text:
PART 1
INTRODUCTORY
Citation, commencement and application
1
1
These Regulations may be cited as the Adoption Support Services Regulations 2005 and shall come into force on 30th December 2005.
2
These Regulations apply to England only.
Interpretation
2
1
In these Regulations —
“ the Act ” means the Adoption and Children Act 2002;
“adoptive child” means —
a child who has been adopted or in respect of whom a person has given notice of his intention to adopt under section 44 of the Act; or
a child whom an adoption agency has matched with a prospective adopter or placed for adoption;
“adoptive parent” means —
a person who has adopted a child or has given notice under section 44 of the Act of his intention to adopt a child; or
a person with whom an adoption agency has matched a child or has placed a child for adoption;
“agency adoptive child” means —
a child who has been adopted after having been placed for adoption by an adoption agency; or
a child whom an adoption agency has matched with a prospective adopter or placed for adoption;
a child whose adoptive parent has been a local authority foster parent in relation to him (unless the local authority oppose the adoption);
“child” means (subject to paragraph (2)) a person who has not attained the age of 18;
“income support” means income support under Part VII of the Social Security Contributions and Benefits Act 1992 ;
“jobseeker’s allowance” has the same meaning as in the Jobseekers Act 1995 ;
“local authority foster parent” has the same meaning as in the Children Act 1989 ;
“local education authority” has the same meaning as in the Education Act 1996 ;
“Local Health Board” means a Local Health Board established by the National Assembly for Wales under section 16BA of the National Health Service Act 1977 ;
“Primary Care Trust” means a Primary Care Trust established under section 16A of the National Health Service Act 1977;
“related person” in relation to an adoptive child means —
a relative within the meaning of section 144(1) of the Act; or
any person with whom the adoptive child has a relationship which appears to the local authority to be beneficial to the welfare of the child having regard to the matters referred to in sub-paragraphs (i) to (iii) of section 1(4)(f) of the Act;
“tax credit” has the same meaning as in the Tax Credits Act 2002 ;
2
In any case where —
a
a person has attained the age of 18 years and is in full-time education or training; and
b
immediately before he attained the age of 18 years —
i
he was an adoptive child; and
ii
financial support was payable in relation to him,
the definition of “child” shall, for the purposes of the continued provision of financial support and any review of financial support, have effect in relation to him as if he had not attained the age of 18 years.
3
For the purposes of these Regulations a child has been matched with a prospective adopter if an adoption agency is considering placing the child for adoption with that person.
PART 2
PROVISION OF ADOPTION SUPPORT SERVICES
Prescribed services
3
1
For the purposes of section 2(6)(b) of the Act the following services are prescribed as adoption support services (in addition to counselling, advice and information) —
a
financial support payable under Part 3;
b
services to enable groups of adoptive children, adoptive parents and natural parents or former guardians of an adoptive child to discuss matters relating to adoption;
c
assistance, including mediation services, in relation to arrangements for contact between an adoptive child and a natural parent, natural sibling, former guardian or a related person of the adoptive child;
d
services in relation to the therapeutic needs of an adoptive child;
e
assistance for the purpose of ensuring the continuance of the relationship between an adoptive child and his adoptive parent, including —
i
training for adoptive parents for the purpose of meeting any special needs of the child; and
ii
subject to paragraph (4), respite care;
f
assistance where disruption of an adoptive placement, or of an adoption arrangement following the making of an adoption order, has occurred or is in danger of occurring, including —
i
making arrangements for the provision of mediation services; and
ii
organising and running meetings to discuss disruptions in such placements or arrangements.
2
The services prescribed in paragraph (1) do not include any services that might be provided in the case of an adoption of a child by his natural parent or the partner of his natural parent.
3
The services prescribed in paragraph (1)(b) to (f) may include giving assistance in cash.
4
For the purposes of paragraph (1)(e)(ii) respite care that consists of the provision of accommodation must be accommodation provided by or on behalf of a local authority under section 23 of the Children Act 1989 (accommodation of looked after children) or by a voluntary organisation under section 59 of that Act.
Persons to whom adoption support services must be extended
4
1
This regulation prescribes, for the purposes of section 3(3)(a) of the Act, the description of persons to whom the provision of adoption support services must be extended.
2
Counselling, advice and information must extend to —
a
children who may be adopted, their parents and guardians;
b
persons wishing to adopt a child;
c
adopted persons, their parents, natural parents and former guardians;
d
children of adoptive parents (whether or not adopted);
e
children who are natural siblings (whether full or half-blood) of an adoptive child;
f
related persons in relation to adoptive children.
3
Financial support under Part 3 must extend to an adoptive parent of an agency adoptive child.
4
The services mentioned in regulation 3(1)(b) (services to enable discussion) must extend to —
a
an adoptive parent of an agency adoptive child;
b
an agency adoptive child;
c
a natural parent or former guardian of an agency adoptive child.
5
The services mentioned in regulation 3(1)(c) (contact) must extend to —
a
an adoptive parent of an agency adoptive child;
b
an agency adoptive child;
c
a child who is the natural sibling (whether full or half-blood) of an adoptive child;
d
a natural parent, former guardian or related person in relation to an agency adoptive child.
6
The services mentioned in regulation 3(1)(d) (therapeutic services) must extend to —
a
an agency adoptive child;
b
an adoptive child in circumstances where the restrictions in section 83 of the Act (restrictions on bringing children in) apply;
c
an adoptive child in the case of a Convention adoption .
7
The services mentioned in regulation 3(1)(e) to (f) (services to ensure continuation of a relationship and services to assist in cases of disruption) must extend to —
a
a child mentioned in paragraph (6);
b
an adoptive parent of such a child;
c
a child of such an adoptive parent (whether or not adopted).
Arrangement for securing provision of services
5
1
The following persons are prescribed for the purposes of section 3(4)(b) of the Act (persons other than registered adoption societies who may provide the requisite facilities) in relation to the provision of adoption support services —
a
another local authority;
b
a registered adoption support agency;
c
a Local Health Board or Primary Care Trust; and
d
a local education authority.
2
In paragraph (1) “registered adoption support agency” means an adoption support agency in respect of which a person is registered under Part 2 of the Care Standards Act 2000 .
Adoption support services adviser
6
1
The local authority must appoint a person (an “adoption support services adviser”) to carry out the functions specified in paragraph (2).
2
The functions of the adoption support services adviser are to —
a
give advice and information to persons who may be affected by the adoption or proposed adoption of a child, including as to —
i
services that may be appropriate to those persons; and
ii
how those services may be made available to them;
b
give advice, information and assistance to the local authority which appointed him, including as to —
i
the assessment of needs for adoption support services in accordance with Part 4;
ii
the availability of adoption support services;
iii
the preparation of plans required under section 4(5) of the Act; and
c
consult with, and give advice, information and assistance to, another local authority where appropriate.
3
The local authority must not appoint a person as an adoption support services adviser unless they are satisfied that his knowledge and experience of —
a
the process of adoption; and
b
the effect of the adoption of a child on persons likely to be affected by the adoption, is sufficient for the purposes of the work that he is to perform.
Services for persons outside the area
7
1
Section 4 of the Act applies to a local authority in respect of the following persons who are outside the authority’s area —
a
an agency adoptive child whom the authority has placed for adoption or who has been adopted after being placed for adoption by the authority;
b
an adoptive parent of such a child;
c
a child of such an adoptive parent (whether or not adopted).
2
But section 4 ceases to apply at the end of the period of three years from the date of the adoption order except in relation to any financial support provided by the local authority where the decision to provide that support was made before the adoption.
3
Nothing in this regulation prevents a local authority from providing adoption support services to persons outside their area where they consider it appropriate to do so.
PART 3
PROVISION OF FINANCIAL SUPPORT
Circumstances in which financial support is payable
8
1
Financial support is payable under this Part to an adoptive parent for the purpose of supporting the placement of the adoptive child or the continuation of adoption arrangements after an adoption order is made.
2
Such support is payable only in the following circumstances —
a
where it is necessary to ensure that the adoptive parent can look after the child;
b
where the child needs special care which requires greater expenditure of resources by reason of illness, disability, emotional or behavioural difficulties or the continuing consequences of past abuse or neglect;
c
where it is necessary for the local authority to make any special arrangements to facilitate the placement or the adoption by reason of —
i
the age or ethnic origin of the child; or
ii
the desirability of the child being placed with the same adoptive parent as his brother or sister (whether of full or half-blood) or with a child with whom he previously shared a home;
d
where such support is to meet recurring costs in respect of travel for the purpose of visits between the child and a related person;
e
where the local authority consider it appropriate to make a contribution to meet the following kinds of expenditure —
i
expenditure on legal costs, including fees payable to a court in relation to an adoption;
ii
expenditure for the purpose of introducing an adoptive child to his adoptive parent;
iii
expenditure necessary for the purpose of accommodating and maintaining the child, including the provision of furniture and domestic equipment, alterations to and adaptations of the home, provision of means of transport and provision of clothing, toys and other items necessary for the purpose of looking after the child.
Remuneration for former foster parents
9
1
Financial support under this Part may include an element of remuneration but only where the decision to include it is taken before the adoption order is made and the local authority consider it to be necessary to facilitate the adoption in a case where —
a
the adoptive parent has been a local authority foster parent in respect of the child; and
b
an element of remuneration was included in the payments made by the local authority to the adoptive parent in relation to his fostering the child.
2
But that element of remuneration ceases to be payable at the end of the period of two years from the adoption order unless the local authority consider its continuation to be necessary having regard to the exceptional needs of the child or any other exceptional circumstances.
Payment of financial support
10
Financial support under this Part may be paid —
a
periodically, if it is provided to meet a need which is likely to give rise to recurring expenditure; or
b
in any other case, by a single payment or, if the local authority and adoptive parent agree, by instalments.
Cessation of financial support
11
Financial support ceases to be payable to an adoptive parent if —
a
the child ceases to have a home with him;
b
the child ceases full-time education or training and commences employment;
c
the child qualifies for income support or jobseeker’s allowance in his own right; or
d
the child attains the age of 18 unless he continues in full-time education or training, when it may continue until the end of the course or training he is then undertaking.
Conditions
12
1
Where financial support is to be paid periodically, it is not payable until the adoptive parent or, in the case of adoption by a couple, each adoptive parent, has agreed to the following conditions —
a
that he will inform the local authority immediately if —
i
he changes his address;
ii
the child dies;
iii
any of the changes mentioned in regulation 11 (cessation of financial support) occurs; or
iv
there is a change in his financial circumstances or the financial needs or resources of the child which may affect the amount of financial support payable to him,
and, where the information is given orally, that he will confirm it in writing within seven days;
b
that he will complete and supply the local authority with an annual statement as to the following matters —
i
his financial circumstances;
ii
the financial needs and resources of the child;
iii
his address and whether the child still has a home with him.
2
The local authority may provide financial support subject to any other conditions they consider appropriate, including the timescale within which and purposes for which any payment of financial support should be utilised.
3
Subject to paragraph (4), where any condition imposed in accordance with this regulation is not complied with, the local authority may —
a
suspend or terminate payment of financial support; and
b
seek to recover all or part of the financial support they have paid.
4
Where the condition not complied with is a failure to provide an annual statement in accordance with an agreement referred to in paragraph (1), the local authority shall not take any steps under paragraph (3) until —
a
they have sent to the person who entered into the agreement a written reminder of the need to provide an annual statement; and
b
28 days have expired since the date on which that notice was sent.
PART 4
ASSESSMENTS AND PLANS
Request for assessment
13
1
The following persons are prescribed for the purposes of section 4(1)(b) of the Act (persons at whose request an assessment must be carried out) —
a
a child of an adoptive parent (whether or not adopted);
b
a child who is the natural sibling (whether full or half-blood) of an adoptive child;
c
a related person in relation to an adoptive child.
2
Where the request of a person falling within section 4(1)(a) of the Act or paragraph (1) for an assessment relates to a particular adoption support service, or it appears to the local authority that the person’s needs for adoption support services may be adequately assessed by reference to a particular adoption support service, the local authority may carry out the assessment by reference only to that service.
3
In assessing a person’s needs for adoption support services the local authority are not required to assess the person’s need for a service if he is not within the description of persons to whom provision of the service must be extended by virtue of regulation 4.
Procedure for assessment
14
1
Where the local authority carry out an assessment of a person’s needs for adoption support services they must have regard to such of the following considerations as are relevant to the assessment —
a
the needs of the person being assessed and how these might be met;
b
the needs of the adoptive family and how these might be met;
c
the needs, including developmental needs, of the adoptive child and how these might be met;
d
the parenting capacity of the adoptive parent;
e
wider family and environmental factors;
f
in the case of a child who is, or was, placed for adoption or matched for adoption, the circumstances that led to the child being so placed or matched; and
g
any previous assessment of needs for adoption support services undertaken in relation to the person in question.
2
In paragraph (1) “adoptive family” means the family consisting of the adoptive child, the adoptive parents and any other child of the adoptive parents (whether or not adopted).
3
The local authority must —
a
where they consider it appropriate to do so, interview the person and, where the person is an adoptive child, his adoptive parents; and
b
prepare a written report of the assessment.
4
Where it appears to the local authority that the person may have a need for services from a Primary Care Trust, a Local Health Board or a local education authority, the local authority shall, as part of the assessment, consult that Primary Care Trust, Local Health Board or local education authority.
Assessment for financial support
15
1
This regulation applies where the local authority carry out an assessment of a person’s needs for financial support.
2
In determining the amount of financial support, the local authority must take account of any other grant, benefit, allowance or resource which is available to the person in respect of his needs as a result of the adoption of the child.
3
Subject to paragraphs (4) and (5) the local authority must also take account of the following considerations —
a
the person’s financial resources, including any tax credit or benefit, which would be available to him if the child lived with him;
b
the amount required by the person in respect of his reasonable outgoings and commitments (excluding outgoings in respect of the child);
c
the financial needs and resources of the child.
4
The local authority must disregard the considerations in paragraph (3) where they are considering providing financial support in respect of —
a
legal costs, including fees payable to a court, where an adoption order is applied for in respect of an agency adoptive child; or
b
expenditure for the purpose of introducing an agency adoptive child to his adoptive parents.
5
The local authority may disregard any of the considerations in paragraph (3) —
a
where they are considering providing financial support in respect of —
i
initial costs of accommodating an agency adoptive child;
ii
recurring costs in respect of travel for the purpose of visits between the child and a related person; or
iii
any special arrangements or special care referred to in regulation 8(2)(b) or (c) in relation to an agency adoptive child; or
b
where they are considering including an element of remuneration under regulation 9.
Plan
16
1
This regulation applies in relation to the requirement in section 4(5) of the Act for the local authority to prepare a plan in accordance with which adoption support services are to be provided.
2
The local authority must prepare a plan if they propose to provide adoption support services to a person on more than one occasion and the services are not limited to the provision of advice or information.
3
Where it appears to the local authority that the person may have a need for services from a Primary Care Trust, a Local Health Board or a local education authority, they must consult that Primary Care Trust, Local Health Board or local education authority before preparing the plan.
4
The local authority must nominate a person to monitor the provision of the services in accordance with the plan.
Notice of proposal to provide adoption support services
17
1
Before making any decision under section 4(4) of the Act as to whether to provide adoption support services, the local authority must allow the person an opportunity to make representations in accordance with this regulation.
2
The local authority must first give the person notice of the proposed decision and the time allowed for making representations.
3
The notice must contain the following information —
a
a statement as to the person’s needs for adoption support services;
b
where the assessment relates to his need for financial support, the basis upon which financial support is determined;
c
whether the local authority propose to provide him with adoption support services;
d
the services (if any) that are proposed to be provided to him;
e
if financial support is to be paid to him, the proposed amount that would be payable; and
f
any proposed conditions under regulation 12(2).
4
In a case where the local authority propose to provide adoption support services and are required to prepare a plan under section 4(5) of the Act, the notice must be accompanied by a draft of that plan.
5
The local authority shall not make a decision until —
a
the person has made representations to the local authority or notified the local authority that he is satisfied with the proposed decision and, where applicable, the draft plan; or
b
the period of time for making representations has expired.
Notification of decision as to adoption support services
18
1
After making their decision under section 4(4) of the Act as to whether to provide adoption support services to a person, the local authority must give the person notice of that decision, including the reasons for it.
2
Where the local authority are required to prepare a plan under section 4(5) of the Act, the notice must include details of that plan and the person nominated under regulation 16(4).
3
If the local authority decide that financial support is to be provided, notice given under paragraph (1) must include the following information —
a
the method of the determination of the amount of financial support;
b
where financial support is to be paid in instalments or periodically —
i
the amount of financial support;
ii
the frequency with which the payment will be made;
iii
the period for which financial support is to be paid;
iv
when the first payment of financial support is to be made.
c
where financial support is to be paid as a single payment, when the payment is to be made;
d
where financial support is to be paid subject to any conditions imposed in accordance with regulation 12, those conditions, the date (if any) by which the conditions are to be met and the consequences of failing to meet the conditions;
e
the arrangements and procedure for review, variation and termination of financial support;
f
the responsibilities of —
i
the local authority under Part 5 (reviews); and
ii
the adoptive parent pursuant to any agreement mentioned in regulation 12.
PART 5
REVIEWS
Reviews: general procedure
19
1
This regulation applies where the local authority provide adoption support services for a person other than financial support payable periodically.
2
The local authority must review the provision of such services —
a
if any change in the person’s circumstances which may affect the provision of adoption support services comes to their notice;
b
at such stage in the implementation of the plan as they consider appropriate;
c
in any event, at least annually.
3
Regulations 14 and 15 apply in relation to a review under this regulation as they apply in relation to an assessment under Part 4.
4
If the local authority propose to vary or terminate the provision of adoption support services to any person, before making any decision as a result of the review, they must give the person an opportunity to make representations and for that purpose they must give him notice of the proposed decision and the time allowed for making representations.
5
The notice must contain the information mentioned in regulation 17(3) and, if the local authority propose to revise the plan, a draft of the revised plan.
6
The local authority shall, having regard to the review and after considering any representations received within the period specified in the notice —
a
decide whether to vary or terminate the provision of adoption support services for the person; and
b
where appropriate, revise the plan.
7
The local authority must give the person notice of their decision (including the reasons for it) and, if applicable, details of the revised plan.
Review of financial support payable periodically
20
1
This regulation applies where the local authority provide financial support payable periodically.
2
The local authority shall review the financial support —
a
annually, on receipt of the statement from the adoptive parent mentioned in regulation 12;
b
if any relevant change of circumstances or any breach of a condition mentioned in regulation 12 comes to their notice;
c
at any stage in the implementation of the plan that they consider appropriate.
3
In paragraph (2) a relevant change of circumstances is any of the changes that the adoptive parent has agreed to notify under regulation 12.
4
Regulations 14 and 15 apply in relation to a review under this regulation as they apply in relation to an assessment under Part 4.
5
If the local authority propose, as a result of the review, to reduce or terminate financial support or revise the plan, before making that decision the local authority must give the person an opportunity to make representations and for that purpose they must give the person notice of the proposed decision and the time allowed for making representations.
6
But paragraph (5) does not prevent the local authority from suspending financial support pending that decision.
7
The notice must contain the information mentioned in regulation 17(3) and, if applicable, a draft of the revised plan.
8
The local authority must, having regard to the review, and after considering any representations received within the period specified in the notice —
a
decide whether to vary or terminate payment of the financial support or whether to seek to recover all or part of any financial support that has been paid; and
b
where appropriate, revise the plan.
9
The local authority must give the person notice of their decision including the reasons for it and, if applicable, the revised plan.
PART 6
MISCELLANEOUS
Urgent cases
21
Where any requirement applicable to the local authority under these Regulations in relation to carrying out an assessment, preparing a plan or giving notice would delay the provision of a service in a case of urgency, that requirement does not apply.
Notices
22
1
Any notice required to be given under these Regulations must be given in writing.
2
If the person to whom notice is to be given is a child and —
a
it appears to the local authority that the child is not of sufficient age and understanding for it to be appropriate to give him such notice; or
b
in all the circumstances it is not appropriate to give him such notice,
the notice must be given to his adoptive parent or to the adult that the local authority consider most appropriate.
Recovery of expenses between local authorities
23
1
Subject to paragraph (2), where a local authority (“the recovering authority”) provide adoption support services to any person following a request under section 4(10) of the Act from another local authority (“the paying authority”), the recovering authority may recover the expenses of providing those services from the paying authority.
2
Paragraph (1) shall not apply where —
a
the recovering authority are, by virtue of regulation 7, a local authority to which section 4 of the Act applies in respect of the person referred to in paragraph (1); or
b
the service provided by the recovering authority is advice or information under section 2(6)(a) of the Act.
Revocations and transitional provision
24
1
Subject to paragraph (3), the Adoption Allowance Regulations 1991 and the Adoption Support Services (Local Authorities) (England) Regulations 2003 (“the 2003 Regulations ”) shall be revoked.
2
This paragraph applies where immediately before the date on which these Regulations come into force —
a
an assessment had been requested, was being prepared or was in place;
b
a plan was being prepared or was in place;
c
a review was being arranged or was underway; or
d
an adoption support service was being provided,
under the 2003 Regulations.
3
Where paragraph (2) applies, the assessment, plan, review or adoption support service referred to in that paragraph shall, from the date these Regulations come into force, be treated as an assessment, plan, review or adoption support service under these Regulations.
Filkin
Parliamentary Under-Secretary of State
Department for Education and Skills
11th March 2005


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
These Regulations may be cited as the Offshore Installations (Safety Case) Regulations 2005 and shall come into force on 6th April 2006.
Interpretation
2
1
In these Regulations —
“the 1992 Regulations ” means the Offshore Installations (Safety Case) Regulations 1992 ;
“current safety case” means a safety case in respect of an installation which has been accepted by the Executive pursuant to these Regulations or, subject to regulation 27, the 1992 Regulations and includes any revision thereto which —
may take effect without the acceptance of the Executive; or
has been accepted by the Executive;
“dismantling” means the dismantling or removal of the main and secondary structure of a fixed installation at the place at which it was operated, and “dismantled” shall be construed accordingly;
“diving bell” means a compression chamber which is capable of being manned and is used or designed for use under the surface of water in supporting human life, being a chamber in which any occupant is or may be subject to a pressure of more than 300 millibars above atmospheric pressure during normal operations;
“duty holder” means —
in relation to a production installation, the operator; and
in relation to a non-production installation, the owner;
“the Executive” means the Health and Safety Executive;
“field development programme” means the support document for development and production authorisations to be submitted to the Department of Trade and Industry pursuant to the Guidance Notes on Procedures for Regulating Offshore Oil and Gas Field Developments, as published on the Department of Trade and Industry’s website, and revised or reissued from time to time ;
“fixed installation” means an installation which cannot be moved from place to place without major dismantling or modification, whether or not it has its own motive power;
“installation” means an offshore installation within the meaning of regulation 3 of the Management Regulations ;
“licensee” means any person to whom a licence to search and bore for and get petroleum in respect of any area within relevant waters is granted pursuant to section 3 of the Petroleum Act 1998 ;
“major accident” means —
a fire, explosion or the release of a dangerous substance involving death or serious personal injury to persons on the installation or engaged in an activity on or in connection with it;
an event involving major damage to the structure of the installation or plant affixed thereto or any loss in the stability of the installation;
the collision of a helicopter with the installation;
the failure of life support systems for diving operations in connection with the installation, the detachment of a diving bell used for such operations or the trapping of a diver in a diving bell or other subsea chamber used for such operations; or
any other event arising from a work activity involving death or serious personal injury to five or more persons on the installation or engaged in an activity in connection with it;
“management system” means the organisation and arrangements established by a person for managing his undertaking;
“the Management Regulations” means the Offshore Installations and Pipeline Works (Management and Administration) Regulations 1995 ;
“non-production installation” means an installation other than a production installation;
“notified” means notified in writing, and related expressions shall be construed accordingly;
“operator”, in relation to a pipeline, means —
the person who is to have or (once fluid or any mixture of fluids is conveyed) has control over the conveyance of fluid or any mixture of fluids in the pipeline;
until that person is known (should there be a case where at a material time he is not yet known) the person who is to commission or (where commissioning has started) commissions the design and construction of the pipeline; or
when a pipeline is no longer used or is not for the time being used, the person last having control over the conveyance of fluid or any mixture of fluids in it;
“operator”, in relation to a production installation, means —
the person appointed by the licensee to manage and control directly or by any other person the execution of the main functions of a production installation; or
the licensee, where —
it is not clear to the Executive that one person has been appointed to perform the functions described in paragraph (a); or
in the opinion of the Executive, any person appointed to perform the functions described in paragraph (a) is incapable of performing those functions satisfactorily;
“owner” means the person who controls the operation of a non-production installation;
“petroleum” —
includes any mineral oil or relative hydrocarbon and natural gas, whether or not existing in its natural condition in strata; and
does not include coal or bituminous shales or other stratified deposits from which oil can be extracted by destructive distillation;
“the PFEER Regulations ” means the Offshore Installations (Prevention of Fire and Explosion, and Emergency Response) Regulations 1995 ;
“pipeline” shall be construed in accordance with regulation 3 of the Pipelines Safety Regulations 1996 ;
“production installation” means an installation which —
extracts petroleum from beneath the sea-bed by means of a well;
stores gas in or under the shore or bed of relevant waters and recovers gas so stored; or
is used for the conveyance of petroleum by means of a pipe,
and —
includes a —
non-production installation converted for use as a production installation for so long as it is so converted;
production installation which has ceased production for so long as it is not converted to a non-production installation; and
production installation which has not come into use; and
does not include an installation which, for a period of no more than 90 days, extracts petroleum from beneath the sea-bed for the purposes of well testing;
“relevant statutory provisions” means the relevant statutory provisions (as defined in section 53(1) of the 1974 Act) which apply to or in relation to installations or activities on or in connection with them;
“relevant waters” means —
tidal waters and parts of the sea in or adjacent to Great Britain up to the seaward limits of the territorial sea; and
any area designated by order under section 1(7) of the Continental Shelf Act 1964 ;
“safety-critical elements” means such parts of an installation and such of its plant (including computer programmes), or any part thereof —
the failure of which could cause or contribute substantially to; or
a purpose of which is to prevent, or limit the effect of,
a major accident;
“specified plant” means the plant for an installation which is provided —
in compliance with regulations 11(1)(a), 13, 15 and 16 of the PFEER Regulations;
as means required to be provided by regulation 10 of the PFEER Regulations —
for detecting fire; and
for detecting and recording accumulations of flammable gases; and
pursuant to the measures required by regulation 12 of the PFEER Regulations to combat fire and explosion,
except for —
plant which is part of the safety-critical elements for that installation; and
aircraft or equipment to which regulation 18 of the PFEER Regulations applies.
“vessel” includes a hovercraft and any floating structure which is capable of being staffed;
“well” means —
a well made by drilling; and
a borehole drilled with a view to the extraction of petroleum through it or another well,
and shall be deemed to include any device on it for containing the pressure in it;
“well operation” means —
the drilling of a well, including the recommencement of drilling after a well has been completed, suspended or abandoned by plugging at the sea-bed; and
any operation in relation to a well during which there may be an accidental release of fluids from that well which could give rise to the risk of a major accident; and
“well operator”, in relation to a well or proposed well, means —
the person appointed by the licensee for that well or proposed well to execute the function of organising and supervising the drilling of that well and all operations to be carried out by means of that well; or
where no such person has been appointed, the licensee.
2
Any reference in these Regulations to a design notification, a relocation notification, a safety case or a notification of combined operations or well operations is a reference to a document containing the particulars specified in the Schedule referred to in the provision pursuant to which it is prepared and, for a safety case, regulation 12.
3
Any reference in these Regulations to operating an installation is a reference to using the installation for any of the purposes described in sub-paragraphs (a) to (d) of paragraph (1) of regulation 3 of the Management Regulations.
4
For the purposes of these Regulations, an installation other than a production installation, the operation of which has not been treated as having commenced in accordance with paragraph (2) of regulation 7, shall be treated as engaged in a combined operation with another such installation or other such installations if an activity carried out from, by means of or on, that installation is carried out temporarily for a purpose related to the other installation or installations and could affect the health or safety of persons on the other installation or installations, and the expression “combined operation” shall be construed accordingly.
5
Any reference in these Regulations to a verification scheme is a reference to a suitable written scheme for ensuring, by means described in paragraph (6), that the safety-critical elements and the specified plant —
a
are or, where they remain to be provided, will be suitable; and
b
where they have been provided, remain in good repair and condition.
6
The means referred to in paragraph (5) are —
a
examination, including testing where appropriate, of the safety-critical elements and the specified plant by independent and competent persons;
b
examination of any design, specification, certificate, CE marking or other document, marking or standard relating to those elements or that plant by such persons;
c
examination by such persons of work in progress;
d
the taking of appropriate action following reports by such persons;
e
the taking of other such steps as may be properly provided for pursuant to regulation 19 and Schedule 7; and
f
the taking of any steps incidental to the means described in sub-paragraphs (a) to (e) of this paragraph.
7
For the purposes of paragraph (6) and regulations 19 and 20, a person shall be regarded as independent only where —
a
his function will not involve the consideration by him of an aspect, of a thing liable to be examined, for which he bears or has borne such responsibility as might compromise his objectivity; and
b
he will be sufficiently independent of a management system, or of a part thereof, which bears or has borne any responsibility for an aspect of which he might consider, of a thing liable to be examined, to ensure that he will be objective in discharging his function.
8
Any reference in these Regulations to an activity in connection with an installation is a reference to any activity in connection with an installation, or any activity which is immediately preparatory thereto, whether carried on from the installation itself, in or from a vessel or in any other manner, other than —
a
transporting, towing or navigating the installation; and
b
any activity in or from a vessel which is ready to give assistance in the event of an emergency on or near the installation.
9
Where a duty holder is succeeded by a new duty holder, anything done in compliance with these Regulations by the duty holder in relation to an installation shall, for the purposes of these Regulations, be treated as having been done by his successor.
Communication and storage of information by electronic means
3
1
Except as provided in paragraph (5), where these Regulations require or allow a person to communicate information to another, whether in writing or otherwise, that person may communicate such information by electronic means.
2
Information communicated by electronic means shall not be treated as having been received by the recipient for the purposes of these Regulations unless the recipient —
a
has agreed to receive that information by electronic means by providing the sender with an address to which that information may be sent;
b
is able to read and print that information; and
c
is able to store that information in a form with which the sender cannot interfere.
3
In the absence of a clear indication to the contrary, information communicated by electronic means in accordance with, and for the purposes of, these Regulations shall be deemed —
a
to be accurately dated and timed;
b
to have been sent by the person from whom it purports to originate;
c
not to have been tampered with or otherwise modified; and
d
where relevant, to be intended to have legal effect.
4
Where these Regulations require any person to record, note or store information, it may be recorded, noted or stored on film or by electronic means if it —
a
can be reproduced (in the case of information recorded, noted or stored on film, at the place at which it is recorded, noted or stored) as a written copy; and
b
is reasonably secure from loss or unauthorised interference.
5
This regulation shall not apply to regulation 22(2).
Application
4
1
Subject to paragraph (2), these Regulations shall apply —
a
in Great Britain; and
b
outside Great Britain as sections 1 to 59 and 80 to 82 of the 1974 Act apply by virtue of articles 4(1) and (2)(b), 5 and 6 of the Health and Safety at Work etc. Act 1974 (Application outside Great Britain) Order 2001 .
2
These Regulations shall not apply to wells to which the Borehole Sites and Operations Regulations 1995 apply.
Duties of licensee
5
The licensee shall —
a
ensure that any operator appointed by him is capable of satisfactorily carrying out his functions and discharging his duties under the relevant statutory provisions; and
b
take all reasonable steps to ensure that any operator appointed by him carries out his functions and discharges his duties under the relevant statutory provisions.
Design and relocation notifications for production installation
6
1
The operator of a production installation which is to be established shall —
a
prepare a design notification containing the particulars specified in Schedule 1; and
b
send the design notification to the Executive,
at such time before the submission of a field development programme to the Department of Trade and Industry as will enable him to take account in the design of any matters relating to health and safety raised by the Executive within 3 months (or such shorter period as the Executive may specify) of that time.
2
The operator of a production installation which is to be moved to a new location (whether from outside relevant waters or not) and operated there shall —
a
prepare a relocation notification containing the particulars specified in Schedule 1 not contained in any current safety case for that installation; and
b
send the relocation notification to the Executive,
at such time before the submission of a field development programme to the Department of Trade and Industry as will enable him to take account of any matters relating to health and safety raised by the Executive within 3 months (or such shorter period as the Executive may specify) of that time.
3
Paragraph (1) shall only require the particulars in the design notification to describe the matters referred to in that paragraph to the extent that it is reasonable to expect the duty holder to address them at the time of sending the design notification to the Executive.
4
Where there is a material change in any of the particulars notified pursuant to —
a
paragraph (1) prior to the duty holder sending a safety case to the Executive in accordance with regulation 7(1)(b); or
b
paragraph (2) prior to the duty holder sending —
i
a safety case to the Executive in accordance with regulation 7(1)(b); or
ii
revisions to the current safety case to the Executive in accordance with regulation 14(2),
the duty holder shall notify the Executive of that change as soon as practicable.
Safety case for production installation
7
1
Subject to regulation 27, the operator of a production installation shall ensure that it is not operated unless —
a
he has prepared a safety case containing the particulars specified in regulation 12 and Schedule 2;
b
he has sent the safety case to the Executive at least 6 months (or such shorter period as the Executive may specify) before commencing the operation; and
c
the Executive has accepted the safety case.
2
For the purposes of paragraph (4) of regulation 2 and paragraph (1), the operation of an installation shall be treated as commenced —
a
on the commencement of the first well drilling operation from the installation which may involve the release of petroleum from beneath the sea-bed; or
b
when petroleum is brought onto the installation for the first time through a pipeline or well,
whichever is earlier.
3
A safety case prepared pursuant to paragraph (1) and revisions to a current safety case prepared pursuant to regulation 9(5) may be prepared in relation to more than one production installation where the Executive so approves in writing and, where a safety case is or revisions are to be so prepared in relation to installations with different operators, it shall be sufficient compliance with paragraph (1)(a) and (b) and regulation 9(5)(a) and (b) if the operators prepare and agree a safety case or revisions containing the particulars referred to in that paragraph and that regulation and one of them sends it to the Executive in accordance with paragraph (1)(b) and regulation 9(5)(b).
Safety case for non-production installation
8
Subject to regulation 27, the owner of a non-production installation shall ensure that it is not moved in relevant waters with a view to its being operated there unless —
a
he has prepared a safety case containing the particulars specified in regulation 12 and Schedule 3;
b
he has sent the safety case to the Executive at least 3 months (or such shorter period as the Executive may specify) before the movement of the installation in those waters with a view to its being operated there; and
c
the Executive has accepted the safety case.
Design notification and safety case for non-production installation to be converted
9
1
Where a non-production installation is to be converted to enable it to be operated as a production installation, the owner shall —
a
prepare a design notification in respect of the proposed conversion containing, subject to paragraph (3), the particulars specified in Schedule 1 not contained in any current safety case for that installation; and
b
send the design notification to the Executive,
at such time before completion of the design of the proposed conversion as will enable him to take account in the design of any matters relating to health and safety raised by the Executive within 3 months (or such shorter period as the Executive may specify) of that time.
2
The particulars specified in Schedule 1 which must be provided in respect of a design notification under paragraph (1) shall be construed as if all references to “operator” were references to the owner of the non-production installation to be converted.
3
Paragraph (1) shall only require the particulars in the design notification to address the matters referred to in that paragraph to the extent that it is reasonable to expect the duty holder to address them at the time of sending the design notification to the Executive.
4
Where there is a material change in any of the particulars notified pursuant to paragraph (1) prior to the duty holder sending —
a
a safety case to the Executive in accordance with regulation 7(1); or
b
revisions to the current safety case to the Executive in accordance with paragraph (5),
the duty holder shall notify the Executive of that change as soon as practicable.
5
Where a non-production installation operated pursuant to a current safety case is converted to a production installation, the operator of that production installation shall ensure that it is not operated as a production installation unless —
a
he has prepared revisions to the current safety case for that installation containing the particulars specified in regulation 12 and Schedule 2 not contained in that current safety case;
b
he has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive at least 3 months (or such shorter period as the Executive may specify) before commencing the operation in accordance with paragraph (2) of regulation 7; and
c
the Executive has accepted those revisions to the current safety case.
Notification of combined operations
10
1
A duty holder for an installation which is to be involved in a combined operation shall ensure that that installation does not engage in a combined operation unless a notification containing the particulars specified in Schedule 4 (other than those already notified to the Executive pursuant to regulation 17) in respect of that combined operation is sent to the Executive at least 21 days (or such shorter period as the Executive may specify) before it is due to commence.
2
The requirements of paragraph (1) will be satisfied if —
a
the duty holders for every installation involved in the combined operation prepare and agree a notification containing the particulars specified in that paragraph; and
b
one of them sends it to the Executive at least 21 days (or such shorter period as the Executive may specify) before it is due to commence.
3
Where there is a material change in any of the particulars notified pursuant to paragraph (1) prior to completion of the relevant combined operation, the duty holder shall notify the Executive of that change as soon as is practicable.
4
Where there is a change in the duty holder or of the installation, the duty holder shall send a notification pursuant to paragraph (1).
Safety case for dismantling fixed installation
11
1
The operator of a fixed installation shall ensure that it is not dismantled unless —
a
he has prepared revisions to the current safety case containing, subject to paragraph (2), the particulars specified in regulation 12 and Schedule 5 not contained in the current safety case for that installation;
b
he has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive at least 3 months (or such shorter period as the Executive may specify) before the commencement of the dismantling; and
c
the Executive has accepted those revisions to the current safety case.
2
Paragraph (1) shall only require the particulars in the proposed revisions to the current safety case to describe the matters referred to in that paragraph to the extent that it is reasonable to expect the operator to address them at the time of sending the proposed revisions to the Executive.
3
Where there is a material change in any of the particulars notified pursuant to paragraph (1) prior to the Executive deciding whether to accept the proposed revisions to the current safety case, the operator shall notify the Executive of that change as soon as practicable.
4
In this regulation, “operator”, in relation to a fixed installation, means —
a
the person appointed by the licensee to manage and control directly or by any other person the execution of dismantling a fixed installation; or
b
the licensee, where —
i
it is not clear to the Executive that one person has been appointed to perform the functions described in paragraph (a); or
ii
in the opinion of the Executive, any person appointed to perform the functions specified in paragraph (a) is incapable of performing those functions satisfactorily.
Management of health and safety and control of major accident hazards
12
1
The duty holder who prepares a safety case pursuant to these Regulations shall, subject to paragraphs (2) and (3), include in the safety case sufficient particulars to demonstrate that —
a
his management system is adequate to ensure —
i
that the relevant statutory provisions will, in respect of matters within his control, be complied with; and
ii
the satisfactory management of arrangements with contractors and sub-contractors;
b
he has established adequate arrangements for audit and for the making of reports thereof;
c
all hazards with the potential to cause a major accident have been identified; and
d
all major accident risks have been evaluated and measures have been, or will be, taken to control those risks to ensure that the relevant statutory provisions will be complied with.
2
Paragraph (1) shall only require the particulars in the safety case to demonstrate the matters referred to in that paragraph to the extent that it is reasonable to expect the duty holder to address them at the time of sending the safety case to the Executive.
3
In this regulation, “audit” means systematic assessment of the adequacy of the management system to achieve the purpose referred to in paragraph (1)(a) carried out by persons who are sufficiently independent of the system (but who may be employed by the duty holder) to ensure that such assessment is objective.
Review of safety case
13
1
A duty holder shall thoroughly review a current safety case when directed to do so by the Executive.
2
In the absence of a direction under paragraph (1), a duty holder shall thoroughly review a current safety case within 5 years of —
a
the date on which the Executive accepted that current safety case; and
b
the date of the previous review.
3
A duty holder shall send a summary of each such review to the Executive —
a
where the review is conducted at the direction of the Executive, within such reasonable time, being a period of not less than 28 days of the direction, as may be specified by the Executive; or
b
in all other cases, within 28 days of its conclusion.
Revision of safety case
14
1
In addition to the other occasions on which a duty holder must revise a current safety case pursuant to these Regulations, a duty holder shall revise a current safety case —
a
when appropriate; and
b
when directed to do so by the Executive pursuant to regulation 15(1).
2
Revisions made under sub-paragraph (a) of paragraph (1) which make a material change to the current safety case shall not be effective unless —
a
the duty holder has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive —
i
at least 3 months, or such shorter period as the Executive may specify; or
ii
where the revisions relate to a combined operation, at least 6 weeks, or such shorter period as the Executive may specify,
before the revisions are to be made; and
b
the Executive has accepted the revisions.
3
Without prejudice to the generality of paragraph (2) —
a
no well operation shall constitute a material change;
b
no revision prepared or made pursuant to regulation 27 shall constitute a material change;
c
the movement of a production installation to a new location to be operated there shall constitute a material change; and
d
the conversion of a production installation to enable it to be operated as a non-production installation shall constitute a material change,
to the current safety case for the purposes of paragraph (2).
Power of Executive in relation to safety cases and related documents
15
1
The Executive may direct a duty holder to prepare revisions to a current safety case in relation to such matters as the Executive may notify to him.
2
When making a direction for the purposes of paragraph (1), the Executive shall explain why it believes that each revision is necessary and shall specify a period, not being less than 28 days, within which the duty holder shall submit such revisions to the Executive.
3
Revisions submitted pursuant to paragraph (1) shall not be effective unless —
a
the duty holder has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive; and
b
the Executive has accepted the revisions.
4
After the submission of a design notification required under regulation 6 or 9 and prior to the submission of a safety case in respect of a production installation, the duty holder for that installation shall provide the Executive with a copy of any document which, in the opinion of the Executive, may be directly or indirectly relevant to the duty holder’s preparation of the safety case for that installation within such reasonable time of the demand, being a period of not less than 14 days, as may be specified by the Executive.
5
The Executive may suspend any current safety case where it does not accept any proposed revision thereto submitted to it pursuant to regulation 15(3) or 27(2).
6
When suspending a current safety case in accordance with paragraph (5), the Executive shall explain why it believes that a suspension is necessary.
7
During any period in which the current safety case for an installation is suspended, the duty holder for that installation shall ensure that it is not operated.
8
The Executive may lift any suspension in respect of a current safety case when it is satisfied that the health and safety of persons who are likely to be affected by the lifting of any suspension will not be prejudiced in consequence of it.
Duty to conform with safety case
16
1
The duty holder shall ensure that the procedures and arrangements described in the current safety case which may affect health or safety are followed.
2
In criminal proceedings for a contravention of paragraph (1), it shall be a defence for the accused to prove that —
a
in the particular circumstances of the case, it was not in the best interests of the health and safety of persons to follow the procedures or arrangements concerned and there was insufficient time to revise the safety case pursuant to regulation 14; or
b
the commission of the offence was due to a contravention by another person of regulation 8 of the Management Regulations and the accused had taken all reasonable precautions and exercised all due diligence to ensure that the procedures or arrangements were followed.
Notification of well operations
17
1
Subject to paragraph (2), a well operator shall ensure that no well operation is commenced unless he has sent a notification containing the particulars specified in Schedule 6 to the Executive at least 21 days (or such shorter period as the Executive may specify) before commencing that operation.
2
In the case of a production installation a well operator shall ensure that —
a
no well operation which involves —
i
insertion of a hollow pipe in the well; or
ii
altering the construction of the well,
is commenced unless he has sent a notification containing the particulars specified in Schedule 6 to the Executive at least 10 days (or such shorter period as the Executive may specify) before commencing that operation; and
b
no well operation which involves drilling is commenced unless he has sent a notification containing the particulars specified in Schedule 6 to the Executive at least 21 days (or such shorter period as the Executive may specify) before commencing that operation
3
Where there is a material change in any of the particulars notified pursuant to paragraph (1) prior to completion of the relevant well operation, the well operator shall notify the Executive of that change as soon as practicable.
Keeping of documents
18
1
A duty holder shall —
a
ensure that, when he sends —
i
the design notification, in the case of a production installation; or
ii
the safety case, in the case of a non-production installation,
to the Executive, it is notified of an address in Great Britain for the purposes of sub-paragraphs (b) and (e) below;
b
keep copies, at the address referred to in sub-paragraph (a) and on the installation, of the following documents relating to the installation —
i
the current safety case;
ii
any summary of any review of the current safety case prepared pursuant to regulation 13(2); and
iii
each audit report;
c
keep copies on the installation of the following documents relating to the installation —
i
any relocation notification and any material changes thereto;
ii
any notification of combined operations and any material changes thereto; and
iii
any notification of well operations and any material changes thereto;
d
ensure that, in respect of each audit report, a written statement is made, recording —
i
the main findings of the report;
ii
the recommendations in the report; and
iii
the action proposed to implement those recommendations, including the timescales involved,
and a copy of that statement kept on the installation; and
e
ensure that a record is made of any action taken in consequence of an audit report, and a copy of that record kept at the address referred to in sub-paragraph (a) and on the installation.
2
The copy of the current safety case referred to in paragraph (1) and any other relevant documents shall be kept for so long as they are current, and the copy of the audit report, the written statement and the record referred to in that paragraph shall be kept for a period of 3 years after being made.
3
The duty holder for an installation shall ensure that —
a
its verification scheme, any modification of that scheme and any note made pursuant to regulation 19(2)(c) or 20(b) is kept at the address notified to the Executive pursuant to sub-paragraph (a) of paragraph (1) until the expiration of 6 months after such scheme or, as the case may be, modification of that scheme, has ceased to be current; and
b
records, sufficient to show the matters described in paragraph 5 of Schedule 7, are kept at the address notified to the Executive pursuant to sub-paragraph (a) of paragraph (1) until the expiration of 6 months after the scheme pursuant to which they were compiled has ceased to be current.
4
In this regulation, “audit report” means a report made pursuant to the arrangements referred to in regulation 12(1)(b).
Verification schemes
19
1
The duty holder for an installation shall ensure that a record of the safety-critical elements and the specified plant is made.
2
After a record has been made in accordance with paragraph (1), the duty holder shall ensure that, in accordance with paragraph (3) —
a
comment on that record by an independent and competent person is invited;
b
a verification scheme providing for the matters contained in Schedule 7 is drawn up by or in consultation with such person;
c
a note is made of any reservation expressed by such person as to the contents of —
i
that record; or
ii
that scheme; and
d
that scheme is put into effect.
3
The matters set out in paragraph (2) shall be completed —
a
in the case of a production installation, before completion of its design; and
b
in the case of a non-production installation, before it is moved into relevant waters with a view to its being operated there.
Review and revision of verification schemes
20
The duty holder shall ensure that, as often as may be appropriate —
a
the verification scheme for his installation is reviewed and, where necessary, revised or replaced by or in consultation with an independent and competent person; and
b
a note is made of any reservation expressed by such person in the course of drawing it up.
Continuing effect of verification schemes
21
The duty holder shall ensure that effect continues to be given to the verification scheme for his installation, or any revision or replacement of it, while that installation remains in being.
Defence
22
1
In any proceedings for an offence for a contravention of any of the provisions of regulations 19 to 21 it shall, subject to paragraphs (2) and (3), be a defence for the person charged to prove —
a
that the commission of the offence was due to the act or default of another person not being one of his employees (hereinafter called “the other person”); and
b
that he took all reasonable precautions, and exercised all due diligence, to avoid the commission of the offence.
2
The person charged shall not, without the leave of the court, be entitled to rely on the defence in paragraph (1) unless, within a period ending 7 clear days —
a
before the hearing to determine mode of trial, where the proceedings are in England and Wales; or
b
before the intermediate diet, where the proceedings are summary proceedings in Scotland; or
c
before the first diet, where the proceedings are solemn proceedings in Scotland,
he has served on the prosecutor a notice in writing giving such information identifying or assisting in the identification of the other person as was then in his possession.
3
For the purpose of enabling the other person to be charged with and convicted of the offence by virtue of section 36 of the 1974 Act, a person who establishes a defence under this regulation shall nevertheless be treated for the purposes of that section as having committed the offence.
Exemptions
23
1
Subject to paragraph (2), the Executive may, by a certificate in writing, exempt any person, installation or well or class of persons, installations or wells from any requirement or prohibition imposed by these Regulations and any such exemption may be granted subject to conditions and with or without limit of time and may be revoked by a certificate in writing at any time.
2
The Executive shall not grant any such exemption unless, having regard to the circumstances of the case, and in particular to —
a
the conditions, if any, which it proposes to attach to the exemption; and
b
any other requirements imposed by or under any enactments which apply to the case,
it is satisfied that the health and safety of persons who are likely to be affected by the exemption will not be prejudiced in consequence of it, and that the exemption will be compatible with Article 3(2) of Council Directive 92/91/ EEC concerning the minimum requirements for improving the safety and health protection of workers in the mineral-extracting industries through drilling .
Appeals
24
1
Any person who is aggrieved by a decision of the Executive —
a
as to a finding of fact made by the Executive for the purposes of these Regulations which affects him as a duty holder or licensee or any installation for which he is or may be responsible;
b
not to accept a safety case prepared by him and submitted to the Executive pursuant to regulation 7(1) or 8;
c
to direct him to prepare revisions to a current safety case in accordance with regulation 15(1);
d
not to accept a revision to a current safety case prepared by him and submitted to the Executive in accordance with regulation 9(5), 11(1), 14(2), 15(3) or 27(1) or (2);
e
to suspend pursuant to regulation 15(5) a current safety case held by him;
f
not to lift a suspension pursuant to regulation 15(8) in respect of a current safety case held by him;
g
to revoke an exemption certificate granted to him pursuant to regulation 23(1); or
h
to grant to him an exemption certificate subject to a condition or a limit of time pursuant to regulation 23(1),
may appeal to the Secretary of State.
2
The provisions of Schedule 8 shall apply where an aggrieved person appeals to the Secretary of State.
3
Any decision of the Executive which is the subject of an appeal under this regulation shall not be suspended pending final determination of the appeal.
Amendments
25
The instruments referred to in Schedule 9 shall be amended in accordance with that Schedule.
Revocation
26
1
Subject to paragraph (2), the 1992 Regulations are hereby revoked.
2
Regulations 6, 9, 10, 15 and 17 of and Schedule 4 to the 1992 Regulations shall remain in force until 6 October 2007 insofar as they relate to combined operations.
Transitional provisions
27
1
Subject to paragraph (4), where there is an intention to carry out combined operations within 3 years of the coming into force of these Regulations a duty holder shall ensure that before the first combined operation is commenced he has made effective revisions to a current safety case accepted by the Executive pursuant to the 1992 Regulations which contain the particulars specified in —
a
regulation 12, in relation to combined operations;
b
paragraph 14 of Schedule 2, in relation to a production installation; or
c
paragraph 13 of Schedule 3, in relation to a non-production installation,
not contained in the current safety case for that installation.
2
Revisions made pursuant to paragraph (1) shall not be effective unless —
a
the duty holder has sent a version of the current safety case which incorporates the proposed revisions, showing clearly where they are to be made, to the Executive; and
b
the Executive has accepted the revisions.
3
Subject to paragraph (4), a duty holder shall revise a current safety case accepted by the Executive pursuant to the 1992 Regulations within 3 years of the coming into force of these Regulations so that it includes the particulars specified in —
a
regulation 12 and Schedule 2, in relation to a production installation; or
b
regulation 12 and Schedule 3, in relation to a non-production installation,
not contained in the current safety case for that installation.
4
A duty holder may continue to comply with regulations 6, 9, 10 and 15 of and Schedule 4 to the 1992 Regulations in relation to a current safety case for a combined operation accepted by the Executive pursuant to the 1992 Regulations provided that within 18 months of the coming into force of these Regulations he complies with regulations 10, 14, 16, 18 and 27(1) of and Schedule 4 to these Regulations.
5
For the purpose of this regulation, where there are safety cases under regulations 4(2) and 7 of the 1992 Regulations in respect of an installation “current safety case” means the safety case prepared under regulation 7.
Signed by authority of the Secretary of State for Work and Pensions.
Philip A Hunt
Parliamentary Under Secretary of State,
Department for Work and Pensions
9th November 2005


text:
Title, application and commencement
1
1
These Regulations may be cited as the Avian Influenza (Preventive Measures) (No 2) Regulations 2005.
2
These Regulations apply in England only and come into force on 9th December 2005.
Interpretation
2
In these Regulations —
“ the Act ” means the Animal Health Act 1981;
“the 2005 avian influenza survey ” means the survey for avian influenza being carried out by the Secretary of State in accordance with Commission Decision 2005/464/ EC on the implementation of survey programmes for avian influenza in poultry and wild birds to be carried out in the Member States and with the national plan approved by Commission Decision 2005/732/EC approving the programmes for the implementation of Member States' surveys for avian influenza in poultry and wild birds during 2005 and laying down reporting and eligibility rules for the Community financial contribution to the implementation costs of those programmes ;
“avian influenza” means an infection of poultry or other captive birds caused by any influenza A virus of the subtypes H5 or H7 or with an intravenous pathogenicity index in six week old chickens greater than 1.2;
“commercial poultry premises” means premises where poultry are kept for commercial purposes and does not include premises where all poultry and their eggs are kept by their owners for their own consumption or, in the case of poultry, as pets;
“the Commission Decision ” means Commission Decision 2005/734/EC laying down biosecurity measures to reduce the risk of transmission of highly pathogenic avian influenza caused by influenza A virus of subtype H5N1 from birds living in the wild to poultry and other captive birds and providing for an early detection system in areas at particular risk , as amended by Commission Decision 2005/745/EC ) and Commission Decision 2005/855/EC ;
“the Commission Decision on Zoos ” means Commission Decision 2005/744/EC laying down the requirements for the prevention of highly pathogenic avian influenza virus caused by influenza A virus of subtype H5N1 in susceptible birds kept in zoos in the Member States ;
“inspector” means an inspector appointed by a local authority for the purposes of these Regulations or under the Act;
“local authority” means —
in any part of England where there is, within the meaning of Local Government Changes for England Regulations 1994 , a unitary authority for that local government area, that authority;
where there is not a unitary authority —
in a metropolitan district, the council of that district;
in a non-metropolitan county, the council of that county;
in each London borough, the council of that borough;
in the city of London, the Common Council;
“other captive bird” means any bird other than poultry kept in captivity, including any bird kept for shows, races, exhibitions and competitions (such as ornamental birds and racing pigeons);
“poultry” means all birds that are reared or kept in captivity for the production of meat or eggs for consumption, the production of other commercial products, for restocking supplies of game or for the purposes of any breeding programme for the production of these categories of birds;
“susceptible bird” means any species of bird that is likely to be susceptible to avian influenza and which is not intended for the production of animal products;
“veterinary inspector” means an inspector appointed by the Secretary of State for the purposes of these Regulations or under the Act;
“zoo” means —
a permanent establishment where animals of wild species are kept for exhibition to the public for seven or more days a year, with the exception of circuses and pet shops; and
an approved body, institute or centre, as defined in point (c) of Article 2(1) of Council Directive 92/65 EC laying down animal health requirements governing trade in and imports into the Community of animals, semen, ova and embryos not subject to animal health requirements laid down in specific Community rules referred to in Annex A(I)) to Directive 90/425 .
Licences, notices and declarations
3
1
Declarations, notices and licences under these Regulations shall be in writing, may be subject to conditions and may be amended, suspended or revoked in writing at any time.
2
The Secretary of State shall take such steps as she considers necessary to ensure that declarations, licences and notices are brought to the attention of those who may be affected by them and, in particular, shall ensure that the extent of any zone declared under these Regulations, the nature of the restrictions and requirements applicable within it and the dates of its declaration and withdrawal (and any suspension of it) are publicised.
Risk assessment and imposition of restrictions
4
1
The Secretary of State shall evaluate the risk of the transmission of avian influenza virus (in particular virus of the sub-type H5N1) within or to England, taking into account the criteria and risk factors set out in Annex I to the Commission Decision.
2
Having carried out such an evaluation, the Secretary of State shall, if she considers it necessary to reduce the risk of transmission of avian influenza (in particular virus of the sub-type H5N1) —
a
declare an avian influenza prevention zone in all or part of England; or
b
serve a restrictions notice on the occupier of any premises where poultry, other captive birds or any specified species of poultry or captive birds are kept.
3
A restrictions notice may, on the instruction of the Secretary of State, be served by an inspector.
4
The Secretary of State shall, in a declaration of an avian influenza prevention zone or in a restrictions notice, impose (to the extent that they are appropriate and practicable), such of the following restrictions as she considers necessary —
a
poultry and other captive birds must be housed or otherwise kept separate from wild birds;
b
domestic ducks and geese must be housed or otherwise kept separate from other poultry and captive birds;
c
poultry and other captive birds must be fed and provided with drinking water indoors or under a shelter which prevents wild birds from gaining access to the food or water supply;
d
bodies of water to which poultry have access for animal welfare reasons must be sufficiently screened off from wild waterfowl;
e
drinking water provided to poultry and other captive birds must not be sourced from surface water reservoirs unless the water has been treated to render any virus it may contain inactive;
f
birds of the orders Anseriformes (including ducks, geese and swans) and Charadriiformes (including gulls, murres, terns, avocets, puffins, woodcock, oystercatchers, sandpipers, plovers, surfbirds, snipes and skimmers) must not be used as decoys during bird-hunting except —
i
for the purpose of attracting birds for sampling as part of the 2005 avian influenza survey; and
ii
under the authority of a licence granted by a veterinary inspector;
g
keepers of poultry or other captive birds must immediately notify the Secretary of State of the following as regards those birds —
i
any drop in feed and water intake of more than 20%;
ii
any drop in egg production of more than 5% for more than 2 days;
iii
a mortality rate greater than 3% in a week;
h
keepers of poultry and other captive birds and any other persons who come into contact with such birds or who enter or leave premises where they are kept must take appropriate biosecurity measures;
i
such other appropriate and practicable requirements as the Secretary of State considers necessary —
aa
to prevent any direct or indirect contact which wild birds might otherwise have with poultry and other captive birds; and
bb
to ensure separation between domestic ducks and geese on the one hand and other poultry on the other.
5
A declaration of an avian influenza prevention zone shall —
a
specify the boundaries of the avian influenza prevention zone; and
b
specify the requirements which apply in the zone.
6
Any premises which are partly inside and partly outside an avian influenza prevention zone shall be deemed to be wholly within it.
Prohibition on fairs, markets, shows and other gatherings
5
1
No person shall permit birds to be collected together at any fair, market, show, exhibition or other gathering except under the authority of a licence issued by the Secretary of State.
2
The Secretary of State shall only grant a licence if a veterinary risk assessment has been carried out and she is satisfied that the gathering and the transit of birds to and from the gathering would not significantly increase the risk of the transmission of avian influenza virus (in particular of virus of the sub-type H5N1).
Identification of poultry premises
6
1
Any person who keeps 50 or more poultry on commercial premises shall make a written record of the following —
a
the address of the premises and their holding number (if they have one);
b
the owner of the poultry and the person with day to day management of the premises where they are kept (if different);
c
the species kept at the premises;
d
the husbandry system or systems in use at the premises (for example, whether poultry are kept for meat, hatching eggs or eggs for consumption);
e
the maximum number of each species of poultry that could be present on the premises;
f
any factors (such as seasonal stocking variations) which might result in significant differences in the numbers or species of poultry on the premises; ;
g
the number and species of any poultry with access to the open air;
h
the presence on or in the vicinity of the premises of any body of water which attracts wild birds;
i
such other information as the Secretary of State requires for the purpose of carrying out a risk assessment under regulation 4 or 5 or otherwise complying with the Commission Decision.
2
The person who makes this written record shall notify this information to the Secretary of State on or before 28 February 2006.
3
The person who makes the written record shall inform the Secretary of State if poultry have not been kept on the premises for over a year.
Identification of other premises
7
1
The Secretary of State shall (if she considers it necessary for the purpose of carrying out a risk assessment under regulation 4 or 5 or otherwise complying with the Commission Decision), require, in writing, any keeper of poultry or other captive birds on premises other those to which regulation 6 applies to comply with some or all of the requirements of regulation 6.
2
For the purposes of this Regulation, regulation 6 shall be read as if references to poultry included reference to other captive birds.
Monitoring of premises
8
The Secretary of State shall ensure that veterinary inspectors and inspectors who inspect premises where poultry or other captive birds are kept monitor compliance with these Regulations.
Measures in zoos
9
1
The Secretary of State shall evaluate the risk of the transmission of avian influenza virus (in particular virus of the sub-type H5N1) from wild birds to susceptible birds in zoos, taking into account the criteria and risk factors set out in Annex I to the Commission Decision on Zoos.
2
Having carried out such an evaluation, the Secretary of State shall, if she considers it necessary to reduce the risk of such transmission —
a
declare an avian influenza prevention (zoos) zone in all or part of England; or
b
serve (or cause a veterinary inspector or an inspector to serve) a restrictions notice on the owner or occupier of any zoo where susceptible birds are kept.
3
The Secretary of State shall, in a declaration of an avian influenza prevention (zoos) zone or in a restrictions notice, impose such of the following requirements as she considers necessary on zoos in the zone or the subject of a notice —
a
susceptible birds must be housed or otherwise kept separate from wild birds;
b
susceptible birds must not be exposed to the risk of exposure to the faeces of wild birds or other material that may have been contaminated with avian influenza virus by wild birds;
c
domestic ducks and geese must be kept separate from other susceptible birds;
d
susceptible birds must be fed and provided with drinking water indoors or under a shelter which prevents wild birds from gaining access to the food or water supply;
e
persons other than keepers of the birds must be prohibited from having access to areas where susceptible birds are kept;
f
the keeper of susceptible birds must take appropriate biosecurity measures in such areas and when entering and leaving such areas;
g
such other requirements as the Secretary of State considers necessary to reduce the risk of transmission of avian influenza from wild birds to susceptible birds in zoos.
4
A declaration made under paragraph (2) shall specify the requirements which apply in the zone and set out the boundaries of the zone.
5
The Secretary of State may, in accordance with Article 2 of the Commission Decision on Zoos, declare that certain premises are exempt from such requirements.
Vaccination of susceptible birds in zoos
10
1
Following a risk assessment, the Secretary of State shall, if she considers it necessary to reduce the risk of transmission of avian influenza, vaccinate or require the vaccination of susceptible birds in zoos.
2
If vaccination is not carried out by the Secretary of State, it shall be carried out in accordance with instructions issued by her.
Duty to comply with declarations and notices
11
Any person to whom restrictions in a declaration or a notice under these Regulations apply shall comply with such restrictions, except to the extent that he is authorised to do otherwise by a licence issued by a veterinary inspector.
Powers of inspectors
12
1
A veterinary inspector or an inspector may enter any premises for the purpose of ascertaining whether these Regulations (or any declaration, notice or licence under them) are being or have been complied with and may —
a
inspect and copy any records (in whatever form they are held) kept under these Regulations, or remove such records to enable them to be copied;
b
inspect and check the operation of, any computer and any associated apparatus or material which is or has been in use in connection with the records; and for this purpose may require any person having charge of, or otherwise concerned with the operation of, the computer, apparatus or material to afford him such assistance as he may reasonably require (including providing him with any necessary passwords) and, where a record is kept by means of a computer, may require the records to be produced in a form in which they may be taken away;
c
mark any bird or other thing for identification purposes; and
d
take with him such persons and equipment as he considers necessary.
2
Any person who defaces, obliterates or removes any mark applied under paragraph (3) shall be guilty of an offence.
3
If an inspector enters any unoccupied premises he shall leave them as effectively secured against unauthorised entry as he found them.
Enforcement and offences
13
1
The following provisions of the Act apply as if these Regulations were an Order made under the Act —
a
section 60 (duties and authorities of constables);
b
section 66 (refusal and obstruction);
c
section 67 (issue of false licences etc. );
d
section 68 (issue of licences etc. in blank);
e
section 71 (other offences as to licences);
f
section 71A, (prosecutions: time limit);
g
section 73 (general offences);
h
section 75 (penalties for certain summary offences), except that a person guilty of an offence under these Regulations is liable on summary conviction to a fine not exceeding the statutory maximum or to imprisonment for a term not exceeding three months or both;
i
section 77 (money recoverable summarily); and
j
section 79(1) to (4) (evidence and procedure).
2
Section 69 of the Act (falsely obtaining licences etc.) shall apply as if licences granted under these Regulations were granted under an Order made under the Act.
3
Where a body corporate is guilty of an offence under these Regulations and that offence is proved to have been committed with the consent or connivance of, or to have been attributable to any neglect on the part of —
a
any director, manager, secretary or other similar person of the body corporate; or
b
any person who was purporting to act in any such capacity;
he, as well as the body corporate, is guilty of the offence and liable to be proceeded against and punished accordingly.
4
For the purposes of paragraph (3), “director” in relation to a body corporate managed by its members, means a member of the body corporate.
5
The local authority shall enforce these Regulations unless directed otherwise by the Secretary of State pursuant to paragraph (6).
6
The Secretary of State may direct, in relation to cases of a particular description or a particular case, that any duty imposed on a local authority under paragraph (5) shall be discharged by the Secretary of State and not by the local authority.
Powers of inspectors in case of default
14
1
If a person fails to comply with a requirement of these Regulations or of a declaration made, notice issued or licence granted under them, a veterinary inspector or an inspector may take any steps he considers necessary to ensure the requirement is met, including —
a
seizing, detaining or disposing of any bird moved, kept or otherwise dealt with in breach of these Regulations and of any such declaration, notice or licence; and
b
directing any person to take or refrain from specified action in respect of any place, bird, animal, vehicle, product or other thing.
2
Any steps taken are without prejudice to proceedings for an offence arising out of the default.
3
The person in default shall reimburse any reasonable expenses incurred by the Secretary of State or the local authority in taking such steps and any such reimbursement is recoverable summarily.
Revocations
15
The Avian Influenza (Preventive Measures) Regulations 2005 and the Avian Influenza (Preventive Measures in Zoos) Regulations 2005 are revoked.
Ben Bradshaw
Parliamentary Under Secretary of State
Department for Environment, Food and Rural Affairs
8th December 2005