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PART I
INTRODUCTION
Citation and commencement
1
These Rules may be cited as the Reserve Forces Appeal Tribunals Rules 1997 and shall come into force on 3rd April 1997.
Interpretation
2
In these Rules, unless the context otherwise requires —
“ the Act ” means the Reserve Forces Act 1996;
“appellant” means a person who makes an appeal to the Tribunal under section 81(4), 83(4) or 84(3) of the Act;
“ the Authority ” means the Secretary of State or any person or body duly authorised to make a determination under regulations made under Part VIII of the Act;
“ Chairman ” means the Chairman of the Tribunal;
“determination” means the disposal by the Tribunal of the appeal or of any substantive issue that arises therein;
“direction” means any order of the Tribunal not being a determination and includes a witness summons;
“disputed determination” means a determination of the Authority against which an appeal is brought under these Rules;
“hearing” means a sitting of the Tribunal for the purpose of determining the appeal;
“party” means the appellant or the Authority;
“register” means the register of appeals and determinations kept in accordance with these Rules;
“ Secretary ” means the person for the time being appointed by the Secretary of State as Secretary of Tribunals and includes any Assistant Secretary or other member of the staff of the Secretary authorised by the Secretary to perform a function or exercise a power of his under these Rules;
“ Tribunal ” means a Reserve Forces Appeal Tribunal and “the Tribunal” means the Tribunal to which an appeal is made or transferred or by whom a determination is to be reviewed.
PART II
MAKING AN APPEAL TO THE TRIBUNAL AND REPLY BY THE AUTHORITY
(A)
THE APPELLANT
Notice of appeal
3
1
An appeal to the Tribunal shall be made by written notice. The notice of appeal shall state —
a
the name, address and telephone number (if any) of the appellant;
b
that the notice is a notice of appeal;
c
the grounds of the appeal;
d
whether the appellant intends to be present or represented at the hearing;
e
the determination which the appellant seeks;
f
the name and address of the representative (if any) of the appellant, and whether the Secretary should send replies or notices concerning the appeal to the representative instead of the appellant;
g
the name and address of any witness whom the appellant wishes to give evidence to the Tribunal.
2
The appellant or his representative shall attach to the notice of appeal a copy of the written notification of the disputed determination.
3
The notice of appeal shall be further accompanied by —
a
copies of all documents or records supplied to the Authority in the course of making the application which resulted in the disputed determination;
b
copies of any other documents or records which the appellant wishes to be drawn to the attention of the Tribunal, and a statement of the reasons why they were not submitted to the Authority during the course of the application which resulted in the disputed determination.
4
The appellant or his representative shall sign the notice of appeal.
5
The appellant or his representative shall send or deliver the notice of appeal to the office of the Secretary so that it is received there not later than 5 days after the date on which written notification of the disputed determination was received by the appellant.
Application for extension of time
4
Notwithstanding rule 3(5) above, where the appellant or his representative considers it likely that, by reason of exceptional circumstances, the notice of appeal will be received at the office of the Secretary later than 5 days after the date on which written notification of the disputed determination was received by him, he may include with the notice of appeal a statement of the reasons on which he relies for justifying the delay, and the Tribunal shall treat any such statement as a request for extending the time limit under rule 30(2)(a) below.
Amendment of appeal and delivery of supplementary statement of grounds of appeal
5
1
The appellant or his representative may, at any time before he is notified of the hearing date, deliver a supplementary statement of grounds of appeal.
2
The appellant may amend any notice of appeal or supplementary statement with the leave of the Tribunal at any time after he or his representative has been notified of the hearing date, either on an application in writing signed by him or his representative, or at a hearing at which he is present or represented. The Tribunal may grant such leave on such terms as it thinks fit, including under rule 28(1) below the payment of costs or, if the tribunal is sitting in Scotland, expenses.
3
The appellant or his representative shall send a copy of every amendment and supplementary statement to the Secretary.
Withdrawal of appeal
6
The appellant may withdraw his appeal —
a
at any time before notice of the hearing date is delivered to him, by sending to the office of the Secretary a notice stating that he withdraws his appeal signed by him or his representative; or
b
with the leave of the Tribunal at any time after notice of the hearing date has been delivered to him, on an application to the Tribunal in writing signed by him or his representative or at a hearing at which he is present or represented. The Tribunal may grant such leave on such terms as it thinks fit, including under rule 28(1) below the payment of costs or, if the Tribunal is sitting in Scotland, expenses.
(B)
THE SECRETARY
Acknowledgement and registration of appeal and request to select Tribunal
7
Upon receiving a notice of appeal the Secretary shall immediately —
a
send to the appellant or his representative an acknowledgement, which shall include a notification that advice in relation to the proceedings may be obtained from the Secretary;
b
enter particulars of it in the register, and inform the parties in writing of the name and case number of the appeal entered in the register (which shall thereafter constitute the title of the proceedings) and of the address to which notices and other communications to the Tribunal shall be sent;
c
request the Lord Chancellor or, as the case may be, the Lord President of the Court of Session or the Lord Chief Justice of Northern Ireland to select a chairman and two other members from the appropriate panels to hear the appeal.
(C)
THE AUTHORITY
Action by the Authority on receipt of a notice of appeal
8
1
The Authority shall on receiving a copy of the notice of appeal prepare a written reply acknowledging the notice of appeal and stating —
a
whether or not the Authority intends to oppose the appeal and the grounds on which it relies in opposing the appeal;
b
the name and address of the representative (if any) of the Authority and whether such address is the address of the Authority for the purposes of the appeal;
c
whether the Authority wishes to attend or be represented at the hearing;
d
the name and address of any witness whom the Authority wishes to give evidence to the Tribunal.
2
The Authority shall include with its reply —
a
a statement summarising the facts relating to the disputed determination and, if they are not part of that determination, the reasons for that determination;
b
a copy of every document considered by the Authority in making the disputed determination except those which the Secretary has notified the Authority as having already been submitted by the applicant.
3
The reply shall be signed by an officer of the Authority and shall be sent or delivered to the office of the Secretary so that it is received there not later than 5 days after the date on which the copy of the notice of appeal was received by the Authority from the Secretary.
4
The Authority may include in its reply, or in a separate notice to the Tribunal, a request for further particulars of the appeal.
Application for extension of time for delivery of reply
9
Notwithstanding rule 8(3) above, where the Authority considers it likely that, by reason of exceptional circumstances, its reply will be received at the office of the Secretary later than 5 days after the date on which it received a copy of the notice of appeal it may include with its reply a statement of the reasons on which it relies for justifying the delay, and the Tribunal shall treat any such statement as a request for extending the time limit under rule 30(2)(a) below.
Amendment of reply or supplementary statement by the Authority
10
1
The Authority may at any time before it is notified of the hearing date amend its reply or deliver a supplementary statement by way of reply.
2
The Authority may amend any reply or supplementary statement with the leave of the Tribunal at any time after it has been notified of the hearing date, or at a hearing at which it is present or represented. The Tribunal may grant such leave on such terms as it thinks fit, including under rule 28(1) below the payment of costs or, if the Tribunal is sitting in Scotland, expenses.
3
The Authority shall send a copy of every amendment and supplementary statement to the Secretary.
Failure to reply or absence of opposition
11
The Tribunal may, if it thinks fit, determine the appeal under rule 21 below if —
a
no reply is received by the Secretary within the time appointed by rule 8 above or any extension of time allowed by the Tribunal; or
b
the Authority states in writing that it does not resist the appeal, or withdraws its opposition to the appeal.
PART III
PREPARATION FOR A HEARING
Service of documents by Secretary
12
1
Subject to paragraph (2), the Secretary shall immediately send or deliver a copy of the notice of appeal and any reply, together with any amendments or statements, written representations or other documents or records received from one party, to the other party to the appeal:
Provided that if any such material is sent or delivered to the Secretary after the time prescribed by these Rules the Secretary shall —
a
send or deliver a copy of the material to the other party;
b
inform that other party that such action by the Secretary shall not prejudice the Tribunal’s determination on whether to extend the relevant time limit.
2
If any material referred to in paragraph (1) contains any matter that relates to intimate personal or financial circumstances, is commercially sensitive, consists of information communicated or obtained in confidence, or involves considerations of personal or national security and —
a
it appears to the Secretary that the material contains such matter; or
b
a party seeks to restrict its disclosure and informs the Secretary of that fact and of his reasons for seeking such a restriction,
the Secretary shall serve the copies as provided in this rule only in accordance with the directions of the Tribunal.
Directions in preparation for a hearing
13
1
The Tribunal may at any time, on the application of a party or on its own initiative, give such directions (including the issue of a witness summons or, where the Tribunal is sitting in Scotland, a citation) as are provided in this Part to enable the parties to prepare for the hearing or to assist the Tribunal to determine the issues:
Provided that in exercising the powers conferred by this rule, the Tribunal shall take into account the need to protect any matter that relates to intimate personal or financial circumstances, is commercially sensitive, consists of information communicated or obtained in confidence or concerns personal or national security.
2
Directions containing a requirement under this Part shall, as appropriate —
a
include an explanation of the possible consequences for the appeal, as provided by rule 17 below, of a party’s failure to comply with the requirement within the time allowed by the Tribunal;
b
contain a reference to the provisions of section 93(3) (non compulsion to give evidence or produce documents) and section 94 (offences in connection with appeals) of the Act;
c
in the case of a witness summons or citation, except where the application for the summons or citation was made in the presence of the person to whom the summons or citation is addressed, draw to that person’s attention his right to apply to the Tribunal under rule 18 below to vary or set aside the summons or citation.
3
The Secretary shall immediately send a copy of all directions to the parties and any other person to whom they apply, except that a copy need not be sent to any person who was present or represented when the direction was made.
Particulars and supplementary statements
14
The Tribunal may give directions requiring a party to provide such particulars or supplementary statements as may be reasonably required for the determination of the appeal.
Disclosure of documents and other material
15
The Tribunal may give directions requiring a party to deliver to the Secretary any document or other material which the Tribunal may require and which it is in the power of that party to deliver. The Tribunal shall make such provision as it thinks necessary to supply copies of any material obtained under this rule to the other party, and it shall be a condition of such supply that the party shall use such material only for the purposes of the appeal.
Summoning of witnesses
16
1
Subject to paragraphs (2), (3) and (4) below, the Tribunal may by summons or, where the Tribunal is sitting in Scotland, citation require any person in the United Kingdom —
a
to attend as a witness at a hearing at such time and place as may be specified in the summons or citation and, subject to the proviso to rule 13(1) above, at the hearing to answer any questions; or
b
to produce any documents or other material in his custody or under his control which relate to any matter in question in the appeal, whether at the hearing or at an earlier time.
2
No person shall be required to attend in obedience to such a summons or citation unless he has been given at least 5 days’ notice of the hearing date or, if less than 5 days, he has informed the Secretary that he accepts as sufficient such notice as he has been given.
3
No person shall be required in obedience to such a summons or citation to attend and give evidence or to produce any document unless the necessary expenses of such attendance or production are paid or tendered to him.
4
The Tribunal shall make such provision as it thinks necessary to supply copies of any document obtained under this rule to the parties, and it shall be a condition of such supply that a party shall use such a document only for the purposes of the appeal.
5
Any expenses to which a person is entitled under paragraph (3) above shall be paid by the Secretary of State.
Failure to comply with certain directions
17
If any directions given to a party under this Part are not complied with by that party, the Tribunal may, before or at the hearing, dismiss the whole or part of the appeal or, as the case may be, strike out the whole or part of the reply and, where appropriate, direct that the Authority shall be debarred from contesting the appeal altogether:
Provided that a Tribunal shall not so dismiss or strike out or give such a direction unless it has sent notice to the party who has not complied with the direction giving him an opportunity to show cause why it should not do so.
Varying or setting aside of directions
18
A person to whom a direction (including any summons or, where the Tribunal is sitting in Scotland, a citation) is issued under this Part may apply to the Tribunal to vary it or set it aside, but the Tribunal shall not so do without first notifying the person, if any, who applied for the direction and considering any representations made by him.
Notice of place and time of hearing, and adjournments
19
1
The Secretary shall, with due regard to the urgency of the appeal and the convenience of the parties, fix the time and place of the hearing and, not less than 5 days before the date so fixed (or such shorter time as the parties agree), send to each party a notice of the hearing at such time and place.
2
The Secretary shall include in or with the notice of hearing —
a
information and guidance as to attendance at the hearing of the parties and witnesses, the bringing of documents, and the right of representation by another person;
b
an explanation of the right of the parties to ask for and to receive reasons in writing for any determination;
c
an explanation of the possible consequences of non-attendance and of the right of a party who does not attend and is not represented to make representations in writing.
3
If a party does not intend to attend or be represented at the hearing, he may send to the Secretary additional written representations in support of his case.
4
The Tribunal may alter the time and place of any hearing and the Secretary shall give the parties not less than 5 days’ (or such shorter time as the parties agree) notice of any such alteration:
Provided that any altered hearing date shall not (unless the parties agree) be before the date notified under paragraph (1).
5
The Tribunal may from time to time, on the application of a party or on its own initiative, adjourn the hearing and, if the time and place of the adjourned hearing are announced before the adjournment, no further notice shall be required.
Public notice of hearings
20
The Secretary shall keep at his office a list of all appeals for which a hearing is to be held and of the time and place fixed for the hearing, and the list shall be open to the inspection of any person without charge at all reasonable hours.
PART IV
DETERMINATION OF APPEALS
Power to determine an appeal in the absence of the parties
21
1
The Tribunal may —
a
if neither party has expressed an intention to be present or represented at the hearing; or
b
if every party who expressed that intention notifies the Secretary that he no longer intends to be present or represented; or
c
in the circumstances described in rule 11(a) or (b) above,
determine an appeal, or any particular issue, in the absence of the parties.
2
Where a date is fixed for the Tribunal to determine an appeal under this rule the Secretary shall give not less than 5 days’ notice in writing (or such shorter period as the parties may consent to in writing) of that date, but no such notice shall be required of any adjourned hearing.
3
Before determining the appeal under this rule the Tribunal shall consider the notice of appeal, reply and any other document or record sent to it by any party or witness. It may, if it thinks fit, direct a party or witness to provide in writing further information about any matter relating to the appeal.
4
The provisions of rule 25(5) below shall apply in respect of the determination of an appeal or any particular issue under this rule.
Hearings to be in public: exceptions
22
1
All hearings by the Tribunal shall be in public except where —
a
a direction under paragraph (4) has been made; or
b
the Tribunal is satisfied that, by reason of the disclosure of matters which relate to intimate personal or financial circumstances, are commercially sensitive, consist of information communicated or obtained in confidence or concern personal or national security, it is just and reasonable for the hearing or any part thereof to be in private.
2
Except where a direction under paragraph (4) has been made, the following persons shall be entitled to attend the hearing, whether or not it is in private —
a
any members of the panel of chairmen or members appointed under section 90 or 91 of the Act, notwithstanding that they do not constitute the Tribunal for the purpose of the hearing;
b
a member of the Council on Tribunals or of the Scottish Committee of that Council.
3
Except where a direction under paragraph (4) has been made, the Tribunal, with the consent of the parties, may permit any other person to attend a hearing which is held in private.
4
The Secretary of State may on grounds of national security direct the Tribunal to hold part or all of the hearing in private.
5
A direction under paragraph (4) shall not prevent an officer appointed in accordance with section 92(2) of the Act from attending the hearing if the Tribunal so requires.
6
Without prejudice to any other powers it may have, the Tribunal may exclude from the hearing, or part of it, any person whose conduct has disrupted or is likely, in the opinion of the Tribunal, to disrupt the hearing.
Failure of parties to attend hearing
23
1
If a party who expressed an intention to attend or be represented at a hearing fails to attend or be represented at that hearing the Tribunal may —
a
unless it is satisfied that there is sufficient reason for such absence, hear and determine the appeal in the party’s absence; or
b
adjourn the hearing,
and may make such order under rule 28(1) below as to costs or expenses as it thinks fit.
2
Before deciding to dispose of any appeal in the absence of a party, the Tribunal shall consider any representations in writing submitted by that party and, for the purpose of this rule, the notice of appeal and any reply, any amendments to either of them, any documents submitted with them and any supplementary statements shall be treated as representations in writing.
3
Where an appellant has failed to attend a hearing of which he was duly notified, and the Tribunal has disposed of the appeal, no fresh appeal may be made by the appellant to a Tribunal against the same disputed determination without the prior leave of the Tribunal:
Provided that nothing in this paragraph shall preclude the appellant from making an application for a review of the Tribunal’s determination under rule 27 below.
Representation at hearing
24
At the hearing, a party may conduct his case himself (with assistance from any person if he wishes) or may appear and be represented by any person whether or not legally qualified:
Provided that if in any particular case the Tribunal is satisfied that there are good and sufficient reasons for doing so, it may refuse to permit a particular person to assist or represent a party at the hearing.
Procedure at hearing
25
1
Subject to this rule, the Tribunal shall conduct the hearing in such manner as it considers most suitable to the clarification of the issues before it and generally to the just handling of the proceedings; it shall so far as appears to it appropriate seek to avoid formality in its proceedings.
2
At the beginning of the hearing the Chairman shall explain the order of proceeding which the Tribunal proposes to adopt.
3
The parties shall be heard in such order as the Tribunal shall determine. They shall be entitled to give evidence, to call witnesses, to question any witness and to address the Tribunal both on the evidence and generally on the subject matter of the appeal.
4
Evidence before the Tribunal may be given orally or, if the Tribunal so orders, by affidavit or statement, but the Tribunal may at any stage of the proceedings require the personal attendance of any maker of an affidavit or statement.
5
The Tribunal may admit evidence of any fact which appears to it to be relevant notwithstanding that such evidence would be inadmissible in proceedings before a court of law, and shall admit any evidence which is admissible at law and is relevant.
6
At any hearing the Tribunal may, if it is satisfied that it is just and reasonable to do so, permit a party to put forward any evidence not presented or known to the Authority before or at the time it made the disputed determination.
7
The Tribunal may require any party or witness to give evidence on oath or affirmation and for that purpose there may be administered an oath or affirmation in due form.
Determination of Tribunal
26
1
A determination of a Tribunal may be made by a majority and the determination shall record whether it was unanimous or taken by a majority.
2
The Tribunal may make its determination at the end of the hearing or may reserve it. If the determination is made at the end of a hearing it may be announced.
3
Every determination shall be recorded immediately in a document which —
a
save in the case of a determination by consent, shall also contain a statement of the reasons for its determination; and
b
shall be signed and dated by the Chairman.
4
Subject to paragraph (5), particulars of every document referred to in this rule shall, as soon as may be, be entered in the register and the Secretary shall send or deliver a copy of such documents and the entry to each party.
5
Where any such document refers to any evidence that has been heard in private, copies of the complete document shall be sent or delivered to the parties together with a copy of the entry, but the entry in the register shall not include or refer to such evidence.
6
Except where a determination is announced at the end of a hearing, it shall be treated as having been made on the date on which a copy of the document recording it is sent or delivered to the parties.
Review of Tribunal’s determination
27
1
If, on the application of a party or on its own initiative, the Tribunal is satisfied that —
a
a determination was wrongly made as a result of an error on the part of the Secretary; or
b
a party, who was entitled to be heard at a hearing and expressed an intention to attend or be represented but failed to appear or be represented, had good and sufficient reason for failing to appear; or
c
new evidence has become available since the conclusion of the hearing to which the determination relates, the existence of which could not have been reasonably known of or foreseen; or
d
the interests of justice require,
the Tribunal may review and, by certificate under the Chairman’s hand, set aside or vary the relevant determination.
2
An application for the purposes of paragraph (1) may be made immediately following the determination at the hearing. If an application is not made at the hearing, it shall be made by delivering it in writing, stating in full the grounds of application, to the Secretary not later than 5 days after the date on which the determination was received by that party. When the Tribunal proposes to review its determination on its own initiative, it shall give written notice of that proposal to the parties within 5 days of so proposing.
3
The parties shall, if they so request, have an opportunity to be heard on any application or proposal for review under this rule. The review shall be determined by the Tribunal which determined the case or, where this is not practicable, by another Tribunal selected under section 92 of the Act. If as a result of a review the determination is set aside or varied, the Tribunal shall by certificate under the Chairman’s hand substitute such determination as it thinks fit or order the same or a differently constituted Tribunal to redetermine the appeal.
4
The certificate of the Chairman as to the setting aside or variation of the Tribunal’s determination under this rule shall be sent to the Secretary and the Secretary shall immediately make such correction as may be necessary in the register and shall send a copy of the entry so corrected to the parties.
Orders for costs
28
1
The Tribunal shall not normally make an order awarding costs, but may, subject to paragraph (2), make such an order —
a
against a party (including a party who has withdrawn his appeal or reply) if it is of the opinion that that party has acted frivolously or vexatiously or that his conduct in making, pursuing or resisting an appeal was wholly unreasonable; or
b
against the Authority, where it considers that the determination against which the appeal is brought was wholly unreasonable; or
c
as respects any costs incurred as a result of a postponement or adjournment of a hearing at the request of a party; or
d
in the circumstances described in rule 5(2), 6(b), 10(2) or 23(1) above.
2
No order shall be made under paragraph (1) against a party without first giving that party an opportunity of making representations against the making of the order.
3
An order under paragraph (1) may require the party against whom it is made to pay the other party either a specified sum in respect of the costs incurred by that other party in connection with the proceedings or the whole or part of such costs as taxed (if not otherwise agreed).
4
Any costs required by an order under this rule to be taxed may be taxed in the county court according to such of the scales prescribed by the county court rules for proceedings in the county court as shall be directed in the order. Such costs shall, if a county court so orders, be recoverable by execution issued from a county court.
5
In the application of this rule to a Tribunal sitting in Scotland the word “costs” shall be deemed to mean “expenses”, and any expenses to be taxed may be taxed according to such part of the table of fees prescribed for proceedings in the sheriff court as shall be directed in the order and thereafter the Tribunal shall issue an order for payment of the amount as taxed.
6
In the application of this rule to a Tribunal sitting in Northern Ireland any costs which may be determined by the Tribunal under paragraph (1) above shall be determined by reference to the scales prescribed by rules of court for proceedings in the county court in Northern Ireland and any costs required to be taxed where the costs are not otherwise agreed shall be taxed in the same manner as costs in equity suits or proceedings in the county court in Northern Ireland.
PART V
ADDITIONAL POWERS OF, AND COMPOSITION OF, THE TRIBUNAL
Power to transfer cases
29
1
The Tribunal may transfer any proceedings before it to another Tribunal if it considers that by reason of the location of the parties or witnesses, the subject matter of the appeal, the availability of the Tribunal or some other sufficient reason the proceedings may be more conveniently determined by that other Tribunal.
2
Any Tribunal to which proceedings are transferred under this rule shall have jurisdiction to hear and determine the same as if the proceedings were properly commenced in it in accordance with these Rules.
3
For the purposes of rule 28 above, an appeal which is transferred from a Tribunal sitting in one part of the United Kingdom to a Tribunal sitting in another part of the United Kingdom shall be treated as if all the proceedings had taken place in the Tribunal which finally determined the appeal.
Miscellaneous powers of Tribunal
30
1
Subject to the provisions of the Act and these Rules, a Tribunal may regulate its own procedure.
2
A Tribunal may, if it thinks fit —
a
extend the time appointed by or under these Rules for bringing an appeal or doing any act, notwithstanding that the time appointed may have expired;
b
if the appellant at any time gives notice of the withdrawal of his appeal, dismiss the proceedings;
c
if the parties agree in writing on the terms of a determination to be made by the Tribunal, decide accordingly (and in making any such determination, it shall not be necessary for the Tribunal to give reasons);
d
subject to the proviso below, at any stage of the proceedings order to be struck out or amended any notice of appeal, reply, supplementary statement or written representation on the grounds that it is scandalous, frivolous or vexatious;
e
subject to the proviso below, order to be struck out any appeal for want of prosecution:
Provided that before making any order under sub-paragraph (d) or (e), the Tribunal shall send notice to the party against whom it is proposed that any such order should be made giving him an opportunity to show cause why such an order should not be made.
Irregularities
31
1
Any irregularity resulting from failure to comply with any provision of these Rules or of any direction or order of the Tribunal before the Tribunal has reached its determination shall not of itself render the proceedings void.
2
Where any such irregularity comes to the attention of the Tribunal, the Tribunal may, and shall if it considers that any person may have been prejudiced by the irregularity, give such directions to cure or waive the irregularity as it thinks just before reaching its determination.
3
Clerical mistakes in any document recording a direction, order or determination of the Chairman or Tribunal, or errors arising in such a document from an accidental slip or omission, may be corrected by the Chairman by certificate under his hand.
Power of Chairman to exercise powers of Tribunal
32
1
Any act required or authorised by these Rules to be performed by the Tribunal other than a determination or the making of an order disposing of the appeal following a review under rule 27 above may be done by the Chairman or any member of the panel of chairmen:
Provided that where an order is made by a chairman under rule 30, paragraph (2)(d) or (2)(e), it shall not have effect unless it is confirmed by the Tribunal or in writing by its other members who shall not be required to meet for this purpose.
2
In the event of the death or incapacity of the Chairman following the determination of the Tribunal in any matter, the functions of the Chairman for the completion of the proceedings, including any review of the determination, may be exercised by any member of the panel of chairmen.
PART VI
MISCELLANEOUS
The register and publication of determinations
33
1
The register shall be kept at the office of the Secretary and shall be open to the inspection of any person without charge at all reasonable hours.
2
The register may be kept by means of a computer.
3
The Tribunal may make arrangements for the publication of its determinations as it considers appropriate, but in doing so shall have regard to the need to preserve the confidentiality of any evidence heard in private or to which rule 12(2) above applies, and for that purpose may make any necessary amendments to the text of a determination.
Proof of documents and certification of determinations
34
1
Any document purporting to be a document duly executed or issued by the Secretary on behalf of the Tribunal shall, unless the contrary is proved, be deemed to be a document so executed or issued as the case may be.
2
A document purporting to be certified by the Secretary to be a true copy of any entry of a determination in the register shall, unless the contrary is proved, be sufficient evidence of the entry and of matters contained therein.
Method of sending, delivering or serving documents, etc.
35
1
Any document required or authorised by these Rules to be sent or delivered to any person shall be duly sent or delivered to that person if it is —
a
sent to him at his proper address by post;
b
sent to him at that address by means capable of producing a document containing a text of the communication, in which event the document shall be regarded as sent when it is received in a legible form;
c
delivered to him or left at his proper address.
2
If any document is sent by first class recorded delivery or registered post, it shall be treated as if it had been delivered on the day after it was received for despatch by the Post Office.
3
The proper address of any person to whom any such document is to be sent or delivered shall be —
a
in the case of the Secretary, the address included in or with the written notification of the disputed determination, or failing that —
The Secretary of the Reserve Forces Appeal Tribunals
c/o Mailroom
Ministry of Defence
Whitehall
London
SW1A 2HB;
b
in the case of any other person, any address that he has notified to the Secretary (whether in pursuance of rule 3(1)(a) or (f) above, or rule 8(1)(b) above or otherwise) as his address for the purposes of the appeal; or
c
in the case of a witness who has not notified an address as mentioned in sub-paragraph (b), any address provided by the appellant or the Authority in accordance with rule 3(1)(g) above or rule 8(1)(d) above; or
d
in the case of a secretary or clerk of any incorporated company or body for whom an address has not been provided as mentioned in sub-paragraph (b) or (c), that of the registered or principal office of the company or body; or
e
in any other case, the last-known address of the person in question.
Substituted service
36
If any person to whom any document is required to be sent or delivered under these Rules cannot be found or has died and has no known personal representative, or is out of the United Kingdom, or if for any other reason the document cannot readily be so sent or delivered, the Chairman may dispense with that requirement or may make an order for substituted service on such other person or in such other form (whether by advertisement in a newspaper or otherwise) as the Chairman may think fit.
Time
37
Where the time prescribed by these Rules for doing any act expires on a Saturday, Sunday or public holiday, the act shall be in time if done on the next following day which is not a Saturday, Sunday or public holiday.
Nicholas Soames
Minister of State, Ministry of Defence
17th March 1997


type: legislation

jurisdiction: UK

text:
Citation, commencement and interpretation
1
1
This Order may be cited as the City of Peterborough (Parishes and Electoral Changes) Order 1997.
2
This Order shall come into force —
a
for the purposes of article 2 on 1st April 1997; and
b
for the purposes of articles 3, 4, 8 and 9 on 1st May 1997;
except that for the purpose of all proceedings preliminary or relating to an election to be held on or after 1st May 1997 articles 2, 3, 4 and 9(3) shall come into force on the day after the day on which it is made.
3
For the purposes of article 5 this Order shall come into force on 4th May 2000, except that for the purpose of all proceedings preliminary or relating to an election of a parish councillor of the parish of Bretton to be held on or after that date that article shall come into force on 10th October 1999.
4
For the purposes of articles 6 and 7 this Order shall come into force on 6th May 1999, except that for the purpose of all proceedings preliminary or relating to an election of a parish councillor of the parishes of Orton Longueville and Orton Waterville to be held on or after that date that article shall come into force on 10th October 1998.
5
In this Order —
“the city” means the city of Peterborough;
“existing”, in relation to a ward, means the ward as it exists on the date this Order is made;
any reference to the map is a reference to the map prepared by the Department of the Environment, marked “Map of the City of Peterborough (Parishes and Electoral Changes) Order 1997”, and deposited in accordance with regulation 27 of the Local Government Changes for England Regulations 1994 ; and
any reference to a numbered sheet is a reference to the sheet of the map which bears that number.
Transfers between parishes in Peterborough
2
1
The area marked A on sheet 1 shall cease to form part of the parish of Peakirk and shall become an unparished area of the city.
2
The area marked B on sheet 3 shall be transferred from the parish of Castor to the parish of Bretton, and to the No. 4 ward of that parish.
Wards of Peterborough
3
1
The existing wards of the city shall be abolished.
2
The city shall be divided into twenty-four wards which shall bear the names set out in column 1 of Schedule 1.
3
The wards shall comprise the areas described in column 2 of that Schedule by reference to parishes or parishes and parish wards or, where no area is so described, the area designated on the map by reference to the name of the ward and demarcated by red lines; and the number of councillors to be elected for each ward shall be the number specified in column 3 of that Schedule.
4
Where a boundary is shown on the map as running along a road, railway line, footway, waterway or other similar geographical feature, it shall be treated as running along the centre line of the feature.
Elections of the council of Peterborough
4
1
Subject to the following provisions of this article, the election of councillors for wards of the city shall be by thirds.
2
Elections of all councillors for wards of the city shall be held simultaneously on the ordinary day of election of councillors in 1997.
3
The councillors holding office for any ward in the city immediately before 5th May 1997 shall retire on that date and the newly elected councillors for any such ward shall come into office on that date.
4
The order of retirement of councillors shall be as set out in Schedule 2.
5
Where the number of councillors elected in 1997 for any ward of the city is two, the first to retire in that ward shall be, subject to paragraphs (7) and (8), the councillor elected by the smaller number of votes.
6
Where the number of councillors elected in 1997 for any ward of the city is three —
a
the first to retire shall, subject to paragraphs (7) and (8), be the councillor elected by the smallest number of votes; and
b
the second to retire shall, subject to those paragraphs, be the councillor elected by the next smallest number of votes.
7
In the case of an equality of votes between any persons elected which makes it uncertain which of them is to retire in any such year, the person to retire in that year shall be determined by lot.
8
If an election of councillors for any ward is not contested, the person to retire in each such year shall be determined by lot.
9
Where under this article any question is to be determined by lot, the lot shall be drawn at the next practicable meeting of the council after the question has arisen and the drawing shall be conducted under the direction of the person presiding at the meeting.
10
In each year in which a councillor for a ward in the city retires in accordance with paragraphs (4) to (9) an election of a councillor for that ward shall be held on the ordinary day of election of councillors in that year; and the term of office of councillors elected at such an election shall be three years.
11
Except as otherwise provided in the foregoing paragraphs of this article, the term of office of councillors shall be four years, and all councillors shall retire on the fourth day after the ordinary day of election of councillors of the city in the year of retirement and the newly elected councillors shall come into office on the day on which their predecessors retire.
Wards of Bretton parish
5
1
The existing wards of the parish of Bretton shall be abolished.
2
The parish shall be divided into two parish wards which shall bear the names set out in column 1 of Schedule 3.
3
The parish wards shall comprise the areas described in column 2 of that Schedule by reference to wards of the city, and the number of councillors to be elected for each ward shall be the number specified in column 3 of that Schedule.
Orton Longueville parish
6
1
The parish of Orton Longueville shall be divided into two parish wards which shall bear the names set out in column 1 of Schedule 4.
2
The parish wards shall comprise the areas described in column 2 of that Schedule by reference to wards of the city, and the number of councillors to be elected for each ward shall be the number specified in column 3 of that Schedule.
Orton Waterville parish
7
1
The parish of Orton Waterville shall be divided into five parish wards which shall bear the names set out in column 1 of Schedule 5.
2
The parish wards shall comprise the areas designated on sheet 7 by reference to the name of the ward and demarcated by red lines, and the number of councillors to be elected for each ward shall be the number specified in column 2 of that Schedule.
Parish council elections
8
1
Elections of all parish councillors for the parishes of Ailsworth, Castor, Glinton, Marholm and Wothorpe shall be held simultaneously on the ordinary day of election of councillors in 1999, 2002 and every fourth year after 2002.
2
The ordinary elections of parish councillors for the parishes of Borough Fen, Sutton, Thorney, Thornhaugh, Wansford and Wittering in 1998 shall not take place; and any such parish councillor holding office immediately before 11th May 1998 who would, but for this paragraph, have retired on that date shall, unless he resigns his office or it otherwise becomes vacant, continue to hold office until 10th May 1999.
3
The term of office of any parish councillor elected on the ordinary day of election of councillors in 1999 for the parishes of Deeping Gate, Eye, Maxey, Newborough, Northborough and Peakirk shall be three years.
4
The term of office of any parish councillor elected on the ordinary day of election of councillors in 2000 for the parishes of Bainton, Barnack, Etton, Helpston, Southorpe and Ufford shall be three years.
5
Elections of all parish councillors for the parishes of Borough Fen, Sutton, Thorney, Thornhaugh, Wansford and Wittering shall be held simultaneously on the ordinary day of election of councillors in 1999, 2002 and every fourth year after 2002.
6
Elections of all parish councillors for the parishes of Deeping Gate, Eye, Maxey, Newborough, Northborough and Peakirk shall be held simultaneously on the ordinary day of election of councillors in 2002 and every fourth year after 2002.
7
Elections of all parish councillors for the parishes of Bainton, Barnack, Etton, Helpston, Southorpe and Ufford shall be held simultaneously on the ordinary day of election of councillors in 2003 and every fourth year after 2003.
8
The term of office of any parish councillor elected at the elections held pursuant to paragraph (1), (5), (6) or (7) shall be, in the case of councillors elected in 1999, three years and, in any other case, four years.
9
On the fourth day after any such election —
a
the persons who were parish councillors immediately before those elections shall retire; and
b
the newly elected parish councillors shall come into office.
10
Rule 8 of the Local Elections (Parishes and Communities) Rules 1986 (filling of casual vacancies) shall have effect, in the case of a casual vacancy occurring before 10th May 1999 in the office of a parish councillor for the parish of Borough Fen, Sutton, Thorney, Thornhaugh, Wansford or Wittering as if the references in paragraphs (1) and (4) of that rule to the day on which that councillor would regularly have retired were a reference to that date.
Amendment of the Cambridgeshire (City of Peterborough) (Structural, Boundary and Electoral Changes) Order 1996
9
1
The Cambridgeshire (City of Peterborough) (Structural, Boundary and Electoral Changes) Order 1996 shall be amended in accordance with the following paragraphs of this article.
2
In article 4 —
a
in sub-paragraph (b) of paragraph (2), for “the Stanground ward” substitute “the South ward”; and
b
in sub-paragraph (ii) of paragraphs (3), (4) and (5), for “the Fletton ward” substitute “the South ward”.
3
In article 10(1), for “the Fletton ward” substitute “the South ward”.
4
Articles 8 and 9 are revoked.
Signed by authority of the Secretary of State
David Curry
Minister of State,
Department of the Environment
21st February 1997


text:
1
1
These Regulations may be cited as the Antarctic (Jersey) Regulations 1997.
2
These Regulations shall come into force upon being registered by the Royal Court of Jersey.
2
The provisions of the Antarctic Regulations 1995 shall, subject to the modifications specified in the Schedule to these Regulations, have effect in the Bailiwick of Jersey and shall form part of the law of the Bailiwick of Jersey.
Jack Straw
One of Her Majesty’s Principal Secretaries of State
Home Office
10th December 1997


text:
1
This Order may be cited as the Public Telecommunication System Designation (Telewest Communications plc) Order 1997 and shall come into force on 26th March 1997.
2
Each of the Applicable Systems is hereby designated as a public telecommunication system.
Ian Taylor
Parliamentary Under-Secretary of State for Science and Technology,
Department of Trade and Industry
24th February 1997


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Housing Benefit and Council Tax Benefit (General) Amendment (No. 2) Regulations 1997 and shall come into force on 3rd November 1997.
2
In these Regulations —
“the Council Tax Benefit Regulations ” means the Council Tax Benefit (General) Regulations 1992 ;
“the Housing Benefit Regulations ” means the Housing Benefit (General) Regulations 1987 .
Landlord as a fit and proper person
2
1
In regulation 93 of the Housing Benefit Regulations (circumstances in which payment is to be made to a landlord), after paragraph (2) there shall be added the following paragraph —
3
Where the appropriate authority is not satisfied that the landlord is a fit and proper person to be the recipient of a payment of rent allowance no such payment shall be made direct to him under paragraph (1).
.
2
In regulation 94 of the Housing Benefit Regulations (circumstances in which payment may be made to a landlord) in paragraph (1) after the words “does not apply” there shall be inserted the words “but subject to paragraph (1B)”, and after paragraph (1A) there shall be inserted the following paragraph —
1B
In a case where the appropriate authority is not satisfied that the landlord is a fit and proper person to be the recipient of a claimant’s rent allowance, the authority may either —
a
not make direct payments to the landlord in accordance with paragraph (1), or
b
make such payments to the landlord where the authority is satisfied that it is nonetheless in the best interests of the claimant and his family that the payments be made.
.
3
In regulation 95 of the Housing Benefit Regulations (withholding of benefit) —
a
after paragraph (1) there shall be inserted the following paragraphs —
1A
An appropriate authority may withhold payment of rent allowance which it would otherwise make to a landlord in accordance with regulation 93(1) or 94(1), where the authority has evidence which raises a reasonable doubt as to whether the landlord is a fit and proper person to be the recipient of such payments.
1B
An appropriate authority may withhold rent allowance payable to a claimant where the question whether payment be made to the landlord under regulation 93 or regulation 94 is for determination by the authority.
.
b
after paragraph (6) there shall be inserted the following paragraphs —
6A
In a case to which paragraph (1A) applies, the authority shall within 14 days of the doubt arising, or such longer period as may be appropriate in the circumstances of the case, satisfy itself as to whether the landlord is a fit and proper person to be the recipient of payments of rent allowance, and —
a
if it is so satisfied and that regulation 93 or, as the case may be, regulation 94, also continues to be satisfied, pay any payments withheld to which the claimant is entitled to the landlord under regulation 93 or regulation 94 as appropriate; or
b
if it is so satisfied but the requirements of regulation 93 or, as the case may be, regulation 94 are no longer satisfied, or if it is not so satisfied —
i
pay that amount to the claimant; or
ii
where these Regulations enable it to do so, make such other arrangements for the payment of that amount as appear appropriate in the circumstances of the case.
6B
In a case to which paragraph (1B) applies, the authority shall determine the question arising under regulation 93 or regulation 94 within 14 days of its determination to withhold payment of rent allowance from the claimant or such longer period as may be appropriate in the circumstances of the case, and
a
where it determines that payments be made to the landlord in accordance with regulation 93 or, as the case may be, regulation 94, pay those payments withheld to the landlord; or
b
where it determines that payments shall not be made to the landlord —
i
pay those payments withheld to the claimant; or
ii
where these Regulations enable it to do so, make such other arrangements for the payment of the amount withheld as appear appropriate in the circumstances of the case.
.
Suspension of Housing Benefit
3
In the Housing Benefit Regulations, after regulation 96 there shall be inserted the following regulation —
Suspension of Benefit
96A
1
Payment of housing benefit may be suspended by the authority making the payment where it appears to the authority that a question has arisen as to whether the conditions of entitlement to housing benefit are fulfilled.
2
Where payment of housing benefit is suspended in accordance with paragraph (1), the appropriate authority shall require the claimant whose benefit is suspended to furnish such information in connection with that question as may be reasonable in the circumstances, and the claimant shall comply with that requirement within 4 weeks of being required to do so, or within such longer period as the appropriate authority considers reasonable in his case.
3
Notwithstanding paragraph (2), a claimant shall not be required to supply any information in relation to a payment to which regulation 73(3) (payments from certain funds) applies.
4
An appropriate authority shall, within 7 days of suspending benefit in accordance with paragraph (1), or as soon as may be reasonably practicable thereafter, notify the claimant of —
a
its determination to suspend payment of housing benefit; and
b
its requirements as to the provision of information.
5
An appropriate authority to whom information is provided in accordance with this regulation may, after considering the information provided, require the claimant to provide such further information as is reasonable in the circumstances of the case, and where it does so, the same requirements and restrictions apply to the information required under this paragraph as applied to the information required under paragraph (2).
6
Where paragraph (7) applies an appropriate authority shall, within 14 days of the date the last of the information required under this regulation is received or as soon as reasonably practicable thereafter, either —
a
review the award of housing benefit to the claimant in accordance with regulation 79(1); or
b
restore payment of housing benefit to the claimant including any payment which accrued during the period of suspension.
7
This paragraph applies where —
a
an appropriate authority requires a claimant to provide information in accordance with this regulation;
b
that information has been provided; and
c
the authority does not require further information from him in accordance with paragraph (5).
8
In a case where a requirement to provide information has not been complied with within 4 weeks of its imposition or such longer period (not exceeding 13 weeks) as the appropriate authority considers appropriate in the circumstances of the particular case, the authority shall review the award of housing benefit and the review shall be treated for the purposes of this Part of these Regulations as if it had been made under regulation 79(1).
9
For the purposes of paragraph (8) the period of 4 weeks, or such longer period as may be determined by the authority, shall begin on the day following the day on which the last or only requirement which has not been complied with was imposed.
10
Where —
a
payment of a claimant’s housing benefit is suspended;
b
his benefit period comes to an end whilst the suspension is in force; and
c
no further claim for housing benefit has been received by the appropriate authority before the end of the benefit period,
the appropriate authority shall invite the claimant to make a further claim for benefit and any claim made within 4 weeks of the end of the benefit period shall have effect immediately after the end of that benefit period.
11
In this regulation information includes evidence, certificates and documents.
.
Notice of determination where direct payment made to landlords
4
1
Part IV of Schedule 6 to the Housing Benefit Regulations (matters to be included in the notice of determination) shall be amended in accordance with the following paragraphs.
2
In paragraph 11 for the words following “notice of determination” to the end of the paragraph, there shall be substituted the words —
shall include a statement —
as to the amount of housing benefit which is to be paid direct to the landlord and the date from which it is to be paid; and
informing the landlord of the duty imposed upon him to notify the local authority of —
any change in circumstances which might affect the claimant’s entitlement to housing benefit, or the amount of housing benefit payable in his case; and
the kind of change of circumstances which is to be notified,
and the notice shall be sent both to the claimant and to the landlord.
.
3
After paragraph 11 there shall be inserted the following paragraph —
11A
In this Part, “landlord” has the same meaning as in regulation 93.
.
Suspension of Council Tax Benefit
5
In the Council Tax Benefit Regulations, after regulation 81, there shall be inserted the following regulation —
Suspension of benefit
81A
1
Payment of council tax benefit, or a person’s right to make a reduction from the amount of his liability for council tax, may be suspended by the authority making the payment, or granting the right, where it appears to the authority that a question has arisen as to whether the conditions for entitlement to council tax benefit are fulfilled (in this regulation referred to as a “suspension”).
2
An authority which has made a suspension shall require the claimant to whom it applies to furnish such information in connection with that question as may be reasonable in the circumstances, and the claimant shall comply with that requirement within 4 weeks of being required to do so, or within such longer period as that authority considers reasonable in his case.
3
Notwithstanding paragraph (2), a claimant shall not be required to supply any information in relation to a payment to which regulation 63(3) (payments from certain funds) applies.
4
An appropriate authority shall, within 7 days of the suspension, or as soon as may be reasonably practicable thereafter, notify the claimant of —
a
its determination to suspend payment of council tax benefit or the right to make a reduction from the amount of his liability for council tax; and
b
its requirements as to the provision of information.
5
An appropriate authority to whom information is provided in accordance with this regulation may, after considering the information provided, require the claimant to provide such further information as is reasonable in the circumstances of the case, and where it does so, the same requirements and restrictions apply to the information required under this paragraph as applied to the information required under paragraph (2).
6
Where paragraph (7) applies, an appropriate authority shall, within 14 days of the date the last of the information required under this regulation is received or as soon as reasonably practicable thereafter, either —
a
review the award of council tax benefit to the claimant in accordance with regulation 69(1); or
b
restore to the claimant payments of council tax benefit or the right to make a reduction from the amount of his liability for council tax, including any such payment or right to reduction which accrued during the suspension.
7
This paragraph applies where —
a
an appropriate authority requires a claimant to provide information in accordance with this regulation;
b
that information has been provided; and
c
the authority does not require further information from him in accordance with paragraph (5).
8
In a case where a requirement to provide information has not been complied with within 4 weeks of its imposition or such longer period (not exceeding 13 weeks) as the appropriate authority considers appropriate in the circumstances of the particular case, the authority shall review the award of council tax benefit and the review shall be treated for the purposes of this Part of these Regulations as if it had been made under regulation 69(1).
9
For the purposes of paragraph (8), the period of 4 weeks, or such longer period as may be determined by the authority, shall begin on the day following the day on which the last or only requirement which has not been complied with was imposed.
10
Where —
a
an appropriate authority has imposed a suspension;
b
the claimant’s benefit period comes to an end whilst the suspension is in force; and
c
no further claim for council tax benefit has been received by the appropriate authority before the end of the benefit period,
the appropriate authority shall invite the claimant to make a further claim for benefit and any claim made within 4 weeks of the end of the benefit period shall have effect immediately after the end of that benefit period.
11
In this regulation “information” includes evidence, certificates and documents.
.
Signed by authority of the Secretary of State for Social Security.
John Y. Denham
Parliamentary Under-Secretary of State,
Department of Social Security
8th October 1997


text:
1
This Order may be cited as the Double Taxation Relief (Taxes on Income) (Singapore) Order 1997.
2
It is hereby declared —
a
that the arrangements specified in the Agreement set out in Part I of the Schedule to this Order and in the Exchange of Notes constituting an Agreement set out in Part II of that Schedule have been made with the Government of the Republic of Singapore with a view to affording relief from double taxation in relation to income tax, corporation tax or capital gains tax and taxes of a similar character imposed by the laws of Singapore;
b
that those arrangements include provisions with respect to the exchange of information necessary for carrying out the domestic laws of the United Kingdom and the laws of Singapore concerning taxes covered by the arrangements including, in particular, provisions about the prevention of fiscal evasion with respect to those taxes; and
c
that it is expedient that those arrangements should have effect.
N. H. Nicholls
Clerk of the Privy Council


text:
1
This Order may be cited as the Public Telecommunication System Designation (General Telecommunications Limited) Order 1997 and shall come into force on 26th December 1997.
2
Each of the Applicable Systems is hereby designated as a public telecommunication system.
Barbara Roche,
Parliamentary Under-Secretary of State for Small Firms, Trade and Industry,
Department of Trade and Industry
26th November 1997


text:
1
This Order may be cited as the Public Telecommunication System Designation (Lichfield Cable Communications Limited) Order 1997 and shall come into force on 7th March 1997.
2
Each of the Applicable Systems is hereby designated as a public telecommunication system.
Ian Taylor,
Parliamentary Under Secretary of State for Science and Technology,
Department of Trade and Industry
5th February 1997


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Occupational Pension Schemes (Pensions Compensation Provisions) Regulations 1997 and shall come into force on 6th April 1997.
2
In these Regulations, unless the context otherwise requires —
“the audited accounts” means the accounts prepared by the auditor ;
“the 1988 Act ” means the Income and Corporation Taxes Act 1988 ;
“the 1993 Act ” means the Pension Schemes Act 1993 ;
“approved scheme ” means a scheme which is approved or was formerly approved under section 590 or 591 of the 1988 Act, or in respect of which an application for such approval has been duly made which has not been determined;
“the auditor” means an individual or a firm appointed by the trustees as auditor of the scheme;
“ base rate ” means the rate for the time being quoted by the reference banks as applicable to sterling deposits or, where there is for the time being more than one such base rate, the rate which, when the base rate quoted by each bank is ranked in a descending sequence of four, is first in the sequence;
“ beneficiary ” means a person, other than a member of the scheme, who is entitled to the payment of benefits under the scheme;
“ Board ” means the Pensions Compensation Board ;
“compensation provisions” has the meaning given by section 81(3);
“ear-marked scheme” means an occupational pension scheme which is a money purchase scheme under which all the benefits are secured by one or more policies of insurance or annuity contracts and such policies or contracts are specifically allocated to the provision of benefits for individual members or any other person who has a right to benefits under the scheme;
“guaranteed minimum pension” has the meaning given in section 8(2) of the 1993 Act;
“the loss” means the reduction falling within section 81(1)(c);
“money purchase benefits” has the meaning given in section 181(1) of the 1993 Act;
“money purchase scheme” means an occupational pension scheme under which all the benefits that may be provided other than death benefits are money purchase benefits;
“normal pension age” has the meaning given by section 180 of the 1993 Act;
“reference banks” means the four largest institutions for the time being which —
are authorised by the Bank of England under the Banking Act 1987 ,
are incorporated in and carrying on within the United Kingdom a deposit-taking business (as defined in section 6, but subject to any order under section 7, of that Act), and
quote a base rate applicable to sterling deposits;
“relevant insurer” means, in relation to an annuity contract or policy of insurance under which scheme benefits are or were secured, the person with whom the contract is made;
“scheme” means an occupational pension scheme which is a trust scheme;
“ unallocated assets ” means any assets of a money purchase scheme which have not been specifically allocated for the provision of benefits to or in respect of members (whether generally or individually).
3
Unless the context otherwise requires, any reference in these Regulations to a numbered section is to the section of the Pensions Act 1995 bearing that number.
Schemes to which the compensation provisions and these Regulations do not apply
2
1
The compensation provisions and these Regulations shall not apply to —
a
a scheme which has fewer than two members and no beneficiaries;
b
a scheme the only benefits provided by which are death benefits and under the provisions of which no member has accrued rights;
c
a scheme which provides relevant benefits, but is neither an approved scheme nor a relevant statutory scheme;
d
a scheme whose members are fewer than 12, all of whom are trustees and under the rules of which all trustee decisions must be made by unanimous agreement, save that the non-participation of a pensioneer trustee in any such decision shall be disregarded;
e
a public service pension scheme;
f
a relevant lump sum retirement benefits scheme;
g
a scheme in respect of which any Minister of the Crown has given a guarantee or made any other arrangements for the purpose of securing that the assets of the scheme are sufficient to meets its liabilities;
h
a section 615(6) scheme.
2
In this regulation —
“lump sum benefits” does not include benefits paid by way of commuted retirement pension;
“pensioneer trustee” has the meaning given in regulation 2(1) of the Retirement Benefits Schemes (Restriction on Discretion to Approve) (Small Self-administered Schemes) Regulations 1991 ;
“public service pension scheme” has the meaning given by section 1 of the 1993 Act;
“relevant benefits” has the meaning given in section 612(1) of the 1988 Act;
“relevant lump sum retirement benefits scheme” means an approved scheme —
which has been categorised by the Board of Inland Revenue for the purposes of its approval as a centralised scheme for non-associated employers;
which is not contracted-out; and
under the provisions of which the only benefits which may be provided on or after retirement (other than money purchase benefits derived from the payment of additional contributions by any person) are lump sum benefits which are not calculated by reference to any member’s salary;
“relevant statutory scheme” has the meaning given in section 611A of the 1988 Act ;
“section 615(6) scheme” means a scheme with such a superannuation fund as is mentioned in section 615(6) of the 1988 Act.
Relevant offences
3
For the purposes of section 81(1)(c) (cases where compensation provisions apply: reduction to be attributable to prescribed offence), the prescribed offence is any offence involving dishonesty, and for the avoidance of doubt dishonesty shall include an intent to defraud.
Applications for compensation
4
An application for compensation under section 82 in respect of a scheme may only be made by —
a
the trustees of a scheme, or their representative;
b
a person concerned with the administration of, or the provision of benefits under, the scheme, or his representative; or
c
a member of, or beneficiary under, the scheme, or his representative.
Amount of compensation
5
1
If the Board decide to make a payment or payments to the trustees in accordance with section 83, the amount of any such payment or (if there is more than one) the aggregate must be determined in accordance with paragraph (2).
2
The amount shall be the lower of the amounts specified in paragraphs (a) and (b) of section 83(3), less the amount of any payment already made under section 84 (payments made in anticipation), except to the extent that any such payment has been recovered by the Board.
3
For the purposes of section 83(3)(a) (compensation not to exceed 90 per cent. of the shortfall at the application date), and subject to paragraph (4), the amount of the shortfall at the application date shall be calculated in accordance with the formula —
P - Q
where —
P is
the value of the assets as stated in the audited accounts which most immediately precede the loss, adjusted by the auditor so as to take into account subsequent alterations in their value (if any) which occur prior to the application date, but disregarding the alteration in their value attributable to the loss itself, or
if there are no such audited accounts, the value of the assets on such date as immediately precedes the loss, as reported by the auditor, adjusted in the same manner as for the calculation under head (i), and
Q is the value of the assets immediately before the application date, as reported by the auditor;
and the same principles are used to value the assets for the purposes of P and Q.
4
In the case of an ear-marked scheme, the amount of the shortfall at the application date for the purposes of section 83(3)(a), shall be calculated in accordance with the formula —
P + R - Q
where —
P is the value of the assets on such date as immediately precedes the loss, adjusted so as to take into account the loss and other alterations in their value (if any) between that date and the application date, as certified by the relevant insurer,
R is the value of the assets constituting the loss on such date as immediately precedes its occurrence adjusted so as to reflect any alteration in the value of those assets which would have occurred had they remained in the scheme until immediately before the application date, or certified by the relevant insurer,
Q is the value of the assets immediately before the application date, as certified by the relevant insurer,
and the same principles are used to value the assets for the purposes of P, R and Q.
5
For the purposes of section 83(3)(b) (amount required to secure assets equal to 90 per cent. of liabilities), the value of the assets and the amount of the liabilities of the scheme on the settlement date shall be determined under an actuarial valuation carried out in accordance with regulations 3 to 9 of the Occupational Pension Schemes (Minimum Funding Requirement and Actuarial Valuations) Regulations 1996 and the mandatory guidelines on the minimum funding requirement contained in Guidance Note 27 (GN27), prepared and published by the Institute of Actuaries and the Faculty of Actuaries .
6
For the purposes of section 83(3)(a) —
a
the prescribed rate of interest shall be —
(base rate plus 2 per cent.)×90 per cent.; and
b
the prescribed period by reference to which the rate of interest specified in sub-paragraph (a) is calculated shall commence on the application date and end on the settlement date.
Payments made in anticipation
6
1
The prescribed class of liabilities referred to in section 84(1)(b) (liabilities the trustees would not otherwise be able to meet) are —
a
any liability for payment of pensions which has arisen at the application date;
b
any liability which arises between the application date and the settlement date for payment of —
i
guaranteed minimum pensions,
ii
pensions, other than guaranteed minimum pensions, payable to persons reaching normal pension age,
iii
pensions payable to beneficiaries,
iv
ill-health retirement pensions;
c
in the case of a scheme where some or all of the benefits that may be provided are money purchase benefits, any liability such as is specified in paragraph (2).
2
The liability referred to in paragraph (1)(c) is the approximate amount of any monthly pension that would have been payable in respect of money purchase benefits prior to the settlement date but for the loss.
3
Except where any liability for payment of a pension arises in connection with terminal illness, such liability shall not for the purposes of this regulation include any liability for payment of a lump sum, whether or not deriving from the commutation of pension rights.
4
For the purposes of paragraph (3), a person shall be regarded as terminally ill where his expectation of life is less than one year, and the expression terminal illness shall be construed accordingly.
5
Payments made in anticipation shall be calculated —
a
so that, so far as the Board is reasonably able to achieve, the extent to which liabilities specified in paragraph (1) are satisfied after the Board has made a payment under section 83, is undiminished;
b
so as to counter-balance any payments in anticipation made previously which were too great or too small;
c
so as not to exceed the amount required to enable the trustees of the scheme, prior to the settlement date, to meet such liabilities as are specified in paragraph (1); and
d
so as not to exceed 90 per cent. of the shortfall at the application date.
6
For the purposes of section 84(3), the prescribed circumstances in which any payment made under section 84(1) may not be recovered, in whole or in part, are where such recovery would cause pensions in payment to be reduced.
Mixed benefit schemes
7
1
This paragraph applies where some, but not all, of the benefits that may be provided under a scheme are money purchase benefits.
2
Where paragraph (1) applies to a scheme, and the assets out of which money purchase benefits are provided —
a
are distinct from the assets out of which other benefits are provided, and
b
cannot be used for the purposes of providing any other benefits,
then the compensation provisions and these Regulations shall apply as if the assets out of which money purchase benefits are provided, and the proportion of the liabilities which is attributable to the provision of money purchase benefits, were the assets and liabilities of a separate scheme.
3
Where paragraph (1) applies to a scheme, and the assets out of which money purchase benefits are provided —
a
are not distinct from the assets out of which other benefits are provided, or
b
are so distinct but can be used for the purposes of providing other benefits,
then the compensation provisions and these Regulations shall apply as if the proportion of the liabilities which, in the opinion of the Board, is attributable to the provision of money purchase benefits, and a like proportion of the assets, were the liabilities and assets of a separate scheme.
Multi-employer schemes
8
1
Where a scheme applies to earners in employments under different employers —
a
section 81(1)(b) shall have effect as if the words “the employers are insolvent” were substituted for the words “the employer is insolvent”; and
b
section 81(3)(c) shall have effect as if the words “the last employer became insolvent” were substituted for the words “the employer became insolvent”.
2
Where a scheme in relation to which there is more than one employer is divided into two or more sections and the provisions of the scheme are such that —
a
different sections of the scheme apply to different employers or groups of employers (whether or not more than one section applies to any particular employer or groups including any particular employer);
b
contributions payable to the scheme by an employer, or by a member in employment under that employer, are allocated to that employer’s section (or, if more than one section applies to the employer, the section which is appropriate in respect of the employment in question); and
c
a specified part or proportion of the assets of the scheme is attributable to each section and cannot be used for the purposes of any other section;
or where —
d
a scheme which has been such a scheme as is mentioned in sub-paragraphs (a) to (c) is divided into two or more sections some or all of which apply only to members who are not in pensionable service under the section;
e
the provisions of the scheme have not been amended so as to prevent the conditions mentioned in sub-paragraphs (a) to (c) being satisfied in relation to two or more sections; but
f
those conditions have ceased to be satisified in relation to one or more sections by reason only of there being no members in pensionable service under the section and no contributions which are to be allocated to it,
the compensation provisions and these Regulations shall apply as if each section of the scheme were a separate scheme.
3
For the purposes of paragraph (2), there shall be disregarded any provisions of the scheme by virtue of which contributions or transfers of assets may be made to make provision for death benefits; and where that paragraph applies and contributions or transfers so made to a section (“the death benefits section”), the assets of which may only be applied for the provision of death benefits, the death benefits section shall also be treated as if it were a separate scheme for the purposes of the compensation provisions and these Regulations.
4
For the purposes of paragraphs (2) and (3) there shall be disregarded any provisions of the scheme by virtue of which, on the winding up of the scheme or a section, assets attributable to one section may be used for the purposes of another section.
Partially approved schemes
9
Where a scheme is not an approved scheme but contains a section which, by virtue of section 611(3) of the 1988 Act, is treated by the Board of Inland Revenue as an approved scheme, the compensation provisions and these Regulations shall apply to that section as if it were a separate scheme.
Modifications for money purchase schemes
10
1
In the case of a money purchase scheme, and subject to paragraph (2) —
a
the compensation provisions shall have effect as if —
i
for paragraph (d) of section 81(1) there were substituted —
d
in the case of a money purchase scheme, immediately before the date of the application the value of the assets of the scheme, as reported by the auditor, is less than 90 per cent. of their value immediately before the reduction falling within paragraph (c), where the value of the assets immediately before that reduction is adjusted by the auditor so as to take account of subsequent alterations in their value (if any) which occur prior to the date of the application, but disregarding the alteration in their value attributable to the reduction itself, and
,
ii
for paragraph (b) of section 83(3) there were substituted —
b
in the case of a money purchase scheme, must not exceed the amount, as reported by the auditor, which on the settlement date is required to be paid to the trustees of the scheme in order to secure that the value on that date of the assets of the scheme is equal to 90 per cent. of their value immediately before the reduction falling within section 81(1)(c), where the value of the assets of the scheme immediately before that reduction is adjusted by the auditor so as to take account of subsequent alterations in their value (if any) which occur prior to the settlement date, but disregarding the alteration in their value attributable to the reduction itself.
; and
b
these Regulations shall have effect as if for paragraph (5) of regulation 5 there were substituted —
5
For the purposes of section 83(3)(b) (amount required to secure that assets are equal to 90 per cent. of their pre-loss value), the amount required to be paid to the trustees of the scheme shall be calculated in accordance with the formula —
T × 90% - V
where —
T is —
the value of the assets (excluding unallocated assets) as stated in the audited accounts which most immediately precede the loss, adjusted by the auditor so as to take into account subsequent alterations in their value (if any) which occur prior to the settlement date, but disregarding the alteration in their value attributable to the loss itself, or
if there are no such audited accounts, the value of the assets (excluding unallocated assets) immediately before the loss, as reported by the auditor, adjusted in the same manner as for the calculation under head (i), and
V is the value of the assets at the settlement date as reported by the auditor;
and the same principles are used to value the assets for the purposes of T and V.
.
2
In the case of an ear-marked scheme —
a
the compensation provisions shall have effect as if —
i
for paragraph (d) of section 81(1) there were substituted —
d
in the case of an ear-marked scheme, immediately before the date of the application the value of the assets of the scheme, as certified by the relevant insurer, is less than 90 per cent. of their value immediately before the reduction falling within paragraph (c), where the value of the assets immediately before that reduction is adjusted so as to take account of subsequent alterations in their value (if any) which occur prior to the date of the application, including those which would have occurred if the reduction had not taken place, and
,
ii
after paragraph (b) of section 81(3) there were inserted —
bb
“ear-marked scheme” means an occupational pension scheme which is a money purchase scheme under which all the benefits are secured by one or more policies of insurance or annuity contracts and such policies or contracts are specifically allocated to the provision of benefits for individual members or any other person who has a right to benefits under the scheme,
,
iii
after paragraph (f) of section 81(3) there were inserted —
g
“relevant insurer” means, in relation to an annuity contract or policy of insurance under which scheme benefits are or were secured, the person with whom the contract is made.
,
iv
for paragraph (b) of section 83(3) there were substituted —
b
in the case of an ear-marked scheme, must not exceed the amount, as certified by the relevant insurer, which on the settlement date is required to be paid to the trustees of the scheme in order to secure that the value on that date of the assets of the scheme is equal to 90 per cent. of their value immediately before the reduction falling within section 81(1)(c), where the value of the assets of the scheme immediately before that reduction is adjusted so as to take account of subsequent alterations in their value (if any) which occur prior to the settlement date, including those which would have occurred if that reduction had not taken place.
; and
b
these Regulations shall have effect as if for paragraph (5) of regulation 5 there were substituted —
5
For the purposes of section 83(3)(b) (amount required to secure that assets are equal to 90 per cent. of their pre-loss value), the amount required to be paid to the trustees of the scheme shall be calculated in accordance with the formula —
( T + S ) × 90% - V
where —
T is the value of the assets (excluding unallocated assets) on such date as immediately precedes the loss, adjusted so as to take into account the loss, and other alterations in their value (if any) between that date and the settlement date, as certified by the relevant insurer,
S is the value of the assets constituting the loss on such date as immediately precedes its occurrence, adjusted so as to reflect any alteration in the value of those assets which would have occurred had they remained in the scheme until the settlement date, as certified by the relevant insurer,
V is the value of the assets at the settlement date, as certified by the relevant insurer,
and the same principles are used to value the assets for the purposes of T, S and V.
.
Signed by authority of the Secretary of State for Social Security.
Oliver Heald
Parliamentary Under-Secretary of State,
Department of Social Security
6th March 1997


text:
Citation and commencement
1
This Order may be cited as the Merchant Shipping (Oil Pollution) (South Georgia and the South Sandwich Islands) Order 1997 and shall come into force on 30th November 1997.
Implementation of the Liability and Fund Conventions
2
Sections 152 to 170 and 172 to 181 of, and Schedule 5 to, the Merchant Shipping Act 1995, subject to the exceptions, adaptations and modifications specified in the Schedule to this Order, shall extend to South Georgia and the South Sandwich Islands, and any instrument made, or to be made, under section 152(2), 157(2), 157(4), 172(2) or 176(5) shall also extend to the South Georgia and the South Sandwich Islands.
Interpretation
3
In this Order —
a
“the Islands” means the South Georgia and the South Sandwich Islands;
b
a reference to a fine on the standard scale means a fine of an amount not exceeding the amount specified in relation to that level of the standard scale of fines appearing in section 37(2) of the Criminal Justice Act 1982 having effect on the date of the offence;
c
“statutory maximum” means such sum as is for the time being the prescribed sum for the purposes of section 32 of the Magistrate’s Court Act 1980 .
Revocations
4
The following Orders, to the extent that they apply to the Islands, are hereby revoked —
a
The Merchant Shipping (Oil Pollution) (Falkland Islands) Order 1975 ;
b
The Merchant Shipping (Oil Pollution) (Falkland Islands) (Amendment) Order 1976 ;
c
The Merchant Shipping (Oil Pollution) (Falkland Islands) (Amendment) Order 1981 .
N. H. Nicholls
Clerk of the Privy Council


text:
Citation and commencement
1
This Order may be cited as the Local Authorities (Goods and Services) (Public Bodies) (Greater London Enterprise Limited) Order 1997 and shall come into force on 4th April 1997.
Designation of public body
2
Greater London Enterprise Limited, being a person appearing to the Secretary of State to be exercising functions of a public nature, shall be a public body for the purposes of the Local Authorities (Goods and Services) Act 1970.
Restrictions on agreements which may be entered into
3
Agreements which may be entered into by Greater London Enterprises Limited (“ GLE ”) shall be restricted to agreements with a local authority for the provision of administrative, professional or technical services, by that authority to GLE, in connection with GLE’s regeneration or economic development activities in England and Wales.
Signed by authority of the Secretary of State.
Paul Beresford
Parliamentary Under-Secretary of State,
Department of the Environment
12th March 1997
Signed by authority of the Secretary of State for Wales
Parliamentary Under-Secretary of State, Welsh Office
Gwilym Jones
12th March 1997


text:
1
This Order may be cited as the Merchant Shipping (Oil Pollution Preparedness, Response and Cooperation Convention) Order 1997 and shall come into force on 2nd December 1997.
2
The Secretary of State may make regulations (hereinafter referred to as “the Regulations”) for the purpose of giving effect to the Convention and the Regulations may in particular include provision —
a
with respect to the carrying out of inspections for that purpose;
b
with respect to the extra-territorial operation of the Regulations;
c
that specified contraventions of the Regulations shall be offences punishable on summary conviction by a fine not exceeding the statutory maximum and on conviction on indictment by imprisonment for a term not exceeding two years and a fine;
d
that any such contraventions of the Regulations shall be offences punishable only on summary conviction by a maximum fine not exceeding level 5 on the standard scale or such less amount as is prescribed by the Regulations;
and the Regulations may —
i
make different provisions for different circumstances;
ii
make provision in terms of any document which the Secretary of State or any person considers relevant from time to time;
iii
provide for exemptions from any provisions of the Regulations;
iv
provide for the delegation of functions exercisable by virtue of the Regulations; and
v
include such incidental, supplemental and transitional provisions as appear to the Secretary of State to be expedient for the purposes of the Regulations.
N. H. Nicholls
Clerk of the Privy Council


text:
1
This Order may be cited as the Finance Act 1997, sections 52 and 53, (Appointed Day) Order 1997.
2
The day appointed as the day on which sections 52 (enforcement by diligence) and 53 (amendments consequential on sections 51 and 52) of the Finance Act 1997 come into force is 1st July 1997.
E. Woods
Commissioner of Customs and Excise
New King’s Beam House 22 Upper Ground London SE1 9PJ
9th June 1997