text:
PART I
INTRODUCTION
Citation and commencement
1
These Rules may be cited as the Financial Services and Markets Tribunal Rules 2001 and shall come into force on the day on which section 132(2) of the Act comes into force.
Interpretation
2
1
In these Rules, unless the context requires otherwise —
“the Act” means the Financial Services and Markets Act 2000;
“applicant” means a person who refers a case to the Tribunal and, if there is more than one such person, “applicant” means each such person;
“the Authority” means the Financial Services Authority;
“Authority notice” means the decision notice, supervisory notice or other notice relating to the referred action that was given to the applicant by the Authority;
“Chairman” means the person from time to time acting as chairman of the Tribunal in respect of a reference;
“direction” includes any direction, summons or order given or made by the Tribunal;
“documents” includes information recorded in any form and, in relation to information recorded otherwise than in legible form, references to its production include references to producing a copy of the information in legible form;
“file” means send to the Tribunal;
“further material” means documents which —
were considered by the Authority in reaching or maintaining the decision to give an Authority notice; or
were obtained by the Authority in connection with the matter to which that notice relates (whether they were obtained before or after giving the notice) but which were not considered by it in reaching or maintaining that decision,
but does not include documents on which the Authority relies in support of the referred action;
“party” means the applicant or the Authority (or, if there is more than one applicant, any of the applicants or the Authority) and “other party” shall be construed accordingly;
“protected item” has the meaning in section 413;
“reference” means a reference to the Tribunal under or by virtue of the Act or any other enactment (including an enactment comprised in subordinate legislation within the meaning of the Interpretation Act 1978) ;
“reference notice” means a notice filed under rule 4(1);
“referred action” means the act (or proposed act) on the part of the Authority that gave rise to the reference;
“register” means the register of references and decisions kept in connection with the Tribunal’s functions and which is open to the inspection of any person without charge at all reasonable hours;
“reply” means a reply filed by the applicant under rule 6(1);
“representations” means written representations or (with the consent of the Tribunal, or at its request) oral representations;
“response document” means:
in relation to the Authority, its statement of case;
in relation to the applicant, his reply;
“the Secretary” means the person from time to time appointed as secretary to the Tribunal, being a member of staff appointed under paragraph 6(1) of Schedule 13;
“statement of case” means a statement filed by the Authority under rule 5(1);
“supplementary statement” means a statement that is supplementary to a response document and filed in accordance with a direction given under rule 10(1)(f); and
“the Tribunal” means the Financial Services and Markets Tribunal.
2
Unless the context requires otherwise —
a
a reference in these Rules to a rule by number alone means the rule so numbered in these Rules;
b
a reference in these Rules to a section or Schedule by number alone means the section or Schedule so numbered in the Act;
c
words and expressions defined in the Act have the same meaning in these Rules; and
d
anything permitted or required by these Rules to be done by a party may be done by any representative of that party.
Application of these Rules
3
These Rules apply to all references to the Tribunal.
PART II
PRELIMINARY MATTERS
Reference notice
4
1
A reference shall be made by way of a written notice (“the reference notice”) signed by or on behalf of the applicant and filed by the applicant.
2
In any case not covered by section 133(1)(a) (which provides that a reference must be made before the end of the period of 28 days beginning with the date on which a decision notice or supervisory notice is given), the period specified for the purposes of section 133(1)(b) (such other period as may be specified for making a reference) shall be the period of 28 days beginning with the date on which the Authority notice is given.
3
The reference notice shall state —
a
the name and address of the applicant;
b
the name and address of the applicant’s representative (if any);
c
if no representative is named under sub-paragraph (b), the applicant’s address for service in the United Kingdom (if different from the address notified under sub-paragraph (a));
d
that the notice is a reference notice; and
e
the issues concerning the Authority notice that the applicant wishes the Tribunal to consider.
4
In sub-paragraph (3)(a), “address”, where the applicant is a corporation, means the address of the applicant’s registered or principal office.
5
The applicant shall file with the reference notice a copy of any Authority notice to which the reference relates.
6
The applicant may include with the reference notice an application for directions, such as a direction extending any time limit for making a reference, a direction under rule 10(1)(e) (suspension of Authority’s action) or a direction under rule 10(1)(p) (that the register shall include no particulars about the reference).
7
At the same time as he files the reference notice, the applicant shall send a copy of that notice (and of any application for directions in accordance with paragraph (6)) to the Authority.
8
In all cases where an application for directions is made under paragraph (6) the Secretary shall refer the application for directions to the Tribunal for determination and he shall take no further action in relation to the reference notice until the application for directions has been determined.
9
Subject to paragraph (8) and to any directions given by the Tribunal, upon receiving a reference notice the Secretary shall —
a
enter particulars of the reference in the register; and
b
inform the parties in writing of —
i
the fact that the reference has been received;
ii
the date when the Tribunal received the notice; and
iii
the Tribunal’s decision on any application made for directions (and include a copy of any direction given),
and the Secretary when sending the parties this information shall specify the date on which he is sending it.
Authority’s statement of case
5
1
The Authority shall file a written statement (“a statement of case”) in support of the referred action so that it is received by the Tribunal no later than 28 days after the day on which the Authority received the information sent by the Secretary in accordance with rule 4(9)(b).
2
The statement of case shall —
a
specify the statutory provisions providing for the referred action;
b
specify the reasons for the referred action;
c
set out all the matters and facts upon which the Authority relies to support the referred action; and
d
specify the date on which the statement of case is filed.
3
The statement of case shall be accompanied by a list of —
a
the documents on which the Authority relies in support of the referred action; and
b
the further material which in the opinion of the Authority might undermine the decision to take that action.
4
At the same time as it files the statement of case, the Authority shall send to the applicant a copy of the statement of case and of the list referred to in paragraph (3).
Applicant’s reply
6
1
The applicant shall file a written reply so that it is received by the Tribunal no later than 28 days after —
a
the date on which the applicant received a copy of the statement of case; or
b
if the Authority amends its statement of case, the date on which the applicant received a copy of the amended statement of case.
2
The reply shall —
a
state the grounds on which the applicant relies in the reference;
b
identify all matters contained in the statement of case which are disputed by the applicant;
c
state the applicant’s reasons for disputing them; and
d
specify the date on which it is filed.
3
The reply shall be accompanied by a list of all the documents on which the applicant relies in support of his case.
4
At the same time as he files the reply, the applicant shall send to the Authority a copy of the reply and of the list referred to in paragraph (3).
Secondary disclosure by the Authority
7
1
Following the filing of the applicant’s reply, if there is any further material which might be reasonably expected to assist the applicant’s case as disclosed by the applicant’s reply and which is not mentioned in the list provided in accordance with rule 5(3), the Authority shall file a list of such further material.
2
Any list required to be filed by paragraph (1) shall be filed so that it is received no later than 14 days after the day on which the Authority received the applicant’s reply.
3
At the same time as it files any list required by paragraph (1) the Authority shall send a copy to the applicant.
Exceptions to disclosure
8
1
A list provided in accordance with rule 5(3) or 7(1) need not include any document that relates to a case involving a person other than the applicant which was taken into account by the Authority in the applicant’s case only for the purposes of comparison with other cases.
2
A list provided in accordance with rule 5(3), 6(3) or 7(1) need not include any document that is material the disclosure of which for the purposes of or in connection with any legal proceedings is prohibited by section 17 of the Regulation of Investigatory Powers Act 2000 .
3
A list provided in accordance with rule 5(3), 6(3) or 7(1) need not include any document in respect of which an application has been or is being made under paragraph (4).
4
A party may apply to the Tribunal (without giving notice to the other party) for a direction authorising that party not to include in the list required by rule 5(3), 6(3) or 7(1) a document on the ground that disclosure of the document —
a
would not be in the public interest; or
b
would not be fair, having regard to —
i
the likely significance of the document to the applicant in relation to the matter referred to the Tribunal; and
ii
the potential prejudice to the commercial interests of a person other than the applicant which would be caused by disclosure of the document.
5
For the purpose of deciding an application by a party under paragraph (4), the Tribunal may —
a
require that the document be produced to the Tribunal together with a statement of the reasons why its inclusion in the list would —
i
in the case of an application under paragraph (4)(a), not be in the public interest; or
ii
in the case of an application under paragraph (4)(b), not be fair; and
b
invite the other party to make representations.
6
If the Tribunal refuses an application under paragraph (4) for a direction authorising a party not to include a document in a list, it shall direct that party —
a
to revise the list so as to include the document; and
b
to file a copy of that list as revised and send a copy to the other party.
7
A party who has filed a list under rule 5(3), 6(3) or 7(1) shall, upon the request of the other party, provide that other party with a copy of any document specified in the list or make any such document available to that party for inspection or copying.
8
Paragraph (7) does not apply to any document that is a protected item.
Directions
9
1
The Tribunal may at any time give directions to enable the parties to prepare for the hearing of the reference, to assist the Tribunal to determine the issues and generally to ensure the just, expeditious and economical determination of the reference.
2
The Tribunal may give directions on the application of any party or of all the parties or of its own initiative and, where it gives a direction of its own initiative, it may (but need not) give prior notice to the parties of its intention to do so.
3
Any application for directions shall include the reasons for making that application.
4
Except where it is made during the pre-hearing review or during the hearing of the reference, an application for directions shall be filed and, unless the application is accompanied by the written consent of all the parties or an application without notice is permitted by these Rules, the party making the application shall at the same time send a copy to the other party.
5
If any party objects to the directions applied for, the Tribunal shall consider the objection and, if it considers it necessary for the determination of the application, shall give the parties an opportunity to make representations.
6
Directions may be given orally or in writing and, unless the Tribunal decides otherwise in any particular case, notice of any written direction (or refusal to give a direction) shall be given to the parties.
7
Directions containing a requirement may specify a time limit for complying with the requirement and shall include a statement of the possible consequences of a party’s failure to comply with the requirement.
8
A person to whom a direction is given under these Rules may apply to the Tribunal showing good cause why it should be varied or set aside, but the Tribunal shall not grant such an application without first notifying any person who applied for the direction and giving that party an opportunity to make representations.
9
The following paragraphs of this rule shall apply if the Chairman directs that it is appropriate to hold a pre-hearing review.
10
The Secretary shall give the parties not less than 14 days' notice of the time and place of the pre-hearing review.
11
At the pre-hearing review, which shall be held before the Chairman —
a
the Chairman shall give all directions appearing necessary or desirable for securing the just, expeditious and economical conduct of the reference; and
b
the Chairman shall endeavour to secure that the parties make all admissions and agreements as they ought reasonably to have made in relation to the proceedings.
12
In this rule, “pre-hearing review” means a review of the reference that may be held at any time before the hearing of the reference.
Particular types of direction
10
1
Directions given by the Tribunal may —
a
fix the time and place of the hearing of the reference and alter any time and place so fixed;
b
provide for an oral hearing, upon such notice as the Tribunal may determine, in connection with any matter arising under the reference;
c
adjourn any oral hearing;
d
extend any time limit for making a reference under the Act or these Rules, or vary (whether by extending or shortening) any other time limit for anything to be done under these Rules;
e
suspend the effect of an Authority notice (or prevent it taking effect) until the reference has been finally disposed of, or until any appeal against the Tribunal’s determination of the reference has been finally disposed of, or both;
f
permit or require any party to provide further information or supplementary statements or to amend a response document or a supplementary statement;
g
require any party to file any document —
i
that is in the custody or under the control of that party;
ii
that the Tribunal considers is or may be relevant to the determination of the reference; and
iii
that has neither been exempted from disclosure by direction given pursuant to rule 8(4) nor been made available pursuant to rule 8(7),
and may also require that any such document directed for filing as above shall be copied to the other party or else be made available to that other party for inspection and copying;
h
require any party to provide a statement of relevant issues and facts, identifying those which are, and are not, agreed by the other party;
j
require any party to file documents for any hearing under these Rules or to agree with the other party the documents to be filed;
k
require any party to file —
i
a list of the witnesses whom the party wishes to call to give evidence at the hearing of the reference; and
ii
statements of the evidence which those witnesses intend to give, if called;
l
make provision as to any expert witnesses to be called including the number of such witnesses and the evidence to be given by them;
m
provide for the appointment of any expert under paragraph 7(4) of Schedule 13 and for that expert to send the parties copies of any report that he produces;
n
provide for the manner in which any evidence may be given;
o
provide for the use of languages in addition to English, including provision —
i
as to the venue of any hearing under these Rules so as to ensure the availability of simultaneous translation facilities; and
ii
for the translation of any document;
p
require that the register shall include no particulars about the reference; and
q
where two or more reference notices have been filed —
i
in respect of the same matter;
ii
in respect of separate interests in the same subject in dispute; or
iii
which involve the same issues,
provide that the references or any particular issue or matter raised in the references be consolidated or heard together.
2
In the case of an application for a direction under paragraph (1)(d) extending any time limit, the Tribunal may direct that the time limit be extended (whether or not it has already expired) if it is satisfied that to do so would be in the interests of justice but, in the case of an application for a direction extending any time limit for making a reference, the Tribunal shall not determine the application without —
a
considering whether the Authority notice was such as to notify the applicant properly and effectively of the referred action; and
b
considering whether the existence of the right to make the reference and the time limit had been notified to the applicant, whether in the Authority notice or otherwise.
3
A time limit extended under paragraph (2) may from time to time be further extended by directions of the Tribunal (whether or not that or any subsequent such time limit has already expired) made upon an application under paragraph (1)(d), but no such direction shall be given unless the Tribunal is satisfied that the further extension would be in the interests of justice.
4
Where a party files a response document or list later than any time limit imposed by or extended under these Rules but without applying for a direction under paragraph (1)(d) extending the time limit, that party shall be treated as applying for such a direction but no such direction shall be given unless the Tribunal is satisfied that such an extension would be in the interests of justice.
5
If a response document or list is not filed in accordance with the time limit imposed by (or extended under) these Rules, the Tribunal may of its own initiative direct that the document or list be filed by a specified date.
6
Where an application for a direction is made under paragraph (1)(e), the Tribunal may give such a direction only if it is satisfied that to do so would not prejudice —
a
the interests of any persons (whether consumers, investors or otherwise) intended to be protected by the Authority notice; or
b
the smooth operation or integrity of any market intended to be protected by that notice.
7
If the Tribunal gives a direction under paragraph (1)(f) to permit or require a party to provide a supplementary statement or to amend a response document or supplementary statement, the direction may require that party to file any such statement or amendment and send a copy to the other party.
8
The Tribunal shall not give a direction under paragraph (1)(g) or (1)(j) in relation to the disclosure of any document to the extent that the Tribunal is satisfied that —
a
it is a protected item or would be included in an exemption provided by rule 8(1) or (2); or
b
it should not be disclosed on one of the grounds specified in rule 8(4),
and, for the purpose of determining whether such a direction should be given in respect of any such document, the Tribunal may —
i
require that the document be produced to the Tribunal;
ii
hear the application in the absence of any party; and
iii
invite any party to make representations.
9
In the case of an application for a direction under paragraph (1)(p) that the register should include no particulars about the reference, the Tribunal may give such a direction if it is satisfied that this is necessary, having regard to —
a
the interests of morals, public order, national security or the protection of the private lives of the parties; or
b
any unfairness to the applicant or prejudice to the interests of consumers that might result from the register including particulars about the reference.
Filing of subsequent notices in relation to the referred action
11
Where, after the filing of a reference notice, the Authority gives the applicant any notice under the Act in relation to the referred action, the Authority shall without delay file a copy of that notice.
Summoning of witnesses
12
1
The Tribunal may by summons require any person to —
a
attend, at such time and place as is specified in the summons, to give evidence as a witness;
b
file, within the time specified in the summons, any document in his custody or under his control which the Tribunal considers it necessary to examine; or
c
both attend and file in accordance with sub-paragraphs (a) and (b) above.
2
No person may be required under this rule to file a document to the extent that the Tribunal is satisfied that —
a
it is a protected item or would be included in an exemption provided by rule 8(1) or (2); or
b
it should not be disclosed on one of the grounds specified in rule 8(4),
and, for the purpose of satisfying itself in respect of any such document, the Tribunal may —
i
require that the document be produced to the Tribunal;
ii
conduct any hearing in the absence of any party; and
iii
invite any party to make representations.
3
A witness summons shall be sent so as to be received by the person to whom it is addressed not less than seven days before the time specified in the summons.
4
Every summons under paragraph (1) shall contain a statement warning of the effect of paragraph 11(3) to (5) of Schedule 13 (penalty for refusal or failure to attend or give evidence).
5
No person shall be required, in obedience to a summons under paragraph (1), to travel more than 16 kilometres from his place of residence unless the necessary expenses of his attendance are paid or tendered to him in advance, and when the summons is issued at the request of a party, those expenses shall be paid by that party.
6
The Tribunal may, upon the application of the person to whom the witness summons is addressed, direct that the witness summons be set aside or varied.
Preliminary hearing
13
1
The Tribunal may direct that any question of fact or law which appears to be in issue in relation to the reference be determined at a preliminary hearing.
2
If, in the opinion of the Tribunal, the determination of that question substantially disposes of the reference, the Tribunal may treat the preliminary hearing as the hearing of the reference and may make such order by way of disposing of the reference as it thinks fit.
3
If the parties so agree in writing, the Tribunal may determine the question without an oral hearing, but, in any such case, the Tribunal may not at the same time dispose of the reference unless the parties have agreed in writing that it may do so.
Withdrawal of reference and unopposed references
14
1
The applicant may withdraw the reference —
a
at any time before the hearing of the reference, without permission, by filing a notice to that effect; or
b
at the hearing of the reference, with the Tribunal’s permission,
and the Tribunal may determine any reference that is so withdrawn.
2
The Authority may state that it does not oppose the reference or that it is withdrawing its opposition to it —
a
at any time before the hearing of the reference, without permission, by filing a notice to that effect; or
b
at the hearing of the reference, with the Tribunal’s permission.
3
In any case where —
a
the Authority makes a statement within paragraph (2)(a);
b
the Authority does not file a statement of case within the time limit imposed by rule 5(1) (or any such time limit as extended under rule 10(1)(d)); or
c
the applicant does not file a reply within any time limit imposed by rule 6(1) (or any such time limit as extended under rule 10(1)(d)),
the Tribunal may (subject to its power to give a direction pursuant to rule 10(5)) determine the reference without an oral hearing in accordance with rule 16, but it shall not dismiss a reference without notifying the applicant that it is minded to do so and giving him an opportunity to make representations.
4
When determining proceedings pursuant to paragraph (1) or (3), the Tribunal may make a costs order under rule 21.
References by third parties
15
1
In the case of any reference made by an applicant under section 393 (third party rights) these Rules apply subject to the modifications set out in this rule.
2
The following definitions apply in place of the definitions of “Authority notice” and “referred action” given in rule 2(1) —
a
if the reference was made under section 393(9) (reference to the Tribunal by a third party to whom a decision notice was copied), “Authority notice” means the decision notice which was copied to the applicant by the Authority;
b
if the reference was made under section 393(11) (reference to the Tribunal by a third party who alleges that he was not given a copy of a decision notice), “Authority notice” means the decision notice which the applicant alleges was not copied to him; and
c
in either case, “referred action” means the action set out in the Authority notice.
3
If the reference was made under section 393(11), rule 4(5) (requirement on applicant to file a copy of the Authority notice) does not apply.
4
The duties of the Authority to set out information under rule 5(2) (statement of case) or to list material under rule 5(3) or 7(1) (lists of documents and further material) apply only to information, documents or material which relate to the matters referred to the Tribunal in accordance with section 393(9) or (as the case may be) section 393(11).
PART III
HEARINGS
Determination without oral hearing
16
1
The Tribunal may determine a reference, or any particular issue, without an oral hearing if —
a
the parties agree in writing;
b
the issue concerns an application for directions; or
c
rule 14(3) applies.
2
Where a reference or an issue is determined in accordance with this rule, the Tribunal shall consider whether there are circumstances making it undesirable to make a public pronouncement of the whole or part of its decision and may in consequence take any steps, including any one or more of the steps specified in paragraph (3), but any such step shall be taken with a view to ensuring the minimum restriction on public pronouncement that is consistent with the need for the restriction.
3
The steps referred to in paragraph (2) are —
a
anonymising the decision;
b
editing the text of the decision;
c
declining to publish the whole or part of the decision.
4
Before reaching a decision under paragraph (2), the Tribunal shall invite the parties to make representations on the matter.
Hearings in public
17
1
In this rule, “hearing” means any hearing under these Rules but does not include any determination under rule 16(1) or the hearing of any application made to the Tribunal without notice to the other party.
2
Subject to the following paragraphs of this rule, all hearings shall be in public.
3
The Tribunal may direct that all or part of a hearing shall be in private —
a
upon the application of all the parties; or
b
upon the application of any party, if the Tribunal is satisfied that a hearing in private is necessary, having regard to —
i
the interests of morals, public order, national security or the protection of the private lives of the parties; or
ii
any unfairness to the applicant or prejudice to the interests of consumers that might result from a hearing in public,
if, in either case, the Tribunal is satisfied that a hearing in private would not prejudice the interests of justice.
4
Before determining an application under paragraph (3)(b), the Tribunal shall give the other party an opportunity to make representations.
5
Before giving a direction under paragraph (3) that the entire hearing should be in private, the Tribunal shall consider whether only part of the hearing should be heard in private.
6
The following persons shall be entitled to attend any hearing of the Tribunal whether or not it is in private —
a
the parties and their representatives;
b
the President or any member of the panel of chairmen or of the lay panel notwithstanding that they are not members of the Tribunal for the purpose of the reference to which the hearing relates;
c
the Secretary and any member of the Tribunal’s staff appointed under paragraph 6 of Schedule 13; and
d
a member of the Council on Tribunals or the Scottish Committee of that Council.
7
The Tribunal may permit any other person to attend a hearing which is held in private.
8
The persons mentioned in paragraph (6)(b) and (d) shall be entitled to attend the deliberations of the Tribunal but shall take no part in those deliberations.
9
The Tribunal may exclude from the whole or part of a hearing any person whose conduct, in the opinion of the Tribunal, has disrupted or is likely to disrupt the hearing.
10
Subject to any direction under paragraph (11), the Secretary shall provide for the public inspection at the Tribunal’s offices of a daily list of all hearings which are to be held together with information about the time and place fixed for the hearings.
11
Where all or part of a hearing is held or is to be held in private, the Tribunal may direct that information about the whole or part of the proceedings before the Tribunal (including information that might help to identify any person) shall not be made public, and such a direction may provide for the information (if any) that is to be entered in the register or removed from it.
Representation at hearings
18
1
Subject to paragraph (2), the parties may appear at the hearing (with assistance from any person if desired), and may be represented by any person, whether or not that person is legally qualified.
2
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 person to assist or represent a party at the hearing.
3
In this rule, “hearing” means any hearing under these Rules.
Procedure at hearings
19
1
Subject to the Act and these Rules, the Tribunal shall conduct all hearings under these Rules in such manner as it considers most suitable to the clarification of the issues before it and generally to the just, expeditious and economical determination of the proceedings.
2
Subject to any directions by the Tribunal, the parties shall be entitled —
a
to give evidence (and, with the consent of the Tribunal, to bring expert evidence);
b
to call witnesses;
c
to question any witnesses; and
d
to address the Tribunal on the evidence, and generally on the subject matter of the reference.
3
Evidence may be admitted by the Tribunal whether or not it would be admissible in a court of law and whether or not it was available to the Authority when taking the referred action.
4
If a party fails to attend or be represented at any hearing of which it has been duly notified, the Tribunal may, if it is satisfied that there is no good and sufficient reason for the absence —
a
in the case of the hearing of the reference, hear and determine the reference in the party’s absence; or
b
in the case of any other hearing, give any direction, determine any issue or adjourn the hearing.
Decisions of Tribunal
20
1
Subject to paragraph (2) and to rule 16(2), the Tribunal shall make arrangements for the public pronouncement of its decisions, whether by giving its decisions orally in open court or by publishing its decisions in writing.
2
Where the whole or any part of any hearing under these Rules was in private, the Tribunal shall consider whether, having regard to —
a
the reason for the hearing or any part of it being in private; and
b
the outcome of the hearing,
it would be undesirable to make a public pronouncement of the whole or part of its decision and may in consequence take any steps, including one or more of the steps specified in paragraph (3), but any such step shall be taken with a view to ensuring the minimum restriction on public pronouncement that is consistent with the need for the restriction.
3
The steps referred to in paragraph (2) are —
b
anonymising the decision;
b
editing the text of the decision;
c
declining to publish the whole or part of the decision.
4
Before reaching a decision under paragraph (2), the Tribunal shall invite the parties to make representations on the matter.
5
The Secretary shall as soon as may be practicable enter every decision (and the reasons for the decision) in the register, but this is subject to any steps taken under paragraph (2) or under rule 16(2) and to any direction given under rule 17(11).
6
Every notification of a decision determining a reference which is sent to the parties shall be accompanied by a notification of any provision of the Act relating to appeals from the Tribunal and of the time within which and the place at which such appeal or application for permission to appeal may be made.
Costs
21
1
In this rule, “costs order” means an order under paragraph 13 of Schedule 13 (power of Tribunal to order payment of costs) that a party pay the whole or part of the costs or expenses incurred by another party, and “the paying party” and “the receiving party” mean, respectively, the parties against whom and in whose favour the Tribunal makes, or (as the case may be) considers making a costs order.
2
The Tribunal shall not make a costs order without first giving the paying party an opportunity to make representations against the making of the order.
3
Where the Tribunal makes a cost order it may order —
a
that an amount fixed by the Tribunal shall be paid to the receiving party by way of costs or (as the case may be) expenses; or
b
that the costs shall be assessed or (as the case may be) expenses shall be taxed on such basis as it shall specify —
i
in England and Wales, by a costs official;
ii
in Scotland, by the Auditor of the Court of Session;
iii
in Northern Ireland, by the Taxing Master of the Supreme Court of Northern Ireland.
Review of Tribunal’s decision
22
1
If, on the application of a party or of its own initiative, the Tribunal is satisfied that —
a
its decision determining a reference was wrongly made as a result of an error on the part of the Tribunal staff; or
b
new evidence has become available since the conclusion of the hearing to which that decision relates, the existence of which could not have been reasonably known of or foreseen,
the Tribunal may review and, by certificate signed by the Chairman, set aside the relevant decision.
2
An application for the purposes of paragraph (1) may either be made immediately following the decision at the hearing of the reference or shall be filed (stating the grounds in full) not later than 14 days after the date on which notification of the decision was sent to the parties.
3
Where the Tribunal proposes to review its decision of its own initiative, it shall notify the parties of that proposal not later than 14 days after the date on which the decision was sent to the parties.
4
The parties shall have an opportunity to make representations on any application or proposal for review under this rule and the review shall be determined either by the same members of the Tribunal who decided the case or by a differently constituted Tribunal appointed by the President.
5
If, having reviewed the decision, the decision is set aside, the Tribunal shall substitute such decision as it thinks fit or order a re-hearing before either the same or a differently constituted Tribunal.
6
The certificate of the Chairman as to the setting aside of the Tribunal’s decision under this rule shall be sent to the Secretary who shall immediately make such correction as may be necessary in the register and shall send a copy of the entry so corrected to each party.
PART IV
APPEALS FROM THE TRIBUNAL
Application for permission to appeal
23
1
In this Part, “appeal” means appeal (or an appeal) under section 137(1) to the Court of Appeal or the Court of Session from a decision of the Tribunal disposing of a reference, and “appellant” means a party applying for permission to appeal.
2
An application to the Tribunal for permission to appeal may be made —
a
orally at the hearing after the decision is announced by the Tribunal; or
b
by way of written application filed not later than 14 days after the decision is sent to the party making the application.
3
When an application is made under paragraph (2)(b), it shall be signed by the appellant and shall —
a
state the name and address of the appellant and any representative of the appellant;
b
identify the decision of the Tribunal to which the application relates; and
c
state the grounds on which the appellant intends to rely in the appeal.
4
An application under this rule may include an application for a direction under rule 10(1)(e) (suspension of Authority’s action).
Decision as to permission to appeal
24
1
An application to the Tribunal for permission to appeal may be decided by the Chairman, on consideration of the application.
2
Unless the decision is made immediately following an oral application or the Chairman considers that special circumstances render a hearing desirable, the application for permission to appeal shall be decided without an oral hearing.
3
The decision of the Tribunal on an application for permission to appeal, together with the reasons for its decision, shall be recorded in writing.
4
Unless the decision is given immediately following an oral application, the Secretary shall notify the appellant and each of the other parties of the decision and the reasons for the decision.
5
Where the Tribunal refuses the application, it shall issue a direction that the appellant, if he wishes to seek permission from the Court of Appeal or the Court of Session to appeal, must do so within 14 days of the Tribunal’s refusal.
Reference remitted for rehearing
25
1
The following paragraphs of this rule apply where the Court of Appeal or the Court of Session remits a reference to the Tribunal under section 137(3)(a) for rehearing and determination (“rehearing”).
2
These Rules, so far as relevant, shall apply to the rehearing as they did to the original hearing of the reference.
3
The Tribunal shall, within 28 days of the remittal, give directions in relation to the rehearing.
PART V
GENERAL
Miscellaneous powers of Tribunal
26
1
Any functions of the Secretary may be performed by an Assistant Secretary to the Tribunal or by some other member of the Tribunal staff authorised for the purpose by the Secretary.
2
Subject to the provisions of the Act and these Rules, the Tribunal may regulate its own procedure.
3
Without limiting any other powers conferred on it by the Act or by these Rules, the Tribunal may, if it thinks fit —
a
order any response document, supplementary statement or written representation to be struck out at any stage of the proceedings on the ground that it is scandalous, frivolous or vexatious; or
b
order any reference to be struck out for want of prosecution.
4
Before making any order under paragraph (3), the Tribunal shall give notice to the party against whom it is proposed that the order should be made, giving it an opportunity to make representations against the making of the order.
Failure to comply
27
1
Where a party has, without reasonable excuse, failed to comply —
a
with a direction given under these Rules; or
b
with a provision of these Rules,
the Tribunal may take any one or more of the following steps in respect of that party —
i
make a costs order under rule 21 against that party;
ii
where that party is the applicant, dismiss the whole or part of the reference (or, if there is more than one applicant, that applicant’s reference);
iii
where that party is the Authority, strike out the whole or part of the statement of case and, where appropriate, direct that the Authority be debarred from contesting the reference altogether.
2
The Tribunal shall not take any of these steps in respect of a party unless it has given that party notice giving it an opportunity to make representations against the taking of any such steps.
Irregularities
28
1
Any irregularity resulting from failure to comply with any provision of these Rules or of any direction of the Tribunal before the Tribunal has reached its decision 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 as it thinks just to cure or waive the irregularity.
3
Clerical mistakes in any document recording a direction or decision of the Chairman or the Tribunal, or errors arising in such a document from an accidental slip or omission, may be corrected by a certificate signed by the Chairman.
Power of Chairman to exercise powers of Tribunal
29
Any matter (other than the determination of a reference or the setting aside of a decision on a reference) required or authorised by these Rules to be done by the Tribunal may be done by the Chairman.
Proof of documents
30
1
Any document purporting to a document duly executed or issued by the Chairman or the Secretary on behalf of the Tribunal shall, unless proved to the contrary, be deemed to be a document so executed or issued.
2
A document purporting to be certified by the Secretary to be a true copy of any entry of a decision in the register shall, unless proved to the contrary, be sufficient evidence of the entry and of the matters referred to in it.
Sending notices
31
1
This rule applies to any notice sent under these Rules, and in this rule —
“send” to a person includes deliver or give to, or serve on, that person;
“notice” includes any notice or other thing required or authorised by these Rules to be sent or delivered to, or served on, any person; and
“recipient” means a person to or on whom any notice is required or authorised to be sent for the purposes of these Rules.
2
A notice may be sent —
a
by a postal service which seeks to deliver documents or other things by post no later than the next working day in all or in the majority of cases;
b
by fax or other means of electronic communication; or
c
by personal delivery.
3
A notice shall be sent —
a
in the case of a notice directed to the Tribunal, to the Tribunal’s office;
b
in the case of a notice directed to the applicant —
i
to his representative; or
ii
(in any case where there is no representative) to the applicant,
at the appropriate address notified to the Tribunal in accordance with rule 4(3);
c
in the case of a notice directed to the Authority, to the Authority’s head office; or
d
otherwise, to the recipient’s registered office or last known address.
4
Subject to paragraphs (5) and (6), a notice that is sent shall be deemed, unless the contrary is proved, to have been received —
a
where it was sent by post, on the second day after it was sent; and
b
in any other case, on the day it was sent.
5
Where a notice is sent by post to the Tribunal, it shall be deemed to have been received on the day it was actually received by the Tribunal.
6
No notice shall be deemed to have been received if it is not received in legible form (or, in the case of a document received in electronic form, if the recipient is not readily able to elicit the information in legible form).
7
Where the time prescribed by these Rules for doing any act expires on a Saturday, Sunday, Christmas Day, Good Friday or bank holiday, the act shall be in time if done on the next following working day.
8
Paragraph (9) applies where —
a
a recipient cannot be found;
b
a recipient has died and has no known personal representative;
c
a recipient has no address for service in the United Kingdom; or
d
for any other reason service on a recipient cannot be readily effected.
9
Where this paragraph applies the Chairman may dispense with service on the recipient or may make an order for alternative service on such other person or in such other form (whether by advertisement in a newspaper or otherwise) as the Chairman may think fit.
10
In this rule, “bank holiday” means a day that is specified in, or appointed under, the Banking and Financial Dealings Act 1971 .
Signed by the authority of the Lord Chancellor
Rosie Winterton
Parliamentary Secretary,
Lord Chancellor’s Department
9th July 2001


type: legislation

jurisdiction: UK

text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Mid-Sussex Primary Care Trust (Establishment) Order 2001 and shall come into force on 19th February 2001.
2
In this Order, unless the context otherwise requires —
“the Act” means the National Health Service Act 1977;
“Executive Committee” has the meaning given in regulation 1(2) of the Membership Regulations ;
“member”, “officer member” and “non-officer member” have the meanings given in regulation 1(2) of the Membership Regulations;
“Membership Regulations” means the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000 ;
“operational date” is to be construed in accordance with paragraph 1(2) of Schedule 5A to the Act;
“preparatory period” is to be construed in accordance with paragraph 2(2) of Schedule 5A to the Act;
“the trust” means the Mid-Sussex Primary Care Trust established by article 2 of this Order.
Establishment and name of the Primary Care Trust
2
There is hereby established a Primary Care Trust which is to be called the Mid-Sussex Primary Care Trust.
Area of the trust
3
The trust shall be established for the area specified in the Schedule to this Order.
Members of the trust
4
1
The trust shall have, in addition to the chairman, 5 officer members and 5 non-officer members.
2
The non-officer members shall comprise the persons appointed by the Secretary of State under regulation 2(3) of the Membership Regulations.
3
The officer members shall comprise —
a
the persons who for the time being hold the offices of the Chief Executive and Director of Finance of the trust;
b
the person who for the time being holds the post of chairman of the Executive Committee of the trust;
c
2 persons appointed by the chairman of the trust following nomination by the Executive Committee of the trust.
Operational date of the trust
5
The trust’s operational date shall be 1st April 2001.
Limitations on the exercise of functions by the trust during the preparatory period
6
During the preparatory period the exercise of functions by the trust shall be limited to the following —
a
entering into NHS contracts;
b
entering into other contracts including contracts of employment; and
c
doing such other things as are reasonably necessary to enable it to begin to operate satisfactorily with effect from the operational date.
Assistance during the preparatory period
7
1
The West Sussex Health Authority shall meet the costs of the trust performing its functions during the preparatory period by discharging such of the liabilities of the trust incurred during that period as are of a description specified in paragraph (2) and do not in aggregate exceed such amount as may be notified by the Authority to the trust.
2
The liabilities referred to in the preceding paragraph are —
a
liability for the remuneration and travelling or other allowances of the chairman and members of the trust;
b
liability for the travelling or other allowances of the members of committees and sub-committees of the trust who are not also members of the trust;
c
liability for the remuneration of officers of the trust; and
d
any other liability which may reasonably be incurred by the trust for the purpose of enabling it to begin to operate satisfactorily with effect from its operational date.
3
The West Sussex Health Authority shall make officers of the Authority available to the trust during the preparatory period.
4
The Mid-Sussex National Health Service Hospital Trust shall make available to the trust during the preparatory period —
a
premises and other facilities of the NHS trust; and
b
staff of the NHS trust.
Signed by authority of the Secretary of State
Gisela Stuart
Parliamentary Under Secretary of State,
Department of Health
6th February 2001


text:
1
This Order may be cited as the Rail Vehicle Accessibility (ScotRail Class 334 Vehicles) Exemption Order 2001 and shall come into force on 26th February 2001.
2
Any reference in this Order to a numbered regulation is a reference to a regulation bearing that number in the Rail Vehicle Accessibility Regulations 1998 .
3
This order applies to the rail vehicles which are numbered 64101 to 64140, 65101 to 65140 and 74301 to 74340 and which form the electric multiple-units numbered 334001 to 334040 of the class known as “Class 334” (“the exempted vehicles”) as manufactured by ALSTOM Transport Limited for use by ScotRail Railways Limited.
4
1
Subject to articles 5, 6 and 7 below, the exempted vehicles are hereby authorised to be used for carriage even though they do not conform with those provisions of the Rail Vehicle Accessibility Regulations 1998 referred to in paragraph (2) below.
2
The provisions which which the exempted vehicles are not required to conform are —
a
regulation 4(2), but only in so far as it relates to audible warning devices which emit warning sounds outside the vehicle;
b
regulation 5(1)(c), but only in so far as it relates to door control devices which operate doors which are in the ends of the vehicle;
c
regulation 6(1)(d); and
d
regulation 11(1)(a), but only in so far as it relates to the requirement that a handrail is fitted from a point not more than 700 millimetres above the floor.
5
The exemption given by article 4(2)(c) in respect of regulation (6)(1)(d) shall only apply in relation to any exempted vehicle if in that vehicle —
a
any band of colour of the type referred to in regulation 6(1)(b) is yellow; and
b
any strip of the type referred to in regulation 7(c) is yellow.
6
1
The exemption given by article 4(2)(a) in respect of regulation 4(2) shall cease at the end of 31st December 2001.
2
The exemption given by article 4(2)(b) in respect of regulation 5(1)(c) shall cease —
a
at the end of 31st December 2010; or
b
in respect of an exempted vehicle in which all the door control devices for the doors in the ends of that vehicle and the control systems for those doorways are replaced before that date, when such replacement occurs.
3
The exemption given by articles 4(2)(c) and 4(2)(d) in respect of regulations 6(1)(d) and 11(1)(a) shall cease at the end of 31st December 2010.
7
The authorisation given by article 4(1) above shall cease immediately in respect of an exempted vehicle which is operated by a person other than ScotRail Railways Limited, unless the Secretary of State has been given written notice in advance specifying the name and address of that other person.
Signed by authority of the Secretary of State for the Environment, Transport and the Regions
Gus Macdonald
Minister of State,
Department of the Environment, Transport and the Regions
2nd February 2001


text:
1
These Regulations may be cited as the Drivers' Hours (Goods Vehicles) (Milk Collection) (Temporary Exemption) (Revocation) Regulations 2001 and shall come into force on 31st December 2001.
2
The Drivers' Hours (Goods Vehicles) (Milk Collection) (Temporary Exemption) Regulations 2001 are hereby revoked.
Signed by authority of the Secretary of State for Transport, Local Government and the Regions
David Jamieson
Parliamentary Under-Secretary of State
Department for Transport, Local Government and the Regions
6th December 2001


text:
Title, commencement and extent
1
These Regulations may be cited as the Export Restrictions (Foot-and-Mouth Disease) (Amendment) Regulations 2001; they extend to the United Kingdom and shall come into force on 1st March 2001 at midday.
Amendment to the Export Restrictions (Foot-and-Mouth Disease) Regulations 2001
2
The Export Restrictions (Foot-and-Mouth Disease) Regulations 2001 shall be amended by substituting the following provision for regulation 1(2) —
2
These Regulations shall apply until midnight on 2nd March 2001.
.
Joyce Quin
Minister of State Ministry of Agriculture, Fisheries and Food
1st March 2001 at 12.00


text:
Citation and commencement
1
These Regulations may be cited as the Social Fund Winter Fuel Payment (Amendment) Regulations 2001 and shall come into force on 2nd November 2001.
Amendment of the Social Fund Winter Fuel Payment Regulations 2000
2
1
The Social Fund Winter Fuel Payment Regulations 2000 shall be amended in accordance with the following provisions of this regulation.
2
In regulation 1 (citation, commencement and interpretation) there shall be substituted for paragraphs (3) and (3A) the following paragraphs —
3
Subject to paragraph (3A), in these Regulations a person —
a
is in residential care if, disregarding any period of temporary absence, he resides in —
i
a residential care home;
ii
a nursing home;
iii
residential accommodation; or
iv
accommodation provided under section 3(1) of the Polish Resettlement Act 1947 (provision by the Secretary of State of accommodation in camps),
throughout the qualifying week and the period of 12 weeks immediately before the qualifying week;
b
lives with another person if —
i
disregarding any period of temporary absence, they share accommodation as their mutual home; and
ii
they are not in residential care.
3A
For the purposes of paragraph (3)(a)(i) —
a
a person resides in a residential care home where the home in which he resides is included in sub-paragraphs (a) to (c) of paragraph 2A(3) of Schedule 2 to the Income Support Regulations;
b
a person who resides in an establishment which is not a residential care home shall be treated as residing in a residential care home during any period when he has a preserved right under regulation 19 of the Income Support Regulations (applicable amounts for persons in residential care and nursing homes).
.
3
In regulation 2 (social fund winter fuel payments) —
a
in sub-paragraph (i), for the sum “£150” there shall be substituted the sum “£200”; and
b
in sub-paragraph (ii), for the sum “£75” there shall be substituted the sum “£100”.
Signed by authority of the Secretary of State for Work and Pensions.
Malcolm Wicks
Parliamentary Under-Secretary of State,
Department for Work and Pensions
10th October 2001


text:
PART I
PRELIMINARY
Citation
1
This Order may be cited as the Leeds Supertram (Land Acquisition and Road Works) Order 2001.
Interpretation
2
1
In this order, unless the context otherwise requires —
“the 1965 Act ” means the Compulsory Purchase Act 1965 ;
“the 1991 Act ” means the New Roads and Streets Works Act 1991 ;
“the 1993 Act ” means the Leeds Supertram Act 1993 ;
“the Applications Rules ” means the Transport and Works (Applications and Objections Procedure) Rules 1992;
“authorised works” means the works authorised by the 1993 Act and the works authorised by this Order;
“the book of reference” means the book of reference described in rule 7(5) of the Applications Rules certified by the Secretary of State as the book of reference for the purposes of this Order;
“ the City ” means the City of Leeds;
“ the Council ” means Leeds City Council;
“ the Executive ” means the West Yorkshire Passenger Transport Executive;
“highway” and “highway authority” have the same meaning as in the Highways Act 1980 ;
“the land plans” means the plans described in rule 7(3) of the Applications Rules certified by the Secretary of State as the land plans for the purposes of this Order;
“the limits of deviation” means the limits of deviation for the road works shown on the works plans;
“the limits of land to be acquired” means the limits of land to be acquired shown on the land plans;
“maintain” includes inspect, repair, adjust, alter, remove, reconstruct and replace and “maintenance” shall be construed accordingly;
“the road works” means the works authorised by article 13(1) below;
“the sections” means the sections described in rule 7(2) of the Applications Rules certified by the Secretary of State as the sections for the purposes of this Order;
“street” means a street within the meaning of section 67(1) of the 1992 Act and includes part of a street;
“street authority”, in relation to a street, has the same meaning as in Part III of the 1991 Act;
“the tramway system” has the same meaning as in the 1993 Act (as extended by article 20(1) below);
“ the tribunal ” means the Lands Tribunal;
“the works plans” means the plans described in rule 7(1)(a) of the Applications Rules certified by the Secretary of State as the works plans for the purposes of this Order.
2
Where the book of reference, the sections, the land plans or the works plans was or were revised before this Order was made, any reference to it or them in this Order is to the latest version as certified under article 22 below.
3
References in this Order to rights over land include references to rights to do, or to place and maintain, anything in, on or under land or in the air-space over its surface.
4
All directions, distances, areas, lengths and points stated in any description of works, powers or lands shall be construed as if the words “or thereabouts” were inserted after each such direction, distance, area, length and point.
PART II
ACQUISITION OF LAND
Power to acquire land
3
1
Except in relation to the land described in paragraph (2) below, the Executive may acquire compulsorily —
a
so much of the land in the City shown on the land plans within the limits of land to be acquired and described in the book of reference as may be required for the authorised works; and
b
without prejudice to the generality of sub-paragraph (a) above, so much of the land in the City specified in columns (1) and (2) of Schedule 1 to this Order (being land shown on the land plans and described in the book of reference) as may be required for the purpose specified in relation to that land in column (3) of that Schedule;
and it may use any land so acquired for those purposes or for any other purposes connected with or ancillary to the tramway system.
2
The Council may acquire compulsorily so much of the land in the City shown on the land plans numbered 70 and described and so numbered in the book of reference as they may require to make available to the Executive for the purpose of —
a
the construction of so much of Works Nos 9, 9A and 9B authorised by the 1993 Act as is to be situated on that land and any purpose connected with, or ancillary to, that purpose; and
b
the provision pursuant to that Act of an interchange terminus, car park and associated facilities.
3
The provisions of this article shall have effect without prejudice to the powers of the Executive under sections 10(2) and 33 of the 1993 Act, and under any other provisions of that Act permitting land to be entered upon, taken or used without requiring the compulsory acquisition of that land.
4
In this Part, “ the acquiring authority” means the Council in the case of an acquisition pursuant to paragraph (2) above, and in any other case means the Executive.
Application of Part I of the Compulsory Purchase Act 1965
4
1
Part I of the 1965 Act, in so far as not modified by or inconsistent with the provisions of this Order, shall apply to the acquisition of land under this Order —
a
as it applies to a compulsory purchase to which the Acquisition of Land Act 1981 applies; and
b
as if this Order were a compulsory purchase order under that Act.
2
Part I of the 1965 Act, as so applied, shall have effect as if —
a
section 4 (which provides a time limit for compulsory purchase of land) and paragraph 3(3) of Schedule 3 (which makes provision as to the giving of bonds) were omitted; and
b
in section 11(1) (which confers power to enter on and to take possession of land subject to a notice to treat on giving not less than 14 days' notice) for the reference to 14 days' notice there were substituted —
i
in a case where the notice to treat relates only to the acquisition of an easement or other right over the land, a reference to notice of one month; or
ii
in any other case, a reference to notice of 3 months.
Application of the Compulsory Purchase (Vesting Declarations) Act 1981
5
1
The Compulsory Purchase (Vesting Declarations) Act 1981 shall apply as if this Order were a compulsory purchase order.
2
In its application by virtue of paragraph (1) above, the Compulsory Purchase (Vesting Declarations) Act 1981 shall have effect with the following modifications.
3
In section 3 (preliminary notices), for subsection (1) there shall be substituted —
1
Before making a declaration under section 4 below with respect to any land which is subject to a compulsory purchase order the acquiring authority shall include the particulars specified in subsection (3) below in a notice which is —
a
given to every person with a relevant interest in the land with respect to which the declaration is to be made (other than a mortgagee who is not in possession), and
b
published in the London Gazette and in one or more local newspapers circulating in the locality of the authorised works
.
4
In that section, in subsection (2), for “(1)(b)” there shall be substituted “(1)” and after “given” there shall be inserted “and published”.
5
In that section, subsections (5) and (6) shall be omitted and at the end there shall be inserted —
5
For the purposes of this section, a person has a relevant interest in land if —
a
he is for the time being entitled to dispose of the fee simple of the land, whether in possession or reversion, or
b
he holds, or is entitled to the rents and profits of, the land under a lease or agreement, the unexpired term of which exceeds one month.
.
6
In section 5 (earliest date for execution of declaration) in subsection (1), after “publication” there shall be inserted “in the London Gazette and in one or more local newspapers circulating in the locality of the authorised works”.
7
In section 7 (constructive notice to treat) in subsection (1)(a), the words “(as modified by section 4 of the Acquisition of Land Act 1981)” shall be omitted.
8
References to the Compulsory Purchase Act 1965 shall be construed as references to that Act as applied to the acquisition of land under article 4 above.
Powers to acquire new rights
6
1
The Executive and the Council may compulsorily acquire such easements or other rights over any land referred to in paragraphs (1) and (2) of article 3 above as may be required for any purpose for which that land may be acquired by them under that article, by creating them as well as by acquiring easements or other rights already in existence.
2
Subject to section 8 of the 1965 Act (as substituted by paragraph 5 of Schedule 2 to this Order), where the acquiring authority acquires a right over land under paragraph (1) above it shall not be required to acquire a greater interest in the land.
3
Schedule 2 to this Order shall have effect for the purpose of modifying the enactments relating to compensation and the provisions of the 1965 Act in their application in relation to the compulsory acquisition under this article of a right over land by the creation of a new right.
Disregard of certain interests and improvements
7
1
In assessing the compensation (if any) payable to any person on the acquisition from him of any land under this Order, the tribunal shall not take into account —
a
any interest in land, or
b
any enhancement of the value of any interest in land by reason of any building erected, works executed or improvement or alteration made on relevant land,
if the tribunal is satisfied that the creation of the interest, the erection of the building, the execution of the works or the making of the improvement or alteration was not reasonably necessary and was undertaken with a view to obtaining compensation or increased compensation.
2
In paragraph (1) above “relevant land” means the land acquired from the person concerned or any other land with which he is, or was at the time when the building was erected, the works executed or the improvement or alteration made, directly or indirectly concerned.
Acquisition of part of certain properties
8
1
This article shall apply instead of section 8(1) of the 1965 Act (as applied by article 4 above) in any case where —
a
a notice to treat is served on a person (“the owner”) under the 1965 Act (as so applied) in respect of land forming only part of a house, building or factory or of land consisting of a house with a park or garden (“the land subject to the notice to treat”); and
b
a copy of this article is served on the owner with the notice to treat.
2
In such a case, the owner may, within the period of 21 days beginning with the day on which the notice were served, serve on the acquiring authority a counter-notice objecting to the sale of the land subject to the notice to treat and stating that he is willing and able to sell the whole (“the land subject to the counter-notice”).
3
If no such counter-notice is served within that period, the owner shall be required to sell the land subject to the notice to treat.
4
If such a counter-notice is served within that period, the question whether the owner shall be required to sell only the land subject to the notice to treat shall, unless the acquiring authority agrees to take the land subject to the counter-notice, be referred to the tribunal.
5
If on such a reference the tribunal determines that the land subject to the notice to treat can be taken —
a
without material detriment to the remainder of the land subject to the counter-notice, or
b
in the case of part of land consisting of a house with a park or garden, without material detriment to the remainder of the land subject to the counter-notice and without seriously affecting the amenity and convenience of the house,
the owner shall be required to sell the land subject to the notice to treat.
6
If on such a reference the tribunal determine that only part of the land subject to the notice to treat can be taken —
a
without material detriment to the remainder of the land subject to the counter-notice, or
b
in the case of part of land consisting of a house with a park or garden, without material detriment to the remainder of the land subject to the counter-notice and without seriously affecting the amenity and convenience of the house,
the notice to treat shall be deemed to be a notice to treat for that part.
7
If on such a reference the tribunal determine that —
a
the land subject to the notice to treat cannot be taken without material detriment to the remainder of the land subject to the counter-notice, but
b
the material detriment is confined to a part of the land subject to the counter-notice,
the notice to treat shall be deemed to be a notice to treat for the land to which the material detriment is confined in addition to the land already subject to the notice, whether or not the additional land is land which the acquiring authority is authorised to acquire compulsorily under this Order.
8
If the acquiring authority agrees to take the land subject to the counter-notice, or if the tribunal determine that —
a
none of the land subject to the notice to treat can be taken without material detriment to the remainder of the land subject to the counter-notice or, as the case may be, without material detriment to the remainder of the land subject to the counter-notice and without seriously affecting the amenity and convenience of the house, and
b
that the material detriment is not confined to a part of the land subject to the counter-notice,
the notice to treat shall be deemed to be a notice to treat for the land subject to the counter-notice whether or not the whole of that land is land which the acquiring authority is authorised to acquire compulsorily under this Order.
9
In any case where by virtue of a determination by the tribunal under this article a notice to treat is deemed to a be a notice to treat for less land or more land than that specified in the notice, the acquiring authority may, within the period of 6 weeks beginning with the day on which the determination is made, withdraw the notice to treat; and if it does so it shall pay the owner compensation for any loss or expense occasioned to him by the giving and withdrawal of the notice, to be determined in case of dispute by the tribunal.
10
Where the owner is required under this article to sell only part of a house, building or factory or of land consisting of a house with a park or garden, the acquiring authority shall pay him compensation for any loss sustained by him due to the severance of that part in addition to the value of the interest acquired.
Temporary use of land for construction of works
9
1
The Executive may, in connection with the carrying out of the authorised works —
a
enter upon and take temporary possession of the land in the City specified in column (1) of Schedule 3 to this Order for the purpose specified in relation to that land in column (2) of that Schedule relating to the authorised works specified in column (3) of that Schedule;
b
remove any buildings and vegetation from that land; and
c
construct temporary works (including the provision of means of access) and buildings on the land.
2
Not less than 28 days before entering upon and taking temporary possession of land under this article the Executive shall serve notice of the intended entry on the owners and occupiers of the land.
3
The Executive may not, without the agreement of the owners of the land, remain in possession of any land under this article after the end of the period of one year beginning with the date of completion of the work or works specified in relation to that land in column (3) of Schedule 3 to this Order.
4
Before giving up possession of land of which temporary possession has been taken under this article, the Executive shall remove all temporary works and restore the land to the reasonable satisfaction of the owners of the land; but the Executive shall not be required to replace a building removed under this article.
5
The Executive shall pay compensation to the owners and occupiers of land of which temporary possession is taken under this article for any loss or damage arising from the exercise in relation to the land of the powers conferred by this article.
6
Any dispute as to a person’s entitlement to compensation under paragraph (5) above, or as to the amount of the compensation, shall be determined under Part I of the Land Compensation Act 1961 .
7
Without prejudice to article 25 below, nothing in this article shall affect any liability to pay compensation under section 10(2) of the 1965 Act or under any other enactment in respect of loss or damage arising from the execution of any works, other than loss or damage for which compensation is payable under paragraph (5) above.
8
The powers of compulsory acquisition of land conferred by this Order shall not apply in relation to any land of which temporary possession may be taken under paragraph (1) above except that the Executive shall not be precluded from acquiring new rights over any part of that land under article 6 above.
9
Where the Executive takes possession of land under this article, it shall not be required to acquire the land or any interest in it.
10
In this article “building” includes any structure or other erection.
Extinction or suspension of private rights of way
10
1
All private rights of way over land subject to compulsory acquisition under this Order shall be extinguished —
a
as from the acquisition of the land by the acquiring authority, whether compulsorily or by agreement, or
b
on the entry on the land by the acquiring authority under section 11(1) of the 1965 Act,
whichever is sooner.
2
All private rights of way over land of which the Executive takes temporary possession under this Order shall be suspended and unenforceable for as long as the Executive remains in lawful possession of the land.
3
Any person who suffers loss by the extinguishment or suspension of any private right of way under this article shall be entitled to compensation to be determined, in case of dispute, under Part I of the Land Compensation Act 1961.
4
This article does not apply in relation to any right of way to which section 271 or 272 of the Town and Country Planning Act 1990 (extinquishment of rights of statutory undertakers etc. ) applies.
Time limit for exercise of powers of acquisition
11
1
After the end of the period of 5 years beginning with the day on which this Order comes into force —
a
no notice to treat shall be served under Part I of the 1965 Act as applied to the acquisition of land by article 4 above;
b
no declaration shall be executed under section 4 of the Compulsory Purchase (Vesting Declarations) Act 1981, as applied by article 5 above.
2
The powers conferred by article 9 above shall cease at the end of the period referred to in paragraph (1) above, save that nothing in this paragraph shall prevent the Executive remaining in possession of land after the end of that period, if the land was entered and possession of it was taken before the end of that period.
Acquisition: supplementary matters
12
1
Parts II and III of Schedule 2 to the Acquisition of Land Act 1981 (exception of minerals from compulsory purchase and regulation of the working of mines or minerals underlying an authorised undertaking) shall have effect in relation to land to which article 3(1) or (2) above applies as if it were comprised in a compulsory purchase order providing for the incorporation with that order of those Parts of that Schedule.
2
In their application by virtue of paragraph (1) above, Parts II and III of Schedule 2 to the Acquisition of Land Act 1981 shall have effect as if references to the undertaking were references to the undertaking which the Executive is authorised by this Order or the 1993 Act to carry on.
3
Sections 31 and 32 of the 1993 Act shall apply to an acquisition under this Part as it applies to an acquisition under Part III of the 1993 Act.
4
Sections 38(4) and 40(9) of the 1993 Act (trial holes) shall apply to the exercise of powers under section 11(3) of the 1965 Act as applied by article 4 above.
5
Section 39(2) of the 1993 Act (so far as continued in effect by article 23(3) and (4) below) and section 41(2) and (3) of that Act shall apply to an acquisition under this Part as it applies to an acquisition under Part III of the 1993 Act; and section 41(4) shall have effect as if the reference to land acquired, held or used under the 1993 Act included reference to land acquired, held or used under this Order.
PART III
MATTERS CONCERNING WORKS
Further works
13
1
The Executive may, in the lines and situations shown on the works plans and in accordance with the levels shown on the sections, construct and maintain the following works —
Work No. 1 : a road for the realignment of Chadwick Street in the City, commencing in Chadwick Street at a point 20 metres east of its junction with Black Bull Street and terminating at a point 121 metres south-east of its commencement; and
Work No. 2 : a road for the realignment of Waterloo Street in the City, commencing in Waterloo Street at a point 20 metres east of its junction with Hunslet Road and terminating at a point 109 metres east of its commencement.
2
In constructing and maintaining the road works, the Executive may —
a
deviate laterally from the line and situation shown on the works plans within the limits of deviation for that work shown on the works plans;
b
deviate vertically from the levels shown on the sections to any extent not exceeding 3 metres upwards or downwards.
3
The Executive may carry out and maintain such of the following works as may be necessary or expedient for the purposes of, in connection with or in consequence of, the construction of the road works, namely —
a
works for the alteration or demolition of any building or structure,
b
works to alter the position of apparatus or street furniture, including mains, sewers, drains and cables,
c
landscaping and other works to mitigate any adverse effects of the construction, maintenance or operation of the road works, and
d
works for the benefit or protection of premises affected by the road works,
together with such other works (of whatever nature) as may be necessary or expedient as aforementioned.
4
Works carried out under paragraph (3) above shall be carried out within the limits of land to be acquired.
Further works: supplementary provision
14
1
The Executive may permanently stop up all or any of Chadwick Street as existing between points W and X shown on the works plans upon the practical completion of Work No. 1 authorised by article 13(1) above to the reasonable satisfaction of the street authority and its opening for use.
2
The Executive may permanently stop up all or any of Waterloo Street as existing between points Y and Z shown on the works plans upon the practical completion of Work No. 2 authorised by article 13(1) above to the reasonable satisfaction of the street authority and its opening for use.
3
For the purposes of the construction of the road works, the Executive may temporarily stop up or alter Waterloo Street, Chadwick Street, Chadwick Street South and Black Bull Street in the City and for any reasonable time —
a
divert traffic from any of those streets, and
b
subject to paragraphs (4) and (5) below, prevent all persons from passing along those streets.
4
The Executive shall provide reasonable access for pedestrians going to or from premises abutting on a street affected by the exercise of the powers conferred by paragraph (3) above if there would otherwise be no such access.
5
The Executive shall not exercise the powers of paragraph (3) above without the consent of the street authority, such consent not to be unreasonably withheld.
6
When Work No. 1 or Work No. 2 authorised by article 13(1) above is completed to the reasonable satisfaction of the street authority, unless otherwise agreed the realigned part of the street shall be maintained by and at the expense of the Executive for a period of 12 months from its completion and at the expiry of that period by and at the expense of the street authority.
7
Nothing in paragraph (6) above shall prejudice the operation of section 87 of the 1991 Act (prospectively maintainable highways); and the Executive shall not by reason of any duty under this article to maintain a street be taken to be the street authority in relation to that street for the purposes of Part III of that Act.
8
Nothing in paragraph (6) above shall have effect in relation to street works as respects which the provisions of Part III of the 1991 Act apply.
9
The street authority and the Executive may enter into agreements with respect to the exercise of the powers conferred by article 13 above and this article, and without prejudice to the generality of this paragraph, such an agreement may provide for the street authority to carry out any function under this Part which relates to the street in question, and contain such terms as to payment and otherwise as the parties consider appropriate.
Designation of tramways
15
1
Work No. 2 authorised by the 1993 Act may be constructed within the limits of deviation relating to it provided for in the deposited plans for that Act and at the levels permitted by that Act so that any part of it is situated within the carriageway of Chadwick Street or Chadwick Street South in the City.
2
Work No. 7 authorised by the 1993 Act may be constructed within the limits of deviation relating to it provided for in the deposited plans for that Act and at the levels permitted by that Act so that any part of it between its commencement and chainage 360 metres is situated within the carriageway of Thorpe Lane in the City.
3
So far as any part of Work No. 2 or Work No. 7 authorised by the 1993 Act is constructed as mentioned in paragraph (1) or (2) above, it shall be treated for the purposes of the 1993 Act as if authorised and designated by that Act as tramway.
4
If any part of the railways designated as tramway in the 1993 Act is constructed within the limits provided for it in the deposited plans for that Act and at the levels permitted by that Act so that it is not situated in the carriageway or a reserved area between dual carriageways, except in relation to sections 7(7), 16 and 68 of that Act it shall be treated for the purposes of the 1993 Act as if it had not been so designated as tramway; and if part of Work No. 7 authorised by that Act at or about chainage 1240 metres is so constructed, Thorpe Lane shall be treated as if it were specified in Schedule 2 to the 1993 Act.
5
In paragraphs (1) and (2) above, references to Chadwick Street include reference to that street as it may be realigned under article 13(1) above or pursuant to Work No. 2B authorised by the 1993 Act, and references to Thorpe Lane include reference to that street as it may be realigned pursuant to Work No. 7A authorised by that Act.
6
In paragraphs (1), (2) and (4) above, “carriageway” includes any part of the carriageway in respect of which works have been carried out under section 7(4) of the 1993 Act.
Stopping up of means of access
16
1
The Executive may stop up and discontinue the private means of vehicular access to the premises known as 170 Briggate in the City at point A shown on the land plans, and carry out any incidental operations in the highway for the purpose.
2
Any person who suffers loss by the stopping up authorised by paragraph (1) above shall be entitled to compensation to be determined, in case of dispute, under Part I of the Land Compensation Act 1961.
Further level crossings in consequence of changes of road layout
17
Where the railways authorised by the 1993 Act cross the highways specified in Schedule 4 to this Order, those highways shall be treated for the purposes of that Act as if they were specified in Schedule 2 to the 1993 Act.
Discharge of water
18
1
The Executive may use any watercourse or any public sewer or drain for the drainage of water in connection with the construction or maintenance of the works authorised by article 13 above and for that purpose may within the limits of land to be acquired lay down, take up and alter pipes and may, on any land within those limits, make openings into, and connections with, the watercourse, sewer or drain.
2
The Executive shall not discharge any water into any watercourse, public sewer or drain except with the consent of the person to which it belongs; and such consent may be given subject to such terms and conditions as the authority may reasonably impose but shall not be unreasonably withheld.
3
The Executive shall not make any opening into any public sewer or drain except in accordance with plans approved by, and under the superintendence (if provided) of, the authority to which the sewer or drain belongs, but such approval shall not be unreasonably withheld.
4
The Executive shall not, in the exercise of the powers conferred by this article, damage or interfere with the beds or banks of any watercourse forming part of a main river.
5
The Executive shall take such steps as are reasonably practicable to secure that any water discharged into a watercourse or public sewer or drain under the powers conferred by this article is as free as may be practicable from gravel, soil or other solid substance or oil or matter in suspension.
6
This article does not authorise the entry into controlled waters of any matter whose entry or discharge into controlled waters is prohibited by section 85(1), (2) or (3) of the Water Resources Act 1991 .
7
In this article —
a
“public sewer or drain” means a sewer or drain which belongs to a sewerage undertaker, the Environment Agency or a local authority;
b
“watercourse” includes all rivers, streams, ditches, drains, cuts, culverts, dykes, sluices, sewers and passages through which water flows except a public sewer or drain; and
c
other expressions used both in this article and in the Water Resources Act 1991 have the same meaning as in that Act.
Safeguarding works to buildings
19
1
Subject to the following provisions of this article the Executive may at its own expense and from time to time carry out such safeguarding works to any building which is within the limits of land to be acquired and which lies within 30 metres of any of the works authorised by article 13 above (“relevant works”), as the Executive considers to be necessary or expedient.
2
Safeguarding works may be carried out —
a
at any time before or during the construction in the vicinity of the building of any part of the relevant works, or
b
after the completion of the construction of that part of the relevant works, at any time up to the end of the period of 5 years beginning with the day on which that part of the relevant works is first opened for use.
3
For the purpose of determining how the functions under this article are to be exercised the Executive may enter and survey any building falling within paragraph (1) above and any land within the limits of land to be acquired belonging to it.
4
For the purpose of carrying out safeguarding works under this article to a building the Executive may (subject to paragraphs (5) and (6) below) —
a
enter the building and any land within the limits of land to be acquired belonging to it, and
b
where the works cannot be carried out reasonably conveniently without entering land within the limits of land to be acquired adjacent to the building, enter the adjacent land (but not any building erected on it).
5
Before exercising —
a
a right under paragraph (1) above to carry out safeguarding works to a building,
b
a right under paragraph (3) above to enter a building,
c
a right under paragraph (4)(a) above to enter a building or land, or
d
a right under paragraph (4)(b) above to enter land,
the Executive shall, except in the case of emergency, serve on the owners and occupiers of the building or land not less than 14 days' notice of its intention to exercise that right and in a case falling within sub-paragraph (a) or (c) above, specifying the safeguarding works proposed to be carried out.
6
Where notice is served under paragraph (5)(a), (c) or (d) above, the owner or occupier of the building or land concerned may, by serving a counter-notice within the period of 10 days beginning with the day on which the notice is served, require the question whether it is necessary or expedient to carry out the safeguarding works or to enter the building or land to be referred to arbitration under article 28 below.
7
The Executive shall compensate the owners and occupiers of any building or land in relation to which the powers of this article have been exercised for any loss or damage arising to them by reason of the exercise of those powers.
8
Where —
a
safeguarding works are carried out under this article to a building, and
b
within the period of 5 years beginning with the day on which the part of the relevant works constructed within the vicinity of the building is first opened for use, it appears that the safeguarding works are inadequate to protect the building against damage caused by the construction or operation of that part of the works,
the Executive shall compensate the owners and occupiers of the building for any damage sustained by them.
9
Without prejudice to article 25 below, nothing in this article shall relieve the Executive from any liability to pay compensation under section 10(2) of the 1965 Act.
10
Any compensation payable under paragraph (7) or (8) above shall be determined, in case of dispute, under Part I of the Land Compensation Act 1961.
11
In this article —
a
“building” includes any structure or erection or any part of a building, structure or erection,
b
any reference to a building within a specified distance of a work includes —
i
in the case of a work under the surface of the ground, a reference to any building within the specified distance of the point on the surface below which the work is situated, and
ii
where a work has not commenced, a reference to a building within the specified distance of the proposed site of the work, and
c
“safeguarding works”, in relation to a building means —
i
underpinning, strengthening and any other works the purpose of which is to prevent damage which may be caused to the building by the construction, maintenance or operation of the relevant works, and
ii
any works the purpose of which is to remedy any damage which has been caused to the building by the construction, maintenance or operation of the relevant works.
Leeds Supertram Act 1993
20
1
References to the tramway system in the 1993 Act shall be treated, so far as relevant, as including references to the works authorised by article 13 above.
2
The works and matters authorised by articles 13, 14 and 19 above shall be treated as authorised by the 1993 Act for the purposes of sections 38 to 42 and 61 of that Act.
Application of New Roads and Street Works Act 1991
21
1
The road works shall be treated as major highway works for the purposes of Part III of the 1991 Act.
2
In Part III of the 1991 Act, references, in relation to major highway works, to the highway authority concerned shall, in relation to works which are major highway works by virtue of paragraph (1) above, be construed as references to the Executive; provided that nothing in this paragraph shall affect the operation of section 39 of the 1993 Act as applied by article 20(2) above.
3
The provisions of the 1991 Act mentioned in paragraph (4) below and any regulations made, or code of practice issued or approved under, those provisions shall apply (with the necessary modifications) in relation to the stopping up, alteration or diversion of a street by the Executive under the powers conferred by this Part where no street works are executed in that street as they would apply if the stopping up, alteration or diversion were occasioned by street works executed in that street by the Executive.
4
The provisions of the 1991 Act referred to in paragraph (3) above are —
section 54 (advance notice of certain works),
section 55 (notice of starting date of works),
section 59 (general duty of street authority to co-ordinate works),
section 60 (general duty of undertakers to co-operate),
section 69 (works likely to affect other apparatus in the street),
section 76 (liability for cost of temporary traffic regulations),
section 77 (liability for cost of use of alternative route), and
all such other provisions as apply for the purposes of the provisions mentioned above.
5
Sections 54 and 55 of the 1991 Act as applied by paragraph (3) above shall have effect as if reference in section 57 of that Act to emergency works were a reference to a stopping up, alteration or diversion (as the case may be) required in a case of emergency.
PART IV
MISCELLANEOUS AND GENERAL
Certification of plans etc.
22
The Executive shall, as soon as practicable after the making of this Order, submit copies of the book of reference, the sections, the land plans and the works plans to the Secretary of State for certification that they are, respectively, the book of reference, sections, land plans and works plans referred to in this Order; and a document so certified shall be admissible in any proceedings as evidence of the contents of the document of which it is a copy.
For protection of Railtrack
23
1
Schedule 5 to this Order (which includes provisions for the protection of Railtrack) shall have effect.
2
Section 39 of the 1993 Act, which contains protective provisions for the protection of Railtrack shall cease to have effect with respect to the authorised works or the compulsory acquisition of land for those works.
3
Subject to paragraph (4) below, nothing in paragraph (2) above shall affect section 39 of the 1993 Act in its application to any land, property or interest of the British Railways Board.
4
Paragraph (2) of section 39 of the 1993 Act, as continued in effect by paragraph (3) above, shall not apply to the land specified in clause 10(5)(b) of the agreement referred to in paragraph 1(1)(c) of Schedule 6 to this Order.
Agreements and undertakings connected with 1993 Act
24
Schedule 6 to this Order (which relates to certain agreements and undertakings connected with the 1993 Act) shall have effect.
No double recovery
25
Compensation shall not be payable in respect of the same matter both under this Order and under any other enactment, any contract or any rule of law.
Withholding of consent
26
Where it is provided in this Order that any consent or approval is not to be unreasonably withheld, any dispute as to whether it is so unreasonably withheld or as to the conditions subject to which it is given shall be determined by arbitration.
Service of notices
27
1
A notice or other document required or authorised to be served for the purposes of this Order may be served by post.
2
Where the person on whom a notice or other document to be served for the purposes of this Order is a body corporate, the notice or document is duly served if it is served on the secretary or clerk of that body.
3
For the purposes of section 7 of the Interpretation Act 1978 as it applies for the purposes of this article, the proper address of any person in relation to the service on him of a notice or document under paragraph (1) above is, if he has given an address for service, that address, and otherwise —
a
in the case of the secretary or clerk of a body corporate, the registered or principal office of that body; and
b
in any other case, his last known address at the time of service.
4
Where for the purposes of this Order a notice or other document is required or authorised to be served on a person as having an interest in, or as the occupier of, land and his name or address cannot be ascertained after reasonable inquiry, the notice may be served by —
a
addressing it to him by name or by the description of “owner”, or as the case may be “occupier”, of the land (describing it); and
b
either leaving it in the hands of a person who is or appears to be resident or employed on the land or leaving it conspicuously affixed to some building or object on or near the land.
5
This article shall not be taken to exclude the employment of any method of service not expressly provided for by it.
Arbitration
28
Where under this Order any difference (other than a difference to which the provisions of the 1965 Act apply) is to be determined by or referred to arbitration, then, unless otherwise provided, the difference shall be referred to and settled by a single arbitrator to be agreed between the parties or, failing agreement, to be appointed, on the application of either party (after notice in writing to the other), by the President of the Institution of Civil Engineers.
John Prescott
Secretary of State for the Environment, Transport and the Regions
28th January 2001


text:
Citation, commencement, interpretation and extent
1
1
These Regulations may be cited as the National Health Service (General Dental Services) Amendment (No. 5) Regulations 2001 and shall come into force on 1st August 2001.
2
In these Regulations “the principal Regulations ” means the National Health Service (General Dental Services) Regulations 1992 .
3
The extent of these Regulations is as follows —
a
this regulation extends to England and Wales,
b
regulations 2 and 4 and the Schedule extend to England only, and
c
regulation 3 extend to Wales only.
Amendment of the principal Regulations
2
1
In regulation 2(1) of the principal Regulations (interpretation), omit the definition of “ FHSA ”.
2
In the provisions of the principal Regulations listed in the Schedule to these Regulations —
a
for “FHSA” wherever it appears substitute “Health Authority”,
b
for “An” whenever it appears immediately preceding “FHSA” substitute “A”, and
c
for “an” whenever it appears immediately preceding “FHSA” substitute “a”.
3
In regulation 20 (approval of payments by Dental Practice Board) in paragraph (4) for “ VIII and IX ” substitute “VIII, IX and X”.
4
In paragraph 17 of Schedule 1 to the principal Regulations (occasional treatment) —
a
for head (m) of sub-paragraph (2) substitute —
m
conservative treatment of permanent or retained deciduous teeth by way of fillings or root fillings,
and
b
after sub-paragraph (3) insert —
4
Subject to sub-paragraphs (5) and (6), where a dentist has provided conservative treatment by way of any filling or root filling in accordance with sub-paragraph (2)(m), he shall repair or replace the filling in question at no charge to the patient.
5
A dentist shall not be under an obligation to repair or replace any filling under sub-paragraph (2)(m) where —
a
within 12 months of the date on which the filling was provided —
i
a dentist has provided private treatment, or
ii
another dentist has provided occasional treatment otherwise than of a temporary nature,
on the tooth in respect of which the filling was provided;
b
the dentist advised the patient at the time of the filling and indicated on the patient record —
i
that the filling was intended to be temporary in nature; or
ii
that, in his opinion, a different form of filling was more appropriate but, notwithstanding that advice, the patient insisted on the filling which was provided;
c
in the opinion of the dentist, the condition of the tooth in respect of which the filling was provided is such that the filling cannot satisfactorily be repaired or replaced and different treatment is now required; or
d
the repair or replacement is required as a result of trauma.
6
The obligation to repair or replace any filling under sub-paragraph (2)(m) shall cease 12 months after the date on which the filling was provided.
.
Signed by authority of the Secretary of State for Health
Hazel Blears
Parliamentary Under-Secretary of State
Department of Health
5th July 2001