text:
Title, extent, interpretation and scope
1
1
These Regulations may be cited as the Meat (Hazard Analysis and Critical Control Point) (England) Regulations 2002 and extend to England only.
2
In these Regulations —
“the Fresh Meat Regulations ” means the Fresh Meat (Hygiene and Inspection) Regulations 1995 ;
“fresh poultry meat” has the same meaning as in regulation 2(1) of the Poultry Meat Regulations ;
“fresh red meat” means fresh meat as defined in regulation 2(1) of the Fresh Meat Regulations;
“licensed poultry meat cutting plant” means cutting premises licensed under regulation 4 of the Poultry Meat Regulations;
“licensed poultry meat slaughterhouse” means a slaughterhouse licensed under regulation 4 of the Poultry Meat Regulations;
“licensed red meat cutting plant” means cutting premises licensed under regulation 4 of the Fresh Meat Regulations;
“licensed red meat slaughterhouse” means a slaughterhouse licensed under regulation 4 of the Fresh Meat Regulations;
“livestock unit” has the same meaning as in regulation 2(1) of the Fresh Meat Regulations;
“poultry” means domestic fowls, turkeys, guinea fowls, ducks and geese;
“the Poultry Meat Regulations” means the Poultry Meat, Farmed Game Bird Meat and Rabbit Meat (Hygiene and Inspection) Regulations 1995 ; and
“the specified amount” means —
in the case of any licensed red meat slaughterhouse, 500 livestock units;
in the case of any licensed red meat cutting plant, 150 tonnes of fresh red meat;
in the case of any licensed poultry meat slaughterhouse, 200,000 poultry; and
in the case of any licensed poultry meat cutting plant, 150 tonnes of fresh poultry meat.
3
Nothing in these Regulations shall apply in relation to any licensed red meat slaughterhouse which is used to process bovine animals under the purchase scheme introduced by Commission Regulation (EC) No. 716/96 adopting exceptional support measures for the beef market in the United Kingdom .
Commencement
2
1
Subject to paragraph (2) below, these Regulations come into force on 7th June 2002.
2
Notwithstanding paragraph (1) above, these Regulations come into force on 7th June 2003 in so far as they apply in relation to any small meat establishment.
3
For the purposes of paragraph (2) above, a “small meat establishment” means —
a
a licensed red meat slaughterhouse, a licensed poultry meat slaughterhouse, a licensed red meat cutting plant or a licensed poultry meat cutting plant which —
i
was operational in the calendar year 2000 and had an average weekly throughput in that year lower than the specified amount,
ii
became operational for the first time on or after 1st January 2001 but before 1st May 2002 and had an average weekly throughput during the time it was operational in that period lower than the specified amount, or
iii
became operational for the first time on or after 1st May 2002 and which the Agency considers is likely to have an average weekly throughput lower than the specified amount;
b
a cold store licensed under regulation 4 of the Fresh Meat Regulations or regulation 4 of the Poultry Meat Regulations, in each case with a storage capacity of less than 25,000 cubic metres;
c
a re-packaging centre licensed under regulation 4 of the Fresh Meat Regulations; or
d
a re-wrapping centre licensed under regulation 4 of the Poultry Meat Regulations.
Amendments to the Fresh Meat (Hygiene and Inspection) Regulations 1995
3
1
In so far as they extend to England, the Fresh Meat Regulations are amended in accordance with the following paragraphs of this regulation.
2
The following sub-paragraph is inserted between sub-paragraphs (aA) and (b) of paragraph (1) of regulation 8 (supervision of premises) —
aB
the inspection of any documents and records required to be retained by the occupier pursuant to regulation 20(1) (eA) or (eB);
.
3
In paragraph (1)(e) of regulation 8, the phrase “, 17, 17A, 17B and 17C” is substituted for the phrase “and 17”.
4
In sub-paragraph (d) of paragraph (1) of regulation 20 (duties of occupier) —
a
the words “conduct regular” are substituted for the words “carry out”; and
b
the phrase “(including any microbiological checks the Agency may require)” is revoked.
5
In sub-paragraph (e) of paragraph (1) of regulation 20, the words “by virtue of” are substituted for the words “pursuant to”.
6
The following sub-paragraphs are inserted between sub-paragraphs (e) and (f) of paragraph (1) of regulation 20 —
eA
shall retain for a period of at least one year any documents and records established by him in accordance with paragraph (4)(g) below;
eB
shall retain for a period of at least 18 months any records which, in compliance with Schedule 17A, 17B or 17C, as appropriate, he has made following the carrying out by him of microbiological checks in accordance with paragraph (5) below;
.
7
The following paragraphs are added after paragraph (3) of regulation 20 —
4
The occupier of any licensed slaughterhouse, licensed cutting premises, licensed cold store or licensed re-packaging centre shall conduct the regular checks on the general hygiene of conditions of production in those premises which are required by paragraph (1)(d) above by implementing and maintaining a permanent procedure developed in accordance with the following principles —
a
identify any hazards that must be prevented, eliminated or reduced to acceptable levels;
b
identify the critical control points at the step or steps at which control is essential to prevent or eliminate a hazard or reduce it to acceptable levels;
c
establish critical limits at critical control points which separate acceptability from unacceptability for the prevention, elimination or reduction of identified hazards;
d
establish and implement effective monitoring procedures at critical control points;
e
establish corrective actions when monitoring indicates that a critical control point is not under control;
f
establish procedures to verify whether the measures outlined in sub-paragraphs (a) to (e) above are working effectively; verification procedures shall be carried out regularly; and
g
establish documents and records commensurate to the nature and size of the business to demonstrate the effective application of the measures outlined in sub-paragraphs (a) to (f) above and to facilitate official controls.
5
The occupier of any licensed slaughterhouse shall, in conducting the regular checks on the general hygiene of conditions of production in those premises which are required by paragraph (1)(d) above, carry out microbiological checks —
a
in relation to carcases, in accordance with the procedures laid down in —
i
Schedule 17A, or
ii
Schedule 17B; and
b
in relation to cleaning and disinfection of the premises, in accordance with the procedures laid down in Schedule 17C.
6
The occupier of any licensed cutting premises shall, in conducting the regular checks on the general hygiene of conditions of production in those premises which are required by paragraph (1)(d) above, carry out microbiological checks in relation to cleaning and disinfection of the premises, in accordance with the procedures laid down in Schedule 17C.
.
8
The following Schedules are inserted between Schedules 17 and 18 —
Schedule 17A
COMMUNITY PROCEDURES FOR CONDUCTING MICROBIOLOGICAL CHECKS ON CARCASES
Regulations 8(1)(e), 20(1)(eB) and 20(5)(a)(i)
Sampling procedure and number of samples to be taken
1
a
Between 5 and 10 carcases should be sampled on a single day during each week. The day of sampling should be changed to ensure that every day of the working week is covered. The frequency of sampling the carcases in low throughput slaughterhouses and in slaughterhouses not working on a full-time basis should be determined by the OVS based on his judgement on hygiene standards with respect to the slaughter at each plant.
b
A sample from four sites from each carcase should be taken half way through the slaughter day, after dressing and before chilling.
c
Carcase identification, date and time of sampling should be recorded for each sample and the name of the person performing the sampling.
d
The frequency of sampling may be reduced to fortnightly testing if satisfactory results are obtained on six consecutive weeks, but weekly sampling must be resumed if unsatisfactory results are obtained.
Sampling sites
2
a
The following sites will usually be appropriate for process control:
Cattle: neck, brisket, flank, and rump
Sheep, goat: flank, thorax lateral, brisket, and breast
Pig: back, jowl (or cheek), hind limb medial (ham), and belly
Horse: flank, brisket, back, and rump.
However, alternative sites may be used following consultation with the OVS, where it has been demonstrated that, because of the slaughter technology at a particular plant, other sites are more likely to carry higher levels of contamination. In these cases sites shown to carry higher levels of contamination may be chosen.
Excision Sampling Method
3
The following protocol should be followed at the slaughterhouse:
a
Four tissue samples representing a total of 20 cm 2 should be obtained from each carcase.
b
Pieces of tissue may be obtained using a sterile cork borer (2.5 cm diameter) or by cutting a slice of 5 cm 2 and maximum thickness of 5 mm off the carcase with a sterile instrument.
c
Samples from the four sampling sites of each tested carcase may be analysed separately or may be pooled in the same container before examination. Where unacceptable results are obtained from pooled samples and corrective actions do not lead to better hygiene, further samples should not be pooled until problems have been resolved.
d
The samples must be placed aseptically into a sample container or plastic dilution bag at the slaughterhouse, for transfer to the laboratory.
Method for the examination of samples
4
The following protocol should be followed in the laboratory:
a
Samples should be stored refrigerated until examination at 4°C. Samples should be examined within 24 hours after sampling.
b
Samples should be homogenised in a plastic dilution bag for at least two minutes in 100 ml of dilution media (see ISO 6887–1 ) at about 250 cycles of a peristaltic Stomacher or homogenised by a rotary blender (homogeniser).
c
Dilution before plating should be carried out in 10-fold steps in the dilution media.
d
Analysis should be performed for total viable counts and Enterobacteriaceae. ISO methods should provide the basis for examination of samples.
Records
5
a
All test results must be recorded in terms of colony forming units (cfu) per cm 2 of surface area. The daily log mean results for carcases sampled on one day must be calculated and recorded.
b
Records must include:
i
type, origin and identification of the sample, date and time of sampling, name of the person that performed the sampling,
ii
name and address of the laboratory which analysed the sample, date of investigation of samples in the laboratory and details of the method used including inoculation of different agars, incubation temperature, time, and results as number of cfu per plate used to calculate the result in cfu/cm 2 of surface area.
c
A responsible person from the laboratory should sign the records.
d
To permit evaluation, results must be shown on process control charts or tables, containing at least the last 13 weekly test results in order.
Verification Criteria
6
a
Daily log mean results must be allocated into one of three categories for process control verification: “acceptable”, “marginal”, and “unacceptable” as set out in the table below, where ‘M’ and ‘m’ denote the upper limits for the marginal and acceptable categories, respectively, for samples taken according to the excision method.
b
The test results should be categorised according to the respective microbiological criteria in the same order as the samples are collected.
c
As each new test result is obtained, the verification criteria are applied anew to evaluate the status of process control with respect to microbiological contamination and hygiene.
d
An unacceptable result or unsatisfactory marginal result trends should trigger action to review process controls, discover the cause if possible, and prevent recurrence.
Daily log mean values (cfu/cm 2 ) Acceptable range Marginal range (> m but < M) Unacceptable range (> M)
Cattle/sheep/goat/horse Pig: Cattle/pig/sheep/goat/horse Cattle/pig/sheep/goat/horse Total viable counts ( TVC ) < 3.5 log < 4.0 log 3.5 log (pig: 4.0 log) −5.0 log > 5.0 log Enterobacteriaceae < 1.5 log < 2.0 log 1.5 log (pig: 2.0 log) −2.5 log (pig: 3.0 log) > 2.5 log (pig: > 3.0 log)
Feedback to staff
7
a
The results of the test must be fed back to the responsible staff as soon as possible.
b
The results should be used to maintain and improve the standard of slaughter hygiene. Causes of poor results may be clarified by consultation with the slaughtering staff where the following factors could be involved: poor working procedures, absence or inadequacy of training and/or instructions, the use of unsuitable cleaning and/or disinfection materials and chemicals, inadequate maintenance of cleaning apparatus, and inadequate supervision.
Schedule 17B
NATIONAL PROCEDURES FOR CONDUCTING MICROBIOLOGICAL CHECKS ON CARCASES
Regulations 8(1)(e), 20(1)(eB) and 20(5)(a)(ii)
Sampling procedure and number of samples to be taken
1
a
Between 5 and 10 carcases should be sampled on a single day each week. The day of sampling should be changed each week to ensure that every day of the working week is covered. The frequency of testing the carcases in low throughput slaughterhouses and for slaughterhouses not working on a full-time basis should be determined by the OVS based on his judgement on hygiene standards with respect to the slaughter at each plant.
b
A sample from four sites from each carcase should be taken half way through the slaughter day, after dressing and before chilling.
c
Carcase identification, date and time of sampling should be recorded for each sample and the name of the person performing the sampling.
d
The frequency of sampling may be reduced to fortnightly testing if satisfactory results are obtained on six consecutive weeks, but weekly sampling must be resumed if unsatisfactory results are obtained.
Sampling sites
2
a
The following sites will usually be appropriate for process control:
Cattle: neck, brisket, flank, and rump
Sheep, goat: flank, thorax lateral, brisket, and breast
Pig: back, jowl (or cheek), hind limb medial (ham), and belly
Horse: flank, brisket, back, and rump.
However, alternative sites may be used, following consultation with the OVS, where it has been demonstrated that, because of the slaughter technology at a particular plant, other sites are more likely to carry higher levels of contamination. In these cases sites shown to carry higher levels of contamination may be chosen.
Wet & Dry Swabbing Method
3
The following protocol should be followed at the slaughterhouse:
a
Where swabs are moistened prior to collection of samples, a sterile peptone salt diluent (see ISO 6887–1) should be used.
b
The sampling area for swabbing should cover 100 cm 2 for cattle and horses, 50 cm 2 for pigs, sheep and goats per sampling site. However, a smaller area may be tested, subject to the approval of the OVS on the basis of historical data, and a minimum area of 10 cm 2 per site.
c
The swab should be moistened for at least 5 seconds in the diluent and rubbed initially vertically, then horizontally, then diagonally for not less than 20 seconds across the swab site. As much pressure as possible should be used. Repeat swabbing method using a dry swab at the same site.
d
Samples from the four sampling sites of each tested carcase may be analysed separately or may be pooled in the same container before examination. Where unacceptable results are obtained with pooled samples and corrective actions do not lead to better hygiene, further samples should not be pooled until problems have been resolved.
e
The samples must be placed aseptically into a sample container or plastic dilution bag at the slaughterhouse for transfer to the laboratory.
Method for the examination of samples
4
The following protocol should be followed in the laboratory:
a
Samples should be stored refrigerated until examination at 4°C. Samples should be examined within 24 hours after sampling.
b
Samples should be homogenised in a plastic dilution bag for at least 2 minutes in 100 ml of dilution media (see ISO 6887–1) at about 250 cycles of a peristaltic Stomacher or homogenised by a rotary blender (homogeniser). Alternatively swab samples may be shaken vigorously in the dilution media.
c
Dilution before plating should be carried out in 10-fold steps in the dilution media.
d
Analysis should be performed for total viable counts and Enterobacteriaceae. ISO methods should provide the basis for examination of samples.
Records
5
a
All test results must be recorded in terms of colony forming units (cfu) per cm 2 of surface area. The daily log mean results for the carcases sampled on one day must be calculated and recorded.
b
Records must include:
i
origin, type and identification of the sample, date and hour of sampling, name of the person that performed the sampling.
ii
name and address of the laboratory which analysed the sample, date of investigation of samples in the laboratory and details of the method used including inoculation of different agars, incubation temperature, time, and results as number of cfu per plate used to calculate the result in cfu/cm 2 of surface area.
c
A responsible person from the laboratory should sign the records.
d
To permit evaluation, results must be shown on process control charts or tables, containing at least the last 13 weekly test results in order.
Verification Criteria
6
a
Daily log mean results must be allocated into one of three categories for process control verification: “acceptable”, “marginal”, and “unacceptable” as set out in the table below, where ‘M’ and ‘m’ denote the upper limits for the marginal and acceptable categories, respectively, for samples taken according to the wet and dry swabbing method.
b
The test results should be categorised according to the respective microbiological criteria in the same order as the samples are collected.
c
As each new test result is obtained, the verification criteria are applied anew to evaluate the status of process control with respect to microbiological contamination and hygiene.
d
An unacceptable result or unsatisfactory marginal result trends should trigger action to review process controls, discover the cause if possible, and prevent recurrence.
Daily log mean values (cfu/cm 2 ) Acceptable range Marginal range (> m but < M) Unacceptable range (> M)
Cattle/sheep/goat/horse Pig: Cattle/pig/sheep/goat/horse Cattle/pig/sheep/ goat/horse Total viable counts (TVC) < 2.8 log < 3.3 log 2.8 log (pig: 3.3 log) −4.3 log > 4.3 log Enterobacteriaceae < 0.8 log < 1.3 log 0.8 log (pig: 1.3 log) −1.8 log (pig: 2.3 log) > 1.8 log (pig: > 2.3 log)
Feedback to staff
7
a
The results of the test must be fed back to the responsible staff as soon as possible.
b
The results should be used to maintain and improve the standard of slaughter hygiene. Causes of poor results may be clarified by consultation with the slaughtering staff where the following factors could be involved: poor working procedures, absence or inadequacy of training and/or instructions, the use of unsuitable cleaning and/or disinfection materials and chemicals, inadequate maintenance of cleaning apparatus, and inadequate supervision.
Schedule 17C
COMMUNITY PROCEDURES FOR CONDUCTING MICROBIOLOGICAL CHECKS IN RELATION TO CLEANING AND DISINFECTION OF PREMISES
Regulations 8(1)(e), 20(1)(eB) and 20(5)(b) and (6)
1
Microbiological sampling must take place before production starts, never during production. If visible dirt is present cleaning should be judged as unacceptable without any further microbiological evaluation.
Sampling Sites
2
a
To ensure that all surfaces are tested in the course of a month a schedule should be made indicating which surfaces should be sampled on which days.
b
Surfaces to be tested must be cleaned and disinfected, dry, flat, sufficiently large and smooth.
c
Three samples should be taken from large objects. Places that should receive most attention are the areas that may come into contact with the product. Approximately two thirds of the total number of samples should be taken from food contact surfaces.
d
The following points should, for example, be chosen as sampling sites: knives (junction of blade and handle), hollow blood draining knives, elastrators, bung bagging machines, scraping/gambrelling table (pig), sawblades and cutters, cattle dehiding, other carcase dressing instruments, polishing machine, shackles and containers for transport, transport conveyor belts, aprons, cutting tables, flap doors, chutes for food organs, etc.
Frequency
3
a
A minimum of 10 samples (or up to 30 samples in a large production area) should be carried out within a period of two weeks.
b
If the results are satisfactory over a period of time the frequency of sampling may be reduced following the agreement of the OVS, but fortnightly sampling must be resumed if unsatisfactory results are obtained.
Sampling Method
4
Either the Agar contact plate method or the swab technique may be used. In addition to the given descriptions, ISO methods may be used.
Agar Contact Plate Method
a
i
Small plastic dishes with lids (i.e. internal diameter 5 cm) filled with plate count agar (according to ISO, latest version) and dishes filled with violet red bile glucose agar ( VRBG agar according to ISO, latest version) are pressed onto each sampling site and subsequently incubated. The contact surface of each plate is 20 cm 2 .
ii
Shortly before preparation of the plates, the relevant agar has to be melted to 100°C and cooled to 46 to 48°C. The plates have to be placed in a laminar air flow cabin and should be filled with agar until a convex surface is obtained. The prepared plates should be dried before use by incubating them upside down overnight at 37°C. This is also a useful check for possible contamination during preparation; plates with visible colonies must be discarded. After preparation the agar has a shelf life of approximately three months when kept at 2 to 4°C in closed bottles.
iii
The used contact plates do not need to be cooled during transport and before incubation. The plates have a shelf life of one week at 2 to 4°C, when sealed into plastic bags.
Swab Technique
b
i
Samples should be collected with cotton swabs moistened with 1 ml of 0.1% NaCl peptone solution (8.5 g NaCl, 1 g trypton casein-pepton, 0.1% agar, and 100 ml distilled water) from a surface area of preferably 20 cm 2 .
ii
If sampling is performed following cleaning and disinfection an amount of 30 g/litre Tween 80 and 3 g/litre Lecithin (or other products with a similar effect) should be added to the moistening solution for swabs.
iii
The sampled surface must be swabbed 10 times from top to bottom applying a firm pressure on the surface.
iv
Swabs should be collected in a bottle containing 40 ml buffered peptone with 0.1% agar saline solution, then cooled and stored at 4°C until further processing.
v
The bottle should be shaken vigorously before diluting in 10-fold steps in 40 ml 0.1% NaCl peptone solution followed by microbiological examination (e.g. drop-plating technique).
Method for the examination of samples
5
a
Analysis must be performed for total viable counts (TVC). Inoculated plate count agar plates and agar contact plates must be incubated for 24 hours at 37°C ± 1°C under aerobic conditions. This procedure must take place within two hours of sampling, unless this is impracticable, in which case it must take place as soon as is practicable after the end of that two-hour period. The number of bacterial colonies should be counted and recorded.
b
Analysis for Enterobacteriaceae is voluntary unless required by the OVS. For quantitative estimation of Enterobacteriaceae VRBG agar must be used. Incubation of inoculated plates and agar contact plates must begin within two hours of sampling, unless this is impracticable, in which case it must take place as soon as is practicable after the end of that two-hour period. After 24 hours incubation at 37°C ± 1°C under aerobic conditions, the plates must be examined for Enterobacteriaceae growth.
Records and Results
6
a
The bacterial counts must be reported according to the number of organisms per cm 2 of surface area.
b
Records must include:
i
identification of the sample, date and time of sampling, name of the person that performed the sampling,
ii
name and address of the laboratory which analysed the sample, date of investigation of samples in the laboratory, details of the method used and results.
c
A responsible person from the laboratory should sign the records.
d
Results have to be entered on a registration form and allocated into one of two categories established for the purpose of process control verification of cleaning and disinfection: “acceptable” and “unacceptable”. The acceptable range for the number of colonies of TVC or Enterobacteriaceae are shown in the table below.
Values for the number of colonies for testing of surfaces
Acceptable range Unacceptable range
Total viable counts (TVC) 0–10/ cm 2 > 10/ cm 2 Enterobacteriaceae 0–1/ cm 2 > 1/ cm 2
Feedback to staff
7
a
The results of the test have to be reported to the responsible staff as soon as possible.
b
The results should be used to maintain and improve the standard of cleaning and disinfection. Causes of unsatisfactory results should be clarified by consultation with the cleaning staff. The following factors may be involved: absence or inadequacy of training and/or instructions, the use of unsuitable cleaning and/or disinfection materials and chemicals, inadequate maintenance of cleaning apparatus, and inadequate supervision.
.
Amendments to the Poultry Meat, Farmed Game Bird Meat and Rabbit Meat (Hygiene and Inspection) Regulations 1995
4
1
In so far as they extend to England, the Poultry Meat Regulations are amended in accordance with the following paragraphs of this regulation.
2
The following sub-paragraph is inserted between sub-paragraphs (aA) and (b) of paragraph (1) of regulation 8 (supervision of premises) —
aB
the inspection of any documents and records required to be retained by the occupier pursuant to regulation 18(1)(f );
.
3
In sub-paragraph (d) of paragraph (1) of regulation 18 (duties of occupier) —
a
the words “conduct regular” are substituted for the words “carry out”; and
b
the word “and” at the end is revoked.
4
The following text is substituted for paragraph (1)(e)(iv) of regulation 18 —
iv
in the event of a serious health risk, the withdrawal of fresh meat which has been obtained under or stored in similar conditions (as the case may be) and is likely to present the same risk; and
f
retain for a period of at least 2 years any documents and records established by him in accordance with paragraph (4)(g) below.
.
5
The following paragraph is added after paragraph (3) of regulation 18 —
4
The occupier of any licensed slaughterhouse used for slaughtering poultry, licensed cutting premises used for cutting up fresh poultry meat, licensed cold store used for the storage of fresh poultry meat or licensed re-wrapping centre used for packing, wrapping or re-wrapping fresh poultry meat shall conduct the regular checks on the general hygiene of conditions of production in those premises which are required by paragraph (1)(d) above by implementing and maintaining a permanent procedure developed in accordance with the following principles —
a
identify any hazards that must be prevented, eliminated or reduced to acceptable levels;
b
identify the critical control points at the step or steps at which control is essential to prevent or eliminate a hazard or reduce it to acceptable levels;
c
establish critical limits at critical control points which separate acceptability from unacceptability for the prevention, elimination or reduction of identified hazards;
d
establish and implement effective monitoring procedures at critical control points;
e
establish corrective actions when monitoring indicates that a critical control point is not under control;
f
establish procedures to verify whether the measures outlined in sub-paragraphs (a) to (e) above are working effectively; verification procedures shall be carried out regularly; and
g
establish documents and records commensurate to the nature and size of the business to demonstrate the effective application of the measures outlined in sub-paragraphs (a) to (f) above and to facilitate official controls.
.
Consequential amendments
5
In so far as the Products of Animal Origin (Import and Export) Regulations 1996 extend to England —
a
paragraph 6 of Schedule 2 to those Regulations (Regulations relevant to intra-Community trade) is amended by substituting the following references for the phrase “The Meat (Disease Control) (England) Regulations 2000;”:
S.I. 2000/2215 ;
S.I. 2001/1512 ;
S.I. 2001/1739 ;
S.I. 2001/1771 ;
S.I. 2001/2601 ;
S.I. 2001/3451 ;
S.I. 2002/118 ;
The Meat (Hazard Analysis and Critical Control Point) (England) Regulations 2002;
; and
b
paragraph 7 of that Schedule is amended by substituting the following references for the phrase “The Poultry Meat, Farmed Game Bird Meat and Rabbit Meat (Hygiene and Inspection) (Amendment) (England) Regulations 2001” —
S.I. 2001/3399 ;
The Meat (Hazard Analysis and Critical Control Point) (England) Regulations 2002;
.
Signed by authority of the Secretary of State for Health
Yvette Cooper
Parliamentary Under Secretary of State,
Department of Health
16th May 2002


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
These Regulations may be cited as the Social Fund Maternity and Funeral Expenses (General) Amendment (No. 2) Regulations 2002 and shall come into force on 30th March 2002.
Amendment of the Regulations
2
In regulation 3(1)(b) of the Social Fund Maternity and Funeral Expenses (General) Amendment Regulations 2002 (transitional provisions), the word “expected” shall be omitted.
Signed by authority of the Secretary of State for Work and Pensions
Malcolm Wicks
Parliamentary Under-Secretary of State,
Department for Work and Pensions
4th March 2002


text:
1
This Order may be cited as the Tax Credits (Claims) (Transitional Provision) (Amendment) Order 2002.
2
For article 3 of the Tax Credits Act 2002 (Commencement No. 1) Order 2002 (claims for a tax credit relating to the tax year 2003–04 — transitional provision) substitute the following article —
Claims for a tax credit relating to the tax year 2003–04 — transitional provision
3
1
For the purposes of the definition of “the previous year income” in section 7(5) of the Act —
a
any claim under the Act for a tax credit relating to the tax year 2003–04 shall be treated as if it were a claim for the tax year 2002–03, and
b
accordingly the previous year income in relation to such a claim shall be income for the tax year 2001–02.
2
In paragraph (1) —
“the tax year 2001–02” means the tax year beginning on 6th April 2001 and ending on 5th April 2002,
“the tax year 2002–03” means the tax year beginning on 6th April 2002 and ending on 5th April 2003, and
“the tax year 2003–04” means the tax year beginning on 6th April 2003 and ending on 5th April 2004.
.
Ian Pearson
Jim Fitzpatrick
Two of the Lords Commissioners of Her Majesty’s Treasury
20th August 2002


text:
Citation, commencement and application
1
1
These Regulations may be cited as the Education (Budget Statements) (England) Regulations 2002 and shall come into force on 29th March 2002.
2
These Regulations shall apply only in relation to England and only in relation to budget statements prepared for the financial year beginning on 1st April 2002.
Interpretation
2
1
In these Regulations —
“the 1996 Act ” means the Education Act 1996 ;
“the 1998 Act ” means the School Standards and Framework Act 1998;
“the 2002 Regulations ” means the Financing of Maintained Schools (England) Regulations 2002 ;
“allocation formula” means the authority’s formula under regulation 10 of the 2002 Regulations used to determine schools' budget shares;
“authority” means a local education authority;
“Class Size grant” means grant paid in accordance with section 3 of the 1998 Act;
“budget statement” means the statement referred to in section 52(1) of the 1998 Act;
“DfES number” means the reference number allocated to a school by the Department for Education and Skills;
“factor” means one of the factors or criteria taken into account in the allocation formula;
“ ISB ” means an authority’s individual schools budget within the meaning of section 46(2) of the 1998 Act;
“ LEA number” means the reference number allocated to an authority by the Department for Education and Skills;
“ LSB ” means an authority’s local schools budget within the meaning of section 46(1) of the 1998 Act;
“maintained school” means a community, foundation or voluntary school or a community or foundation special school;
“relevant” in relation to “age”, “age group” and “year group” means an age, age group or year group separately treated in the allocation formula for the purposes of determining that part of each school’s budget share which is to be determined by reference to numbers of registered pupils;
“pupil-led” funding as defined in Part III of the 2002 Regulations;
“school” means a maintained school;
“School Standards Grant” means the grant known as School Standards Grant paid in accordance with section 88B of the Local Government Finance Act 1988, which in the case of primary, secondary and special schools is paid on condition that it is appropriated to the ISB;
“special educational needs” and “special educational provision” have the meanings given to those expressions by section 312 of the 1996 Act;
“Standards Fund grant” means grant paid under section 484 of the 1996 Act together with the authority’s expenditure not offset by that grant but taken into account in determining the amount of that grant;
“statement” in relation to a pupil with special educational needs means a statement made under section 324 of the 1996 Act; and
“version number” means a number which distinguishes a particular form submitted by the authority from earlier versions of that form prepared by them.
2
In these Regulations, unless the context otherwise requires, —
a
references to primary of secondary schools do not include special schools; and
b
references to the number or numbers of registered pupils at one or more schools are references to the number or numbers of such pupils required under the allocation formula to be used for the initial determination of that school’s budget share or those schools' budget shares for the year but ignoring any weighting in accordance with paragraph (5) or any adjustment under paragraph (6) of regulation 11 of the 2002 Regulations.
3
The following table shows provisions of the 1996 Act or the 1998 Act defining or otherwise explaining expressions used in these Regulations —
financial year section 579(1) of the 1996 Act scheme section 48(1) of the 1998 Act school’s budget share section 47(1) of the 1998 Act.
4
Any reference in these Regulations to a numbered regulation or Schedule is a reference to the regulation or Schedule in these Regulations so numbered.
Prescribed form of, and information to be contained in, budget statements
3
1
A budget statement shall be prepared in four parts, and shall contain the information prescribed for the purposes of section 52(1) of the 1998 Act, as follows —
a
Part 1 shall be in the form prescribed in Schedule 1 and shall contain the information, relating to the authority’s planned expenditure for the financial year to which the budget statement relates, specified in the notes to Part 1 in Schedule 1;
b
Part 2 shall be in the form prescribed in Schedule 2 and shall contain the information, with respect to the authority’s planned expenditure for each school for the financial year to which the budget statement relates, specified in the notes to Part 2 in Schedule 2;
c
Part 3 shall be in the form prescribed in Schedule 3 and shall contain the information with respect to the authority’s allocation formula specified in the notes to Part 3 in Schedule 3; and
d
Part 4 shall contain the information with respect to the budget share of each school for the financial year to which the budget statement relates specified in Schedule 4.
2
The following information must appear at the top of each of Parts 1 to 4 of a budget statement —
a
the financial year to which the budget statement relates;
b
the authority’s name;
c
the authority’s LEA number;
d
E-mail address;
e
the name of a person who can deal with queries in relation to the completed form;
f
that person’s telephone number;
g
the version number; and
h
the date that the form was completed.
3
Where a person is carrying out functions on behalf of an authority then the authority shall include information in Parts 1 to 4 of the budget statement as if expenditure by that person in carrying out those functions were expenditure by the authority.
Prescribed manner and time of publication of budget statements
4
For the purposes of section 52(3)(b) of the 1998 Act, every budget statement shall be published by —
a
supplying copies to the Secretary of State for Education and Skills in accordance with regulation 5; and
b
making a copy available for reference by parents and other persons at all reasonable times and without charge at each education office of the authority.
5
1
Three copies of Parts 1 to 3 and two copies of Part 4 of the budget statement shall be supplied to the Secretary of State for Education and Skills in paper form and one copy in the form of machine readable data by E-mail or on a disk provided for that purpose by the Secretary of State.
2
The font size used must be not less than 7pt and there must be no shading nor colouring of cells.
3
Any computer language or software used to supply tables must be one which the Secretary of State for Education and Skills has notified to the authority.
6
1
A budget statement shall be published before the beginning of the financial year to which it relates.
2
A budget statement may not be revised during the financial year to which it relates other than to correct errors in the statement as previously published.
3
A revised budget statement shall be subject to regulations 3, 4, 5, 6(2) and 7.
7
The authority shall furnish the governing body and head teacher of each school maintained by them with a copy of Parts 1, 2 and 3 of the budget statement and with a copy of that part of Part 4 of the budget statement which relates to the school in question, save that if the governing body or the head teacher so request the authority shall furnish them with a complete copy of Part 4 of the budget statement.
Stephen Timms
Minister of State,
Department for Education and Skills
7th March 2002


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Bradford Community Health National Health Service Trust (Transfer of Trust Property) Order 2002 and shall come into force on 1st April 2002.
2
In this Order —
“the old Trust” means the Bradford Community Health National Health Service Trust ;
“the new Trust” means the Bradford District Care Trust ;
“the trust property” means the property specified in the schedule of trust property prepared and agreed by the old Trust and the new Trust and signed on behalf of the old Trust on 27th November 2001 and on behalf of the new Trust on 27th March 2002.
Transfer of trust property
2
1
On 1st April 2002 the trust property, and any rights and liabilities arising from that property , shall be transferred from the old Trust to the new Trust.
2
In any trust instrument relating to the trust property, any reference to the name by which the trustees of the trust property are to be known shall be construed as a reference to the new Trust and any reference to the old Trust in the name by which the charitable trust governing the trust property is to be known shall be construed as a reference to the new Trust.
Signed by authority of the Secretary of State for Health
Yvette Cooper
Parliamentary Under Secretary of State,
Department of Health
27th March 2002


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the South of Tyne and Wearside Mental Health National Health Service Trust (Establishment) and the Priority Healthcare Wearside National Health Service Trust (Dissolution) Order 2002 and shall come into force on 1st April 2002.
2
In this Order, unless the context otherwise requires —
“ the Act ” means the National Health Service and Community Care Act 1990;
“community health services” means any services which the Secretary of State may provide under 3(1)(d) or (e) of, or Schedule 1 to, the National Health Service Act 1977 and any service which he has a duty to provide under section 5(1) or (1A) of that Act ;
“operational date” has the meaning assigned to it in paragraph 3(1)(e) of Schedule 2 to the Act;
“the trust” means the South of Tyne and Wearside Mental Health National Health Service Trust established by article 2 of this Order.
Establishment and name of trust
2
There is established an NHS trust which shall be called the South of Tyne and Wearside Mental Health National Health Service Trust.
Nature and functions of the trust
3
1
The trust is established for the purposes specified in section 5(1) of the Act.
2
The trust’s functions shall be to provide goods and services, namely hospital accommodation and services, and community health services, for the purposes of the health service at or from Cherry Knowle Hospital, Ryhope, Sunderland, SR2 0NB and at or from any associated hospitals, establishments and facilities.
Directors of trust
4
The trust shall have in addition to the chairman 5 non-executive directors and 5 executive directors.
Operational date and accounting date of the trust
5
1
The operational date shall be 1st April 2002.
2
The accounting date of the trust shall be 31st March.
Dissolution of NHS trust
6
The Priority Healthcare Wearside National Health Service Trust established by the Priority Healthcare Wearside National Health Service Trust (Establishment) Order is hereby dissolved, and accordingly that Order is revoked.
Signed by authority of the Secretary of State for Health
Jacqui Smith
Minister of State,
Department of Health
19th March 2002


text:
Citation, commencement and application
1
1
This Order may be cited as the National Health Service Litigation Authority (Establishment and Constitution) Amendment Order 2002 and shall come into force on 11th November 2002.
2
This Order applies to England only.
Amendment of the National Health Service Litigation Authority (Establishment and Constitution) Order 1995
2
In article 4(b) of the National Health Service Litigation Authority (Establishment and Constitution) Order 1995 (constitution of the Authority) in paragraph (b) for the word “three” substitute the word “four”.
David Lammy
Parliamentary Under Secretary of State,
Department of Health
17th October 2002


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Greater Manchester Health Authority (Transfer of Trust Property) Order 2002 and shall come into force on 30th September 2002.
2
In this Order —
“the old Trust” means the Greater Manchester Health Authority ;
“the new Trust” means the Central Manchester and Manchester Children’s University Hospitals National Health Service Trust ; and
“the trust property” means the property specified in the schedule of trust property prepared and agreed by the old Trust and the new Trust and signed on behalf of both the old Trust and the new Trust on 17th July 2002.
Transfer of trust property
2
1
On 30th September 2002 the trust property, and any rights and liabilities arising from that property , shall be transferred from the old Trust to the new Trust.
2
In any trust instrument relating to the trust property, any reference to the name by which the trustees of the trust property are to be known shall be construed as a reference to the new Trust and any reference to the old Trust in the name by which the charitable trust governing the trust property is to be known shall be construed as a reference to the new Trust.
Signed by authority of the Secretary of State for Health
John Hutton
Minister of State,
Department of Health
4th September 2002


text:
Citation and commencement
1
This Order may be cited as the Hackney Education Action Zone (Extension) Order 2002 and shall come into force on 1st December 2002.
Interpretation
2
In this Order —
“Hackney Education Action Zone” means the Education Action Zone established by the Hackney Education Action Zone Order 1999 .
The extension of the Hackney Education Action Zone
3
The Hackney Education Action Zone is extended for a further period of two years beginning with 1st December 2002.
David Miliband
Minister of State
Department for Education and Skills
7th November 2002


text:
1
This Order may be cited as the A41 Trunk Road (Staffordshire and Telford & Wrekin) (Detrunking) Order 2002 and shall come into force on 1st April 2002.
2
In this Order —
i
“the plan” means the plan, numbered HA10/PS/261, and marked “The A41 Trunk Road (Stafforshire and Telford & Wrekin) (Detrunking) Order 2002” signed by authority of the Secretary of State for Transport, Local Government and the Regions, and deposited at DTLR Records Management Branch, Ashdown House, Sedlescombe Road North, St Leonards-on-Sea, East Sussex, TN37 7GA.
ii
“principal road” as a classification for a highway, means that the highway is a principal road for the purposes of enactments and instruments which refer to highways classified as principal roads and is also classified for the purpose of every other enactment and instrument which refers to highways classified by the Secretary of State; and
iii
“the trunk road” means the A41 Trunk Road.
3
The length of the trunk road described in the Schedule to this Order shall cease to be a trunk road and shall be classified as a principal road from the date on which the order comes into force.
Signed by authority of the Secretary of State for Transport, Local Government and the Regions
Kevin Lasbury
Highways Agency
February 2002


text:
PART I
GENERAL
Citation, commencement, extent and interpretation
1
1
These Regulations may be cited as the Occupational and Personal Pension Schemes (Bankruptcy) Regulations 2002 and shall come into force on 6th April 2002.
2
Part II of these Regulations applies to England and Wales.
3
Part III, and (by virtue of regulation 11 of that Part) regulation 2 of Part II, of these Regulations apply to Scotland.
4
In this paragraph and —
a
Parts II and III of these Regulations —
“the 1999 Act ” means the Welfare Reform and Pensions Act 1999;
“income-related benefit” has the meaning given in section 123(1) of the Social Security Contributions and Benefits Act 1992 ;
“relevant benefits” has the meaning given in section 612 of the Taxes Act ;
“the Taxes Act” means the Income and Corporation Taxes Act 1988 ;
“week” means a period of seven days;
Part II of these Regulations —
“the 1986 Act ” means the Insolvency Act 1986;
“court” means the court which made the bankruptcy order against the bankrupt;
“destination arrangement” has the meaning given in section 342E(1)(b) of the 1986 Act ;
“pension-sharing transaction” has the meaning given in section 342D(9) of the 1986 Act ;
“responsible person” means the person responsible for a pension arrangement within the meaning of section 342C(6) of the 1986 Act;
“restoration order” means an order made under section 342A of the 1986 Act ;
“transferee” has the meaning given in section 342D(9) of the 1986 Act;
“transferor” has the meaning given in section 342D(9) of the 1986 Act;
Part III of these Regulations —
“the 1980 Act ” means the Solicitors (Scotland) Act 1980 ;
“the 1985 Act ” means the Bankruptcy (Scotland) Act 1985;
“court” means the sheriff before whom the sequestration is depending or to whom it has been transferred or remitted in terms of section 15 of the 1985 Act or, where a judicial factor has been appointed, the court which appointed the judicial factor;
“debtor” has the meaning given in section 73 of the 1985 Act, and in relation to regulations 12 to 15 and 19 also includes a solicitor on whose estate a judicial factor has been appointed;
“judicial factor” means a judicial factor appointed under section 41 of the 1980 Act ;
“pension-sharing transaction” has the meaning given in section 36D(10) of the 1985 Act ;
“permanent trustee” shall be construed in accordance with section 3 of the 1985 Act;
“responsible person” means the person responsible for a pension arrangement within the meaning of section 36C(6) of the 1985 Act;
“restoration order” means an order made under section 36A of the 1985 Act ;
“transferee” has the meaning given in section 36D(10) of the 1985 Act;
“transferor” has the meaning given in section 36D(10) of the 1985 Act.
PART II
ENGLAND AND WALES
Prescribed pension arrangements
2
1
The arrangements prescribed for the purposes of section 11(2)(h) of the 1999 Act (pension arrangements which are “approved pension arrangements”) are arrangements (including an annuity purchased for the purpose of giving effect to rights under any such arrangement) —
a
to which —
i
the holder of an office or employment has contributed by way of payments out of foreign emoluments which have been allowed as a deduction in computing the amount of those emoluments by virtue of section 192(3) of the Taxes Act (relief from tax for foreign emoluments),
ii
Article 17A of the Convention set out in the Schedule to the Double Taxation Relief (Taxes on Income) (Republic of Ireland) Order 1976 (pension scheme contributions) applies;
b
made with a scheme which is a retirement benefits scheme —
i
approved by the Board of Inland Revenue pursuant to section 590 or 591 of the Taxes Act (conditions for approval of retirement benefit schemes and discretionary approval respectively) and which is not an exempt approved scheme under section 592 of that Act , or
ii
to which section 608 of the Taxes Act (superannuation funds approved before 6th April 1980) applies;
c
to which section 595(1) of the Taxes Act (charge to tax in respect of certain sums paid by the employer etc. ) does not apply by virtue of section 596(2)(b) of that Act ;
d
which are exempt or qualify for relief from, or are not liable to charge to, income tax by virtue of section 614, 615 or 616 of the Taxes Act (exemptions and reliefs in respect of income from investments etc. of certain pension schemes and other overseas pensions);
e
made with —
i
a public service pension scheme, or
ii
an occupational pension scheme established under the auspices of a government department or by any person acting on behalf of the Crown;
f
referred to in paragraph (b)(ii) of section 630(1) of the Taxes Act (definition of “approved” for the purposes of Chapter IV of Part XIV of that Act).
2
Paragraph (1)(e) above does not apply to an arrangement entered into on, or after, 14th March 1989 for the purpose of providing an employee with relevant benefits calculated by reference to so much of his annual remuneration as is in excess of the permitted maximum; and for these purposes the “permitted maximum” means the permitted maximum for any year of assessment during which such a person is a member of a scheme referred to in paragraph (1)(e) above and shall be the figure specified —
a
in section 590C(3) of the Taxes Act for the years 1988-89 and 1989-90;
b
by order in accordance with subsection (6) of that section for each year subsequent to 1989–90.
3
For the purposes of this regulation —
a
“foreign emoluments” has the meaning given in section 192(1) of the Taxes Act;
b
“occupational pension scheme” has the meaning given in section 1 of the Pension Schemes Act 1993 ;
c
“public service pension scheme” has the meaning given in section 1 of the Pension Schemes Act 1993;
d
“year of assessment” has the meaning given in section 832(1) of the Taxes Act.
Unapproved pension arrangements
3
1
For the purposes of section 12 of the 1999 Act (effect of bankruptcy on pension rights: unapproved arrangements), a pension arrangement —
a
falling within section 11(4) of the 1999 Act (which deals with schemes which are not subsequently approved under Chapter I of Part XIV of the Taxes Act and, at the date of the bankruptcy order, were being considered for such approval);
b
falling within section 11(6) of the 1999 Act (which deals with a scheme which, after the date of the bankruptcy order, has its approval under Chapter I or, as the case may be, Chapter IV of Part XIV of the Taxes Act withdrawn from a date not later than the date of that order); or
c
under —
i
a funded unapproved retirement benefits scheme, or
ii
an unfunded unapproved retirement benefits scheme,
shall be an “unapproved pension arrangement” if it satisfies the conditions specified in paragraph (2) below.
2
The conditions referred to in paragraph (1) above are that the pension arrangement —
a
is established under —
i
an irrevocable trust, or
ii
a contract, agreement or arrangement made with the bankrupt;
b
has as its primary purpose the provision of relevant benefits; and
c
is the bankrupt’s sole pension arrangement or his main means of pension provision (other than a pension under Part II of the Social Security Contributions and Benefits Act 1992 (contributory benefits) or Part II of the Social Security Contributions and Benefits (Northern Ireland) Act 1992 (contributory benefits)).
3
For the purposes of section 12(2)(c) of the 1999 Act, the prescribed person shall be the responsible person.
Exclusion of rights under unapproved pension arrangements
4
For the purpose of excluding his rights under an unapproved pension arrangement from his estate for the purposes of Parts VIII to XI of the 1986 Act (which cover individual voluntary arrangements, bankruptcy and individual insolvency), a bankrupt may —
a
make an application to the court for an exclusion order in accordance with the provisions of regulation 5 below;
b
enter into a qualifying agreement with the trustee in bankruptcy in accordance with the provisions of regulation 6 below.
Exclusion orders
5
1
Subject to paragraph (2) below, an application for an exclusion order shall be made to the court within a period of —
a
thirteen weeks beginning with —
i
the date on which the bankrupt’s estate vests in the trustee in bankruptcy in accordance with the provisions of section 306 of the 1986 Act (vesting of bankrupt’s estate in trustee), or
ii
in the case of a scheme referred to in regulation 3(1)(a) or (b) above, the date, if later than that referred to in head (i) above, on which any rights of the bankrupt vest in the trustee in bankruptcy in accordance with section 11(5) or, as the case may be, (7) of the 1999 Act; or
b
thirty days beginning with the date on which a qualifying agreement is revoked in accordance with the provisions of regulation 6 below.
2
The court may, either before or after it has expired and where good cause is shown, extend the period referred to in paragraph (1)(a) or, as the case may be, (1)(b) above.
3
In deciding whether to make an exclusion order and, if so, whether to make it in respect of part or all (but not exceeding the total amount) of the excludable rights, the court shall have reference to —
a
the future likely needs of the bankrupt and his family;
b
whether any benefits by way of pension or otherwise (other than a pension under Part II of the Social Security Contributions and Benefits Act 1992 or Part II of the Social Security Contributions and Benefits (Northern Ireland) Act 1992 (contributory benefits) or an income-related benefit) are likely to be received by virtue of rights of the bankrupt which have already accrued under any other pension arrangements at the date on which the application for an exclusion order is made and the extent to which they appear likely to be adequate for meeting any such needs.
Qualifying agreements
6
1
A qualifying agreement shall be made within a period of nine weeks beginning with the later of the following —
a
the date on which the bankrupt’s estate vests in the trustee in bankruptcy in accordance with the provisions of section 306 of the 1986 Act (vesting of bankrupt’s estate in trustee); or
b
in the case of a scheme referred to in regulation 3(1)(a) or (b) above, the date, if later than that referred to in sub-paragraph (a) above, on which any rights of the bankrupt vest in the trustee in bankruptcy in accordance with section 11(5) or, as the case may be, (7) of the 1999 Act.
2
A qualifying agreement made between the bankrupt and the trustee in bankruptcy shall be by deed and incorporate all the terms which they have expressly agreed.
3
Where —
a
the bankrupt has failed to make full disclosure of all material facts in respect of any pension arrangement which is the subject of a qualifying agreement; and
b
has failed to do so for the purpose of enabling his rights under such an arrangement to be excluded from his estate for the purposes of Parts VIII to XI of the 1986 Act where they would not have otherwise been excluded,
the trustee in bankruptcy may revoke that agreement by giving the bankrupt notice of revocation.
4
A notice of revocation shall —
a
be dated;
b
be in writing;
c
specify the reasons for revocation of the qualifying agreement;
d
specify the date on which the agreement shall be revoked, such date not being one falling within a period of thirty days beginning with the date of the notice; and
e
inform the bankrupt that he has the right to apply for an exclusion order within a period of thirty days beginning with the date referred to in sub-paragraph (d) above.
5
Where a qualifying agreement has been made or revoked in accordance with the provisions of this regulation, the trustee in bankruptcy shall, within a period of thirty days beginning with the date on which that agreement was made or, in the case of a notice of revocation, the date required under paragraph (4)(a) above, notify the responsible person in writing of that fact.
Calculation and verification of rights under pension arrangements
7
1
For the purposes of section 342B(4)(b) of the 1986 Act , the value of the individual’s (“the bankrupt's”) rights under an approved pension arrangement, or of his excluded rights under an unapproved pension arrangement, shall be the cash equivalent of those rights as calculated and verified in accordance with paragraph (2) below.
2
In calculating and verifying the cash equivalent of the rights referred to in paragraph (1) above, regulation 3 of the Pensions on Divorce etc. (Provision of Information) Regulations 2000 (information about pensions and divorce: valuation of pension benefits) shall have effect for the purposes of this regulation in like manner to that in which it has effect for the valuation of benefits in connection with the supply of information in connection with domestic and overseas divorce etc. in England, Wales and Northern Ireland for the purposes of those Regulations; and for these purposes “the date on which the request for the valuation was received” in that regulation shall be read as “the date on which the trustee in bankruptcy’s request for the valuation was received”.
Time for compliance with restoration order
8
The responsible person shall comply with the restoration order before the end of a period of seventeen weeks beginning with the date of service of that order.
Calculation and verification of rights under destination arrangements
9
1
Where section 342E of the 1986 Act applies, the value of a transferee’s rights under a destination arrangement, derived directly or indirectly from a pension-sharing transaction, shall be —
a
the cash equivalent of those rights at the date on which the trustee in bankruptcy’s request for that valuation is received by the responsible person; and
b
calculated and verified in accordance with paragraph (2) below.
2
In calculating and verifying the cash equivalent of the transferee’s rights referred to in paragraph (1) above, regulation 24 of the Pension Sharing (Pension Credit Benefit) Regulations 2000 shall have effect for the purposes of this regulation in like manner to that in which it has effect for the calculation and verification of pension credit for the purposes of those Regulations.
Time for compliance with request for information
10
1
Subject to paragraph (2) below, where a request for information has been made to the responsible person by —
a
the trustee in bankruptcy or the bankrupt in connection with the making of an application for an exclusion order;
b
the bankrupt for, or in connection with, the making of a qualifying agreement referred to in regulation 6 above; or
c
the trustee in bankruptcy —
i
pursuant to section 342C(1) of the 1986 Act (which enables the trustee in bankruptcy to request the responsible person to provide information which he may reasonably need for the making of an application for a restoration order) and relating to the cash equivalent of a bankrupt’s rights or excluded rights,
ii
pursuant to section 342F(1) to (3) of the 1986 Act (which enables the transferor’s trustee in bankruptcy to request the responsible person to provide information which he may reasonably need for the making of an application under sections 339 and 340 of the 1986 Act) and relating to the cash equivalent of a transferee’s rights under a destination arrangement,
he shall comply with that request within a period of nine weeks beginning with the day on which it is received.
2
In the case of a request for information falling within sub-paragraph (a) of paragraph (1) above, the court may, either before or after it has expired and where good cause is shown, extend the period referred to in that paragraph.
PART III
SCOTLAND
Prescribed pension arrangements
11
For the purposes of section 11(2)(h) of the 1999 Act, regulation 2 above shall apply to Scotland in like manner to that in which it applies to England and Wales.
Unapproved pension arrangements
12
1
For the purposes of section 12 of the 1999 Act, a pension arrangement —
a
falling within section 11(4) of the 1999 Act (which deals with schemes which are not subsequently approved under Chapter I of Part XIV of the Taxes Act and, at the date of the award of sequestration or the appointment of a judicial factor, were being considered for such approval);
b
falling within section 11(6) of the 1999 Act (which deals with a scheme which, after the date of the award of sequestration or the appointment of a judicial factor, has its approval under Chapter I or, as the case may be, Chapter IV of Part XIV of the Taxes Act withdrawn from a date not later than the date of that order); or
c
under —
i
a funded unapproved retirement benefits scheme, or
ii
an unfunded unapproved retirement benefits scheme,
shall be an “unapproved pension arrangement” if it satisfies the conditions specified in paragraph (2) below.
2
The conditions referred to in paragraph (1) above are that the pension arrangement —
a
is established under —
i
an irrevocable trust, or
ii
a contract, agreement or arrangement made with the debtor;
b
has as its primary purpose the provision of relevant benefits; and
c
is the debtor’s sole pension arrangement or his main means of pension provision (other than a pension under Part II of the Social Security Contributions and Benefits Act 1992 (contributory benefits) or Part II of the Social Security Contributions and Benefits (Northern Ireland) Act 1992 (contributory benefits)).
3
For the purposes of section 12(2)(c) of the 1999 Act, the prescribed person shall be the responsible person.
Exclusion of rights under unapproved pension arrangements
13
For the purpose of excluding his rights under an unapproved pension arrangement from his estate for the purposes of the 1980 Act or the 1985 Act, as the case may be, a debtor may —
a
make an application to the court for an exclusion order in accordance with the provisions of regulation 14 below;
b
enter into a qualifying agreement with the permanent trustee or judicial factor in accordance with the provisions of regulation 15 below.
Exclusion orders
14
1
Subject to paragraph (2) below, an application to the court for an exclusion order shall be made within a period of —
a
thirteen weeks beginning with —
i
the date on which the act and warrant is issued on confirmation of the permanent trustee’s appointment in accordance with the provisions of the 1985 Act or the date of the appointment of a judicial factor, or
ii
in the case of a scheme referred to in regulation 12(1)(a) or (b) above, the date, if later than that referred to in head (i) above, on which any rights of the debtor vest in the permanent trustee or judicial factor in accordance with section 11(5) or, as the case may be, (7) of the 1999 Act; or
b
thirty days beginning with the date on which a qualifying agreement is revoked in accordance with the provisions of regulation 15 below.
2
The court may, either before or after it has expired and on cause shown, extend the period referred to in paragraph (1)(a) or, as the case may be, (1)(b) above.
3
In deciding whether to make an exclusion order and, if so, whether to make it in respect of part or all (but not exceeding the total amount) of the excludable rights, the court shall have reference to —
a
the future likely needs of the debtor and his family;
b
whether any benefits by way of pension or otherwise (other than a pension under Part II of the Social Security Contributions and Benefits Act 1992 or Part II of the Social Security Contributions and Benefits (Northern Ireland) Act 1992 (contributory benefits) or an income-related benefit) are likely to be received by virtue of rights of the debtor which have already accrued under any other pension arrangements at the date on which the application for an exclusion order is made and the extent to which they appear likely to be adequate for meeting any such needs.
Qualifying agreements
15
1
A qualifying agreement shall be made within a period of nine weeks beginning with the later of the following dates —
a
the date on which the act and warrant is issued on confirmation of the permanent trustee’s appointment in accordance with the provisions of the 1985 Act or the date of the appointment of a judicial factor; or
b
in the case of a scheme referred to in regulation 12(1)(a) or (b) above, the date, if later than that referred to in sub-paragraph (a) above, on which any rights of the debtor vest in the permanent trustee or judicial factor in accordance with section 11(5) or, as the case may be, (7) of the 1999 Act.
2
A qualifying agreement shall —
a
be in writing;
b
incorporate all the terms which the debtor and the permanent trustee or judicial factor have expressly agreed; and
c
be subscribed by the debtor and the permanent trustee or judicial factor, in each case in accordance with section 3(1) of the Requirements of Writing (Scotland) Act 1995 .
3
Where —
a
the debtor has failed to make full disclosure of all material facts in respect of any pension arrangement which is the subject of a qualifying agreement; and
b
has failed to do so for the purpose of enabling his rights under such an arrangement to be excluded from his estate for the purposes of the 1980 Act or the 1985 Act where they would not have otherwise been excluded,
the permanent trustee or judicial factor may revoke that agreement by giving the debtor notice of revocation.
4
A notice of revocation shall —
a
be dated;
b
be in writing;
c
specify the reasons for revocation of the qualifying agreement;
d
specify the date on which that agreement shall be revoked, such date not being one falling within a period of thirty days beginning with the date of the notice; and
e
inform the debtor that he has the right to apply for an exclusion order within a period of thirty days beginning with the date on which the agreement falls to be revoked in accordance with that notice.
5
Where a qualifying agreement has been made or revoked in accordance with the provisions of this regulation, the permanent trustee or judicial factor shall, within a period of thirty days beginning with the date on which the agreement was made or, in the case of a notice of revocation, the date required under paragraph (4)(a) above, notify the responsible person in writing of that fact.
Calculation and verification of rights under pension arrangements
16
1
For the purposes of section 36B(4)(b) of the 1985 Act , the value of the debtor’s rights under an approved pension arrangement, or of his excluded rights under an unapproved pension arrangement, shall be the cash equivalent of those rights as calculated and verified in accordance with paragraph (2) below.
2
In calculating and verifying the cash equivalent of the rights referred to in paragraph (1) above, regulation 3 of the Divorce etc. (Pensions) (Scotland) Regulations 2000 (valuation), except paragraph (11) thereof, shall have effect for the purposes of this regulation in like manner to that in which it has effect for the valuation of benefits in connection with the supply of information in connection with divorce in Scotland for the purposes of those Regulations; and for these purposes “the relevant date” in that regulation shall be read as “the date on which the permanent trustee’s request for the valuation was received”.
Time for compliance with restoration order
17
The responsible person shall comply with the restoration order before the end of a period of seventeen weeks beginning with the date of service of that order.
Calculation and verification of transferee’s rights under a pension arrangement derived from a pension-sharing transaction
18
1
Where section 36E of the 1985 Act applies, the value of a transferee’s rights under a pension arrangement derived directly or indirectly from a pension-sharing transaction, shall be —
a
the cash equivalent of those rights at the date on which the permanent trustee’s request for that valuation is received by the responsible person; and
b
calculated and verified in accordance with paragraph (2) below.
2
In calculating and verifying the cash equivalent of the transferee’s rights referred to in paragraph (1) above, regulation 24 of the Pension Sharing (Pension Credit Benefit) Regulations 2000 shall have effect for the purposes of this regulation in like manner to that in which it has effect for the calculation and verification of pension credit for the purposes of those Regulations.
Time for compliance with request for information
19
1
Subject to paragraph (2) below, where a request for information has been made to the responsible person by —
a
the permanent trustee, judicial factor or the debtor in connection with the making of an application for an exclusion order;
b
the debtor for, or in connection with, the making of a qualifying agreement referred to in regulation 15 above; or
c
the permanent trustee —
i
pursuant to section 36C(1) of the 1985 Act (which enables the permanent trustee to request the responsible person to provide information which he may reasonably need for the making of an application for a restoration order) and relating to the cash equivalent of a debtor’s rights or excluded rights,
ii
pursuant to section 36F(1) of the 1985 Act (which enables the transferor’s permanent trustee to request the responsible person to provide information which he may reasonably need for the making of an application under sections 34 to 36 of the 1985 Act) and relating to the cash equivalent of a transferee’s rights under a pension arrangement referred to in regulation 18(1) above,
he shall comply with that request within a period of nine weeks beginning with the day on which it is received.
2
In the case of a request for information falling within sub-paragraph (a) of paragraph (1) above, the court may, either before or after it has expired and on cause shown, extend the period referred to in that paragraph.
Signed by authority of the Secretary of State for Work and Pensions.
Ian McCartney
Minister of State,
Department for Work and Pensions
26th February 2002


text:
1
This Order may be cited as the Closure of Prisons (H.M. Prison Haslar) Order 2002 and shall come into force on 8th February 2002.
2
The prison known as H.M. Prison Haslar and situate in the county of Hampshire shall close on the coming into force of this Order.
Beverley Hughes
Parliamentary Under-Secretary of State
Home Office
17th January 2002