOM have correctly ascertained the bidder’s intention, the assignment stage bid form in its entirety shall be accepted by OFCOM on that basis.
3
Where the bidder does not give such confirmation —
a
where the incompleteness or defect relates to one or more of the assignment stage bids made on the assignment stage bid form, that assignment stage bid or those assignment stage bids (as the case may be) shall not be valid, and regulation 102 shall apply;
b
in all other cases, the assignment stage bid form in its entirety shall be rejected by OFCOM and none of the assignment stage bids made on that assignment stage bid form shall be valid, and regulation 102 shall apply.
Notification that assignment stage bid is not valid
101
Where a bidder submits an assignment stage bid that is not a valid assignment stage bid, OFCOM shall, after the end of the assignment stage round, notify the bidder of that fact and shall give the reasons why the bid is not a valid assignment stage bid.
Procedure where there is no valid assignment stage bid
102
If a bidder does not make a valid assignment stage bid for an assignment stage option, the bidder shall be deemed to have made a valid assignment stage bid of zero pounds for that option.
CHAPTER 14
Assignment stage: determination of winning assignment stage bids and additional prices
Determination of the winning assignment stage bids for numbered 800 MHz paired frequency lots
103
1
The winning assignment stage bids for numbered 800 MHz paired frequency lots shall be those valid assignment stage bids that comprise the winning combination of assignment stage bids for numbered 800 MHz paired frequency lots.
2
The winning combination of assignment stage bids for numbered 800 MHz paired frequency lots shall be the valid combination of assignment stage bids for numbered 800 MHz paired frequency lots having the highest total value of amounts bid.
3
A combination of valid assignment stage bids is a valid combination of assignment stage bids for numbered 800 MHz paired frequency lots if —
a
within that combination there is one valid assignment stage bid from each winning bidder eligible to bid under regulation 88(1)(a) ;
b
each of those valid assignment stage bids is for a block of numbered 800 MHz paired frequency lots;
c
no numbered 800 MHz paired frequency lot is included in more than one of those blocks;
d
the blocks of numbered 800 MHz paired frequency lots included in those valid assignment stage bids and the numbered 800 MHz paired frequency lots comprising the frequencies assigned under regulation 74 (if any have been so assigned), taken together, form a single block of numbered 800 MHz paired frequency lots; and
e
that single block of numbered 800 MHz paired frequency lots includes 800 MHz paired frequency lot 4.
4
Where there is more than one valid combination of assignment stage bids for numbered 800 MHz paired frequency lots for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of assignment stage bids to determine the winning combination of assignment stage bids for numbered 800 MHz paired frequency lots.
Determination of the winning assignment stage bids for numbered 2.6 GHz paired frequency lots
104
1
The winning assignment stage bids for numbered 2.6 GHz paired frequency lots shall be those valid assignment stage bids that comprise the winning combination of assignment stage bids for numbered 2.6 GHz paired frequency lots.
2
The winning combination of assignment stage bids for numbered 2.6 GHz paired frequency lots shall be the valid combination of assignment stage bids for numbered 2.6 GHz paired frequency lots having the highest total value of amounts bid.
3
A combination of valid assignment stage bids is a valid combination of assignment stage bids for numbered 2.6 GHz paired frequency lots if —
a
the conditions in paragraph (4) are satisfied in relation to that combination; and
b
the additional conditions in paragraph (5) , the additional conditions in paragraph (6) or the additional conditions in paragraph (7) are satisfied in relation to that combination.
4
The conditions are that —
a
within the combination there is one valid assignment stage bid from each winning bidder eligible to bid under regulation 88(1)(b) ;
b
each of those valid assignment stage bids is for a block of numbered 2.6 GHz paired frequency lots; and
c
no numbered 2.6 GHz paired frequency lot is included in more than one of those blocks.
5
Where no winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot and at least one winning principal stage bid included a 2.6 GHz concurrent low power 10 MHz lot, the additional conditions are that —
a
the winning bidders that included a 2.6 GHz concurrent low power 10 MHz lot in their winning principal stage bids could, collectively, be assigned frequencies corresponding to a single block of numbered 2.6 GHz paired frequency lots meeting the requirements of regulation 91(2)(b)(ii) that does not include any of the numbered 2.6 GHz paired frequency lots that are within the blocks included in the valid assignment stage bids in the combination;
b
the blocks of numbered 2.6 GHz paired frequency lots included in the valid assignment stage bids in the combination and the block of numbered 2.6 GHz paired frequency lots meeting the requirements of (a) , taken together, form a single block of numbered 2.6 GHz paired frequency lots; and
c
that single block of numbered 2.6 GHz paired frequency lots includes 2.6 GHz paired frequency lot 1.
6
Where at least one winning principal stage bid included a 2.6 GHz concurrent low power 20 MHz lot, the additional conditions are that —
a
the winning bidders that included a 2.6 GHz concurrent low power 20 MHz lot in their winning principal stage bids could, collectively, be assigned frequencies corresponding to a single block of numbered 2.6 GHz paired frequency lots meeting the requirements of regulation 91(3)(b)(ii) that does not include any of the numbered 2.6 GHz paired frequency lots that are within the blocks included in the valid assignment stage bids in the combination;
b
the blocks of numbered 2.6 GHz paired frequency lots included in valid assignment stage bids in the combination and the block of numbered 2.6 GHz paired frequency lots meeting the requirements of (a) , taken together, form a single block of numbered 2.6 GHz paired frequency lots; and
c
that single block of numbered 2.6 GHz paired frequency lots includes 2.6 GHz paired frequency lot 1.
7
Where neither paragraph (5) nor paragraph (6) applies, the additional conditions are that —
a
the blocks of numbered 2.6 GHz paired frequency lots included in the valid assignment stage bids in the combination, taken together, form a single block of numbered 2.6 GHz paired frequency lots; and
b
that single block of numbered 2.6 GHz paired frequency lots includes 2.6 GHz paired frequency lot 1.
8
Where there is more than one valid combination of assignment stage bids for numbered 2.6 GHz paired frequency lots for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of assignment stage bids to determine the winning combination of assignment stage bids for numbered 2.6 GHz paired frequency lots.
Determination of the winning assignment stage bids for numbered 2.6 GHz individual frequency lots
105
1
The winning assignment stage bids for numbered 2.6 GHz individual frequency lots shall be those valid assignment stage bids that comprise the winning combination of assignment stage bids for numbered 2.6 GHz individual frequency lots.
2
The winning combination of assignment stage bids for numbered 2.6 GHz individual frequency lots shall be the valid combination of assignment stage bids for numbered 2.6 GHz individual frequency lots having the highest total value of amounts bid.
3
A combination of valid assignment stage bids is a valid combination of assignment stage bids for numbered 2.6 GHz individual frequency lots if —
a
within that combination there is one valid assignment stage bid from each winning bidder eligible to bid under regulation 88(1)(c) ;
b
each of those valid assignment stage bids is for a block of numbered 2.6 GHz individual frequency lots;
c
no numbered 2.6 GHz individual frequency lot is included in more than one of those blocks;
d
the blocks of numbered 2.6 GHz individual frequency lots included in those valid assignment stage bids, taken together, form a single block of numbered 2.6 GHz individual frequency lots; and
e
that single block of numbered 2.6 GHz individual frequency lots includes 2.6 GHz individual frequency lot 9.
4
Where there is more than one valid combination of assignment stage bids for numbered 2.6 GHz individual frequency lots for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of assignment stage bids to determine the winning combination of assignment stage bids for numbered 2.6 GHz individual frequency lots.
Determination of additional prices for winning assignment stage bids
106
1
In respect of each winning assignment stage bid, OFCOM shall determine an amount in whole pounds (“additional price”) which shall be payable by the relevant winning bidder.
2
The additional price for each winning assignment stage bid for numbered 800 MHz paired frequency lots shall be determined in accordance with Schedule 8.
3
The additional price for each winning assignment stage bid for numbered 2.6 GHz paired frequency lots shall be determined in accordance with Schedule 9.
4
The additional price for each winning assignment stage bid for numbered 2.6 GHz individual frequency lots shall be determined in accordance with Schedule 10.
Notification of results of assignment stage
107
Following the determination of the winning assignment stage bids, and the determination of the additional price for each winning assignment stage bid, OFCOM shall notify each winning bidder of —
a
the assignment stage options for which the bidder made winning assignment stage bids;
b
the additional price for each winning assignment stage bid made by the bidder.
CHAPTER 15
Grant Stage
Determination of the licence fee
108
The licence fee payable by a winning bidder shall be an amount equal to the total of —
a
the base price determined by OFCOM under regulation 68 ; and
b
the additional price for each winning assignment stage bid made by the bidder determined by OFCOM under regulation 106 .
Procedure where the amount of a winning bidder’s deposit is less than the licence fee
109
1
Where, after completion of the assignment stage, the total amount a winning bidder has on deposit at that time is an amount that is less than the amount of the winning bidder’s licence fee calculated in accordance with regulation 108 , the bidder must by a deadline specified by OFCOM pay into OFCOM’s bank account by a same day electronic transfer, with accompanying information which identifies the bidder, a sum in pounds calculated in accordance with paragraph (2) .
2
The sum which the bidder must pay to OFCOM shall be the difference between the amount of the winning bidder’s licence fee calculated in accordance with regulation 108 and the amount the bidder has on deposit.
3
Where a bidder has paid such sum by the deadline, OFCOM shall grant the bidder a licence authorising the use of —
a
the frequencies that were assigned to the bidder under Chapter 11 of this Part; and
b
the frequencies corresponding to the assignment stage options for which the bidder made winning assignment stage bids.
4
Where a bidder has not paid such sum by the deadline, the bidder shall not be entitled to the grant of a licence under these Regulations and shall not receive a refund of any sum which the bidder has paid as a deposit under the Regulations which shall (where not already forfeited) be forfeited, together with any interest which has accrued on the deposit.
Procedure where the amount of a winning bidder’s deposit is greater than or equal to the licence fee
110
1
Where, after completion of the assignment stage, the total amount a winning bidder has on deposit at that time is an amount that is greater than or equal to the amount of the winning bidder’s licence fee calculated in accordance with regulation 108 , OFCOM shall —
a
grant the winning bidder a licence authorising the use of —
i
the frequencies that were assigned to the bidder under Chapter 11 of this Part; and
ii
the frequencies corresponding to the assignment stage options for which the bidder made winning assignment stage bids; and
b
refund to the winning bidder a sum in pounds calculated in accordance with paragraph (2) .
2
The sum which OFCOM shall refund to a winning bidder shall be the difference (if any) between the amount the winning bidder has on deposit and the amount of the winning bidder’s licence fee calculated in accordance with regulation 108 .
Completion of the award process
111
After the grant of licences, OFCOM shall complete the award process by publishing on their internet website —
a
details of all valid principal stage bids and all valid assignment stage bids made by each bidder;
b
the names of the persons to whom licences were granted, and —
i
details of the frequencies in respect of which the licences were granted; and
ii
details of the licence fees paid;
c
the names of any persons who did not meet the requirements of regulation 109(1) including —
i
details of the frequencies in respect of which licences would have been granted; and
ii
details of the licence fees which would have been payable for those licences had they been granted.
PART 5 ACTIVITY RULES
Forfeit of deposit and exclusion from award process
112
If, in relation to an applicant which is qualified to bid or a bidder, OFCOM are satisfied that any of the events set out in regulation 114 are occurring (or have occurred) and that the occurrence would materially affect the outcome of the award process —
a
any sum paid as a deposit under these Regulations shall be forfeited (together with any interest which has accrued on the deposit) by, and not refunded to, the applicant or bidder concerned; and
b
that applicant or bidder may also be excluded from the award process by OFCOM giving that applicant or bidder notice in writing.
Bids made by an excluded bidder
113
1
Where a bidder is excluded from the award process under regulation 112 during the principal stage, all of the principal stage bids submitted by the bidder shall be deemed to be invalid and shall not be taken into consideration for the purposes of determining —
a
the winning principal stage bids under regulation 67 ;
b
the base price payable by a winning bidder under regulation 68 .
2
Where a bidder is excluded from the award process under regulation 112 during the assignment stage, all of the assignment stage bids submitted by the bidder (including any bids which the bidder is deemed to have submitted under regulation 102 ) shall be deemed to be invalid and shall not be taken into consideration for the purposes of determining —
a
the winning assignment stage bids under regulation 103 , 104 or 105 ;
b
the additional price payable by a winning bidder under regulation 106 .
Events
114
1
The events referred to in regulation 112 , are the events in paragraph (2) and the events in paragraph (3).
2
Events in relation to an applicant or a bidder are —
a
the submission to OFCOM of any information in connection with the award process which is false or misleading;
b
any member of that applicant’s or bidder’s bidder group colluding or attempting to collude with another person to distort the outcome of the award process;
c
any member of that applicant’s or bidder’s bidder group acting in a way which is likely to distort the outcome of the award process;
d
any member of that applicant’s or bidder’s bidder group, or any person to whom confidential information has been disclosed, disclosing, or attempting to disclose, or inciting another person to disclose, any confidential information, whether directly or indirectly, to any person, except where the disclosure is —
i
to OFCOM;
ii
to a member of that applicant’s or bidder’s bidder group;
iii
to a provider of finance for the purpose of raising finance for a bid; or
iv
to a person for the purpose of enabling that person to decide whether to participate as a member of the applicant’s or bidder’s bidder group;
e
any member of that applicant’s or bidder’s bidder group obtaining or attempting to obtain confidential information relating to another applicant or bidder;
f
any member of that applicant’s or bidder’s bidder group receiving or attempting to receive services in relation to the award process from any person who has provided or is providing services to OFCOM in relation to the award process;
g
any person who is a member or a director or employee of a member of that applicant’s or bidder’s bidder group and also a director or employee of a member of another bidder group is —
i
taking part in the preparation of both bidder groups for participation in the award process; or
ii
receiving confidential information relating to both bidder groups;
h
a member of that applicant’s or bidder’s bidder group is or becomes a member of another applicant’s or bidder’s bidder group; and
i
a change occurring in the membership of that applicant’s or bidder’s bidder group from that notified to OFCOM in its application except as a result of —
i
a person ceasing to be a member of that bidder group;
ii
a person joining that bidder group under the procedure in regulation 7(3) ; or
iii
a person becoming an associate through merger or acquisition activity provided that such activity is not for a purpose related to the award process.
3
The events in relation to a bidder (but not an applicant) are —
a
a change, after OFCOM has recorded that bidder’s spectrum holdings under regulation 16, to the existing spectrum holdings of a bidder or, in relation to the bidder, any person referred to in regulation 4(3)(a)(iii) except insofar as the change is a divestment of a part of or the whole of the existing spectrum holdings; and
b
any person which has existing spectrum holdings which was not at the time OFCOM recorded the bidder’s spectrum holdings under regulation 16 a person referred to in regulation 4(3)(a)(iii) becoming such a person during the award process.
PART 6 MISCELLANEOUS
General power of exclusion
115
OFCOM may, at any time, notify any applicant or bidder of its exclusion from the award process, if required to do so by any direction given by the Secretary of State to OFCOM under section 5 of the Communications Act 2003 or if, after OFCOM’s determination under regulation 9(1) (and notwithstanding that determination), in their opinion the applicant or bidder is not a fit and proper person to hold a licence.
Notification to OFCOM
116
If, in accordance with any provision of these Regulations, an applicant or bidder is required, or wishes, to notify OFCOM of any fact or circumstance, it must do so by notice in writing which is marked for the attention of the OFCOM personnel who are specified by OFCOM for that purpose on OFCOM’s internet website and must deliver that notice to OFCOM —
a
by electronic mail to an electronic mail address dedicated to the award process which is published by OFCOM on their internet website;
b
by personal delivery to Riverside House, 2a Southwark Bridge Road, London, SE1 9HA; or
c
by fax to a number dedicated to the award process which is published by OFCOM on their internet website.
Changes to timing or location
117
1
Subject to regulations 118 and 119 , paragraph (2) applies where OFCOM determine that it is impracticable for any reason —
a
for any document which is to be delivered to OFCOM under these Regulations to be delivered at the place specified or by the deadline specified under these Regulations; or
b
for any action which is required to be undertaken in accordance with these Regulations to be completed by the deadline specified.
2
Where this paragraph applies, OFCOM shall take reasonable steps to notify applicants or bidders that —
a
delivery must be made on a different day or within different times on that day or at a different place;
b
the action must be completed on a different day or by a different deadline.
Changes to round times and use of electronic auction system
118
1
Where a time for the start of a round has been notified to bidders and OFCOM determine that it is impracticable for any reason to start the round at that time, OFCOM shall take reasonable steps to notify bidders of a revised time for the start of the round.
2
Where a time for the end of a round has been notified to bidders and OFCOM determine that it is impracticable for any reason for the round to end at that time, OFCOM shall take reasonable steps to notify bidders of a revised time for the end of the round.
3
Where OFCOM determine that it is impracticable for any reason to use the electronic auction system for any of the purposes specified in Part 4 of these Regulations, OFCOM shall take reasonable steps to notify bidders of an alternative method of participating in the award process and any requirements relating to the authentication of communications made by means of the alternative method.
4
Bidders must use the alternative method of participating in the award process in accordance with a notification under paragraph (3) .
Rerunning rounds
119
1
Paragraph (2) applies where a round is in progress and OFCOM determine that it is not possible to continue the round because of technical failure (or an event or circumstance with similar effect on the continuation of the round).
2
Where this paragraph applies, OFCOM shall —
a
take reasonable steps to notify bidders of its determination under paragraph (1) ;
b
disregard the bids made in that round; and
c
resume the award process from the end of the previous round (or, if there was no previous round, from the start of the opt-in round).
3
Paragraph (4) applies where OFCOM determine that it is not possible to continue the award process in accordance with the provisions of Part 4 of these Regulations because of technical failure (or an event or circumstance with similar effect on the continuation of the award process).
4
Where this paragraph applies, OFCOM shall —
a
determine the rounds for which bids made in those rounds should be disregarded in order to have a fair and efficient outcome to the award process;
b
take reasonable steps to notify bidders of its determinations under paragraph (3) and sub-paragraph (a) ; and
c
resume the award process from the end of the latest round for which bids are not disregarded under sub-paragraph (a) , or, where all bids are to be disregarded under that sub-paragraph, to rerun the award process from the start of the opt-in round.
Refunds
120
OFCOM may, in such cases as they think fit, refund, in whole or in part, sums which have been paid to them in accordance with any provision of these Regulations.
Deposits
121
In determining under these Regulations the amount that an applicant or bidder has on deposit OFCOM shall disregard any sum forfeited under these Regulations and any interest which may have accrued on any deposit.
Ed Richards
Chief Executive of the Office of Communications
For and by the authority of the Office of Communications
9th November 2012
SCHEDULE 1
FREQUENCY LOTS
Regulation 2(3) and (4)
In these Regulations —
a
“800 MHz paired frequency lot” means any one of the four numbered 800 MHz paired frequency lots listed in Column (1) of Table 1 comprising the frequencies listed in the corresponding entry in Column (2) of the same table;
b
“2.6 GHz paired frequency lot” means any one of the fourteen numbered 2.6 GHz paired frequency lots listed in Column (1) of Table 2 comprising the frequencies listed in the corresponding entry in Column (2) of the same table;
c
“2.6 GHz individual frequency lot” means any one of the nine numbered 2.6 GHz individual frequency lots listed in Column (1) of Table 3 comprising the frequencies listed in the corresponding entry in Column (2) of the same table;
d
“800 MHz coverage obligation lot” means the frequencies 811-821 MHz and 852-862 MHz;
e
“2.6 GHz concurrent low power 10 MHz lot” means the frequencies corresponding to any two sequentially numbered 2.6 GHz paired frequency lots, available in this award process for low power use by up to ten licensees concurrently;
f
“2.6 GHz concurrent low power 20 MHz lot” means the frequencies corresponding to any four sequentially numbered 2.6 GHz paired frequency lots, available in this award process for low power use by up to ten licensees concurrently;
g
“lot” means any lot which falls within one of the different types of lots in paragraphs (a) to (f);
h
a reference to “type of lot” shall be construed as a reference to any one of the different types of lot in paragraphs (a) to (f);
i
a reference to a numbered 800 MHz paired frequency lot, a numbered 2.6 GHz paired frequency lot or a numbered 2.6 GHz individual frequency lot means the lot with that number in Column 1 of Table 1, Table 2 or Table 3 (as the case may be); and
j
a reference to a “block” of numbered 800 MHz paired frequency lots, numbered 2.6 GHz paired frequency lots or numbered 2.6 GHz individual frequency lots is to be construed as a reference to a block of sequentially numbered lots.
Table 1
Column (1)
800 MHz paired frequency lots
Column (2)
Frequencies (MHz)
800 MHz paired frequency lot 1 791-796 and 832-837 800 MHz paired frequency lot 2 796-801 and 837-842 800 MHz paired frequency lot 3 801-806 and 842-847 800 MHz paired frequency lot 4 806-811 and 847-852
Table 2
Column (1)
2.6 GHz paired frequency lots
Column (2)
Frequencies (MHz)
2.6 GHz paired frequency lot 1 2500-2505 and 2620-2625 2.6 GHz paired frequency lot 2 2505-2510 and 2625-2630 2.6 GHz paired frequency lot 3 2510-2515 and 2630-2635 2.6 GHz paired frequency lot 4 2515-2520 and 2635-2640 2.6 GHz paired frequency lot 5 2520-2525 and 2640-2645 2.6 GHz paired frequency lot 6 2525-2530 and 2645-2650 2.6 GHz paired frequency lot 7 2530-2535 and 2650-2655 2.6 GHz paired frequency lot 8 2535-2540 and 2655-2660 2.6 GHz paired frequency lot 9 2540-2545 and 2660-2665 2.6 GHz paired frequency lot 10 2545-2550 and 2665-2670 2.6 GHz paired frequency lot 11 2550-2555 and 2570-2675 2.6 GHz paired frequency lot 12 2555-2560 and 2675-2680 2.6 GHz paired frequency lot 13 2560-2565 and 2680-2685 2.6 GHz paired frequency lot 14 2565-2570 and 2685-2690
Table 3
Column (1)
2.6 GHz individual frequency lots
Column (2)
Frequencies (MHz)
2.6 GHz individual frequency lot 1 2570-2575 2.6 GHz individual frequency lot 2 2575-2580 2.6 GHz individual frequency lot 3 2580-2585 2.6 GHz individual frequency lot 4 2585-2590 2.6 GHz individual frequency lot 5 2590-2595 2.6 GHz individual frequency lot 6 2595-2600 2.6 GHz individual frequency lot 7 2600-2605 2.6 GHz individual frequency lot 8 2605-2610 2.6 GHz individual frequency lot 9 2610-2620
SCHEDULE 2
OPT-IN SELECTIONS AND PRICES
Regulation 19
LIST A
First opt-in selection
Lots Opt-in price for first opt-in selection
Three 800 MHz paired frequency lots Six hundred and seventy five million pounds (£675,000,000)
Second opt-in selection
Lots Opt-in price for second opt-in selection
Two 800 MHz paired frequency lots; and
Two 2.6 GHz paired frequency lots
Four hundred and eighty million pounds (£480,000,000)
LIST B
First opt-in selection
Lots Opt-in price for first opt-in selection
Three 800 MHz paired frequency lots Six hundred and seventy five million pounds (£675,000,000)
Second opt-in selection
Lots Opt-in price for second opt-in selection
Two 800 MHz paired frequency lots; and
Two 2.6 GHz paired frequency lots
Four hundred and eighty million pounds (£480,000,000)
Third opt-in selection
Lots Opt-in price for third opt-in selection
One 800 MHz paired frequency lot; and
The 800 MHz coverage obligation lot
Four hundred and seventy five million pounds (£475,000,000)
Fourth opt-in selection
Lots Opt-in price for fourth opt-in selection
The 800 MHz coverage obligation lot; and
Two 2.6 GHz paired frequency lots
Two hundred and eighty million pounds (£280,000,000)
LIST C
First opt-in selection
Lots Opt-in price for first opt-in selection
One 800 MHz paired frequency lot Two hundred and twenty five million pounds (£225,000,000)
Second opt-in selection
Lots Opt-in price for second opt-in selection
Four 2.6 GHz paired frequency lots Sixty million pounds (£60,000,000)
LIST D
First opt-in selection
Lots Opt-in price for first opt-in selection
One 800 MHz paired frequency lot Two hundred and twenty five million pounds (£225,000,000)
Second opt-in selection
Lots Opt-in price for second opt-in selection
Four 2.6 GHz paired frequency lots Sixty million pounds (£60,000,000)
Third opt-in selection
Lots Opt-in price for third opt-in selection
The 800 MHz coverage obligation lot Two hundred and fifty million pounds (£250,000,000)
SCHEDULE 3
FREQUENCY BANDS FOR EXISTING SPECTRUM HOLDINGS AND SPECTRUM CAP RULE
Regulation 4(6)(a) and 24
List A
Frequency bands
791 to 821 MHz
832 to 862 MHz
880.1 to 914.9 MHz
925.1 to 959.9 MHz
1710.1 to 1781.7 MHz
1805.1 to 1876.7 MHz
1920.0 to 1979.7 MHz
2110.3 to 2169.7 MHz
2500 to 2570 MHz
2570 to 2615 MHz
2620 to 2690 MHz
List B
Frequency bands
791 to 821 MHz
832 to 862 MHz
880.1 to 914.9 MHz
925.1 to 959.9 MHz
SCHEDULE 4
APPLICATION FORM AND WARRANTY
Regulation 4(3)(a)(i)
1. Details of the applicant
Provide the following details for the applicant —
Applicant’s full name
Registered number of company
Registered office of company
Bank sort code and account number
Name of individual contact within applicant
Contact address (if different from registered office)
Contact telephone number
Contact mobile telephone number
Contact fax number
Contact electronic mail address
2. Authorised persons
Provide details of the name and position in the applicant of at least three and no more than five persons, each of whom has authority to bind the applicant for all purposes relating to the award process. Also provide a specimen signature of each of these persons.
3. Directors or members of managing body
Provide the name and job title of each of the directors of the applicant or each of the members of the managing body of the applicant.
4. Applicant group
Provide the names of all other members of the applicant group (as defined in the Regulations) in respect of which the applicant has completed a document in the form set out in Schedule 5 to the Regulations in accordance with regulation 4(3)(a)(ii) of the Regulations.
5. Qualification to bid
In relation to the determination by the Office of Communications (“OFCOM”) under regulation 9 of the Regulations —
a
provide details of any reason why the applicant may not be a fit and proper person to hold a licence;
b
state whether any member of the applicant’s applicant group has colluded, or attempted to collude, or is colluding or attempting to collude, with another person to distort the outcome of the award process and provide a description of any such collusion;
c
state whether any member of the applicant’s applicant group has acted or is acting in a way which is likely to distort the outcome of the award process and provide a description of any such actions;
d
state whether any member of the applicant’s applicant group, or any person to whom confidential information has been disclosed, has disclosed confidential information, whether directly or indirectly, to any person, and provide a description of the circumstances of any disclosure and the information disclosed, except where the disclosure —
i
was to a member of the applicant’s applicant group; or
ii
was to OFCOM;
e
state whether any member of the applicant’s applicant group has obtained or is obtaining or attempting to obtain confidential information relating to another applicant and provide a description of any such circumstances;
f
state whether any member of the applicant’s applicant group is receiving or is attempting to receive services in relation to the award process from any person who has provided or is providing services to OFCOM in relation to the award process and provide a description of the services concerned; and
g
state whether (and provide a description of any circumstances in which) any person who is a member or a director or employee of a member of the applicant’s applicant group and also a director or employee of a member of another applicant group is —
i
taking part in the preparation of both applicant groups for participation in the award process; or
ii
receiving confidential information relating to both applicant groups.
6. Other information
Provide a brief description of the substance of —
a
agreements (if any) relating to the management of the applicant; and
b
any criminal investigations or proceedings in the United Kingdom or overseas of which the applicant is aware relating to the applicant or any member of its applicant group or its directors or officers.
7. Existing spectrum holdings
Confirm that the applicant has provided the details of existing spectrum holdings required under regulation 4(3)(a)(iii) of the Regulations.
8. Warranty
Provide the following warranty —
“[Insert name of applicant] (the “applicant”) represents and warrants to the Office of Communications that —
the persons authorised in section 2 of this application have read and understood the Regulations, the terms of the licence to be granted under the Regulations, and the Wireless Telegraphy Act 2006;
the applicant has the legal authority to participate in the award process under the Regulations and to have a licence granted to it, and has in place all necessary consents, permissions and internal approvals for this purpose;
the information provided in, or in support of, the application (including the details of existing spectrum holdings provided in accordance with regulation 4(3)(a)(iii) of the Regulations) is, to the best of the knowledge and belief of the applicant true, accurate and complete in all material respects; and
the applicant is aware of the provisions in regulations 112 and 114 of the Regulations, including the provisions about disclosure of confidential information (as defined in the Regulations) and obtaining confidential information relating to another applicant or bidder and that any such activities may lead to forfeiture of sums on deposit and exclusion from the award process.
SCHEDULE 5
DOCUMENT FOR MEMBER OF APPLICANT’S APPLICANT GROUP OR BIDDER GROUP WHO IS NOT AN ASSOCIATE
Regulation 4(3)(a)(ii)
[Insert name of applicant or bidder] (the “applicant/bidder”) wishes to include [insert name and address of person to be included in applicant or bidder group who is not an associate] as a member of the applicant/bidder’s applicant or bidder group as defined in the Wireless Telegraphy (Licence Award) Regulations 2012 (“the Regulations”) for the purpose of the award process under the Regulations.
Under regulation 10 of the Regulations an applicant shall not be qualified to bid in the award process where a member of its bidder group is also a member of another applicant’s bidder group. Regulations 112 and 114 contain provisions on disclosure of confidential information (as defined in the Regulations) and obtaining confidential information relating to another applicant or bidder. Under the Regulations such activities may lead to forfeiture of sums on deposit and exclusion from the award process.
1. Applicant/bidder
In relation to regulations 10, 112 and 114 of the Regulations, the applicant/bidder represents and warrants to the Office of Communications (“OFCOM”) that so far as it is aware, having made all reasonable enquiries, [insert name of person to be included in applicant or bidder group who is not an associate] is not a member of any other applicant’s or bidder’s applicant or bidder group.
The applicant/bidder undertakes to inform OFCOM immediately if it becomes aware that [insert name of person to be included in applicant or bidder group who is not an associate] —
a
has ever been or becomes a member of any other applicant’s or bidder’s applicant or bidder group;
b
has ever been or becomes a subsidiary of a member of any other applicant’s or bidder’s applicant or bidder group during the award process; or
c
has ever obtained or ever obtains confidential information (as defined in the Regulations) relating to another applicant or bidder.
2. [Insert name of person to be included in applicant or bidder group who is not an associate]
[Insert name of person to be included in applicant or bidder group who is not an associate] represents and warrants to OFCOM that it —
a
consents to be a member of the applicant/bidder’s applicant or bidder group;
b
is not a member of any other applicant’s or bidder’s applicant or bidder group; and
c
is aware of the provisions in regulations 112 and 114 of the Regulations about disclosure of confidential information (as defined in the Regulations) and obtaining confidential information relating to another applicant or bidder.
[Insert name of person to be included in bidder applicant or group who is not an associate] undertakes to OFCOM that it will immediately inform OFCOM and the applicant/bidder —
a
if it has ever been or becomes a member of any other applicant’s or bidder’s applicant or bidder group;
b
if it has ever been or becomes a subsidiary of a member of any other applicant’s or bidder’s applicant or bidder group during the award process; or
c
if it has ever obtained or if it ever obtains confidential information (as defined in the Regulations) relating to another applicant or bidder.
SCHEDULE 6
ELIGIBILITY POINTS ASSOCIATED WITH LOTS
Regulation 2(5)
The number of eligibility points associated with a lot of a type mentioned in an entry in Column (1) of the table is the number of points shown in the corresponding entry in Column (2).
The number of eligibility points associated with a selection of 2.6 GHz individual frequency lots shall be n – 1, where n is the number of lots selected.
Column (1)
Type of lot
Column (2)
Number of eligibility points
800 MHz paired frequency lot
2.6 GHz paired frequency lot
800 MHz coverage obligation lot
2.6 GHz concurrent low power 10 MHz lot
2.6 GHz concurrent low power 20 MHz lot
2250
150
4500
30
60
SCHEDULE 7
DETERMINATION OF BASE PRICE
Regulation 68
Base price
1
1
OFCOM shall determine a base price for each winning principal stage bid by imposition of the requirements that the base prices must satisfy that are set out in paragraphs 2 to 5.
2
Where a base price so determined is not a number of whole thousands of pounds, the base price shall be that price rounded up to the nearest number of whole thousands of pounds.
First requirement
2
The base price for each winning principal stage bid shall be —
a
no less than the total of the round prices in the first primary bid round for the lots included in the selection of lots specified in that winning principal stage bid; and
b
no greater than the amount of that winning principal stage bid.
Second requirement
3
1
Taking the base prices for the winning principal stage bids together, the base prices shall be such that if —
a
the amount bid by each winning bidder in respect of its winning principal stage bid had been the base price rather than the amount of its winning principal stage bid (“reduced winning principal stage bid”), and
b
subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid principal stage bid made by that bidder had been reduced by an amount equal to the difference between the amount of its winning principal stage bid and the base price for that winning principal stage bid,
the combination of the reduced winning principal stage bids submitted by the winning bidders would have been the valid combination of principal stage bids or one of the valid combinations of principal stage bids (as the case may be) for which the total value of the combination calculated in accordance with regulation 67(9) is the highest.
2
Where the amount of a bid has been reduced in accordance with sub-paragraph (1)(b) and is less than the total of the round prices in the first primary bid round for the lots included in the selection of lots specified in that bid, the amount of that bid shall be treated as if it were the total of the round prices in the first primary bid round for the lots included in the selection of lots specified in that bid for the purposes of this paragraph.
3
The bids mentioned in sub-paragraphs (1)(a) and (1)(b) shall, after reduction of the amount of those bids in accordance with those paragraphs, be treated as valid principal stage bids for the purposes of this paragraph.
Third requirement
4
Taking the base prices for the winning principal stage bids together, the total of those base prices shall be no greater than the total of any other prices for the winning principal stage bids that satisfy the requirements set out in paragraphs 2 and 3.
Fourth requirement
5
1
Taking the base prices for the winning principal stage bids together, the opportunity cost variance of those base prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2) , of any other prices for the winning principal stage bids that satisfy the requirements set out in paragraphs 2 to 4.
2
The opportunity cost variance (“
O C
V
B
”) of prices mentioned in sub-paragraph (1) , is the amount calculated in accordance with the formula —
O C
V
B
=
∑
(
p
B
−
c
B
)
2
where —
“
p
B
” is the price for a winning principal stage bid; and
“
c
B
” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning principal stage bid.
3
The formula is —
c
B
=
u
B
−
t
B
+
b
B
where —
“
u
B
” is the amount calculated in accordance with sub-paragraph (4);
“
t
B
” is the total value of the winning combination of bids calculated in accordance with regulation 67(9) ; and
“
b
B
” is the amount of the winning principal stage bid for which
p
B
is the price.
4
The amount calculated in accordance with this sub-paragraph is the total value of the valid combination of principal stage bids or one of the valid combinations of principal stage bids (as the case may be) for which the total value of the combination calculated in accordance with regulation 67(9) is the highest where the valid combination or combinations of principal stage bids do not include any of the primary bids or supplementary bids made by the winning bidder that submitted the winning principal stage bid for which
p
B
is the price, but may include valid opt-in bids made by that bidder (if any).
Interpretation
6
In this Schedule “valid combination of principal stage bids” shall be construed in accordance with regulation 67 .
SCHEDULE 8
DETERMINATION OF ADDITIONAL PRICE: NUMBERED 800 MHz PAIRED FREQUENCY LOTS
Regulation 106(2)
Additional price
1
1
OFCOM shall determine an additional price for each winning assignment stage bid for numbered 800 MHz paired frequency lots by imposition of the requirements that the additional prices must satisfy that are set out in paragraphs 2 to 5.
2
Where an additional price so determined includes a fraction of a pound, the additional price shall be that price rounded up to the nearest whole pound.
First requirement
2
The additional price for each winning assignment stage bid for numbered 800 MHz paired frequency lots shall be no less than zero and no more than the amount of that winning assignment stage bid.
Second requirement
3
1
Taking the additional prices for the winning assignment stage bids for numbered 800 MHz paired frequency lots together, the additional prices shall be such that if —
a
the amount bid by each winning bidder for the assignment stage option selected in its winning assignment stage bid for numbered 800 MHz paired frequency lots had been the additional price rather than the amount of its winning assignment stage bid (“800 MHz reduced winning assignment stage bid”), and
b
subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid assignment stage bid for numbered 800 MHz paired frequency lots made by that bidder had been reduced by an amount equal to the difference between the amount of its winning assignment stage bid for numbered 800 MHz paired frequency lots and the additional price for that relevant winning assignment stage bid,
the combination of the 800 MHz reduced winning assignment stage bids submitted by the winning bidders would have been the valid combination of assignment stage bids or one of the valid combinations of assignment stage bids (as the case may be) for numbered 800 MHz paired frequency lots having the highest total value of amounts bid.
2
Where the amount of a bid has been reduced in accordance with sub-paragraph (1)(b) and is less than zero, the amount of that bid shall be treated as if it were zero for the purposes of this paragraph.
3
The bids mentioned in sub-paragraphs (1)(a) and (1)(b) shall, after reduction of the amount of those bids in accordance with those paragraphs, be treated as valid assignment stage bids for the purposes of this paragraph.
Third requirement
4
Taking the additional prices for the winning assignment stage bids for numbered 800 MHz paired frequency lots together, the total of those additional prices shall be no greater than the total of any other prices for the winning assignment stage bids for numbered 800 MHz paired frequency lots that satisfy the requirements set out in paragraphs 2 and 3.
Fourth requirement
5
1
Taking the additional prices for the winning assignment stage bids for numbered 800 MHz paired frequency lots together, the opportunity cost variance of those additional prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2), of any other prices for the winning assignment stage bids for numbered 800 MHz paired frequency lots that satisfy the requirements set out in paragraphs 2 to 4.
2
The opportunity cost variance (“
O C
V
A
”) of prices mentioned in sub-paragraph (1) is the amount calculated in accordance with the formula —
O C
V
A
=
∑
(
p
A
−
c
A
)
2
where —
“
p
A
” is the price for a winning assignment stage bid; and
“
c
A
” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning assignment stage bid.
3
The formula is —
c
A
=
u
A
−
t
A
+
b
A
where —
“
u
A
” is the amount calculated in accordance with sub-paragraph (4) ;
“
t
A
” is the total amount of the winning assignment stage bids for numbered 800 MHz paired frequency lots; and
“
b
A
” is the amount of the winning assignment stage bid for which
p
A
is the price.
4
The amount calculated in accordance with this sub-paragraph is the total amount of the valid combination of assignment stage bids for numbered 800 MHz paired frequency lots or one of the valid combinations of assignment stage bids for numbered 800 MHz paired frequency lots (as the case may be) having the highest total value of amounts bid where, for each assignment stage bid for numbered 800 MHz paired frequency lots made by the winning bidder that submitted the winning assignment stage bid for which
p
A
is the price, the amount of that assignment stage bid is treated as if it were zero for the purposes of this sub-paragraph.
5
Where the amount of an assignment stage bid is treated as if it were zero in accordance with sub-paragraph (4) , that assignment stage bid shall be treated as a valid assignment stage bid for the purposes of that sub-paragraph.
Interpretation
6
In this Schedule “valid combination of assignment stage bids” shall be construed in accordance with regulation 103 .
SCHEDULE 9
DETERMINATION OF ADDITIONAL PRICE: NUMBERED 2.6 GHz PAIRED FREQUENCY LOTS
Regulation 106(3)
Additional price
1
1
OFCOM shall determine an additional price for each winning assignment stage bid for numbered 2.6 GHz paired frequency lots by imposition of the requirements that the additional prices must satisfy that are set out in paragraphs 2 to 5.
2
Where an additional price so determined includes a fraction of a pound, the additional price shall be that price rounded up to the nearest whole pound.
First requirement
2
The additional price for each winning assignment stage bid for numbered 2.6 GHz paired frequency lots shall be no less than zero and no more than the amount of that winning assignment stage bid.
Second requirement
3
1
Taking the additional prices for the winning assignment stage bids for numbered 2.6 GHz paired frequency lots together, the additional prices shall be such that if —
a
the amount bid by each winning bidder for the assignment stage option selected in its winning assignment stage bid for numbered 2.6 GHz paired frequency lots had been the additional price rather than the amount of its winning assignment stage bid (“2.6 GHz paired reduced winning assignment stage bid”), and
b
subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid assignment stage bid for numbered 2.6 GHz paired frequency lots made by that bidder had been reduced by an amount equal to the difference between the amount of its winning assignment stage bid for numbered 2.6 GHz paired frequency lots and the additional price for that relevant winning assignment stage bid,
the combination of the 2.6 GHz paired reduced winning assignment stage bids submitted by the winning bidders would have been the valid combination of assignment stage bids or one of the valid combinations of assignment stage bids (as the case may be) for numbered 2.6 GHz paired frequency lots having the highest total value of amounts bid.
2
Where the amount of a bid has been reduced in accordance with sub-paragraph (1)(b) and is less than zero, the amount of that bid shall be treated as if it were zero for the purposes of this paragraph.
3
The bids mentioned in sub-paragraphs (1)(a) and (1)(b) shall, after reduction of the amount of those bids in accordance with those paragraphs, be treated as valid assignment stage bids for the purposes of this paragraph.
Third requirement
4
Taking the additional prices for the winning assignment stage bids for numbered 2.6 GHz paired frequency lots together, the total of those additional prices shall be no greater than the total of any other prices for the winning assignment stage bids for numbered 2.6 GHz paired frequency lots that satisfy the requirements set out in paragraphs 2 and 3.
Fourth requirement
5
1
Taking the additional prices for the winning assignment stage bids for numbered 2.6 GHz paired frequency lots together, the opportunity cost variance of those additional prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2), of any other prices for the winning assignment stage bids for numbered 2.6 GHz paired frequency lots that satisfy the requirements set out in paragraphs 2 to 4.
2
The opportunity cost variance (“
O C
V
A
”) of prices mentioned in sub-paragraph (1) is the amount calculated in accordance with the formula —
O C
V
A
=
∑
(
p
A
−
c
A
)
2
where —
“
p
A
” is the price for a winning assignment stage bid; and
“
c
A
” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning assignment stage bid.
3
The formula is —
c
A
=
u
A
−
t
A
+
b
A
where —
“
u
A
” is the amount calculated in accordance with sub-paragraph (4) ;
“
t
A
” is the total amount of the winning assignment stage bids for numbered 2.6 GHz paired frequency lots; and
“
b
A
” is the amount of the winning assignment stage bid for which
p
A
is the price.
4
The amount calculated in accordance with this sub-paragraph is the total amount of the valid combination of assignment stage bids for numbered 2.6 GHz paired frequency lots or one of the valid combinations of assignment stage bids for numbered 2.6 GHz paired frequency lots (as the case may be) having the highest total value of amounts bid where, for each assignment stage bid for numbered 2.6 GHz paired frequency lots made by the winning bidder that submitted the winning assignment stage bid for which
p
A
is the price, the amount of that assignment stage bid is treated as if it were zero for the purposes of this sub-paragraph.
5
Where the amount of an assignment stage bid is treated as if it were zero in accordance with sub-paragraph (4) , that assignment stage bid shall be treated as a valid assignment stage bid for the purposes of that sub-paragraph.
Interpretation
6
In this Schedule “valid combination of assignment stage bids” shall be construed in accordance with regulation 104 .
SCHEDULE 10
DETERMINATION OF ADDITIONAL PRICE: NUMBERED 2.6 GHz INDIVIDUAL FREQUENCY LOTS
Regulation 106(4)
Additional price
1
1
OFCOM shall determine an additional price for each winning assignment stage bid for numbered 2.6 GHz individual frequency lots by imposition of the requirements that the additional prices must satisfy that are set out in paragraphs 2 to 5.
2
Where an additional price so determined includes a fraction of a pound, the additional price shall be that price rounded up to the nearest whole pound.
First requirement
2
The additional price for each winning assignment stage bid for numbered 2.6 GHz individual frequency lots shall be no less than zero and no more than the amount of that winning assignment stage bid.
Second requirement
3
1
Taking the additional prices for the winning assignment stage bids for numbered 2.6 GHz individual frequency lots together, the additional prices shall be such that if —
a
the amount bid by each winning bidder for the assignment stage option selected in its winning assignment stage bid for numbered 2.6 GHz individual frequency lots had been the additional price rather than the amount of its winning assignment stage bid (“2.6 GHz individual reduced winning assignment stage bid”), and
b
subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid assignment stage bid for numbered 2.6 GHz individual frequency lots made by that bidder had been reduced by an amount equal to the difference between the amount of its winning assignment stage bid for numbered 2.6 GHz individual frequency lots and the additional price for that relevant winning assignment stage bid,
the combination of the 2.6 GHz individual reduced winning assignment stage bids submitted by the winning bidders would have been the valid combination of assignment stage bids or one of the valid combinations of assignment stage bids (as the case may be) for numbered 2.6 GHz individual frequency lots having the highest total value of amounts bid.
2
Where the amount of a bid has been reduced in accordance with sub-paragraph (1)(b) and is less than zero, the amount of that bid shall be treated as if it were zero for the purposes of this paragraph.
3
The bids mentioned in sub-paragraphs (1)(a) and (1)(b) shall, after reduction of the amount of those bids in accordance with those paragraphs, be treated as valid assignment stage bids for the purposes of this paragraph.
Third requirement
4
Taking the additional prices for the winning assignment stage bids for numbered 2.6 GHz individual frequency lots together, the total of those additional prices shall be no greater than the total of any other prices for the winning assignment stage bids for numbered 2.6 GHz individual frequency lots that satisfy the requirements set out in paragraphs 2 and 3.
Fourth requirement
5
1
Taking the additional prices for the winning assignment stage bids for numbered 2.6 GHz individual frequency lots together, the opportunity cost variance of those additional prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2), of any other prices for the winning assignment stage bids for numbered 2.6 GHz individual frequency lots that satisfy the requirements set out in paragraphs 2 to 4.
2
The opportunity cost variance (“
O C
V
A
”) of prices mentioned in sub-paragraph (1) is the amount calculated in accordance with the formula —
O C
V
A
=
∑
(
p
A
−
c
A
)
2
where —
“
p
A
” is the price for a winning assignment stage bid; and
“
c
A
” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning assignment stage bid.
3
The formula is —
c
A
=
u
A
−
t
A
+
b
A
where —
“
u
A
” is the amount calculated in accordance with sub-paragraph (4) ;
“
t
A
” is the total amount of the winning assignment stage bids for numbered 2.6 GHz individual frequency lots; and
“
b
A
” is the amount of the winning assignment stage bid for which
p
A
is the price.
4
The amount calculated in accordance with this sub-paragraph is the total amount of the valid combination of assignment stage bids for numbered 2.6 GHz individual frequency lots or one of the valid combinations of assignment stage bids for numbered 2.6 GHz individual frequency lots (as the case may be) having the highest total value of amounts bid where, for each assignment stage bid for numbered 2.6 GHz individual frequency lots made by the winning bidder that submitted the winning assignment stage bid for which
p
A
is the price, the amount of that assignment stage bid is treated as if it were zero for the purposes of this sub-paragraph.
5
Where the amount of an assignment stage bid is treated as if it were zero in accordance with sub-paragraph (4) , that assignment stage bid shall be treated as a valid assignment stage bid for the purposes of that sub-paragraph.
Interpretation
6
In this Schedule “valid combination of assignment stage bids” shall be construed in accordance with regulation 105 . |
The Syria (European Union Financial Sanctions) Regulations 2012
The Treasury, in exercise of the powers conferred by section 2(2) of, and paragraph 1A of Schedule 2 to, the European Communities Act 1972, make the following Regulations:
PART 1 General
Citation, commencement and application
1
1
These Regulations may be cited as the Syria (European Union Financial Sanctions) Regulations 2012 and shall come into force at 3.00 p.m. on 19th January 2012.
2
An offence under these Regulations may be committed by conduct wholly or partly outside the United Kingdom by —
a
a UK national, or
b
a body incorporated or constituted under the law of any part of the United Kingdom.
3
In paragraph (2) —
“conduct” includes acts and omissions;
“UK national” means —
a British citizen,
a British overseas territories citizen who acquired their citizenship from a connection with Gibraltar, or
a British subject under Part 4 of the British Nationality Act 1981 (British subjects) with the right of abode in the United Kingdom.
Interpretation
2
1
In these Regulations —
“the 2000 Act ” means the Financial Services and Markets Act 2000 ;
“the Council Regulation ” means Council Regulation (EU) No. 36/2012 of 18 January 2012 concerning restrictive measures in view of the situation in Syria and repealing Regulation (EU) No. 442/2011, and a reference to Annex II or IIa to the Council Regulation is to be construed as a reference to that Annex as amended from time to time;
“designated person” means a person, entity or body listed in Annex II or IIa to the Council Regulation;
“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;
“relevant institution” means —
a person who has permission under Part 4 of the 2000 Act (permission to carry on regulated activities);
a EEA firm of the kind mentioned in paragraph 5(b) of Schedule 3 to the 2000 Act (EEA passport rights) which has permission under paragraph 15 of that Schedule as a result of qualifying for authorisation under paragraph 12 of that Schedule to accept deposits; or
an undertaking which by way of business operates a currency exchange office, transmits money (or any representations of monetary value) by any means or cashes cheques which are made payable to customers.
2
The definition of “relevant institution” in paragraph (1) must be read with —
a
section 22 of the 2000 Act (the classes of activity and categories of investment),
b
any relevant order under that section , and
c
Schedule 2 to that Act (regulated activities).
3
Any expression used both in these Regulations and in the Council Regulation has the meaning that it bears in the Council Regulation.
PART 2 Funds and Economic Resources
Freezing of funds and economic resources
3
1
A person (“P”) must not deal with funds or economic resources belonging to, or owned, held or controlled by, a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.
2
In paragraph (1) “deal with” means —
a
in relation to funds —
i
use, alter, move, allow access to or transfer;
ii
deal with the funds in any other way that would result in a change in volume, amount, location, ownership, possession, character or destination; or
iii
make any other change that would enable use, including portfolio management; and
b
in relation to economic resources, exchange, or use in exchange, for funds, goods or services.
3
Paragraph (1) is subject to regulations 8 and 10.
Making funds available to a designated person
4
1
A person (“P”) must not make funds available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
Paragraph (1) is subject to regulations 9 and 10.
Making funds available for the benefit of a designated person
5
1
A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
For the purposes of this regulation —
a
funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulations 9 and 10.
Making economic resources available to a designated person
6
1
A person (“P”) must not make economic resources available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect —
a
that P is making the economic resources so available, and
b
that the designated person would be likely to exchange the economic resources, or use them in exchange, for funds, goods or services.
2
Paragraph (1) is subject to regulation 10.
Making economic resources available for the benefit of a designated person
7
1
A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.
2
For the purposes of this regulation —
a
economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulation 10.
Trade contract payments
8
1
The prohibition in regulation 3 is not contravened by a person who deals with funds or economic resources belonging to, or owned, held or controlled by, an entity (“A”) listed in Annex IIa to the Council Regulation provided that —
a
A received the funds or economic resources after the date on which A was listed;
b
A uses the funds or economic resources to make a payment during the period of two months from the date on which A was listed;
c
the payment is due under a trade contract; and
d
the Treasury have determined that the payment will not directly or indirectly be received by a designated person.
2
In paragraph (1) “deals with” has the same meaning as in regulation 3(1).
Credits to a frozen account
9
1
The prohibitions in regulations 4 and 5 are not contravened by a person who credits a frozen account with —
a
interest or other earnings due on the account, or
b
payments due under contracts, agreements or obligations that were concluded or arose before the account became a frozen account.
2
The prohibitions in regulations 4 and 5 on making funds available do not prevent a relevant institution from crediting a frozen account where it receives funds transferred to the account.
3
A relevant institution must inform the Treasury without delay if it credits a frozen account in accordance with paragraph (1)(b) or (2).
4
In this regulation “frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person.
Licences
10
1
The prohibitions in regulations 3 to 7 do not apply to anything done under the authority of a licence granted by the Treasury.
2
A licence must specify the acts authorised by it and may be —
a
general or granted to a category of persons or to a particular person;
b
subject to conditions;
c
of indefinite duration or subject to an expiry date.
3
The Treasury may vary or revoke a licence at any time.
4
On the grant, variation or revocation of a licence, the Treasury must —
a
in the case of a licence granted to a particular person, give written notice of the grant, variation or revocation to that person,
b
in the case of a general licence or a licence granted to a category of persons, take such steps as the Treasury consider appropriate to publicise the grant, variation or revocation of the licence.
5
A person commits an offence who, for the purpose of obtaining a licence, knowingly or recklessly —
a
provides information that is false in a material respect, or
b
provides or produces a document that is not what it purports to be.
6
A person who purports to act under the authority of a licence but who fails to comply with any conditions included in the licence commits an offence.
PART 3 Restrictions on Financial Services
Sale or purchase of Syrian bonds
11
1
A person (“P”) must not sell or purchase Syrian public or public-guaranteed bonds issued after 19th January 2012, directly or indirectly, to or from a person, entity or body falling within paragraph (4) if P knows or has reasonable cause to suspect that the sale or purchase is to or from such a person, entity or body.
2
A person (“P”) must not provide brokering services with respect to Syrian public or public-guaranteed bonds issued after 19th January 2012 to a person, entity or body falling within paragraph (4) if P knows or has reasonable cause to believe that the services are being provided to such a person, entity or body.
3
A person (“P”) must not assist a person, entity or body falling within paragraph (4) to issue Syrian public or public-guaranteed bonds, by providing —
a
brokering services;
b
advertising; or
c
any other service with respect to such bonds,
if P knows or has reasonable cause to suspect that P is assisting such a person, entity or body.
4
The following persons, entities and bodies fall within this paragraph —
a
the State of Syria or its Government, and its public bodies, corporations and agencies;
b
a credit or financial institution domiciled in Syria, including the Central Bank of Syria;
c
a branch or subsidiary, wherever located, of a credit or financial institution domiciled in Syria;
d
a credit or financial institution that is not domiciled in Syria but is controlled by a person or entity domiciled in Syria;
e
a person, entity or body acting on behalf of or at the direction of a legal person, entity or body falling within sub-paragraph (a), (b), (c) or (d);
f
a legal person, entity or body owned or controlled by a person, entity or body falling within sub-paragraph (a), (b), (c), (d) or (e).
Credit and financial institutions: accounts and correspondent banking relationships
12
1
A credit or financial institution (“P”) must not —
a
open a new bank account,
b
establish a new correspondent banking relationship, or
c
establish a new joint venture,
with a person falling within sub-paragraph (b), (c) or (d) of regulation 11(4) if P knows or has reasonable cause to suspect that the account, relationship or venture is with such a person.
2
P must not —
a
open a new representative office in Syria, or
b
establish a new branch or subsidiary in Syria.
Agreements
13
A person (“P”) must not conclude an agreement for, or on behalf of, a person falling within sub-paragraph (b), (c) or (d) of regulation 11(4) which relates to the opening of a representative office or the establishment of a branch or subsidiary in the European Union if P knows or has reasonable cause to suspect that the agreement is for, or on behalf of, such a person.
Acquisition or extension of ownership interest
14
A person falling within sub-paragraph (b), (c) or (d) of regulation 11(4) must not acquire or extend a participation, or acquire any other ownership interest, in a credit or financial institution.
Insurance and reinsurance
15
1
A person (“P”) must not provide insurance or re-insurance to —
a
the State of Syria or its Government, or its public bodies, corporations or agencies;
b
a person, entity or body acting on behalf of or at the direction of a person, entity or body referred to in sub-paragraph (a),
if P knows or has reasonable cause to suspect that the insurance or reinsurance is being provided to such a person, entity or body.
2
The prohibition in paragraph (1) does not apply to the provision of compulsory or third party insurance to Syrian persons, entities or bodies based in the European Union or to the provision of insurance to Syrian diplomatic or consular missions in the European Union.
3
The prohibition in paragraph (1)(b) does not apply to the provision of —
a
insurance, including health and travel insurance, to individuals acting in their private capacity, or
b
re-insurance relating to insurance falling within sub-paragraph (a).
4
The prohibition in paragraph (1)(b) does not prevent the provision of insurance or re-insurance to the owner of a vessel, aircraft or vehicle which is chartered by a person, entity or body referred to in paragraph (1)(a), provided that the person, entity or body to which it is chartered is not a designated person.
5
For the purposes of paragraph (1)(b), a person, entity or body does not act at the direction of a person, entity or body referred to in paragraph (1)(a) where the direction is for the purposes of docking, loading, unloading or safe transit of a vessel or aircraft temporarily in Syrian waters or airspace.
6
The prohibition in paragraph (1) applies to the extension or renewal of an insurance or re-insurance agreement concluded before 19th January 2012 (except where there is a prior contractual obligation on the part of the insurer or re-insurer to accept an extension or renewal of a policy), but, subject to regulations 4 to 7, does not apply to compliance with an insurance or reinsurance agreement concluded before that date.
PART 4 Offences
Contravention and circumvention of prohibitions
16
1
A person who contravenes any of the prohibitions in regulations 3 to 7 and 11 to 15 commits an offence.
2
A person commits an offence who intentionally participates in activities knowing that the object or effect of them is (whether directly or indirectly) —
a
to circumvent any of the prohibitions in regulations 3 to 7 and 11 to 15, or
b
to enable or facilitate the contravention of any such prohibition.
Officers of a body corporate etc.
17
1
Where an offence under these Regulations committed by a body corporate —
a
is committed with the consent or connivance 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, or
b
is attributable to any neglect on the part of any such person,
that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
2
In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
3
Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference —
a
in the case of a partnership, to a partner;
b
in the case of an unincorporated body other than a partnership —
i
where the body’s affairs are managed by its members, to a member of the body;
ii
in any other case, to a member of the governing body.
Penalties
18
1
A person guilty of an offence under regulation 10 or 16 is liable —
a
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both;
b
on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding the statutory maximum or to both.
2
A person guilty of an offence under paragraph 1(5) or 4(1) of the Schedule is liable on summary conviction to imprisonment for a term not exceeding three months or to a fine not exceeding level 5 on the standard scale or to both.
Proceedings
19
1
Proceedings against any person for an offence under these Regulations may be taken before the appropriate court in the United Kingdom having jurisdiction in the place where that person is for the time being.
2
In England and Wales an information relating to an offence that is triable by a magistrates’ court may be so tried if it is laid —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.
3
In Scotland —
a
summary proceedings for an offence may be commenced —
i
before the end of twelve months from the date on which evidence sufficient in the Lord Advocate’s opinion to justify the proceedings came to the Lord Advocate’s knowledge, and
ii
not later than three years after the commission of the offence; and
b
section 136(3) of the Criminal Procedure (Scotland) Act 1995 (time limit for certain offences) applies for the purpose of this paragraph as it applies for the purpose of that section.
4
In Northern Ireland summary proceedings for an offence may be instituted —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify proceedings comes to the knowledge of the prosecutor.
5
For the purposes of this regulation a certificate of the prosecutor (or in Scotland, the Lord Advocate) as to the date on which such evidence as is referred to above came to their notice is conclusive evidence.
Consent to prosecution
20
1
Proceedings for an offence under these Regulations (other than a summary offence) may not be instituted —
a
in England and Wales, except by or with the consent of the Attorney General,
b
in Northern Ireland —
i
where the offence is committed wholly or partly outside Northern Ireland, except by or with the consent of the Advocate General for Northern Ireland;
ii
for all other offences, except by or with the consent of the Director for Public Prosecutions for Northern Ireland.
2
Nothing in paragraph (1) prevents —
a
the arrest of a person in respect of an offence under these Regulations, or
b
the remand in custody or on bail of any person charged with such an offence.
PART 5 Miscellaneous
Information provisions
21
The Schedule (which contains provisions concerning information gathering and disclosure) has effect.
Notices
22
1
This regulation has effect in relation to any notice to be given to a person by the Treasury under regulation 10.
2
Any such notice may be given —
a
by posting it to the person’s last known address, or
b
where the person is a body corporate, partnership or unincorporated body other than a partnership, by posting it to the registered or principal office of the body or partnership concerned.
3
Where the Treasury do not have an address for the person, they must make arrangements for the notice to be given to the person at the first available opportunity.
The Crown
23
1
These Regulations bind the Crown.
2
No contravention by the Crown of a provision of these Regulations makes the Crown criminally liable.
3
The High Court or, in Scotland, the Court of Session may, on the application of a person appearing to the court to have an interest, declare unlawful any act or omission of the Crown that constitutes a contravention of a provision of these Regulations.
4
Nothing in this regulation affects Her Majesty in her private capacity.
5
Paragraph (4) is to be read as if section 38(3) of the Crown Proceedings Act 1947 (meaning of Her Majesty in her private capacity) were contained in these Regulations.
Revocations
24
The following instruments are revoked —
a
the Syria (Asset-Freezing) Regulations 2011 , and
b
the Syria (Asset-Freezing) (Amendment) Regulations 2011 .
Saving
25
Any licence which was granted by the Treasury under regulation 9 of the Syria (Asset-Freezing) Regulations 2011 and was in effect immediately before the coming into force of these Regulations shall have effect as if it were a licence granted by the Treasury under regulation 10 of these Regulations.
Michael Fabricant
Jeremy Wright
Two of the Lords Commissioners of Her Majesty’s Treasury
At 11.00 a.m. on 11th January 2012
SCHEDULE
Information provisions
Regulation 21
Reporting obligations of relevant institutions
1
1
A relevant institution must inform the Treasury as soon as practicable if —
a
it knows, or has reasonable cause to suspect, that a person —
i
is a designated person, or
ii
has committed an offence under regulation 10 or 16, and
b
the information or other matter on which the knowledge or suspicion is based came to it in the course of carrying on its business.
2
Where a relevant institution informs the Treasury under sub-paragraph (1), it must state —
a
the information or other matter on which the knowledge or suspicion is based, and
b
any information it holds about the person by which the person can be identified.
3
Sub-paragraph (4) applies if —
a
a relevant institution informs the Treasury under sub-paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and
b
that person is a customer of the institution.
4
The relevant institution must also state the nature and amount or quantity of any funds or economic resources held by it for the customer.
5
A relevant institution that fails to comply with any requirement of sub-paragraph (1), (2) or (4) commits an offence.
Powers to request information
2
1
The Treasury may request a designated person to provide information concerning —
a
funds or economic resources owned, held or controlled by or on behalf of the designated person, or
b
any disposal of such funds or economic resources.
2
The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure —
a
by or on behalf of the designated person, or
b
for the benefit of the designated person.
3
The power in sub-paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of these Regulations.
4
The Treasury may request a person acting under a licence granted under regulation 10 to provide information concerning —
a
funds or economic resources dealt with under the licence, or
b
funds or economic resources made available under the licence.
5
The Treasury may request any person in or resident in the United Kingdom to provide such information as the Treasury may reasonably require for the purpose of —
a
establishing for the purposes of these Regulations —
i
the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person;
ii
the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person; or
iii
the nature of any financial transactions entered into by a designated person;
b
monitoring compliance with or detecting evasion of these Regulations; or
c
obtaining evidence of the commission of an offence under these Regulations.
6
The Treasury may specify the manner in which, and the period within which, information is to be provided.
7
If no such period is specified, the information which has been requested must be provided within a reasonable time.
8
A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.
9
Information requested under this paragraph may relate to any period of time during which a person is, or was, a designated person.
10
Information requested under sub-paragraph (1)(b), (2) or (5)(a)(iii) may relate to any period of time before a person became a designated person (as well as, or instead of, any subsequent period of time).
Production of documents
3
1
A request under paragraph 2 may include a request to produce specified documents or documents of a specified description.
2
Where the Treasury request that documents be produced, they may —
a
take copies of or extracts from any document so produced;
b
request any person producing a document to give an explanation of it; and
c
where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is —
i
in the case of a partnership, a present or past partner or employee of the partnership,
ii
in any other case, a present or past officer or employee of the body concerned,
to give such an explanation.
3
Where the Treasury request a designated person or a person acting under a licence granted under regulation 10 to produce documents, that person must —
a
take reasonable steps to obtain the documents (if not already in the person’s possession or control);
b
keep the documents under the person’s possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).
Failure to comply with request for information
4
1
A person commits an offence who —
a
without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request made under this Schedule;
b
knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;
c
with intent to evade the provisions of this Schedule, destroys, mutilates, defaces, conceals or removes any document; or
d
otherwise intentionally obstructs the Treasury in the exercise of their powers under this Schedule.
2
Where a person is convicted of an offence under this paragraph, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.
General power to disclose information
5
1
The Treasury may disclose any information received by them pursuant to these Regulations —
a
to a police officer;
b
to any person holding or acting in any office under or in the service of —
i
the Crown in right of the Government of the United Kingdom;
ii
the Crown in right of the Scottish Administration, the Northern Ireland Administration or the Welsh Assembly Government;
iii
the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark;
iv
the Government of the Isle of Man; or
v
the Government of any British overseas territory;
c
to any law officer of the Crown for Jersey, Guernsey or the Isle of Man;
d
to the Legal Services Commission, the Scottish Legal Aid Board or the Northern Ireland Legal Services Commission;
e
to the Financial Services Authority, the Jersey Financial Services Commission, the Guernsey Financial Services Commission, the Isle of Man Insurance and Pensions Authority or the Isle of Man Financial Supervision Commission;
f
for the purpose of giving assistance or co-operation, pursuant to the Council Regulation, to the European Commission or the Government of a Member State;
g
with a view to instituting, or otherwise for the purposes of, any proceedings —
i
in the United Kingdom, for an offence under these Regulations, or
ii
in any of the Channel Islands, the Isle of Man or any British overseas territory, for an offence under a similar provision in any such jurisdiction; or
h
with the consent of a person who, in their own right, is entitled to the information or to possession of the document, copy or extract, to any third party.
2
In sub-paragraph (1)(h) “in their own right” means not merely in the capacity as a servant or agent of another person.
Application of provisions
6
1
Nothing done under this Schedule is to be treated as a breach of any restriction imposed by statute or otherwise.
2
But nothing in this Schedule authorises a disclosure that —
a
contravenes the Data Protection Act 1998 , or
b
is prohibited by Part 1 of the Regulation of Investigatory Powers Act 2000 .
3
Nothing in this Schedule is to be read as requiring a person who has acted as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.
4
This Schedule does not limit the circumstances in which information may be disclosed apart from this Schedule.
5
This Schedule does not limit the powers of the Treasury to impose conditions in connection with the discharge of their functions under regulation 10.
6
In this paragraph “privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings. |
The Police Act 1997 (Criminal Records) (Amendment No. 2) Regulations 2012
The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 113B(2)(b) and (9), 113BA(1), 113BB(1) and 125(1) and (2) of the Police Act 1997 .
Citation, commencement, interpretation and extent
1
1
These Regulations may be cited as the Police Act 1997 (Criminal Records) (Amendment No. 2) Regulations 2012 and, subject to paragraph (2) below, shall come into force on 10th September 2012.
2
Regulations 2 to 10 and 12 to 13 shall come into force on 10th September 2012 at the same time as sections 64 to 66 of the Protection of Freedoms Act 2012 come into force.
3
In these Regulations —
“the 2002 Regulations ” mean the Police Act 1997 (Criminal Records) Regulations 2002 ; and
“the 2009 Regulations ” mean the Police Act 1997 (Criminal Records) (No. 2) Regulations 2009 .
4
These Regulations extend to England and Wales.
Amendment of regulation 5A of the 2002 Regulations
2
Regulation 5A of the 2002 Regulations (Enhanced criminal record certificates: prescribed purposes) is amended as follows.
3
In paragraph (a)(i) after “2006” insert “as it had effect immediately before the coming into force of section 64 of the Protection of Freedoms Act 2012”.
4
Omit paragraph (aa).
5
In paragraph (b)(i) after “2006” insert “as it had effect immediately before the coming into force of section 66 of the Protection of Freedoms Act 2012”.
6
In paragraphs (b)(ii) and (ba)(ii) after “2006” insert “as it had effect immediately before the coming into force of section 65 of the Protection of Freedoms Act 2012”.
7
Omit paragraph (bb).
8
In paragraph (p) omit —
a
“or in the Government Offices for the English Regions”; and
b
“or vulnerable adults”.
9
In paragraph (u) for “vulnerable adults” substitute “adults who need relevant assistance in the conduct of their own affairs within the meaning of paragraph 7(3E) of Schedule 4 to the Safeguarding Vulnerable Groups Act 2006”.
10
After paragraph (zb) insert —
zc
obtaining information in respect of any person who is aged 16 or over and who lives in the same household as an individual who is having or who has had their suitability assessed for the purposes of —
i
engaging in a regulated activity relating to children;
ii
working in a regulated position (within the meaning of section 36 of the Criminal Justice and Court Services Act 2000 );
iii
working in a further education institution (within the meaning of section 140 of the Education Act 2002 ) where the normal duties of that work involve regular contact with children; or
iv
working in a 16-19 Academy where the normal duties of that work involve regular contact with children
where that individual, and the person who lives in the same household, live on the premises where that activity or that work would normally take place.
Revocation of regulation 10 of the 2002 Regulations
11
Regulation 10 of the 2002 Regulations is revoked.
Amendment of regulation 5 of the 2009 Regulations
12
For regulation 5 of the 2009 Regulations substitute —
Suitability information relating to children
5
Cases in which an application for an enhanced criminal records certificate is made for the purposes of —
a
considering the applicant’s suitability to engage in any activity which is a regulated activity relating to children within the meaning of Part 1 of Schedule 4 to the Safeguarding Vulnerable Groups Act 2006 ;
b
assessing the suitability of a person to have regular contact with children who is aged 16 or over and who lives in the same household as an individual who is having or who has had their suitability assessed for the purposes of engaging in a regulated activity relating to children, where that individual, and the person who lives in the same household, live on the premises where that regulated activity would normally take place;
c
considering the suitability of a person for the purposes of registration for childcare, including assessing the suitability of a person to have regular contact with children who is —
i
aged 16 or over and living on the premises at which childcare is being or is to be provided;
ii
aged 16 or over and working, or who will be working, on the premises at which childcare is being or is to be provided at times when such childcare is being provided or is to be provided;
where that childcare is the provision of childminding or day care within the meaning of section 19 of the Children and Families (Wales) Measure 2010 or the provision of childcare within the meaning of section 18 of the Childcare Act 2006 ;
d
placing children with foster parents in accordance with any provision of, or made by virtue of, the Children Act 1989 or the Children (Northern Ireland) Order 1995 or the exercise of any duty under or by virtue of section 67 of that Act or Article 108 of that Order (welfare of privately fostered children) including obtaining information in respect of any person who is —
i
aged 16 or over and living in the same household as a person who is, or who wishes to be approved as, a foster parent within the meaning of section 53(7)(a) or (b) of the Safeguarding Vulnerable Groups Act 2006;
ii
aged 16 or over and living in the same household as a person who fosters, or intends to foster, a child privately within the meaning of section 66(1) of the Children Act 1989 or who is otherwise a private foster parent within the meaning of section 53(7)(c) of the Safeguarding Vulnerable Groups Act 2006;
e
a decision made by an adoption agency within the meaning of section 2 of the Adoption and Children Act 2002 as to a person’s suitability to adopt a child, including obtaining information in respect of any person aged 18 years or over living in the same household as the prospective adopter;
f
considering the applicant’s suitability for any office or employment or other work in the Criminal Records Bureau;
g
considering the applicant’s suitability to obtain or hold a licence under section 46 of the Town Police Clauses Act 1847 ; section 8 of the Metropolitan Public Carriage Act 1869 ; section 9 of the Plymouth City Council Act 1975 ; section 51 of the Local Government (Miscellaneous Provisions) Act 1976 ; or section 13 of the Private Hire Vehicles (London) Act 1998 ;
are prescribed for the purposes of section 113BA of the Police Act 1997.
Amendment of regulation 6 of the 2009 Regulations
13
For regulation 6 of the 2009 Regulations substitute —
Suitability information relating to vulnerable adults
6
Cases in which an application for an enhanced criminal records certificate is made for the purposes of —
a
considering the applicant’s suitability to engage in any activity which is a regulated activity relating to vulnerable adults within the meaning of Part 2 of Schedule 4 to the Safeguarding Vulnerable Groups Act 2006;
b
considering the applicant’s suitability for any office or employment or other work in the Criminal Records Bureau;
c
considering the applicant’s suitability to obtain or hold a licence under section 46 of the Town Police Clauses Act 1847; section 8 of the Metropolitan Public Carriage Act 1869; section 9 of the Plymouth City Council Act 1975; section 51 of the Local Government (Miscellaneous Provisions) Act 1976; or section 13 of the Private Hire Vehicles (London) Act 1998;
are prescribed for the purposes of section 113BB of the Police Act 1997.
James Brokenshire
Parliamentary Under-Secretary of State
Home Office
14th August 2012 |
The Public Bodies (Abolition of Her Majesty’s Inspectorate of Courts Administration and the Public Guardian Board) Order 2012
A draft of this Order, and an explanatory document containing the information required by section 11(2) of the Act, have been laid before Parliament in accordance with section 11(1) after the end of the period of twelve weeks mentioned in section 11(3). In accordance with section 11(4) of the Act, the draft of this Order has been approved by a resolution of each House of Parliament after the expiry of the 40-day period referred to in that provision.
Citation, commencement and extent
1
1
This Order may be cited as the Public Bodies (Abolition of Her Majesty’s Inspectorate of Courts Administration and the Public Guardian Board) Order 2012.
2
Subject to paragraph (3) , this Order comes into force on the day after the day on which it is made.
3
The following provisions come into force on the day after that on which the other provisions of this Order come into force —
a
paragraphs 36 and 37 of Schedule 1; and
b
paragraphs 3 and 4 of Schedule 2.
4
Amendments, repeals and revocations in this Order have the same extent as the provisions amended, repealed or revoked.
Abolition of Her Majesty’s Inspectorate of Court Administration
2
1
Her Majesty’s Inspectorate of Court Administration, established under section 58 of the Courts Act 2003 , is abolished.
2
The function of inspecting areas of the Crown Court, county courts and magistrates’ courts where prisoners are detained in custody is transferred to Her Majesty’s Chief Inspector of Prisons.
3
The function of inspecting any vehicle used to transport prisoners in custody to and from the Crown Court, county courts or magistrates’ courts is transferred to Her Majesty’s Chief Inspector of Prisons.
4
Any of Her Majesty’s Chief Inspector of Prisons, Her Majesty’s Chief Inspector of the Crown Prosecution Service, Her Majesty’s Inspectorate of Probation for England and Wales and Her Majesty’s Inspectors of Constabulary may inspect any aspect of the Crown Court or magistrates’ courts in relation to their criminal jurisdiction which could have been inspected by Her Majesty’s Inspectorate of Courts Administration immediately before its abolition.
5
Paragraph (4) applies only if the inspection includes matters other than any aspect of the Crown Court or magistrates’ courts.
6
Schedule 1 (which makes consequential etc provision) has effect.
Rights of entry and inspection
3
1
An inspector exercising functions under article 2(2) , (3) or (4) may enter any place of work occupied by persons provided under a contract made by the Lord Chancellor by virtue of section 2(4) of the Courts Act 2003.
2
An inspector exercising functions under article 2(2) , (3) or (4) may inspect and take copies of any records kept by persons provided under such a contract which the inspector considers relevant to the discharge of the inspector’s functions.
3
Paragraph (1) does not entitle an inspector —
a
to be present when the Crown Court, a county court or a magistrates’ court is hearing proceedings in private; or
b
to attend any private deliberations of persons having jurisdiction to hear or determine any proceedings.
4
The records referred to in paragraph (2) include records kept by means of a computer.
5
An inspector exercising the power under paragraph (2) to inspect records —
a
is entitled to have access to, and inspect and check the operation of, any computer and associated apparatus or material which is or has been in use in connection with the records in question, and
b
may require —
i
the person by whom or on whose behalf the computer is or has been used, or
ii
any person having charge of, or otherwise concerned with the operation of, the computer, apparatus or material,
to afford the inspector such reasonable assistance as the inspector may require.
6
The powers conferred by paragraphs (1), (2) and (5) may be exercised at reasonable times only.
Abolition of the Public Guardian Board
4
1
The Public Guardian Board, established under section 59 of the Mental Capacity Act 2005 , is abolished.
2
Schedule 2 (which makes consequential etc provision) has effect.
Helen Grant
Parliamentary Under Secretary of State
Ministry of Justice
17th September 2012
SCHEDULE 1
Amendments consequential etc on the abolition of Her Majesty’s Inspectorate of Court Administration
Article 2 (6)
Prison Act 1952
1
The Prison Act 1952 is amended as follows.
2
In section 5A, after subsection (5B), insert —
5C
The Chief Inspector shall also inspect or arrange for the inspection of —
a
areas of the Crown Court, county courts and magistrates’ courts where prisoners are detained in custody; and
b
any vehicle used to transport prisoners in custody to and from the Crown Court, county courts or magistrates’ courts,
and shall report to the Secretary of State on them.
3
In Schedule A1 (further provision about Her Majesty’s Chief Inspector of Prisons) —
a
paragraph 2(2)(d) is repealed;
b
paragraph 4(d) is repealed;
c
paragraph 5(3)(d) is repealed;
d
after paragraph 6, insert —
Joint inspection of courts
7
1
The Chief Inspector may inspect any aspect of the Crown Court or magistrates’ courts in relation to their criminal jurisdiction which could have been inspected by Her Majesty’s Inspectorate of Court Administration immediately before its abolition.
2
Sub-paragraph (1) applies only if the inspection includes matters other than any aspect of the Crown Court or magistrates’ courts.
3
The power of the Chief Inspector under this paragraph is in addition to the power under paragraph 5 to act jointly with another public authority.
Police Act 1996
4
The Police Act 1996 is amended as follows.
5
In Schedule 4A (further provision about Her Majesty’s Inspectors of Constabulary) —
a
paragraph 2(2)(d) is repealed;
b
paragraph 4(d) is repealed;
c
paragraph 5(3)(d) is repealed;
d
after paragraph 7, insert —
Joint inspection of courts
8
1
The inspectors of constabulary may inspect any aspect of the Crown Court or magistrates’ courts in relation to their criminal jurisdiction which could have been inspected by Her Majesty’s Inspectorate of Court Administration immediately before its abolition.
2
Sub-paragraph (1) applies only if the inspection includes matters other than any aspect of the Crown Court or magistrates’ courts.
3
The power of the inspectors of constabulary under this paragraph is in addition to the power under paragraph 5 to act jointly with another public authority.
Audit Commission Act 1998
6
The Audit Commission Act 1998 is amended as follows.
7
In Part 1 of Schedule 2A (interaction with other authorities) —
a
paragraph 1(1)(e) is repealed;
b
paragraph 1(2)(c) and the preceding “and” are repealed.
Crown Prosecution Service Inspectorate Act 2000
8
The Crown Prosecution Service Inspectorate Act 2000 is amended as follows.
9
In the Schedule (further provision about Her Majesty’s Chief Inspector of the Crown Prosecution Service) —
a
paragraph 2(2)(d) is repealed;
b
paragraph 4(d) is repealed;
c
paragraph 5(3)(d) is repealed;
d
after paragraph 8, insert —
Joint inspection of courts
9
1
The Chief Inspector may inspect any aspect of the Crown Court or magistrates’ courts in relation to their criminal jurisdiction which could have been inspected by Her Majesty’s Inspectorate of Court Administration immediately before its abolition.
2
Sub-paragraph (1) applies only if the inspection includes matters other than any aspect of the Crown Court or magistrates’ courts.
3
The power of the Chief Inspector under this paragraph is in addition to the power under paragraph 5 to act jointly with another public authority.
Criminal Justice and Court Services Act 2000
10
The Criminal Justice and Court Services Act 2000 is amended as follows.
11
In Schedule 1A (further provision about the inspectorate) —
a
paragraph 2(2)(d) is repealed;
b
paragraph 4(d) is repealed;
c
paragraph 5(3)(d) is repealed;
d
after paragraph 6, insert —
Joint inspection of courts
7
1
The inspectorate may inspect any aspect of the Crown Court or magistrates’ courts in relation to their criminal jurisdiction which could have been inspected by Her Majesty’s Inspectorate of Court Administration immediately before its abolition.
2
Sub-paragraph (1) applies only if the inspection includes matters other than any aspect of the Crown Court or magistrates’ courts.
3
The power of the inspectorate under this paragraph is in addition to the power under paragraph 5 to act jointly with another public authority.
Courts Act 2003
12
The Courts Act 2003 is amended as follows.
13
Part 5 (inspectors of court administration) is repealed.
14
Schedule 3A (further provision about the Inspectors of Court Administration) is repealed.
15
In Schedule 9 (transitional provisions and savings), paragraph 14 is repealed.
Public Audit (Wales) Act 2004
16
The Public Audit (Wales) Act 2004 is amended as follows.
17
In section 67A (assistance by Auditor General to inspectorates), subsection (1)(e) and the preceding “and” are repealed.
Children Act 2004
18
The Children Act 2004 is amended as follows.
19
In section 20 (joint area reviews), subsection (4)(h) is repealed.
Education and Inspections Act 2006
20
The Education and Inspections Act 2006 is amended as follows.
21
Section 156 (removal of HMICA ’s duty to inspect performance of Assembly’s functions relating to family proceedings) is repealed.
22
In Schedule 13 (interaction with other authorities) —
a
paragraph 1(2)(e) is repealed;
b
paragraph 1(3)(e) is repealed.
23
In Schedule 14 (minor and consequential amendments relating to Part 8), paragraphs 77 to 81 are repealed.
24
In Schedule 15 (transitional provisions and savings relating to Part 8) —
a
paragraph 4(1)(a) is repealed;
b
in paragraph 9, the entry for “court administration inspector” is repealed.
Police and Justice Act 2006
25
The Police and Justice Act 2006 is amended as follows.
26
Section 32 (Her Majesty’s Inspectorate of Court Administration) is repealed.
Local Government and Public Involvement in Health Act 2007
27
The Local Government and Public Involvement in Health Act 2007 is amended as follows.
28
In Schedule 9, paragraph 1(2)(u) is repealed.
29
In Schedule 11 (schedule to be inserted in Audit Commission Act 1998), in the Schedule to be inserted —
a
paragraph 1(1)(e) is repealed;
b
paragraph 1(2)(c) and the preceding “and” are repealed.
Health and Social Care Act 2008
30
The Health and Social Care Act 2008 is amended as follows.
31
In Part 1 of Schedule 4 (interaction with other authorities) —
a
paragraph 1(2)(e) is repealed;
b
paragraph 1(3)(e) is repealed.
32
In Part 3 of Schedule 5 (further amendments relating to Part 1), paragraph 75 is repealed.
Coroners and Justice Act 2009
33
The Coroners and Justice Act 2009 is amended as follows.
34
Section 39 (inspection of coroner system) is repealed.
35
In Part 1 of Schedule 21 (minor and consequential amendments), paragraph 46 is repealed.
Public Bodies Act 2011
36
The Public Bodies Act 2011 is amended as follows.
37
In Schedule 1 (power to abolish: bodies and offices), the entry “Her Majesty’s Inspectorate of Court Administration.” is repealed.
Children Act 2004 (Joint Area Reviews) Regulations 2005
38
The Children Act 2004 (Joint Area Reviews) Regulations 2005 are amended as follows.
39
Paragraph 9 of the Schedule is revoked.
Education and Inspections Act 2006 (Consequential Amendments) Regulations 2007
40
The Education and Inspections Act 2006 (Consequential Amendments) Regulations 2007 are amended as follows.
41
Regulation 15(g) is revoked.
Her Majesty’s Inspectorate of Court Administration (Specified Organisations) Order 2007
42
The Her Majesty’s Inspectorate of Court Administration (Specified Organisations) Order 2007 is revoked.
Offender Management Act 2007 (Consequential Amendments) Order 2008
43
The Offender Management Act 2007 (Consequential Amendments) Order 2008 is amended as follows.
44
In Part 2 of Schedule 1 (amendments of Acts) —
a
paragraph 26(2)(f) is revoked;
b
paragraph 27(2)(e) is revoked.
SCHEDULE 2
Amendments consequential etc on the abolition of the Public Guardian Board
Article 4 (2)
Mental Capacity Act 2005
1
The Mental Capacity Act 2005 is amended as follows.
2
Section 59 (Public Guardian Board) is repealed.
Public Bodies Act 2011
3
The Public Bodies Act 2011 is amended as follows.
4
In Schedule 1 (power to abolish: bodies and offices), the entry “Public Guardian Board.” is repealed.
Lord Chancellor (Transfer of Functions and Supplementary Provisions) (No.2) Order 2006
5
The Lord Chancellor (Transfer of Functions and Supplementary Provisions) (No.2) Order 2006 is amended as follows.
6
In Schedule 1 (transfer, modification and abolition of functions of the Lord Chancellor – primary legislation), paragraph 36 is revoked.
Public Guardian Board Regulations 2007
7
The Public Guardian Board Regulations 2007 are revoked. |
The School Teachers’ Pay and Conditions Order 2012
In accordance with section 126 of the Act , the Secretary of State has consulted such of the persons and bodies referred to in that section as appeared to the Secretary of State to be appropriate.
Citation, commencement, application and interpretation
1
1
This Order may be cited as the School Teachers’ Pay and Conditions Order 2012 and comes into force on 1st September 2012.
2
This Order applies to school teachers in England and Wales.
3
In this Order, “ the Document ” means the document entitled “School Teachers’ Pay and Conditions Document 2012 and Guidance on School Teachers’ Pay and Conditions” published on the website of the Department for Education.
The Document
2
The provisions set out in section 2 of the Document have effect on and after 1st September 2012 for the purposes of determining —
a
the remuneration of school teachers, and
b
other conditions of employment of school teachers which relate to their professional duties and working time.
Revocation
3
The School Teachers’ Pay and Conditions Order 2011 is revoked.
Nick Gibb
Minister of State
Department for Education
9th August 2012 |
The Occupational Pensions (Revaluation) Order 2012
The Secretary of State for Work and Pensions makes the following Order in exercise of the power conferred by paragraph 2(1) of Schedule 3 to the Pension Schemes Act 1993 .
Citation and commencement
1
1
This Order may be cited as the Occupational Pensions (Revaluation) Order 2012.
2
This Order shall come into force on 1st January 2013.
The higher and lower revaluation percentages for each revaluation period
2
For the purposes of paragraph 2(1) of Schedule 3 (methods of revaluing accrued pension benefits) to the Pension Schemes Act 1993, for each revaluation period specified in column 1 below, the higher revaluation percentage is the percentage specified in column 2, and the lower revaluation percentage, if any, is the percentage specified in column 3, in relation to that period.
Column 1 Column 2 Column 3 Revaluation period Higher revaluation
percentage
Lower revaluation
percentage
1st January 1986 - 31st December 2012 150.4% - 1st January 1987 - 31st December 2012 142.9% - 1st January 1988 - 31st December 2012 133.1% - 1st January 1989 - 31st December 2012 120.6% - 1st January 1990 - 31st December 2012 105.0% - 1st January 1991 - 31st December 2012 84.8% - 1st January 1992 - 31st December 2012 77.6% - 1st January 1993 - 31st December 2012 71.4% - 1st January 1994 - 31st December 2012 68.4% - 1st January 1995 - 31st December 2012 64.7% - 1st January 1996 - 31st December 2012 58.5% - 1st January 1997 - 31st December 2012 55.3% - 1st January 1998 - 31st December 2012 49.9% - 1st January 1999 - 31st December 2012 45.2% - 1st January 2000 - 31st December 2012 43.7% - 1st January 2001 - 31st December 2012 39.1% - 1st January 2002 - 31st December 2012 36.7% - 1st January 2003 - 31st December 2012 34.5% - 1st January 2004 - 31st December 2012 30.8% - 1st January 2005 - 31st December 2012 26.9% - 1st January 2006 - 31st December 2012 23.5% - 1st January 2007 - 31st December 2012 19.2% - 1st January 2008 - 31st December 2012 14.8% - 1st January 2009 - 31st December 2012 9.3% 9.3% 1st January 2010 - 31st December 2012 10.8% 7.7% 1st January 2011 - 31st December 2012 7.5% 5.1% 1st January 2012 - 31st December 2012 2.2% 2.2%
Signed by authority of the Secretary of State for Work and Pensions.
Steve Webb
Minister of State,
Department for Work and Pensions
26th November 2012 |
The Police and Crime Commissioner Elections (Local Returning Officers’ and Police Area Returning Officers’ Charges) Order 2012
The Secretary of State, in exercise of the powers conferred by section 55(1) and 154(5) of the Police Reform and Social Responsibility Act 2011 , makes this Order with the consent of the Treasury .
Citation and commencement
1
This Order may be cited as the Police and Crime Commissioner Elections (Local Returning Officers’ and Police Area Returning Officers’ Charges) Order 2012 and comes into force on the day after the day on which it is made.
Interpretation
2
In this Order —
“local returning officer” has the meaning given in section 54(5) of the Police Reform and Social Responsibility Act 2011;
“police area” means a police area listed in Schedule 1 to the Police Act 1996 (police areas outside London);
“police area returning officer”, in relation to any police area, means the person for the time being designated by an order made by virtue of section 54(1)(b) of the Police Reform and Social Responsibility Act 2011 as the returning officer for that police area;
“relevant election or referendum” means —
an election in England for the return of an elected mayor as defined by section 9H(1) of the Local Government Act 2000 (elected mayors etc );
a referendum in England under Part 1A of that Act (arrangements with respect to local authority governance in England);
“voting area” has the same meaning as in article 2(2) of the Police and Crime Commissioner Elections Order 2012 .
Charges for services and expenses of local returning officers
Local returning officers: overall maximum recoverable amount
3
1
In respect of a local returning officer, the overall maximum recoverable amount for each voting area is the amount listed in column 4 of the table in Schedule 1.
2
But where, in a voting area listed in column 1 of the table in Schedule 2, the poll at the ordinary election of police and crime commissioners in 2012 is taken together with the poll at a relevant election or referendum, the overall maximum recoverable amount for that voting area is the amount listed in column 4 of the table in Schedule 2 .
Local returning officers: maximum recoverable amount for specified services
4
1
The total of the charges recoverable by a local returning officer in respect of the services specified in paragraph (3) must not exceed the amount listed for each voting area in column 2 of the table in Schedule 1.
2
But where, in a voting area listed in column 1 of the table in Schedule 2, the poll at the ordinary election of police and crime commissioners in 2012 is taken together with the poll at a relevant election or referendum, the total of the charges recoverable by the local returning officer in respect of the services specified in paragraph (3) must not exceed the amount listed for that voting area in column 2 of the table in Schedule 2.
3
The services specified in this paragraph are —
a
conducting the poll;
b
discharging the local returning officer’s duties at the election; and
c
making arrangements for the election.
Local returning officers: maximum recoverable amount for specified expenses
5
1
The total of the charges recoverable by a local returning officer in respect of the expenses specified in paragraph (3) must not exceed the amount listed for each voting area in column 3 of the table in Schedule 1.
2
But where, in a voting area listed in column 1 of the table in Schedule 2, the poll at the ordinary election of police and crime commissioners in 2012 is taken together with the poll at a relevant election or referendum, the total of the charges recoverable by the local returning officer in respect of the expenses specified in paragraph (3) must not exceed the amount listed for that voting area in column 3 of the table in Schedule 2.
3
The expenses specified in this paragraph are —
a
the appointment and payment of persons to assist the local returning officer;
b
travel and overnight subsistence for the local returning officer and any person appointed to assist the local returning officer;
c
printing or otherwise producing the ballot papers;
d
printing, producing or purchasing postal vote stationery;
e
printing or otherwise producing and arranging for the delivery of poll cards;
f
printing or otherwise producing and, where appropriate, publishing notices and any other documents required by any enactment for or in connection with the police and crime commissioner election;
g
renting, heating, lighting, cleaning, adapting or restoring any building or room;
h
providing and transporting equipment;
i
providing information and communications technology equipment and software and associated costs;
j
providing security, including any necessary secure storage of ballot boxes, ballot papers and verification documents;
k
conducting the verification of ballot paper accounts and the count;
l
providing and receiving training; and
m
providing stationery and meeting postage, telephone, printing, translation and banking costs and the costs of other miscellaneous items.
Charges for services and expenses of police area returning officers
Police area returning officers: overall maximum recoverable amount
6
In respect of a police area returning officer, the overall maximum recoverable amount for each police area is the amount listed in column 4 of the table in Schedule 3.
Police area returning officers: maximum recoverable amount for specified services
7
1
The total of the charges recoverable by a police area returning officer in respect of the services specified in paragraph (2) must not exceed the amount listed for each police area in column 2 of the table in Schedule 3.
2
The services specified in this paragraph are —
a
discharging the police area returning officer’s duties at the election; and
b
making arrangements for the election.
Police area returning officers: maximum recoverable amount for specified expenses
8
1
The total of the charges recoverable by a police area returning officer in respect of the expenses specified in paragraph (2) and the expenses specified in paragraph (3) must not exceed the amount listed for each police area in column 3 of the table in Schedule 3.
2
The expenses specified in this paragraph are —
a
the appointment and payment of persons to assist the police area returning officer;
b
travel and overnight subsistence for the police area returning officer and any person appointed to assist the police area returning officer;
c
the costs of the nomination process;
d
the costs of any legal advice or translation required in connection with election addresses of candidates;
e
printing or otherwise producing the ballot papers;
f
printing or otherwise producing and, where appropriate, publishing notices required by any enactment for or in connection with the police and crime commissioner election;
g
renting, heating, lighting, cleaning, adapting or restoring any building or room;
h
providing and transporting equipment;
i
providing security;
j
conducting the count;
k
providing training; and
l
providing stationery and meeting postage, telephone, printing, translation and banking costs and the costs of other miscellaneous items.
3
The expenses specified in this paragraph are those incurred in discharging the police area returning officer’s functions under regulation 7 of the Police and Crime Commissioner Elections (Functions of Returning Officers) Regulations 2012 (encouraging participation in a police and crime commissioner election).
Charges at uncontested elections
Overall maximum recoverable amount at an uncontested election
9
Articles 3 to 8 do not apply at an uncontested election and, instead —
a
the overall maximum recoverable amount for each voting area is £1,750.
b
the overall maximum recoverable amount for each police area is £350.
Damian Green
Minister of State
Home Office
10th September 2012
We consent to this order
James Duddridge
Brooks Newmark
Two of the Lords Commissioners of Her Majesty’s Treasury
12th September 2012
SCHEDULES
SCHEDULE 1
Local returning officers: maximum recoverable amounts for voting areas
Articles 3(1), 4(1) and 5(1)
1
Voting area
2
Maximum recoverable amount for the specified services
3
Maximum recoverable amount for the specified expenses
4
Overall maximum recoverable amount
ENGLAND Adur £2,500 £78,507 £81,007 Allerdale £3,538 £186,813 £190,351 Amber Valley £4,662 £189,506 £194,169 Arun £5,437 £179,173 £184,610 Ashfield £4,360 £160,338 £164,698 Ashford £4,239 £175,909 £180,148 Aylesbury Vale £6,398 £264,829 £271,227 Babergh £3,354 £144,694 £148,048 Barnsley £8,549 £323,436 £331,984 Barrow-in-Furness £2,529 £82,027 £84,556 Basildon £6,184 £214,704 £220,889 Basingstoke and Deane £5,973 £234,927 £240,900 Bassetlaw £4,078 £182,814 £186,893 Bath and North East Somerset UA £6,530 £235,988 £242,519 Bedford UA £5,757 £247,977 £253,734 Birmingham £36,222 £1,053,156 £1,089,378 Blaby £3,512 £105,593 £109,105 Blackburn with Darwen UA £4,985 £200,454 £205,439 Blackpool UA £5,441 £206,046 £211,487 Bolsover £2,734 £104,018 £106,752 Bolton £9,388 £343,835 £353,223 Boston £2,500 £88,050 £90,550 Bournemouth UA £6,692 £209,112 £215,804 Bracknell Forest UA £4,072 £132,910 £136,981 Bradford £16,174 £590,613 £606,787 Braintree £5,300 £205,255 £210,555 Breckland £4,701 £190,230 £194,930 Brentwood £2,730 £124,972 £127,702 Brighton and Hove UA £9,742 £324,416 £334,157 Bristol, City of UA £15,314 £455,358 £470,672 Broadland £4,602 £158,376 £162,978 Bromsgrove £3,486 £126,687 £130,173 Broxbourne £3,361 £123,605 £126,966 Broxtowe £4,035 £170,550 £174,584 Burnley £3,205 £117,050 £120,255 Bury £6,876 £271,645 £278,521 Calderdale £7,073 £285,613 £292,686 Cambridge £4,313 £132,431 £136,744 Cannock Chase £3,601 £145,735 £149,336 Canterbury £5,221 £180,077 £185,299 Carlisle £4,061 £202,796 £206,857 Castle Point £3,179 £97,052 £100,232 Central Bedfordshire UA £9,491 £358,042 £367,533 Charnwood £6,380 £188,467 £194,848 Chelmsford £6,109 £191,890 £197,999 Cheltenham £4,247 £140,735 £144,982 Cherwell £5,085 £213,394 £218,479 Cheshire East UA £13,841 £532,740 £546,581 Cheshire West and Chester UA £11,894 £444,789 £456,684 Chesterfield £3,863 £149,138 £153,002 Chichester £4,340 £162,248 £166,588 Chiltern £3,453 £121,545 £124,997 Chorley £3,860 £170,917 £174,777 Christchurch £2,500 £71,169 £73,669 Colchester £6,040 £218,379 £224,419 Copeland £2,655 £134,941 £137,596 Corby £2,500 £81,512 £84,012 Cornwall UA £19,923 £825,542 £845,465 Cotswold £3,269 £167,132 £170,401 County Durham UA £19,461 £860,072 £879,533 Coventry £11,283 £376,160 £387,444 Craven £2,500 £103,866 £106,366 Crawley £3,721 £122,980 £126,701 Dacorum £5,224 £186,157 £191,380 Darlington UA £3,804 £154,731 £158,535 Dartford £3,430 £159,861 £163,290 Daventry £2,897 £131,664 £134,561 Derby UA £8,680 £266,516 £275,196 Derbyshire Dales £2,750 £142,116 £144,866 Doncaster £10,645 £438,487 £449,132 Dover £4,026 £143,549 £147,575 Dudley £11,605 £403,217 £414,823 East Cambridgeshire £3,052 £120,015 £123,067 East Devon £4,947 £201,897 £206,844 East Dorset £3,411 £123,339 £126,750 East Hampshire £4,300 £155,083 £159,384 East Hertfordshire £4,946 £200,377 £205,323 East Lindsey £4,999 £223,700 £228,699 East Northamptonshire £3,154 £145,071 £148,224 East Riding of Yorkshire UA £12,702 £503,225 £515,926 East Staffordshire £4,140 £178,001 £182,141 Eastbourne £3,492 £112,371 £115,864 Eastleigh £4,617 £161,059 £165,676 Eden £2,500 £114,101 £116,601 Elmbridge £4,599 £201,470 £206,069 Epping Forest £4,704 £198,153 £202,857 Epsom and Ewell £2,701 £106,891 £109,592 Erewash £4,075 £151,027 £155,102 Exeter £4,273 £142,154 £146,427 Fareham £4,250 £145,319 £149,570 Fenland £3,594 £118,493 £122,087 Forest Heath £2,500 £78,662 £81,162 Forest of Dean £3,150 £133,819 £136,969 Fylde £2,903 £112,217 £115,120 Gateshead £7,044 £326,836 £333,880 Gedling £4,193 £154,332 £158,525 Gloucester £4,387 £159,343 £163,730 Gosport £2,962 £100,978 £103,940 Gravesham £3,490 £119,591 £123,081 Great Yarmouth £3,392 £113,374 £116,765 Guildford £5,022 £188,928 £193,950 Halton UA £4,482 £165,104 £169,586 Hambleton £3,372 £157,304 £160,677 Harborough £3,146 £132,834 £135,980 Harlow £2,960 £83,147 £86,107 Harrogate £5,672 £269,903 £275,576 Hart £3,344 £113,860 £117,204 Hartlepool UA £3,352 £123,013 £126,365 Hastings £3,045 £96,617 £99,662 Havant £4,465 £139,443 £143,908 Herefordshire, County of UA £6,719 £294,359 £301,078 Hertsmere £3,493 £158,609 £162,102 High Peak £3,455 £149,821 £153,277 Hinckley and Bosworth £4,022 £140,797 £144,820 Horsham £4,879 £165,478 £170,357 Huntingdonshire £5,891 £217,354 £223,245 Hyndburn £2,903 £111,507 £114,411 Ipswich £4,663 £168,926 £173,589 Isle of Wight UA £5,324 £172,277 £177,601 Isles of Scilly UA £2,500 £9,948 £12,448 Kettering £3,410 £143,049 £146,459 King’s Lynn and West Norfolk £5,575 £206,107 £211,682 Kingston upon Hull, City of UA £8,973 £280,275 £289,249 Kirklees £14,790 £506,863 £521,653 Knowsley £5,332 £189,724 £195,056 Lancaster £5,172 £185,317 £190,489 Leeds £26,283 £939,392 £965,676 Leicester UA £11,174 £346,272 £357,446 Lewes £3,555 £148,121 £151,676 Lichfield £3,793 £169,913 £173,706 Lincoln £3,098 £117,851 £120,950 Liverpool £15,253 £476,664 £491,917 Luton UA £6,575 £208,249 £214,823 Maidstone £5,641 £193,325 £198,966 Maldon £2,500 £80,770 £83,270 Malvern Hills £2,835 £119,138 £121,973 Manchester £17,513 £597,030 £614,543 Mansfield £3,892 £143,709 £147,601 Medway UA £9,176 £295,812 £304,988 Melton £2,500 £90,632 £93,132 Mendip £4,102 £206,474 £210,576 Mid Devon £2,872 £149,257 £152,129 Mid Suffolk £3,650 £167,276 £170,926 Mid Sussex £4,966 £162,187 £167,152 Middlesbrough UA £4,819 £168,227 £173,046 Milton Keynes UA £8,479 £289,286 £297,765 Mole Valley £3,204 £156,794 £159,998 New Forest £6,826 £230,682 £237,508 Newark and Sherwood £4,101 £190,755 £194,856 Newcastle upon Tyne £9,649 £404,971 £414,620 Newcastle-under-Lyme £4,654 £182,166 £186,820 North Devon £3,611 £158,170 £161,781 North Dorset £2,511 £112,852 £115,363 North East Derbyshire £3,773 £149,064 £152,838 North East Lincolnshire UA £5,586 £206,995 £212,581 North Hertfordshire £4,687 £179,768 £184,454 North Kesteven £3,979 £159,509 £163,489 North Lincolnshire UA £6,058 £249,668 £255,727 North Norfolk £3,918 £184,758 £188,676 North Somerset UA £7,590 £271,905 £279,495 North Tyneside £7,504 £313,951 £321,455 North Warwickshire £2,500 £97,400 £99,900 North West Leicestershire £3,477 £133,518 £136,995 Northampton £7,456 £281,324 £288,779 Northumberland UA £11,709 £486,318 £498,027 Norwich £4,879 £170,859 £175,739 Nottingham UA £9,848 £331,006 £340,854 Nuneaton and Bedworth £4,554 £165,015 £169,569 Oadby and Wigston £2,500 £67,168 £69,668 Oldham £7,604 £266,919 £274,523 Oxford £5,319 £169,337 £174,657 Pendle £3,238 £129,420 £132,658 Peterborough UA £6,395 £208,440 £214,835 Plymouth UA £8,595 £342,693 £351,288 Poole UA £5,517 £201,050 £206,567 Portsmouth UA £7,084 £210,038 £217,122 Preston £4,752 £178,728 £183,480 Purbeck £2,500 £78,194 £80,694 Reading UA £5,615 £185,216 £190,831 Redcar and Cleveland UA £5,038 £184,430 £189,468 Redditch £3,033 £106,255 £109,288 Reigate and Banstead £4,877 £196,551 £201,429 Ribble Valley £2,500 £95,055 £97,555 Richmondshire £2,500 £92,071 £94,571 Rochdale £7,580 £263,602 £271,182 Rochford £3,117 £108,586 £111,704 Rossendale £2,527 £91,857 £94,384 Rother £3,436 £130,819 £134,255 Rotherham £9,221 £381,616 £390,838 Rugby £3,574 £146,399 £149,974 Runnymede £2,926 £100,060 £102,986 Rushcliffe £4,122 £183,973 £188,095 Rushmoor £3,140 £103,543 £106,682 Rutland UA £2,500 £63,450 £65,950 Ryedale £2,500 £124,546 £127,046 Salford £8,216 £325,868 £334,083 Sandwell £10,828 £370,582 £381,411 Scarborough £4,089 £159,712 £163,801 Sedgemoor £4,297 £163,546 £167,843 Sefton £9,808 £320,393 £330,201 Selby £3,064 £140,061 £143,125 Sevenoaks £4,217 £202,487 £206,704 Sheffield £18,891 £607,205 £626,096 Shepway £3,902 £150,849 £154,751 Shropshire UA £10,884 £458,808 £469,692 Slough UA £4,481 £151,688 £156,168 Solihull £7,514 £237,108 £244,623 South Bucks £2,500 £104,662 £107,162 South Cambridgeshire £5,307 £216,234 £221,541 South Derbyshire £3,461 £138,275 £141,737 South Gloucestershire UA £9,835 £355,107 £364,942 South Hams £3,265 £145,594 £148,859 South Holland £3,354 £122,673 £126,027 South Kesteven £4,999 £207,287 £212,286 South Lakeland £3,970 £175,271 £179,241 South Norfolk £4,681 £203,768 £208,449 South Northamptonshire £3,260 £144,465 £147,725 South Oxfordshire £4,901 £179,127 £184,028 South Ribble £4,098 £155,571 £159,668 South Somerset £6,124 £278,403 £284,527 South Staffordshire £4,111 £154,061 £158,172 South Tyneside £5,525 £245,550 £251,074 Southampton UA £8,266 £262,666 £270,931 Southend-on-Sea UA £6,174 £201,949 £208,122 Spelthorne £3,534 £147,879 £151,413 St Albans £5,024 £166,372 £171,396 St. Edmundsbury £3,936 £177,874 £181,809 St. Helens £6,595 £245,760 £252,355 Stafford £4,666 £218,001 £222,667 Staffordshire Moorlands £3,731 £161,032 £164,763 Stevenage £3,008 £120,023 £123,031 Stockport £10,551 £381,230 £391,781 Stockton-on-Tees UA £6,791 £264,959 £271,750 Stoke-on-Trent UA £9,041 £319,483 £328,524 Stratford-on-Avon £4,605 £210,450 £215,055 Stroud £4,354 £179,510 £183,863 Suffolk Coastal £4,616 £197,826 £202,442 Sunderland £10,413 £434,711 £445,124 Surrey Heath £3,105 £102,828 £105,933 Swale £4,632 £154,581 £159,213 Swindon UA £7,644 £254,669 £262,313 Tameside £8,010 £314,823 £322,833 Tamworth £2,773 £108,725 £111,498 Tandridge £2,946 £132,283 £135,229 Taunton Deane £4,045 £169,312 £173,356 Teignbridge £4,887 £187,201 £192,089 Telford and Wrekin UA £5,897 £238,832 £244,730 Tendring £5,199 £193,703 £198,902 Test Valley £4,384 £174,532 £178,916 Tewkesbury £3,131 £121,304 £124,435 Thanet £4,506 £138,549 £143,055 Three Rivers £3,197 £143,449 £146,646 Thurrock UA £5,340 £222,483 £227,823 Tonbridge and Malling £4,289 £146,553 £150,842 Torbay UA £5,001 £165,866 £170,866 Torridge £2,500 £118,428 £120,928 Trafford £7,644 £329,591 £337,236 Tunbridge Wells £3,873 £130,638 £134,511 Uttlesford £2,942 £129,301 £132,244 Vale of White Horse £4,504 £173,993 £178,497 Wakefield £12,134 £410,774 £422,908 Walsall £9,352 £329,301 £338,653 Warrington UA £7,450 £275,786 £283,236 Warwick £4,776 £198,738 £203,514 Watford £3,249 £132,284 £135,533 Waveney £4,289 £164,628 £168,917 Waverley £4,412 £163,752 £168,164 Wealden £5,620 £201,753 £207,372 Wellingborough £2,661 £109,415 £112,076 Welwyn Hatfield £3,801 £129,287 £133,088 West Berkshire UA £5,386 £242,854 £248,240 West Devon £2,500 £104,923 £107,423 West Dorset £3,847 £174,618 £178,465 West Lancashire £4,157 £183,988 £188,145 West Lindsey £3,456 £161,896 £165,352 West Oxfordshire £3,833 £152,436 £156,269 West Somerset £2,500 £69,363 £71,863 Weymouth and Portland £2,500 £88,579 £91,079 Wigan £11,575 £402,830 £414,406 Wiltshire UA £16,863 £681,752 £698,614 Winchester £4,364 £169,677 £174,041 Windsor and Maidenhead UA £5,058 £179,337 £184,394 Wirral £11,362 £346,053 £357,415 Woking £3,474 £119,638 £123,112 Wokingham UA £5,746 £201,027 £206,773 Wolverhampton £8,483 £318,975 £327,458 Worcester £3,644 £143,196 £146,840 Worthing £3,866 £115,775 £119,642 Wychavon £4,422 £191,715 £196,137 Wycombe £5,936 £208,706 £214,642 Wyre £4,075 £167,315 £171,390 Wyre Forest £3,728 £121,871 £125,599 York UA £7,384 £248,572 £255,956 WALES Blaenau Gwent £2,569 £218,149 £220,718 Bridgend £4,960 £177,987 £182,947 Caerphilly £6,169 £483,710 £489,879 Cardiff £12,107 £459,970 £472,077 Carmarthenshire £6,698 £329,528 £336,226 Ceredigion £2,819 £127,584 £130,404 Conwy £4,400 £163,075 £167,475 Denbighshire £3,570 £141,494 £145,064 Flintshire £5,603 £206,649 £212,252 Gwynedd £4,034 £201,879 £205,913 Isle of Anglesey £2,500 £114,080 £116,580 Merthyr Tydfil £2,500 £102,256 £104,756 Monmouthshire £3,383 £230,513 £233,896 Neath Port Talbot £5,204 £254,394 £259,598 Newport £4,986 £391,257 £396,243 Pembrokeshire £4,435 £201,070 £205,506 Powys £4,902 £243,855 £248,758 Rhondda Cynon Taff £8,484 £347,497 £355,981 Swansea £8,814 £346,297 £355,111 Torfaen £3,305 £278,476 £281,781 Vale of Glamorgan £4,480 £205,131 £209,611 Wrexham £4,913 £184,144 £189,057
SCHEDULE 2
Local returning officers: maximum recoverable amounts for voting areas where a police and crime commissioner election taken together with the poll at a relevant election or referendum
Articles 3(2), 4(2) and 5(2)
1
Voting area
2
Maximum recoverable amount for the specified services
3
Maximum recoverable amount for the specified expenses
4
Overall maximum recoverable amount
Bristol, City of UA £16,846 £288,557 £305,402 Hartlepool UA £3,687 £74,937 £78,624
SCHEDULE 3
Police area returning officers: maximum recoverable amounts for police areas
Articles 6, 7(1) and 8(1)
1
Police area
2
Maximum recoverable amount for the specified services
3
Maximum recoverable amount for the specified expenses
4
Overall maximum recoverable amount
ENGLAND Avon and Somerset £8,000 £25,139 £33,139 Bedfordshire £8,000 £15,689 £23,689 Cambridgeshire £8,000 £19,030 £27,030 Cheshire £8,000 £18,378 £26,378 Cleveland £8,000 £16,332 £24,332 Cumbria £8,000 £17,895 £25,895 Derbyshire £8,000 £22,623 £30,623 Devon and Cornwall £8,000 £28,025 £36,025 Dorset £8,000 £20,680 £28,680 Durham £8,000 £15,003 £23,003 Essex £8,000 £29,768 £37,768 Gloucestershire £8,000 £18,334 £26,334 Greater Manchester £8,000 £30,138 £38,138 Hampshire £8,000 £30,581 £38,581 Hertfordshire £8,000 £23,771 £31,771 Humberside £8,000 £17,875 £25,875 Kent £8,000 £28,725 £36,725 Lancashire £8,000 £28,752 £36,752 Leicestershire £8,000 £22,579 £30,579 Lincolnshire £8,000 £19,609 £27,609 Merseyside £8,000 £20,470 £28,470 Norfolk £8,000 £20,254 £28,254 North Yorkshire £8,000 £20,833 £28,833 Northamptonshire £8,000 £19,477 £27,477 Northumbria £8,000 £21,728 £29,728 Nottinghamshire £8,000 £21,905 £29,905 South Yorkshire £8,000 £19,495 £27,495 Staffordshire £8,000 £22,977 £30,977 Suffolk £8,000 £19,634 £27,634 Surrey £8,000 £24,719 £32,719 Sussex £8,000 £28,465 £36,465 Thames Valley £8,000 £33,617 £41,617 Warwickshire £8,000 £17,173 £25,173 West Mercia £8,000 £23,457 £31,457 West Midlands £8,000 £27,614 £35,614 West Yorkshire £8,000 £23,725 £31,725 Wiltshire £8,000 £15,146 £23,146 WALES Dyfed-Powys £8,000 £16,550 £24,550 Gwent £8,000 £17,584 £25,584 North Wales £8,000 £18,960 £26,960 South Wales £8,000 £22,268 £30,268 |
The Protection of Wrecks (Designation) (England) (No.2) Order 2012
In accordance with section 1(4) of that Act the Secretary of State has consulted such persons as the Secretary of State considers to be appropriate having regard to the purposes of this Order.
Citation and commencement
1
This Order may be cited as the Protection of Wrecks (Designation) (England) (No.2) Order 2012 and comes into force on 3rd August 2012.
Identification of site and designation of restricted area
2
1
The site in position Latitude 51°13.96698′ North, Longitude 01°26.00898′ East is identified as the site where a vessel lies, or is supposed to lie, wrecked on or in the sea bed.
2
The area within 50 metres of the site identified in paragraph (1), excluding any part of that area above the high water mark of ordinary spring tides, is designated as a restricted area for the purposes of the Protection of Wrecks Act 1973.
John Penrose
Parliamentary Under Secretary of State
Department for Culture, Media and Sport
10th July 2012 |
The Information as to Provision of Education (England) (Amendment) Regulations 2012
The Secretary of State for Education makes the following Regulations in exercise of the powers conferred by sections 29(3) and 569(4) of the Education Act 1996 :
Citation and commencement
1
These Regulations may be cited as the Information as to Provision of Education (England) (Amendment) Regulations 2012 and come into force on 16th July 2012.
Amendment of the Information as to Provision of Education (England) Regulations 2008
2
1
The Information as to Provision of Education (England) Regulations 2008 are amended as follows.
2
In regulation 3 —
a
in respect of the definition of “admission number”, for “89A” substitute “88D” , and
b
after the definition of “offer” insert —
“pupil planning area” means an area within the area of a local authority which is used by that authority for the purposes of assessing current and future pupil demand for school provision;
.
3
In regulation 4 and the heading of Schedule 1, for “27th” substitute “10th”.
4
In Schedule 1 —
a
in paragraph 1 —
i
for the words “pupils in” to the end substitute —
pupils in —
a
all such schools which are primary schools and all such schools which are secondary schools; and
b
all schools within each pupil planning area (if any).
;
b
paragraph 3 is to stand as paragraph 3(1) and after that paragraph insert —
2
The information in paragraph 3(1) must be provided in relation to —
a
the area of the authority; and
b
each pupil planning area (if any).
;
c
in paragraph 6 —
i
for the words “on that third Thursday,” to the end substitute —
on that third Thursday —
a
of all such primary schools and all such secondary schools; and
b
of all schools within each pupil planning area (if any).
;
d
after paragraph 6 insert —
6A
Forecasts of the total capacity of the primary schools and secondary schools described in paragraph 6 within each pupil planning area (if any) for a two year period commencing on the third Thursday in May in the year in which the information is provided to the Secretary of State.
;
e
paragraph 7 is to stand as paragraph 7(1) and after that paragraph insert —
2
The total admission numbers described in paragraph 7(1) for all such schools within each pupil planning area (if any).
;
f
after paragraph 7 insert —
7A
1
The number of pupils, for the school year in which the information is provided to the Secretary of State, for each age group (except those age groups described in paragraph 7) which is used to determine the capacity to admit new pupils to those age groups, in respect of each —
a
Academy located in the area of the authority; and
b
community, foundation and voluntary school maintained by the authority.
2
The total number described in paragraph 7A(1) for all such schools within each pupil planning area (if any).
;
g
for paragraph 8(c) substitute —
c
pupil planning area or, where pupil planning areas are not used by the authority, any geographical area within the area of the authority.
;
h
for paragraph 9(c) substitute —
c
pupil planning area or, where pupil planning areas are not used by the authority, any area within the area of the authority.
;
i
after paragraph 9 insert —
10
When an authority provides information for pupil planning areas in accordance with this Schedule, it must inform the Secretary the State of any changes made to any pupil planning area within the authority’s area from the previous year.
.
Jonathan Hill
Parliamentary Under Secretary of State
Department for Education
18th June 2012 |
The National Minimum Wage (Amendment) Regulations 2012
The Secretary of State, in exercise of the powers conferred by sections 1(3), 2, 3 and 51 of the National Minimum Wage Act 1998, makes the following Regulations.
Citation, commencement and interpretation
1
1
These Regulations may be cited as the National Minimum Wage (Amendment) Regulations 2012.
2
These Regulations shall come into force on 1st October 2012.
3
In these Regulations “the Principal Regulations ” means the National Minimum Wage Regulations 1999 .
Amendments to the Principal Regulations
2
1
The Principal Regulations are amended as follows.
2
In regulation 11 (the rate of the national minimum wage), for “£6.08” substitute “£6.19”.
3
In paragraph (5A)(a) of regulation 12 (workers who do not qualify for the national minimum wage), after “Advanced Apprenticeships” insert “, or known as Intermediate Level Apprenticeships or Advanced Level Apprenticeships”.
4
In regulation 13 (workers who qualify for the national minimum wage at a different rate) —
a
in paragraph (3) for “£2.60” substitute “£2.65”;
b
in paragraph (6)(b)(i) after “Advanced Apprenticeships” insert “, or known as Intermediate Level Apprenticeships or Advanced Level Apprenticeships”.
5
In regulations 33(e) and 35(f), after the words “by regulation 31(3)” insert “or (6)”.
6
In regulation 36(1) (amount permitted to be taken into account where living accommodation is provided), for “£4.73” substitute “£4.82”.
Regulation 11(3) of the Agency Workers Regulations 2010
3
In regulation 11(3) of the Agency Workers Regulations 2010 delete the words “as amended by the National Minimum Wage (Amendment) Regulations 2011”.
Transitional Provision
4
The amendments to the Principal Regulations made by regulation 2(2), (4)(a) and (6) do not apply in relation to a pay reference period beginning before 1st October 2012.
Jo Swinson
Parliamentary Under Secretary of State for Employment Relations and Consumer Affairs
Department for Business, Innovation and Skills
15th September 2012 |
The Social Security (Contributions) (Amendment No. 3) Regulations 2012
The Commissioners for Her Majesty’s Revenue and Customs make the following Regulations in exercise of the powers conferred by section 175(4) of, and paragraph 6(1) and (2) of Schedule 1 to, the Social Security Contributions and Benefits Act 1992 and section 171(4) and (10) of, and paragraph 6(1) and (2) of Schedule 1 to, the Social Security Contributions and Benefits (Northern Ireland) Act 1992 and now exercisable by them :
PART 1 General
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Social Security (Contributions) (Amendment No. 3) Regulations 2012 and come into force on 6th April 2012.
2
In these Regulations —
“the 2001 Regulations ” means the Social Security (Contributions) Regulations 2001 ;
“the 2003 Regulations ” means the Income Tax (Pay As You Earn) Regulations 2003 ; and
“the 2012 Regulations ” means the Income Tax (Pay As You Earn) (Amendment) Regulations 2012 .
Amendment of the 2001 Regulations
2
The 2001 Regulations are amended as provided for in regulations 3 to 14 and 17 to 31.
PART 2 Real Time Information
CHAPTER 1
Amendments to the 2001 Regulations
Collection and recovery of earnings-related contributions and Class 1B contributions
3
After regulation 67(2) (collection and recovery of earnings-related contributions and Class 1B contributions) insert —
3
Schedules 4A (real time returns) and 4B (additional information about payments) apply to and for the purposes of earnings–related contributions.
.
Mandatory electronic payment
4
In regulation 90H(2) (mandatory electronic payment), before “68” insert “67G or”.
Interpretation of Schedule 4
5
In paragraph 1 of Schedule 4 (provisions derived from the Income Tax Acts and the Income Tax (Pay As You Earn) Regulations 2003: interpretation) —
a
in sub-paragraph (2) insert the following in the appropriate places —
“non-Real Time Information employer” means an employer other than one within sub-paragraph (4);
;
“Real Time Information employer” has the meaning given in sub-paragraph (4);
, and
b
after sub-paragraph (3) insert —
4
The following are Real Time Information employers for the purposes of this Schedule —
a
an employer who has entered into an agreement with HMRC to comply with the provisions of this Schedule which are expressed as relating to Real Time Information employers;
b
an employer within sub-paragraph (5);
c
on and after 6th April 2013, employers to whom paragraph 21D (exceptions to paragraph 21A) applies; and
d
on and after 6th October 2013, all employers.
5
An employer is within this paragraph if the employer has been given a general or specific direction by the Commissioners for Her Majesty’s Revenue and Customs before 6th October 2013 to deliver to HMRC returns under paragraph 21A of this Schedule (real time returns of information about payments of general earnings).
.
Payment of earnings-related contributions monthly by employer
6
In paragraph 10 of Schedule 4 (payment of earnings-related contributions monthly by employer) —
a
in sub-paragraph (2), after “tax month” insert “(and, where required, reported under paragraph 21A or 21D)”; and
b
after sub-paragraph (3) insert —
3A
The amount specified in sub-paragraph (2) must be adjusted to take account of errors corrected under paragraph 21E(5), other than in cases where paragraph 21E(4) applies.
.
Payments of earnings-related contributions quarterly by employer
7
In paragraph 11 of Schedule 4 (payment of earnings related contributions quarterly by employer) —
a
in sub-paragraph (2), after “tax quarter” insert “(and, where required, reported under paragraph 21A or 21D)”;
b
after sub-paragraph (3) insert —
3A
The amount specified in sub-paragraph (2) must be adjusted to take account of errors corrected under paragraph 21E(5), other than in cases where paragraph 21E(4) applies.
; and
c
in sub-paragraph (4), in the definition of “P”, before “68” insert “67G or”.
Payments to and recoveries from HMRC for each tax period by Real Time Information employers: returns under paragraph 21E(6)
8
After paragraph 11 of Schedule 4 insert —
Payments to and recoveries from HMRC for each tax period by Real Time Information employers: returns under paragraph 21E(6)
11ZA
1
This paragraph applies if, during any tax period, an employer makes a return under paragraph 21E(6) (returns under paragraph 21A and 21D: amendments) other than by virtue of paragraph 21E(4).
2
The amount specified in paragraph 10(2) or, as the case may be, 11(2) for the final tax period in the year covered by the return is to be adjusted to take account of the information in the return.
3
If the value of the adjustment required by paragraph (2) is a negative amount, the employer may recover that amount —
a
by setting it off against the amount the employer is liable to pay under paragraph 10(2) or, as the case may be, 11(2) for the tax period the return is made in; or
b
from the Commissioners for Her Majesty’s Revenue and Customs.
4
But paragraph (3) does not apply in relation to primary Class 1 contributions in a case where those contributions were deducted in error and the excess deduction has not been refunded to the employee.
.
Employer failing to pay earnings-related contributions
9
In paragraph 14(1) of Schedule 4 (employer failing to pay earnings-related contributions), for “the employer” in the first place it appears substitute “a non-Real Time Information employer”.
Specified amount of earnings-related contributions payable by the employer
10
In paragraph 15 of Schedule 4 (specified amount of earnings-related contributions payable by the employer), after paragraph (1A) insert —
1B
In arriving at an amount under paragraph (1), HMRC may also take into account any returns made by the employer under this Schedule in the tax period in question or earlier tax periods.
.
Returns
11
After paragraph 21 of Schedule 4 (application of paragraphs 10, 12, 16, 17, 18, 19 and 20) insert —
Real time returns of information about payments of general earnings
21A
1
On or before making any payment of general earnings to an employee a Real Time Information employer must deliver to HMRC the information specified in Schedule 4A (real time returns) in accordance with this paragraph unless the employer is not required to maintain a deductions working sheet for any employees.
2
The information must be included in a return.
3
Subject to paragraph (4), if payments of general earnings are made to more than one employee at the same time, the return under sub-paragraph (2) must include the information required by Schedule 4A in respect of each employee to whom a payment of general earnings is made at that time.
4
If payments of general earnings are made to more than one employee at the same time but the employer operates more than one payroll, the employer must make a return in respect of each payroll.
5
The return is to be made using an approved method of electronic communications and regulation 90N(2) (mandatory use of electronic communications) applies as if the return was a paragraph 22 return within the meaning given by regulation 90M (paragraph 22 return and specified payments).
6
Section 98A of the Taxes Management Act 1970 (special penalties in case of certain returns) applies to returns within sub-paragraph (7).
7
A return is within this sub-paragraph if it is one of the following —
a
a return which relates to payments of general earnings made on the final normal pay day in the tax year 2012-13 for any of the employees in respect of whom information is included in the return; or
b
a return which contains information about the final payment of general earnings made to any employee in the tax year 2012-13 where —
i
the payment is made after the employee’s final normal pay day in the tax year, or
ii
the employee is paid at irregular intervals.
8
Schedule 24 to the Finance Act 2007 (penalties for errors), as that Schedule applies to income tax returns, shall apply in relation to the requirement to make a return contained in sub-paragraph (2).
Modification of the requirements of paragraph 21A: notional payments
21B
1
This regulation applies if an employer makes a payment of general earnings to an employee which, for the purposes of tax, is a notional payment within the meaning given by section 710(2) of ITEPA 2003 (including a notional payment arising by virtue of a retrospective tax provision).
2
If the employer is unable to comply with the requirement in paragraph 21A(1) to deliver the information required by that paragraph on or before making the payment, the employer must instead deliver the information as soon as reasonably practicable after the payment is made and in any event no later than —
a
the time at which the employer delivers the information required by regulation 67B of the PAYE Regulations (real time returns of information about relevant payments) in respect of the payment;
b
the time at which the employer makes a deduction from earnings in respect of the payment in accordance with paragraph 7 (calculation of deduction); or
c
14 days after the end of the tax month the payment is made in,
whichever is earliest.
Relationship between paragraph 21A and aggregation of earnings
21C
1
Where an employee’s earnings are aggregated, a Real Time Information employer or, as the case may be, Real Time Information employers must make such arrangements as are necessary to ensure that the information specified in paragraph (2) in respect of all the aggregated earnings is included in the information given in respect of one of the employee’s employments only.
2
The information specified in this paragraph is the information specified in paragraphs 7 and 10(b) and (d) of Schedule 4A (real time returns).
Exceptions to paragraph 21A
21D
1
This paragraph applies to —
a
an individual who is a practising member of a religious society or order whose beliefs are incompatible with the use of electronic communications;
b
a partnership, if all the partners fall within sub-paragraph (a);
c
a company, if all the directors and the company secretary fall within sub-paragraph (a);
d
a care and support employer.
2
A Real Time Information employer to whom this paragraph applies may proceed in accordance with this paragraph instead of paragraph 21A.
3
A Real Time Information employer must deliver to HMRC the information specified in Schedule 4A in respect of each employee to whom a payment of general earnings is made in a tax month unless the employer is not required to maintain a deductions working sheet for any employees and, for the purposes of this paragraph, references in Schedule 4A to a payment of general earnings shall be read as if they were references to all the payments made to the employee in the tax month.
4
The information must be included in a return in such a form as HMRC may approve or prescribe.
5
The return required under sub-paragraph (4) must be delivered within 14 days after the end of the tax month the return relates to.
6
If payments of general earnings have been made to more than one employee in the tax month, the return under sub-paragraph (4) must include the information required by Schedule 4A in respect of each employee to whom a payment of general earnings has been made.
7
Section 98A of the Taxes Management Act 1970 applies to returns within sub-paragraph (8).
8
A return is within this sub-paragraph if it is one of the following —
a
a return which contains information about the payment of general earnings made on the final normal pay day in the tax year 2012-13 for any of the employees in respect of whom information is included in the return; or
b
a return which contains information about the final payment of general earnings made to any employee in the tax year 2012-13 where —
i
the payment is made after the employee’s final normal pay day in the tax year, or
ii
the employee is paid at irregular intervals.
9
Schedule 24 to the Finance Act 2007, as that Schedule applies to income tax returns, shall apply in relation to the requirement to make a return contained in sub-paragraph (4).
10
In sub-paragraph (1)(c), “company” means a body corporate or unincorporated association but does not include a partnership.
11
In sub-paragraph (1)(d), “care and support employer” means an individual (“the employer”) who employs a person to provide domestic or personal services at or from the employer’s home where —
a
the services are provided to the employer or a member of the employer’s family;
b
the recipient of the services has a physical or mental disability, or is elderly or infirm; and
c
it is the employer who delivers the return (and not some other person on the employer’s behalf).
Returns under paragraphs 21A and 21D: amendments
21E
1
This paragraph applies where an employer discovers an error in a return made under paragraph 21A (real time returns of information about payments of general earnings) or 21D (exceptions to paragraph 21A) and sub-paragraph (2), (3) or (4) applies.
2
This sub-paragraph applies where the error relates to the information given in the return in respect of an employee under paragraphs 7, 10(b), 10(d), 13, 14, 15, 16 or 18 of Schedule 4A (real time returns).
3
This sub-paragraph applies where the error was the omission of details of a payment of general earnings to an employee.
4
This sub-paragraph applies where retrospective earnings increase the total amount of the general earnings paid to the employee for any tax year in which the employer was a Real Time Information employer.
5
The employer must provide the correct information in the first return made after the discovery of the error under paragraph 21A or 21D for the tax year in question.
6
But if the information given has not been corrected before 20th April following the end of the tax year in question, the employer must make a return under this sub-paragraph.
7
A return under sub-paragraph (6) —
a
must include the following —
i
the information specified in paragraphs 2 and 12 of Schedule 4A,
ii
the year to which the return relates,
iii
the value of the adjustment, if any, to the information given under each of the paragraphs of Schedule 4A referred to in sub-paragraph (2) in the final return under paragraph 21A or 21D containing information in respect of the employee in the tax year in question,
iv
if an adjustment is made to the information given under paragraph 7 or 10(b) or (d) of Schedule 4A, the information specified in paragraph 6 of that Schedule,
v
if an adjustment is made to the information given under paragraph 10(d) of Schedule 4A that decreases the amount reported under that paragraph, an indication of whether the employer has refunded the primary Class 1 contributions paid in error to the employee, and
vi
if an adjustment is made to the information given under paragraph 16 of Schedule 4A, the information specified in paragraph 17 of that Schedule if it has not already been provided;
b
must be made as soon as reasonably practicable after the discovery of the error; and
c
must be made using an approved method of electronic communications.
8
In the application of sub-paragraphs (6) and (7) to cases within sub-paragraph (3), if no information was given in any returns under paragraph 21A or 21D in respect of the employee in the tax year, the value of any adjustments required must be calculated as if there was a final return containing information for the employee in the year and the figure requiring adjustment was zero.
9
Sub-paragraph (7)(c) does not apply if the employer is one to whom paragraph 21D applies but in those circumstances the return must be in such a form as HMRC may approve or prescribe.
Additional information about payments
21F
1
A Real Time Information employer must inform HMRC of each of the amounts specified in Schedule 4B (additional information about payments) for each tax period unless sub-paragraph (4) or (5) applies.
2
The information must be given in a return.
3
The return must be delivered within 14 days after the end of the tax period.
4
This sub-paragraph applies if —
a
all of the amounts are zero; and
b
the employer has not made a return under sub-paragraph (2) in the tax year.
5
This paragraph applies if none of the amounts has changed in the tax period.
6
If an employer makes an error in a return under this paragraph, the employer must provide the correct information in the first return made under sub-paragraph (2) after the discovery of the error.
7
But if the information given has not been corrected before 20th April following the end of the year in question, the employer must provide the correct information for the year in question in a return under this sub-paragraph.
8
A return under sub-paragraph (2) or (7) —
a
must state —
i
the year to which the return relates,
ii
the employer’s HMRC office number,
iii
the employer’s PAYE reference, and
iv
the employer’s accounts office reference;
b
is to be made using an approved method of electronic communications.
9
A return under sub-paragraph (2) may include the information required by paragraph 12 of Schedule 4A (real time returns) if it is the final return the employer expects to make under sub-paragraph (2) for the year, in which case it need not be notified in accordance with paragraph 12 of Schedule 4A.
10
For the purposes of sub-paragraph (8)(b), regulation 90N(2) (mandatory use of electronic communications) applies as if the return was a paragraph 22 return within the meaning given by regulation 90M (paragraph 22 return and specified payments).
11
The requirement to use an approved method of electronic communications does not apply if the employer is one to whom paragraph 21D (exceptions to paragraph 21A) applies but in those circumstances the return must be in such a form as HMRC may approve or prescribe.
12
Schedule 24 to the Finance Act 2007 (penalties for errors), as that Schedule applies to income tax returns, shall apply in relation to the requirement to make a return contained in sub-paragraph (2) or (7).
.
Return by employer at end of year
12
In paragraph 22 of Schedule 4 (return by employer at end of year), before sub-paragraph (1) insert —
A1
This regulation applies to —
a
non-Real Time Information employers;
b
Real Time Information employers in relation to years in which they were, for the whole of the year, non-Real Time information employers; and
c
Real Time Information employers to whom HMRC has given a notice requiring a return under regulation 73 of the PAYE Regulations (annual return of relevant payments liable to deduction of tax (Forms P35 and P14) in respect of a tax year.
.
Return by employer of recovery under the Statutory Sick Pay Percentage Threshold Order
13
In paragraph 25(1) of Schedule 4 (return by employer of recovery under the Statutory Sick Pay Percentage Threshold Order), for “an employer” substitute “a non-Real Time Information employer”.
New Schedules
14
After Schedule 4 insert Schedules 4A and 4B as set out in the Schedule to these Regulations.
CHAPTER 2
Transitional provisions
15
Regulation 54 of the 2012 Regulations (information about payments to employees) applies as if paragraph (2) of that regulation included a requirement to provide the information specified in paragraphs 6, 7 and 10 and, if applicable, paragraphs 5, 8 and 9 of Schedule 4A to the 2001 Regulations, as inserted by these Regulations.
16
A notification under regulation 56 of the 2012 Regulations (postponement of first return under regulation 67B or 67D of the 2003 Regulations) applies to returns under paragraphs 21A and 21D of Schedule 4 to the 2001 Regulations, as inserted by these Regulations, as if they were returns under regulations 67B (real time returns of information about relevant payments) and 67D (exceptions to regulation 67B) of the 2003 Regulations.
PART 3 Security for the payment of Class 1 and Class 1A contributions
Amendments relating to Class 1A contributions
17
After regulation 83 (set-off of Class 1A contributions falling to be repaid against earnings-related contributions) insert —
Requirement to give security or further security for amounts of Class 1A contributions
83A
Paragraphs 29M to 29X of Schedule 4 (security for payment of Class 1 contributions) apply in relation to Class 1A contributions as they apply in relation to Class 1 contributions but as if —
a
in paragraph 29N —
i
the reference to “Class 1 contributions” were a reference to “Class 1A contributions”; and
ii
the reference to “paragraph 10, 11 or 11A” were a reference to “section 10 or 10ZA of the Social Security Contributions and Benefits Act 1992, or section 10 or 10ZA of the Social Security Contributions and Benefits (Northern Ireland) Act 1992, as the case may be”; and
b
in paragraph 29O(1) for “within the meaning given in paragraph 1(2)” there were substituted “within the meaning given in regulation 70(4)”.
Amendments relating to Class 1 contributions
18
After Part 3A of Schedule 4 (debts of managed service companies) insert —
PART 3B Security for the payment of Class 1 contributions
Interpretation
29M
In this Part —
“employer” has the meaning given in paragraph 29O(1);
“a further notice” has the meaning given in paragraph 29U(3);
“ PGS ” has the meaning given in paragraph 29S(1).
Requirement for security
29N
In circumstances where an officer of Revenue and Customs considers it necessary for the protection of Class 1 contributions, the officer may require a person described in paragraph 29P(1) to give security or further security for the payment of amounts which an employer is or may be liable to pay to HMRC under paragraph 10, 11 or 11A.
Employers
29O
1
An “employer” is any employer within the meaning given in paragraph 1(2) other than —
a
the Crown;
b
a person to whom sub-paragraph (2) applies;
c
a person who employs only employees who are personal employees within the meaning given in regulation 34(3) of the PAYE Regulations; and
d
a care and support employer within the meaning given in regulation 90NA(3) of these Regulations.
2
This sub-paragraph applies to persons who at the relevant time could not be liable to a penalty under Schedule 56 to the Finance Act 2009 by virtue of paragraph 10 of that Schedule (suspension of penalty for failure to make payments on time during currency of agreement for deferred payment).
3
In sub-paragraph (2), the relevant time is a time at which, but for sub-paragraph (1)(b), the officer would require security.
Persons from whom security can be required
29P
1
The persons are —
a
the employer;
b
any of the following in relation to the employer —
i
a director;
ii
a company secretary;
iii
any other similar officer; or
iv
any person purporting to act in such a capacity; and
c
in a case where the employer is a limited liability partnership, a member of the limited liability partnership.
2
An officer of Revenue and Customs may require —
a
a person to give security or further security of a specified value in respect of the employer; or
b
more than one person to give security or further security of a specified value in respect of the employer, and where the officer does so those persons shall be jointly and severally liable to give that security or further security.
Notice of requirement
29Q
1
An officer of Revenue and Customs must give notice of a requirement for security to each person from whom security is required and the notice must specify —
a
the value of security to be given;
b
the manner in which security is to be given;
c
the date on or before which security is to be given; and
d
the period of time for which security is required.
2
The notice must include, or be accompanied by, an explanation of —
a
the employer’s right to make a request under paragraph 10(1) of Schedule 56 to the Finance Act 2009; and
b
the effect of paragraph 29R(2) and (3).
3
In a case which falls within paragraph 29P(2)(b), the notice must include, or be accompanied by, the names of each other person from whom security is required.
4
The notice may contain such other information as the officer considers necessary.
5
A person shall not be treated as having been required to provide security unless HMRC comply with this paragraph and paragraph 29R(1).
6
Notwithstanding anything in regulation 1(4)(b), where the notice, or a further notice, (“contributions notice”) is to be given with a notice or further notice mentioned in regulations 97Q(1) and 97U(3) of the PAYE Regulations (“PAYE notice”) the contributions notice shall be taken to be given at the same time that the PAYE notice is given.
Date on which security is due
29R
1
The date specified under paragraph 29Q(1)(c) may not be earlier than the 30th day after the day on which the notice is given.
2
If, before the date specified under paragraph 29Q(1)(c), the employer makes a request under paragraph 10(1) of Schedule 56 to the Finance Act 2009, the requirement to give security on or before that date does not apply.
3
In a case which falls within sub-paragraph (2), if HMRC does not agree to the employer’s request, security is to be given on or before the 30th day after the day on which HMRC notifies the employer of that decision.
Application for reduction in the value of security held
29S
1
A person who has given security (“PGS”) may apply to an officer of Revenue and Customs for a reduction in the value of security held by HMRC if —
a
PGS’ circumstances have changed since the day the security was given because —
i
of hardship; or
ii
PGS has ceased to be a person mentioned in paragraph 29P(1); or
b
since the day the security was given there has been a significant reduction in the number of employed earners of the employer to whom the security relates or that employer has ceased to be an employer.
2
Where paragraph 29P(2)(b) applies, a person who has not contributed to the value of the security given may not make an application under sub-paragraph (1).
Outcome of application under paragraph 29S
29T
1
If an application under paragraph 29S(1) is successful, the officer must inform PGS of the reduced value of security that is still required or, where that value is nil, that the requirement for security has been cancelled.
2
HMRC may make such arrangements as they think fit to ensure the necessary reduction in the value of security held.
Outcome of application under paragraph 29S: further provision
29U
1
This paragraph applies —
a
in cases which fall within paragraph 29P(2)(b); and
b
where PGS’ application is made under paragraph 29S(1)(a).
2
As a consequence of arrangements made under paragraph 29T(2), an officer of Revenue and Customs may require any other person who was given notice under paragraph 29Q in relation to the security (“the original security”), or any other person mentioned in paragraph 29P(1), to provide security in substitution for the original security.
3
Where an officer of Revenue and Customs acts in reliance on sub-paragraph (2), the officer must give notice (“a further notice”).
4
Paragraph 29Q(1) to (5) and paragraph 29R apply in relation to a further notice.
5
Subject to sub-paragraph (6), paragraph 29V(1) applies in relation to a further notice.
6
A person who is given a further notice and who was also given notice under paragraph 29Q in relation to the original security may only appeal on the grounds that the person is not a person mentioned in paragraph 29P(1).
Appeals
29V
1
A person who is given notice under paragraph 29Q may appeal against the notice or any requirement in it.
2
PGS may appeal against —
a
the rejection by an officer of Revenue and Customs of an application under paragraph 29S(1); and
b
a smaller reduction in the value of security held than PGS applied for.
3
Notice of an appeal under this paragraph must be given —
a
before the end of the period of 30 days beginning with —
i
in the case of an appeal under sub-paragraph (1), the day after the day on which the notice was given; and
ii
in the case of an appeal under sub-paragraph (2), the day after the day on which PGS was notified of the outcome of the application; and
b
to the officer of Revenue and Customs by whom the notice was given or the decision on the application was made, as the case may be.
4
Notice of an appeal under this paragraph must state the grounds of appeal.
5
On an appeal under sub-paragraph (1) that is notified to the tribunal, the tribunal may —
a
confirm the requirements in the notice;
b
vary the requirements in the notice; or
c
set aside the notice.
6
On an appeal under sub-paragraph (2) that is notified to the tribunal, the tribunal may —
a
confirm the decision on the application; or
b
vary the decision on the application.
7
On the final determination of an appeal under this paragraph —
a
subject to any alternative determination by a tribunal or court, any security to be given is due on the 30th day after the day on which the determination is made; or
b
HMRC may make such arrangements as they think fit to ensure the necessary reduction in the value of the security held.
8
Part 5 of the Taxes Management Act 1970 (appeals and other proceedings) applies in relation to an appeal under this paragraph as it applies in relation to an appeal under the Taxes Acts but as if —
a
sections 46D, 47B, 50(6) to (9) and (11)(c) and 54A to 57 were omitted; and
b
in section 48(1) —
i
in paragraph (a) the reference to “the Taxes Acts” were a reference to “paragraph 29V of Schedule 4 to the Social Security (Contributions) Regulations 2001”; and
ii
in paragraph (b) the reference to “any provision of the Taxes Acts” were a reference to “paragraph 29V of Schedule 4 to the Social Security (Contributions) Regulations 2001”.
Appeals: further provision for cases which fall within paragraph 29R(2)
29W
In a case which falls within paragraph 29R(2), if the request mentioned in that provision is made before an appeal under paragraph 29V(1), paragraph 29V(3)(a)(i) applies as if the words “the day after the day on which the notice was given” were “the day after the day on which HMRC notifies the employer of its decision”.
Offence
29X
1
Section 684(4A) of the Income Tax (Earnings and Pensions) Act 2003 (PAYE regulations – security for payment of PAYE: offence) applies in relation to a requirement imposed under these Regulations as it applies in relation to a requirement imposed under the PAYE Regulations.
2
For the purposes of section 684(4A) as it applies by virtue of sub-paragraph (1) —
a
in relation to a requirement for security under a notice under paragraph 29Q the period specified is the period which starts with the day the notice is given and ends with —
i
the first day after the date specified under paragraph 29Q(1)(c); or
ii
in a case which falls within paragraph 29R(2), the first day after the date determined under paragraph 29R(3);
b
in relation to a requirement for security under a further notice the period specified is the period which starts with the day the further notice is given and ends with —
i
the first day after the date specified under paragraph 29Q(1)(c) as it applies in relation to the further notice; or
ii
in a case which falls within paragraph 29R(2), the first day after the date determined under paragraph 29R(3) as it applies in relation to the further notice; and
c
in relation to a requirement for security to which paragraph 29V(7)(a) applies the period specified is the period which starts with the day the determination is made and ends with the first day after —
i
the day the tribunal or court determines to be the day that the security is to be given; or
ii
the day determined in accordance with that paragraph,
as the case may be.
.
PART 4 Other amendments
19
In regulation 80 (return by employer) —
a
for paragraph (3) substitute —
3
The declaration must be —
a
signed by the employer; or,
b
where the employer is a body corporate, signed either by the secretary or by a director.
; and
b
after paragraph (3) insert —
3A
Where the return referred to in this regulation is rendered as mentioned in paragraph (1A)(b) the declaration must, instead of being signed, be authenticated by or on behalf of the employer in such a manner as may be approved by HMRC.
.
20
In paragraph 1(2) of Schedule 4 (interpretation) —
a
for “general earnings” and its definition substitute —
“general earnings” means so much of a person’s remuneration or profits derived from employed earner’s employment as constitutes earnings for the purposes of the Act;
; and
b
omit the definition of “the Reimbursement Regulations”.
21
In paragraph 7(13)(b) of Schedule 4 (calculation of deduction) —
a
for sub-paragraph (ii) substitute —
ii
earnings which exceed the current lower earnings limit but do not exceed the current primary threshold,
; and
b
for sub-paragraph (iii) substitute —
iii
earnings which exceed the current primary threshold but do not exceed the upper accrual point,
.
22
In paragraph 9 of Schedule 4 (certificate of contributions paid) —
a
in sub-paragraph (2), for “general earnings” substitute “relevant payments”; and
b
after sub-paragraph (2) insert —
3
In sub-paragraph (2), “relevant payments” has the meaning given in the PAYE Regulations.
.
23
In paragraph 10(2) of Schedule 4 (payment of earnings-related contributions monthly by employer), omit the words “and the Reimbursement Regulations”.
24
In paragraph 11(2) of Schedule 4 (payments of earnings-related contributions quarterly by employer), omit the words “and Reimbursement Regulations”.
25
In paragraph 11(4) of Schedule 4, in the definition of “L”, for “regulation 39(1) of the Education (Student Loans) (Repayment) Regulations 2000 (payment of repayments deducted to the Inland Revenue)” substitute “regulation 54(1) of the Education (Student Loans) (Repayment) Regulations 2009 (payment of repayments deducted to HMRC)”.
26
In —
a
paragraph 15(1A)(c) of Schedule 4 (specified amount of earnings-related contributions payable by the employer);
b
paragraph 16(5)(e) of Schedule 4 (recovery of earnings-related contributions or Class 1B contributions); and
c
the first column of the table in Part 2 of Schedule 7 (corresponding Northern Ireland enactments),
for “Education (Student Loans) (Repayment) Regulations 2000” substitute “Education (Student Loans) (Repayment) Regulations 2009”.
27
In paragraph 22(1) and (2) of Schedule 4 (return by employer at end of year) —
a
at the end of sub-paragraph (daa) insert “and”;
b
for “; and” in sub-paragraph (db) substitute a full stop; and
c
omit sub-paragraph (e).
28
In paragraph 22(2)(daa) of Schedule 4, after “Paternity” insert “Pay”.
29
In paragraph 24(2) of Schedule 4 (special return by employer at end of voyage period) —
a
at the end of sub-paragraph (f) insert “and”;
b
for “; and” in sub-paragraph (g) substitute a full stop; and
c
omit sub-paragraph (h).
30
In paragraph 25(2) of Schedule 4 (return by employer of recovery under the Statutory Sick Pay Percentage Threshold Order), for “23(3)” substitute “22(3)”.
31
In the second column of the table in Part 2 of Schedule 7, for “Education (Student Loans) (Repayment) Regulations (Northern Ireland) 2000” substitute “Education (Student Loans) (Repayment) Regulations (Northern Ireland) 2009 ”.
Steve Lamey
Stephen Banyard
Two of the Commissioners for Her Majesty’s Revenue and Customs
14th March 2012
SCHEDULE
Regulation 14
SCHEDULE 4A
Real time returns
Regulation 67(3)
1
The information specified in this Schedule is as follows and terms used in this Schedule which are defined for the purposes of Schedule 4 bear the same meaning as in that Schedule.
Information about the employer and the employee
2
The information specified in paragraphs 2 to 4 and 8 to 14 of Schedule A1 (real time returns) to the PAYE Regulations.
Information about payments to the employee, etc
3
The amount of the payment made that is included in the amount of the employee’s earnings from the employment for the purposes of determining the amount of earnings-related contributions payable.
4
For the purposes of assessing earnings-related contributions based on the payment, the number of earnings periods the payment relates to.
5
Where —
a
the earner is concurrently employed in more than one employed earner’s employment under the same employer but regulation 14 (aggregation of earnings paid in respect of separate employed earner’s employments under the same employer) does not apply; or
b
regulation 15 (aggregation of earnings paid in respect of different employed earner’s employments by different persons and apportionment of contribution liability) applies in relation to the earner,
an indication of whether the return relates to earnings which have been or will be aggregated.
6
The appropriate category letter or, as the case may be, letters in relation to the employee (being the appropriate letter or letters indicated by HMRC).
7
For the category letter or, as the case may be, each category letter in relation to the employee (being the appropriate letter or letters indicated by HMRC), the total of the amounts required to be recorded by paragraph 7(13)(b)(i) to (iiia) of Schedule 4 (calculation of deduction) for the year to date.
8
If the employee is a director, in so far as relevant to the relevant category letter (being the appropriate category letter indicated by HMRC) in relation to the employee —
a
an indication of whether, for the purposes of assessing earnings-related contributions based on the payment, the employer has relied on regulation 8(2) or (3) (earnings periods for directors), or
b
an indication of whether, for the purposes of assessing earnings-related contributions based on the payment, the employer has relied or, if the earnings fall to be aggregated, will rely on regulation 8(6).
9
Where regulation 8(2) applies and the appointment was in the current tax year, the week in which the appointment was made.
10
In so far as relevant to the relevant category letter or, as the case may be, letters (being the appropriate category letter or letters indicated by HMRC) in relation to the employee —
a
the total amount of secondary Class 1 contributions payable on the employee’s earnings in the earnings period in which the return is made,
b
the total amount of secondary Class 1 contributions payable on the employee’s earnings in the year to date,
c
the total amount of primary Class 1 contributions payable on the employee’s earnings in the earnings period in which the return is made, and
d
the total amount of primary Class 1 contributions payable on the employee’s earnings in the year to date.
11
In a case where the earnings the return relates to will fall to be aggregated with other earnings in the same earnings period, the information required by paragraphs 6, 7 and 10 need only be provided when the final payment of general earnings in the earnings period is made.
12
If —
a
the employee’s employment is contracted-out or was contracted out at any time during the year, and
b
the return is the final return under paragraph 21A or 21D of Schedule 4 that the employer expects to make for the year in respect of the employee,
the number notified by HMRC on the relevant contracting out certificate as the employer’s number unless that number has been or will be notified as part of a return made under paragraph 21F of Schedule 4 (additional information about payments).
Information about statutory sick pay
13
In a case where the employer is entitled to recover an amount in accordance with article 2 (right of employer to recover statutory sick pay) of the Statutory Sick Pay Percentage Threshold Order 1995 in respect of a payment of statutory sick pay, the total amount of statutory sick pay paid during the year to date in this employment.
Information about statutory maternity pay
14
If any, the total amount of statutory maternity pay paid during the year to date in this employment.
Information about ordinary statutory paternity pay
15
If any, the total amount of ordinary statutory paternity pay paid during the year to date in this employment.
Information about additional statutory paternity pay
16
If any, the total amount of additional statutory paternity pay paid during the year to date in this employment.
17
Where additional statutory paternity pay has been paid during the year to date, the following information from the employee’s application for the payment under, as the case may be, regulation 8, 10, 15 or 17 (applications) of the Additional Statutory Paternity Pay (General) Regulations 2010 —
a
the name of the mother or, as the case may be, the adopter of the child the application relates to, and
b
the national insurance number of the mother or, as the case may be, the adopter of the child the application relates to.
Information about statutory adoption pay
18
If any, the total amount of statutory adoption pay paid in the year to date in this employment.
SCHEDULE 4B
Additional information about payments
Regulation 67(3)
1
The amounts specified in this Schedule are as follows and terms used in this Schedule which are defined for the purposes of Schedule 4 bear the same meaning as in that Schedule.
Deductions in respect of statutory payments
2
In respect of statutory maternity pay paid during the year to date to all employees the total of the amounts determined under regulation 3 (determination of the amount of additional payment to which a small employer shall be entitled) of the Statutory Maternity Pay (Compensation of Employers) and Miscellaneous Amendments Regulations 1994 and deducted by virtue of regulation 4 (right of employer to prescribed amount) of those Regulations.
3
In respect of ordinary statutory paternity pay paid during the year to date to all employees, the total of the amounts determined under regulation 5 (deductions from payments to HMRC) of the Statutory Paternity Pay and Statutory Adoption Pay (Administration) Regulations 2002 .
4
In respect of additional statutory paternity pay paid during the year to date to all employees, the total of the amounts determined under regulation 5 (deductions from payment to the Commissioners) of the Additional Statutory Paternity Pay (Birth, Adoption and Adoptions from Overseas) (Administration) Regulations 2010 .
5
In respect of statutory adoption pay paid during the year to date to all employees, the total of the amounts determined under regulation 5 of the Statutory Paternity Pay and Statutory Adoption Pay (Administration) Regulations 2002.
6
In respect of statutory sick pay paid during the year to date to all employees, the total of the amounts recovered in accordance with article 2 (right of employer to recover statutory sick pay) of the Statutory Sick Pay Percentage Threshold Order 1995.
Regional secondary contributions holiday for new businesses
7
The total of the appropriate amounts within the meaning given by section 7 of the National Insurance Contributions Act 2011 (regional secondary contributions holiday for new businesses) deducted by or refunded to the employer under section 4 of that Act in the year to date. |
The Tribunal Procedure (Amendment No. 2) Rules 2012
The Lord Chancellor has allowed the Rules in accordance with paragraph 28(3) of that Schedule.
Citation and commencement
1
These Rules may be cited as the Tribunal Procedure (Amendment No. 2) Rules 2012 and come into force —
a
for the purposes of rules 2 and 3, on 1st September 2012;
b
for all other purposes, on 1st July 2012.
Amendments to the Tribunal Procedure (First-tier Tribunal) (Health, Education and Social Care Chamber) Rules 2008
2
The Tribunal Procedure (First-tier Tribunal) (Health, Education and Social Care Chamber) Rules 2008 are amended as follows.
3
In paragraph (1) of rule 21 (the response) —
a
in sub-paragraph (c), after “in schools case” insert “to which sub-paragraph (cc) does not apply”;
b
at the end of sub-paragraph (c) insert a new sub-paragraph —
cc
in a disability discrimination in schools case that includes a claim for the reinstatement of a child who has been permanently excluded, within 15 working days after the respondent received the application notice;
.
Amendments to the Tribunal Procedure (Upper Tribunal) Rules 2008
4
The Tribunal Procedure (Upper Tribunal) Rules 2008 are amended as follows.
5
In paragraph (3) of rule 1 (interpretation etc ) —
a
in the definition of “appropriate national authority” after “Scottish Ministers” insert “, the Department of the Environment in Northern Ireland”;
b
for the definition of “authorised person” substitute —
“authorised person” means —
an examiner appointed by the Secretary of State under section 66A of the Road Traffic Act 1988 ;
an examiner appointed by the Department of the Environment in Northern Ireland under Article 74 of the Road Traffic (Northern Ireland) Order 1995 ; or
any person authorised in writing by the Department of the Environment in Northern Ireland for the purposes of the Goods Vehicles (Licensing of Operators) Act (Northern Ireland) 2010 ;
and includes a person acting under the direction of such an examiner or other authorised person, who has detained the vehicle to which an appeal relates;
c
in the definition of “respondent”, for “against any other decision except a decision of a traffic commissioner” substitute “other than a road transport case”;
d
before the definition of “tribunal” insert —
“road transport case” means an appeal against a decision of a traffic commissioner or the Department of the Environment in Northern Ireland;
.
6
In paragraph (3) of rule 20A (procedure for applying for a stay of a decision pending an appeal) —
a
in the first line, for “for a stay of a decision of a traffic commissioner” substitute “in a road transport case”;
b
for each reference to “traffic commissioner” in sub-paragraphs (a) and (b), substitute “decision maker”.
7
In paragraph (6) of rule 23 (notice of appeal), for sub-paragraph (b) substitute —
b
in a road transport case, to —
i
the decision maker;
ii
the appropriate national authority; and
iii
in a case relating to the detention of a vehicle, the authorised person
.
8
In paragraph (1) of rule 24 (response to the notice of appeal), for “an appeal against a decision of a traffic commissioner” substitute “a road transport case”.
9
In Schedule 1 (procedure after the notice of appeal in appeals against decisions of traffic commissioners) —
a
in the heading for “appeals against decisions of traffic commissioners” substitute “road transport cases”;
b
in paragraph 1, for “an appeal against the decision of a traffic commissioner” substitute “road transport cases”;
c
in paragraph 3, for each reference to “traffic commissioner” and “traffic commissioner’s”, substitute “decision maker” and “decision maker’s” respectively;
d
for paragraph 3(d), substitute —
d
in an appeal under —
i
section 50 of the Public Passenger Vehicles Act 1981 or section 37 of the Goods Vehicles (Licensing of Operators) Act 1995 , or
ii
section 35 of the Goods Vehicles (Licensing of Operators) Act (Northern Ireland) 2010,
a list of the names and addresses of objectors and representors.
;
e
in paragraph 4 —
i
in sub-paragraph (b) —
aa
before “each” insert “to”, and
bb
at the end of that sub-paragraph omit “and”;
ii
after sub-paragraph (c), insert —
d
in an appeal under section 35(5) of the Goods Vehicles (Licensing of Operators) Act (Northern Ireland) 2010, to each person who made representations under section 11(4) or 18(2) of that Act.
;
f
in paragraph 10, for “traffic commissioner” substitute “decision maker”.
We make these Rules
Brian F J Langstaff
Philip Brook Smith QC
Simon Cox
Simon Ennals
Mark Rowland
Lesley Clare
Douglas J May QC
Bronwyn McKenna
M T Reed
I allow these Rules,
Signed by the authority of the Lord Chancellor
J Djanogly
Parliamentary Under Secretary of State
Ministry of Justice
22nd May 2012 |
The Childcare (General Childcare Register) (Amendment) Regulations 2012
In accordance with sections 59(2) and 67(2) of that Act the Secretary of State has consulted Her Majesty’s Chief Inspector of Education, Children’s Services and Skills and other appropriate persons.
Citation and commencement
1
These Regulations may be cited as the Childcare (General Childcare Register) (Amendment) Regulations 2012 and come into force on 1st September 2012.
Amendments to the Childcare (General Childcare Register) Regulations 2008
2
The Childcare (General Childcare Register) Regulations 2008 are amended as follows.
3
In regulation 2 (interpretation) after “appropriate first aid qualification” insert —
“childminder’s assistant” means a person who assists a registered childminder with childminding of one or more children to whom they are not related, on domestic premises and regardless of whether the assistant is paid or not;
.
4
In Schedule 1 after paragraph 4 insert —
4A
The applicant has completed an appropriate course approved by an English local authority designed to enable the applicant to meet the requirements in Schedule 3 which are applicable to later years childminding.
.
5
1
Schedule 2 is amended as follows.
2
For paragraph 5 substitute —
5
The applicant has obtained an enhanced criminal record certificate in respect of the manager (if not the applicant).
.
3
Omit paragraphs 15 and 16.
6
1
Schedule 3 is amended as follows.
2
In paragraph 2, for sub-paragraph (1)(a) , substitute —
a
the later years childminder is present at all times on the relevant premises while the childcare is being provided, except for a maximum of two hours per day if —
i
a childminder’s assistant is present on the relevant premises in the childminder’s absence; and
ii
the parents of the child have given consent to the childminder for the child to be left with the childminder’s assistant.
.
3
In paragraph 8 —
a
in sub-paragraph (1) after “The later years provider” insert “, the manager of the later years provision”;
b
in sub-paragraph (2) after “children” insert “, including the manager,”; and
c
in sub-paragraph (3) after “every person” insert “, including the manager,”.
4
Omit paragraph 10.
5
In paragraph 26 —
a
at the end of sub-paragraph (b) omit “and”; and
b
at the end of sub-paragraph (c) add —
, and
d
the appointment of a new manager to manage the later years provision.
.
7
1
Schedule 5 is amended as follows.
2
For paragraph 5 substitute —
5
The applicant has obtained an enhanced criminal record certificate in respect of the manager (if not the applicant).
.
3
Omit paragraphs 15 and 16.
8
1
Schedule 6 is amended as follows.
2
For paragraphs 3 and 3A substitute —
3
A registered person who is registered as a childminder is present at all times on the relevant premises while the childcare is being provided, except for a maximum of two hours per day if —
a
a childminder’s assistant is present on the relevant premises in the childminder’s absence; and
b
the parents of the child have given written consent to the childminder for the child to be left with the childminder’s assistant.
.
3
In paragraph 10 —
a
in sub-paragraph (1) after “The registered person” insert “, the manager of the relevant premises”;
b
in sub-paragraph (2) after “children” insert “, including the manager,”; and
c
in sub-paragraph (3) after “every person” insert “, including the manager,”.
Sarah Teather
Minister of State
Department for Education
28th June 2012 |
The Access to the Countryside (Appeals against Works Notices) (England) (Amendment) Regulations 2012
The Secretary of State, in exercise of the powers conferred by sections 38(6), 44(2) and 45(1) of the Countryside and Rights of Way Act 2000 and section 316(1) of, and paragraph 4(5) of Schedule 20 to, the Marine and Coastal Access Act 2009 , makes the following Regulations.
Citation, commencement and application
1
These Regulations —
a
may be cited as the Access to the Countryside (Appeals against Works Notices) (England) (Amendment) Regulations 2012;
b
come into force on 15th February 2012; and
c
apply in relation to England only.
Amendment of the Access to the Countryside (Appeals against Works Notices) (England) Regulations 2011
2
1
The Access to the Countryside (Appeals against Works Notices) (England) Regulations 2011 are amended as follows.
2
In Part 2 (initial stages of appeal) —
a
in regulation 4 (manner and period for appeal), in paragraph (4), delete sub-paragraph (b) and the preceding “, or”; and
b
for regulation 6 (preliminary information to be supplied by the appropriate authority) substitute —
Preliminary information to be supplied by the appropriate authority
6
The appropriate authority must ensure that, within two weeks of its receipt of the notification in accordance with regulation 5, it duly completes the questionnaire mentioned in regulation 5(2) and sends it to the Secretary of State, and must further ensure that the appellant receives —
a
a copy of that completed questionnaire (which must also state the date on which it was sent to the Secretary of State), together with a copy of each document referred to in it;
b
the name and address of any person who made representations to the appropriate authority in respect of the notice appealed;
c
the address of the local access forum; and
d
details of the time during which, and the place at which, the appropriate authority intends to make documents available for the purpose of regulation 41 (inspection and copying of documents).
.
3
In Part 3 (determination of appeals), in Chapter 1 (appeals to be determined on the basis of written representations) —
a
before regulation 13 (site inspections), insert —
Scope of Chapter 1
12A
This Chapter applies where the Secretary of State has given a notice under regulation 7(1)(b) that the appeal will be determined on the basis of written representations.
;
and
b
in regulation 15 (notification of a decision), in paragraph (1), for “an appeal” substitute “the appeal”.
Richard Benyon
Parliamentary Under Secretary of State
Department for Environment, Food and Rural Affairs
12th January 2012 |
The Public Bodies (Abolition of the National Endowment for Science, Technology and the Arts) Order 2012
A draft of this Order and an explanatory document containing the information required in section 11(2) of the Act have been laid before Parliament in accordance with section 11(1) after the end of the period of twelve weeks mentioned in section 11(3). In accordance with section 11(4) of the Act, the draft of this Order has been approved by a resolution of each House of Parliament after the expiry of the 40-day period referred to in that provision.
Citation and commencement
1
1
This Order may be cited as the Public Bodies (Abolition of the National Endowment for Science, Technology and the Arts) Order 2012.
2
Subject to paragraph (3), this Order shall come into force on 1st April 2012 or, if the Order is made on or after 1st April 2012, 28 days after the day on which it is made.
3
Article 3(2) shall come into force on the day after that on which the other provisions of this Order come into force.
Abolition
2
The National Endowment for Science, Technology and the Arts, which was established by section 16 of the National Lottery Act 1998 , is abolished.
Amendments
3
1
The consequential amendments and revocation which are set out in the Schedule shall have effect.
2
In Schedule 1 to the Public Bodies Act 2011, the entry relating to the National Endowment for Science, Technology and the Arts is omitted.
David Willetts
Minister of State for Universities and Science
Department for Business, Innovation and Skills
27th March 2012
SCHEDULE
CONSEQUENTIAL AMENDMENTS
Article 3(1)
Legislation Provision Amendment
Parliamentary Commissioner Act 1967 Schedule 2 Omit “National Endowment for Science, Technology and the Arts”. House of Commons Disqualification Act 1975 Part III of Schedule 1 Omit the entry relating to the Chairman and other members of the National Endowment for Science, Technology and the Arts. Northern Ireland Assembly Disqualification Act 1975 Part III of Schedule 1 Omit the entry relating to the Chairman and other members of the National Endowment for Science, Technology and the Arts. Finance Act 1982 Section 129(1) Omit “or to the National Endowment for Science, Technology and the Arts”. Inheritance Tax Act 1984 Schedule 3 Omit “The National Endowment for Science, Technology and the Arts”. Finance Act 1986 Section 90(7) Omit paragraph (e) and the preceding “or”. Taxation of Chargeable Gains Act 1992 Section 271(7) After “Historic Buildings and Monuments Commission for England” insert “and”.
Omit “and the National Endowment for Science, Technology and the Arts”.
National Lottery etc Act 1993 Section 22 For subsection (4) substitute - “(4) This section has effect subject to section 25 of the Horserace Betting and Olympic Lottery Act 2004.” National Lottery Act 1998 Part II Omit Part II (including Schedule 4). Freedom of Information Act 2000 Part VI of Schedule 1 Omit the entry relating to the National Endowment for Science, Technology and the Arts. Finance Act 2003 Section 69 Omit paragraph (b). Income Tax (Trading and Other Income) Act 2005 Section 108(4) Omit paragraph (e). Section 620(5) In the definition of “charity” –
insert “and” after paragraph (a); and
omit paragraph (c) and the preceding “and”.
Section 628(6) In the definition of “charity” –
insert “and” after paragraph (a); and
omit paragraph (c) and the preceding “and”.
National Endowment for Science, Technology and the Arts (Increase of Endowment) Order 2006 Revoke. Income Tax Act 2007 Section 430(1) Insert “and” after paragraph (a).
Omit paragraph (c) and the preceding “and”.
Section 446 Insert “and” after paragraph (a).
Omit paragraph (c) and the preceding “and”.
Corporation Tax Act 2009 Section 105(4) Insert “and” after paragraph (a).
Omit paragraph (c) and the preceding “and”.
Corporation Tax Act 2010 Section 202 Insert “or” at the end of paragraph (c).
Omit paragraph (e) and the preceding “or”.
Section 217 Insert “or” after paragraph (b). Omit paragraph (d) and the preceding “or”. Section 468 Insert “and” after paragraph (c).
Omit paragraph (e) and the preceding “and”. |
The Energy Act 2004 (Amendment) Regulations 2012
The Secretary of State is a Minister designated for the purposes of section 2(2) of the 1972 Act in relation to energy and energy sources .
Citation and commencement
1
These Regulations may be cited as the Energy Act 2004 (Amendment) Regulations 2012 and come into force on 4th December 2012.
Amendment of section 132 of the Energy Act 2004
2
In Chapter 5 of Part 2 of the Energy Act 2004 (renewable transport fuel obligations), section 132 (interpretation) is amended as follows.
3
For subsection (3) substitute —
3
For the purposes of this section fuel is used for transport purposes if —
a
it is used as fuel for one or more of the following —
i
any mode of transport, including vehicles, vessels, aircraft and trains;
ii
recreational craft which do not normally operate at sea;
iii
agricultural or forestry tractors;
iv
non-road mobile machinery, including inland waterway vessels which do not normally operate at sea; or
b
it is used for producing fuel that is intended to be so used.
4
After subsection (3) insert —
3A
For the purposes of subsection (3) “sea” —
a
includes tidal rivers and estuaries;
b
does not include —
i
non-tidal rivers and canals where the significant wave height could not be expected to exceed 0.6 metres at any time; and
ii
lakes and lochs where the significant wave height could not be expected to exceed 1.2 metres at any time.
5
In subsection (4), insert the following definitions at the appropriate place in alphabetical order —
“agricultural or forestry tractor” has the meaning given by Article 1 of Directive 2000/25/ EC of the European Parliament and of the Council of 22 May 2000 on action to be taken against the emission of gaseous and particulate pollutants by engines intended to power agricultural or forestry tractors ;
“inland waterway vessel” has the meaning given by Article 2 of Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery (“Directive 97/68”);
“non-road mobile machinery” has the meaning given by Article 2 of Directive 97/68;
“recreational craft” has the meaning given by Article 1(3) of Directive 94/25/EC of the European Parliament and of the Council of 16 June 1994 on the approximation of the laws, regulations and administrative provisions of the Member States relating to recreational craft ;
.
Signed by authority of the secretary of State for Transport
Norman Baker
Parliamentary Under Secretary of State
Department for Transport
29th October 2012 |
The Police and Justice Act 2006 (Commencement No. 15) Order 2012
The Secretary of State makes the following Order in exercise of the powers conferred by sections 49(3) and 53(1) of the Police and Justice Act 2006 :
Citation
1
This Order may be cited as the Police and Justice Act 2006 (Commencement No. 15) Order 2012.
Appointed day
2
The following provisions of the Police and Justice Act 2006 shall come into force on 8th October 2012, so far as they are not already in force —
a
section 45 (attendance by accused at certain preliminary or sentencing hearings); and
b
section 46 (live link bail).
Signed by the authority of the Secretary of State
Helen Grant
Parliamentary Under Secretary of State
Ministry of Justice
13th September 2012 |
The Civil Legal Aid (Procedure) Regulations 2012
The Lord Chancellor makes the following Regulations in exercise of the powers conferred by sections 5(2) and (4), 12(2) to (6), 28(1) and (3) and 41(1)(a) and (b), (2) and (3)(a) and (b) of, and paragraph 3(3) and (4) of Schedule 3 to, the Legal Aid, Sentencing and Punishment of Offenders Act 2012 .
Citation and commencement
1
These Regulations may be cited as the Civil Legal Aid (Procedure) Regulations 2012 and come into force on 1st April 2013.
PART 1 Interpretation and General
Interpretation
2
In these Regulations —
“ the Act ” means the Legal Aid, Sentencing and Punishment of Offenders Act 2012;
“adjudicator” means an independent funding adjudicator appointed by the Lord Chancellor under section 2 of the Act;
“business day” means any day except Saturday, Sunday, a bank holiday, Good Friday or Christmas Day;
“child” means an individual under the age of 18;
“children’s guardian” has the meaning given in rule 2.3 of the Family Procedure Rules 2010 ;
“Controlled Work” has the meaning given in regulation 21(2);
“costs” means the fees payable to any provider calculated by reference to remuneration rates set out in arrangements made by the Lord Chancellor under section 2(1) of the Act or in regulations under section 2(3) of the Act, including (but not limited to) —
counsel’s fees;
disbursements; and
any fees paid to providers at an enhanced rate,
but not including Value Added Tax;
“cost benefit criteria” means the criteria of that name which the Director must apply when determining whether an individual qualifies for full representation in accordance with regulations made under section 11 of the Act;
“the effective administration of justice test” has the meaning given in regulation 31(5);
“emergency representation” means legal representation (that is not Controlled Work) or family help (higher) provided following a determination made on an urgent application;
“face-to-face provider” means a provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act for the provision of civil legal services to an individual in person;
“family dispute” means any matter which is described in any of the following paragraphs of Part 1 of Schedule 1 to the Act —
paragraph 1 (care, supervision and protection of children);
paragraph 9 (inherent jurisdiction of the High Court in relation to children and vulnerable adults), to the extent that it relates to —
a child; or
a vulnerable adult, but only in so far as such matters arise out of a family relationship within the meaning of paragraph 14(7) of Part 1 of Schedule 1 to the Act;
paragraph 10 (unlawful removal of children);
paragraph 11 (family homes and domestic violence);
paragraph 12 (victims of domestic violence and family matters);
paragraph 13 (protection of children and family matters);
paragraph 14 (mediation in family disputes);
paragraph 15 (children who are parties to family proceedings);
paragraph 16 (forced marriage);
paragraph 17 ( EU and international agreements concerning children); or
paragraph 18 (EU and international agreements concerning maintenance);
“individual case contract” means an arrangement between the Lord Chancellor and a provider under section 2(1) of the Act for the provision of civil legal services in an individual case;
“Licensed Work” has the meaning given in regulation 29(2);
“litigation friend” has the meaning given in Part 21 of the Civil Procedure Rules 1998 and rule 2.3 of the Family Procedure Rules 2010;
“parental order reporter” has the meaning given in rule 13.1 of the Family Procedure Rules 2010;
“prospects of success” means the prospects of success as assessed by the Director in accordance with regulations made under section 11 of the Act;
“protected party” means a party or a proposed party who lacks capacity (within the meaning of the Mental Capacity Act 2005 ) to conduct proceedings;
“provider” means a person who provides civil legal services under Part 1 of the Act;
“revocation” means the withdrawal of a determination which has the consequences described in regulations made under section 23 and 26 of the Act (and “revoked” and “revoke” have equivalent meanings);
“Special Case Work” means civil legal services provided under an individual case contract in the circumstances described in regulation 54(3);
“specialist telephone provider” means a provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act for the provision of civil legal services by telephone or other means that do not require the attendance in person of the individual to whom the services are provided; and
“2010 Standard Civil Contract”, “2013 Standard Civil Contract” and “2013 CLA Contract” mean the contracts so named between the Lord Chancellor and a provider for the provision of civil legal services .
Form of civil legal services
3
“Form of civil legal services” means —
a
legal help;
b
help at court;
c
family help;
d
family mediation;
e
help with family mediation;
f
legal representation; and
g
other legal services,
which are further defined in regulations 4 to 10.
Legal help
4
“Legal help” means the provision of civil legal services other than —
a
acting as a mediator or arbitrator;
b
issuing or conducting court proceedings;
c
instructing an advocate in proceedings;
d
preparing to provide advocacy in proceedings; or
e
advocacy in proceedings.
Help at court
5
“Help at court” means the provision of any of the following civil legal services at a particular hearing —
a
instructing an advocate;
b
preparing to provide advocacy; or
c
advocacy.
Family help
6
1
Family help may be provided in a family dispute as either family help (lower) or family help (higher).
2
“Family help (lower)” means —
a
civil legal services provided in relation to the negotiation of a family dispute before the issuing of proceedings; or
b
civil legal services provided in relation to the issuing of proceedings in order to obtain a consent order following the settlement of a family dispute.
3
“Family help (higher)” means such civil legal services as are available under legal representation but does not include preparation for, or representation at, a contested final hearing or appeal.
Family mediation
7
“Family mediation” means the provision of any of the following civil legal services in a family dispute —
a
an assessment by a mediator of whether, in light of all the circumstances, a case is suitable for mediation; or
b
acting as a mediator.
Help with family mediation
8
“Help with family mediation” means the provision of any of the following civil legal services, in relation to a family dispute —
a
civil legal services provided in relation to family mediation; or
b
civil legal services provided in relation to the issuing of proceedings to obtain a consent order following the settlement of the dispute following family mediation.
Legal representation
9
1
Legal representation may be provided as either investigative representation or full representation.
2
“Legal representation” means the provision of civil legal services, other than acting as a mediator or arbitrator, to an individual or legal person in particular proceedings where that individual or legal person —
a
is a party to those proceedings;
b
wishes to be joined as a party to those proceedings; or
c
is contemplating issuing those proceedings.
3
“Investigative representation” means legal representation which is limited to the investigation of the strength of the contemplated proceedings and includes the issuing and conducting of proceedings but only so far as necessary —
a
to obtain disclosure of information relevant to the prospects of success of the proceedings;
b
to protect the position of the individual or legal person applying for investigative representation in relation to an urgent hearing; or
c
to protect the position of the individual or legal person applying for investigative representation in relation to the time limit for the issue of the proceedings.
4
“Full representation” means legal representation other than investigative representation.
Other legal services
10
“Other legal services” means the provision of any of the following civil legal services —
a
instructing an advocate;
b
preparing to provide advocacy; or
c
advocacy,
in proceedings in relation to which the Director, having applied the relevant merits criteria in accordance with regulations made under section 11 of the Act, has made a determination under section 10(2)(b) or (4)(c) of the Act.
Notification
11
1
Where these Regulations provide for notice to be given, one or more of the following methods of delivery must be used —
a
personal service;
b
first class post, document exchange or other service which provides for delivery on the next business day;
c
fax or other means of electronic communication; or
d
any method authorised in writing by the Director.
2
Where the intended recipient is represented by a provider, notice must be delivered to the business address of the provider.
3
Where the intended recipient is not represented by a provider, notice must be delivered to that person’s usual or last known residence or, for legal persons, business address.
Delegation
12
Except as provided in regulation 39(3), a function of the Lord Chancellor or Director under these Regulations may be exercised by, or by an employee of, a person authorised for that purpose by the Lord Chancellor or Director respectively .
Disregarding determinations
13
The Director may disregard a determination about whether an individual qualifies for civil legal services under Part 1 of the Act if the determination was made —
a
by a person to whom the Director has delegated that function; and
b
in response to an application made otherwise than in accordance with these Regulations.
Duty Scheme
14
These Regulations do not apply to civil legal services which are —
a
provided under the Housing Possession Court Duty Scheme (as described in the Specification to the 2013 Standard Civil Contract); or
b
required by the Specification to the 2013 Standard Civil Contract to be treated as services described in sub-paragraph (a).
Applications by legal persons
15
1
An application by a legal person for a determination under paragraph 3 of Schedule 3 to the Act must be made in a form specified by the Lord Chancellor.
2
The legal person must provide any additional information and documents requested by the Director in order to make a determination in relation to the application.
3
A determination that a legal person qualifies for civil legal services must specify any limitation or condition to which the determination is subject.
4
Where the Director —
a
does not make the determination for which the legal person has applied; or
b
withdraws a determination that the legal person qualifies for civil legal services,
the Director must notify the legal person, giving written reasons and notice of the right of review.
5
Within fourteen days of receipt of the notification described in paragraph (4), the legal person may —
a
apply to the Director in a form specified by the Lord Chancellor for a review of the determination or the withdrawal of a determination; and
b
include written representations supporting that application.
6
The Director must —
a
consider the application for review and any written representations;
b
confirm or amend the determination or withdrawal or substitute a new determination; and
c
notify the legal person of the determination or withdrawal following the review.
PART 2 Gateway Work
General
16
1
This Part makes provision about the making and withdrawal of determinations under section 9 of the Act about Gateway Work.
2
Except as specifically provided in this Part, Part 3 (Controlled Work) applies to Gateway Work.
3
Regulations 22(1) and 23(1)(d) do not apply to Gateway Work.
Applicants
17
1
An individual, other than an exempted person, must apply to the Gateway (established by the Lord Chancellor under section 2 of the Act) for a determination by the Director about Gateway Work.
2
An exempted person may apply for a determination by the Director about Gateway Work to —
a
the Gateway; or
b
a face-to-face provider.
The application
18
An application to the Gateway may be made by —
a
telephone;
b
email;
c
electronic format made available by the Lord Chancellor for the purpose of such applications; or
d
post.
Determinations
19
1
Where a determination is made that an individual qualifies for Gateway Work, the determination must specify whether the services are to be provided by —
a
a specialist telephone provider; or
b
a face-to-face provider.
2
A determination described in paragraph (1) may be amended to change the description of the provider specified in the determination.
Interpretation
20
In this Part —
“debt matter” means —
a matter described in paragraph 33(1)(a) of Part 1 of Schedule 1 to the Act that relates to a court order for sale of the individual’s home;
a matter described in paragraph 33(1)(a) of Part 1 of Schedule 1 to the Act that relates to a court order for possession of the individual’s home arising out of a failure to make payments due under a mortgage; or
a matter described in paragraph 33(2) of Part 1 of Schedule 1 to the Act;
“exempted person” means an individual who —
has been deprived of their liberty;
is a child; or
is a previously assessed person with a linked problem;
“Gateway discrimination matter” means a matter described in paragraph 43 of Part 1 of Schedule 1 to the Act, except where the matter to which the alleged contravention of the Equality Act 2010 or previous discrimination enactment relates is a matter described in a relevant category;
“Gateway Work” means the provision of legal help by a specialist telephone provider or a face-to-face provider in —
a matter described in paragraph 2 of Part 1 of Schedule 1 to the Act;
a debt matter; or
a Gateway discrimination matter;
“linked problem” means a matter arising out of or related to a matter in relation to which Gateway Work was provided by a face-to-face provider;
“previously assessed person” means an individual —
in respect of whom a determination has been made within the previous twelve months that the individual qualifies for Gateway Work to be provided by a face-to-face provider; and
who is applying for Gateway Work from the same face-to-face provider in relation to a linked problem; and
“relevant category” means any of the following categories in the Category Definitions that form part of the 2010 Standard Civil Contract or 2013 Standard Civil Contract: Actions Against the Police; Clinical Negligence; Community Care; Family; Housing; Immigration and Asylum; Mental Health; Public Law; or Welfare Benefits.
PART 3 Controlled Work
General
21
1
This Part makes provision in relation to the making and withdrawal of determinations under section 9 of the Act about Controlled Work.
2
In this Part, “Controlled Work” means the provision of any of the following forms of civil legal services —
a
legal help;
b
help with family mediation;
c
help at court;
d
family help (lower); or
e
legal representation for proceedings in —
i
the Health, Education and Social Care Chamber of the First-tier Tribunal under the Mental Health Act 1983 or paragraph 5(2) of the Schedule to the Repatriation of Prisoners Act 1984 ;
ii
the Mental Health Review Tribunal for Wales ;
iii
the Immigration and Asylum Chamber of the First-tier Tribunal ; or
iv
the Immigration and Asylum Chamber of the Upper Tribunal in relation to an appeal or review from the Immigration and Asylum Chamber of the First-tier Tribunal.
Applicants
22
1
An individual applying for Controlled Work must attend the proposed provider’s premises in person unless —
a
the proposed provider decides that attendance in person is not necessary in accordance with the provider’s arrangement with the Lord Chancellor under section 2(1) of the Act;
b
the individual —
i
resides, or is present, in the European Union;
ii
cannot attend in person for good reason; and
iii
authorises another person to attend on their behalf; or
c
the individual is applying for Controlled Work to be provided by a specialist telephone provider.
2
A child may make an application for Controlled Work if —
a
the civil legal services which are the subject of the application are in relation to proceedings or proposed proceedings which the child may conduct without —
i
a children’s guardian or litigation friend in accordance with rule 16.6 of the Family Procedure Rules 2010 ; or
ii
a litigation friend in accordance with rule 21.2 of the Civil Procedure Rules 1998 ; or
b
there is good reason why none of the persons described in paragraph (3)(a) or (b) can make the application on behalf of the child and the provider considers that child is able, having regard to the child’s understanding, to give instructions.
3
The following persons may make an application for Controlled Work on behalf of a child —
a
the child’s parent, guardian or other person who has care of the child;
b
a person acting or proposing to act as the child’s professional children’s guardian or litigation friend; or
c
any other person where there is good reason why none of the persons described in sub-paragraph (a) or (b) can make the application.
4
The following persons may make an application for Controlled Work on behalf of a protected party —
a
a person acting or proposing to act as the protected party’s litigation friend; or
b
any other person where there is good reason why a litigation friend or proposed litigation friend cannot make the application.
5
The proposed provider may not make an application for Controlled Work on behalf of a child or protected party.
The application
23
1
An application for Controlled Work must be in a form specified by the Lord Chancellor and must specify —
a
the form of civil legal services to which the application relates;
b
the matter to which the application relates;
c
the category within which the civil legal services fall (as described in the Category Definitions that form part of the 2010 Standard Civil Contract or 2013 Standard Civil Contract); and
d
a proposed provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act for the provision of the services which are the subject of the application.
2
An application for civil legal services described in paragraph 12 of Part 1 of Schedule 1 to the Act to be provided as Controlled Work must include evidence of the domestic violence or risk of domestic violence and regulation 33 applies to such an application.
3
An application for civil legal services described in paragraph 13 of Part 1 of Schedule 1 to the Act to be provided as Controlled Work must include evidence that the child who is or would be the subject of the order to which the application relates is at risk of abuse from an individual other than the applicant for civil legal services and regulation 34 applies to such an application.
4
Where a determination has been made that an individual qualifies for legal help in a particular matter (the “initial determination”), the individual may not, within the six month period following the last provision of services pursuant to that determination, make an application for legal help in the same matter which proposes a different provider unless —
a
there has been a material change in relevant circumstances since the initial determination;
b
the individual has reasonable cause to be dissatisfied with the services provided under the initial determination;
c
the individual’s usual residence has changed since the initial determination and, as a result, effective communication between the individual and the provider is not practicable; or
d
the provider named in the initial determination has confirmed in writing that no remuneration will be claimed under arrangements made by the Lord Chancellor under section 2(1) of the Act in respect of any services provided under the initial determination.
5
An application for help with family mediation in relation to the issuing of proceedings to obtain a consent order following the settlement of a family dispute must be made within three months of the final family mediation session at which the dispute was settled.
6
The individual must provide any additional information and documents requested by the Director in order to make a determination in relation to the application.
Position of providers
24
1
Notwithstanding the relationship between an individual and the provider or any privilege arising out of that relationship, where the provider knows or suspects that the individual —
a
has failed without good reason to comply with a requirement to provide information or documents; or
b
in providing required information or documents has made a statement or representation knowing or believing it to be false,
the provider must immediately report the relevant circumstances to the Director.
2
A provider’s retainer terminates upon the withdrawal of a determination that an individual qualifies for Controlled Work following the conclusion of any review or appeal for which provision is made in these Regulations.
3
Where an authorised person within the meaning of the Legal Services Act 2007 has been instructed (by a provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act) to provide civil legal services in relation to a determination, the reporting requirement described in paragraph (1) also applies to that authorised person.
Reasons
25
1
Where the Director has —
a
made a determination that the services which are the subject of the application are not civil legal services described in Part 1 of Schedule 1 to the Act;
b
made a determination that an individual does not qualify for Controlled Work; or
c
withdrawn a determination that an individual qualifies for Controlled Work,
the Director must notify the individual.
2
The Director must also provide —
a
reasons for the determination or withdrawal of a determination; and
b
notice of the right to a review of the determination or withdrawal of a determination,
and may provide information about alternative ways of obtaining or funding civil legal services.
Withdrawal of determinations
26
The Director may withdraw a determination about Controlled Work where —
a
the individual no longer qualifies for the services to be made available by the determination in accordance with —
i
the criteria set out in regulations made under section 11 of the Act; or
ii
regulations made under section 21 of the Act;
b
the services made available by the determination have been provided;
c
the proceedings to which the determination relates have been concluded;
d
the individual consents;
e
the individual has died;
f
a bankruptcy order has been made against the individual; or
g
the individual has failed without good reason to comply with a requirement to provide information or documents or, in providing required information or documents, has made a statement or representation knowing or believing it to be false.
Review
27
1
An individual may apply to the Director for a review of —
a
a determination that an individual does not qualify for Controlled Work; or
b
a withdrawal of a determination in the circumstances described in regulation 26(a)(i) and (g),
within fourteen days of receipt of the determination or withdrawal (“the original decision”).
2
The Director must consider the application and may confirm the original decision or substitute a new determination.
3
Where the original decision was the withdrawal of a determination and, following the review, the Director substitutes a determination for that withdrawal, the determination takes effect (unless the Director directs otherwise) as if the original decision had not been made.
4
The Director must notify the individual of —
a
the determination or withdrawal following the review; and
b
any right of appeal described in regulation 28.
Appeal
28
1
Following the conclusion of a review, an individual may appeal to an adjudicator against —
a
a determination that an individual does not qualify for legal representation that is Controlled Work; or
b
a withdrawal of a determination that an individual qualifies for legal representation that is Controlled Work.
2
The provisions about appeals in Part 4 (Licensed Work) apply to an appeal under paragraph (1).
PART 4 Licensed Work
General
29
1
This Part makes provision in relation to the making and withdrawal of determinations under section 9 of the Act about Licensed Work.
2
In this Part, “Licensed Work” means the provision of any of the following forms of civil legal services —
a
family help (higher); or
b
legal representation that is not Controlled Work or Special Case Work.
Applicants
30
1
An individual applying for Licensed Work must be —
a
a party to the proceedings to which the application relates;
b
proposing to be joined as a party to those proceedings; or
c
contemplating issuing those proceedings.
2
An application on behalf of a child must be made by —
a
a person who is, or proposes to be, the child’s litigation friend, professional children’s guardian or parental order reporter; or
b
the proposed provider if the application is made in relation to proceedings which the child may conduct without —
i
a children’s guardian or litigation friend in accordance with rule 16.6 of the Family Procedure Rules 2010; or
ii
a litigation friend in accordance with rule 21.2 of the Civil Procedure Rules 1998.
3
An individual acting as a professional children’s guardian or parental order reporter may not make an application other than on behalf of a child.
4
An application on behalf of a protected party must be made by a person who is, or proposes to be, the protected party’s litigation friend.
5
The Director may waive any or all of the requirements of this regulation if the application otherwise satisfies the requirements of these Regulations.
The application
31
1
An application for Licensed Work must be made in writing in a form specified by the Lord Chancellor and signed by the individual and proposed provider.
2
Except as provided in paragraph (3), the application must be in English unless —
a
the individual resides in or is present in Wales; or
b
the application relates to proceedings which may be heard in Wales,
in which case the application may be in English or Welsh.
3
Where the individual resides outside the European Union and is not present in England and Wales when the application is made, the application must —
a
be in English or French;
b
include a written statement of the individual’s financial resources; and
c
be verified by a statement that the individual believes that the facts stated in the application are true.
4
The application must specify —
a
the form of civil legal services to which the application relates;
b
the matter to which the application relates;
c
the category within which the civil legal services fall (as described in the Category Definitions that form part of the 2010 Standard Civil Contract or 2013 Standard Civil Contract); and
d
a proposed provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act for the provision of the services which are the subject of the application (unless the effective administration of justice test described in paragraph (5) is satisfied).
5
The effective administration of justice test is satisfied if the Director decides that it is necessary for a provider to provide the services which are the subject of the application under an individual case contract having considered —
a
the provider’s knowledge of the particular proceedings or dispute and expertise in providing the civil legal services which are the subject of the application;
b
the nature and likely length of the particular proceedings or dispute;
c
the complexity of the issues; and
d
the circumstances of the individual making the application.
6
The individual must provide any additional information or documents requested by the Director in order to make a determination in relation to the application.
7
Where additional information or documents are requested in accordance with paragraph (6), the application may not be considered until the requested information or documents are provided.
8
An application for civil legal services described in paragraph 32(1) of Part 1 of Schedule 1 to the Act must be made within —
a
twelve months of the date of a conclusive determination described in paragraph 32(1)(a) of Part 1 of Schedule 1 to the Act; or
b
a period beginning with the date of a determination by a competent authority described in paragraph 32(6) of Part 1 of Schedule 1 to the Act and ending with the date on which the applicant’s leave to remain in the United Kingdom (outside the rules made under section 3(2) of the Immigration Act 1971 ) comes to an end,
whichever is longer.
Supporting documents: damages
32
1
Where an application for Licensed Work requires the Director to consider likely damages (in accordance with regulations made under section 11 of the Act), the application must include —
a
an estimate of likely damages; and
b
an explanation of the estimate, including the calculations required by paragraph (2).
2
An estimate of likely damages must take into account —
a
any likely reduction in the damages or other sum of money contested in the case through contributory negligence, set-off or otherwise;
b
any amount of damages the individual is likely to receive in addition to any amount that is offered by way of settlement;
c
any likely reduction in damages or other sum of money contested in the case to take account of any amount which is recoverable under the Social Security (Recovery of Benefits) Act 1997 ; and
d
the ability of the other party to the proceedings to pay any damages or other sum of money contested in the case.
Supporting documents: domestic violence
33
1
An application for civil legal services described in paragraph 12 of Part 1 of Schedule 1 to the Act must include evidence of the domestic violence or the risk of domestic violence.
2
For the purpose of paragraph (1), the evidence of domestic violence or risk of domestic violence must be provided in one or more of the following forms —
a
a relevant unspent conviction for a domestic violence offence;
b
a relevant police caution for a domestic violence offence given within the twenty four month period immediately preceding the date of the application for civil legal services;
c
evidence of relevant criminal proceedings for a domestic violence offence which have not concluded;
d
a relevant protective injunction which is in force or which was granted within the twenty four month period immediately preceding the date of the application for civil legal services;
e
an undertaking given in England and Wales under section 46 or 63E of the Family Law Act 1996 (or given in Scotland or Northern Ireland in place of a protective injunction) —
i
by the individual (“B”) with whom the applicant for civil legal services (“A”) was in a family relationship giving rise to the need for the civil legal services which are the subject of the application; and
ii
within the twenty four month period immediately preceding the date of the application for civil legal services,
provided that a cross-undertaking was not given by A;
f
a letter from the person appointed to chair a multi-agency risk assessment conference confirming that —
i
A was referred to the conference as a high risk victim of domestic violence; and
ii
the conference has, within the twenty four month period immediately preceding the date of the application for civil legal services, put in place a plan to protect A from a risk of harm by B;
g
a copy of a finding of fact, made in proceedings in the United Kingdom within the twenty four month period immediately preceding the date of the application for civil legal services, that there has been domestic violence by B giving rise to a risk of harm to A;
h
a letter or report from a health professional confirming that the professional —
i
has examined A within the twenty four month period immediately preceding the date of the application for civil legal services;
ii
was satisfied following that examination that A had injuries or a condition consistent with those of a victim of domestic violence; and
iii
has no reason to believe that A’s injures or condition were not caused by domestic violence;
i
a letter from a social services department in England or Wales (or its equivalent in Scotland or Northern Ireland) confirming that, within the twenty four month period immediately preceding the date of the application, A was assessed as being, or at risk of being, a victim of domestic violence by B (or a copy of that assessment);
j
a letter or report from a domestic violence support organisation in the United Kingdom confirming —
i
that A was, within the twenty four month period immediately preceding the date of the application for civil legal services, admitted for a period of twenty four hours or more to a refuge established for the purpose of providing accommodation for victims of, or those at risk of, domestic violence;
ii
the dates on which A was admitted to and, where relevant, left the refuge; and
iii
that A was admitted to the refuge because of allegations by A of domestic violence.
3
For the purpose of this regulation —
“A” and “B” have the meaning given in paragraph (2)(e)(i);
“domestic violence offence” has the meaning given in the document published by the Lord Chancellor for that purpose under section 2 of the Act;
“health professional” means a registered —
medical practitioner who holds a licence to practise;
nurse; or
midwife; and
“protective injunction” means —
a non-molestation order under section 42 of the Family Law Act 1996 or article 20 of the Family Homes and Domestic Violence (Northern Ireland) Order 1998 ;
an occupation order under section 33, 35, 36, 37 or 38 of the Family Law Act 1996 or article 11, 13, 14, 15 or 16 of the Family Homes and Domestic Violence (Northern Ireland) Order 1998 ;
an exclusion order under section 4 of the Matrimonial Homes (Family Protection) (Scotland) Act 1981 or section 104 of the Civil Partnership Act 2004;
a forced marriage protection order or interim forced marriage protection order under any of the following provisions —
Part 4A of the Family Law Act 1996 ;
section 2 of, and paragraph 1 of Schedule 1 to, the Forced Marriage (Civil Protection) Act 2007 ;
section 1 of the Forced Marriage etc. (Protection & Jurisdiction) (Scotland) Act 2011 ; and
section 5 of the Forced Marriage etc. (Protection & Jurisdiction) (Scotland) Act 2011;
a restraining order under section 5 or 5A of the Protection from Harassment Act 1997 ;
a restraining injunction under article 5 or a restraining order under article 7 or 7A of the Protection from Harassment (Northern Ireland) Order 1997 ;
a non-harassment order under section 234A of the Criminal Procedure (Scotland) Act 1995 or section 8 or 8A of the Protection from Harassment Act 1997 ;
a common law injunction;
any of the following interdicts —
a matrimonial interdict within the meaning of section 14 of the Matrimonial Homes (Family Protection) (Scotland) Act 1981;
a domestic interdict within the meaning of section 18A of the Matrimonial Homes (Family Protection) (Scotland) Act 1981 ;
an interdict for civil partners within the meaning of section 113 of the Civil Partnership Act 2004 ;
an interdict that has been determined to be a domestic abuse interdict within the meaning of section 3 of the Domestic Abuse (Scotland) Act 2011 ; and
a common law interdict.
4
“Relevant” means that the evidence identifies —
a
A as being, or at risk of being, the victim of domestic violence unless the evidence —
i
is in a form described in paragraph (2)(a) to (c), and
ii
relates to a domestic violence offence which does not identify the victim; and
b
B as being —
i
for evidence described in paragraph (2)(a) to (c) convicted of, cautioned with or charged with the domestic violence offence; and
ii
for evidence described in paragraph (2)(d), the respondent to the protective injunction.
Supporting documents: protection of children
34
1
An application for civil legal services described in paragraph 13 of Part 1 of Schedule 1 to the Act must include evidence that the child who is or would be the subject of the order to which the application relates is at risk of abuse from an individual (“B”) other than the applicant for civil legal services (“A”) against which risk of abuse the order is to provide protection.
2
For the purpose of paragraph (1), evidence of the risk of abuse must be provided in one or more of the following forms —
a
a relevant unspent conviction for a child abuse offence;
b
a relevant police caution for a child abuse offence given within the twenty four month period immediately preceding the date of the application for civil legal services;
c
evidence of relevant criminal proceedings for a child abuse offence which have not concluded;
d
a relevant protective injunction which is in force or which was granted within the twenty four month period immediately preceding the date of the application for civil legal services;
e
a copy of a finding of fact, made in proceedings in the United Kingdom within the twenty four month period immediately preceding the date of the application for civil legal services, of abuse of a child by B;
f
a letter from a social services department in England or Wales (or its equivalent in Scotland or Northern Ireland) confirming that, within the twenty four month period immediately preceding the date of the application, the child was assessed as being, or at risk of being, a victim of child abuse by B (or a copy of that assessment);
g
a letter from a social services department in England or Wales (or its equivalent in Scotland or Northern Ireland) confirming that, within the twenty four month period immediately preceding the date of the application, a child protection plan was put in place to protect the child from abuse or a risk of abuse by B (or a copy of that plan);
h
an application for an injunction described in paragraph (2)(d) made with an application for a prohibited steps order against B under section 8 of the Children Act 1989 which has not, at the date of the application for civil legal services, been decided by the court.
3
In this regulation —
“child abuse offence” has the meaning given in the document published by the Lord Chancellor for that purpose under section 2 of the Act;
“protective injunction” has the meaning given in regulation 33(3); and
“relevant” means —
for the purpose of paragraph (2)(a), (b) and (c) that the conviction, caution or criminal proceedings identifies B as being convicted of, cautioned with or charged with the child abuse offence; and
for the purpose of paragraph (2)(d), that the protective injunction —
identifies B as the respondent; and
is made for the protection of the child who is or would be the subject of the order to which the application relates.
Determinations: general
35
1
A determination that an individual qualifies for Licensed Work must specify —
a
the maximum costs which may be incurred in providing the services to which the determination relates; and
b
any other limitations and conditions to which the determination is subject.
2
Where a limitation is exceeded or a condition is breached, the Director may —
a
withdraw the determination; or
b
amend the relevant limitation or condition.
Determinations: contributions
36
1
Where an individual is required to make a contribution in respect of the cost of the civil legal services in accordance with regulations made under section 23 of the Act, a determination that an individual qualifies for Licensed Work must be made subject to a condition that the individual pays, or arranges payment of, the required contribution.
2
The determination must specify —
a
the amount of any contribution;
b
whether the individual is required to pay, or arrange payment of, the contribution —
i
by periodical payments;
ii
by one or more lump sums;
iii
out of income;
iv
out of capital; and
c
any time limit about payment.
3
The individual must —
a
complete and return the form specified by the Lord Chancellor to indicate acceptance of a condition; and
b
pay any contribution required by the determination,
within any time limit specified in the determination.
4
If the individual fails to comply with the obligation in paragraph (3), the determination may be withdrawn.
Certificates
37
1
When the Director makes a determination that an individual qualifies for Licensed Work, the Director must —
a
issue a certificate recording the determination and send the certificate to the provider; and
b
send a copy of the certificate to the individual.
2
A certificate issued by the Director must specify —
a
the name and address of —
i
the individual;
ii
where an application was made on behalf of a child or protected party, the person who is acting on behalf of the child or protected party; and
iii
the provider;
b
the date of the determination;
c
the form of civil legal services to which the determination relates;
d
the matter in relation to which the civil legal services are to be available;
e
the proceedings to which the determination relates;
f
the parties to any proceedings to which the determination relates (except to the extent that the Director considers it inappropriate to name any of the parties); and
g
any limitation or condition to which the determination is subject.
3
Except as provided in paragraph (4), the Director must issue a separate certificate for each —
a
form of civil legal services for which the individual qualifies; and
b
set of proceedings to which a determination relates, unless the Director decides that the proceedings are so closely connected that they should be covered by a single certificate.
4
The Director may amend a certificate for —
a
family help (higher) to record a subsequent determination that the individual qualifies for legal representation in family proceedings which arose out of the dispute which was the subject of the initial determination in relation to family help (higher); or
b
investigative representation to record a subsequent determination that the individual qualifies for full representation in the same proceedings.
5
The Director may amend a certificate to ensure that it accurately records a determination either —
a
upon the application of the individual in a form specified by the Lord Chancellor; or
b
of the Director’s own volition.
6
The Director must amend a certificate to record an amendment of a limitation or condition to which the determination is subject.
7
When the Director amends a certificate, the Director must send —
a
the amended certificate to the provider; and
b
a copy of the amended certificate to the individual.
8
Where the Director withdraws a determination, the Director must withdraw the certificate recording that determination and notify the provider.
Notice of determinations
38
1
Where the Director issues a certificate in relation to proceedings that have been issued, the provider must —
a
send a copy of the certificate to the court or tribunal, and
b
give notice of the determination in a form specified by the Lord Chancellor to all parties to the proceedings.
2
Where the Director issues a certificate before proceedings are issued, the provider must —
a
give notice of the determination in a form specified by the Lord Chancellor to any proposed party to those proceedings except in proceedings relating to a family dispute; and
b
when proceedings are issued —
i
send a copy of the certificate to the court or tribunal, and
ii
give notice of the determination in a form specified by the Lord Chancellor to all parties to the proceedings.
3
The provider must give notice of a determination in accordance with paragraph (1)(b) to any person subsequently joined as a party to the proceedings.
4
Where, in relation to proceedings which have been issued, the Director amends a certificate to alter the description of the proceedings or the form of civil legal services to which the determination relates, the provider must —
a
send a copy of the amended certificate to the court or tribunal; and
b
give notice of the new or amended determination in a form specified by the Lord Chancellor to all parties to the proceedings, unless the Director directs otherwise.
5
Nothing in this regulation entitles a party or proposed party to the proceedings to which the determination relates to see the certificate recording the determination.
Authorised representation
39
1
Where the Director has authorised a provider to make a determination under section 9 of the Act that an individual qualifies for legal representation that is Licensed Work (“authorised representation”), the provider must, within 5 business days of making a determination, notify the Director in a form specified by the Lord Chancellor.
2
The Director may remove or amend any limitation or condition to which a determination about authorised representation is subject or impose a new limitation or condition on such a determination.
3
The following functions of the Director may not be delegated to the provider —
a
issuing a certificate recording the determination in relation to authorised representation;
b
amending a limitation or condition to which the determination is subject (unless the determination relates to emergency representation);
c
the withdrawal of the determination; and
d
conducting a review in relation to authorised representation under regulation 44.
4
Where, following a review in relation to authorised representation under regulation 44, the Director makes a determination that an individual qualifies for the legal representation which was the subject of the application, the individual may choose a different authorised provider from the provider named on the original application.
Reporting duties
40
1
The individual (or the person acting on behalf of the individual) must —
a
immediately notify the provider of any change in circumstances which might affect a determination that the individual qualifies for civil legal services; and
b
attend a meeting with the Director if requested to do so.
2
The provider must report to the Director any change in the individual’s circumstances which become known to the provider and which might affect a determination that an individual qualifies for civil legal services.
3
The provider must report to the Director —
a
a refusal by the individual (or the person acting on behalf of the individual) to accept —
i
an offer to settle;
ii
an offer to mediate any issue in the proceedings;
iii
an offer to use an alternative dispute resolution procedure; or
iv
any other offer of settlement which the provider considers to be reasonable;
b
any aspect of the conduct of the individual (or the person acting on behalf of the individual) which the provider considers relevant to the determination that the individual qualifies for civil legal services;
c
notice of any other party to the proceedings to which the determination relates qualifying for civil legal services;
d
any other information which might affect a determination that an individual qualifies for civil legal services; or
e
the fact that the provider has concluded that it is no longer possible to act for the individual, together with reasons for the provider’s conclusion.
4
Where an authorised person within the meaning of the Legal Services Act 2007 has been instructed by the provider to provide civil legal services in relation to a determination, the reporting requirements described in paragraphs (2) and (3) also apply to that person.
Position of providers
41
1
Notwithstanding the relationship between an individual and the provider or any privilege arising out of that relationship, where the provider knows or suspects that the individual (or the person acting on behalf of the individual) —
a
has failed without good reason to comply with a requirement to provide information or documents; or
b
in providing required information or documents has made a statement or representation knowing or believing it to be false,
the provider must immediately report the relevant circumstances to the Director.
2
A provider’s retainer terminates upon the withdrawal of a determination that an individual qualifies for Licensed Work but that termination does not take effect until —
a
the conclusion of any review or appeal for which provision is made in this Part; and
b
the provider has complied with any obligation to give notice of the withdrawal of the determination.
3
Where an authorised person within the meaning of the Legal Services Act 2007 has been instructed (by a provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act) to provide civil legal services in relation to a determination, the reporting requirement described in paragraph (1) also applies to that authorised person.
Withdrawal of determinations
42
1
The Director may withdraw a determination where —
a
the individual no longer qualifies for the services to be made available by the determination in accordance with —
i
the criteria set out in regulations made under section 11 of the Act; or
ii
regulations made under section 21 of the Act;
b
the services made available by the determination have been provided;
c
the proceedings to which the determination relates have been concluded;
d
the service made available by the determination was investigative representation and sufficient work has been carried out to determine the prospects of success and the cost benefit criteria;
e
the individual consents;
f
the individual has died;
g
a bankruptcy order has been made against the individual;
h
the individual has —
i
failed without good reason to comply with a requirement to provide information or documents;
ii
failed without good reason to attend a meeting with the Director; or
iii
in providing required information or documents, made a statement or representation knowing or believing it to be false;
i
an order has been made under section 42 of the Senior Courts Act 1981 or section 33 of the Employment Tribunals Act 1996 (restriction of vexatious proceedings) in relation to the individual;
j
the Director is satisfied that the individual has required the proceedings to be conducted unreasonably so as to incur unjustifiable expense; or
k
in relation to services described in paragraphs 12 and 13 of Part 1 of Schedule 1 to the Act, the evidence included with the application was —
i
a conviction for an offence and that conviction has subsequently been quashed;
ii
evidence of ongoing criminal proceedings and those proceedings have subsequently been concluded without a conviction; or
iii
evidence of an application described in regulation 34(2)(h) and that application has subsequently been withdrawn or refused,
unless the individual provides another form of evidence (excluding evidence described in paragraphs (i) to (iii)) which would have been permitted in accordance with these Regulations at the date of the application.
2
In any of the circumstances described in paragraph (1)(h) to (j) the Director may —
a
revoke the determination; and
b
withdraw any other determination that the individual qualifies for civil legal services.
3
Except in the circumstances described in paragraph (1)(a)(ii), (b), (e) and (f), before withdrawing a determination, the Director must —
a
notify the individual of the intention to withdraw the determination;
b
invite written representations within a specified time limit;
c
upon the expiry of the time limit specified under sub-paragraph (b) —
i
consider the written representations;
ii
decide whether to withdraw the determination; and
iii
notify the individual of the decision as to whether to withdraw the determination.
4
The withdrawal is to be treated as having effect from the date of the notification described in paragraph (3)(a).
5
The withdrawal of a determination does not affect the provider’s right to remuneration for work done prior to the date of the withdrawal unless the provider failed without good reason to comply with the reporting requirements in regulations 40(2) and (3) and 41(1).
6
Where the Director has withdrawn a determination, the Director may subsequently determine that the withdrawal is to be treated as a revocation following the provision of new information which demonstrates that the circumstances described in paragraph (1)(h) to (j) were present at the time of withdrawal.
Reasons
43
1
Where the Director has —
a
determined that the services which are the subject of the application are not civil legal services described in Part 1 of Schedule 1 to the Act;
b
determined that an individual does not qualify for particular services;
c
determined that an individual does qualify but not on the terms requested in the application (whether because of a limitation or condition to which the determination has been made subject or otherwise);
d
amended a limitation or condition to which the determination is subject; or
e
withdrawn a determination,
the Director must notify the individual.
2
In the circumstances described in paragraph (1), the Director must send to the individual and provider or proposed provider —
a
written notice of the determination, amendment or withdrawal of a determination in a form specified by the Lord Chancellor;
b
written reasons for the determination, amendment or withdrawal of a determination; and
c
notice of the right to a review of the determination, amendment or withdrawal of a determination,
and may provide information about alternative ways of obtaining or funding civil legal services.
Review
44
1
An individual may apply for a review by the Director of any of the following —
a
a determination that the services which are the subject of the application are not civil legal services described in Part 1 of Schedule 1 to the Act;
b
a determination that an individual does not qualify for the civil legal services which are the subject of the application;
c
a determination that an individual qualifies for civil legal services but not on the terms requested in the application (whether because of a limitation or condition to which the determination has been made subject or otherwise);
d
an amendment of, or refusal to amend, a limitation or condition to which the determination is subject; or
e
a withdrawal of a determination,
within fourteen days of receipt of the notice of the determination, amendment or withdrawal (“the original decision”).
2
The application for review must be in a form specified by the Lord Chancellor and must include any written representations supporting the application.
3
The Director must consider the application and any written representations and may confirm or amend the original decision or substitute a new determination, amendment or withdrawal.
4
Where the original decision was the withdrawal of a determination and, following the review, the Director substitutes a determination for that withdrawal, the determination takes effect (unless the Director directs otherwise) as if the original decision had not been made.
5
The Director must ensure that a certificate accurately records the civil legal services for which an individual qualifies following the review.
6
The Director must notify the individual and the provider or proposed provider identified in the individual’s application of —
a
the decision following the review; and
b
any right of appeal to an adjudicator.
Appeal: general
45
1
Where an individual remains dissatisfied following a review, the individual may appeal to an adjudicator unless the determination in question is —
a
a determination under section 21 of the Act; or
b
a determination that the services which are the subject of the application are not civil legal services described in Part 1 of Schedule 1 to the Act.
2
An appeal must be considered without a hearing unless the adjudicator considers that it is in the interests of justice for the individual or a person acting on their behalf to make oral representations.
3
Where the Director or adjudicator considers that the appeal is of exceptional complexity or importance, the Director or adjudicator may refer the appeal to a panel of two or more adjudicators.
Appeal: power to refer for reconsideration
46
1
The adjudicator may do one or more of the following —
a
decide certain issues in accordance with regulation 47; and
b
consider whether the determination, amendment or withdrawal under appeal (“the decision under appeal”) was unlawful or unreasonable.
2
Where the adjudicator decides that the decision under appeal was not unlawful or unreasonable —
a
the adjudicator must confirm the decision under appeal, giving written reasons; and
b
the Director must notify the individual.
3
Where the adjudicator decides that the decision under appeal was unlawful or unreasonable —
a
the adjudicator must refer the decision under appeal to the Director for reconsideration, giving written reasons; and
b
the Director must notify the individual.
4
Where new information relevant to the decision under appeal is provided by the individual following the review, the adjudicator may refer the decision under appeal to the Director for reconsideration instead of determining the appeal.
Appeal: power to decide certain issues
47
1
The adjudicator may decide any of the following issues on appeal and the decision of the adjudicator on any such issue is binding on the Director —
a
the prospects of success;
b
the cost benefit criteria;
c
whether a case has overwhelming importance to the individual; and
d
whether a determination should be made, withdrawn or revoked in light of the individual’s conduct.
2
Where the adjudicator confirms the Director’s assessment of any of the issues described in paragraph (1) —
a
the adjudicator must give written reasons, and
b
the Director must notify the individual.
3
Where the adjudicator disagrees with the Director’s assessment of any of the issues described in paragraph (1), the adjudicator must —
a
refer the determination, amendment or withdrawal under appeal to the Director for reconsideration, giving written reasons; and
b
the Director must notify the individual.
4
In this regulation, “case with overwhelming importance to the individual” means a case which is not primarily a claim for damages or other sum of money and which relates to one or more of the following —
a
the life, liberty or physical safety of the individual or a member of that individual’s family (an individual is a member of another individual’s family if the requirements of section 10(6) of the Act are met); or
b
the immediate risk that the individual may become homeless.
Appeal: reconsideration by the Director
48
1
Where a determination, amendment or withdrawal (“the decision under appeal”) is referred to the Director by the adjudicator under regulation 46 or 47, the Director must reconsider that decision taking into account —
a
the adjudicator’s decision and written reasons; and
b
any new information provided by the individual following the review.
2
After reconsidering the decision under appeal, the Director may confirm or amend that decision or substitute a new determination, amendment or withdrawal.
3
The Director must notify the individual and the provider or proposed provider identified in the individual’s application of the decision following the appeal, giving written reasons.
4
Where the Director confirms the decision under appeal but for reasons that are materially different from the reasons for the decision under appeal, the individual may make a further appeal to the adjudicator (using the appeal provisions in this Part), following which there is no further review or appeal under these Regulations.
5
Where the decision under appeal was the withdrawal of a determination and, following the appeal, the Director substitutes a determination for that withdrawal, the determination takes effect (unless the Director directs otherwise) as if the original withdrawal had not been made.
6
The Director must ensure that a certificate accurately records the civil legal services for which an individual qualifies following the appeal.
Notice to third parties
49
Where the Director withdraws a determination and the proceedings to which the determination related have not been concluded, the provider must give notice of the withdrawal in a form specified by the Lord Chancellor to —
a
the court or tribunal; and
b
any parties to the proceedings who were given notice of the determination under regulation 38.
PART 5 Emergency Representation
General
50
1
This Part makes provision about the making and withdrawal of determinations under section 9 of the Act about emergency representation.
2
Except as specifically provided in this Part, determinations about emergency representation must be made and withdrawn in accordance with the provisions of these Regulations which would have applied had the application not been made on an urgent basis.
3
Regulation 42(3) does not apply in relation to emergency representation.
The application
51
1
An individual may make an application for emergency representation by such method (including by fax, telephone or e-mail) as the Director has agreed to accept given the urgency of the particular circumstances.
2
The application must specify whether the emergency representation is to be provided as Licensed Work or under an individual case contract.
Determinations
52
1
A determination that an individual qualifies for emergency representation —
a
must be made subject to a specified time limit; and
b
may be made on the basis of limited information and documents if the Director considers that it would be in the interests of justice to do so.
2
A determination made on the basis of limited information and documents —
a
must be made conditional upon the provision, within a specified time limit, of the information and documents which would have been required had the application not been made on an urgent basis;
b
may be disregarded if the condition is not satisfied within the specified time limit; and
c
must be revoked where, following the provision of further information and documents, the Director determines that the individual does not qualify for legal representation or family help (higher) in accordance with section 21 of the Act and regulations made under that section.
3
Where, following the provision of further information and documents —
a
the Director determines that the individual qualifies for legal representation subject to a condition requiring the payment of a contribution in accordance with regulation 36; and
b
the individual does not agree to pay, or arrange payment of, the contribution described in sub-paragraph (a),
the determination in relation to emergency representation may be revoked or withdrawn.
Appeal
53
1
An individual may not appeal —
a
against a determination that the individual does not qualify for emergency representation made on the basis of limited information and documents; or
b
the withdrawal of a determination about emergency representation on the basis only of the expiry of a time limit.
PART 6 Special Case Work
General
54
1
This Part makes provision about the making and withdrawal of determinations about Special Case Work.
2
An application for —
a
a determination that an individual qualifies for a form of civil legal services; or
b
an amendment of a determination,
may be treated by the Director as an application for Special Case Work in the circumstances described in paragraph (3).
3
The circumstances mentioned in paragraph (2) are where the Director has reasonable grounds to believe that —
a
the actual or likely costs of the case exceed £25,000;
b
if the case were to proceed to —
i
a trial or final hearing; or
ii
in the case of appeal proceedings before the Court of Appeal, the conclusion of that appeal,
the likely costs would exceed £75,000;
c
the application relates to a multi-party action or potential multi-party action;
d
the application relates to an appeal or proposed appeal to the Supreme Court;
e
it is necessary to decide whether —
i
the case is of significant wider public interest; or
ii
the substance of the case relates to a breach of Convention rights (within the meaning of the Human Rights Act 1998 ),
in order to determine whether the individual qualifies for civil legal services in accordance with the criteria set out in regulations made under section 11 of the Act;
f
the application relates to a case which satisfies the effective administration of justice test; or
g
the application relates to a community action.
4
Different proceedings may be treated as if they were a single case for the purpose of paragraph (2) if the Director decides that the proceedings are closely connected or are being heard together by the court or tribunal.
5
Except as provided in this Part, Part 4 (Licensed Work) applies to Special Case Work.
6
In this Part —
“community action” means proceedings proposed, begun or continued by or against one or more individuals who belong to an identifiable geographic community the members of which have a common interest in the proceedings;
“likely costs” means the total costs likely to have been incurred on behalf of the applicant for civil legal services at final judgment or settlement of the proceedings —
calculated on the basis that the proceedings fail to obtain a successful outcome or costs are not recovered from another party to the proceedings; and
taking into account the prospects of the proceedings settling before trial or other final hearing;
“multi-party action” means proceedings in which a number of individuals have a cause of action which involves common or related issues of fact or law; and
“significant wider public interest” has the meaning given in regulations made under section 11 of the Act.
Conditions
55
1
The Director may make a determination about Special Case Work conditional upon the proposed provider entering into an individual case contract with the Lord Chancellor.
2
The Director may make a determination about Special Case Work conditional upon the proposed provider submitting a costed case plan in a form specified by the Lord Chancellor which —
a
sets out proposals for progressing the Special Case Work; and
b
identifies —
i
the key stages of the case;
ii
the form of civil legal services likely to be needed at each key stage;
iii
the likely costs at each key stage; and
iv
appropriate intervals for the plan to be checked and adjusted by the provider with the agreement of the Director to reflect the progress of the Special Case Work.
3
The Director may make a determination about a case which is of significant wider public interest conditional upon the individual agreeing not to settle the proceedings without the prior written consent of the Director.
Determinations affecting several cases
56
1
A determination (“a determination of principle”) about Special Case Work which appears likely to affect a group of cases or cases of a particular description may specify that it applies generally to the cases which appear likely to be affected.
2
A determination of principle must specify —
a
the group of cases or the particular description of cases to which it applies;
b
the date on which it takes effect and, if relevant, ceases to have effect;
c
whether the cases are being treated as a multi-party action.
3
An application for a determination about Special Case Work may include a request, with written reasons, for the case to be covered by a determination of general principle.
Multi-party actions
57
1
An application for a determination in relation to a multi-party action must name a lead provider.
2
Applications from different individuals in the same multi-party action may be treated as a single application.
3
The Director must specify in a determination in relation to a multi-party action —
a
the identity of the lead provider;
b
whether the civil legal services to be made available are limited to an issue which is common to all parties or a particular group of parties (a “generic issue”); and
c
if the civil legal services do relate to a generic issue, whether the services include or are limited to —
i
the selection, preparation and trial of lead issues and lead cases;
ii
the co-ordination of the action; and
iii
any other civil legal services which the Director considers necessary for the action to be progressed as a multi-party action.
4
The Director may send any notices in relation to a multi-party action to the lead provider who must communicate the information in those notices to the parties for whom that provider is the lead provider.
5
The Director may waive any of the requirements of regulations 37 and 49 in relation to a multi-party action.
6
A certificate recording a determination in relation to a multi-party action must be amended to record a change in the identity of the lead provider.
Special controls
58
1
Special Case Work to be provided in the circumstances described in —
a
regulation 54(3)(c), (d), (e) and (g); and
b
regulation 54(3)(b) where the Director has reasonable grounds to believe that the likely costs would exceed £250,000,
is subject to special controls.
2
The provisions about appeals in Part 4 (Licensed Work) do not apply to Special Case Work subject to special controls.
3
Where the individual remains dissatisfied following a review about Special Case Work subject to special controls, the individual may appeal to the Special Controls Review Panel appointed by the Lord Chancellor (“ the Panel ”) under section 2 of the Act unless the determination in question is —
a
a determination under section 21 of the Act; or
b
a determination that the services which are the subject of the application are not civil legal services described in Part 1 of Schedule 1 to the Act.
4
The Director may refer to the Panel any issue which is relevant to a determination or the withdrawal of a determination about Special Case Work subject to special controls.
5
Appeals and issues referred to the Panel must be considered without a hearing unless the Panel considers that it is in the interests of justice for the individual, the Director or any person authorised by the individual or the Director to make oral representations before the Panel.
6
The Panel may —
a
confirm the determination or withdrawal of a determination; or
b
report to the Director its views on the case and any issues referred by the Director.
7
The Panel must —
a
give written reasons for its findings; and
b
send a copy of the confirmation or report to the Director and the individual.
8
The individual or any person authorised by the individual may make further written representations to the Director about the Panel’s findings or any issue addressed in the Panel’s report.
9
The Director must —
a
consider the Panel’s report and any further representations;
b
make a determination on the issues raised in the report;
c
give written reasons for any determination;
d
send a copy of the determination with written reasons to the individual; and
e
ensure that any certificate accurately records the civil legal services for which an individual qualifies following an appeal.
10
A determination by the Panel about the prospects of success made in accordance with the criteria set out in regulations made under section 11 of the Act is binding on the Director.
Appeals
59
Where an adjudicator is considering an appeal in relation to Special Case Work, regulation 47(1)(b) does not apply but the adjudicator must instead consider the likely damages or any other benefit or remedy which the individual is likely to receive.
PART 7 Family Mediation
General
60
This Part makes provision about the making and withdrawal of determinations under section 9 of the Act about family mediation.
The application
61
An individual applying for family mediation must —
a
attend the mediator’s premises in person;
b
complete the application form specified by the Lord Chancellor; and
c
provide any additional information and documents requested by the Director in order to make a determination in relation to the application.
Mediators
62
The individual must propose a mediator with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act for the mediator to provide family mediation in accordance with a code of practice approved by the Lord Chancellor.
Reasons
63
1
Where the Director —
a
determines that an individual does not qualify for family mediation; or
b
withdraws a determination in relation to family mediation,
the Director must notify the individual.
2
In the circumstances described in paragraph (1), the Director must send to the individual —
a
written notice of the determination or withdrawal in a form specified by the Lord Chancellor;
b
written reasons for the determination or withdrawal; and
c
notice of the right to a review of the determination or withdrawal,
and may provide information about alternative ways of obtaining or funding civil legal services.
3
The withdrawal of a determination does not affect the right of the mediator to remuneration for work done before the date of withdrawal.
Withdrawal of determinations
64
The Director may withdraw a determination where —
a
the individual no longer qualifies for the services made available by the determination in accordance with section 21 of the Act and regulations made under that section;
b
the services made available by the determination have been provided;
c
the Director is satisfied that continuing to act would breach the mediator’s code of practice referred to in regulation 62;
d
the individual consents;
e
the individual has died;
f
a bankruptcy order has been made against the individual; or
g
the individual has failed without good reason to comply with a requirement to provide information or documents or in providing required information or documents has made a statement or representation knowing or believing it to be false.
Review
65
1
An individual may apply to the Director for a review of a determination or withdrawal of a determination about family mediation, making written representations supporting the application.
2
The Director must —
a
consider the application and any written representations;
b
confirm the determination or withdrawal or substitute a new determination or withdrawal; and
c
notify the individual of the determination or withdrawal following the review.
PART 8 Exceptional Cases
General
66
1
This Part makes provision about the making and withdrawal of determinations under section 10 of the Act about exceptional cases.
2
Except as provided in this Part —
a
determinations under section 10 of the Act must be made and withdrawn in accordance with the provisions of these Regulations which apply to the form of civil legal services which is the subject of the application; and
b
Part 4 (Licensed Work), applies to other legal services.
3
The provisions in these Regulations about —
a
appeals;
b
review (other than in this Part); and
c
emergency representation,
do not apply to the making and withdrawal of determinations under section 10 of the Act.
4
Regulations 23(1)(c) and (d) and 31(4)(c) and (d) do not apply to the making and withdrawal of determinations under section 10 of the Act.
The application
67
1
Where the civil legal services which are the subject of an application are described in a category in the Category Definitions that form part of the 2010 Standard Civil Contract or 2013 Standard Civil Contract, the application must specify —
a
the category within which the civil legal services are described; and
b
if the individual has identified a proposed provider, a provider with whom the Lord Chancellor has made an arrangement under section 2(1) of the Act for the provision of services which fall within the category specified in the application (unless the effective administration of justice test is satisfied).
2
An application for a determination under section 10 of the Act must —
a
be made to the Director in writing in a form specified by the Lord Chancellor and signed by the individual and any proposed provider; and
b
state whether it is proposed that the services should be provided as Controlled Work, Licensed Work or under an individual case contract.
Determinations
68
1
A determination under section 10 of the Act may specify that the determination is to be treated as having effect from a date earlier than the date of the determination.
2
Where the Director makes —
a
an exceptional case determination under section 10(2)(a) of the Act; or
b
a wider public interest determination under section 10(4)(b) of the Act,
the Director must provide written reasons for the determination and notice of any right of review.
Review
69
1
The individual may, in accordance with paragraph (2), apply for a review of —
a
a refusal to make a determination under section 10(2)(a) or 10(4)(b) of the Act;
b
a determination that an individual does not qualify for the services under section 10(2)(b) or 10(4)(c) of the Act;
c
an amendment of, or refusal to amend, a limitation or condition to which a determination under section 10(2)(b) or 10(4)(c) of the Act is subject; or
d
a withdrawal of a determination.
2
Within fourteen days of receipt of a refusal, determination, amendment, or withdrawal described in paragraph (1) (a “decision”), the individual may —
a
apply to the Director for a review of the decision in a form specified by the Lord Chancellor; and
b
include written representations supporting that application.
3
The Director must consider the application and any written representations and may —
a
confirm or amend the decision which is the subject of the review; or
b
substitute a new decision.
4
Where the decision which is the subject of the review was the withdrawal of a determination and, following the review, the Director substitutes a determination for that withdrawal, the determination takes effect (unless the Director directs otherwise) as if the original decision had not been made.
5
The Director must ensure that a certificate accurately records the civil legal services for which the individual qualifies following the review (unless the services are to be provided as Controlled Work).
6
The Director must notify the individual and the provider or proposed provider identified in the individual’s application of the decision following the review.
Signed by authority of the Lord Chancellor
McNally
Minister of State
Ministry of Justice
12th December 2012 |
The Double Taxation Relief and International Tax Enforcement (Liechtenstein) Order 2012
Accordingly Her Majesty, in exercise of the powers conferred upon Her by section 2 of the Taxation (International and Other Provisions) Act 2010 and section 173(1) to (3) of the Finance Act 2006, by and with the advice of Her Privy Council, orders as follows —
Citation
1
This Order may be cited as the Double Taxation Relief and International Tax Enforcement (Liechtenstein) Order 2012.
Double taxation and international tax enforcement arrangements to have effect
2
It is declared that —
a
the arrangements specified in the Convention set out in Part 1 of the Schedule to this Order and the Protocol in Part 2 of that Schedule have been made with the Principality of Liechtenstein;
b
the arrangements have been made with a view to affording relief from double taxation in relation to income tax, corporation tax, capital gains tax and taxes of a similar character imposed by the laws of the Principality of Liechtenstein and for the purpose of assisting international tax enforcement; and
c
it is expedient that the arrangements should have effect.
Richard Tilbrook
Clerk of the Privy Council
SCHEDULE
Article 2 |
The Police Act 1997 (Criminal Records and Registration) (Guernsey) (Amendment No. 2) Regulations 2012
The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 113A(6) and 125 of the Police Act 1997 as extended and modified by the Police Act 1997 (Criminal Records) (Guernsey) Order 2009 .
Citation, commencement and extent
1
1
These Regulations may be cited as the Police Act 1997 (Criminal Records and Registration) (Guernsey) (Amendment No. 2) Regulations 2012 and come into force on 19th November 2012.
2
These Regulations extend to Guernsey.
Amendment of the Police Act 1997 (Criminal Records and Registration) (Guernsey) Regulations 2009
2
In regulation 9 of the Police Act 1997 (Criminal Records and Registration) (Guernsey) Regulations 2009 (central records: prescribed details) for “National Policing Improvement Agency” substitute “Secretary of State”.
Taylor of Holbeach
Parliamentary Under-Secretary of State
Home Office
23rd October 2012 |
The Digital Economy Act 2010 (Transitional Provision) Regulations 2012
The Secretary of State makes these Regulations in exercise of the powers conferred by section 44 of the Digital Economy Act 2010 :
Citation
1
These Regulations may be cited as the Digital Economy Act 2010 (Transitional Provision) Regulations 2012.
Interpretation
2
In these Regulations –
a
“the commencement day” means the day on which section 40(2), (3) and (5) of the Digital Economy Act 2010 come into force;
b
“the 1984 Act ” means the Video Recordings Act 1984 ;
c
“a designated authority” means the persons who, on the commencement day, are designated by the Secretary of State under section 4 and 4ZA of the 1984 Act, as –
i
the authority responsible for making arrangements for the matters specified in that Act in respect of video games (“the video games authority”); or
ii
the authority responsible for making arrangements for matters specified in that Act in respect of other video works (“the video works authority”).
Classification Certificates
3
1
In relation to times on or after the commencement day, any references in the 1984 Act, or any other Act or subordinate legislation, to a classification certificate issued under section 4 of the 1984 Act by, or in pursuance of arrangements made by a designated authority, includes a pre-commencement classification document unless expressly excluded.
2
In this regulation a “pre-commencement classification document” means a document issued by a designated authority in respect of a video game prior to the commencement day that contains –
a
the title of the video game, and
b
a statement that the video game concerned is only suitable for viewing by persons who have attained the age specified in the document (not being less than twelve years).
Ed Vaizey
Parliamentary Under Secretary of State
Department for Culture, Media and Sport
4th July 2012 |
The Road Vehicles (Individual Approval) (Fees) (Amendment) Regulations 2012
In relation to the exercise of her powers under the Finance Act 1973 the Secretary of State has the consent of the Treasury.
Citation and commencement
1
These Regulations may be cited as the Road Vehicles (Individual Approval) (Fees) (Amendment) Regulations 2012 and come into force on 20th June 2012.
Amendment of Regulations
2
1
The Road Vehicles (Individual Approval) (Fees) Regulations 2009 are amended as follows.
2
After regulation 3 insert —
Adaptations for Northern Ireland
3A
In their application to Northern Ireland, these Regulations have effect subject to the following adaptations —
a
in regulations 4(1) and (2) and 5(1) and (2) the words “Subject to paragraph (3)” are omitted;
b
regulations 4(3), 5(3) and 8(2) are omitted;
c
in regulations 4(4) and 5(4) the words “(1), (2) or (3)” are replaced by “(1) or (2)”;
d
in regulation 8(1) —
i
the words “paragraph (2) and” are omitted, and
ii
the words “4(1), (2) or (3)” are replaced by “4(1) or (2)”;
e
in regulation 8(3) the words “paragraphs (1) or (2)” are replaced by “paragraph (1)”; and
f
in regulation 10(1) the words “4(1), (2) or (3)” are replaced by “4(1) or (2)
.
Signed by authority of the Secretary of State
Mike Penning
Parliamentary Under Secretary of State
Department for Transport
2nd May 2012
We consent to the making of these Regulations to the extent that they are made in exercise of powers conferred by section 56(1) and (2) of the Finance Act 1973.
Michael Fabricant
James Duddridge
Two of the Lords Commissioners of Her Majesty’s Treasury
10th May 2012 |
The Local Authority (Referendums Relating to Council Tax Increases) Regulations 2012
The Secretary of State, in exercise of the powers conferred by sections 31(6), 52ZK(8), 52ZM(4), 52ZN(8) and 52ZX(5), (7) and (8) and 113(1) of the Local Government Finance Act 1992 and section 235(2) and 236(1) of the Localism Act 2011 , makes the following Regulations:
PART 1 General
Citation, commencement, application and interpretation
1
1
These Regulations —
a
may be cited as the Local Authority (Referendums Relating to Council Tax Increases) Regulations 2012, and
b
come into force on 16th March 2012.
2
These Regulations apply in relation to England only.
3
In these Regulations, “ the Act ” means the Local Government Finance Act 1992.
Consequential amendments
2
The Schedule (amendments consequential and to give full effect to Chapter 1 of Part 4 of the Localism Act 2011) to these Regulations has effect.
PART 2 Major precepting authorities
Major precepting authority’s duty to notify appropriate billing authorities
3
For the purposes of section 52ZK(8) of the Act (major precepting authority’s duty to notify appropriate billing authorities), the date prescribed as the date by which a major precepting authority must make a notification under section 52ZK(1) of the Act is —
a
in relation to the financial year beginning on 1st April 2012, 17th March in the financial year preceding that year; and
b
in relation to any financial year beginning on or after 1st April 2013, 8th March in the financial year preceding that year.
Expenses incurred by a billing authority
4
1
This regulation applies in relation to a financial year if —
a
by the date prescribed by regulation 3 a major precepting authority has notified each appropriate billing authority under section 52ZK of the Act in relation to that year, and
b
one or more of those billing authorities fails to hold a referendum in relation to the major precepting authority’s relevant basic amount of council tax for that year in accordance with section 52ZN (arrangements for a referendum) of the Act.
2
In relation to the precept mentioned in section 52ZK(2) of the Act, sections 31(5) (substituted amounts) and 52ZN(7) of the Act do not apply to a defaulting authority.
3
In relation to the precept mentioned in section 52ZK(2) of the Act, section 31(5) of the Act applies in relation to a complying authority with the following modifications —
a
if there is only one defaulting authority, for “the major precepting authority” substitute “the defaulting authority”; or
b
if there is more than one defaulting authority, for “the major precepting authority” substitute “each defaulting authority an equal proportion of the”.
4
In relation to the precept mentioned in section 52ZK(2) of the Act, section 52ZN(7) of the Act applies in relation to a complying authority with the following modifications —
a
if there is only one defaulting authority, for “the precepting authority” substitute “the defaulting authority”; or
b
if there is more than one defaulting authority, for the words from “from” to the end substitute “an equal proportion of the expenses incurred by it in connection with the referendum from each defaulting authority.”.
5
In this regulation —
“complying authority” means an appropriate billing authority mentioned in paragraph (1)(a) which is not a defaulting authority, and
“defaulting authority” means an appropriate billing authority to which paragraph (1)(b) applies.
PART 3 Local precepting authorities
Local precepting authority’s duty to notify appropriate billing authority
5
For the purposes of section 52ZM(4) (local precepting authority’s duty to notify appropriate billing authority) of the Act, the date prescribed as the date by which a local precepting authority must make a notification under section 52ZM(1) of the Act is —
a
in relation to the financial year beginning on 1st April 2012, 17th March in the financial year preceding that year; and
b
in relation to any financial year beginning on or after 1st April 2013, 8th March in the financial year preceding that year.
Expenses incurred by a billing authority
6
1
This regulation applies in relation to a financial year if —
a
by the date prescribed by regulation 5 a local precepting authority has notified its appropriate billing authority under section 52ZM of the Act in relation to that year, and
b
the billing authority fails to hold a referendum in relation to the local precepting authority’s relevant basic amount of council tax for that year in accordance with section 52ZN (arrangements for a referendum) of the Act.
2
Sections 31(4A) and 52ZN(7) of the Act do not apply in relation to the billing authority mentioned in paragraph (1)(b).
Signed by authority of the Secretary of State for Communities and Local Government
Bob Neill
Parliamentary Under Secretary of State
Department for Communities and Local Government
21st February 2012
SCHEDULE
Amendments consequential and to give full effect to Chapter 1 of Part 5 of the Localism Act 2011
Regulation 2
The Local Authorities (Calculation of Council Tax Base) Regulations 1992
Regulation 2
1
In regulation 2 (application of rules), for “33(1) and 44(1)” substitute “31B(1) , 42B(1) , and 52ZX(5)”.
Regulation 3
2
In regulation 3(1) (calculation of billing authority’s council tax base), for “33(1)” substitute “31B(1)”.
Regulation 6
3
In regulation 6 (calculation of billing authority’s council tax base for a part of its area) —
a
in paragraph (1) —
i
after “34(3)” insert “and item T in section 52ZX(5)”, and
ii
in the definition of item N, for “33(1)” substitute “31B(1)”,
b
in paragraph (2)(b), for “33(1)” substitute “31B(1)”, and
c
in paragraph (2)(d)(ii), after each occurrence of “34(3)” insert “and item T in section 52ZX(5)”.
Regulation 7
4
In regulation 7 (calculation of council tax base for the purposes of a major precepting authority) —
a
in paragraph (1) —
i
before “33(1)” insert “31B(1) or”, and
ii
before “44(1)” insert “42B(1) or”, and
b
in paragraph (2), before “44(1)” insert “42B(1) or”.
Regulation 8
5
In regulation 8 (prescribed period) —
a
in paragraph (1) —
i
for “33(1) and 44(1)” substitute “31B(1), 42B(1), and 52ZX(5)”, and
ii
for “(2) and (3)” substitute “(2) to (4)”, and
b
after paragraph (3), insert —
4
In respect of the financial year beginning on 1st April 2012, the prescribed period for the purposes of item T in section 52ZX(5) is the period beginning on 1st April 2012 and ending on 31st May 2012.
Regulation 9
6
In regulation 9(1) (determination of billing authority’s council tax base), for “33(1)” substitute “31B(1)”.
Regulation 10
7
In regulation 10 (determination of council tax base for the purposes of a major precepting authority) —
a
in paragraph (1), for “44(1)” substitute “42B(1)”, and
b
in paragraph (4), for “33(1)” substitute “31B(1)”.
New regulation 10A
8
After regulation 10 insert —
Determination of council tax base for the purposes of a local precepting authority
10A
1
Item T in section 52ZX(5) shall, in a case where a billing authority fails to notify its calculation for a financial year to the local precepting authority concerned within the period prescribed in regulation 8, be determined by the local precepting authority in the following manner.
2
Item T shall be determined in accordance with the rules contained in regulation 6 on the basis of all the information available to the local precepting authority but, for this purpose, the relevant day in respect of a financial year is the day on which the authority calculates the relevant amount for the year for the purposes of the determination.
3
The local precepting authority shall, in particular, have regard to any amount calculated for the preceding financial year by the billing authority —
a
as item TP in section 34(3) for the part of its area falling within the local precepting authority’s area, or
b
as item T in section 52ZX(5).
The Transport Levying Bodies Regulations 1992
Regulation 12
9
In regulation 12 (anticipation of levies: billing authorities), for each occurrence of “32” substitute “31A” .
Regulation 13
10
In regulation 13 (anticipation of levies: county councils), for each occurrence of “43” substitute “42A” .
The Levying Bodies (General) Regulations 1992
Regulation 11
11
In regulation 11 (anticipation of levies), in paragraph (2) —
a
for “32” substitute “31A”, and
b
for “43” substitute “42A”.
The National Park Authorities (Levies) (England) Regulations 1996
Regulation 9
12
In regulation 9 (anticipation of levies), in paragraph (3), for “that section 32 or 43” substitute “section 31A or 42A of the 1992 Act (calculation of council tax requirement by authorities in England)”.
The Charter Trustees Regulations 1996
Regulation 13
13
In regulation 13 (precepts) —
a
in paragraph (2), in the text substituted for section 41(3) of the Local Government Finance Act 1992, for each occurrence of “32” substitute “31A”,
b
in paragraph (3)(a) —
i
for “32” substitute “31A”,
ii
for “budget” substitute “council tax”, and
iii
after “(6)” insert “(b)”,
c
in paragraph (4), for “32” substitute “31A”, and
d
in paragraph (5) —
i
for “50” substitute “49A”,
ii
for each occurrence of “budget” substitute “council tax”, and
iii
for “local precepting authorities” substitute “authorities in England”.
The Local Authorities (Standing Orders) (England) Regulations 2001
Schedule 2
14
1
In Part 1 (authority with mayor and cabinet executive or mayor and council manager executive) —
a
in paragraph 8(a) —
i
for “32 to 37” substitute “31A, 31B and 34 to 36A ”,
ii
for “43 to 49” substitute “42A, 42B and 45 to 49 ”, and
iii
for “budget” substitute “council tax”, and
b
omit paragraph 14.
2
In Part 2 (authority with leader and cabinet executive) —
a
in paragraph 6(a) —
i
for “32 to 37” substitute “31A, 31B and 34 to 36A”, and
ii
for “43 to 49” substitute “42A, 42B and 45 to 49”.
b
omit paragraph 10.
The Local Government Finance (New Parishes) (England) Regulations 2008
Regulation 3
15
In regulation 3 (calculation of budget requirement) —
a
in the heading, for “budget” substitute “council tax”,
b
in paragraph (2) —
i
for “32” substitute “31A”, and
ii
for “budget” substitute “council tax”,
c
in paragraph (3) —
i
for “32” substitute “31A”, and
ii
after “(6)” insert “(b)”, and
d
in paragraph (4) —
i
for “50” substitute “49A”,
ii
for each occurrence of “budget” substitute “council tax”, and
iii
for “local precepting authorities” substitute “authorities in England”.
The Local Government (Structural Changes) (Further Financial Provisions and Amendment) Regulations 2009
Regulation 3
16
In regulation 3 (establishment of collection funds) —
a
for “32” substitute “31A”, and
b
for “budget” substitute “council tax”.
Regulation 6
17
In regulation 6 (anticipation of amounts required to discharge functions of charter trustees) —
a
in paragraph (1) —
i
for “32” substitute “31A”, and
ii
for “budget” substitute “council tax”, and
b
for paragraph (3) substitute —
3
Where paragraph 1 applies, section 36A(1) of the 1992 Act (substitute calculations: England) shall have effect as if after “purpose” there were inserted “and taking into account the modification of that section by regulation 6(1) of the Local Government (Structural Changes) (Further Provisions and Amendment) Regulations 2008.
.
The Environment Agency (Levies) (England and Wales) Regulations 2011
Regulation 11
18
In regulation 11 (anticipation of levy) —
a
in paragraph (4)(a), for “32” substitute “31A”, and
b
in paragraph 4(b), for “43” substitute “42A”. |
The Republic of Guinea (Asset-Freezing) Regulations 2012
The Treasury, in exercise of the powers conferred by section 2(2) of, and paragraph 1A of Schedule 2 to, the European Communities Act 1972, make the following Regulations.
Citation, commencement and application
1
1
These Regulations may be cited as the Republic of Guinea (Asset-Freezing) Regulations 2012 and come into force on 4th July 2012.
2
An offence under these Regulations may be committed by conduct wholly or partly outside the United Kingdom by —
a
a UK national, or
b
a body incorporated or constituted under the law of any part of the United Kingdom.
3
In paragraph (2) —
“conduct” includes acts and omissions;
“UK national” means —
a British citizen,
a British overseas territories citizen who acquired their citizenship from a connection with Gibraltar, or
a British subject under Part 4 of the British Nationality Act 1981 (British subjects) with the right of abode in the United Kingdom.
Interpretation
2
1
In these Regulations —
“the 2000 Act ” means the Financial Services and Markets Act 2000 ;
“the Council Regulation ” means Council Regulation (EU) No. 1284/2009 of 22 December 2009 imposing certain specific restrictive measures in respect of the Republic of Guinea, and a reference to Annex II to that Regulation is to be construed as a reference to that Annex as amended from time to time;
“designated person” means a person, entity or body listed in Annex II to the Council Regulation;
“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;
“relevant institution” means —
a person who has permission under Part 4 of the 2000 Act (permission to carry on regulated activities) ;
an EEA firm of the kind mentioned in paragraph 5(b) of Schedule 3 to the 2000 Act (EEA passport rights) which has permission under paragraph 15 of that Schedule as a result of qualifying for authorisation under paragraph 12 of that Schedule to accept deposits; or
an undertaking which by way of business operates a currency exchange office, transmits money (or any representations of monetary value) by any means or cashes cheques which are made payable to customers.
2
The definition of “relevant institution” in paragraph (1) must be read with —
a
section 22 of the 2000 Act (the classes of activity and categories of investment),
b
any relevant order under that section , and
c
Schedule 2 to that Act (regulated activities).
3
Any expression used both in these Regulations and in the Council Regulation has the meaning that it bears in the Council Regulation.
Freezing of funds and economic resources
3
1
A person (“P”) must not deal with funds or economic resources belonging to, or owned, held or controlled by, a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.
2
In paragraph (1) “deal with” means —
a
in relation to funds —
i
use, alter, move, allow access to or transfer,
ii
deal with the funds in any other way that would result in a change in volume, amount, location, ownership, possession, character or destination, or
iii
make any other change that would enable use, including portfolio management;
b
in relation to economic resources, exchange or use in exchange for funds, goods or services.
3
Paragraph (1) is subject to regulation 9.
Making funds available to a designated person
4
1
A person (“P”) must not make funds available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
Paragraph (1) is subject to regulations 8 and 9.
Making funds available for the benefit of a designated person
5
1
A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
For the purposes of this regulation —
a
funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulations 8 and 9.
Making economic resources available to a designated person
6
1
A person (“P”) must not make economic resources available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect —
a
that P is making the economic resources so available, and
b
that the designated person would be likely to exchange the economic resources, or use them in exchange, for funds, goods or services.
2
Paragraph (1) is subject to regulation 9.
Making economic resources available for the benefit of a designated person
7
1
A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable grounds to suspect, that P is making the economic resources so available.
2
For the purposes of this regulation —
a
economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulation 9.
Credits to a frozen account
8
1
The prohibitions in regulations 4 and 5 are not contravened by a person crediting a frozen account with —
a
interest or other earnings due on the account, or
b
payments due under contracts, agreements or obligations that were concluded or arose before the account became a frozen account.
2
The prohibitions in regulations 4 and 5 on making funds available do not prevent a relevant institution from crediting a frozen account where it receives funds transferred to the account.
3
A relevant institution must inform the Treasury without delay if it credits a frozen account in accordance with paragraph (1)(b) or (2).
4
In this regulation “frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person.
Licences
9
1
The prohibitions in regulations 3 to 7 do not apply to anything done under the authority of a licence granted by the Treasury.
2
A licence must specify the acts authorised by it and may be —
a
general or granted to a category of persons or to a particular person;
b
subject to conditions;
c
of indefinite duration or subject to an expiry date.
3
The Treasury may vary or revoke a licence at any time.
4
On the grant, variation or revocation of a licence, the Treasury must —
a
in the case of a licence granted to a particular person, give written notice of the grant, variation or revocation to that person;
b
in the case of a general licence or a licence granted to a category of persons, take such steps as the Treasury consider appropriate to publicise the grant, variation or revocation of the licence.
5
A person commits an offence who, for the purpose of obtaining a licence, knowingly or recklessly —
a
provides information that is false in a material respect, or
b
provides or produces a document that is not what it purports to be.
6
A person who purports to act under the authority of a licence but who fails to comply with any conditions included in the licence commits an offence.
Contravention and circumvention of prohibitions
10
1
A person who contravenes any of the prohibitions in regulations 3 to 7 commits an offence.
2
A person commits an offence who intentionally participates in activities knowing that the object or effect of them is (whether directly or indirectly) —
a
to circumvent any of the prohibitions in regulations 3 to 7, or
b
to enable or facilitate the contravention of any such prohibition.
Information provisions
11
The Schedule (which contains provisions concerning information gathering and disclosure) has effect.
Officers of a body corporate etc.
12
1
Where an offence under these Regulations committed by a body corporate —
a
is committed with the consent or connivance 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, or
b
is attributable to any neglect on the part of any such person,
that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
2
In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
3
Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body for a reference —
a
in the case of a partnership, to a partner;
b
in the case of an unincorporated body other than a partnership —
i
where the body’s affairs are managed by its members, to a member of the body;
ii
in any other case, to a member of the governing body.
Penalties
13
1
A person guilty of an offence under regulation 9 or 10 is liable —
a
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both;
b
on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding the statutory maximum or to both.
2
A person guilty of an offence under paragraph 1(5) or 4(1) of the Schedule is liable on summary conviction to imprisonment for a term not exceeding three months or to a fine not exceeding level 5 on the standard scale or to both.
Proceedings
14
1
Proceedings against any person for an offence under these Regulations may be taken before the appropriate court in the United Kingdom having jurisdiction in the place where that person is for the time being.
2
In England and Wales an information relating to an offence that is triable by a magistrates’ court may be so tried if it is laid —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.
3
In Scotland —
a
summary proceedings for an offence may be commenced —
i
before the end of twelve months from the date on which evidence sufficient in the Lord Advocate’s opinion to justify the proceedings came to the Lord Advocate’s knowledge, and
ii
not later than three years after the commission of the offence; and
b
section 136(3) of the Criminal Procedure (Scotland) Act 1995 (time limit for certain offences) applies for the purpose of this paragraph as it applies for the purpose of that section.
4
In Northern Ireland summary proceedings for an offence may be instituted —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify proceedings comes to the knowledge of the prosecutor.
5
For the purposes of this regulation a certificate of the prosecutor (or in Scotland, the Lord Advocate) as to the date on which such evidence as is referred to above came to their notice is conclusive evidence.
Consent to prosecution
15
1
Proceedings for an offence under these Regulations (other than a summary offence) may not be instituted —
a
in England and Wales, except by or with the consent of the Attorney General,
b
in Northern Ireland —
i
where the offence is committed wholly or partly outside Northern Ireland, except by or with the consent of the Advocate General for Northern Ireland;
ii
for all other offences, except by or with the consent of the Director for Public Prosecutions for Northern Ireland.
2
Nothing in paragraph (1) prevents —
a
the arrest of a person in respect of an offence under these Regulations, or
b
the remand in custody or on bail of any person charged with such an offence.
Notices
16
1
This regulation has effect in relation to any notice to be given to a person by the Treasury under regulation 9.
2
Any such notice may be given —
a
by posting it to the person’s last known address, or
b
where the person is a body corporate, partnership or unincorporated body other than a partnership, by posting it to the registered or principal office of the body or partnership concerned.
3
Where the Treasury do not have an address for the person, they must make arrangements for the notice to be given to the person at the first available opportunity.
The Crown
17
1
These Regulations bind the Crown.
2
No contravention by the Crown of a provision of these Regulations makes the Crown criminally liable.
3
The High Court or, in Scotland, the Court of Session may, on the application of a person appearing to the court to have an interest, declare unlawful any act or omission of the Crown that constitutes a contravention of a provision of these Regulations.
4
Nothing in this regulation affects Her Majesty in her private capacity.
5
Paragraph (4) is to be read as if section 38(3) of the Crown Proceedings Act 1947 (meaning of Her Majesty in her private capacity) were contained in these Regulations.
Michael Fabricant
Brooks Newmark
Two of the Lords Commissioners of Her Majesty’s Treasury
12th June 2012
SCHEDULE
Information Provisions
Regulation 11
Reporting obligations of relevant institutions
1
1
A relevant institution must inform the Treasury as soon as practicable if —
a
it knows, or has reasonable cause to suspect, that a person —
i
is a designated person, or
ii
has committed an offence under regulation 9 or 10, and
b
the information or other matter on which the knowledge or suspicion is based came to it in the course of carrying on its business.
2
Where a relevant institution informs the Treasury under sub-paragraph (1), it must state —
a
the information or other matter on which the knowledge or suspicion is based, and
b
any information it holds about the person by which the person can be identified.
3
Sub-paragraph (4) applies if —
a
a relevant institution informs the Treasury under sub-paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and
b
that person is a customer of the institution.
4
The relevant institution must also state the nature and amount or quantity of any funds or economic resources held by it for the customer.
5
A relevant institution that fails to comply with any requirement of sub-paragraph (1), (2) or (4) commits an offence.
Powers to request information
2
1
The Treasury may request a designated person to provide information concerning —
a
funds or economic resources owned, held or controlled by or on behalf of the designated person, or
b
any disposal of such funds or economic resources.
2
The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure —
a
by or on behalf of the designated person, or
b
for the benefit of the designated person.
3
The power in sub-paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of these Regulations.
4
The Treasury may request a person acting under a licence granted under regulation 9 to provide information concerning —
a
funds or economic resources dealt with under the licence, or
b
funds or economic resources made available under the licence.
5
The Treasury may request any person in or resident in the United Kingdom to provide such information as the Treasury may reasonably require for the purpose of —
a
establishing for the purposes of these Regulations —
i
the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person,
ii
the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person, or
iii
the nature of any financial transactions entered into by a designated person,
b
monitoring compliance with or detecting evasion of these Regulations, or
c
obtaining evidence of the commission of an offence under these Regulations.
6
The Treasury may specify the manner in which, and the period within which, information is to be provided.
7
If no such period is specified, the information which has been requested must be provided within a reasonable time.
8
A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.
9
Information requested under this paragraph may relate to any period of time during which a person is, or was, a designated person.
10
Information requested under sub-paragraph (1)(b), (2) or (5)(a)(iii) may relate to any period of time before a person became a designated person (as well as, or instead of, any subsequent period of time).
Production of documents
3
1
A request under paragraph 2 may include a request to produce specified documents or documents of a specified description.
2
Where the Treasury request that documents be produced, they may —
a
take copies of or extracts from any document so produced,
b
request any person producing a document to give an explanation of it, and
c
where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is —
i
in the case of a partnership, a present or past partner or employee of the partnership,
ii
in any other case, a present or past officer or employee of the body concerned,
to give such an explanation.
3
Where the Treasury request a designated person or a person acting under a licence granted under regulation 9 to produce documents, that person must —
a
take reasonable steps to obtain the documents (if not already in the person’s possession or control);
b
keep the documents under the person’s possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).
Failure to comply with request for information
4
1
A person commits an offence who —
a
without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request made under this Schedule,
b
knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request,
c
with intent to evade the provisions of this Schedule, destroys, mutilates, defaces, conceals or removes any document, or
d
otherwise intentionally obstructs the Treasury in the exercise of their powers under this Schedule.
2
Where a person is convicted of an offence under this paragraph, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.
General power to disclose information
5
1
The Treasury may disclose any information obtained by them pursuant to these Regulations —
a
to a police officer;
b
to any person holding or acting in any office under or in the service of —
i
the Crown in right of the Government of the United Kingdom,
ii
the Crown in right of the Scottish Administration, the Northern Ireland Administration or the Welsh Assembly Government,
iii
the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark,
iv
the Government of the Isle of Man, or
v
the Government of any British overseas territory;
c
to any law officer of the Crown for Jersey, Guernsey or the Isle of Man;
d
to the Legal Services Commission, the Scottish Legal Aid Board or the Northern Ireland Legal Services Commission;
e
to the Financial Services Authority, the Jersey Financial Services Commission, the Guernsey Financial Services Commission, the Isle of Man Insurance and Pensions Authority or the Isle of Man Financial Supervision Commission;
f
for the purpose of giving assistance or co-operation, pursuant to the Council Regulation, to the Council of the European Union, the European Commission or the Government of a Member State;
g
with a view to instituting, or otherwise for the purposes of, any proceedings —
i
in the United Kingdom, for an offence under these Regulations, or
ii
in any of the Channel Islands, the Isle of Man or any British overseas territory, for an offence under a similar provision in any such jurisdiction; or
h
with the consent of a person who, in their own right, is entitled to the information or to possession of the document, copy or extract, to any third party.
2
In sub-paragraph (1)(h) “in their own right” means not merely in the capacity as a servant or agent of another person.
Application of provisions
6
1
Nothing done under this Schedule is to be treated as a breach of any restriction imposed by statute or otherwise.
2
But nothing in this Schedule authorises a disclosure that —
a
contravenes the Data Protection Act 1998 , or
b
is prohibited by Part 1 of the Regulation of Investigatory Powers Act 2000 .
3
Nothing in this Schedule is to be read as requiring a person who has acted as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.
4
This Schedule does not limit the circumstances in which information may be disclosed apart from this Schedule.
5
This Schedule does not limit the powers of the Treasury to impose conditions in connection with the discharge of their functions under regulation 9.
6
In this paragraph “privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings. |
The Sixth Form College Corporations (Publication of Proposals) (England) Regulations 2012
The Secretary of State for Education makes the following Regulations in exercise of the powers conferred by sections 33C(3), 33N(2) and (3) and 89(4) of the Further and Higher Education Act 1992 :
Citation, commencement, interpretation and application
1
1
These Regulations may be cited as the Sixth Form College Corporations (Publication of Proposals)(England) Regulations 2012 and come into force on 22nd May 2012.
2
In these Regulations —
“ the Act ” means the Further and Higher Education Act 1992;
“student” includes a pupil ;
“the corporation” means the sixth form college corporation; and
“the proposer” means the person or body proposing to establish a sixth form college corporation.
3
These Regulations apply in relation to England.
Revocation and savings
2
1
The Education (Publication of Proposals)(Sixth Form College Corporations)(England) Regulations 2010 are revoked subject to paragraph (2).
2
The regulations referred to in paragraph (1) shall continue to apply where before 1st April 2012 the responsible local authority has made a proposal to which section 33N of the Act applies.
Publication of proposals to establish sixth form college corporations and period for considering representations
3
1
For the purposes of sections 33C(3)(a) of the Act, the prescribed time and manner for the publication of the proposal to establish a sixth form college corporation is as set out in paragraphs (3), (4) and (5).
2
For the purposes of section 33C(3)(b) of the Act, the prescribed information to be contained in the proposal is set out in paragraph 1 of the Schedule.
3
A proposal to establish a sixth form college corporation must be published at least four months before the date which is specified in the proposal for the establishment of the corporation.
4
The proposer must publish the proposal —
a
in at least one newspaper circulating in the area served, or to be served, by the corporation to which the proposal relates; and
b
in at least one national newspaper.
5
The proposer must send a copy of the proposal to —
a
the governing body of any institution within the further education sector within the local authority area in which the corporation is proposed to be situated;
b
the governing body or proprietor of any maintained school or Academy which provides full-time education suitable to the requirements of persons over compulsory school age within the local authority area in which the corporation is proposed to be situated;
c
the local authority in whose area the corporation is proposed to be situated;
d
the Chief Executive of Skills Funding ;
e
the Member of Parliament in whose constituency the corporation is situated or is proposed to be situated;
f
any other Member of Parliament whose constituents it appears to the proposer are likely to be affected by the proposal;
g
the Secretary of State; and
h
any other person who appears to the proposer to have an interest.
6
For the purposes of section 33C(3)(c) of the Act, the prescribed period during which any person may make representations about the proposal is a period of one month beginning on the day of publication described in paragraph (3).
Publication of and consultation on proposals for dissolution of sixth form college corporations
4
1
For the purposes of section 33N(2) of the Act, the corporation must publish the proposal in accordance with paragraphs (2) and (3).
2
The corporation must publish details of the proposal at least four months before the date which is specified in the proposal for the dissolution of the sixth form college corporation.
3
The corporation must publish details of the proposal containing the information set out in paragraph 2 of the Schedule —
a
in at least one newspaper circulating in the area served by the corporation to which the proposal relate; and
b
in at least one national newspaper.
4
For the purposes of section 33N(3) of the Act the corporation must consult on the proposal in accordance with paragraphs (5) and (6).
5
The corporation must send a copy of the proposal to —
a
the governing body or proprietor of any institution within the further education sector within the local authority area in which the corporation is situated;
b
any maintained school or Academy which provides full-time education suitable to the requirements of persons over compulsory school age within the local authority area in which the corporation is situated;
c
the local authority in whose area the corporation is situated;
d
the Chief Executive of Skills Funding;
e
the Member of Parliament in whose constituency the corporation is situated;
f
any other Member of Parliament whose constituents it appears to the corporation are likely to be affected by the proposal;
g
the Secretary of State; and
h
any other person who appears to the corporation to have an interest.
6
The corporation must —
a
provide for a period of at least one month beginning on the day of publication described in paragraph (2) for representations to be made on the proposal;
b
take account of the views expressed in any representations received under paragraph (6)(a); and
c
publish a summary of the consultation described in paragraphs (6)(a) and (b) within two months beginning on the date after the end of the consultation period described in paragraph (a), and make the summary available free of charge to any person who requests it.
Jonathan Hill
Parliamentary Under Secretary of State
Department for Education
30th April 2012
SCHEDULE
Regulations 3 and 4
Information to be contained in proposals to establish sixth form college corporations
1
The information which the proposer must publish is as follows —
a
the proposed name of the sixth form college corporation which is to conduct the institution and the proposed name of the institution (if different);
b
the address or the proposed address of the institution concerned;
c
the date on which it is proposed that the sixth form college corporation is to be established and the date on which it is proposed that the corporation should conduct the institution;
d
on the date which it is proposed the sixth form college corporation will be established, the percentage of its total enrolment number who will be over compulsory school age but under 19;
e
the reason for proposing the establishment of a body corporate as a sixth form college corporation;
f
a general description of the education to be provided at the institution when it is conducted by a sixth form college corporation, including the age range of the students; and
g
the number of full-time students, the number of part-time students and the total number of students which are forecast for such time as the institution is fully operational.
Information to be contained in proposals to dissolve sixth form college corporations
2
The information which the corporation must publish is as follows —
a
the name of the sixth form college corporation and the name of the institution concerned (if different);
b
the address of the corporation;
c
a general description of the education provided at the corporation;
d
the number of full-time students, the number of part-time students and the total number of students at the corporation;
e
the reason for proposing the dissolution of the corporation;
f
the date proposed for the dissolution of the corporation;
g
the educational provision to be made for those students who have not completed their courses on that date; and
h
the proposed arrangements for the transfer of the property, rights and liabilities of the corporation. |
The Town and Country Planning (Compensation) (England) Regulations 2012
The Secretary of State, in exercise of the powers conferred by section 108(2A), (3C), (3D), (5) and (6) of the Town and Country Planning Act 1990 , makes the following Regulations:
Citation, commencement, application and interpretation
1
1
These Regulations may be cited as the Town and Country Planning (Compensation) (England) Regulations 2012 and shall come into force on 6th April 2012.
2
These Regulations apply in relation to England only.
3
In these Regulations —
“ the Act ” means the Town and Country Planning Act 1990;
“the DMPO ” means the Town and Country Planning (Development Management Procedure) (England) Order 2010 ;
“the GPDO ” means the Town and Country Planning (General Permitted Development) Order 1995 ; and
“Schedule 2” means Schedule 2 to the GPDO.
Prescribed development
2
For the purposes of paragraphs (2A)(a) and (3C)(a) of section 108 of the Act (compensation where development order or local development order withdrawn), development of the following description is prescribed —
a
development permitted by Part 1 of Schedule 2 (development within the curtilage of a dwelling house);
b
development permitted by Class D and Class E of Part 2 of Schedule 2 (minor operations relating to electric vehicle charging points);
c
development permitted by Class I of Part 3 of Schedule 2 (changes of use relating to dwelling houses and houses in multiple occupation);
d
development permitted by Class A of Part 8 of Schedule 2 (erection, extension or alteration of an industrial building or a warehouse);
e
development permitted by Part 32 of Schedule 2 (schools, colleges, universities and hospitals);
f
development permitted by Part 40 of Schedule 2 (installation of domestic microgeneration equipment);
g
development permitted by Part 41 of Schedule 2 (office buildings);
h
development permitted by Part 42 of Schedule 2 (shops or catering, financial or professional services establishments); and
i
development permitted by Part 43 of Schedule 2 (installation of non-domestic microgeneration equipment).
Prescribed manner in which planning permission to be withdrawn
3
For the purposes of section 108(3C)(b) of the Act, the prescribed manner for withdrawing planning permission is by direction in accordance with articles 4, 5 and (as appropriate) 6 of the GPDO.
Notice of withdrawal – prescribed manner and period
4
For the purposes of section 108(3C)(c) of the Act —
a
the prescribed manner in which notice of the withdrawal is to be published is in the manner described in paragraphs (1) to (5) of article 5 of the GPDO; and
b
the prescribed period is 24 months.
Notice of withdrawal, revocation, amendment or directions – prescribed manner and period
5
For the purposes of section 108(3D)(c) of the Act —
a
the prescribed manner for publication of notice of the revocation, amendment or directions is in the manner described in paragraphs (7) and (8) of article 34 of the DMPO; and
b
the prescribed period is 24 months.
Transitional provision
6
These Regulations shall not apply in relation to any withdrawal of planning permission for development of a description prescribed in regulation 2(f), where, before 1st December 2011, either —
a
notice of the direction withdrawing that permission has been given in accordance with article 5(1) of the GPDO, or
b
the direction is one to which article 6 of the GPDO (directions with immediate effect) applies and the direction has come into force.
Revocation
7
The Town and Country Planning (Compensation) (England) Regulations 2011 are revoked.
Signed by authority of the Secretary of State for Communities and Local Government
Greg Clark
Minister of State
Department for Communities and Local Government
5th March 2012 |
The Schools Forums (England) Regulations 2012
The Secretary of State for Education makes the following Regulations in exercise of the powers conferred by sections 47A and 138(7) of the School Standards and Framework Act 1998 :
Citation, commencement, application and interpretation
1
1
These Regulations may be cited as the Schools Forums (England) Regulations 2012 and come into force on 1st October 2012.
2
These Regulations apply only in relation to England.
3
In these Regulations —
“ the Act ” means the School Standards and Framework Act 1998;
“Academies member” means a member who represents the proprietors of the Academies situated in the authority’s area;
“authority” means the local authority in whose area the schools forum is established;
“early years providers” means —
persons who are registered as early years childminders or other early years providers under Chapter 2 of Part 3 of the Childcare Act 2006 (which provides for the compulsory registration of persons providing early years provision) or are exempt from compulsory registration by order of the Secretary of State under section 33(2) or 34(3) of that Act,
independent schools, and
non-maintained special schools,
who provide early years provision;
“early years provision” has the meaning given by section 20 of the Childcare Act 2006;
“executive member” means any elected member of the authority appointed to the executive of that authority;
“governor” includes any interim executive member of an interim executive board constituted in accordance with paragraph 2 of Schedule 6 to the Education and Inspections Act 2006 ;
“nursery school” means a nursery school maintained by the authority;
“primary school” means a primary school maintained by the authority;
“representative” means either a head teacher or a senior member of staff representing a head teacher or a governor of a school maintained by the authority, save for in regulation 8 where it means a representative of the positions mentioned in that regulation;
“school” means a school maintained by the authority;
“school category” means one of the following categories of school —
community schools,
foundation schools,
voluntary aided schools,
voluntary controlled schools,
as described in Chapter 1 of Part 2 of the Act;
“secondary school” means a secondary school maintained by the authority;
“senior member of staff” means a principal, deputy head teacher, bursar or other person responsible for the financial management of the school;
“special school” means a community special school or a foundation special school.
4
In these Regulations, a reference to a governing body does not include a reference to the temporary governing body of a new school and a reference to a governor does not include a reference to a member of the temporary governing body of a new school, where “new school” has the meaning given by section 72(3) of the Act .
Revocation
2
The Schools Forums (England) Regulations 2010 are revoked.
Constitution of schools forum
3
Every authority must ensure that the schools forum for their area is constituted in accordance with regulations 4 to 7 by 1st October 2012.
Membership: general
4
1
Subject to the following paragraphs of this regulation, an authority may determine the size and composition of their schools forum and the forum members’ terms of office.
2
A forum must comprise —
a
schools members elected in accordance with regulation 5;
b
if there are any Academies in the authority’s area, at least one Academies member elected or selected in accordance with regulation 6; and
c
non-schools members appointed in accordance with regulation 7.
3
If, for any reason, an election for a schools member under regulation 5(1) or an Academies member under regulation 6(1) does not take place by any date set by the authority or any such election results in a tie between two or more candidates, the authority must appoint the schools member or Academies member to their schools forum instead.
4
Schools members and Academies members must together comprise at least two thirds of the membership of the forum.
5
At least one member must be a representative of the governing bodies of maintained schools and at least one member must be a representative of the head teachers of such schools.
6
Subject to paragraphs (7) to (10), primary schools, secondary schools and Academies must be broadly proportionately represented on the forum, having regard to the total number of pupils registered at them.
7
Where the authority maintain one or more secondary schools, at least one schools member must be a representative of a secondary school.
8
Where the authority maintain one or more special schools, at least one schools member must be a representative of a special school.
9
Where the authority maintain one or more nursery schools, at least one schools member must be a representative of a nursery school.
10
Where the authority maintain one or more pupil referral units, at least one schools member must be a representative of a pupil referral unit .
11
An authority may determine that the number of members representing schools in a particular school category must be broadly proportionate to the total number of schools in that category when compared with the total number of schools.
12
A forum member remains in office until —
a
the member’s term of office expires;
b
the member ceases to hold the office by virtue of which the member became eligible for election, selection or appointment to the forum;
c
the member resigns from the forum by giving notice in writing to the authority; or
d
in the case of a non-schools member, the member is replaced by the authority, at the request of the body which the member represents, by another person nominated by that body
e
whichever comes first.
13
The authority must maintain a written record of the composition of their forum, to include —
a
the number of schools members and by which group or sub-group they were elected;
b
the number of Academies members; and
c
the number of non-schools members, their terms of office, how they were chosen and whom they represent.
Schools members
5
1
Schools members must be elected to the schools forum by the members of the relevant group, or sub-group, in the authority’s area.
2
The groups are —
a
representatives of nursery schools, where there are any such schools in the authority’s area;
b
representatives of primary schools other than nursery schools;
c
representatives of secondary schools;
d
representatives of special schools, where there are any such schools in the authority’s area; and
e
representatives of pupil referral units, where there are any such schools in the authority’s area.
3
Each group referred to in paragraph (2) may consist of one or more of the following sub-groups —
a
where the authority exercises its discretion under paragraph (4)(a), representatives of head teachers of schools in each group;
b
where the authority exercises its discretion under paragraph (4)(b), representatives of governors of schools in each group;
c
where the authority exercises its discretion under paragraph (4)(c), representatives of head teachers and governors of schools in each group.
4
The authority may determine that a certain number of representatives of each group must be —
a
head teachers or head teachers’ representatives;
b
governors; or
c
head teachers or head teachers’ representatives and governors.
Academies members
6
1
Academies members must be elected to the schools forum by the proprietors of the Academies in the authority’s area.
2
Where there is only one Academy in the authority’s area, the proprietor of the Academy must select the person who will represent them on the schools forum.
Non-schools members
7
1
The authority must appoint non-schools members to their schools forum comprising —
a
one or more persons to represent the local authority 14-19 partnership ; and
b
one or more persons to represent early years providers.
2
Subject to paragraph (3) and regulation 4(4), the authority may appoint additional non-schools members to their forum to represent the interests of other bodies.
3
Prior to making any appointment under paragraph (2), the authority must consider whether the following bodies should be represented on their forum —
a
the Diocesan Board of Education for any diocese any part of which is situated in the authority’s area;
b
the Bishop of any Roman Catholic Diocese any part of which is situated in the authority’s area;
c
where there are any schools or Academies within the authority’s area that are designated under section 69(3) of the Act as having a religious character (other than Church of England or Roman Catholic schools), the appropriate faith group in respect of any such school or Academy.
4
The authority may not appoint any executive member or relevant officer of the authority to their forum as a non-schools member.
5
Within one month of the appointment of any non-schools member, the authority must inform the governing bodies of schools maintained by them and of Academies within their area of the name of the member and the name of the body that member represents.
6
In this Regulation “relevant officer” means —
a
the director of children’s services of the authority,
b
any officer employed or engaged to work under the management of the director of children’s services, other than one who directly provides education to children or who manages such a person, or
c
any officer whose work involves management of, or advice on, school funding.
Meetings and proceedings of schools forum
8
1
The schools forum must meet at least four times a year.
2
All meetings of the schools forum must be public meetings.
3
The meetings are quorate if at least two fifths of the total membership is present at the meeting.
4
The following persons may speak at meetings of the forum, even though they are not members of the forum-
a
the director of children’s services at the authority or their representative;
b
the chief finance officer at the authority or their representative;
c
any elected member of the authority who has primary responsibility for children’s services or education in the authority;
d
any elected member of the authority who has primary responsibility for the resources of the authority;
e
any person who is invited by the forum to attend in order to provide financial or technical advice to the forum;
f
an observer appointed by the Secretary of State; and
g
any person presenting a paper or other item to the forum that is on the meeting’s agenda, but that person’s right to speak shall be limited to matters related to the item that the person is presenting.
5
The members of the forum must elect a person as chair from among their number and determine the chair’s term of office.
6
The members of the forum may not elect as chair any member of the forum who is an elected member or officer of the authority.
7
The chair of the forum must decide upon an agenda for the meeting of the forum following consultation with members of the forum.
8
The authority must make arrangements to enable substitutes to attend and vote at meetings of the forum on behalf of schools members, Academies members and non-schools members, in consultation with members of the forum.
9
Apart from as provided for by paragraph (10) all members are entitled to vote on all matters put to a vote.
10
Non-schools members, other than those who represent early years providers, must not vote on matters relating to the formulae to be used by the local authority to determine the amounts to be allocated to schools and early years providers in accordance with regulations made under sections 47 and 47ZA of the Act.
11
Subject to paragraphs (8) to (10), the members of the forum may determine their own voting procedures.
12
The proceedings of the forum are not invalidated by —
a
any vacancy among their number;
b
any defect in the election or appointment of any member; or
c
any defect in the election of the chair.
13
The authority must promptly publish all papers considered by the forum and the minutes of their meetings on their website.
Consultation on contracts
9
The authority must consult the schools forum on the terms of any proposed contract for supplies or services (being a contract paid or to be paid out of the authority’s schools budget ) where the estimated value of the proposed contract is not less than the threshold which applies to the authority for that proposed contract pursuant to regulation 8 of the Public Contracts Regulations 2006 at least one month prior to the issue of invitations to tender.
Consultation on financial issues
10
1
The authority must consult the schools forum annually in respect of the authority’s functions relating to the schools budget, in connection with the following —
a
arrangements for the education of pupils with special educational needs;
b
arrangements for the use of pupil referral units and the education of children otherwise than at school;
c
arrangements for early years provision;
d
administrative arrangements for the allocation of central government grants paid to schools via the authority.
2
The authority may consult the forum on such other matters concerning the funding of schools as they see fit.
Information about consultations
11
The schools forum must inform the governing bodies of schools maintained by the authority of any consultation carried out by the authority under regulation 9 or 10, as soon as it reasonably can.
Charging of schools forum’s expenses
12
The authority must pay the expenses of the schools forum and charge those expenses to the schools budget.
Members’ expenses
13
The authority must reimburse all reasonable expenses of members in connection with their attendance at meetings of the forum and charge those expenses to the schools budget.
Jonathan Hill
Parliamentary Under Secretary of State
Department for Education
3rd September 2012 |
The Police (Performance) Regulations 2012
In accordance with section 63(3)(a) of that Act , she has supplied the Police Advisory Board for England and Wales with a draft of these Regulations and has taken into consideration the representations of that Board.
PART 1 Preliminary
Citation, commencement and extent
1
1
These Regulations may be cited as the Police (Performance) Regulations 2012 and shall come into force on 22nd November 2012.
2
These Regulations extend to England and Wales.
Application
2
These Regulations shall not apply in relation to —
a
a member of a police force above the rank of chief superintendent;
b
an officer of the rank of constable who has not completed his period of probation.
Revocation and transitional provisions
3
1
Subject to paragraph (2), the following Regulations are revoked —
a
the Police (Performance) Regulations 2008 (“the 2008 Performance Regulations ”);
b
the Police (Performance and Conduct) (Amendment: Metropolitan Police) Regulations 2011 .
2
Where unsatisfactory performance or attendance by a police officer came to the attention of the line manager for such an officer before 22nd November 2012, nothing in these Regulations shall apply and the 2008 Performance Regulations shall continue to have effect with the modification that, in regulation 4(1), for the definition of “police staff member” there is substituted —
“police staff member” means —
a member of the civilian staff of a police force, within the meaning of section 102(4) and (6) of the Police Reform and Social Responsibility Act 2011; or
an employee of the Common Council of the City of London who is under the direction and control of the Commissioner of the City of London Police;
.
3
In so far as they continue to apply by virtue of paragraph (2) above and regulation 3(2) of the 2008 Performance Regulations, the Police (Efficiency) Regulations 1999 shall have effect with the following modifications —
a
in regulation 3(1) —
i
in the definition of “countersigning officer”, for paragraph (b) substitute —
b
a police staff member who has supervisory responsibility for the reporting officer;
;
ii
omit the definition of “the metropolitan police force’s civilian staff”;
iii
for the definition of “personnel officer” substitute —
“personnel officer” means a police staff member or a member of a police force who, in either case, has responsibility for personnel matters relating to members of the police force concerned;
;
iv
after the definition of “police force concerned”, insert —
“police staff member” means —
a member of the civilian staff of a police force, within the meaning of section 102(4) and (6) of the Police Reform and Social Responsibility Act 2011;
a person employed under section 15 of the 1996 Act ; or
a person employed under section 55(1)(c) of the 1997 Act;
;
v
for the definition of “reporting officer” substitute —
“reporting officer” means the member of the police force concerned or the police staff member who, in either case, has the immediate supervisory responsibility for the officer concerned;
;
b
in regulation 4(2) and (3), for “a person employed under section 15 of the 1996 Act or section 55(1)(c) of the 1997 Act or a member of the metropolitan police force’s civilian staff” substitute “a police staff member”;
c
in regulation 8(3), for “a person employed under section 15 of the 1996 Act or a member of the metropolitan police force’s civilian staff” substitute “a police staff member”.
Interpretation and delegation
4
1
In these Regulations —
“the 1996 Act” means the Police Act 1996;
“the 2002 Act ” means the Police Reform Act 2002 ;
“the Police Regulations ” means the Police Regulations 2003 ;
“appropriate authority” means the chief officer of police of the police force concerned;
“bank holiday” means a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in England and Wales;
“complainant” means the person referred to at section 12(1)(a) to (c) (as the case may be) of the 2002 Act (complaints, matters and persons to which Part 2 applies);
“complaint” has the meaning given to it by section 12(1) of the 2002 Act;
“ the Commission ” means the Independent Police Complaints Commission established under section 9 of the 2002 Act (the Independent Police Complaints Commission);
“conduct matter” has the meaning given to it by section 12(2) of the 2002 Act;
“document” means anything in which information of any description is recorded and includes any recording of a visual image or images;
“first stage appeal meeting” has the meaning assigned to it by regulation 18;
“first stage meeting” has the meaning assigned to it by regulation 14;
“gross incompetence” and cognate expressions mean a serious inability or serious failure of a police officer to perform the duties of his rank or the role he is currently undertaking to a satisfactory standard or level, to the extent that dismissal would be justified, except that no account shall be taken of the attendance of a police officer when considering whether he has been grossly incompetent;
“human resources professional” means a police officer or police staff member who has specific responsibility for personnel matters relating to members of a police force;
“interested party” means a person whose appointment could reasonably give rise to a concern as to whether he could act impartially under these Regulations;
“interested person” has the meaning given to it by section 21 of the 2002 Act;
“investigator” means a person appointed or designated under paragraph 16, 17, 18 or 19 of Schedule 3 to the 2002 Act;
“line manager” means the police officer or the police staff member who, in either case, has immediate supervisory responsibility for the officer concerned;
“nominated person” means a person appointed by the senior manager in accordance with regulation 9;
“officer concerned” means the police officer in respect of whom proceedings under these Regulations are, or are proposed to be, taken;
“panel” means a panel appointed by the appropriate authority in accordance with regulation 32 subject to any change to the membership of that panel in accordance with regulation 33 and to the provisions of regulations 46 and 47;
“panel chair” means the chair of the panel;
“police force concerned” means —
where the officer concerned is a member of a police force, the police force of which he is a member; and
where the officer concerned is a special constable, the police force maintained for the police area for which he is appointed;
“police friend” means a person chosen by the officer concerned in accordance with regulation 5;
“police officer” means a member of a police force or a special constable;
“police staff member” means —
a member of the civilian staff of a police force, within the meaning of section 102(4) and (6) of the Police Reform and Social Responsibility Act 2011; or
an employee of the Common Council of the City of London who is under the direction and control of the Commissioner of the City of London Police;
“proposed witness” means a witness whose attendance at a third stage meeting the officer concerned or the appropriate authority (as the case may be) wishes to request of the panel chair;
“relevant lawyer” has the same meaning as in section 84(4) of the 1996 Act, subject to the provisions of paragraph 35 of Schedule 27 to the Criminal Justice and Immigration Act 2008 ;
“relevant terms of the final written improvement notice” has the meaning assigned to it by regulation 25;
“relevant terms of the written improvement notice” has the meaning assigned to it by regulation 18;
“second line manager” means the person appointed by the appropriate authority to act as the second line manager for the purposes of these Regulations in relation to the officer concerned and who is either —
a member of the police force concerned having supervisory responsibility for the line manager and who (in a case where the line manager is a member of the force) is senior in rank to the line manager, or
a police staff member who has supervisory responsibility for the line manager;
“second stage appeal meeting” has the meaning assigned to it by regulation 25;
“second stage meeting” has the meaning assigned to it by regulation 21;
“senior manager” means —
the police officer or police staff member who is for the time being the supervisor of the person who is, in relation to the officer concerned, the second line manager; or
in the absence of such supervisor, the police officer or police staff member nominated by the appropriate authority to carry out any of the functions of such supervisor under these Regulations, being of at least the same rank (or equivalent) as the person who is, in relation to the officer concerned, the second line manager;
“senior officer” means a member of a police force holding a rank above that of chief superintendent;
“staff association” means —
in relation to a member of a police force of the rank of chief inspector or below, the Police Federation of England and Wales; and
in relation to a member of a police force of the rank of superintendent or chief superintendent, the Police Superintendents’ Association of England and Wales;
“third stage meeting” has the meaning assigned to it by regulations 28 and 30;
“unsatisfactory performance procedures” means the procedures set out in these Regulations;
“validity period” has the meaning assigned to it by regulations 17(4), 24(4), 44(7)(d) and (8)(c); and
“working day” means any day other than a Saturday or a Sunday or a day which is a bank holiday or a public holiday in England and Wales.
2
In these Regulations —
a
references to —
i
unsatisfactory performance or attendance;
ii
the performance or attendance of an officer being unsatisfactory,
mean an inability or failure of a police officer to perform the duties of the role or rank he is currently undertaking to a satisfactory standard or level;
b
“unsatisfactory performance or attendance” may be construed as a reference to unsatisfactory performance and attendance;
c
“performance or attendance” may be construed as a reference to performance and attendance.
3
Information in documents which are stated to be subject to the harm test under these Regulations shall not be supplied to the officer concerned in so far as the appropriate authority considers that preventing disclosure to him is —
a
necessary for the purpose of preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, criminal proceedings;
b
necessary in the interests of national security;
c
necessary for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders;
d
necessary for the purpose of the prevention or detection of misconduct by police officers or police staff members or their apprehension for such matters;
e
justified on the grounds that providing the information would involve disproportionate effort in comparison to the seriousness of the unsatisfactory performance or attendance in question;
f
necessary and proportionate for the protection of the welfare and safety of any informant or witness; or
g
otherwise in the public interest.
4
The appropriate authority may, subject to paragraph (5), delegate any of its functions under these Regulations to —
a
a member of a police force of at least the rank of chief inspector; or
b
a police staff member who, in the opinion of the appropriate authority is of at least a similar level of seniority to a chief inspector.
5
Where the appropriate authority delegates its functions under regulation 30, the decisions shall be authorised by a senior officer.
6
Any proceedings under these Regulations are disciplinary proceedings for the purposes of section 87 of the 1996 Act .
7
Any proceedings under these Regulations are disciplinary proceedings within the meaning of section 29(1) of the 2002 Act, but only for the purposes of the following provisions of that Act —
a
section 22;
b
section 36;
c
paragraph 22 of Schedule 3;
d
paragraph 23 of Schedule 3;
e
paragraph 25 of Schedule 3; and
f
paragraph 27 of Schedule 3.
PART 2 General
Police friend
5
1
The officer concerned may choose —
a
a police officer;
b
a police staff member; or
c
where the officer concerned is a member of a police force, a person nominated by his staff association,
who is not otherwise involved in the matter, to act as his police friend.
2
A police friend may —
a
advise the officer concerned throughout the proceedings under these Regulations;
b
unless the officer concerned has the right to be legally represented under regulation 6 and chooses to be so represented, represent the officer concerned at a meeting under these Regulations;
c
make representations to the appropriate authority concerning any aspect of the proceedings under these Regulations; and
d
accompany the officer concerned to any meeting which the officer concerned is required to attend under these Regulations.
3
Where a police friend is a police officer or a police staff member, the chief officer of police of the force of which the police friend is a member shall permit him to use a reasonable amount of duty time for the purposes referred to in paragraph (2).
4
The reference in paragraph (3) to the force of which the police friend is a member shall include a reference to the force maintained for the police area for which a special constable is appointed and the force in which a police staff member is serving.
Legal representation
6
1
Where a police officer is required to attend a third stage meeting under regulation 30, he has the right to be legally represented at such meeting by a relevant lawyer of his choice.
2
If such an officer chooses not to be legally represented —
a
such meeting may take place and he may be dismissed or receive any other outcome under regulation 44(2) or (6) without his being legally represented; and
b
the panel conducting such meeting may nevertheless be advised by a relevant lawyer at the meeting in accordance with regulation 40(3).
3
Except in a case where the officer concerned has the right to be legally represented and chooses to be so represented, he may be represented at a meeting under these Regulations only by a police friend.
4
A third stage meeting under regulation 30 shall not take place unless the officer concerned has been notified in writing of the effect of this regulation.
Provision of notices or documents
7
Where any written notice or document is to be given or supplied to the officer concerned under these Regulations, it shall be —
a
given to him in person; or
b
left with some person at, or sent by recorded delivery to, his last known address.
Procedure at meetings under these Regulations
8
1
Where the officer concerned does not attend a meeting under these Regulations or where the officer concerned participates in a third stage meeting by video link or other means under regulation 36(9), he may nonetheless be represented at that meeting by his–
a
police friend; or
b
where the officer is required to attend the third stage meeting under regulation 30, his relevant lawyer.
2
Where the officer concerned does not attend a meeting under these Regulations or participate in a third stage meeting by video link or other means under regulation 36(9), the meeting may be proceeded with and concluded in the absence of the officer concerned whether or not he is so represented.
3
During any meeting under these Regulations, the person representing the officer concerned may —
a
address the meeting in order to do any or all of the following–
i
put the case of the officer concerned;
ii
sum up that case;
iii
respond on behalf of the officer concerned to any view expressed at the meeting;
iv
make representations concerning any aspect of proceedings under these Regulations; and
v
in the case of a third stage meeting only, subject to paragraph (7), ask questions of any witnesses;
b
confer with the officer concerned.
4
Where the person representing the officer concerned is a relevant lawyer, the police friend of the officer concerned may also confer with the officer concerned.
5
Where the officer concerned is participating in a third stage meeting by video link or other means in accordance with regulation 36(9), the person representing the officer or (if different) his police friend (or both) may also participate in the third stage meeting by such means together with the officer concerned.
6
The police friend or relevant lawyer of the officer concerned may not answer any questions asked of the officer concerned during a meeting.
7
Whether any question should or should not be put to a witness at a third stage meeting shall be determined by the panel chair.
8
At any meeting under these Regulations, the person or the panel conducting the meeting shall not make a finding of unsatisfactory performance or attendance or gross incompetence unless —
a
he is or they are satisfied on the balance of probabilities that there has been unsatisfactory performance or attendance or gross incompetence; or
b
the officer concerned consents to such a finding.
9
The person conducting or chairing a meeting under these Regulations may allow any document to be considered at that meeting notwithstanding that a copy of it has not been —
a
supplied to him by the officer concerned in accordance with regulation 15(8), 18(6)(b), 22(8), 25(6)(b) or 34(3);
b
supplied to the officer concerned in accordance with regulation 15(2), 22(2), 29(2) or 31(2); or
c
made available to each panel member or given to the officer concerned under regulation 32(11).
Nominated persons
9
1
A senior manager may appoint another person (a “nominated person”) to carry out any of the functions of the line manager or the second line manager in these Regulations.
2
Where a person is appointed to carry out any of the functions of the line manager under paragraph (1) he may not also be appointed to carry out any of the functions of the second line manager under that paragraph.
3
Where a person is appointed to carry out any of the functions of the second line manager under paragraph (1) he may not also be appointed to carry out any of the functions of the line manager under that paragraph.
4
A nominated person shall be a member of the police force concerned or a police staff member in the police force concerned and shall be, in the opinion of the appropriate authority, of at least the same or equivalent rank or grade as the person whose functions he is carrying out.
5
Where a nominated person is appointed by the senior manager, references in these Regulations to a line manager or a second line manager, as the case may be, shall be construed as references to the nominated person, in relation to the functions which the nominated person has been appointed to carry out.
References to certain periods
10
1
The appropriate authority may, on the application of the officer concerned or otherwise, extend the period specified in accordance with any of the regulations mentioned in paragraph (2) if it is satisfied that it is appropriate to do so.
2
The regulations mentioned in this paragraph are —
a
regulation 16(6)(c);
b
regulation 23(6)(c); and
c
regulation 44(7)(c) and (8)(a).
3
Unless the appropriate authority is satisfied that there are exceptional circumstances making it appropriate, any such period may not be extended if the extension would result in the total length of that period exceeding 12 months.
4
Where an extension is granted under paragraph (1) to a period specified under a regulation mentioned in paragraph (2), any reference in these Regulations to such period shall be construed as a reference to that period as so extended.
Suspension of certain periods
11
1
Any reference in these Regulations to a period mentioned in paragraph (2) shall not include any time the officer concerned is taking a career break under regulation 33(12) of the Police Regulations (leave) and the determination of the Secretary of State made under that regulation.
2
The periods mentioned in this paragraph are —
a
a period specified in accordance with regulation 16(6)(c);
b
the validity period of a written improvement notice;
c
a period specified in accordance with regulation 23(6)(c);
d
the validity period of a final written improvement notice;
e
a period specified under regulation 44(7)(c) or (8)(a);
f
the validity period of a final written improvement notice extended under regulation 44.
Meeting following investigation under Schedule 3 to the 2002 Act
12
1
Subject to regulation 30, where the appropriate authority —
a
i
receives an investigator’s written report submitted under paragraph 22 of Schedule 3 to the 2002 Act; and
ii
in making a determination under paragraph 23(7) or 24(6) of that Schedule, considers that the performance of a police officer is unsatisfactory;
b
accepts a recommendation under paragraph 27(3) of that Schedule in relation to the unsatisfactory performance of a police officer; or
c
has a duty under paragraph 27(4) of that Schedule to comply with a direction to give effect to such a recommendation,
it shall direct the line manager for the officer concerned to take the action specified in paragraph (2), (3) or (4), as the case may be.
2
In a case where —
a
the officer concerned has received a final written improvement notice under regulation 24 or 44 in relation to unsatisfactory performance which is similar to or connected with the unsatisfactory performance to which the determination mentioned in paragraph (1)(a) or the recommendation mentioned in paragraph (1)(b) and (c) relates; and
b
the validity period of the final written improvement notice, within the meaning of regulation 24(4) or 44(7)(d) or (8)(c), has not expired,
the specified action is that the line manager shall require the officer to attend a third stage meeting.
3
In a case where —
a
the officer concerned has received a written improvement notice under regulation 17 or 44 in relation to unsatisfactory performance which is similar to or connected with the unsatisfactory performance to which the determination mentioned in paragraph (1)(a) or the recommendation mentioned in paragraph (1)(b) and (c) relates; and
b
the validity period of the written improvement notice, within the meaning of regulation 17(4) or 44(7)(d), has not expired,
the specified action is that the line manager shall require the officer to attend a second stage meeting.
4
In any other case, the specified action is that the line manager shall require the officer concerned to attend a first stage meeting.
5
The line manager shall comply with a direction given by the appropriate authority under paragraph (1).
6
Where a police officer is required to attend a meeting under this regulation —
a
regulations 15 to 20 shall apply, if the meeting is a first stage meeting;
b
regulations 22 to 27 shall apply, if the meeting is a second stage meeting; and
c
regulations 29, 32 to 37 and 40 to 47 shall apply, if the meeting is a third stage meeting,
but this is subject to paragraphs (7) and (8).
7
The duty to provide documents in regulation 15(2), 22(2) or 29(2) shall have effect as a duty to provide the officer concerned with (subject to the harm test in regulation 4(3)) a copy of —
a
the investigator’s written report submitted under paragraph 22 of Schedule 3 to the 2002 Act; and
b
any recommendation of the Commission under paragraph 27(3) of that Schedule.
8
Where a police officer is required to attend a third stage meeting under paragraph (2) by reason of the fact that he is subject to a final written improvement notice issued or extended under regulation 44 —
a
the meeting shall be conducted by the same panel as conducted the initial third stage meeting;
b
regulation 46(11) to (15) shall apply in relation to that panel; and
c
the officer concerned shall not have the right to object to panel members under regulation 33, except in accordance with regulation 46(15).
9
Where the appropriate authority fails to make the determination referred to in paragraph (1)(a)(ii) (in so far as it involves consideration of the performance of a police officer) before the end of 15 working days beginning with the first working day after the receipt of the investigator’s written report, it shall notify the officer concerned of the reason for this.
Provision of information to the Commission
13
1
This regulation applies in a case where —
a
paragraph 18 or 19 of Schedule 3 to the 2002 Act applied; or
b
paragraph 16 or 17 of that Schedule applied and the Commission —
i
made a recommendation under paragraph 27(3) of that Schedule which the appropriate authority accepted; or
ii
gave a direction to the appropriate authority under paragraph 27(4) of that Schedule.
2
Where this regulation applies, the appropriate authority shall send the Commission a copy of —
a
any written record and written improvement notice given to the officer concerned under regulation 17(5);
b
any written notice and written summary given to the officer concerned under regulation 20(9);
c
any notification as to improvement in performance or attendance under regulation 21(1)(b);
d
any written record and final written improvement notice given to the officer concerned under regulation 24(5);
e
any written notice and written summary given to the officer concerned under regulation 27(9);
f
any notification as to improvement in performance or attendance under regulation 28(1)(b);
g
any written decision given to the officer concerned under regulation 43(3);
h
any final written improvement notice issued or extended under regulation 44(3);
i
any written improvement notice issued under regulation 44(6);
j
any notification as to improvement in performance or attendance under regulation 46(2)(b).
3
Where this regulation applies, the appropriate authority shall notify the Commission if it extends, under regulation 10(1), any period specified in accordance with regulation 16(6)(c), 23(6)(c) or 44(7)(c) or (8)(a).
PART 3 First stage
Circumstances in which a first stage meeting may be required
14
Where the line manager for a police officer considers that the performance or attendance of that officer is unsatisfactory, he may require the officer concerned to attend a meeting (in these Regulations referred to as a first stage meeting) to discuss the performance or attendance of the officer concerned.
Arrangement of first stage meeting
15
1
Where the line manager requires a police officer to attend a first stage meeting, he shall give a notice in writing to the officer concerned —
a
requiring him to attend a first stage meeting of the unsatisfactory performance procedures with the line manager;
b
informing him of the procedures for determining the date and time of the meeting under paragraphs (3) to (6);
c
summarising the reasons why his performance or attendance is considered unsatisfactory;
d
informing him of the possible outcomes of a first stage meeting, a second stage meeting and a third stage meeting;
e
informing him that a human resources professional or a police officer may attend the meeting to advise the line manager on the proceedings;
f
informing him that, if he consents, any other person specified in the notice may attend the meeting;
g
where the officer concerned is a member of a police force, informing him that he may seek advice from a representative of his staff association;
h
informing him that he may be accompanied and represented at the meeting by a police friend; and
i
informing him that he must provide to the line manager in advance of the meeting a copy of any document he intends to rely on at the meeting.
2
Such notice shall be accompanied by a copy of any document relied upon by the line manager when coming to his view mentioned in regulation 14 that the performance or attendance of the officer concerned is unsatisfactory.
3
The line manager shall, if reasonably practicable, agree a date and time for the meeting with the officer concerned.
4
Where no date and time is agreed under paragraph (3), the line manager shall specify a date and time for the meeting.
5
Where a date and time is specified under paragraph (4) and —
a
the officer concerned or his police friend will not be available at that time; and
b
the officer concerned proposes an alternative time which satisfies paragraph (6),
the meeting must be postponed to the time proposed by the officer concerned.
6
An alternative time must —
a
be reasonable; and
b
fall before the end of five working days beginning with the first working day after the day specified by the line manager under paragraph (4).
7
The line manager shall give to the officer concerned a notice in writing of the date and time of the first stage meeting determined in accordance with paragraphs (3) to (6) and of the place of the meeting.
8
In advance of the first stage meeting, the officer concerned shall provide the line manager with a copy of any document he intends to rely on at the meeting.
Procedure at first stage meeting
16
1
The following provisions of this regulation apply to the procedure to be followed at the first stage meeting.
2
The meeting shall be conducted by the line manager.
3
A human resources professional or a police officer may attend the meeting to advise the line manager on the proceedings.
4
Any other person specified in the notice referred to in regulation 15(1) may attend the meeting if the officer concerned consents to such attendance.
5
The line manager shall —
a
explain to the officer concerned the reasons why the line manager considers that the performance or attendance of the officer concerned is unsatisfactory;
b
provide the officer concerned with an opportunity to make representations in response;
c
provide his police friend (if he has one) with an opportunity to address the meeting in accordance with regulation 8(3)(a).
6
If, after considering any representations made in accordance with paragraph (5)(b) or (c), the line manager finds that the performance or attendance of the officer concerned has been unsatisfactory, he shall —
a
inform the officer concerned in what respect his performance or attendance is considered unsatisfactory;
b
inform the officer concerned of the improvement that is required in his performance or attendance;
c
inform the officer concerned that, if a sufficient improvement is not made within such reasonable period as the line manager shall specify (being a period not greater than 12 months), he may be required to attend a second stage meeting in accordance with regulation 21 and the line manager shall specify the date on which this period ends;
d
inform the officer concerned that he will receive a written improvement notice; and
e
inform the officer concerned that if the sufficient improvement referred to in sub-paragraph (c) is not maintained during any part of the validity period of such notice remaining after the expiry of the period specified in accordance with sub-paragraph (c), he may be required to attend a second stage meeting in accordance with regulation 21.
7
The line manager may, if he considers it appropriate, recommend that the officer concerned seeks assistance in relation to any matter affecting his health or welfare.
8
The line manager may postpone or adjourn the meeting to a specified later time or date if it appears to him necessary or expedient to do so.
Procedure following first stage meeting
17
1
The line manager shall, as soon as reasonably practicable after the date of the conclusion of the first stage meeting —
a
cause to be prepared a written record of the meeting; and
b
where he found at the meeting that the performance or attendance of the officer concerned has been unsatisfactory, cause to be prepared a written improvement notice.
2
Where the officer concerned has failed to attend a first stage meeting, if the line manager finds that the performance or attendance of the officer has been unsatisfactory, he shall as soon as reasonably practicable —
a
cause to be prepared a written improvement notice; and
b
if the police friend of the officer concerned attended the meeting, cause to be prepared a written record of the meeting.
3
A written improvement notice shall —
a
record the matters of which the officer concerned was informed (or would have been informed had he attended the meeting) under sub-paragraphs (a) to (c) and (e) of regulation 16(6);
b
state the period for which it is valid; and
c
be signed and dated by the line manager.
4
A written improvement notice shall be valid for a period of twelve months from the date of the notice (the “validity period”).
5
The line manager shall give a copy of any written record and any written improvement notice to the officer concerned as soon as reasonably practicable after they have been prepared.
6
Where the line manager found that the performance or attendance of the officer concerned has been unsatisfactory and has caused to be prepared a written improvement notice, he shall, at the same time as supplying the documents mentioned in paragraph (5), notify the officer concerned in writing of the matters set out in regulation 18, of the name of the person to whom a written notice of appeal must be given under that regulation, of his entitlements under paragraphs (7) and (8) and of the effect of paragraph (9).
7
Subject to paragraphs (8) and (9), the officer concerned shall be entitled to submit written comments on any written record to the line manager before the end of 7 working days beginning with the first working day after the day on which the copy is received by the officer concerned.
8
The line manager may, on the application of the officer concerned, extend the period specified in paragraph (7) if he is satisfied that it is appropriate to do so.
9
The officer concerned shall not be entitled to submit written comments on the written record if he has exercised his right to appeal under regulation 18.
10
The line manager shall ensure that any written record, any written improvement notice and any written comments of the officer concerned on the written record are retained together and filed.
Appeal against the finding and outcome of a first stage meeting
18
1
This regulation applies where, at the first stage meeting, the line manager found that the performance or attendance of the officer concerned has been unsatisfactory.
2
Where this regulation applies, the officer concerned may appeal against–
a
such finding; or
b
any of the matters specified in paragraph (3) and recorded in the written improvement notice (in these Regulations referred to as the relevant terms of the written improvement notice),
or both.
3
The matters specified in this paragraph are —
a
the respect in which the performance or attendance of the officer concerned is considered unsatisfactory;
b
the improvement that is required in his performance or attendance;
c
the length of the period specified by the line manager in accordance with regulation 16(6)(c).
4
The only grounds of appeal under this regulation are —
a
that the finding of unsatisfactory performance or attendance was unreasonable;
b
that any of the relevant terms of the written improvement notice are unreasonable;
c
that there is evidence that could not reasonably have been considered at the first stage meeting which could have materially affected the finding of unsatisfactory performance or attendance or any of the relevant terms of the written improvement notice;
d
that there was a breach of the procedures set out in these Regulations or other unfairness which could have materially affected the finding of unsatisfactory performance or attendance or any of the relevant terms of the written improvement notice.
5
Any appeal shall be commenced by the officer concerned giving written notice of appeal to the second line manager before the end of 7 working days beginning with the first working day after receipt of the documents referred to in regulation 17(5).
6
Such notification must–
a
set out the grounds of appeal of the officer concerned; and
b
be accompanied by any evidence on which the officer concerned relies.
7
The second line manager may, on the application of the officer concerned, extend the period specified in paragraph (5) if he is satisfied that it is appropriate to do so.
8
Subject to paragraph (9), the meeting at which the appeal will be heard (referred to in these Regulations as the first stage appeal meeting) shall take place before the end of 7 working days beginning with the first working day after the day on which the notification under paragraph (5) is received by the second line manager.
9
A first stage appeal meeting may take place after the period of 7 working days referred to in paragraph (8) if the second line manager considers it necessary or expedient, in which case he shall notify the officer concerned of his reasons in writing.
Arrangement of first stage appeal meeting
19
1
As soon as reasonably practicable after receipt by the second line manager of the notification of appeal referred to in regulation 18(5), the second line manager shall give a notice in writing to the officer concerned —
a
informing him of the procedures for determining the date and time of the meeting under paragraphs (2) to (5);
b
informing him that a human resources professional or a police officer may attend the meeting to advise the second line manager on the proceedings;
c
informing him that, if he consents, any other person specified in the notice may attend the meeting;
d
where the officer concerned is a member of a police force, informing him that he may seek advice from a representative of his staff association; and
e
informing him that he may be accompanied and represented at the meeting by a police friend.
2
The second line manager shall, if reasonably practicable, agree a date and time for the meeting with the officer concerned.
3
Where no date and time is agreed under paragraph (2), the second line manager shall specify a date and time for the meeting.
4
Where a date and time is specified under paragraph (3) and —
a
the officer concerned or his police friend will not be available at that time; and
b
the officer concerned proposes an alternative time which satisfies paragraph (5),
the meeting must be postponed to the time proposed by the officer concerned.
5
An alternative time must —
a
be reasonable; and
b
fall before the end of five working days beginning with the first working day after the day specified by the second line manager under paragraph (3).
6
The second line manager shall give to the officer concerned a notice in writing of the date and time of the first stage appeal meeting determined in accordance with paragraphs (2) to (5) and of the place of the meeting.
Procedure at first stage appeal meeting
20
1
The following provisions of this regulation apply to the procedure to be followed at a first stage appeal meeting.
2
The meeting shall be conducted by the second line manager.
3
A human resources professional or a police officer may attend the meeting to advise the second line manager on the proceedings.
4
Any other person specified in the notice referred to in regulation 19(1) may attend the meeting if the officer concerned consents to such attendance.
5
The second line manager shall —
a
provide the officer concerned with an opportunity to make representations; and
b
provide his police friend (if he has one) with an opportunity to address the meeting in accordance with regulation 8(3)(a).
6
After considering any representations made in accordance with paragraph (5), the second line manager may —
a
confirm or reverse the finding of unsatisfactory performance or attendance;
b
confirm or vary the relevant terms of the written improvement notice appealed against.
7
Where the second line manager has reversed the finding of unsatisfactory performance or attendance, he shall also revoke the written improvement notice.
8
The second line manager may postpone or adjourn the meeting to a specified later time or date if it appears to him necessary or expedient to do so.
9
As soon as reasonably practicable after the conclusion of the meeting, the officer concerned shall be given written notice of the second line manager’s decision and a written summary of the reasons for that decision, but in any event, the officer concerned shall be given written notice of the decision before the end of three working days beginning with the first working day after the conclusion of the meeting.
10
Where the second line manager has —
a
reversed the finding of unsatisfactory performance or attendance and revoked the written improvement notice; or
b
varied any of the relevant terms of the written improvement notice,
the decision of the second line manager shall take effect by way of substitution for the finding, the written improvement notice issued or the relevant terms of the written improvement notice appealed against from the date of the first stage meeting.
PART 4 Second stage
Circumstances in which a second stage meeting may be required
21
1
Where a police officer has received a written improvement notice, as soon as reasonably practicable after the date on which the period specified in accordance with regulation 16(6)(c) ends —
a
the line manager shall assess the performance or attendance of the officer concerned during that period, in consultation with the second line manager or a human resources professional (or both); and
b
the line manager shall notify the officer concerned in writing whether the line manager considers that there has been a sufficient improvement in performance or attendance during that period.
2
If the line manager considers that there has not been a sufficient improvement, he shall, at the same time as he gives notification under paragraph (1)(b), also notify the officer concerned in writing that he is required to attend a meeting (in these Regulations referred to as a second stage meeting) to consider his performance or attendance.
3
Where —
a
the officer concerned has not been required to attend a second stage meeting under paragraph (2), or
b
the officer concerned has been required to attend a second stage meeting under paragraph (2) but the second line manager did not make a finding of unsatisfactory performance or attendance at that meeting,
the officer concerned may be required to attend a second stage meeting under paragraph (4).
4
If the line manager considers that the officer concerned has failed to maintain a sufficient improvement in his performance or attendance during any part of the validity period of the written improvement notice remaining after the expiry of the period specified in accordance with regulation 16(6)(c), he shall notify the officer concerned in writing of the matters set out in paragraph (5).
5
Those matters are —
a
that he is of the view mentioned in paragraph (4); and
b
that the officer concerned is required to attend a meeting (in these Regulations referred to as a second stage meeting) to consider his performance or attendance.
6
Any second stage meeting which a police officer is required to attend must concern unsatisfactory performance or attendance which is similar to or connected with the unsatisfactory performance or attendance referred to in the written improvement notice.
Arrangement of second stage meeting
22
1
Where the line manager requires the officer concerned to attend a second stage meeting, the second line manager shall as soon as reasonably practicable give a notice in writing to the officer concerned —
a
referring to the requirement on the officer concerned to attend a second stage meeting of the unsatisfactory performance procedures with the second line manager;
b
informing him of the procedures for determining the date and time of the meeting under paragraphs (3) to (6);
c
summarising the reasons why his performance or attendance is considered unsatisfactory;
d
informing him of the possible outcomes of a second stage meeting and a third stage meeting;
e
informing him that the line manager may attend the meeting;
f
informing him that a human resources professional or a police officer may attend the meeting to advise the second line manager on the proceedings;
g
informing him that, if he consents, any other person specified in the notice may attend the meeting;
h
where the officer concerned is a member of a police force, informing him that he may seek advice from a representative of his staff association;
i
informing him that he may be accompanied and represented at the meeting by a police friend; and
j
informing him that he must provide to the second line manager in advance of the meeting a copy of any document he intends to rely on at the meeting.
2
Such notice shall be accompanied by a copy of any document relied upon by the line manager when he formed the view referred to in regulation 21(2) or (4), as the case may be.
3
The second line manager shall, if reasonably practicable, agree a date and time for the meeting with the officer concerned.
4
Where no date and time is agreed under paragraph (3), the second line manager shall specify a date and time for the meeting.
5
Where a date and time is specified under paragraph (4) and —
a
the officer concerned or his police friend will not be available at that time; and
b
the officer concerned proposes an alternative time which satisfies paragraph (6),
the meeting must be postponed to the time proposed by the officer concerned.
6
An alternative time must —
a
be reasonable; and
b
fall before the end of five working days beginning with the first working day after the day specified by the second line manager under paragraph (4).
7
The second line manager shall give to the officer concerned a notice in writing of the date and time of the second stage meeting determined in accordance with paragraphs (3) to (6) and of the place of the meeting.
8
In advance of the second stage meeting, the officer concerned shall provide the second line manager with a copy of any document he intends to rely on at the meeting.
Procedure at second stage meeting
23
1
The following provisions of this regulation shall apply to the procedure to be followed at the second stage meeting.
2
The meeting shall be conducted by the second line manager and may be attended by the line manager.
3
A human resources professional or a police officer may attend the meeting to advise the second line manager on the proceedings.
4
Any other person specified in the notice referred to in regulation 22(1) may attend the meeting if the officer concerned consents to such attendance.
5
The second line manager shall —
a
explain to the officer concerned the reasons why he has been required to attend the meeting;
b
provide the officer concerned with an opportunity to make representations in response;
c
provide his police friend (if he has one) with an opportunity to address the meeting in accordance with regulation 8(3)(a).
6
If, after considering any representations made under paragraph (5)(b) or (c), the second line manager finds that the performance or attendance of the officer concerned has been unsatisfactory during the period specified in accordance with regulation 16(6)(c) or during any part of the validity period of the written improvement notice remaining after the expiry of such period, he shall —
a
inform the officer concerned in what respect his performance or attendance is considered unsatisfactory;
b
inform the officer concerned of the improvement that is required in his performance or attendance;
c
inform the officer concerned that, if a sufficient improvement is not made within such reasonable period as the second line manager shall specify (being a period not greater than 12 months), he may be required to attend a third stage meeting in accordance with regulation 28 and the second line manager shall specify the date on which this period ends;
d
inform the officer concerned that he will receive a final written improvement notice; and
e
inform the officer concerned that if the sufficient improvement referred to in sub-paragraph (c) is not maintained during any part of the validity period of such notice remaining after the expiry of the period specified in accordance with sub-paragraph (c), he may be required to attend a third stage meeting in accordance with regulation 28.
7
The second line manager may, if he considers it appropriate, recommend that the officer concerned seeks assistance in relation to any matter affecting his health or welfare.
8
The second line manager may postpone or adjourn the meeting to a specified later time or date if it appears to him necessary or expedient to do so.
Procedure following second stage meeting
24
1
The second line manager shall, as soon as reasonably practicable after the date of the conclusion of the second stage meeting —
a
cause to be prepared a written record of the meeting; and
b
where he made a finding at the meeting as set out in regulation 23(6), cause to be prepared a final written improvement notice.
2
Where the officer concerned has failed to attend a second stage meeting, if the second line manager makes a finding as set out in regulation 23(6), he shall as soon as reasonably practicable —
a
cause to be prepared a final written improvement notice; and
b
if the police friend of the officer concerned attended the meeting, cause to be prepared a written record of the meeting.
3
A final written improvement notice shall —
a
record the matters of which the officer concerned was informed (or would have been informed had he attended the meeting) under sub-paragraphs (a) to (c) and (e) of regulation 23(6);
b
state the period for which it is valid; and
c
be signed and dated by the second line manager.
4
A final written improvement notice shall be valid for a period of twelve months from the date of the notice (the “validity period”).
5
The second line manager shall give a copy of any written record and any final written improvement notice to the officer concerned as soon as reasonably practicable after they have been prepared.
6
Where the second line manager made a finding as set out in regulation 23(6) and has caused to be prepared a final written improvement notice, he shall, at the same time as supplying the documents mentioned in paragraph (5), notify the officer concerned in writing of the matters set out in regulation 25, of the name of the person to whom a written notice of appeal must be given under that regulation, of his entitlements under paragraphs (7) and (8) and of the effect of paragraph (9).
7
Subject to paragraphs (8) and (9), the officer concerned shall be entitled to submit written comments on the written record to the second line manager before the end of 7 working days beginning with the first working day after the day on which the copy is received by the officer concerned.
8
The second line manager may, on the application of the officer concerned, extend the period specified in paragraph (7) if he is satisfied that it is appropriate to do so.
9
The officer concerned shall not be entitled to submit written comments on the written record if he has exercised his right to appeal under regulation 25.
10
The second line manager shall ensure that any written record, any final written improvement notice and any written comments of the officer concerned on the written record are retained together and filed.
Appeal against the finding and outcome of a second stage meeting
25
1
This regulation applies where, at the second stage meeting, the second line manager found that the performance or attendance of the officer concerned has been unsatisfactory as set out in regulation 23(6).
2
Where this regulation applies, the officer concerned may appeal against one or more of the following —
a
such finding;
b
any of the matters specified in paragraph (3) and recorded in the final written improvement notice (in these Regulations referred to as the relevant terms of the final written improvement notice);
c
the decision of the line manager to require the officer concerned to attend the second stage meeting.
3
The matters specified in this paragraph are —
a
the respect in which the performance or attendance of the officer concerned is considered unsatisfactory;
b
the improvement that is required in his performance or attendance;
c
the length of the period specified by the second line manager in accordance with regulation 23(6)(c).
4
The only grounds of appeal under this regulation are–
a
that, in relation to an appeal under paragraph (2)(c), the officer concerned should not have been required to attend the second stage meeting as the meeting did not, in accordance with regulation 21(6), concern unsatisfactory performance or attendance which is similar to or connected with the unsatisfactory performance or attendance referred to in the written improvement notice;
b
that the finding of unsatisfactory performance or attendance was unreasonable;
c
that any of the relevant terms of the final written improvement notice are unreasonable;
d
that there is evidence that could not reasonably have been considered at the second stage meeting which could have materially affected the finding of unsatisfactory performance or attendance or any of the relevant terms of the final written improvement notice;
e
that there was a breach of the procedures set out in these Regulations or other unfairness which could have materially affected the finding of unsatisfactory performance or attendance or any of the relevant terms of the final written improvement notice.
5
An appeal shall be commenced by the officer concerned giving written notice of appeal to the senior manager before the end of 7 working days beginning with the first working day after receipt of the documents referred to in regulation 24(5).
6
Such notice must–
a
set out the grounds of appeal of the officer concerned; and
b
be accompanied by any evidence on which the officer concerned relies.
7
The senior manager may, on the application of the officer concerned, extend the period specified in paragraph (5) if he is satisfied that it is appropriate to do so.
8
Subject to paragraph (9), the meeting at which the appeal will be heard (referred to in these Regulations as a second stage appeal meeting) shall take place before the end of 7 working days beginning with the first working day after the day on which the notification under paragraph (5) is received by the senior manager.
9
A second stage appeal meeting may take place after the period of 7 working days referred to in paragraph (8) if the senior manager considers it necessary or expedient, in which case he shall notify the officer concerned of his reasons in writing.
Arrangement of second stage appeal meeting
26
1
As soon as reasonably practicable after receipt by the senior manager of the notice of appeal referred to in regulation 25(5), the senior manager shall give a notice in writing to the officer concerned —
a
informing him of the procedures for determining the date and time of the meeting under paragraphs (2) to (5);
b
informing him that a human resources professional or a police officer may attend the meeting to advise the senior manager on the proceedings;
c
informing him that, if he consents, any other person specified in the notice may attend the meeting;
d
where the officer concerned is a member of a police force, informing him that he may seek advice from a representative of his staff association; and
e
informing him that he may be accompanied and represented at the meeting by a police friend.
2
The senior manager shall, if reasonably practicable, agree a date and time for the meeting with the officer concerned.
3
Where no date and time is agreed under paragraph (2), the senior manager shall specify a date and time for the meeting.
4
Where a date and time is specified under paragraph (3) and —
a
the officer concerned or his police friend will not be available at that time; and
b
the officer concerned proposes an alternative time which satisfies paragraph (5),
the meeting must be postponed to the time proposed by the officer concerned.
5
An alternative time must —
a
be reasonable; and
b
fall before the end of five working days beginning with the first working day after the day specified by the senior manager under paragraph (3).
6
The senior manager shall give to the officer concerned a notice in writing of the date and time of the second stage appeal meeting determined in accordance with paragraphs (2) to (5) and of the place of the meeting.
Procedure at second stage appeal meeting
27
1
The following provisions of this regulation apply to the procedure to be followed at a second stage appeal meeting.
2
The meeting shall be conducted by the senior manager.
3
A human resources professional or a police officer may attend the meeting to advise the senior manager on the proceedings.
4
Any other person specified in the notice referred to in regulation 26(1) may attend the meeting if the officer concerned consents to such attendance.
5
The senior manager shall —
a
provide the officer concerned with an opportunity to make representations; and
b
provide his police friend (if he has one) with an opportunity to address the meeting in accordance with regulation 8(3)(a).
6
After considering any representations made in accordance with paragraph (5), the senior manager may —
a
in an appeal under regulation 25(2)(c), make a finding that the officer concerned should not have been required to attend the second stage meeting and reverse the finding made at that meeting;
b
confirm or reverse the finding of unsatisfactory performance or attendance made at the second stage meeting;
c
confirm or vary the relevant terms of the final written improvement notice appealed against.
7
Where the senior manager has reversed the finding of unsatisfactory performance or attendance made at the second stage meeting, the senior manager shall also revoke the final written improvement notice.
8
The senior manager may postpone or adjourn the meeting to a specified later time or date if it appears to him necessary or expedient to do so.
9
As soon as reasonably practicable after the conclusion of the meeting, the officer concerned shall be given written notice of the senior manager’s decision and a written summary of the reasons for that decision but in any event, the officer concerned shall be given written notice of the decision before the end of three working days beginning with the first working day after the conclusion of the meeting.
10
Where the senior manager has —
a
reversed the finding made as set out in regulation 23(6) and revoked the final written improvement notice; or
b
varied any of the relevant terms of the final written improvement notice,
the decision of the senior manager shall take effect by way of substitution for the finding, the final written improvement notice issued or the relevant terms of the final written improvement notice appealed against from the date of the second stage meeting.
PART 5 Third stage
Assessment following second stage meeting
28
1
Where a police officer has received a final written improvement notice, as soon as reasonably practicable after the date on which the period specified in accordance with regulation 23(6)(c) ends —
a
the line manager shall assess the performance or attendance of the officer concerned during that period, in consultation with the second line manager or a human resources professional (or both); and
b
the line manager shall notify the officer concerned in writing whether the line manager considers that there has been a sufficient improvement in performance or attendance during that period.
2
If the line manager considers that there has not been a sufficient improvement, he shall, at the same time as he gives notification under paragraph (1)(b), also notify the officer concerned in writing that he is required to attend a meeting (in these Regulations referred to as a third stage meeting) to consider his performance or attendance.
3
Where —
a
the officer concerned has not been required to attend a third stage meeting under paragraph (2), or
b
the officer concerned has been required to attend a third stage meeting under paragraph (2) but the panel did not make a finding of unsatisfactory performance or attendance at that meeting,
the officer concerned may be required to attend a third stage meeting under paragraph (4).
4
If the line manager considers that the officer concerned has failed to maintain a sufficient improvement in his performance or attendance during any part of the validity period of the final written improvement notice remaining after the expiry of the period specified in accordance with regulation 23(6)(c), he shall notify the officer concerned in writing of the matters set out in paragraph (5).
5
Those matters are —
a
that he is of the view mentioned in paragraph (4); and
b
that the officer concerned is required to attend a meeting (in these Regulations referred to as a third stage meeting) to consider his performance or attendance.
6
Subject to regulation 30, any third stage meeting which a police officer is required to attend must concern unsatisfactory performance or attendance which is similar to or connected with the unsatisfactory performance or attendance referred to in the final written improvement notice.
Arrangement of a third stage meeting
29
1
Where the line manager requires the officer concerned to attend a third stage meeting, the senior manager shall as soon as reasonably practicable give a notice in writing to the officer concerned —
a
referring to the requirement on the officer concerned to attend a third stage meeting of the unsatisfactory performance procedures with a panel appointed by the appropriate authority;
b
informing him of the procedures for determining the date and time of the meeting under regulation 36;
c
summarising the reasons why his performance or attendance is considered unsatisfactory;
d
informing him of the possible outcomes of the meeting;
e
informing him that a human resources professional and a police officer may attend the meeting to advise the panel on the proceedings;
f
informing him that a relevant lawyer may attend the meeting to advise the panel on the proceedings and on any question of law that may arise at the meeting;
g
where the officer concerned is a special constable, informing him that a special constable shall attend the meeting to advise the panel;
h
informing him that, if he consents, any other person specified in the notice may attend the meeting;
i
where the officer concerned is a member of a police force, informing him that he may seek advice from a representative of his staff association; and
j
informing him that he may be accompanied and represented at the meeting by a police friend.
2
Such notice shall be accompanied by a copy of any document relied upon by the line manager when he formed the view referred to in regulation 28(2) or (4), as the case may be.
3
A third stage meeting under this regulation shall not take place unless the officer concerned has been notified of his right to representation under paragraph (1)(j).
Circumstances in which a third stage meeting may be required without a prior first or second stage meeting
30
1
This regulation applies where the appropriate authority —
a
considers that the performance of a police officer constitutes gross incompetence;
b
accepts a recommendation under paragraph 27(3) of Schedule 3 to the 2002 Act that a police officer’s performance is unsatisfactory and amounts to gross incompetence; or
c
has a duty under paragraph 27(4) of that Schedule to comply with a direction to give effect to such a recommendation.
2
Where this regulation applies, the appropriate authority must inform the officer concerned in writing that he is required to attend a meeting to consider his performance.
3
Such meeting shall be referred to in these Regulations as a third stage meeting, notwithstanding that the officer concerned has not attended a first stage meeting or a second stage meeting in respect of such performance.
Arrangement of a third stage meeting without a prior first or second stage meeting
31
1
Where the appropriate authority has informed the officer concerned under regulation 30(2) that he is required to attend a third stage meeting, the appropriate authority shall as soon as reasonably practicable give to the officer concerned a notice in writing —
a
referring to the requirement on the officer concerned to attend a third stage meeting of the unsatisfactory performance procedures with a panel appointed by the appropriate authority;
b
informing him of the procedures for determining the date and time of the meeting under regulation 36;
c
summarising the reasons why his performance is considered to constitute gross incompetence;
d
informing him of the possible outcomes of the meeting;
e
informing him that a human resources professional and a police officer may attend the meeting to advise the panel on the proceedings;
f
informing him that a relevant lawyer may attend the meeting to advise the panel on the proceedings and on any question of law that may arise at the meeting;
g
where the officer concerned is a special constable, informing him that a special constable shall attend the meeting to act as an advisor to the panel;
h
in a case to which regulation 38 applies, informing him that the Commission may attend the meeting to make representations;
i
in a case to which regulation 39 applies, informing him that the complainant or any interested person may attend the meeting as an observer;
j
in a case to which regulation 40(5) applies, informing him that a person nominated by the Commission may attend the meeting as an observer;
k
informing him that, if he consents, any other person specified in the notice may attend the meeting;
l
in a case to which regulation 40(10) applies, informing him that the Commission may direct that the whole or part of the meeting be held in public;
m
where the officer concerned is a member of a police force, informing him that he may seek advice from a representative of his staff association;
n
informing him of the effect of regulation 6; and
o
informing him that he may be accompanied at the meeting by a police friend.
2
Such notice shall be accompanied by a copy of —
a
any document relied upon by the appropriate authority when it formed the view referred to in sub-paragraph (a) of regulation 30(1), in a case where regulation 30 applies by virtue of that sub-paragraph; or
b
subject to the harm test in regulation 4(3), the investigator’s written report under paragraph 22 of Schedule 3 to the 2002 Act and the recommendation of the Commission under paragraph 27(3) of that Schedule, in a case where regulation 30 applies by virtue of paragraph (1)(b) or (c).
Appointment of panel members
32
1
The third stage meeting shall be conducted by a panel, which shall comprise a panel chair and two other members.
2
The panel shall be appointed by the appropriate authority.
3
The panel chair shall be a senior officer or a senior human resources professional.
4
One panel member shall be either a police officer or a human resources professional of at least the rank of superintendent or (in the opinion of the appropriate authority) equivalent.
5
The other panel member shall be either a police officer or a police staff member of at least the rank of superintendent or (in the opinion of the appropriate authority) equivalent.
6
At least one panel member shall be a police officer.
7
At least one panel member shall be a human resources professional.
8
Each panel member shall be of at least the same rank as or (in the opinion of the appropriate authority) equivalent of the officer concerned.
9
No panel member shall be an interested party.
10
As soon as reasonably practicable after the panel members have been appointed, the appropriate authority shall notify in writing the officer concerned of their names.
11
As soon as the appropriate authority has appointed the panel members, the appropriate authority shall arrange for a copy of any document —
a
which was available to the line manager in relation to any first stage meeting;
b
which was available to the second line manager in relation to any second stage meeting; or
c
which was prepared or submitted under regulation 17, 20, 24, 27, 28, 29, 30 or 31 as the case may be,
to be made available to each panel member; and a copy of any such document shall be given to the officer concerned.
12
For the purposes of this regulation, a “senior human resources professional” means a human resources professional who, in the opinion of the appropriate authority, has sufficient seniority, skills and experience to be a panel chair.
Right of officer concerned to object to panel members
33
1
The officer concerned may object to the appointment of any of the panel members.
2
Any such objection must be made in writing to the appropriate authority before the end of 3 working days beginning with the first working day after receipt of the notification referred to in regulation 32(10) and must set out the grounds of objection of the officer concerned.
3
The appropriate authority shall notify the officer concerned in writing whether it upholds or rejects an objection to any panel member.
4
If the appropriate authority upholds an objection, the appropriate authority shall remove that member from the panel and shall appoint a new member to the panel.
5
If the appropriate authority appoints a new panel member under paragraph (4), it must ensure that the requirements for the composition of the panel in regulation 32 continue to be met.
6
As soon as reasonably practicable after any such appointment, the appropriate authority shall notify in writing the officer concerned of the name of the new panel member.
7
The officer concerned may object to the appointment of a panel member appointed under paragraph (4).
8
Any such objection must be made in accordance with paragraph (2), provided that it must be made before the end of 3 working days beginning with the first working day after receipt of the notification referred to in paragraph (6); and the appropriate authority shall comply with paragraphs (3) to (6) in relation to the objection, but paragraph (7) shall not apply.
Procedure on receipt of notice of third stage meeting
34
1
Before the end of —
a
14 working days beginning with the first working day after the date on which a notice has been given to the officer concerned under regulation 29 or 31; or
b
where that period is extended by the panel chair for exceptional circumstances, such extended period,
the officer concerned shall comply with paragraphs (2) and (3).
2
The officer concerned shall provide to the appropriate authority —
a
written notice of whether or not he accepts that his performance or attendance has been unsatisfactory or that he has been grossly incompetent, as the case may be;
b
where he accepts that his performance or attendance has been unsatisfactory or that he has been grossly incompetent, any written submission he wishes to make in mitigation;
c
where he does not accept that his performance or attendance has been unsatisfactory or that he has been grossly incompetent, or where he disputes all or part of the matters referred to in the notice given under regulation 29 or 31, written notice of —
i
the matters he disputes and his account of the relevant events; and
ii
any arguments on points of law he wishes to be considered by the panel.
3
The officer concerned shall provide the appropriate authority and the panel with a copy of any document he intends to rely on at the third stage meeting.
4
Before the end of 3 working days beginning with the first working day after the date on which the officer concerned has complied with paragraph (2), the senior manager and the officer concerned shall each supply to the other a list of proposed witnesses or give notice that they do not have any proposed witnesses; and any list of proposed witnesses shall include brief details of the evidence that each witness is able to adduce.
5
Where there are proposed witnesses, the officer concerned shall, if reasonably practicable, agree a list of proposed witnesses with the senior manager.
6
Where no list of proposed witnesses is agreed under paragraph (4), the officer concerned shall supply to the appropriate authority his list of proposed witnesses.
Witnesses
35
1
As soon as reasonably practicable after any list of proposed witnesses has been —
a
agreed under regulation 34(5); or
b
supplied under regulation 34(6),
the appropriate authority shall supply that list to the panel chair together, in the latter case, with a list of its proposed witnesses.
2
The panel chair shall —
a
consider the list or lists of proposed witnesses; and
b
subject to paragraph (3), determine which, if any, witnesses should attend the third stage meeting.
3
The panel chair may determine that witnesses not named in any list of proposed witnesses should attend the third stage meeting.
4
No witness shall give evidence at a third stage meeting unless the panel chair reasonably believes that it is necessary in the interests of fairness for the witness to do so, in which case he shall —
a
where the witness is a police officer, cause that person to be ordered to attend the third stage meeting; and
b
in any other case, cause the witness to be given notice that his attendance is necessary and of the date, time and place of the meeting.
Timing and notice of third stage meeting
36
1
Subject to paragraphs (2) and (6) and regulation 37, the third stage meeting shall take place before the end of 30 working days beginning with the first working day after the day on which a notice has been given to the officer concerned under regulation 29 or 31.
2
The panel chair may extend the time period specified in paragraph (1) where he considers that it would be in the interests of fairness to do so.
3
Where the panel chair extends the time period under paragraph (2), he shall provide written notification of his reasons for so doing to the appropriate authority and the officer concerned.
4
The panel chair shall, if reasonably practicable, agree a date and time for the third stage meeting with the officer concerned.
5
Where no date and time is agreed under paragraph (4), the panel chair shall specify a date and time for the third stage meeting.
6
Where a date and time is specified under paragraph (5) and —
a
the officer concerned or his police friend will not be available at that time; and
b
the officer concerned proposes an alternative time which satisfies subsection (7),
the third stage meeting shall be postponed to the time proposed by the officer concerned.
7
An alternative time must —
a
be reasonable; and
b
fall before the end of 5 working days beginning with the first working day after the day specified by the panel chair.
8
The panel chair shall give to the officer concerned a notice in writing of the date and time of the third stage meeting determined in accordance with this regulation and of the place of the meeting.
9
Where the officer concerned informs the panel chair in advance that he is unable to attend the third stage meeting on grounds which the panel chair considers reasonable, the panel chair may allow the officer concerned to participate in the meeting by video link or other means.
10
Where the Commission is entitled to attend the third stage meeting to make representations under regulation 38(2), or to nominate a person to attend the proceedings as an observer under regulation 40(5), the Commission shall be given written notice of the date, time and place of the proceedings.
Postponement and adjournment of a third stage meeting
37
1
If the panel chair considers it necessary or expedient, he may direct that the third stage meeting take place at a different time to that specified in the notice given under regulation 36.
2
Such direction may specify a time which falls after the period of 30 working days referred to in regulation 36(1).
3
Where the panel chair makes a direction under paragraph (1) he shall notify in writing the officer concerned, the other panel members and the appropriate authority of his reasons and the revised time and place for the meeting.
Participation of Commission and investigator at a third stage meeting
38
1
This regulation shall apply in a case falling within regulation 30 where —
a
paragraph 18 or 19 of Schedule 3 to the 2002 Act applied; or
b
paragraph 16 or 17 of that Schedule applied and the Commission —
i
made a recommendation under paragraph 27(3) of that Schedule which the appropriate authority accepted; or
ii
gave a direction under paragraph 27(4)(a) of that Schedule.
2
The Commission may attend the third stage meeting to make representations, and where the Commission does so —
a
it may instruct a relevant lawyer to represent it;
b
it shall notify the complainant or any interested person prior to those proceedings; and
c
the panel chair shall notify the officer concerned prior to those proceedings.
3
The investigator or a nominated person shall attend the third stage meeting on the request of the panel chair to answer questions.
4
For the purposes of this regulation, a “nominated person” is a person who, in the opinion of —
a
the appropriate authority; or
b
in a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act applied, the Commission,
has sufficient knowledge of the investigation of the case to be able to assist the panel.
Attendance of complainant or interested person at a third stage meeting
39
1
This regulation shall apply in a case falling within regulation 30 where the third stage meeting arises from —
a
a conduct matter to which paragraph 16, 17, 18 or 19 of Schedule 3 to the 2002 Act applied; or
b
the investigation of a complaint which was certified as subject to special requirements under paragraph 19B(1) of that Schedule.
2
The appropriate authority shall notify the complainant or any interested person of the date, time and place of the third stage meeting.
3
Subject to the provisions of this regulation and any conditions imposed under regulation 40(13) —
a
the complainant may attend as an observer any part of the third stage meeting relating to the subject matter of his complaint; and
b
an interested person may attend as an observer any part of the third stage meeting relating to the subject matter of the complaint or conduct matter in respect of which he is an interested person.
4
Subject to paragraph (5) and any conditions imposed under regulation 40(13), a complainant or interested person may be accompanied by one other person, and if the complainant or interested person has a special need, by one further person to accommodate that need.
5
Where a complainant or interested person, or any person accompanying him, is to give evidence as a witness at the third stage meeting, he and any person allowed to accompany him shall not be allowed to attend the meeting before he gives his evidence.
6
Where the officer concerned objects to the complainant or interested person, or any person accompanying him, being present while a submission is made in mitigation on the officer’s behalf, the panel chair may require the complainant or interested person, or any person accompanying him, to withdraw while the submission is made.
7
The panel chair may, at his discretion, put any questions to the officer concerned that the complainant or interested person may request be put to him.
8
For the purposes of this regulation a person has a special need if, in the opinion of the panel chair, he has a disability or learning difficulty, or does not have sufficient knowledge of English, to fully participate in or understand the third stage meeting.
Attendance of others at a third stage meeting
40
1
Subject to regulations 38 and 39 and the provisions of this regulation, the third stage meeting shall be in private.
2
A human resources professional and a police officer may attend the meeting to advise the panel on the proceedings.
3
A relevant lawyer may attend the meeting to advise the panel on the proceedings and on any question of law that may arise at the meeting.
4
Where the officer concerned is a special constable, the appropriate authority shall appoint a special constable with sufficient seniority and experience to act as an adviser to the panel, who shall attend the meeting.
5
A person nominated by the Commission may, as an observer, attend a third stage meeting held under regulation 30 and arising from a case to which —
a
paragraph 17, 18 or 19 of Schedule 3 to the 2002 Act applied; or
b
paragraph 16 of that Schedule applied and in relation to which the Commission —
i
made a recommendation under paragraph 27(3) of that Schedule which the appropriate authority accepted; or
ii
gave a direction under paragraph 27(4)(a) of that Schedule.
6
In a case where a person nominated by the Commission is entitled under paragraph (5) to attend the third stage meeting, the appropriate authority shall notify the Commission of the date, time and place of the meeting.
7
Any other person specified in the notice to the officer concerned in accordance with regulation 29(1)(h) or 31(1)(k) may attend the meeting if the officer consents to such attendance.
8
Subject to any contrary decision by the panel chair, a witness other than a complainant, interested person or the officer concerned shall only attend the third stage meeting for the purposes of giving their evidence.
9
The panel chair may, at his discretion, permit a witness in the third stage meeting to be accompanied at that meeting by one other person.
10
Where a third stage meeting held under regulation 30 arises from a case to which paragraph 19 of Schedule 3 to the 2002 Act (investigations by the Commission) applied, and the Commission considers that because of the gravity of the case or other exceptional circumstances it would be in the public interest to do so, the Commission may, having consulted with —
a
the appropriate authority;
b
the officer concerned;
c
the complainant or interested person; and
d
any witnesses,
direct that the whole or part of the third stage meeting be held in public.
11
It shall be the duty of the panel to comply with a direction given under paragraph (10).
12
A direction under paragraph (10), together with the reasons for it, shall be notified as soon as practicable, and in any event before the end of five working days beginning with the first working day after the decision was taken, to the persons consulted under that paragraph.
13
The panel chair may impose such conditions as he sees fit relating to the attendance under regulation 39 or this regulation of persons at the third stage meeting (including circumstances in which they may be excluded) in order to facilitate the proper conduct of the meeting.
Exclusion from a third stage meeting
41
1
Where it appears to the panel chair that any person may, in giving evidence, disclose information which ought not to be disclosed to any person attending the meeting because it is information to which paragraph (2) applies, he shall require such attendees to withdraw while the evidence is given.
2
This paragraph applies to information in so far as the panel chair considers that preventing disclosure of it is —
a
necessary for the purpose of preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any criminal proceedings;
b
necessary in the interests of national security;
c
necessary for the purpose of the prevention or detection of crime, or the apprehension or prosecution of offenders;
d
necessary for the purposes of the prevention or detection of misconduct by other police officers or police staff members or their apprehension for such matters;
e
necessary and proportionate for the protection of the welfare and safety of any informant or witness; or
f
otherwise in the public interest.
Procedure at a third stage meeting
42
1
Subject to the provisions of these Regulations, the procedure at the third stage meeting shall be such as the panel chair may determine.
2
Where the officer concerned is required to attend a third stage meeting under regulation 28, the panel chair shall —
a
provide the officer concerned with an opportunity to make representations in relation to the matters referred to in the notice given under regulation 29;
b
provide his police friend (if he has one) with an opportunity to address the meeting in relation to such matters in accordance with regulation 8(3)(a).
3
Where the officer concerned is required to attend a third stage meeting under regulation 30, the panel chair shall —
a
provide the officer concerned with an opportunity to make representations in relation to the matters referred to in the notice given under regulation 31;
b
provide the person representing the officer with an opportunity to address the meeting in relation to such matters in accordance with regulation 8(3)(a).
4
The panel chair may adjourn the meeting to a specified later time or date if it appears to him necessary or expedient to do so.
5
A verbatim record of the meeting shall be taken and the officer concerned shall, on request, be supplied with a copy.
Finding
43
1
Following the third stage meeting, the panel shall make a finding whether —
a
in a case falling within regulation 28(2), the performance or attendance of the officer concerned during the period specified in accordance with regulation 23(6)(c) has been satisfactory or not;
b
in a case falling within regulation 28(4), the performance or attendance of the officer concerned during any part of the validity period of the final written improvement notice remaining after the expiry of the period specified in accordance with regulation 23(6)(c) has been satisfactory or not; or
c
in a case falling within regulation 30, the performance of the officer concerned constitutes gross incompetence, unsatisfactory performance or neither.
2
The panel shall prepare (or shall cause to be prepared) their decision in writing which shall state the finding and their reasons, as well as any outcome which they order under regulation 44.
3
As soon as reasonably practicable after the conclusion of the meeting, the panel chair shall give a written copy of the decision to —
a
the officer concerned; and
b
the line manager,
but in any event, the officer concerned shall be given written notice of the finding before the end of three working days beginning with the first working day after the conclusion of the meeting.
4
Where the panel have made a finding of unsatisfactory performance or attendance or gross incompetence, the copy of the decision given to the officer concerned shall be accompanied by a notice in writing setting out the circumstances in which and the time within which a police officer may appeal to a police appeals tribunal under the Police Appeals Tribunals Rules 2012 .
5
Any finding or decision of the panel under this regulation or regulation 44 shall be based on a simple majority but shall not indicate whether it was taken unanimously or by a majority.
Outcomes
44
1
If the panel make a finding that, in a case falling within regulation 28(2) or (4), the performance or attendance of the officer concerned has been unsatisfactory they may, subject to paragraph (4), order —
a
one of the outcomes mentioned in paragraph (3)(a), (c) or (f); or
b
where the panel are satisfied that there are exceptional circumstances which justify it, the outcome mentioned in paragraph (3)(d).
2
If the panel make a finding that, in a case falling within regulation 30, the performance of the officer concerned constitutes gross incompetence, they may order one of the outcomes mentioned in paragraph (3)(b), (c), (e) or (f).
3
The outcomes mentioned in this paragraph are:
a
dismissal of the officer concerned with notice, the period of such notice to be decided by the panel, subject to a minimum period of 28 days;
b
dismissal of the officer concerned with immediate effect;
c
reduction in rank of the officer concerned with immediate effect;
d
an extension of the final written improvement notice;
e
the issue of a final written improvement notice;
f
redeployment to alternative duties (which may involve a reduction of rank) within the police force concerned.
4
The panel may not order the outcome mentioned in paragraph (3)(c) where–
a
the officer concerned is a special constable; or
b
the third stage meeting relates to the attendance of the officer concerned.
5
Where the question of ordering any of the outcomes mentioned in paragraph (3) is being considered, the panel —
a
shall have regard to the record of police service of the officer concerned as shown on his personal record;
b
may receive evidence from any witness whose evidence would, in their opinion, assist them in determining the question; and
c
shall give —
i
the officer concerned, his police friend or, in a case falling within regulation 30, his relevant lawyer; and
ii
the appropriate authority;
an opportunity to make oral or written representations before any such question is determined.
6
If the panel make a finding, in a case falling within regulation 30, of unsatisfactory performance, they shall order the issue of a written improvement notice.
7
A written improvement notice or a final written improvement notice issued under this regulation shall —
a
state in what respect the performance or attendance of the officer concerned (as the case may be) is considered unsatisfactory or grossly incompetent;
b
state the improvement that is required in his performance or attendance;
c
state that, if a sufficient improvement is not made within such reasonable period as the panel shall specify (being a period not greater than 12 months), the officer concerned may be required to attend a second stage meeting (in the case of a written improvement notice) or another third stage meeting (in the case of a final written improvement notice) and state the date on which this period ends;
d
state that it shall be valid for a period of twelve months from the date of the notice (the “validity period”);
e
state that, if the sufficient improvement referred to in sub-paragraph (c) is not maintained during any part of the validity period remaining after the expiry of the period specified in accordance with sub-paragraph (c), he may be required to attend a second stage meeting (in the case of a written improvement notice) or another third stage meeting (in the case of a final written improvement notice); and
f
be signed and dated by the panel chair.
8
Where the panel orders an extension of the final written improvement notice —
a
the notice shall be amended —
i
to state that if the officer concerned does not make a sufficient improvement within such reasonable period as the panel shall specify (being a period not greater than 12 months) he may be required to attend another third stage meeting; and
ii
to state the date on which this period ends;
b
the panel may vary any of the other matters recorded in the notice;
c
the notice shall be valid for a further period of twelve months from the date of the extension (the “validity period”) and shall state the date on which it expires.
Assessment of performance or attendance following third stage meeting
45
1
This regulation applies where a written improvement notice has been issued under regulation 44.
2
Where this regulation applies, the performance of the officer concerned shall be assessed under regulation 21 as if he had received a written improvement notice under regulation 17.
3
Where, as a result of such assessment, the officer concerned is required to attend a second stage meeting, these Regulations shall have effect as if he had been required to attend that meeting under regulation 21; and —
a
references to the period specified in accordance with regulation 16(6)(c) shall be construed as references to the period specified under regulation 44(7)(c); and
b
references to the validity period of the written improvement notice shall be construed as references to the validity period of the written improvement notice issued under regulation 44.
4
Where a police officer is required to attend such a second stage meeting, that meeting must concern unsatisfactory performance which is similar to or connected with the unsatisfactory performance referred to in the written improvement notice.
46
1
This regulation applies where a final written improvement notice has been issued or extended under regulation 44.
2
Where this regulation applies, as soon as reasonably practicable after the reasonable period specified by the panel under regulation 44(7)(c) or (8)(a) ends —
a
the panel shall assess the performance or attendance of the officer concerned (as the case may be) during that period; and
b
the panel chair shall notify the officer concerned in writing whether the panel considers that there has been a sufficient improvement in performance or attendance during that period.
3
If the panel considers that there has not been a sufficient improvement, the panel chair shall, at the same time as he gives notification under paragraph (2)(b), also notify the officer concerned in writing that he is required to attend another third stage meeting to consider his performance or attendance.
4
Where —
a
the officer concerned has not been required to attend a third stage meeting under paragraph (3), or
b
the officer concerned has been required to attend a third stage meeting under paragraph (3) but the panel did not make a finding of unsatisfactory performance or attendance at that meeting,
the officer concerned may be required to attend a third stage meeting under paragraph (5).
5
If the panel considers that the officer concerned has failed to maintain a sufficient improvement in his performance or attendance during any part of the validity period of the final written improvement notice remaining after the expiry of the period specified in accordance with regulation 44(7)(c) or (8)(a), the panel chair shall notify the officer concerned in writing of the matters set out in paragraph (6).
6
Those matters are —
a
that the panel is of the view mentioned in paragraph (5); and
b
that the officer concerned is required to attend another third stage meeting to consider his performance or attendance.
7
In a case falling within paragraph (3) or (5), the appropriate authority shall give the officer concerned the notice referred to in regulation 29.
8
Where the officer concerned is required to attend a third stage meeting under this regulation, these Regulations shall have effect as if the case fell within regulation 28(2) or (4) as the case may be and —
a
references to the period specified in accordance with regulation 23(6)(c) shall be construed as references to the period specified under regulation 44(7)(c) or (8)(a), as the case may be; and
b
references to the validity period of the final written improvement notice shall be construed as references to the validity period mentioned in regulation 44(7)(d) or (8)(c), as the case may be.
9
Any third stage meeting which a police officer is required to attend under this regulation must concern unsatisfactory performance or attendance which is similar to or connected with the unsatisfactory performance or attendance referred to in the final written improvement notice issued or extended under regulation 44.
10
References in this regulation to the panel are references to the panel that conducted the initial third stage meeting, subject to paragraph (11).
11
Where any of the panel members are not able to continue to act as such, the appropriate authority shall remove that member from the panel and shall appoint a new member to the panel.
12
If the appropriate authority appoints a new panel member under paragraph (11), it must ensure that the requirements for the composition of the panel in regulation 32 continue to be met.
13
As soon as reasonably practicable after any such appointment, the appropriate authority shall notify in writing the officer concerned of the name of the new panel member.
14
The officer concerned may object to the appointment of a panel member appointed under paragraph (11).
15
Any such objection must be made in accordance with regulation 33(2), provided that it must be made before the end of 3 working days beginning with the first working day after receipt of the notification referred to in paragraph (13); and the appropriate authority shall comply with regulation 33(3) to (6) in relation to the objection but paragraph (7) of that regulation shall not apply.
47
1
Where an officer is required to attend another third stage meeting under regulation 46 —
a
that meeting shall be conducted by the same panel as conducted the initial third stage meeting (subject to any change in that panel under regulation 46);
b
the officer concerned shall not have the right to object to panel members under regulation 33, except in accordance with regulation 46;
c
subject to paragraph (2), regulations 34 to 44 shall apply to, or in relation to, that meeting.
2
Following that third stage meeting, the panel may not order the outcome mentioned in regulation 44(3)(d).
Damian Green
Minister of State
Home Office
18th October 2012 |
The Aircraft Operators (Accounts and Records) (Amendment) Regulations 2012
The Commissioners for Her Majesty’s Revenue and Customs, in exercise of the powers conferred by section 118A(1) and (2) of the Customs and Excise Management Act 1979 and paragraph 1(1) of Schedule 6 to the Finance Act 1994 , make the following Regulations:
Citation and commencement
1
These Regulations may be cited as the Aircraft Operators (Accounts and Records) (Amendment) Regulations 2012 and come into force —
a
for the purposes of regulation 4 on 1st April 2013; and
b
for all other purposes on 1st January 2013.
Amendments to the Aircraft Operators (Accounts and Records) Regulations 1994
2
Amend the Aircraft Operators (Accounts and Records) Regulations 1994 as follows.
3
In paragraph (e) of Schedule 1 (particulars of an air passenger duty account) —
a
at the end of sub-paragraph (iii) delete “and”;
b
after sub-paragraph (iv) insert —
v
chargeable at the rates set in accordance with section 30A(3)(a) and (b) of the Act;
vi
chargeable at the rates set in accordance with section 30A(4)(a) and (b) of the Act; and
vii
chargeable at the rates set in accordance with section 30A(5)(a) and (b) of the Act;
.
4
In paragraph (e) of Schedule 1 —
a
at the end of sub-paragraph (vi) (as inserted by regulation 3) delete “and”;
b
after sub-paragraph (vii) (as inserted by regulation 3) insert —
viii
chargeable at the rates set in accordance with section 30(4E)(a) to (d) of the Act; and
ix
chargeable at the rates set in accordance with 30A(5A)(a) to (c) of the Act;
.
Simon Bowles
Nick Lodge
Two of the Commissioners for Her Majesty’s Revenue and Customs
3rd December 2012 |
The Local Government Officers (Political Restrictions) (Amendment) (England) Regulations 2012
The Secretary of State for Communities and Local Government, in exercise of the powers conferred by sections 1(5) and (6) and 190(1) of the Local Government and Housing Act 1989 , makes the following Regulations:
Citation, commencement and application
1
1
These Regulations may be cited as the Local Government Officers (Political Restrictions) (Amendment) (England) Regulations 2012 and shall come into force on 6th August 2012.
2
These Regulations apply in relation to England only.
Amendment of the Local Government Officers (Political Restrictions) Regulations 1990
2
1
The Local Government Officers (Political Restrictions) Regulations 1990 are amended as follows.
2
In regulation 2 (interpretation) after the definition of “the Act” insert —
“Deputy Mayor for Policing and Crime” means a person appointed under section 19(1) of the Police Reform and Social Responsibility Act 2011 ;
.
3
In regulation 3 (terms of appointment and conditions of employment) —
a
in paragraph (1) for “The terms of appointment” substitute “Subject to paragraph (3), the terms of appointment”;
b
after paragraph (2) insert —
3
Paragraphs 4, 5, 6, 7 and 8 of the Schedule do not apply where the appointee is the Deputy Mayor for Policing and Crime.
.
Signed by authority of the Secretary of State for Communities and Local Government
Bob Neill
Parliamentary Under Secretary of State
Department for Communities and Local Government
5th July 2012 |
The Street Works (Charges for Occupation of the Highway) (Transport for London) Order 2012
The Secretary of State for Transport makes this Order in exercise of the powers conferred by section 74A(2) of the New Roads and Street Works Act 1991 .
Citation and commencement
1
This Order may be cited as the Street Works (Charges for Occupation of the Highway) (Transport for London) Order 2012 and comes into force on 11th June 2012.
Approval of local highway authority
2
The Secretary of State approves Transport for London for the purpose of requiring charges to be paid under the Street Works (Charges for Occupation of the Highway) (England) Regulations 2012 in accordance with the Transport for London Lane Rental Scheme which was submitted to the Secretary of State on 26th January 2012 and approved by her.
Signed by authority of the Secretary of State for Transport
Norman Baker
Parliamentary Under Secretary of State
Department for Transport
18th May 2012 |
The Revenue and Customs Appeals Order 2012
A draft of this Order was laid before Parliament and approved by resolution of each House of Parliament in accordance with section 124(9) of the Finance Act 2008.
Citation and commencement
1
This Order may be cited as the Revenue and Customs Appeals Order 2012 and comes into force on 1st March 2012.
Amendment of the Tax Credits Act 2002
2
1
Amend section 63 of the Tax Credits Act 2002 (tax credits appeals etc : temporary modifications) as follows.
2
In subsections (5) and (8) before “the appeal tribunal” insert “the First-tier Tribunal or”.
Angela Watkinson
Brooks Newmark
Two of the Lords Commissioners of Her Majesty’s Treasury
27th February 2012 |
The Special Health Authorities (Establishment and Constitution Orders) Amendment Order 2012
In accordance with section 28(7) of that Act, the Secretary of State has consulted such bodies as the Secretary of State recognises as representing officers who in the Secretary of State’s opinion are likely to be transferred or affected by transfers in pursuance of this Order.
Citation, commencement, and interpretation
1
1
This Order may be cited as the Special Health Authorities (Establishment and Constitution Orders) Amendment Order 2012 and comes into force on 1st April 2012.
2
In this Order —
“ NPSA Order ” means the National Patient Safety Agency (Establishment and Constitution) Order 2001 ;
“ NICE Order ” means the National Institute for Clinical Excellence (Establishment and Constitution) Order 1999 .
Amendment of article 3 of the NPSA Order
2
In article 3 of the NPSA Order (functions of the Agency), omit paragraph (b).
Amendment of article 1 of the NICE Order
3
In article 1 of the NICE Order (citation, commencement and interpretation), for paragraph (2) substitute —
2
In this Order —
“Agency” means the National Patient Safety Agency established by the National Patient Safety Agency (Establishment and Constitution) Order 2001 ;
“Institute” means the National Institute for Health and Clinical Excellence established by this Order;
“transfer date” means 1st April 2012.
.
Transfer of officers, property and liabilities and enforceability of rights
4
After article 6 of the NICE Order (admission to meetings), insert —
Transfer of officers from the Agency to the Institute
7
1
This paragraph applies in relation to any person who —
a
immediately before the transfer date is employed by the Agency and is engaged wholly or mainly in performing functions in connection with the assessment of the performance of doctors, dentists or pharmacists engaged in the health service; and
b
has been notified in writing by the Agency by 31st March 2012 that they are to be transferred to the Institute.
2
Any person to whom paragraph (1) applies is, on the transfer date, to be transferred to the employment of the Institute.
3
The contract of employment of a person whose employment has transferred to the Institute under paragraph (2) —
a
is not terminated by the transfer; and
b
has effect from the transfer date as if originally made between that person and the Institute.
4
Without prejudice to paragraph (3) —
a
all the rights, powers, duties and liabilities of the Agency, under or in connection with its contract of employment with a person transferred under paragraph (2), are to transfer to the Institute on the transfer date; and
b
any act or omission before the transfer date of or in relation to the Agency, in respect of that person or that person’s contract of employment, is deemed to have been an act or omission of or in relation to the Institute.
5
Paragraphs (2) to (4) do not operate to transfer the contract of employment of a person to whom paragraph (1) applies, or any rights, powers, duties and liabilities under, or in connection with, that contract, if, before the transfer date, that person informs the Agency or the Institute that they object to becoming employed by the Institute.
6
Where a person to whom paragraph (1) applies has objected to the transfer of that person’s contract of employment as described in paragraph (5), the transfer operates so as to terminate that person’s contract of employment with the Agency.
7
A person whose contract of employment is terminated in accordance with paragraph (6) is not to be treated, for any purpose, as having been dismissed by the Agency.
8
This article is without prejudice to any right of a person whose employment is or would have been transferred to the Institute to terminate that person’s contract of employment if the transfer involved or would have involved a substantial change in working conditions to the material detriment of that person.
Enforceability of rights and transfer of property and liabilities from the Agency to the Institute
8
1
The property of the Agency identified as property to transfer to the Institute in the document entitled “The National Patient Safety Agency Property Schedule 2012 ” and signed on behalf of the Agency on 9th February 2012, and on behalf of the Institute on 8th February 2012, is to be transferred to the Institute on the transfer date.
2
All liabilities of the Agency relating to the property referred to in paragraph (1) are to be transferred to the Institute on the transfer date.
3
Any right relating to the property of the Agency referred to in paragraph (1) that was immediately before the transfer date enforceable by or against the Agency is, on or after the transfer date, to be enforceable by or against the Institute.
.
Consequential amendment of regulations
5
The amendments to Regulations contained in the Schedule have effect.
Signed by the authority of the Secretary of State for Health.
Earl Howe
Parliamentary Under-Secretary of State,
Department of Health
22nd February 2012
SCHEDULE
Amendments consequential on changes in the functions of the National Patient Safety Agency
Article 5
Medical Profession (Responsible Officers) Regulations 2010
1
In regulation 18(b) (duty to have regard to guidance) of the Medical Profession (Responsible Officers) Regulations 2010 , for “National Clinical Assessment Service division of the National Patient Safety Agency” substitute “National Clinical Assessment Service division of the National Institute for Health and Clinical Excellence”.
National Health Service (Performers Lists) Regulations 2004
2
1
The National Health Service (Performers Lists) Regulations 2004 are amended as follows.
2
In regulation 2(1) (interpretation), after the definition of “the NHS Counter Fraud and Security Management Service”, insert —
“the NICE ” means the National Institute for Health and Clinical Excellence established by the National Institute for Clinical Excellence (Establishment and Constitution) Order 1999;
.
3
In regulation 11(6)(e) (criteria for a decision on removal) for “or thereafter by the NPSA ” substitute “, by the NPSA between 1st April 2005 and 31st March 2012 inclusive, or thereafter by the NICE”.
4
In regulations 4(3)(d) (application for inclusion in a performers list), 16(2)(g) (notification) and 20(1)(f) (disclosure of information) for “NPSA” substitute “NICE”. |
The Iran (European Union Financial Sanctions) Regulations 2012
The Treasury, in exercise of the powers conferred by section 2(2) of, and paragraph 1A of Schedule 2 to, the European Communities Act 1972, make the following Regulations.
PART 1 General
Citation, commencement and application
1
1
These Regulations may be cited as the Iran (European Union Financial Sanctions) Regulations 2012 and shall come into force at 3.00 p.m. on 26th March 2012.
2
An offence under these Regulations may be committed by conduct wholly or partly outside the United Kingdom by —
a
a UK national, or
b
a body incorporated or constituted under the law of any part of the United Kingdom.
3
In paragraph (2) —
“conduct” includes acts and omissions;
“UK national” means —
a British citizen,
a British overseas territories citizen who acquired their citizenship from a connection with Gibraltar, or
a British subject under Part 4 of the British Nationality Act 1981 (British subjects) with the right of abode in the United Kingdom.
Interpretation
2
1
In these Regulations —
“the 2000 Act ” means the Financial Services and Markets Act 2000 ;
“the Council Regulation ” means Council Regulation (EU) No. 267/2012 of 23 March 2012 concerning restrictive measures against Iran and repealing Regulation (EU) No. 961/2010, and a reference to an Annex to that Regulation is to be construed as a reference to that Annex as amended from time to time;
“designated person” means a person, entity or body listed in Annex VIII or IX to the Council Regulation;
“document” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include producing a copy of the information in legible form;
“relevant institution” means —
a person who has permission under Part 4 of the 2000 Act (permission to carry on regulated activities);
an EEA firm of the kind mentioned in paragraph 5(b) of Schedule 3 to the 2000 Act (EEA passport rights) which has permission under paragraph 15 of that Schedule (as a result of qualifying for authorisation under paragraph 12 of that Schedule ) to accept deposits; or
an undertaking which by way of business operates a currency exchange office, transmits money (or any representations of monetary value) by any means or cashes cheques which are made payable to customers.
2
The definition of “relevant institution” in paragraph (1) must be read with —
a
section 22 of the 2000 Act (the classes of activity and categories of investment),
b
any relevant order under that section , and
c
Schedule 2 to that Act (regulated activities).
3
Any expression used both in these Regulations and in the Council Regulation has the meaning that it bears in the Council Regulation.
PART 2 Funds and Economic Resources
Freezing of funds and economic resources
3
1
A person (“P”) must not deal with funds or economic resources belonging to, or owned, held or controlled by, a designated person if P knows, or has reasonable cause to suspect, that P is dealing with such funds or economic resources.
2
In paragraph (1) “deal with” means —
a
in relation to funds —
i
use, alter, move, allow access to or transfer;
ii
deal with the funds in any other way that would result in any change in volume, amount, location, ownership, possession, character or destination; or
iii
make any other change that would enable use, including portfolio management; and
b
in relation to economic resources, exchange, or use in exchange, for funds, goods or services.
3
Paragraph (1) is subject to regulation 9.
Making funds available to a designated person
4
1
A person (“P”) must not make funds available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
Paragraph (1) is subject to regulations 8 and 9.
Making funds available for the benefit of a designated person
5
1
A person (“P”) must not make funds available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the funds so available.
2
For the purposes of this regulation —
a
funds are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulations 8 and 9.
Making economic resources available to a designated person
6
1
A person (“P”) must not make economic resources available, directly or indirectly, to a designated person if P knows, or has reasonable cause to suspect —
a
that P is making the economic resources so available, and
b
that the designated person would be likely to exchange the economic resources, or use them in exchange, for funds, goods or services.
2
Paragraph (1) is subject to regulation 9.
Making economic resources available for the benefit of a designated person
7
1
A person (“P”) must not make economic resources available to any person for the benefit of a designated person if P knows, or has reasonable cause to suspect, that P is making the economic resources so available.
2
For the purposes of this regulation —
a
economic resources are made available for the benefit of a designated person only if that person thereby obtains, or is able to obtain, a significant financial benefit, and
b
“financial benefit” includes the discharge of a financial obligation for which the designated person is wholly or partly responsible.
3
Paragraph (1) is subject to regulation 9.
Credits to a frozen account
8
1
The prohibitions in regulations 4 and 5 are not contravened by a person who credits a frozen account with —
a
interest or other earnings due on the account, or
b
payments due under contracts, agreements or obligations that were concluded or arose before the account became a frozen account.
2
The prohibitions in regulations 4 and 5 on making funds available do not prevent a relevant institution from crediting a frozen account where it receives funds transferred to the account.
3
A relevant institution must inform the Treasury without delay if it credits a frozen account in accordance with paragraph (1)(b) or (2).
4
In this regulation “frozen account” means an account with a relevant institution which is held or controlled (directly or indirectly) by a designated person.
Licences
9
1
The prohibitions in regulations 3 to 7 do not apply to anything done under the authority of a licence granted by the Treasury.
2
A licence must specify the acts authorised by it and may be —
a
general or granted to a category of persons or to a particular person;
b
subject to conditions;
c
of indefinite duration or subject to an expiry date.
3
The Treasury may vary or revoke a licence at any time.
4
On the grant, variation or revocation of a licence, the Treasury must —
a
in the case of a licence granted to a particular person, give written notice of the grant, variation or revocation to that person,
b
in the case of a general licence or a licence granted to a category of persons, take such steps as the Treasury consider appropriate to publicise the grant, variation or revocation of the licence.
5
A person commits an offence who, for the purpose of obtaining a licence, knowingly or recklessly —
a
provides information that is false in a material respect, or
b
provides or produces a document that is not what it purports to be.
6
A person who purports to act under the authority of a licence but who fails to comply with any conditions included in the licence commits an offence.
PART 3 Restrictions on Transfers of Funds and on Financial Services
Transfers of funds
10
1
Subject to paragraph (2), a transfer of funds to or from an Iranian person, entity or body —
a
which is due on a transaction regarding foodstuffs, healthcare, medical equipment or for humanitarian purposes, and is of more than 10,000 euro, must have been notified in advance in writing to the relevant competent authority by the relevant person,
b
which is due on a transaction other than one referred to in sub-paragraph (a) —
i
if it is of more than 10,000 euro but less than 40,000 euro, must be notified in advance in writing to the relevant competent authority by the relevant person, and
ii
if it is of 40,000 euro or more, must have received prior authorisation from the relevant competent authority at the request of the relevant person.
2
Paragraph (1) does not apply where an authorisation for the transfer has been granted by the Treasury under regulation 9, or by a competent authority of another Member State in accordance with Article 24, 25, 26, 27 or 28 of the Council Regulation.
3
The relevant competent authority shall be deemed to have granted authorisation for the purposes of paragraph (1)(b)(ii) if, after the period of 28 days beginning with the day upon which the authority received a request for authorisation, the authority has not objected in writing to the transfer.
4
Where paragraph (1) applies, a person (“P”) must not make a transfer of funds to, or receive a transfer of funds from, an Iranian person, entity or body other than in accordance with paragraph (1), if P knows or has reasonable cause to suspect that the transfer of funds is to or from such a person.
5
For the purpose of this regulation —
“the relevant competent authority” is the competent authority of the Member State in which the relevant person is resident or established ; and
“the relevant person” is the payment service provider, payer or payee required in accordance with Article 30 of the Council Regulation to make a notification or seek an authorisation.
6
In this regulation —
a
a reference to an amount in euro includes a reference to the equivalent amount in another currency, and
b
a reference to a transfer of funds of a particular amount includes a transfer executed in several operations which appear to be linked, as well as a transfer executed in a single operation.
Authorisations and notifications
11
1
An authorisation granted by the Treasury under regulation 10 may be —
a
general or granted to a category of persons or to a particular person;
b
subject to conditions;
c
of indefinite duration or subject to an expiry date.
2
The Treasury may vary or revoke an authorisation at any time.
3
On the grant, variation or revocation of an authorisation, the Treasury must —
a
in the case of an authorisation granted to a particular person, give written notice of the grant, variation or revocation to that person,
b
in the case of a general authorisation or an authorisation granted to a category of persons, take such steps as the Treasury consider appropriate to publicise the grant, variation or revocation of the authorisation.
4
A person commits an offence who, for the purpose of obtaining an authorisation or making a notification, knowingly or recklessly —
a
provides information that is false in a material respect, or
b
provides or produces a document that is not what it purports to be.
5
A person who purports to act under an authorisation granted by the Treasury but who fails to comply with any conditions included in the authorisation commits an offence.
Financial messaging services
12
1
A person (“P”) must not supply specialised financial messaging services, which are used to exchange financial data, to a designated person if P knows, or has reasonable cause to suspect, that P is making the services so available.
2
The prohibition in paragraph (1) does not apply where an authorisation has been granted by a competent authority in accordance with Article 24, 25, 26, 27, 28 or 30 of the Council Regulation, or where funds are credited to a frozen account in accordance with Article 29 of the Council Regulation.
Branches and subsidiaries of Iranian credit and financial institutions
13
1
A branch or subsidiary established within the UK of a credit or financial institution domiciled in Iran must notify the Treasury in writing of all transfers of funds carried out or received by the branch or subsidiary.
2
A notification under paragraph (1) must —
a
specify the names of the parties to the transaction, the amount of funds transferred, and the date of the transaction;
b
include the following information where it is available to the branch or subsidiary —
i
the nature of the transaction;
ii
the nature of any goods which are the subject of the transaction;
iii
whether those goods are subject to Annex I, II , III , IV , VI , or VII of the Council Regulation;
iv
where the export of goods is subject to authorisation, the number of the licence granted; and
c
be made within five working days after the day on which the transfer of funds is carried out or received by the branch or subsidiary.
3
A person commits an offence who, for the purpose of making a notification under paragraph (1), knowingly or recklessly —
a
provides information that is false in a material respect, or
b
provides or produces a document that is not what it purports to be.
Credit and financial institutions: accounts and correspondent banking relationships
14
1
A credit or financial institution must not —
a
open a new bank account,
b
establish a new correspondent banking relationship, or
c
establish a new joint venture,
with a person falling within paragraph (2), if the credit or financial institution knows or has reasonable cause to suspect that the account, relationship or venture is with a person falling within paragraph (2).
2
The following persons fall within this paragraph —
a
a credit or financial institution domiciled in Iran, including the Central Bank of Iran;
b
a branch or subsidiary, wherever located, of a credit or financial institution domiciled in Iran;
c
a credit or financial institution that is not domiciled in Iran but is controlled by a person or entity domiciled in Iran.
3
A credit or financial institution must not —
a
open a new representative office in Iran, or
b
establish a new branch or subsidiary in Iran.
Agreements
15
A person (“P”) must not conclude an agreement for, or on behalf of, a person falling within regulation 14(2) which relates to the opening of a representative office or the establishment of a branch or subsidiary in the European Union, if P knows or has reasonable cause to suspect that the agreement is for, or on behalf of, such a person.
Acquisition or extension of ownership interest
16
A person falling within regulation 14(2) must not acquire or extend a participation, or acquire any other ownership interest, in a credit or financial institution.
Sale or purchase of bonds
17
1
A person (“P”) must not sell or purchase public or public-guaranteed bonds issued after 26th July 2010, directly or indirectly, to or from a person, entity or body falling within paragraph (4) if P knows or has reasonable cause to suspect that the sale or purchase is to or from such a person, entity or body.
2
A person (“P”) must not provide brokering services with respect to public or public-guaranteed bonds issued after 26th July 2010 to a person, entity or body falling within paragraph (4) if P knows or has reasonable cause to believe that the services are being provided to such a person, entity or body.
3
A person (“P”) must not assist a person, entity or body falling within paragraph (4) to issue public or public-guaranteed bonds, by providing —
a
brokering services;
b
advertising; or
c
any other service with respect to such bonds,
if P knows or has reasonable cause to suspect that P is assisting such a person, entity or body.
4
The following persons, entities and bodies fall within this paragraph —
a
Iran and its Government, and its public bodies, corporations and agencies;
b
a credit or financial institution domiciled in Iran, including the Central Bank of Iran;
c
a branch or subsidiary, wherever located, of a credit or financial institution domiciled in Iran;
d
a credit or financial institution that is not domiciled in Iran but is controlled by a person or entity domiciled in Iran;
e
a person, entity or body acting on behalf of or at the direction of a legal person, entity or body falling within sub-paragraphs (a) to (d);
f
a legal person, entity or body owned or controlled by a person, entity or body falling within sub-paragraphs (a) to (e).
Insurance and reinsurance
18
1
A person (“P”) must not provide insurance or re-insurance to —
a
Iran or its Government, or its public bodies, corporations or agencies;
b
any other Iranian legal person, entity or body; or
c
a person, entity or body acting on behalf of or at the direction of a person, entity or body referred to in sub-paragraph (a) or (b),
if P knows or has reasonable cause to suspect that the insurance or reinsurance is being provided to such a person, entity or body.
2
A person (“P”) must not provide brokering services in relation to the provision of any insurance or reinsurance prohibited under paragraph (1), if P knows or has reasonable cause to suspect that the services are so provided.
3
The prohibitions in paragraph (1)(a) and (b) do not apply to —
a
the provision of compulsory or third party insurance or reinsurance to Iranian persons, entities or bodies based in the European Union, or
b
the provision of insurance for Iranian diplomatic or consular missions in the Union.
4
The prohibition in paragraph (1)(c) does not apply to the provision of —
a
insurance, including health and travel insurance, to individuals (other than designated persons) acting in their private capacity, or
b
re-insurance relating to insurance falling within sub-paragraph (a).
5
The prohibition in paragraph (1)(c) does not prevent the provision of insurance or re-insurance to the owner of a vessel, aircraft or vehicle which is chartered by a person, entity or body referred to in paragraph (1)(a) or (b).
6
For the purposes of paragraph (1)(c), a person, entity or body does not act at the direction of a person, entity or body referred to in paragraph (1)(a) or (b) where the direction is for the purposes of docking, loading, unloading or safe transit of a vessel or aircraft temporarily in Iranian waters or airspace.
7
The prohibition in paragraph (1) applies to the extension or renewal of an insurance or re-insurance agreement concluded before 27th October 2010, but, subject to regulations 4 to 7, does not apply to compliance with an insurance or reinsurance agreement concluded before that date.
PART 4 Offences
Contravention and circumvention of prohibitions
19
1
A person who contravenes any of the prohibitions in regulations 3 to 7, 10, 12 and 14 to 18, or fails to comply with a requirement of regulation 13, commits an offence.
2
A person commits an offence who intentionally participates in activities knowing that the object or effect of them is (whether directly or indirectly) —
a
to circumvent any of the prohibitions in regulations 3 to 7, 10, 12 and 14 to 18, or a requirement of regulation 13, or
b
to enable or facilitate the contravention of any such prohibition or requirement.
Officers of a body corporate etc.
20
1
Where an offence under these Regulations committed by a body corporate —
a
is committed with the consent or connivance 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, or
b
is attributable to any neglect on the part of any such person,
that person as well as the body corporate is guilty of the offence and is liable to be proceeded against and punished accordingly.
2
In paragraph (1) “director”, in relation to a body corporate whose affairs are managed by its members, means a member of the body corporate.
3
Paragraph (1) also applies in relation to a body that is not a body corporate, with the substitution for the reference to a director of the body of a reference —
a
in the case of a partnership, to a partner;
b
in the case of an unincorporated body other than a partnership —
i
where the body’s affairs are managed by its members, to a member of the body;
ii
in any other case, to a member of the governing body.
Penalties
21
1
A person guilty of an offence under regulation 9, 11, 13 or 19 is liable —
a
on conviction on indictment, to imprisonment for a term not exceeding two years or to a fine or to both;
b
on summary conviction, to imprisonment for a term not exceeding three months or to a fine not exceeding the statutory maximum or to both.
2
A person guilty of an offence under paragraph 1(5) or paragraph 4(1) of the Schedule is liable on summary conviction to imprisonment for a term not exceeding three months or to a fine not exceeding level 5 on the standard scale or to both.
Proceedings
22
1
Proceedings against any person for an offence under these Regulations may be taken before the appropriate court in the United Kingdom having jurisdiction in the place where that person is for the time being.
2
In England and Wales an information relating to an offence that is triable by a magistrates’ court may be so tried if it is laid —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.
3
In Scotland —
a
summary proceedings for an offence may be commenced —
i
before the end of twelve months from the date on which evidence sufficient in the Lord Advocate’s opinion to justify the proceedings came to the Lord Advocate’s knowledge, and
ii
not later than three years after the commission of the offence; and
b
section 136(3) of the Criminal Procedures (Scotland) Act 1995 (time limit for certain offences) applies for the purpose of this paragraph as it applies for the purpose of that section.
4
In Northern Ireland summary proceedings for an offence may be instituted —
a
at any time within three years after the commission of the offence, and
b
within twelve months after the date on which evidence sufficient in the opinion of the prosecutor to justify the proceedings comes to the knowledge of the prosecutor.
5
For the purposes of this regulation a certificate of the prosecutor (or, in Scotland, the Lord Advocate) as to the date on which such evidence as is referred to above came to their notice is conclusive evidence.
Consent to prosecution
23
1
Proceedings for an offence under these Regulations (other than for a summary offence) may not be instituted —
a
in England and Wales, except by or with the consent of the Attorney General,
b
in Northern Ireland —
i
where the offence is committed wholly or partly outside Northern Ireland, except by or with the consent of the Advocate General for Northern Ireland;
ii
for all other offences, except by or with the consent of the Director for Public Prosecutions for Northern Ireland.
2
Nothing in paragraph (1) prevents —
a
the arrest of a person in respect of an offence under these Regulations, or
b
the remand in custody or on bail of any person charged with such an offence.
PART 5 Miscellaneous
Information provisions
24
The Schedule (which contains provisions concerning information gathering and disclosure) has effect.
Notices
25
1
This regulation has effect in relation to any notice to be given to a person by the Treasury under regulation 9 or 11.
2
Any such notice may be given —
a
by posting it to the person’s last known address, or
b
where the person is a body corporate, partnership or unincorporated body other than a partnership, by posting it to the registered or principal office of the body or partnership concerned.
3
Where the Treasury do not have an address for the person, they must make arrangements for the notice to be given to the person at the first available opportunity.
The Crown
26
1
These Regulations bind the Crown.
2
No contravention by the Crown of a provision of these Regulations makes the Crown criminally liable.
3
The High Court or, in Scotland, the Court of Session may, on the application of a person appearing to the court to have an interest, declare unlawful any act or omission of the Crown that constitutes a contravention of a provision of these Regulations.
4
Nothing in this regulation affects Her Majesty in her private capacity.
5
Paragraph (4) is to be read as if section 38(3) of the Crown Proceedings Act 1947 (meaning of Her Majesty in her private capacity) were contained in these Regulations.
Amendment
27
In section 63(1) of the Counter-Terrorism Act 2008 (application to set aside financial restrictions decision) , after paragraph (ae) insert —
af
the Iran (European Union Financial Sanctions) Regulations 2012 ( S.I. 2012/925 ),
.
Revocation and repeal
28
1
The following instruments are revoked —
a
the Iran (European Union Financial Sanctions) Regulations 2010 , and
b
the Iran (European Union Financial Sanctions) (Amendment) Regulations 2012 .
2
In section 63(1) of the Counter-Terrorism 2008 (application to set aside financial restrictions decision), paragraph (ab) (decision in connection with the 2010 Regulations) is repealed.
Saving
29
1
Any licence which was granted by the Treasury under —
a
regulation 10 of the Iran (European Community Financial Sanctions) Regulations 2007 , or
b
regulation 9 of the Iran (European Union Financial Sanctions) Regulations 2010,
and was in effect immediately before the coming into force of these Regulations shall have effect as if it were a licence granted by the Treasury under regulation 9 of these Regulations.
2
The repeal by these Regulations of paragraph (ab) of section 63(1) of the Counter-Terrorism Act 2008 does not affect the continued operation of that paragraph in relation to any decision of the Treasury made before the coming into force of these Regulations.
Jeremy Wright
Angela Watkinson
Two of the Lords Commissioners of Her Majesty’s Treasury
26th March 2012
SCHEDULE
Information Provisions
Regulation 24
Reporting obligations of relevant institutions
1
1
A relevant institution must inform the Treasury as soon as practicable if —
a
it knows, or has reasonable cause to suspect, that a person —
i
is a designated person, or
ii
has committed an offence under regulation 9, 11, 13 or 19, and
b
the information or other matter on which the knowledge or suspicion is based came to it in the course of carrying on its business.
2
Where a relevant institution informs the Treasury under sub-paragraph (1), it must state —
a
the information or other matter on which the knowledge or suspicion is based, and
b
any information it holds about the person by which the person can be identified.
3
Sub-paragraph (4) applies if —
a
a relevant institution informs the Treasury under sub-paragraph (1) that it knows, or has reasonable cause to suspect, that a person is a designated person, and
b
that person is a customer of the institution.
4
The relevant institution must also state the nature and amount or quantity of any funds or economic resources held by it for the customer.
5
A relevant institution that fails to comply with any requirement of sub-paragraph (1), (2) or (4) commits an offence.
Powers to request information
2
1
The Treasury may request a designated person to provide information concerning —
a
funds or economic resources owned, held or controlled by or on behalf of the designated person, or
b
any disposal of such funds or economic resources.
2
The Treasury may request a designated person to provide such information as the Treasury may reasonably require about expenditure —
a
by or on behalf of the designated person, or
b
for the benefit of the designated person.
3
The power in sub-paragraph (1) or (2) is exercisable only where the Treasury believe that it is necessary for the purpose of monitoring compliance with or detecting evasion of these Regulations.
4
The Treasury may request a person acting under a licence granted under regulation 9 to provide information concerning —
a
funds or economic resources dealt with under the licence, or
b
funds or economic resources made available under the licence.
5
The Treasury may request any person in or resident in the United Kingdom to provide such information as the Treasury may reasonably require for the purpose of —
a
establishing for the purposes of these Regulations —
i
the nature and amount or quantity of any funds or economic resources owned, held or controlled by or on behalf of a designated person;
ii
the nature and amount or quantity of any funds or economic resources made available directly or indirectly to, or for the benefit of, a designated person; or
iii
the nature of any financial transactions entered into by a designated person;
b
monitoring compliance with or detecting evasion of these Regulations; or
c
obtaining evidence of the commission of an offence under these Regulations.
6
The Treasury may specify the manner in which, and the period within which, information is to be provided.
7
If no such period is specified, the information which has been requested must be provided within a reasonable time.
8
A request may include a continuing obligation to keep the Treasury informed as circumstances change, or on such regular basis as the Treasury may specify.
9
Information requested under this paragraph may relate to any period of time during which a person is, or was, a designated person.
10
Information requested under sub-paragraph (1)(b), (2) or (5)(a)(iii) may relate to any period of time before a person became a designated person (as well as, or instead of, any subsequent period of time).
Production of documents
3
1
A request under paragraph 2 may include a request to produce specified documents or documents of a specified description.
2
Where the Treasury request that documents be produced, they may —
a
take copies of or extracts from any document so produced;
b
request any person producing a document to give an explanation of it; and
c
where that person is a body corporate, partnership or unincorporated body other than a partnership, request any person who is —
i
in the case of a partnership, a present or past partner or employee of the partnership,
ii
in any other case, a present or past officer or employee of the body concerned,
to give such an explanation.
3
Where the Treasury request a designated person or a person acting under a licence granted under regulation 9 to produce documents, that person must —
a
take reasonable steps to obtain the documents (if not already in the person’s possession or control);
b
keep the documents under the person’s possession or control (except for the purpose of providing them to the Treasury or as the Treasury may otherwise permit).
Failure to comply with request for information
4
1
A person commits an offence who —
a
without reasonable excuse, refuses or fails within the time and in the manner specified (or, if no time has been specified, within a reasonable time) to comply with any request made under this Schedule;
b
knowingly or recklessly gives any information, or produces any document, which is false in a material particular in response to such a request;
c
with intent to evade the provisions of this Schedule, destroys, mutilates, defaces, conceals or removes any document; or
d
otherwise intentionally obstructs the Treasury in the exercise of their powers under this Schedule.
2
Where a person is convicted of an offence under this paragraph, the court may make an order requiring that person, within such period as may be specified in the order, to comply with the request.
General power to disclose information
5
1
The Treasury may disclose any information obtained by them pursuant to these Regulations —
a
to a police officer;
b
to any person holding or acting in any office under or in the service of —
i
the Crown in right of the Government of the United Kingdom;
ii
the Crown in right of the Scottish Administration, the Northern Ireland Administration or the Welsh Assembly Government;
iii
the States of Jersey, Guernsey or Alderney or the Chief Pleas of Sark;
iv
the Government of the Isle of Man; or
v
the Government of any British overseas territory;
c
to any law officer of the Crown for Jersey, Guernsey or the Isle of Man;
d
to the Legal Services Commission, the Scottish Legal Aid Board or the Northern Ireland Legal Services Commission;
e
to the Financial Services Authority, the Jersey Financial Services Commission, the Guernsey Financial Services Commission, the Isle of Man Insurance and Pensions Authority or the Isle of Man Financial Supervision Commission;
f
for the purpose of giving assistance or co-operation, pursuant to the Council Regulation, to —
i
any organ of the United Nations, or
ii
the Council of the European Union, the European Commission or the Government of a Member State;
g
with a view to instituting, or otherwise for the purposes of, any proceedings —
i
in the United Kingdom, for an offence under these Regulations, or
ii
in any of the Channel Islands, the Isle of Man or any British overseas territory, for an offence under a similar provision in any such jurisdiction; or
h
with the consent of a person who, in their own right, is entitled to the information or to possession of the document, copy or extract, to any third party.
2
In sub-paragraph (1)(h) “in their own right” means not merely in the capacity as a servant or agent of another person.
Application of provisions
6
1
Nothing done under this Schedule is to be treated as a breach of any restriction imposed by statute or otherwise.
2
But nothing in this Schedule authorises a disclosure that —
a
contravenes the Data Protection Act 1998 , or
b
is prohibited by Part 1 of the Regulation of Investigatory Powers Act 2000 .
3
Nothing in this Schedule is to be read as requiring a person who has acted as counsel or solicitor for any person to disclose any privileged information in their possession in that capacity.
4
This Schedule does not limit the circumstances in which information may be disclosed apart from this Schedule.
5
This Schedule does not limit the powers of the Treasury to impose conditions in connection with the discharge of their functions under regulation 9.
6
In this paragraph “privileged information” means information with respect to which a claim to legal professional privilege (in Scotland, to confidentiality of communications) could be maintained in legal proceedings. |
The Social Security and Child Support (Supersession of Appeal Decisions) Regulations 2012
This Instrument contains only regulations made by virtue of, or consequential upon, section 103 of the Welfare Reform Act 2012 and is made before the end of the period of 6 months beginning with the coming into force of that section .
Citation, commencement and effect
1
1
These Regulations may be cited as the Social Security and Child Support (Supersession of Appeal Decisions) Regulations 2012 and come into force on 4th June 2012.
2
These Regulations have effect as if they had come into force on 3rd November 2008.
Amendment of the Child Support (Maintenance Assessment Procedure) Regulations 1992
2
1
The Child Support (Maintenance Assessment Procedure) Regulations 1992 are amended as follows.
2
In regulation 20(4A) (supersession of decisions) for “the First-tier Tribunal or Upper Tribunal” substitute, “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or of a Child Support Commissioner”.
3
In regulation 23 (date from which a decision is superseded) —
a
in paragraph (10) —
i
in sub-paragraph (a), for “the First-Tier Tribunal under section 20 of the Act or the Upper Tribunal” substitute “an appeal tribunal or the First-tier Tribunal under section 20 of the Act or the Upper Tribunal or a Child Support Commissioner”;
ii
for “the First-tier Tribunal or, as the case maybe, the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or the Child Support Commissioner”.
b
in paragraph (20) —
i
for “First-tier Tribunal or the Upper Tribunal’s decision” substitute, “the decision of the appeal tribunal, the First-tier Tribunal, the Upper Tribunal or the Child Support Commissioner”;
ii
after “the Upper Tribunal” insert “or the Child Support Commissioner”.
Amendment of the Child Support Departure Direction and Consequential Amendments Regulations 1996
3
In regulation 32E(6)(a) (date from which a superseding decision takes effect) of the Child Support Departure Direction and Consequential Amendments Regulations 1996 , before “the First-tier Tribunal” insert “an appeal tribunal or”.
Amendment of the Social Security and Child Support (Decisions and Appeals) Regulations 1999
4
1
The Social Security and Child Support (Decisions and Appeals) Regulations 1999 are amended as follows.
2
in regulation 6 (supersession of decisions) —
a
in paragraph (2)(c) for “the First-tier Tribunal or of the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or of a Commissioner”;
b
in sub-paragraph (2)(n) —
i
before “the First-tier Tribunal” in the first place it occurs insert “an appeal tribunal or”;
ii
for “decision of the First-tier Tribunal” substitute “decision of an appeal tribunal or the First-tier Tribunal”.
3
In regulation 6A(4A) (supersession of child support decisions) for “the First-tier Tribunal or of the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or of a Child Support Commissioner” .
4
In regulation 6B(1) (circumstances in which a child support decision may not be superseded) for “the First-tier Tribunal or the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or a Child Support Commissioner”.
5
In regulation 7 (date from which a decision superseded under section 10 takes effect) —
a
in paragraph (5) for “the First-tier Tribunal or the Upper Tribunal” in both places it occurs substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or a Commissioner”;
b
in paragraph (33) —
i
for “the First-tier Tribunal or the Upper Tribunal’s decision” substitute “the decision of the appeal tribunal, the First-tier Tribunal, the Upper Tribunal or the Commissioner”;
ii
after “the Upper Tribunal” insert "or the Commissioner”.
6
In paragraph 11 of Schedule 3D (effective dates for supersession of decisions of child support decisions) —
a
In sub-paragraph (a), for “the First-tier Tribunal or the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or of a Child Support Commissioner”;
b
for “the First-tier Tribunal or, as the case may be, the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or a Child Support Commissioner (as the case may be)”.
Amendment of the Housing and Council Tax Benefit (Decisions and Appeals) Regulations 2001
5
1
The Housing and Council Tax Benefit (Decisions and Appeals) Regulations 2001 are amended as follows.
2
In regulation 7(2)(d) (decisions superseding earlier decisions) for “the First-tier Tribunal or of the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or of a Commissioner”.
3
In regulation 8 (date from which a decision superseding an earlier decision takes effect) —
a
in paragraph (7) for “the First-tier Tribunal or of the Upper Tribunal” substitute “an appeal tribunal, the First-tier Tribunal, the Upper Tribunal or of a Commissioner””;
b
in paragraph (11) —
i
for “the First-tier Tribunal or the Upper Tribunal’s decision” substitute, “the decision of the appeal tribunal, the First-tier Tribunal, the Upper Tribunal or the Commissioner”;
ii
after “the Upper Tribunal” insert “, the Commissioner”.
Signed by authority of the Secretary of State for Work and Pensions.
Freud
Parliamentary Under-Secretary of State
Department for Work and Pensions
8th May 2012 |
The Money Laundering (Amendment) Regulations 2012
The Treasury, in exercise of the powers conferred on them by section 2(2) of the European Communities Act 1972, make the following Regulations:
Citation and commencement
1
These Regulations may be cited as the Money Laundering (Amendment) Regulations 2012 and come into force on 1st October 2012.
Amendment of the Money Laundering Regulations 2007
2
The Money Laundering Regulations 2007 are amended as follows.
3
In regulation 3 —
a
in paragraph (3)(a), renumber paragraph (ii) as paragraph (iii) and insert after paragraph (i) —
ii
an undertaking whose only listed activity is as a creditor under an agreement which —
aa
falls within section 12(a) of the Consumer Credit Act 1974 (debtor-creditor-supplier agreements),
bb
provides fixed sum credit (within the meaning given in section 10 of the Consumer Credit Act 1974 (running-account credit and fixed-sum credit) ) in relation to the provision of services, and
cc
provides financial accommodation by way of deferred payment or payment by instalments over a period not exceeding 12 months;
;
b
in paragraph (11), omit “(within the meaning given by section 1 of the Estate Agents Act 1979 (estate agency work))” ;
c
after paragraph (11), insert —
11A
For the purposes of paragraph (11) “estate agency work” is to be read in accordance with section 1 of the Estate Agents Act 1979 (estate agency work), but for those purposes references in that section to disposing of or acquiring an interest in land are (despite anything in section 2 of that Act) to be taken to include references to disposing of or acquiring an estate or interest in land outside the United Kingdom where that estate or interest is capable of being owned or held as a separate interest.
.
4
In regulation 4 —
a
for paragraph (1)(f), substitute —
f
a person, when he prepares a home report.
;
b
for paragraph (4), substitute —
4
In paragraph (1)(f), “home report” means the documents prescribed for the purposes of section 98, 99(1) or 101(2) of the Housing (Scotland) Act 2006 .
.
5
In regulation 17(2) —
a
after sub-paragraph (a), insert —
aa
a consumer credit financial institution;
;
b
in sub-paragraph (b)(ii), omit “Part 1 of”.
6
Omit regulation 18.
7
In regulation 22(1), at the end insert the following definition —
“recognised investment exchange” has the same meaning as in section 285 of the 2000 Act (exemption for recognised investment exchanges and clearing houses).
.
8
In regulation 23(1)(a), after paragraph (vi), insert —
vii
recognised investment exchanges;
.
9
After regulation 24, insert —
Disclosure by supervisory authorities
24A
1
A supervisory authority may disclose to another supervisory authority information it holds relevant to its functions under these Regulations, provided the disclosure is made for purposes connected with the effective exercise of the functions of either supervisory authority under these Regulations.
2
Information disclosed to a supervisory authority under paragraph (1) may not be further disclosed by that authority, except —
a
in accordance with paragraph (1);
b
with a view to the institution of, or otherwise for the purposes of, any criminal or other enforcement proceedings; or
c
as otherwise required by law.
.
10
In regulation 28 —
a
in paragraph (1), at the end insert “with regard to the risk of money laundering or terrorist financing”;
b
omit paragraphs (2) and (3).
11
In regulation 30 —
a
in paragraph (1), for “28(2)” substitute “28”;
b
for paragraph (2), substitute —
2
The Commissioners may cancel a person’s registration in a register maintained by them under regulation 25 if, at any time after registration —
a
it appears to them that that any condition in regulation 29(1) is met; or
b
the person has failed to comply with any requirement of a notice given under regulation 37.
.
12
For regulation 34(7), substitute —
7
The Authority or the OFT may cancel a person’s registration in a register maintained by them under regulation 32 if, at any time after registration —
a
it appears to them that any condition in paragraph (3) is met; or
b
the person has failed to comply with any requirement of a notice given under regulation 37.
.
13
For regulation 37(2), substitute —
2
For the purposes of paragraph (1) —
a
“relevant person” includes a person whom a designated authority believes, or has reasonable grounds to suspect, is or has at any time been a relevant person; and
b
a person is connected with a relevant person if the person is, or has at any time been, in relation to the relevant person, a person listed in Schedule 4 to these Regulations.
.
14
In regulation 42 —
a
in paragraph (1) —
i
omit “relevant”;
ii
omit the words from “or a direction” to the end;
b
in paragraph (1A), omit the words “and, for this purpose,” to the end;
c
after paragraph (1A), insert —
1B
A designated authority may impose a penalty of such amount as it considers appropriate on a person who fails to comply with any requirement of a notice given under regulation 37(1).
1C
In paragraphs (1), (1A) and (1B), “appropriate” means effective, proportionate and dissuasive.
;
d
in paragraph (2), for “or (1A)”, substitute “, (1A) or (1B)”.
15
In regulation 43(1), before sub-paragraph (a), insert —
za
regulation 28, to the effect that a person is not a fit and proper person;
.
16
In regulation 45(1) omit “, or a direction made under regulation 18,”.
17
For Schedule 3, substitute the text contained in the Schedule to these Regulations.
Review
18
1
The Treasury must from time to time —
a
carry out a review of the Money Laundering Regulations 2007 as amended by regulations 2 to 17,
b
set out the conclusions of the review in a report, and
c
publish the report.
2
In carrying out the review the Treasury must, so far as is reasonable, have regard to how Directive 2005/60/ EC of the European Parliament and of the Council on the protection of the use of the financial system for the purpose of money laundering and terrorist financing (which is implemented in part by the Money Laundering Regulations 2007) is implemented in other member States.
3
The report must in particular —
a
set out the objectives intended to be achieved by the regulatory system established by the Money Laundering Regulations 2007 as amended by regulations 2 to 17,
b
assess the extent to which those objectives are achieved, and
c
assess whether those objectives remain appropriate and, if so, the extent to which they could be achieved with a system that imposes less regulation.
4
The first report under this regulation must be published before the end of the period of five years beginning with the day on which these Regulations come into force.
5
Reports under this regulation are afterwards to be published at intervals not exceeding five years.
James Duddridge
Angela Watkinson
Two of the Lords Commissioners of Her Majesty’s Treasury
6th September 2012
SCHEDULE
Regulation 17
SCHEDULE 3
Professional Bodies
Regulations 17(2)(b), 23(1)(c) and 32(4)
1
Association of Accounting Technicians
2
Association of Chartered Certified Accountants
3
Association of International Accountants
4
Association of Taxation Technicians
5
Chartered Institute of Management Accountants
6
Chartered Institute of Public Finance and Accountancy
7
Chartered Institute of Taxation
8
Council for Licensed Conveyancers
9
Faculty of Advocates
10
Faculty Office of the Archbishop of Canterbury
11
General Council of the Bar
12
General Council of the Bar of Northern Ireland
13
Insolvency Practitioners Association
14
Institute of Certified Bookkeepers
15
Institute of Chartered Accountants in England and Wales
16
Institute of Chartered Accountants in Ireland
17
Institute of Chartered Accountants of Scotland
18
Institute of Financial Accountants
19
International Association of Book-keepers
20
Law Society
21
Law Society of Northern Ireland
22
Law Society of Scotland |
The Public Services (Social Value) Act 2012 (Commencement) Order 2012
The Minister for the Cabinet Office makes the following Order in exercise of the power conferred by section 4(3) of the Public Services (Social Value) Act 2012 :
Citation
1
This Order may be cited as the Public Services (Social Value) Act 2012 (Commencement) Order 2012.
Commencement of provisions
2
Sections 1 and 2 of the Public Services (Social Value) Act 2012 come into force on 31st January 2013.
Nick Hurd
Parliamentary Under Secretary of State
Cabinet Office
20 December 2012 |
The Registrar of Companies (Fees) (European Economic Interest Grouping and European Public Limited-Liability Company) Regulations 2012
The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 1063(1) to (3) and 1292(1) of the Companies Act 2006 .
Citation and commencement
1
These Regulations may be cited as the Registrar of Companies (Fees) (European Economic Interest Grouping and European Public Limited-Liability Company) Regulations 2012 and come into force on 1st October 2012.
Interpretation
2
In these Regulations —
“the 2006 Act ” means the Companies Act 2006;
“Companies House Direct” and “ CHD ” mean the service by which information is accessed by the applicant in Hyper Text Markup Language using a website of the registrar by delivering a non-encrypted access code;
“ EEIG ” means a European Economic Interest Grouping formed under Council Regulation (EEC) No. 2137/85 of 25th July 1985 on the European Economic Interest Grouping ;
“ Extranet ” means the service by which information is accessed by means of the access codes of the applicant in Hyper Text Markup Language using a website of the registrar;
“limited liability partnership” means a body corporate incorporated under the Limited Liability Partnerships Act 2000 ;
“limited partnership” means a partnership registered under the Limited Partnerships Act 1907 ;
“ SE ” means a European Public Limited-Liability Company within the meaning of Council Regulation 2157/2001/ EC of 8 October 2001 on the Statute for a European Company ;
“ XML Gateway” and “XML” mean the service by which information is accessed by the applicant in Extensible Markup Language by means of a partially encrypted access code.
Fees payable in respect of functions relating to the registration of documents by the registrar
3
Schedule 1 makes provision for the fees that are payable to the registrar in respect of the registration of documents relating to EEIGs and SEs by the registrar.
Fees payable in respect of the inspection or provision of copies of documents kept by the registrar relating to EEIGs
4
1
Schedule 2 makes provision for the fees that are payable to the registrar in respect of the inspection, or provision of copies, of documents kept by the registrar relating to EEIGs.
2
The fees prescribed in relation to paragraphs 3(a), 4(a) and 6(a) of Schedule 2 are not payable in respect of any month for which the applicant pays a fee to the registrar for subscription to Companies House Direct, Extranet or XML under regulations providing for the payment of fees in respect of the functions of the registrar in relation to the inspection, or provision of copies, of documents kept by the registrar relating to companies, overseas companies, limited liability partnerships and limited partnerships
Transitional provisions
5
1
Where any document delivered to the registrar on or before 30th September 2012 is registered on or after 1st October 2012 the fee prescribed in Schedule 1 to the Regulations in respect of that document shall not apply and any fee payable in respect of that document by virtue of the Registrar of Companies (Fees) (European Economic Interest Grouping and European Public Limited Liability Company) Regulations 2009 shall apply.
2
Where any application is made or subscription is payable to the registrar on or before 30th September 2012 in respect of the inspection of, or the provision of copies of, material kept by the registrar, the fee prescribed in Schedule 2 to these Regulations in respect of that application or subscription shall not apply and any fee payable under the Registrar of Companies (Fees) (European Economic Interest Grouping and European Public Limited Liability Company) Regulations 2009 shall apply.
Revocation
6
The following regulations are revoked–
a
the Registrar of Companies (Fees) (European Economic Interest Grouping and European Public Limited Liability Company) Regulations 2009; and
b
the Registrar of Companies (Fees) (European Economic Interest Grouping) (Amendment) Regulations 2011 .
Norman Lamb
Parliamentary Under Secretary of State for Employment Relations, Consumer and Postal Affairs,
Department for Business, Innovation and Skills
18th July 2012
SCHEDULE 1
THE PERFORMANCE OF FUNCTIONS RELATING TO THE REGISTRATION OF DOCUMENTS BY THE REGISTRAR
Regulation 3
PART 1 INTERPRETATION
Meaning of “the EC Regulation ” and “the EEIG Regulations ” and words and expressions used in those Regulations
1
1
In this Schedule —
the “EC Regulation” means Council Regulation 2157/2001/EC of 8 October 2001 on the Statute for a European Company;
the “EEIG Regulations” mean the European Economic Interest Grouping Regulations 1989 .
2
Words and expressions used in the enactments set out in sub-paragraph (1) have the same meaning when used in this Schedule as they have in those enactments.
Meaning of “same day registration”
2
For the purposes of this Schedule documents are delivered for “same day registration” if —
a
a request for same day registration and all documents required to be delivered to the registrar in connection with that registration are received by the registrar by 3.00 pm on the day in question; and
b
the registration is completed on that day.
General
3
Where, in relation to any matter in respect of which a fee is payable under this Schedule, the means of delivery to the registrar of the documents required to be delivered in relation to that matter, or the form of those documents are not specified, that fee is payable only in respect of documents that are delivered in hard copy form.
4
Where, in relation to any matter in respect of which a fee is payable under this Schedule, no provision is made for same day registration of the documents required to be delivered to the registrar in relation to that matter, that fee is only payable in respect of the delivery of documents other than for same day registration.
PART 2 FEES PAYABLE
European Economic Interest Groupings
5
In respect of the performance by the registrar of his functions in relation to the registration of documents delivered to him in respect of EEIGs, the fee specified in relation to each matter below is payable on the registration of the documents so delivered relating to that matter–
Matter in relation to which the fee is payable Amount of fee
for the registration under regulation 9 of the EEIG Regulations of an EEIG;
£20.00
for the registration under regulation 12 of the EEIG Regulations of an EEIG that is situating an establishment in the United Kingdom but whose official address is outside the United Kingdom;
£20.00
for the registration of a change of name of an EEIG under regulation 11 of the EEIG Regulations ;
£10.00
for the registration of a charge under paragraph 26 of Schedule 4 to the EEIG Regulations .
£13.00
European Public Limited-Liability Companies
6
In respect of the performance by the registrar of his functions in relation to the registration of documents delivered to him in respect of SEs, the fee specified in relation to each matter below is payable on the registration of the documents so delivered relating to that matter–
Matter in relation to which the fee is payable Amount of fee
for the registration of an SE whose registered office is in the United Kingdom on its formation–
by merger in accordance with Article 2(1) of the EC Regulation,
£20.00
by the formation of a holding SE in accordance with Article 2(2) of the EC Regulation,
£20.00
by the formation of a subsidiary SE in accordance with Article 2(3) of the EC Regulation,
£20.00
by the transformation of a public company in accordance with Article 2(4) of the EC Regulation,
£20.00
by the formation of a subsidiary SE in accordance with Article 3(2) of the EC Regulation;
£20.00
for the registration of a public company by the conversion of an SE in accordance with Article 66 of the EC Regulation;
£20.00
for the registration of an SE on the transfer of its registered office to the United Kingdom in accordance with Article 8 of the EC Regulation.
£20.00
SCHEDULE 2
THE PERFORMANCE OF FUNCTIONS RELATING TO THE INSPECTION OR PROVISION OF COPIES OF DOCUMENTS KEPT BY THE REGISTRAR IN RELATION TO EEIGS
Regulation 4
PART 1 INTERPRETATION
Means by which the register may be inspected and copies provided
1
In this Schedule —
“Companies House Contact Centre” and “ CHCC ” mean a contact centre maintained by or on behalf of the registrar through which a facility is provided for applying by telephone, fax or e-mail for copies of material on the register;
“Companies House Information Centre” and “ CHIC ” mean an office of the registrar where facilities are made available for applicants to inspect the register and to obtain copies of material on the register and “searchroom terminal” means a computer terminal operated by an applicant at a CHIC;
“WebCHeck” means the service by which information is accessed by the applicant in Hyper Text Markup Language using a website of the registrar with no requirement for the applicant to deliver an access code.
Meaning of “same day delivery” and “same day collection”
2
For the purposes of this Schedule certified copies are provided for “same day delivery” or “same day collection” if–
a
a request for same day delivery or same day collection is received by the registrar before 2.00pm on the day in question; and
b
the appropriate certified copy is issued to the applicant on that day.
PART 2 FEES PAYABLE
Companies House Direct
3
In respect of the performance of the registrar’s function in relation to the inspection of material kept by the registrar and the provision of copies of material kept by the registrar in respect of EEIGs, where an application for inspection or a copy is made by means of CHD, the following fees are payable–
Matter in relation to which the fee is payable Amount of fee
for subscribing to CHD for each calendar month payable in arrears at the end of that month;
£4.00
for the inspection by means of CHD of a statement of particulars of a charge registered in respect of an EEIG;
£1.00
for a copy provided by means of CHD (without prior inspection) of a document in respect of an EEIG;
£1.00
for the inspection and provision of a copy of a document, by means of CHD in respect of an EEIG;
£1.00
for the delivery by post in hard copy form of a document specified in sub-paragraph (c) above applied for by means of CHD;
£3.00
for a copy of a document, or extract from a document, in hard copy form, certified under section 1091 of the 2006 Act in relation to EEIGs, applied for by means of CHD–
where that copy or extract is delivered by post by same day delivery,
£60.00
where that copy or extract is delivered by post other than by same day delivery,
£20.00
where that copy or extract is made available for collection at a CHIC other than for same day collection,
£20.00
where that copy or extract is made available for collection at a CHIC for same day collection.
£60.00
Extranet
4
In respect of the performance of the registrar’s functions in relation to the inspection of material kept by the registrar and the provision of copies of material kept by the registrar in respect of EEIGs, where an application for inspection or a copy is made by means of Extranet, the following fees are payable–
Matter in relation to which the fee is payable Amount of fee
for subscribing to Extranet, for each calendar month payable in arrears at the end of that month;
£4.70
for the inspection and provision of a copy of a document by means of Extranet in respect of an EEIG;
£1.00
for a copy provided by means of Extranet (without prior inspection) of a document in respect of an EEIG.
£1.00
WebCHeck
5
In respect of the performance of the registrar’s functions in relation to the provision of copies of material kept by the registrar in respect of EEIGs, where the application for a copy is made by means of WebCHeck, the following fee is payable–
Matter in relation to which the fee is payable Amount of fee
for a copy provided by means of WebCHeck (without prior inspection) of a document in respect of an EEIG.
£1.00
XML
6
In respect of the performance of the registrar’s functions in relation to the provision of copies of material kept by the registrar in respect of EEIGs, where the application for a copy is made by means of XML, the following fee is payable–
Matter in relation to which the fee is payable Amount of fee
for subscribing to XML, for each calendar month payable in arrears at the end of that month;
£4.70
for a copy provided by means of XML (without prior inspection) of a document in respect of an EEIG.
£1.00
Companies House Information Centre
7
In respect of the performance of the registrar’s functions in relation to the inspection of material kept by the registrar and the provision of copies of material kept by the registrar in respect of EEIGs, where the application for inspection or a copy is made at a CHIC, the following fees are payable–
Matter in relation to which the fee is payable Amount of fee
for the inspection by means of a searchroom terminal of a statement of particulars of a charge registered in respect of an EEIG;
£1.00
for the inspection of a document by means of a searchroom terminal in respect of an EEIG;
£1.00
for a copy, in hard copy form, provided by means of a searchroom terminal (without prior inspection) of a document in respect of an EEIG;
£1.00
for a copy of any document specified in sub-paragraphs (a) and (b) above, applied for at a CHIC and made available at a CHIC;
£3.00
for the inspection, at a CHIC, of an original document delivered to the registrar in hard copy form in respect of an EEIG;
£6.00
for the inspection and for a copy, in hard copy form of a document of the type specified in sub-paragraph (e) above;
£9.00
for a copy in hard copy form of a screen of information in respect of an EEIG displayed on a searchroom terminal and made available for collection at a CHIC;
£0.10
for a copy, in hard copy form, of a document or extract from a document certified under section 1091 of the 2006 Act in relation to an EEIG, applied for at a CHIC and delivered to the applicant by post–
where the copy or extract consists of up to 10 pages (including the tenth page),
£20.00
for each subsequent page of the copy or extract,
£1.00
where any copy or extract is delivered by same day delivery;
£60.00
for a copy, in hard copy form, of a document or an extract from a document certified under section 1091 of the 2006 Act in relation to an EEIG, applied for at a CHIC and made available for collection at a CHIC–
where the copy or extract consists of up to 10 pages (including the tenth page),
£20.00
for each subsequent page of the copy or extract,
£1.00
where the copy or extract is made available for same day collection.
£60.00
Companies House Contact Centre
8
In respect of the performance of the registrar’s functions in relation to the provision of copies of material kept by the registrar in respect of EEIGs, where the application for a copy is made by means of a CHCC, the following fees are payable–
Matter in relation to which the fee is payable Amount of fee
for a copy, in hard copy form provided on application to a CHCC, of a statement of particulars of a charge registered in respect of an EEIG delivered by post;
£3.00
for a copy provided on application to a CHCC, of a statement of particulars of a charge registered in respect of an EEIG delivered by e-mail;
£3.00
for a copy, in hard copy form, provided on application to a CHCC of a document in respect of an EEIG delivered by post;
£3.00
for a copy, provided on application to a CHCC of a document in respect of an EEIG delivered by e-mail;
£3.00
for a copy, provided on application to a CHCC of an original document delivered to the registrar and kept by the registrar in hard copy form in respect of an EEIG and delivered by post;
£9.00
for a copy, in hard copy form, provided on application to a CHCC, of a document or extract from a document, certified under section 1091 of the 2006 Act in relation to an EEIG–
where that copy or extract is delivered by post other than by same day delivery,
£20.00
where that copy or extract is delivered by post by same day delivery;
£60.00
for a copy, in hard copy form, provided on application to a CHCC, of a document or extract from a document of the type specified in sub-paragraph (f) above and made available for collection at a CHIC–
where that copy or extract is made available for collection other than for same day collection,
£20.00
where that copy or extract is made available for same day collection.
£60.00 |
The Removal and Disposal of Vehicles (Amendment) (England) Regulations 2012
In accordance with section 134 of that Act she has consulted with such representative organisations as she thinks fit.
Citation, commencement and application
1
1
These Regulations may be cited as the Removal and Disposal of Vehicles (Amendment) (England) Regulations 2012 and come into force on 1st October 2012.
2
These Regulations apply as respects England only.
Amendment of the Removal and Disposal of Vehicles Regulation 1986
2
The Removal and Disposal of Vehicles Regulations 1986 are amended as follows.
3
In the heading before regulation 3 after “roads” insert “or other land”.
4
In regulation 3 —
a
in paragraph (1)(a) —
i
after “a road” insert “or other land”, and
ii
after “the road” insert “or land concerned”;
b
in paragraph (1)(b) after “road” insert “or other land”;
c
in paragraph (2) for “from that road to a place” to the end substitute with “to another place which may be a road or other land; or that the vehicle shall not be moved to any such road or other land as may be specified.”
5
In regulation 4 —
a
in paragraph (b) for “on any land in the open air” substitute “other land”;
b
in paragraph (c) for “on any land in the open air” substitute “other land”; and
c
omit the words from “, and, in the case of a vehicle” to the end of the paragraph.
6
In regulation 5 —
a
in paragraph (1)(a) for “on any land in the open air” substitute “other land”; and
b
in paragraph (1)(b) for “on any land in the open air” substitute “other land”.
Lynne Featherstone
Parliamentary Under-Secretary of State
Home Office
28th August 2012 |
The United Nations (International Tribunals) (Former Yugoslavia and Rwanda) (Amendment) Order 2012
Citation, commencement and extent
1
1
This Order may be cited as the United Nations (International Tribunals) (Former Yugoslavia and Rwanda) (Amendment) Order 2012 and shall come into force on 8th November 2012.
2
This Order extends to the United Kingdom.
3
Articles 1 and 4 of this Order also extend to the territories listed in the Schedule to the United Nations (International Tribunals) (Former Yugoslavia and Rwanda) (Dependent Territories) Order 1997 .
Amendment of 1996 Orders
2
The Schedule to the United Nations (International Tribunal) (Former Yugoslavia) Order 1996 is amended by deleting Article 12, paragraphs 1 and 2 and Article 14, paragraphs 3 and 4 of the Statute of the International Tribunal and substituting for them the provisions set out in Schedule 1 to this Order.
3
The Schedule to the United Nations (International Tribunal) (Rwanda) Order 1996 is amended by deleting Article 11, paragraphs 1 and 2, and Article 13, paragraph 3 of the Statute of the International Tribunal and inserting the provisions set out in Schedule 2 to this Order in the appropriate places.
Amendment of 1997 Order
4
1
Article 2 of the United Nations (International Tribunals) (Former Yugoslavia and Rwanda) (Dependent Territories) Order 1997 is amended as follows.
2
For the definition of “the 1996 Orders” substitute ““the 1996 Orders” means the United Nations (International Tribunal) (Former Yugoslavia) Order 1996 as amended by S.I. 1997/1752 , 1998/1755 , 2000/1342 , 2000/3243 , 2001/412 , 2001/2563 , 2005/617 , 2005/3389 , 2006/1923 , 2012/ 2559 and section 78(2)(a) of the Police (Northern Ireland) Act 2000 (c. 32) and the United Nations (International Tribunal) (Rwanda) Order 1996, as amended by S.I. 1997/1751 , 1998/1755 , 2000/1342 , 2000/3243 , 2001/412 , 2001/3920 , 2005/617 , 2005/3389 , 2006/1923 (as amended by S.I. 2006/3326 ), 2009/2054 , 2012/2559 and section 78(2)(a) of the Police (Northern Ireland) Act 2000 (c. 32) ”.
Richard Tilbrook
Clerk of the Privy Council
SCHEDULE 1
Article 2
Article 12 Composition of the Chambers
1
The Chambers shall be composed of a maximum of sixteen permanent independent judges, no two of whom may be nationals of the same State, and a maximum at any one time of twelve ad litem independent judges appointed in accordance with article 13 ter , paragraph 2, of the Statute, no two of whom may be nationals of the same State.
2
A maximum at any one time of three permanent judges and nine ad litem judges shall be members of each Trial Chamber. Each Trial Chamber to which ad litem judges are assigned may be divided into sections of three judges each, composed of both permanent and ad litem judges, except in the circumstances specified in paragraph 5 below. A section of a Trial Chamber shall have the same powers and responsibilities as a Trial Chamber under the Statute and shall render judgement in accordance with the same rules.
Article 14 Officers and members of the Chambers
3
After consultation with the permanent judges of the International Tribunal, the President shall assign four of the permanent judges elected or appointed in accordance with article 13 bis of the Statute to the Appeals Chamber and nine to the Trial Chambers. Notwithstanding the provisions of article 12, paragraph 1, and article 12, paragraph 3, the President may assign to the Appeals Chamber up to four additional permanent judges serving in the Trial Chambers, on the completion of the cases to which each judge is assigned. The term of office of each judge redeployed to the Appeals Chamber shall be the same as the term of office of the judges serving in the Appeals Chamber.
4
Two of the permanent judges of the International Tribunal for Rwanda elected or appointed in accordance with article 12 bis of the Statute of that Tribunal shall be assigned by the President of that Tribunal, in consultation with the President of the International Tribunal, to be members of the Appeals Chamber and permanent judges of the International Tribunal. Notwithstanding the provisions of article 12, paragraph 1, and article 12, paragraph 3, up to four additional permanent judges serving in the Trial Chambers of the International Criminal Tribunal for Rwanda may be assigned to the Appeals Chamber by the President of that Tribunal, on the completion of the cases to which each judge is assigned. The term of office of each judge redeployed to the Appeals Chamber shall be the same as the term of office of the judges serving in the Appeals Chamber.
SCHEDULE 2
Article 3
Article 11 Composition of the Chambers
1
The Chambers shall be composed of a maximum of sixteen permanent independent judges, no two of whom may be nationals of the same State, and a maximum at any one time of nine ad litem independent judges appointed in accordance with article 12 ter , paragraph 2, of the present Statute, no two of whom may be nationals of the same State.
2
Each Trial Chamber may be divided into sections of three judges each. A section of a Trial Chamber shall have the same powers and responsibilities as a Trial Chamber under the present Statute and shall render judgment in accordance with the same rules.
Article 12 ter Election and Appointment of ad litem Judges
3
If there are no ad litem judges remaining on the roster or if no ad litem judge on the roster is available for appointment, and if it is not possible to assign a judge currently serving at the International Tribunal, and all practical alternatives having been explored, the Secretary General may, at the request of the President of the International Tribunal, appoint a former permanent or ad litem judge of the International Tribunal or the International Tribunal for the former Yugoslavia, to serve as an ad litem judge in the Trial Chambers for one or more trials.
Article 13 Officers and members of the Chambers
3
After consultation with the permanent judges of the International Tribunal for Rwanda, the President shall assign two of the permanent judges elected or appointed in accordance with article 12 bis of the present Statute to be members of the Appeals Chamber of the International Tribunal for the Former Yugoslavia and eight to the Trial Chambers of the International Tribunal for Rwanda. Notwithstanding the provisions of article 11, paragraph 1 and article 11, paragraph 3, the President may assign to the Appeals Chamber up to four additional permanent judges serving in the Trial Chambers, on the completion of the cases to which each judge is assigned. The term of office of each judge redeployed to the Appeals Chamber shall be the same as the term of office as the judges serving in the Appeals Chamber. |
The Police Act 1997 (Criminal Records and Registration) (Isle of Man) (Amendment) Regulations 2012
In accordance with article 9 of the Police Act 1997 (Criminal Records) (Isle of Man) Order 2010, the Secretary of State has consulted the Department of Home Affairs of the Isle of Man.
Citation, commencement and extent
1
1
These Regulations may be cited as the Police Act 1997 (Criminal Records and Registration) (Isle of Man) (Amendment) Regulations 2012 and come into force on 10th September 2012.
2
These Regulations extend to the Isle of Man.
Amendment of the Police Act 1997 (Criminal Records and Registration) (Isle of Man) Regulations 2011
2
Regulation 9 of the Police Act 1997 (Criminal Records and Registration) (Isle of Man) Regulations 2011 (enhanced criminal records certificates: relevant police forces) is omitted.
James Borkenshire
Parliamentary Under-Secretary of State
Home Office
14th August 2012 |
The Fishing Boats (Satellite-Tracking Devices and Electronic Reporting) (England) Scheme 2012
The Secretary of State, in whom the powers conferred by section 15(1) and (2) of the Fisheries Act 1981 are now vested , makes this Scheme in exercise of those powers, with the approval of the Treasury.
PART 1 INTRODUCTORY PROVISIONS
Citation, commencement and application
1
1
This Scheme may be cited as the Fishing Boats (Satellite-Tracking Devices and Electronic Reporting) (England) Scheme 2012 and comes into force on 28th May 2012.
2
It applies in England and in relation to English fishing boats.
Interpretation
2
In this Scheme —
“the Control Regulation” means Council Regulation (EC) No 1224/2009 establishing a Community control system for ensuring compliance with the rules of the common fisheries policy ;
“English fishing boat” means a fishing boat which —
is registered in the United Kingdom under Part II of the Merchant Shipping Act 1995 , and
has its port of administration in England;
“fishing boat” means a vessel equipped for commercial exploitation of living aquatic resources, which include sea fish;
“the Implementing Regulation” means Commission Implementing Regulation ( EU ) No 404/2011 laying down detailed rules for the implementation of Council Regulation (EC) No 1224/2009 establishing a Community control system for ensuring compliance with the rules of the Common Fisheries Policy;
“LIBOR”, in relation to a day, means the sterling three month London interbank offered interest rate in force for that day, rounded if necessary to two decimal places;
“master” includes the person for the time being in charge of a fishing boat;
“port of administration”, in relation to a fishing boat, means the port from which the licence granted in respect of that boat under section 4 of the Sea Fish (Conservation) Act 1967 is issued.
PART 2 PAYMENTS FOR SATELLITE-TRACKING DEVICES
Interpretation of Part 2
3
In this Part —
“application” means an application under this Part, and “applicant” is to be construed accordingly;
“authorised provider” means the supplier and installer of satellite-tracking devices specified in a notice under paragraph 5(2)(f);
“satellite-tracking device” has the same meaning as in Article 2(9) of the Implementing Regulation.
Eligibility to make an application
4
A person is eligible to make an application if that person —
a
is —
i
the owner, charterer or master of an English fishing boat which is required by Article 9(2) of the Control Regulation or pursuant to Article 9(9) of that Regulation to have installed on board a satellite-tracking device, or
ii
the representative of the owner, charterer or master of such a boat; and
b
satisfies any other criteria specified in a notice under paragraph 5(2) (which may include criteria as to the length of the boat in respect of which the application is made).
Applications
5
1
The Secretary of State may invite applications in accordance with the following provisions of this paragraph.
2
The Secretary of State must publish a notice specifying —
a
who is eligible to apply;
b
the form and manner of applications;
c
any information or documents which applicants must provide;
d
the closing date for applications;
e
the address to which applications must be made;
f
the provider authorised by the Secretary of State for the purposes of this Part to supply and install satellite-tracking devices; and
g
any other information the Secretary of State considers relevant to an application.
3
The Secretary of State may extend the closing date in respect of a particular application where the Secretary of State considers that there is a particular reason to do so.
Determination of applications
6
1
The Secretary of State may require an applicant to provide further information relevant to the application.
2
The Secretary of State must determine an application as soon as reasonably practicable following its receipt (or, where further information is required under sub-paragraph (1), following the provision of that further information).
3
The Secretary of State must reject an application in respect of a boat —
a
if satisfied that its port of administration has been changed for the primary purpose of eligibility to make an application; or
b
if a payment has already been made under this Part in respect of the installation of a satellite-tracking device on the boat.
4
When rejecting an application, the Secretary of State must notify the applicant of the decision in writing with reasons.
5
When approving an application, the Secretary of State —
a
may attach conditions to the approval; and
b
must notify the applicant in writing of —
i
the decision to approve the application; and
ii
any conditions attached to the approval under paragraph (a).
6
The Secretary of State may revise any conditions previously notified, and in such a case must notify the applicant in writing of the revised conditions.
Payments for satellite-tracking devices
7
1
Subject to paragraph 8, where the Secretary of State approves an application, the Secretary of State must pay to the authorised provider or the applicant a sum equal to the cost, agreed between the Secretary of State and the provider, of —
a
the purchase of a satellite-tracking device from the authorised provider;
b
the purchase of a three-year warranty for that device from the authorised provider; and
c
the installation of that device by the authorised provider.
2
The cost specified in sub-paragraph (1)(c) does not include any cost wholly or partly incurred in respect of the concealment of the satellite-tracking device, its associated cables and wires, or any other associated materials or equipment, for cosmetic purposes.
3
But no payment in respect of an application is to be made unless the Secretary of State is satisfied that —
a
a satellite-tracking device has been supplied and installed by the authorised provider on the boat in respect of which the application was made in accordance with procedures agreed by the Secretary of State with that provider;
b
the device functions correctly so as to enable compliance with the requirements of the Control Regulation and the Implementing Regulation relating to the vessel monitoring system; and
c
any conditions attached to the approval of the application under paragraph 6(5)(a) or (6) which were required to be satisfied before payment could be made have been satisfied.
Reduction, withholding or recovery of payments
8
1
This paragraph applies where, having approved an application, the Secretary of State considers that —
a
any condition attached to that approval under paragraph 6(5)(a) or (6) has been breached or has not been complied with;
b
the applicant was not eligible to make the application; or
c
the applicant provided materially false or misleading information in relation to the application.
2
The Secretary of State, if proposing to take action under sub-paragraph (3), must first —
a
give the applicant a written explanation of the reasons for the proposed action;
b
invite the applicant to make written representations before such specified date as the Secretary of State considers reasonable; and
c
consider any such representations made before that date.
3
The Secretary of State, following consideration of any representations made under sub-paragraph (2), may —
a
overturn the approval of the application;
b
withhold the whole or part of any payment to be made under paragraph 7(1); and
c
where a payment has been made under paragraph 7(1), recover on demand from the applicant an amount equal to the whole or part of that payment (irrespective of whether the payment was made to the applicant or to the authorised provider).
4
When recovering an amount under sub-paragraph (3)(c), the Secretary of State may also recover interest on that amount at a rate of 1% above the LIBOR calculated on a daily basis for the period beginning with the day after the amount was paid and ending on the day the amount is recovered.
5
In any proceedings for recovery under this Part, a certificate issued by the Secretary of State stating the LIBOR applicable for a day, the amount of interest recoverable or the period for which interest is calculated is sufficient evidence of those matters, unless the contrary is shown.
PART 3 PAYMENTS FOR APPROVED SOFTWARE
Interpretation of Part 3
9
In this Part —
“application” means an application under this Part, and “applicant” is to be construed accordingly;
“approved software” means software specified in a list published under paragraph 10(a);
“fishing data” means the logbook data, transhipment declaration data and landing declaration data required by the Control Regulation to be electronically recorded and transmitted.
List of approved software
10
The Secretary of State must publish a list specifying —
a
software approved for the purposes of this Part for the electronic recording and transmission of fishing data; and
b
the suppliers of that software.
Eligibility to make an application
11
A person is eligible to make an application if that person —
a
is —
i
the owner, charterer or master of an English fishing boat which is required by Article 15, 22 or 24 of the Control Regulation or pursuant to Article 15(7), 22(6) or 24(6) of that Regulation to electronically record and transmit fishing data, or
ii
the representative of the owner, charterer or master of such a boat; and
b
satisfies any other criteria specified in a notice under paragraph 12(2) (which may include criteria as to the length of the boat in respect of which the application is made).
Applications
12
1
The Secretary of State may invite applications in accordance with the following provisions of this paragraph.
2
The Secretary of State must publish a notice specifying —
a
who is eligible to apply;
b
the form and manner of applications;
c
any information or documents which applicants must provide;
d
the closing date for applications;
e
the address to which applications must be made; and
f
any other information the Secretary of State considers relevant to an application.
3
An application must specify the particular approved software in respect of which funding is sought.
4
The Secretary of State may extend the closing date in respect of a particular application where the Secretary of State considers that there is a particular reason to do so.
Determination of applications
13
1
The Secretary of State may require an applicant to provide further information relevant to the application.
2
The Secretary of State must determine an application as soon as reasonably practicable following its receipt (or, where further information is required under sub-paragraph (1), following the provision of that further information).
3
The Secretary of State must reject an application in respect of a boat —
a
if satisfied that its port of administration has been changed for the primary purpose of eligibility to make an application; or
b
if a payment has already been made under this Part in respect of the installation of approved software on the boat.
4
When rejecting an application, the Secretary of State must notify the applicant of the decision in writing with reasons.
5
When approving an application, the Secretary of State —
a
may attach conditions to the approval; and
b
must notify the applicant in writing of —
i
the decision to approve the application; and
ii
any conditions attached to the approval under paragraph (a).
6
The Secretary of State may revise any conditions previously notified, and in such a case must notify the applicant in writing of the revised conditions.
Payments for software
14
1
Subject to paragraph 15, where the Secretary of State approves an application, the Secretary of State must make a payment not exceeding the amount specified in sub-paragraph (2) to —
a
the applicant; or
b
the supplier which supplied the approved software specified in the application.
2
The amount is the sum equal to the cost of purchase from the supplier of the approved software specified in the application.
3
But no payment in respect of an application is to be made unless the Secretary of State is satisfied that —
a
the approved software specified in the application has been supplied and installed on the boat in respect of which the application was made;
b
that software functions correctly so as to enable compliance with the requirements of the Control Regulation and the Implementing Regulation relating to the electronic recording and reporting system for fishing vessels; and
c
any conditions attached to the approval of the application under paragraph 13(5)(a) or (6) which were required to be satisfied before payment could be made have been satisfied.
Reduction, withholding or recovery of payments
15
1
This paragraph applies where, having approved an application, the Secretary of State considers that —
a
any condition attached to that approval under paragraph 13(5)(a) or (6) has been breached or has not been complied with;
b
the applicant was not eligible to make the application; or
c
the applicant provided materially false or misleading information in relation to the application.
2
The Secretary of State, if proposing to take action under sub-paragraph (3), must first —
a
give the applicant a written explanation of the reasons for the proposed action;
b
invite the applicant to make written representations before such specified date as the Secretary of State considers reasonable; and
c
consider any such representations made before that date.
3
The Secretary of State, following consideration of any representations made under sub-paragraph (2), may —
a
overturn the approval of the application;
b
withhold the whole or part of any payment to be made under paragraph 14(1); and
c
where a payment has been made under paragraph 14(1), recover on demand from the applicant an amount equal to the whole or part of that payment (irrespective of whether the payment was made to the applicant or to the supplier of the approved software).
4
When recovering an amount under sub-paragraph (3)(c), the Secretary of State may also recover interest on that amount at a rate of 1% above the LIBOR calculated on a daily basis for the period beginning with the day after the amount was paid and ending on the day the amount is recovered.
5
In any proceedings for recovery under this Part, a certificate issued by the Secretary of State stating the LIBOR applicable for a day, the amount of interest recoverable or the period for which interest is calculated is sufficient evidence of those matters, unless the contrary is shown.
PART 4 REVOCATIONS AND SAVINGS
Revocations and savings
16
1
The following are revoked —
a
the Fishing Boats (Satellite-Tracking Devices) (England) Scheme 2004 (“the 2004 Scheme ”); and
b
the Fishing Boats (Electronic Transmission of Fishing Activities Data) (England) Scheme 2010 (“the 2010 Scheme ”).
2
But the Secretary of State may —
a
make payments in respect of outstanding applications under the 2004 Scheme or the 2010 Scheme; and
b
reduce, withhold or recover an amount, and recover interest, in accordance with paragraphs 9 and 10 of the 2004 Scheme or paragraphs 10 and 11 of the 2010 Scheme.
Richard Benyon
Parliamentary Under Secretary of State
Department for Environment, Food and Rural Affairs
17th May 2012
James Duddridge
Jeremy Wright
Two of the Lords Commissioners of Her Majesty’s Treasury
21st May 2012 |
Small Charitable Donations Act 2012
B e it enacted by the Queen’s most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows: —
Top-up payments
Top-up payments in respect of small donations made to eligible charities
1
1
A charity is entitled to a payment from HMRC (a “top-up payment”) if —
a
the charity is an eligible charity for a tax year,
b
the charity has made a successful gift aid exemption claim in respect of gifts made to it in the tax year,
c
small donations are made to the charity in the tax year, and
d
the charity makes a claim in respect of small donations made to it in the tax year.
2
The amount of the top-up payment is —
SD ×
R
100 - R
where —
SD is the amount of the small donations to which the claim relates, and
R is the percentage rate of the basic rate of income tax for the tax year in question.
3
A charity is not entitled to top-up payments in respect of small donations made to it in a tax year in excess of the maximum donations limit for the charity for the tax year.
4
The “maximum donations limit” for a charity for a tax year is —
a
an amount equal to 10 times the gift aid donations amount for the charity for the tax year, or
b
if less, the specified amount for the charity for the tax year.
5
The “gift aid donations amount” for a charity for a tax year is the amount of the gifts made to the charity in the tax year and in respect of which it has made successful gift aid exemption claims.
6
The “specified amount” for a charity for a tax year is £5,000.
7
This section is subject to sections 4, 6 and 9 (connected charities and charities running charitable activities in community buildings).
Meaning of “eligible charity”
2
1
A charity is an eligible charity for a tax year if —
a
it has made a successful gift aid exemption claim in at least 2 of the previous 4 tax years, and
b
the charity’s start-up period expired before that year.
2
If a charity did not make any successful gift aid exemption claims in a period of 2 consecutive tax years, any claim made in an earlier tax year is to be disregarded for the purposes of subsection (1)(a) .
3
A charity on which a penalty has been imposed in connection with a gift aid exemption claim or top-up claim made by the charity is not an eligible charity —
a
for the tax year in which the claim was made, or
b
for the next tax year,
(even if the penalty was imposed after the tax year in which the claim was made).
4
For the purposes of this section —
a
a charity’s “start-up period” is the first period of 2 consecutive tax years during which it is, at all times, a charity (as defined by section 18(1));
b
“penalty” means a penalty under —
i
Schedule 24 to the Finance Act 2007, or
ii
regulations under section 11;
c
a penalty is not to be regarded as having been imposed if all of the penalty is suspended (or the decision that a penalty is payable is cancelled on appeal); but this does not apply to a suspended penalty that subsequently becomes payable.
Meaning of “small donation”
3
1
In this Act “small donation” means a gift made to a charity by an individual in relation to which each of the conditions in the Schedule is met (but does not include a membership fee).
2
But if a small donation made to a charity is applied to purposes other than charitable purposes, or any part of the donation is applied to purposes other than charitable purposes, the donation or part is to be treated as if it were not a small donation.
3
Subsection (2) does not apply to —
a
the Trustees of the National Heritage Memorial Fund;
b
the Historic Buildings and Monuments Commission for England;
c
the Trustees of the British Museum;
d
the Trustees of the Natural History Museum.
Connected charities and community buildings
Connected charities
4
1
This section applies if two or more charities —
a
are connected with one another in a tax year, and
b
are eligible charities for the tax year.
2
Section 1 applies to each of the charities in relation to the tax year as if references to small donations made to a charity included small donations made to any of the charities.
3
The specified amount for the purposes of section 1(4) for each of the charities for the tax year is an amount equal to —
a
£5,000, divided by
b
the number of the charities which make a top-up claim in respect of small donations made in the tax year.
4
This section does not apply if any of the charities runs charitable activities in a community building in the tax year (as to which see section 9).
Meaning of “connected”
5
1
For the purposes of this Act a charity is connected with another charity in a tax year if it is connected with that other charity at any time in the tax year (as to which see subsections (3) to (7) ).
2
If —
a
a charity (“charity A”) is connected with another charity (“charity B”) (including by virtue of this subsection) in a tax year, and
b
charity B is connected with a further charity (“charity C”) in the tax year,
charity A and charity C are also connected with each other in the tax year for the purposes of this Act.
3
Section 993 of the Income Tax Act 2007 applies for determining whether a charity is connected with another charity at any time for the purposes of this section.
4
In the application of section 993 for the purposes of subsection (3) —
a
a charity that is a trust is to be treated as if it were a company (and accordingly a person), including in this subsection;
b
a charity that is a trust has “control” of another person if the trustees (in their capacity as trustees of the trust) have, or any of them has, control of the person;
c
a person (other than a charity regulator) has “control” of a charity that is a trust if —
i
the person is a trustee of the charity and some or all of the powers of the trustees of the charity could be exercised by the person acting alone or by the person acting together with any other persons who are trustees of the charity and who are connected with the person,
ii
the person, alone or together with other persons, has power to appoint or remove a trustee of the charity, or
iii
the person, alone or together with other persons, has any power of approval or direction in relation to the carrying out by the trustees of any of their functions.
5
A charity that is a trust is also to be regarded as connected with another charity that is a trust at a time for the purposes of this section if, at that time, at least half of the trustees of one of the charities are —
a
trustees of the other charity,
b
persons who are connected with persons who are trustees of the other charity, or
c
a combination of both.
6
In determining whether a person is connected with another person for the purposes of subsection (4)(c)(i) or (5)(b) , apply section 993 of the Income Tax Act 2007, with the omission of subsection (3) of that section (and without the modifications in subsection (4) above).
7
But a charity is not to be regarded as connected with another charity at a time for the purposes of subsection (1) unless, at that time, the purposes and activities of the charities are the same or substantially similar.
8
The Treasury may by order amend this Act so as to change the circumstances in which a charity is connected with another charity in a tax year for the purposes of the Act.
Charities running charitable activities in community buildings
6
1
This section determines the specified amount for the purposes of section 1(4) for a charity that runs charitable activities in one or more community buildings in a tax year (see sections 7 and 8 for the meaning of certain terms used in this section).
2
The specified amount for the charity for the tax year is an amount equal to —
a
the sum of the amounts which, for each community building in which the charitable activities are run, is the community building amount, plus
b
the remaining amount.
3
The “community building amount”, in relation to a community building, means —
a
the sum of the small donations that are made to the charity in the community building in the tax year by group members while it is running charitable activities in the building, or
b
if less, £5,000.
4
The “remaining amount” means —
a
the sum of the remaining donations made to the charity in the tax year, or
b
if less, £5,000.
5
“Remaining donations”, in relation to a charity and a tax year, means the small donations made to the charity in the tax year other than any made to it in community buildings in the tax year by group members while it is running charitable activities in the buildings.
6
“Group member”, in relation to a charitable activity run by a charity in a community building, means a member of the group of people with whom the charity is carrying out the activity.
7
Section 9 modifies this section as it applies to a charity that is connected with another eligible charity.
Meaning of “running charitable activities in a community building” etc
7
1
For the purposes of this Act a charity “runs” charitable activities in a community building in a tax year if, on 6 or more occasions in the tax year —
a
it carries out a charitable activity with a group of people in the community building, at least 10 of whom are in the class of people for whose benefit the charitable activity is being carried out,
b
the activity is of a kind that the charity makes available to the public or a section of the public, and
c
none of the group is required to pay to access the building, or the part of the building, in which the activity is carried out;
(and references to donations made to a charity “while” it is running charitable activities in a community building are to be construed accordingly).
2
For this purpose the people forming the group need not be the same on any two of the occasions.
3
The Treasury may by order amend the numbers for the time being specified in subsection (1) .
4
In this Act “charitable activity” means an activity carried out for a charitable purpose, other than primarily for the purpose of fund-raising.
5
In this Act a reference to a “charity” that runs charitable activities does not include a registered club within the meaning of Chapter 9 of Part 13 of the Corporation Tax Act 2010 that runs such activities.
Meaning of “community building”
8
1
In this Act “community building” —
a
means a building (such as a village hall, town hall or place of worship), or those parts of it, to which the public or a section of the public have access at some or all times, but
b
does not include any parts of a building excluded by subsection (2) or (3) .
2
Any parts of a building that are used wholly or mainly for residential purposes or the sale or supply of goods are excluded.
3
Any parts of a building that are used wholly or mainly for other commercial purposes are excluded, except at any times when —
a
a charity is carrying out a charitable activity in those parts, and
b
the parts are available for use exclusively by the charity in carrying out the activity.
4
Where a person holds a freehold or leasehold interest in land, any two or more buildings on the land, or on any adjoining land in which the person holds such an interest, are to be treated as a single building for the purposes of this Act.
5
The Treasury may by order —
a
provide for cases in which a building, or part of it, is or is not to be treated as a community building or as part of a community building for the purposes of this Act;
b
provide for cases in which 2 or more buildings in the same vicinity are to be treated as a single building for the purposes of this Act.
6
Provision under subsection (5) may be framed by reference to a description of building, the use to which it is put or any other circumstances; and the provision may be framed so as to apply at all times or at certain times only.
7
In the application of this section to Scotland —
a
a reference to a freehold interest in land is to the interest of the owner, and
b
a reference to a leasehold interest in land is to a tenant’s right over or interest in a property subject to a lease.
Connected charities and community buildings
9
1
This section applies if —
a
two or more charities (“connected eligible charities”) are connected with one another in a tax year and are eligible charities for the tax year, and
b
one or more of them runs charitable activities in a community building in the tax year.
2
Section 1 applies to each of the charities in relation to the tax year as if references to small donations made to a charity included remaining donations made to any of the charities.
3
In relation to any of the charities that does not run charitable activities in a community building in the tax year, the specified amount for the purposes of section 1(4) for the charity for the tax year is an amount equal to —
a
the capped total of remaining donations, divided by
b
the number of the connected eligible charities which make a top-up claim in respect of small donations made in the tax year.
4
In subsection (3) “the capped total of remaining donations” means —
a
the sum of the remaining donations made to each of the connected eligible charities in the tax year, or
b
if less, £5,000.
5
But for the purposes of subsection (3), a charity that runs charitable activities in a community building in the tax year is to be treated as not having made a top-up claim in respect of small donations made in the tax year unless —
a
its total claimed amount for the year, exceeds
b
its community buildings amount for the year.
6
In subsection (5) —
“total claimed amount for the year” means the sum of the small donations made to the charity in the tax year and in respect of which it has made successful top-up claims;
“community buildings amount for the year” means the amount that would be the specified amount for the charity for the tax year under section 6 if the charity’s remaining amount for that year were nil.
7
In relation to any of the charities that runs charitable activities in a community building in the tax year, section 6 applies as if the charity’s remaining amount were the specified amount given by subsection (3).
8
“Remaining donations” has the meaning given by section 6(5).
Overpayments and administration
Overpayments
10
If —
a
an amount is paid to a charity under section 1, and
b
the charity was not, or has ceased to be, entitled to it (because of section 2(3), 3(2), 4 or 9, or otherwise),
the amount must be repaid to HMRC.
Management of top-up payments
11
1
Matters relating to top-up payments are to be under the management of HMRC.
2
HMRC may by regulations make provision —
a
about the administration of top-up payments;
b
otherwise for the purposes of fully implementing this Act.
3
Regulations under subsection (2) may in particular —
a
make provision in relation to top-up claims applying or incorporating, with or without modifications, any enactment that applies in relation to gift aid exemption claims;
b
make provision in relation to top-up payments applying or incorporating, with or without modifications, any enactment that applies in relation to repayments of income tax treated as having been paid;
c
make provision in relation to overpayments applying or incorporating, with or without modifications, any enactment that applies in relation to amounts of income tax or corporation tax which are due and payable;
d
make other provision applying or incorporating, with or without modifications, any enactment relating to the collection or management of income tax or corporation tax;
e
make provision postponing the determination of a top-up claim in prescribed circumstances.
4
The enactments mentioned in subsection (3) include, in particular, enactments —
a
providing for the payment of interest;
b
requiring the provision of information;
c
conferring a power of entry onto land;
d
providing for the imposition of a civil penalty;
e
creating a criminal offence (including, in particular, offences relating to the provision of false or misleading information or failure to provide information);
f
providing for enforcement of sums owed (whether by action on a debt, by distraint against goods or in any other way);
g
providing for appeals.
5
A power conferred by subsection (3) to apply or incorporate a provision creating an offence does not include power to increase the level of any punishment for which a person may be liable on conviction for the offence.
6
A power conferred by subsection (3) to apply or incorporate a provision imposing a civil penalty does not include power to increase the maximum amount of the penalty.
7
In subsection (3) “enactment” includes —
a
a provision of an Act passed after the day on which this Act is passed, and
b
a provision made, or that may be made, under an enactment.
8
In subsection (3)(c) “overpayment” means an amount to which section 10 applies.
9
An amount calculated for the purposes of any provision of this Act is to be rounded to the nearest whole penny, taking 0.5p as nearest to the next whole penny.
Miscellaneous
Charity mergers: new charity taking over activities of one charity
12
1
This section applies if, on an application made by a charity (“the new charity”), HMRC certify that in their opinion —
a
the new charity was created with a view to taking over all of the activities of one other charity (the “old charity”),
b
the new charity has taken over those activities,
c
the purposes of the new charity are substantially similar to the purposes of the old charity, and
d
more than half of the managers of the new charity were old charity managers.
2
For the purposes of determining whether a charity is eligible under section 2 for a relevant tax year —
a
things done (or treated as having been done) by or in relation to the old charity before the time of the merger (or after that time but in connection with things done before that time) are to be treated as if they had instead been done by or in relation to the new charity;
b
the new charity is to be treated as if it had been a charity (as defined by section 18(1)) at any time, before the time of the merger, when the old charity was (or is treated as having been) a charity.
3
“Relevant tax year” means —
a
if the old charity does not make a successful top-up claim in respect of small donations made in the year of the merger, that year or any later tax year;
b
otherwise, any tax year after the year of the merger.
4
In deciding whether to issue a certificate under this section, HMRC must have regard in particular to the extent to which the property of the old charity has been transferred to the new charity.
5
HMRC must issue such guidance as they consider appropriate about the exercise of their functions under this section.
6
Regulations under section 11 may in particular make provision —
a
about the form and contents of applications under this section;
b
imposing a time limit for the making of an application;
c
for an application to require the consent of the old charity if it is in existence at the time of the application;
d
for appeals against a refusal to issue a certificate under this section.
7
In this section —
“managers” means the persons having the general control and management of the administration of a charity;
“old charity manager” means a person who was a manager of the old charity immediately before the last of the activities of the old charity were transferred to the new charity;
“time of the merger” means the time when the new charity took over the activities of the old charity (or, if that occurred over a period of time, the end of that period);
“year of the merger” means the tax year in which the time of the merger fell.
Charity mergers: new charity taking over activities of several charities
13
1
This section applies if, on an application made by a charity (“the new charity”), HMRC certify that in their opinion —
a
the new charity was created with a view to taking over all of the activities of more than one other charity (the “old charities”),
b
the new charity has taken over those activities,
c
the purposes of the new charity are substantially similar to the purposes of the old charities (taken together), and
d
more than half of the managers of the new charity were old charity managers.
2
For the purposes of determining whether a charity is eligible under section 2 for a relevant tax year —
a
things done (or treated as having been done) by or in relation to the relevant old charity before the time of the merger (or after that time but in connection with things done before that time) are to be treated as if they had instead been done by or in relation to the new charity;
b
the new charity is to be treated as if it had been a charity (as defined by section 18(1)) at any time, before the time of the merger, when the relevant old charity was (or is treated as having been) a charity.
3
“Relevant tax year” means —
a
if none of the old charities makes a successful top-up claim in respect of small donations made in the year of the merger, that year or any later tax year;
b
otherwise, any tax year after the year of the merger.
4
Which of the old charities is the “relevant old charity” is determined as follows —
a
if each of the old charities was an eligible charity for the year of the merger, the relevant old charity is whichever of those charities would first cease to be an eligible charity, assuming that none of them were to make a successful gift aid exemption claim in the year of the merger or any later tax year;
b
if only one of the old charities was not an eligible charity for the year of the merger, the relevant old charity is that charity;
c
if more than one of the old charities was not an eligible charity for the year of the merger, the relevant old charity is whichever of those charities would last become an eligible charity, assuming that each of them were to make a successful gift aid exemption claim in the year of the merger and every later tax year;
d
if two or more old charities would otherwise be the relevant old charity under paragraph (a) or (c) , the new charity must elect which of those charities is the relevant old charity.
5
In deciding whether to issue a certificate under this section, HMRC must have regard in particular to the extent to which the property of the old charities has been transferred to the new charity.
6
HMRC must issue such guidance as they consider appropriate about the exercise of their functions under this section.
7
Regulations under section 11 may in particular make provision —
a
about the form and contents of applications under this section;
b
imposing a time limit for the making of an application;
c
for an application to require the consent of each old charity that is in existence at the time of the application;
d
about elections under subsection (4)(d) ;
e
for appeals against a refusal to issue a certificate under this section.
8
In this section —
“managers” means the persons having the general control and management of the administration of a charity;
“old charity manager” means a person who was a manager of an old charity immediately before the last of the activities of the old charity were transferred to the new charity;
“time of the merger” means the time when the new charity took over the activities of the old charities (or, if that occurred over a period of time, the end of that period);
“year of the merger” means the tax year in which the time of the merger fell.
Power to alter specified amount etc
14
1
The Treasury may by order amend —
a
section 1(6) (the specified amount),
b
section 4(3)(a),
c
section 6(3)(b) and (4)(b), and
d
section 9(4)(b),
by substituting a different sum for the sum for the time being specified in each of those provisions.
2
The Treasury may by order amend this Act for the purpose of —
a
amending the gift aid matching rule;
b
abolishing that rule;
c
reinstating that rule (if previously abolished), with or without amendment.
3
In subsection (2) “the gift aid matching rule” means the rule that limits the amount of top-up payments to which a charity is entitled by reference to the amount of gifts made to the charity in respect of which it has made successful gift aid exemption claims.
4
The Treasury may by order amend section 2 (meaning of “eligible charity”).
5
Section 2, as amended by an order under subsection (4) , must as a minimum include a condition requiring the making of a successful gift aid exemption claim in a previous tax year.
6
The Treasury may by order amend paragraph 1(1) and (2) of the Schedule (limit on value of individual donations) by substituting a different sum for the sum for the time being specified in each of those provisions.
Top-up payments not taxable
15
A top-up payment is not to be treated as income for any purpose of the Tax Acts.
General
Northern Ireland
16
In Schedule 2 to the Northern Ireland Act 1998 (excepted matters), before paragraph 10 insert —
9C
The operation of the Small Charitable Donations Act 2012.
Regulations and orders
17
1
Regulations and orders under this Act are to be made by statutory instrument.
2
A statutory instrument containing regulations or an order under the preceding provisions of this Act may not be made unless a draft of the instrument has been laid before and approved by a resolution of the House of Commons.
3
Regulations and orders under this Act —
a
may apply generally or only in specified cases or circumstances;
b
may make different provision for different cases or circumstances;
c
may make consequential, supplementary, incidental, transitional or saving provision.
General interpretation
18
1
In this Act “charity” means —
a
a charity within the meaning of Part 1 of Schedule 6 to the Finance Act 2010;
b
the Trustees of the National Heritage Memorial Fund;
c
the Historic Buildings and Monuments Commission for England;
d
a registered club within the meaning of Chapter 9 of Part 13 of the Corporation Tax Act 2010 (community amateur sports clubs).
2
In this Act —
“charitable activity” has the meaning given by section 7;
“charitable purpose” —
in the case of a charity within subsection (1) (a) to (c), has the meaning given by section 2(1) of the Charities Act 2011 (reading the reference in section 2(1) to the law of England and Wales as including a reference to the law of Scotland and the law of Northern Ireland);
in the case of a charity within subsection (1) (d), means qualifying purpose within the meaning given by section 661(3) of the Corporation Tax Act 2010;
“community building” is to be read in accordance with section 8;
“connected charities”: references to a charity being connected with another charity in a tax year are to be read in accordance with section 5;
“eligible charity” is to be read in accordance with section 2;
“gift aid exemption claim” means a claim for amounts to be exempt from income tax or corporation tax by virtue of —
section 521(4) of the Income Tax Act 2007, or
section 472, 475 or 664 of the Corporation Tax Act 2010,
(and for related expressions see subsection (3) below);
“HMRC” means the Commissioners for Her Majesty’s Revenue and Customs;
“running charitable activities in a community building”: references to a charity running charitable activities in a community building in a tax year are to be read in accordance with section 7;
“small donation” is to be read in accordance with section 3;
“tax year” means a year beginning on 6 April and ending on the following 5 April;
“top-up claim” means a claim under section 1 (and for related expressions see subsection (3) below);
“top-up payment” has the meaning given by section 1.
3
For the purposes of this Act —
a
a gift aid exemption claim is “successful” if an amount falls to be exempt from income tax or corporation tax as a result of the claim;
b
a successful gift aid exemption claim is made in respect of a gift to the extent that the gift, or the grossed up amount of the gift, falls to be exempt from income tax or corporation tax as a result of the claim;
c
a successful top-up claim is made in respect of small donations if, and to the extent that, a top-up payment falls to be made because of the claim (and does not fall to be repaid under section 10);
d
in determining whether a successful claim has been made in a tax year, it does not matter when the claim is determined.
4
In this Act a reference to the making of a claim by a charity includes a reference to the making of a claim on behalf of the charity.
Financial provisions
19
There is to be paid out of money provided by Parliament any increase attributable to this Act in the sums payable under any other Act out of money so provided.
Extent
20
This Act extends to —
a
England and Wales,
b
Scotland, and
c
Northern Ireland.
Commencement and transitional provision
21
1
This Act comes into force on 6 April 2013, subject to subsections (2) and (3) .
2
Any provision of this Act that confers a power to make regulations or an order comes into force, for the purposes of the use of the power, on the day on which this Act is passed.
3
The following provisions of this Act come into force on that day —
a
sections 16 to 20;
b
this section;
c
section 22.
4
In section 2 the references to claims having been made, or penalties having been imposed, include claims made, or penalties imposed, before the date on which that section comes into force.
5
In applying section 2 by virtue of subsection (4) —
a
the reference in section 2(4)(b) to Schedule 24 to the Finance Act 2007 includes a reference to any enactment omitted by paragraph 29 of that Schedule;
b
any reference in the definition of “gift aid exemption claim” in section 18(2) to a provision of the Income Tax Act 2007 or the Corporation Tax Act 2010 includes a reference to any corresponding earlier enactment rewritten in that provision.
6
The Treasury may by order make other transitional provision in connection with the coming into force of any provision of this Act.
Short title
22
This Act may be cited as the Small Charitable Donations Act 2012.
Schedule
Meaning of “small donation”: conditions
Section 3
Small cash payment
1
1
The gift must be £20 or less in cash.
2
Where a gift of cash is made to the charity and its managers do not know whether the gift is £20 or less, the condition in sub-paragraph (1) is to be treated as met if the managers have taken reasonable steps to find out.
3
In this paragraph —
“cash” means coins and notes in any currency;
“managers”, in relation to a charity, means the persons having the general control and management of the administration of the charity.
Collected in the United Kingdom
2
The gift must be received in the United Kingdom by or on behalf of the charity.
Deposited in United Kingdom in a bank account
3
1
The cash given to the charity must have been deposited in an account kept by or on behalf of the charity at a relevant institution and the deposit must have been made in the United Kingdom.
2
“Relevant institution” has the meaning given by section 109(3) of the Charities Act 2011.
Not eligible for gift aid
4
1
The gift must be one in relation to which no gift aid declaration is given to the charity.
2
“Gift aid declaration” means a declaration which is a gift aid declaration for the purposes of Chapter 2 of Part 8 of the Income Tax Act 2007.
Not payment under payroll deduction scheme
5
The gift must not be a sum falling within section 713(3) of the Income Tax (Earnings and Pensions) Act 2003 (payroll deduction scheme).
Not deductible in calculating income
6
The gift must not be deductible in calculating the individual’s income from any source for the purposes of income tax.
Not subject to condition as to repayment
7
The gift must not be subject to any condition as to repayment.
Not conditional on acquisition of property by charity
8
1
The gift must not be conditional on, associated with or part of an arrangement involving, the acquisition of property by the charity from the individual or a person connected with the individual.
2
An acquisition by way of gift is to be ignored for the purposes of this condition.
No, or only negligible, benefits associated with gift
9
1
There must be no benefits associated with the gift, or any benefits associated with the gift must be of negligible value (for example, a lapel sticker designed to acknowledge the making of a gift).
2
For this purpose a benefit is associated with a gift if it is received by the individual who makes the gift, or a person connected with the individual, in consequence of making the gift.
Interpretation
10
For the purposes of this Schedule whether a person is connected with another person is to be determined in accordance with section 993 of the Income Tax Act 2007. |
The Policing of Aerodromes (Belfast International Airport) Order 2012
The Secretary of State, in exercise of the power conferred by section 25AA(2) of the Aviation Security Act 1982 , makes the following Order:
Citation and commencement
1
This Order may be cited as the Policing of Aerodromes (Belfast International Airport) Order 2012 and shall come into force on 16th April 2012.
Belfast International Airport
2
Belfast International Airport, being an aerodrome to which Part 2A of the Aviation Security Act 1982 applies, is not a relevant aerodrome for the purposes of Part 3 of that Act.
Revocation
3
The Policing of Aerodromes (Belfast International Airport) Order 2010 is revoked.
Signed by authority of the Secretary of State
Theresa Villiers
Minister of State
Department for Transport
13th March 2012 |
The Green Deal (Disclosure) Regulations 2012
Accordingly, the Secretary of State, in exercise of the powers conferred by sections 12(2)(b), (5)(c) and (6) and 40(1) of the Energy Act 2011 Act, makes the following Regulations:
Citation and commencement
1
These Regulations may be cited as the Green Deal (Disclosure) Regulations 2012 and come into force on 28th January 2013.
Interpretation
2
In these Regulations —
“A” means, as appropriate, a seller, prospective landlord or prospective licensor of a property;
“ the Act ” means the Energy Act 2011;
“agent” has the meaning given in section 12(5)(a) of the Act;
“B” means, as appropriate, a prospective buyer, tenant or licensee of a property;
“bid” means an offer to buy a property which is to be sold by auction;
“the Framework Regulations ” means the Green Deal Framework (Disclosure, Acknowledgment, Redress etc. ) Regulations 2012 ;
“green deal property” has the meaning given by section 12(5)(b) of the Act;
“information request” means a request by B to A or an agent for information about a green deal property for the purpose of enabling B to decide whether to, as appropriate, buy the property or enter into a lease or licence of the property;
“offer” means, as appropriate, a proposal to —
buy a green deal property or a lease of such a property; or
enter into a lease or licence in respect of such a property;
“offers over sale” means, in respect of a property situated in Scotland, a sale where A or an agent invites written offers which are expected to exceed the amount specified in a notice offering the property for sale;
“oral and written bids auction” means a sale by auction of a property where the seller accepts bids which may be oral or written but excludes an offers over sale;
“prospective buyer, tenant or licensee” has the meaning given in section 12(4) of the Act;
“viewing request” means a request by B to A or an agent to view a green deal property for the purpose of enabling B to decide whether to, as appropriate, buy the property or enter into a lease or licence of the property; and
“written bids auction” means a sale by auction of a property where the seller accepts only written bids but excludes an offers over sale.
Specified time for disclosure of green deal plan: lettings
3
1
This regulation provides for the specified time for the purposes of section 12(2)(b) of the Act where a green deal property is to be let.
2
Except where paragraph (4) , (6) or (8) applies, the specified time is at or before the time B views the green deal property.
3
Paragraph (4) applies where, in respect of a green deal property situated in England or Wales, B becomes a prospective tenant or licensee by virtue of making —
a
an information request or a viewing request and —
i
subsequently B makes an offer, either orally or in writing;
ii
B does not view the property before making that offer; and
iii
paragraph (8) does not apply;
or
b
an offer, either orally or in writing.
4
Where this paragraph applies, the specified time is, where A intends that the property is to be let under —
a
a written contract, at or before the time A or an agent informs B that A accepts B’s offer subject to a contract to let the property being concluded; or
b
an oral contract, before the contract to let the property is made.
5
Paragraph (6) applies where, in respect of a green deal property situated in Scotland, B becomes a prospective tenant or licensee by virtue of making —
a
an information request or a viewing request and —
i
subsequently B makes an offer, either orally or in writing;
ii
B does not view the property before making that offer; and
iii
paragraph (8) does not apply;
or
b
an offer, either orally or in writing.
6
Where this paragraph applies, the specified time is before the contract to let the property is made.
7
Paragraph (8) applies where —
a
B occupies the green deal property; and
b
B becomes a prospective tenant or licensee by virtue of making an information request.
8
Where this paragraph applies, the specified time is —
a
as soon as practicable after the information request is received by A or an agent; but
b
before the contract to let the property is made.
Specified time for disclosure of green deal plan: sales other than by auction
4
1
Subject to regulation 5 , this regulation provides for the specified time for the purposes of section 12(2)(b) of the Act where a green deal property, or a lease of such a property, is to be sold.
2
Except where paragraph (4) or (5) applies, the specified time is at or before the time B views the green deal property.
3
Paragraph (4) applies where B becomes a prospective buyer by virtue of making an information request or a viewing request and subsequently —
a
B makes an offer, either orally or in writing; or
b
in respect of a property situated in Scotland where B has not made an offer either orally or in writing, B makes a note of interest,
and B does not view the property before making such an offer or note of interest.
4
Where this paragraph applies, the specified time is, in respect of a green deal property situated in —
a
England or Wales, at or before the time A or an agent informs B that A accepts B’s offer subject to a contract to sell the property being concluded;
b
Scotland, the Scottish disclosure time.
5
Where B becomes a prospective buyer by virtue of making an offer, either orally or in writing, the specified time is as soon as practicable after A or an agent receives B’s offer but, in any event, in respect of a property situated in —
a
England or Wales, before the time A or an agent informs B that A accepts B’s offer subject to a contract to sell the property being concluded;
b
Scotland, before the time A or an agent informs B that A accepts B’s offer.
6
In paragraph (4)(b) , “Scottish disclosure time” means, where B —
a
makes an offer but, before that offer was made, has not made a note of interest —
i
as soon as practicable after A or an agent receives B’s offer; but
ii
before A accepts B’s offer; or
b
makes a note of interest —
i
as soon as practicable after A or an agent receives B’s note of interest; but
ii
no later than the time A or an agent invites B to make an offer.
7
In paragraphs (3)(b) and (6) , “note of interest” means a notice by B to A or an agent that B intends to make an offer when A or an agent invites prospective buyers to submit offers.
Specified time for disclosure of green deal plan: sales by auction
5
1
This regulation provides for the specified time for the purposes of section 12(2)(b) of the Act where A intends to sell a green deal property or a lease of such a property at a written bids auction or an oral and written bids auction.
2
Except where paragraph (3) or (4) applies, the specified time is whichever is the earlier of —
a
the time B views the green deal property; or
b
where the property is to be sold by —
i
written bids auction, the time when A requires written bids to be submitted to A or an agent; or
ii
oral and written bids auction, the time when the process of making oral bids at the auction commences.
3
Where B becomes a prospective buyer by virtue of making a written bid, the specified time for the purposes of section 12(2)(b) of the Act is —
a
as soon as practicable after A or an agent receives B’s bid; but
b
before the bid is accepted.
4
Where B becomes a prospective buyer by virtue of making an oral bid, the specified time for the purposes of section 12(2)(b) of the Act is before the bid is accepted.
Circumstances where disclosure is not required on sale or letting out
6
1
A is not required to comply with section 12(2) of the Act in respect of a person (“C”) where —
a
at the time the green deal plan at the property was entered into, C gave a confirmation under regulation 36 of the Framework Regulations in respect of the green deal plan;
b
C occupies the green deal property and before C entered into occupation of the property C was a prospective tenant or licensee and the requirements of section 12(2)(b) were satisfied in respect of C.
2
In paragraph (1)(a) , “green deal plan” has the meaning given in section 1 of the Act.
Gregory Barker
Minister of State
Department of Energy and Climate Change
27th June 2012 |
The School Governance (England) (Amendment) Regulations 2012
The Secretary of State for Education makes the following Regulations in exercise of the powers conferred by sections 19(2) and (3) and 20(2) of the Education Act 2002 .
Citation and commencement
1
These Regulations may be cited as the School Governance (England) (Amendment) Regulations 2012 and come into force on 17th March 2012.
Amendments to the School Governance (Constitution) (England) Regulations 2007
2
1
The School Governance (Constitution) (England) Regulations 2007 are amended as follows.
2
For regulation 5(1)(b) (staff governors), substitute —
b
a person who —
i
is elected in accordance with Schedule 2 as a governor by persons who are employed by either the governing body or the local authority under a contract of employment providing for those persons to work at the school; and
ii
is employed by either the governing body or the local authority under a contract of employment providing for that person to work at the school at the time of the election referred to in sub-paragraph (i).
.
3
In regulation 8(1) (foundation governors) —
a
after sub-paragraph (a) omit “and”; and
b
after sub-paragraph (b) add —
and,
c
would, in the opinion of the person entitled to appoint the foundation governor, be capable of achieving the purposes for which they would be appointed as a foundation governor;
.
4
After regulation 9(2) (partnership governors) add —
3
The disqualification criterion in paragraph (2)(d) does not apply in the case of a person who is employed by a local authority in England under a contract of employment providing for the person to work wholly at a school or schools maintained by the local authority .
.
5
In regulation 16 (qualifying foundation schools) after paragraph (1) insert —
1A
A parent of a former registered pupil at the school may only be appointed in accordance with paragraph (1)(f) if, in the opinion of the person entitled to appoint foundation governors, it is not reasonably practicable to appoint sufficient persons for the purposes of that provision who —
a
are parents of registered pupils at the school, and
b
would be capable of achieving the purposes for which they would be appointed as a foundation governor.
1B
A parent of a child under or of compulsory school age may only be appointed in accordance with paragraph (1)(f) if, in the opinion of the person entitled to appoint foundation governors, it is not reasonably practicable to appoint sufficient persons for the purposes of that provision who —
a
are parents of registered pupils at the school or of former registered pupils at the school, and
b
would be capable of achieving the purposes for which they would be appointed as a foundation governor.
.
6
In regulation 18 (voluntary aided schools) after paragraph (1) insert —
1A
A parent of a former registered pupil at the school may only be appointed in accordance with paragraph (1)(e) if, in the opinion of the person entitled to appoint foundation governors, it is not reasonably practicable to appoint sufficient persons for the purposes of that provision who —
a
are parents of registered pupils at the school, and
b
would be capable of achieving the purposes for which they would be appointed as a foundation governor.
1B
A parent of a child under or of compulsory school age may only be appointed in accordance with paragraph (1)(e) if, in the opinion of the person entitled to appoint foundation governors, it is not reasonably practicable to appoint sufficient persons for the purposes of that provision who —
a
are parents of registered pupils at the school or of former registered pupils at the school, and
b
would be capable of achieving the purposes for which they would be appointed as a foundation governor.
.
7
In regulation 22(3) (term of office) —
a
after “additional governor” omit “,” and insert “or”; and
b
after “foundation governor” omit “or interim executive member”.
8
In regulation 28 (interpretation), for the definition of “appropriate religious body” substitute —
“appropriate religious body”, in relation to a school designated under section 69(3) of SSFA 1998 as having a religious character that is not a Church of England school or a Roman Catholic Church school, means the body or person, if any, representing the specified religion or religious denomination as is prescribed in regulations made under section 88F(3)(e) of SSFA 1998.
.
9
In Schedule 6 (qualifications and disqualifications) —
a
omit paragraph 4; and
b
for paragraph 6(b) substitute —
b
he is the subject of a bankruptcy restrictions order, an interim bankruptcy restrictions order, a debt relief restrictions order or an interim debt relief restrictions order
.
Amendments to the School Governance (Federations) (England) Regulations 2007
3
1
The School Governance (Federations) (England) Regulations 2007 are amended as follows.
2
For regulation 14(1)(b) (staff governors) substitute —
b
a person who —
i
is elected in accordance with Schedule 3 as a governor by persons who are employed by either the governing body of the federation or the local authority under a contract of employment providing for those persons to work at the federation or at a federated school; and
ii
is employed by either the governing body of the federation or the local authority under a contract of employment providing for that person to work at the federation or at a federated school at the time of the election referred to in sub-paragraph (i).
3
In regulation 17(1) (foundation governors) —
a
after sub-paragraph (a)(i) omit “and”; and
b
after sub-paragraph (a)(ii) add —
and,
iii
would, in the opinion of the person entitled to appoint the foundation governor, be capable of achieving the purposes for which they would be appointed as a foundation governor.
4
After regulation 18(2) (partnership governors) add —
3
The disqualification criterion in paragraph (2)(d) does not apply in the case of a person who is employed by a local authority in England under a contract of employment providing for the person to work wholly at a school or schools maintained by the local authority .
Jonathan Hill
Parliamentary Under Secretary of State
Department for Education
17th February 2012 |
The Building (Repeal of Provisions of Local Acts) Regulations 2012
The Secretary of State makes the following Regulations in exercise of the powers conferred by section 1(1) of, and paragraphs 10 and 11(1)(c) of Schedule 1 to, the Building Act 1984 , having consulted, in accordance with section 14(4) of that Act , the Building Regulations Advisory Committee for England , such persons or bodies as appear to him to be representative of local authorities and such other bodies as appear to him to be representative of the interests concerned, and being satisfied that certain provisions of local Acts are unnecessary in consequence of building regulations:
Citation, commencement and application
1
1
These Regulations may be cited as the Building (Repeal of Provisions of Local Acts) Regulations 2012 and shall come into force on 9th January 2013.
2
These Regulations apply in relation to England only.
Repeal of certain provisions of local Acts
2
Subject to regulation 4, the following local Acts are repealed to the extent specified in the third column.
London Building Acts (Amendment) Act 1939 1939 c. xcvii Sections 20 and 21 ;
in section 148(2) paragraph (ix) in the table of offences;
in section 148(3) paragraph (iv) in the table of offences;
in section 151(3) and (4) the words “or in section 20 (Precautions against fire in certain buildings and cubical extent of buildings) or section 21 (Uniting of buildings)”.
County of Merseyside Act 1980 1980 c. x Sections 50, 52, 53 and 55(2)(b);
in section 132(2) the words “In section 50 (Parking places: safety requirements), subsection (6); In section 52 (Fire precautions in high buildings), subsection (5); In section 53 (Fire precautions in large storage buildings), subsection (6);”;
in section 139(2) the words “Section 53 (Fire precautions in large storage buildings);”;
section 140;
in section 142(2) the words “Section 53 (Fire precautions in large storage buildings), so far as it relates to conditions with respect to the matters specified in subsection (3)( d ) of that section;”.
West Midlands County Council Act 1980 1980 c. xi Section 44;
in section 112(2) the words “In section 44 (Parking places: safety requirements), subsection (6);”;
in section 117(2) the words “Section 44 (Parking places: safety requirements);”.
Cheshire County Council Act 1980 1980 c. xiii Sections 48 and 55;
in section 103(2) the words “in section 48 (Parking places: safety requirements), subsection (6); in section 55 (Further precautions against fire in high buildings), subsection (4);”;
in section 110(2) the words “Section 48 (Parking places: safety requirements);”.
Isle of Wight Act 1980 1980 c. xv Section 30;
in section 58(2) the words “In section 30 (Parking places: safety requirements), subsection (6);”;
in section 64(2) the words “Section 30 (Parking places: safety requirements);”.
South Yorkshire Act 1980 1980 c. xxxvii Sections 53 and 57;
in section 100(2) the words “In section 53 (Parking places: safety requirements), subsection (6);”.
Greater Manchester Act 1981 1981 c. ix Sections 61, 63(2)(b), 64 and 65;
in section 172(2) the words “In section 61 (Parking places: safety requirements), subsection (6); In section 64 (Fire precautions in high buildings), subsection (5); In section 65 (Fire precautions in large storage buildings), subsection (6);”;
in section 181(2) the words “Section 65 (Fire safety precautions in large storage buildings), so far as it relates to conditions with respect to the matters specified in subsection (3)(d) of that section;”.
County of Kent Act 1981 1981 c. xviii Section 51;
in section 123(2) the words “In section 51 (Parking places: safety requirements), subsection (6);”;
in section 129(2) the words “Section 51 (Parking places: safety requirements);”.
Derbyshire Act 1981 1981 c. xxxiv Section 28;
in section 57(2) the words “In section 28 (Parking places: safety requirements), subsection (6);”;
in section 63(2) the words “Section 28 (Parking places: safety requirements);”.
Humberside Act 1982 1982 c. iii Sections 12 and 88;
in section 95(2) the words “Section 12 (Parking places: safety requirements);”.
County of Avon Act 1982 1982 c. iv Sections 7 and 51;
in section 58(2) the words “Section 7 (Parking places: safety requirements);”;
in section 59(2) the words “Section 7 (Parking places: safety requirements);”.
Cumbria Act 1982 1982 c. xv Section 23;
in section 59(2) the words “In section 23 (Parking places: safety requirements), subsections (6) and (9);”;
in section 63(2) the words “Section 23 (Parking places: safety requirements);”;
in section 64(2) the words “Section 23 (Parking places: safety requirements);”.
Hampshire Act 1983 1983 c. v Sections 11 and 13;
Section 76;
in section 82(2) the words “Section 11 (Parking places: safety requirements); Section 13 (Fire precautions in certain large buildings);”;
in section 84(2) the words “Section 13 (Fire precautions in certain large buildings);”.
Staffordshire Act 1983 1983 c. xviii Section 25;
in section 66(2) the words “In section 25 (Parking places: safety requirements), subsection (6);”;
in section 71(2) the words “section 25 (Parking places: safety requirements);”.
County of Lancashire Act 1984 1984 c. xxi Section 34. Surrey Act 1985 1985 c. iii Section 18, 19, 27 and 33(2). Bournemouth Borough Council Act 1985 1985 c. v Sections 16, 17, 18 and 60;
in section 68(2) the words “Section 17 (Fire precautions in certain large buildings); Section 18 (Fire precautions in high buildings);”.
Leicestershire Act 1985 1985 c. xvii Sections 49, 52 and 53;
in section 98(2) the words “; In section 49 (Parking places: safety requirements), subsection (6); In section 52 (Fire precautions in high buildings), subsection (5); In section 53 (Fire precautions in large storage buildings), subsection (6)”;
in section 109(3) the words “; Section 52 (Fire precautions in high buildings); Section 53 (Fire precautions in large storage buildings)”.
Hereford City Council Act 1985 1985 c. xlii Sections 17 and 36;
in section 42(2) the words “; Section 17 (Parking places: safety requirements)”.
Worcester City Council Act 1985 1985 c. xliii Sections 46 and 56;
in section 61(2) the words “; Section 46 (Parking places: safety requirements)”.
Poole Borough Council Act 1986 1986 c. i Sections 10, 14 and 15;
in section 32(2) the words “In section 10 (Parking places: safety requirements), subsection (5); In section 14 (Fire precautions in certain large buildings), subsection (6); In section 15 (Fire precautions in high buildings), subsection (5)”;
in section 39(2) the words “; Section 14 (Fire precautions in certain large buildings); Section 15 (Fire precautions in high buildings)”.
Berkshire Act 1986 1986 c. ii Sections 36, 37 and 38;
in section 67(2) the words “In section 36 (Parking places: safety requirements), subsection (5); In section 37 (Fire precautions in large storage buildings), subsection (6); In section 38 (Fire precautions in high buildings), subsection (5);
in section 75(2) the words “; Section 37 (Fire precautions in large storage buildings); Section 38 (Fire precautions in high buildings)”.
County of Cleveland Act 1987 1987 c. ix Section 6.
Existing conditions
3
Subject to regulation 4, any condition imposed before the date on which these Regulations come into force under a provision repealed by regulation 2 shall cease to have effect from that date, and no proceedings or other action may be begun or continued on or after that date to enforce such condition or conditions.
Saving
4
1
Where any premises or facilities, equipment or devices are provided in respect of premises in connection with general fire precautions to safeguard the safety of relevant persons pursuant to a provision repealed by regulation 2, the responsible person must comply with article 17 of the Regulatory Reform (Fire Safety) Order 2005 (“the 2005 Order ”) as if a reference to enactments repealed or revoked by the 2005 Order included a reference to enactments repealed by regulation 2.
2
“General fire precautions”, “relevant persons” and “responsible person” shall have the same meanings as in the 2005 Order.
Signed by the authority of the Secretary of State for Communities and Local Government
Don Foster
Parliamentary Under Secretary of State
Department for Communities and Local Government
17th December 2012 |