text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Regulation of Investigatory Powers (Communications Data) Order 2010 and shall come into force on 6 th April 2010.
2
In this Order —
“ the Act ” means the Regulation of Investigatory Powers Act 2000;
“authorisation” means an authorisation under section 22(3) of that Act; and
“notice” means a notice under section 22(4) of that Act.
Additional purposes of section 22(2) of the Act
2
The following additional purposes are specified for the purposes of section 22(2) of the Act (to the extent that they do not fall within paragraphs (a) to (g) of that provision) —
a
to assist investigations into alleged miscarriages of justice;
b
where a person (“P”) has died or is unable to identify themselves because of a physical or mental condition —
i
to assist in identifying P, or
ii
to obtain information about P’s next of kin or other persons connected with P or about the reason for P’s death or condition.
Schedules 1 and 2 and additional relevant public authorities
3
1
Schedule 1 (which prescribes offices, ranks or positions in the relevant public authorities listed in the definition of “relevant public authority” in section 25(1) of the Act ) has effect.
2
Schedule 2 (which specifies additional public authorities as relevant public authorities and prescribes offices, ranks and positions in those authorities) has effect.
3
Each of the public authorities set out in column (1) of Schedule 2 is specified for the purposes of section 25(1) of the Act as a relevant public authority.
4
A reference to section 21, 22 or 25 in the heading to a column in Schedule 1 or 2 is a reference, as the case may be, to section 21, 22 or 25 of the Act.
Prescribed offices, ranks and positions with relevant public authorities
4
1
Subject to the restrictions in articles 5 and 6, the offices, ranks and positions listed in entries to columns (2) and (3) of Schedules 1 and 2 (being offices, ranks and positions with the relevant public authorities listed in relation to such entries in column (1) of Schedules 1 and 2) are prescribed for the purposes of section 25(2) of the Act.
2
Where an office, rank or position with a relevant public authority listed in column (2) of Schedule 1 or column (2) of Schedule 2 is prescribed by virtue of article 4(1), all more senior offices, ranks or positions with that authority are also prescribed for the purposes of section 25(2), subject to article 7.
3
Where an office, rank or position with a relevant public authority is described in column (2) of Schedule 1 or column (2) of Schedule 2 by reference to an agency, unit, branch, division or other part of that authority, the reference in paragraph (2) to all more senior offices, ranks or positions with that authority is a reference to all more senior offices, ranks or positions with that agency, unit, branch, division or part.
Restrictions on the granting of authorisations or the giving of notices
5
1
An individual holding an office, rank or position which is listed in column (2) or (3) of Schedule 1 or 2 may not grant an authorisation or give a notice unless that individual believes it is necessary for any purpose within section 22(2) of the Act (as extended by article 2) which is listed in the corresponding entry in column (4) of those Schedules.
2
In column (4) of Schedules 1 and 2, a reference to section 22 is a reference to that section in the Act.
6
1
— The only authorisation that may be granted and the only notice that may be given by an individual falling within any of paragraphs (2) to (7) below is restricted as set out in the paragraph in question.
2
Subject to paragraph (3), in the case of an individual —
a
holding an office, rank or position which is listed in column (2) of Schedule 1 or of Part 1 of Schedule 2, and
b
who believes that the authorisation or notice is necessary on grounds other than those set out in section 22(2)(a), (b), (c) or (g) of the Act or article 2,
the authorisation or notice may only be in respect of communications data that falls within section 21(4)(c) of the Act.
3
The restriction in paragraph (2) shall not apply in the case of an individual holding an office, rank or position with the Air Accident Investigation Branch, the Marine Accident Investigation Branch or the Rail Accident Investigation Branch.
4
In the case of an individual holding an office, rank or position which is listed in column (2) of Part 2 of Schedule 2, the authorisation or notice may be only in respect of communications data that falls within —
a
section 21(4)(c) of the Act where the individual believes that it is necessary on grounds other than those set out in section 22(2)(a), (b), (c) or (g) of the Act or article 2, or
b
in any other case, section 21(4)(b) or (c) of the Act.
5
In the case of an individual —
a
holding an office, rank or position which is listed in column (2) of Part 3 of Schedule 2, and
b
who believes that the authorisation or notice is necessary on grounds other than those set out in section 22(2)(a), (b), (c) or (g) of the Act or article 2,
the authorisation or notice may only be in respect of communications data which relates to a postal service and falls within section 21(4)(c) of the Act.
6
In the case of an individual —
a
holding an office, rank or position which is listed in column (2) of Part 3 of Schedule 2, and
b
who believes that the authorisation or notice is necessary on the grounds set out in section 22(2)(a), (b),(c) or (g) of the Act or article 2,
the authorisation or notice may only be in respect of communications data which relates to a postal service.
7
In the case of an individual holding an office, rank or position which is listed in column (3) of Schedule 1 or 2, the authorisation or notice may be only in respect of communications data that falls within section 21(4)(c) of the Act.
7
The restrictions on the granting of authorisations and the giving of notices that apply to an individual holding an office, rank or position with a relevant public authority listed in column (2) of Schedule 1 or column (2) of Schedule 2 shall also apply to all individuals holding all more senior offices, ranks or positions with that authority that are prescribed by article 4(2).
Transitional arrangements
8
This Order does not affect the continued operation of the Orders mentioned in article 9 in relation to authorisations granted or notices given before this Order comes into force.
Revocations
9
The following Orders are revoked —
a
the Regulation of Investigatory Powers (Communications Data) Order 2003 ,
b
the Regulation of Investigatory Powers (Communications Data) (Amendment) Order 2005 , and
c
the Regulation of Investigatory Powers (Communications Data) (Additional Functions and Amendment) Order 2006 .
David Hanson
Minister of State
Home Office
25th February 2010


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
1
These Regulations may be cited as the Radioactive Contaminated Land (Enabling Powers and Modification of Enactments) (England) (Amendment) Regulations 2010.
2
Regulation 2 comes into force on 29th September 2010.
3
Regulation 3 comes into force on 30th September 2010.
Amendments
2
1
The Radioactive Contaminated Land (Enabling Powers) (England) Regulations 2005 are amended as follows.
2
For paragraph 1(8)(b) of Schedule 1 (modification of Part 2A), substitute —
b
for the definition of “substance”, substitute —
“substance” means, whether in solid or liquid form or in the form of a gas or vapour, any substance containing radionuclides which have resulted from the after-effects of a radiological emergency or have been processed as part of a past practice or past work activity;
.
.
3
1
The Radioactive Contaminated Land (Modification of Enactments) (England) Regulations 2006 are amended as follows.
2
For paragraph (8)(d) of regulation 5 (section 78A (preliminary)), substitute —
d
for the definition of “substance”, substitute —
“substance” means, whether in solid or liquid form or in the form of a gas or vapour, any substance containing radionuclides which have resulted from the after-effects of a radiological emergency or have been processed as part of a past practice or past work activity;
.
.
Revocation
4
1
The Radioactive Contaminated Land (Modification of Enactments) (England) (Amendment) Regulations 2007 are revoked as follows.
2
In regulation 3(2), omit substituted regulation 5(8)(d) (definition of “substance”).
Charles Hendry
Minister of State,
Department of Energy and Climate Change
23rd August 2010


text:
Citation and commencement
1
This Order may be cited as The Henley College Sixth Form College Corporation Designation (England) Order 2010 and comes into force on 2nd September 2010.
Designation
2
The body corporate of The Henley College, being a body corporate of the kind specified in section 33B(2) of the Act, is designated as a sixth form college corporation.
Continuity of the body corporate
3
Designation as a sixth form college corporation under this Order does not affect the continuity of the body corporate, and its instrument and articles of government.
Nick Gibb
Minister of State for Schools
Department for Education
26th July 2010


text:
Title and commencement
1
This Order —
a
may be cited as the Marine Management Organisation (Prescription of Powers to Fix Fees and Charges) Order 2010; and
b
comes into force on 1st April 2010.
Prescription of powers to fix fees and charges
2
Any power of the Secretary of State to fix a fee or charge contained in the provisions set out in the Schedule is prescribed for the purposes of section 17 of the Marine and Coastal Access Act 2009.
Huw Irranca-Davies
Parliamentary Under Secretary of State
Department for Environment, Food and Rural Affairs
1st March 2010


text:
Title application and commencement
1
These Regulations may be cited as the Foodstuffs Suitable for People Intolerant to Gluten (England) Regulations 2010, apply in relation to England only and come into force on 1 January 2012.
Interpretation
2
1
In these Regulations —
“ the Act ” means the Food Safety Act 1990;
“the Commission Regulation” means Commission Regulation (EC) No. 41/2009 concerning the composition and labelling of foodstuffs suitable for people intolerant to gluten ;
“food authority” has the meaning that it bears by virtue of section 5(1) of the Act, except that it does not include the appropriate Treasurer referred to in section 5(1)(c) of the Act (which deals with the Inner Temple and Middle Temple); and
“specified provision” means any provision of the Commission Regulation that is specified in Column 1 of the Schedule and whose subject-matter is described in Column 2 of the Schedule.
2
Subject to paragraph (3), any expression other than one defined in paragraph (1) that is used both in these Regulations and in the Act has the meaning it bears in the Act.
3
Any expression used both in these Regulations and in the Commission Regulation has the meaning that it bears in the Commission Regulation.
4
Where any functions under the Act are assigned —
a
by an order under section 2 or 7 of the Public Health (Control of Disease) Act 1984 , to a port health authority;
b
by an order under section 6 of the Public Health Act 1936 , to a joint board for a united district; or
c
by an order under paragraph 15(6) of Schedule 8 to the Local Government Act 1985 , to a single authority for a metropolitan county,
any reference in these Regulations to a food authority shall be construed, so far as relating to those functions, as a reference to the authority to whom they are so assigned.
Offences, penalties and execution and enforcement
3
1
Any person who contravenes any of the specified provisions shall be guilty of an offence.
2
A person guilty of an offence under paragraph (1) shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
3
Each food authority shall execute and enforce these Regulations within its area.
Application of the specified provisions
4
For the purposes of these Regulations, the specified provisions shall apply in relation to foodstuffs for people intolerant to gluten that are placed on the retail market irrespective of whether they are in pre-packaged form.
Application of various sections of the Food Safety Act 1990
5
The following provisions of the Act shall apply for the purposes of these Regulations with the modification that any reference in those provisions to the Act or Part thereof shall be construed as a reference to these Regulations —
a
section 3 (presumptions that food intended for human consumption);
b
section 20 (offences due to fault of another person);
c
section 21 (defence of due diligence) , with the modifications that subsections (2) to (4) shall apply in relation to an offence under regulation 3(1) as they apply in relation to an offence under section 14 or 15 and that in subsection (4)(b) the references to “sale or intended sale” shall be deemed to include references to “labelling, advertising or presentation”;
d
section 30(8) (which relates to documentary evidence);
e
section 33(1) (obstruction etc. of officers);
f
section 33(2), with the modification that the reference to “any such requirement as is mentioned in subsection (1)(b) above” shall be deemed to be a reference to any such requirement as is mentioned in that subsection as applied by sub-paragraph (e);
g
section 35(1) (punishment of offences) , in so far as it relates to offences under section 33(1) as applied by sub-paragraph (e);
h
section 35(2) and (3) , in so far as it relates to offences under section 33(2) as applied by sub-paragraph (f);
i
section 36 (offences by bodies corporate);
j
section 36A (offences by Scottish partnerships) ; and
k
section 44 (protection of officers acting in good faith).
Signed by authority of the Secretary of State for Health.
Anne Milton
Parliamentary Under-Secretary of State,
Department of Health
14th September 2010


text:
Citation, commencement and application
1
These Regulations, which apply to England only, may be cited as the Non-Domestic Rating (Collection and Enforcement) (Local Lists) (Amendment) (England) Regulations 2010 and shall come into force on 3rd June 2010.
Amendment of the Non-Domestic Rating (Collection and Enforcement) (Local Lists) Regulations 1989
2
1
Schedule 1A to the Non-Domestic Rating (Collection and Enforcement) (Local Lists) Regulations 1989 is amended as follows.
2
In paragraph 1, for sub-paragraph (1)(b), substitute —
b
the demand notice or notices were served in the financial year beginning on 1st April 2007, 1st April 2008, 1st April 2009 or 1st April 2010.
.
3
In paragraph 2 —
a
for sub-paragraph (2)(b), substitute —
b
provide for the backdated liability to be discharged —
i
in instalments over a period not exceeding eight years commencing on the day that the agreement is reached; or
ii
over a period not exceeding eight years commencing on the day that the agreement is reached in instalments beginning on or after 1st April 2011.
; and
b
in sub-paragraph (3) —
i
after “it is in force”, insert “and instalments are payable”;
ii
for paragraph (b), substitute —
b
B equals —
i
in relation to an agreement mentioned in sub-paragraph (2)(b)(i), the total number of days the agreement will be in force,
ii
in relation to an agreement mentioned in sub-paragraph (2)(b)(ii), the total number of days the agreement will be in force but ignoring any day before 1st April 2011; and
.
4
After paragraph 2, insert —
Replacement of existing agreements to reschedule backdated liability
2A
1
This paragraph applies where a billing authority and a ratepayer have entered into an agreement under paragraph 2 on or before the date that the Non-Domestic Rating (Collection and Enforcement) (Local Lists) (Amendment) (England) Regulations 2010 come into force (“the existing agreement”).
2
Where this paragraph applies, a billing authority and a ratepayer may agree that backdated liability should be discharged in the manner provided by a further agreement under paragraph 2 (“the new agreement”) which will replace, from the day the new agreement is reached, the existing agreement.
3
The new agreement may relate to any backdated liability which should have been discharged under the existing agreement prior to the day the new agreement is reached but has not been so discharged, notwithstanding the service of a notice under regulation 8 (as modified by paragraph 4) requiring payment of the unpaid balance or any action taken under Part 3.
4
The new agreement may not —
a
relate to any backdated liability which has already been discharged under the existing agreement, prior to the day the new agreement is reached;
b
provide for the period of the new agreement (including any period during which instalments are not payable) to extend beyond eight years from the day the existing agreement was reached; and
c
be entered into after 31st March 2011.
.
Signed by authority of the Secretary of State for Communities and Local Government
Bob Neill
Parliamentary Under Secretary of State
Department for Communities and Local Government
27th May 2010


text:
PART 1 Introduction
Citation, application and commencement
1
This Order may be cited as the Environmental Civil Sanctions (England) Order 2010; it applies in England and comes into force on 6th April 2010.
Regulators
2
These are the regulators for the purposes of this Order in relation to the offences under the provisions specified in Schedule 5 which are enforced by them —
a
the Environment Agency, and
b
Natural England.
PART 2 Civil sanctions, notices and undertakings
Civil sanctions, notices and undertakings
3
1
Schedule 1 makes provision for fixed monetary penalties.
2
Schedule 2 makes provision for variable monetary penalties, compliance notices, restoration notices and third party undertakings.
3
Schedule 3 makes provision for stop notices.
4
Schedule 4 makes provision for enforcement undertakings.
5
Those terms have the meanings specified in those Schedules.
Scope
4
Schedule 5 sets out the provisions creating the offences to which this Order relates.
Combination of penalties
5
1
A regulator may not serve a notice of intent relating to a fixed monetary penalty if a variable monetary penalty has been imposed or a compliance notice, restoration notice or stop notice has been served on that person relating to the same act or omission.
2
A regulator may not serve a notice of intent relating to a variable monetary penalty, compliance notice or restoration notice, or serve a stop notice, on any person if, in relation to the same act or omission —
a
a fixed monetary penalty has been imposed on that person, or
b
that person has discharged liability for a fixed monetary penalty following service of a notice of intent to impose that penalty.
PART 3 Non-compliance and enforcement
Recovery of payments
6
The regulator may recover any fixed monetary penalty, variable monetary penalty or non-compliance penalty on the order of a court, as if payable under a court order.
Non-compliance penalties
7
1
If a person fails to comply with a compliance notice, a restoration notice or a third party undertaking, the regulator may serve a notice on that person imposing a monetary penalty (“a non-compliance penalty”) in respect of the same offence irrespective of whether a variable monetary penalty was also imposed in respect of that offence.
2
The amount of the penalty must be determined by the regulator, and must be a percentage of the costs of fulfilling the remaining requirements of the notice or third party undertaking.
3
The percentage must be determined by the regulator having regard to all the circumstances of the case and may, if appropriate, be 100%.
4
The notice must include information as to —
a
the grounds for imposing the non-compliance penalty;
b
the amount to be paid;
c
how payment must be made;
d
the period in which payment must be made, which must not be less than 28 days;
e
the right of appeal;
f
the consequences of failure to make payment in the specified period;
g
any circumstances in which the regulator may reduce the amount of the penalty.
5
If the requirements of the compliance notice or restoration notice are complied with or a third party undertaking is fulfilled before the time set for payment of the non-compliance penalty, the penalty is not payable.
6
The person on whom the notice imposing the non-compliance penalty is served may appeal against it.
7
The grounds of appeal are —
a
that the decision to serve the notice was based on an error of fact;
b
that the decision was wrong in law;
c
that the decision was unfair or unreasonable for any reason
d
that the amount of the penalty was unreasonable;
e
any other reason.
Enforcement cost recovery notices
8
1
A regulator may serve a notice (“an enforcement cost recovery notice”) on a person on whom a variable monetary penalty notice, compliance notice, restoration notice or stop notice has been served requiring that person to pay the costs incurred by the regulator in relation to the imposition of that notice up to the time of its imposition.
2
Costs include in particular —
a
investigation costs;
b
administration costs;
c
costs of obtaining expert advice (including legal advice).
3
The enforcement cost recovery notice must specify —
a
how payment must be made;
b
the amount required to be paid and the period in which payment must be made, which must not be less than 28 days;
c
the grounds for imposing the notice;
d
the right of appeal; and
e
the consequences of failure to comply with the notice in the specified period.
4
The person on whom the notice is served may require the regulator to provide a detailed breakdown of the amount.
5
The person required to pay costs is not liable to pay any costs shown by that person to have been unnecessarily incurred.
6
The person required to pay costs may appeal —
a
against the decision of the regulator to impose the requirement to pay costs;
b
against the decision of the regulator as to the amount of those costs; or
c
for any other reason.
PART 4 Administration
Withdrawing or amending a notice
9
A regulator may at any time in writing —
a
withdraw a fixed monetary penalty notice;
b
withdraw a variable monetary penalty notice, a non-compliance penalty notice or an enforcement cost recovery notice or reduce the amount specified in the notice;
c
withdraw a compliance notice, restoration notice or stop notice or amend the steps so as to reduce the amount of work necessary to comply with the notice.
Appeals
10
1
An appeal under this Order is to the First-tier Tribunal.
2
In any appeal (except in relation to a stop notice) where the commission of an offence is an issue requiring determination, the regulator must prove that offence according to the same burden and standard of proof as in a criminal prosecution.
3
In any other case the tribunal must determine the standard of proof.
4
All notices (other than stop notices) are suspended pending appeal.
5
The Tribunal may suspend or vary a stop notice.
6
The Tribunal may, in relation to the imposition of a requirement or service of a notice —
a
withdraw the requirement or notice;
b
confirm the requirement or notice;
c
vary the requirement or notice;
d
take such steps as the regulator could take in relation to the act or omission giving rise to the requirement or notice;
e
remit the decision whether to confirm the requirement or notice, or any matter relating to that decision, to the regulator.
Guidance as to use of civil sanctions
11
1
Where power is conferred on a regulator in this Order to impose a civil sanction in relation to an offence —
a
the regulator must publish guidance about its use of the sanction;
b
in the case of guidance relating to a fixed monetary penalty, variable monetary penalty, compliance notice, restoration notice or stop notice, the guidance must contain the relevant information;
c
the regulator must revise the guidance where appropriate;
d
the regulator must have regard to the guidance or revised guidance in exercising its functions.
2
In the case of guidance relating to a fixed monetary penalty, the relevant information referred to in paragraph (1)(b) is information as to —
a
the circumstances in which the penalty is likely to be imposed;
b
the circumstances in which it may not be imposed;
c
the amount of the penalty;
d
how liability for the penalty may be discharged and the effect of discharge; and
e
rights to make representations and objections and rights of appeal.
3
In the case of guidance relating to a variable monetary penalty, a compliance notice or a restoration notice, the relevant information referred to in paragraph (1)(b) is information as to —
a
the circumstances in which the requirement is likely to be imposed;
b
the circumstances in which it may not be imposed;
c
in the case of a variable monetary penalty, the matters likely to be taken into account by the regulator in determining the amount of the penalty (including voluntary reporting by any person of their own non-compliance); and
d
rights to make representations and objections and rights of appeal.
4
In the case of guidance relating to a stop notice, the relevant information referred to in paragraph (1)(b) is information as to —
a
the circumstances in which the regulator is likely to serve the notice;
b
the circumstances in which it may not be imposed; and
c
rights of appeal.
Additional guidance
12
The regulator must issue guidance relating to the use of non-compliance penalties and enforcement cost recovery notices specifying —
a
the circumstances in which they are likely to be imposed;
b
the circumstances in which they may not be imposed;
c
matters to be taken into account in establishing the amount involved;
d
rights of appeal.
Consultation on guidance
13
The regulator must consult such persons as it considers appropriate before publishing any guidance or revised guidance under this Order.
Publication of enforcement action
14
1
Where a power is conferred on a regulator to impose a civil sanction under this Order in relation to an offence, the regulator must from time to time publish —
a
the cases in which the civil sanction has been imposed,
b
where the civil sanction is a fixed monetary penalty, the cases in which liability to the penalty has been discharged by payment of the penalty following the notice of intent and without further action being taken;
c
where the civil sanction is a variable monetary penalty, restoration notice or compliance notice, the cases in which a third party undertaking has been accepted;
d
cases in which an enforcement undertaking has been entered into.
2
In paragraph (1)(a) the reference to cases in which the civil sanction has been imposed does not include cases where the sanction has been imposed but overturned on appeal.
3
This article does not apply in cases where the regulator considers that publication would be inappropriate.
Power of entry
15
1
Any person authorised in writing to do so by Natural England may, on producing the authorisation if required, enter any premises (other than premises used exclusively as domestic premises) at any reasonable time to ascertain whether a compliance notice, restoration notice or stop notice has been complied with or an undertaking accepted under this Order has been fulfilled.
2
For the avoidance of doubt this power does not include a power to seize any property.
Jim Fitzpatrick
Minister of State
Department for Environment, Food and Rural Affairs
26th March 2010


text:
Citation and commencement
1
This Order may be cited as the Overhead Lines (Exempt Installations) (Consequential Provisions) Order 2010 and comes into force on 1st March 2010.
Consequential amendment of the Overhead Lines (Exemption) (England and Wales) Regulations 2009
2
1
The Overhead Lines (Exemption) (England and Wales) Regulations 2009 are amended as follows.
2
In regulation 2, in paragraph (a) of the definition of “an existing line”, after “Act”, insert “or an order granting development consent under the Planning Act 2008”.
3
For regulation 4(1)(b), substitute —
b
that any conditions applicable to the existing line which are contained in —
i
a consent granted under section 37(1) of the Act or section 10(b) of the Schedule to the Electric Lighting (Clauses) Act 1899 ; or
ii
an order granting development consent under the Planning Act 2008,
are complied with;
.
Hunt of Kings Heath
Minister of State
Department of Energy and Climate Change
Date 5th January 2010


text:
This Order may be cited as the Health Professions Council (Registration and Fees) (Amendment) Rules Order of Council 2010 and comes into force on 1st April 2010.
Judith Simpson
Clerk of the Privy Council


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Care Quality Commission (Specified Organisations etc) Order 2010 and shall come into force on 9th April 2010.
2
In this Order “the 2008 Act ” means the Health and Social Care Act 2008.
Specified Organisations
2
1
Subject to paragraph (2), the following persons or bodies are specified as organisations for the purposes of paragraph 6(3) of Schedule 4 to the 2008 Act (inspections by other inspectors of activities within Commission’s remit) —
a
an English NHS provider ; and
b
a person, other than an English NHS provider or an English local authority , who is registered as a service provider under the 2008 Act but only in relation to a regulated activity (within the meaning of Part 1 of the 2008 Act).
2
The persons and bodies referred to in paragraph (1) are not specified for the purposes of paragraph 6(3) of Schedule 4 to the 2008 Act in relation to the provision of services in —
a
a prison within the meaning of the Prison Act 1952 ;
b
a contracted out prison as defined in section 84(4) of the Criminal Justice Act 1991 ;
c
a young offender institution as defined in section 43(1)(aa) of the Prison Act 1952 ;
d
a remand centre as defined in section 43(1)(a) of the Prison Act 1952 ;
e
a removal centre as defined in section 147 of the Immigration and Asylum Act 1999 ; and
f
a short-term holding facility as defined in section 147 of the Immigration and Asylum Act 1999 .
Transitional provision
3
For the period 9th April 2010 to 30th September 2010, article 2(1) shall be read as if the following were substituted for sub-paragraph (b) —
b
a person, other than an English NHS provider or an English local authority, registered with the Care Quality Commission under the Care Standards Act 2000 as carrying on an independent hospital, independent clinic, independent medical agency, care home, domiciliary care agency, nurses agency (as defined in that Act) or an adult placement scheme (as defined in the Adult Placement Schemes (England) Regulations 2004) .
.
Excluded inspections
4
The following cases are those in which a notice may not be given under paragraph 6 of Schedule 4 to the 2008 Act (inspections by other inspectors of activities within Commission’s remit) —
a
an inspection carried out by Her Majesty’s Chief Inspector of Education, Children’s Services and Skills under section 49 or 60 of the Childcare Act 2006 (inspections) ; and
b
a review carried out under section 20 of the Children Act 2004 (joint area reviews) .
Signed by authority of the Secretary of State for Health
Mike O’Brien
Minister of State,
Department of Health
25th February 2010


text:
Citation and commencement
1
These Regulations may be cited as the Capital Requirements (Amendment) Regulations 2010 and come into force on 31st December 2010.
Amendment of the Capital Requirements Regulations 2006
2
The Capital Requirements Regulations 2006 are amended as follows.
Interpretation
3
In regulation 1(2) (interpretation) —
a
at the end of the definition of “banking consolidation directive” insert “as last amended by Directive 2009/111/ EC of the European Parliament and of the Council ”;
b
after the definition of “banking consolidation directive” insert —
“banking or investment group” means the group to which an EEA parent credit institution, EEA parent investment firm or EEA parent financial holding company belongs;
;
c
at the end of the definition of “capital adequacy directive” insert “as last amended by Directive 2009/111/EC of the European Parliament and of the Council”;
d
in the definition of “decision” after “means” insert “, for the purposes of Part 2,”;
e
after the definition of “EEA parent financial holding company” insert —
“home EEA state” means the EEA state in which a credit institution or investment firm has been authorised in accordance with the banking consolidation directive or the capital adequacy directive;
“host EEA state” means the EEA state in which a credit institution or investment firm authorised in another EEA state has a branch;
;
f
in the definition of “joint decision” after “means” insert “, for the purposes of Part 2,”;
g
after the definition of “relevant competent authority” insert —
“relevant investment firm” means an investment firm which does not meet the conditions set out in Article 20(2) or (3) or the first paragraph of Article 46 of the capital adequacy directive;
“risk assessment” means, unless the context otherwise requires, an evaluation of the risks to which a credit institution or investment firm or a banking or investment group is or might be exposed, in accordance with Articles 123 and 124 of the banking consolidation directive;
“significant branch” has the meaning given by regulation 16A.
.
Exercise of supervision
4
In Part 3 (exercise of supervision), for regulation 10 (the Authority’s duties as an EEA consolidated supervisor) substitute —
10
Regulations 10A, 11, 12 and 12A apply where the Authority is the EEA consolidated supervisor.
10A
1
The Authority must submit a report containing its risk assessment of a banking or investment group to the relevant competent authorities.
2
Subject to paragraph (8), the Authority must take all reasonable steps to reach a joint decision with the relevant competent authorities, within four months of submitting its report, on —
a
the application of Articles 123 and 124 of the banking consolidation directive to determine the adequacy of the consolidated level of own funds held by the group with respect to its financial situation and risk profile; and
b
the required level of own funds for the application of Article 136(2) of the banking consolidation directive to each member of the group and to the group as a whole.
3
The Authority must consider, for the purposes of reaching a joint decision, the risk assessments prepared in relation to subsidiaries by the relevant competent authorities.
4
The Authority must provide the relevant institution with a document setting out the fully reasoned joint decision.
5
Where a joint decision cannot be reached, the Authority must, at the request of any of the relevant competent authorities, consult the Committee of European Banking Supervisors, or may do so of its own initiative.
6
Subject to paragraph (8), if a joint decision has not been made within four months of the Authority submitting its report in accordance with paragraph (1), the Authority must —
a
after considering the risk assessments prepared in relation to subsidiaries by the relevant competent authorities and any advice given by the Committee of European Banking Supervisors, make a decision on the matters referred to in paragraph (2);
b
where the Authority’s decision differs significantly from any advice given by the Committee of European Banking Supervisors, give reasons for the difference;
c
provide all relevant competent authorities and the relevant institution with a document containing its decision and the decisions of the relevant competent authorities on the levels of own funds required to be held by subsidiaries on an individual or, where appropriate, sub-consolidated basis;
d
recognise the decisions taken by the relevant competent authorities, mentioned in sub-paragraph (c), as determinative.
7
The Authority must update the joint decision reached in accordance with paragraph (2) or its own decision made under paragraph (6)(a) —
a
annually; or
b
in exceptional circumstances, on receipt of a fully reasoned written request by a relevant competent authority to update the decision on the application of Article 136(2) of the banking consolidation directive;
and, where sub-paragraph (b) applies, the updated decision may be made after consultation with the competent authority making the request, without consulting the other relevant competent authorities.
8
Where the Authority submits a report in accordance with paragraph (1) before 1st January 2013, for “four months” in paragraphs (2) and (6) substitute “six months”.
9
In this regulation “relevant institution” means the credit institution or investment firm for whose supervision on a consolidated basis the Authority is responsible.
10B
1
This regulation applies where the Authority is a relevant competent authority and receives a report containing the risk assessment of a banking or investment group from the EEA consolidated supervisor.
2
The Authority must submit to the EEA consolidated supervisor a report containing its risk assessment of each subsidiary of the group it has authorised.
3
Subject to paragraph (7), the Authority must take all reasonable steps to reach a joint decision with the EEA consolidated supervisor and any other relevant competent authorities on the matters referred to in regulation 10A(2) within four months of the Authority receiving the report from the EEA consolidated supervisor.
4
Where agreement on a joint decision cannot be reached, the Authority may request that the EEA consolidated supervisor consults the Committee of European Banking Supervisors.
5
Subject to paragraph (7), if a joint decision has not been reached within four months of the Authority receiving the report from the EEA consolidated supervisor, the Authority must —
a
make a decision on the level of own funds required to be held by each subsidiary it has authorised, on an individual or, where appropriate, sub-consolidated basis, in accordance with Articles 123, 124 and 136(2) of the banking consolidation directive, taking into account the views of the EEA consolidated supervisor and any advice given by the Committee of European Banking Supervisors;
b
where the Authority’s decision differs significantly from any advice given by the Committee of European Banking Supervisors, give reasons for the difference;
c
provide the EEA consolidated supervisor with a document containing its decision; and
d
recognise the decisions taken by the EEA consolidated supervisor and any other relevant competent authorities on the levels of own funds required to be held by the banking or investment group or its subsidiaries outside the United Kingdom, as determinative.
6
The Authority may, in exceptional circumstances, make a fully reasoned written request to the EEA consolidated supervisor to update the decision on the level of own funds required to be held by any subsidiary of the group within the United Kingdom in accordance with article 136(2) of the banking consolidation directive.
7
Where the Authority receives the report from the EEA consolidated supervisor before 1st January 2013, for “four months” in paragraphs (3) and (5) substitute “six months”.
.
5
For paragraph (1) of regulation 11 substitute —
1
The Authority must take such steps as it considers appropriate —
a
in going-concern situations —
i
to co-ordinate the gathering and dissemination of relevant or essential information;
ii
to plan and co-ordinate supervisory activities in co-operation with other relevant competent authorities;
b
in preparation for and during emergency situations, including adverse developments in credit institutions or relevant investment firms or in financial markets —
i
to co-ordinate the gathering and dissemination of relevant or essential information;
ii
to plan and co-ordinate supervisory activities, including exceptional measures, preparation of risk assessments, implementation of contingency plans and communication to the public, in co-operation with other relevant competent authorities and, where necessary, central banks.
.
Establishment of colleges of supervisors
6
After regulation 12 insert —
12A
1
Where a credit institution or investment firm belongs to a group whose members include at least one other credit institution or investment firm which is established in another EEA state, the Authority must, acting on the basis of agreements entered into pursuant to regulation 15, establish a college of supervisors to–
a
facilitate its duties as an EEA consolidated supervisor; and
b
ensure appropriate co-ordination and co-operation with competent authorities outside the EEA where appropriate.
2
The college of supervisors shall facilitate the EEA consolidated supervisor and the other relevant competent authorities carrying out the following tasks —
a
exchanging relevant information;
b
agreeing on the voluntary allocation of tasks and the voluntary delegation of responsibilities where appropriate;
c
determining supervisory examination programmes based on a risk assessment of the relevant banking or investment group in accordance with Article 124 of the banking consolidation directive;
d
increasing the efficiency of supervision by removing unnecessary duplication of supervisory requirements;
e
where appropriate, applying the prudential requirements under the banking consolidation directive on a consistent basis to all members of a banking or investment group;
f
planning and co-ordination of supervisory activities in preparation for and during emergency situations, taking into account the work of any other relevant bodies established for such purposes.
3
The following bodies may participate in the college of supervisors —
a
the relevant competent authorities;
b
the competent authorities of a host EEA state in which a significant branch is established;
c
central banks;
d
competent authorities situated outside the EEA, provided that, in the opinion of the Authority and all relevant competent authorities, they are subject to confidentiality requirements equivalent to the requirements of section 2 of Chapter 1 of Title V of the banking consolidation directive.
4
The Authority must co-operate closely with the other competent authorities participating in the college of supervisors.
5
The Authority must —
a
inform members in advance about the organisation of and agenda for any meeting of the college of supervisors, including any activities to be considered at that meeting;
b
decide which competent authorities may attend any meeting or participate in any activity;
c
chair any meeting;
d
inform members in a timely manner of the actions taken at any meeting or any activities carried out.
6
When making a decision under paragraph (5)(b), the Authority must take into account the relevance to each competent authority of the supervisory activity to be planned or co-ordinated, and in particular —
a
the potential impact on the stability of the financial system in the EEA state concerned; and
b
the competent authority’s obligations as the competent authority of the home EEA state under Article 42a(2) of the banking consolidation directive.
7
Subject to confidentiality requirements under section 2 of Chapter 1 of Title V of the banking consolidation directive, the Authority must —
a
inform the Committee of European Banking Supervisors of the activities of the college of supervisors, including in emergency situations; and
b
provide the Committee with all information that is of particular relevance for the purposes of supervisory convergence.
.
The Authority’s duties as EEA consolidated supervisor or national consolidated supervisor
7
For regulation 14 substitute —
14
1
Where an emergency situation, including adverse developments in financial markets, arises in the United Kingdom, which potentially jeopardises the market liquidity and the stability of the financial system in any other EEA state where an entity belonging to a banking or investment group has been authorised or where a significant branch is established, the Authority must notify as soon as practicable —
a
the European Central Bank;
b
the central bank of the EEA state; and
c
the central government departments of the EEA state which are responsible for legislation on the supervision of credit institutions, financial institutions, investment services and insurance companies.
2
The Authority, in notifying any body under paragraph (1), must provide all information that is essential for the purpose of that body’s tasks, which it is not prevented from disclosing.
.
8
1
The existing regulation 15 is re-numbered regulation 15(1).
2
After that provision (as re-numbered) insert —
2
Where the agreements referred to in paragraph (1) relate to the establishment of colleges of supervisors, they shall be entered into by the Authority after consultation with the relevant competent authorities.
.
9
After regulation 16 insert —
Significant branches
16A
1
This regulation applies where a credit institution or relevant investment firm authorised in another EEA state has established a branch in the United Kingdom.
2
The Authority may make a request to the competent authority of the home EEA state or, where appropriate, to the EEA consolidated supervisor (in which case a copy of the request shall be sent to the competent authority of the home EEA state), for the branch to be designated as significant.
3
A request made under paragraph (2) must include reasons for considering the branch to be significant with particular regard to —
a
the likely impact of a suspension or closure of the operations of the credit institution or investment firm on market liquidity and the payment, clearing and settlement systems in the United Kingdom;
b
the size and importance of the branch in terms of the number of clients within the context of the banking or financial system of the United Kingdom; and
c
in relation to a branch of a credit institution, whether the market share of the branch in terms of deposits exceeds 2% in the United Kingdom.
4
The Authority must —
a
do everything in its power to reach a joint decision with the competent authority of the home EEA state and, where appropriate, the EEA consolidated supervisor, on the designation of the branch as significant; and
b
if a joint decision is made, provide the competent authorities concerned with a document containing the fully reasoned joint decision.
5
If a joint decision has not been reached within two months of receipt of a request made by the Authority under paragraph (2), the Authority must —
a
make a decision within a further period of two months on whether or not to designate the branch as significant, taking into account any views and reservations of the competent authority of the home EEA state and, where appropriate, the EEA consolidated supervisor; and
b
provide the competent authorities concerned with a document containing the fully reasoned decision.
16B
1
This regulation applies where the Authority is the competent authority of the home EEA state or the EEA consolidated supervisor and has received a request (or a copy of a request) from the competent authority of a host EEA state for a branch of a credit institution or relevant investment firm established in that state to be designated as significant.
2
The Authority must do everything in its power to reach a joint decision with the competent authority of the host EEA state and, where appropriate, the EEA consolidated supervisor, on the designation of the branch as significant.
3
Where a joint decision has not been reached and the competent authority of the host EEA state has made and notified to the Authority its own decision to designate the branch as significant, the Authority must recognise that decision as determinative.
16C
1
This regulation applies where the Authority is the competent authority of the home EEA state and a decision has been made to designate a branch of a credit institution or relevant investment firm established in another EEA state as significant.
2
The Authority must —
a
in relation to the credit institution or relevant investment firm for which it is the home EEA state competent authority, communicate to the competent authority of the host EEA state the information referred to in regulation 11(3)(d) and (e);
b
in preparation for and during an emergency situation, plan and co-ordinate supervisory activities in cooperation with the competent authority of the host EEA state and if necessary its central bank.
16D
1
This regulation applies where the Authority is the competent authority of the home EEA state and decisions have been made to designate branches of a credit institution or relevant investment firm established in at least two other EEA states as significant.
2
Where a college of supervisors has not been established in relation to the credit institution or investment firm whose branches have been designated as significant, the Authority must establish a college of supervisors acting on the basis of agreements entered into pursuant to regulation 15.
3
Where a college of supervisors has been established by the Authority under paragraph (2), the requirements in regulation 12A(5) and (6) apply.
The Authority’s general duties
16E
The Authority must in the exercise of its duties as the competent authority under the banking consolidation directive and the capital adequacy directive —
a
consider the potential impact of its decisions on the stability of the financial system in other EEA states, such consideration, in particular in emergency situations, to be based on information available at the relevant time;
b
participate in the activities of the Committee of European Banking Supervisors;
c
follow the guidelines, recommendations, standards and other measures agreed by the Committee of European Banking Supervisors, unless it considers that there are good reasons not to do so, in which case it must set out those reasons.
The Bank of England’s general duties
16F
Where —
a
an entity belonging to a banking or investment group has been authorised, or a significant branch is established, in the United Kingdom; and
b
an emergency situation, including adverse developments in financial markets, arises, which potentially jeopardises the market liquidity and the stability of the financial system in the United Kingdom,
the Bank of England must notify as soon as practicable the national consolidated supervisor or, where appropriate, the EEA consolidated supervisor.
.
Credit institutions and external credit assessment institutions
10
In regulation 22 (recognition for exposure risk-weighting purposes) —
a
at the beginning of paragraph (1) insert “Subject to paragraph (6) below,”;
b
after paragraph (5) insert —
6
The Authority must consider that the ECAI’s assessment methodology complies with the requirements of objectivity, independence, ongoing review and transparency for the purposes of paragraph (1)(b)(i) if the ECAI is registered as a credit rating agency in accordance with the EC Regulation.
.
11
In regulation 23 (recognition for securitisation risk-weighting purposes) —
a
at the beginning of paragraph (1) insert “Subject to paragraph (9) below,”;
b
after paragraph (8) insert —
9
The Authority must consider that the ECAI’s assessment methodology complies with the requirements of objectivity, independence, ongoing review and transparency for the purposes of paragraph (1)(a)(i) if the ECAI is registered as a credit rating agency in accordance with the EC Regulation.
.
12
After paragraph 7 of Part 1 of Schedule 1 (recognition of ECAIs) insert —
7A
For the purposes of recognition for securitisation risk-weighting, the Authority must take such steps as it considers necessary to ensure that, with regard to credit assessments relating to structured finance instruments, an ECAI will make publicly available an explanation of how the performance of pool assets affects its credit assessments.
.
Consequential amendments to primary legislation
13
Schedule 1 (which amends primary legislation) has effect.
Consequential amendments to secondary legislation
14
Schedule 2 (which amends secondary legislation) has effect.
Michael Fabricant
Angela Watkinson
Two of the Lords Commissioners of Her Majesty’s Treasury
28th October 2010


text:
1
This order may be cited as the Export Control (Uzbekistan) Order 2010 and shall come into force on 29th March 2010.
2
The Export Control (Uzbekistan) Order 2005 is revoked.
3
In Schedule 4 to the Export Control Order 2008 Uzbekistan is deleted from Part 2 and inserted in Part 4 at the appropriate place in the list of countries.
Ian Lucas
Minister for Business and Regulatory Reform
Department for Business, Innovation and Skills
4th March 2010


text:
PART 1 GENERAL
Citation and commencement
1
1
These Regulations may be cited as the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No. 2) Regulations 2010.
2
Subject to paragraph (3), these Regulations come into force on 1st October 2010.
3
Regulations 24 (revocation of transitional claims provisions) and 25(2) (amendment of the 2008 Regulations ) and paragraph 2 of Schedule 4 (consequential amendments to the 2008 Regulations) come into force on 31st January 2011.
Interpretation
2
1
In these Regulations —
“the 2007 Act ” means the Welfare Reform Act 2007;
“the 2008 Regulations” means the Employment and Support Allowance Regulations 2008 ;
“benefit week” has the same meaning as in the 2008 Regulations;
“contributory allowance” means an employment and support allowance to which a person is entitled by virtue of these Regulations which was based on an award of incapacity benefit or severe disablement allowance to which the person was entitled ;
“conversion decision”, in relation to a notified person, has the meaning given in regulation 5(2) ;
“effective date”, in relation to a conversion decision, is to be construed in accordance with regulation 13 ;
“enactment” includes an enactment contained in subordinate legislation (within the meaning of the Interpretation Act 1978 );
“income-related allowance” means an employment and support allowance to which a person is entitled by virtue of these Regulations which was based on an award of income support to which the person was entitled ;
“notified person” has the meaning given in regulation 4(2) ;
“pensionable age” has the meaning given by the rules in paragraph 1 of Schedule 4 to the Pensions Act 1995 ;
“relevant deduction”, in relation to a person, includes such of the following deductions as fall to be made in relation to the person —
any deduction made under any of the following provisions of the Social Security (Claims and Payments) Regulations 1987 —
regulation 34A (deductions of mortgage interest which shall be made from benefit and paid to qualified lenders),
regulation 34B (deductions of mortgage interest which may be made from benefits and paid to qualified lenders in other cases), or
regulation 35 (deductions which may be made from benefit and paid to third parties);
any deduction made under the Community Charges (Deductions from Income Support) (No.2) Regulations 1990 (deductions which may be made from benefit for meeting sums due in respect of community charges);
any deduction made under the Fines (Deductions from Income Support) Regulations 1992 (deductions which may be made from an offender’s benefit);
any deduction made under the Council Tax (Deductions from Income Support) Regulations 1993 (deductions which may be made from benefit for meeting sums due in respect of council tax);
any deduction in respect of overpayment recovery or recovery of social fund loans made under any of the following provisions of the Administration Act —
section 71 (overpayments-general),
section 74 (income support and other payments), or
section 78 (recovery of social fund awards).
2
A requirement under these Regulations to give a notice (or to notify) is a requirement to give notice in writing; and for that purpose —
a
a message sent by electronic communication shall be treated as a notice given in writing; and
b
electronic communication has the meaning given in section 15(1) of the Electronic Communications Act 2000 .
3
For the purposes of these Regulations, the conversion phase, in relation to any person entitled to an existing award or awards, is the period which —
a
begins in accordance with regulation 4(4) ; and
b
ends in accordance with regulation 5(6) .
4
In these Regulations, any reference to Step 1, 2 or 3, in relation to any person, is to be construed in accordance with regulation 8 .
Persons to whom these Regulations apply
3
These Regulations apply to any person who, on or after 1st October 2010, is entitled to an existing award .
PART 2 CONVERSION DECISIONS
The notice commencing the conversion phase
4
1
Subject to paragraph (5), the Secretary of State may at any time issue a notice to any person who is entitled to an existing award.
2
Any person to whom such a notice is issued is referred to in these Regulations as a notified person.
3
The notice must inform the notified person —
a
that an existing award is to be converted into an award of an employment and support allowance if certain conditions are satisfied;
b
that, if those conditions are not satisfied, the existing award will not be converted and will terminate by virtue of these Regulations;
c
of the requirements that must be met in order to satisfy those conditions; and
d
of such other matters as the Secretary of State considers appropriate.
4
The issue of the notice to a notified person begins the conversion phase in relation to that person, with effect from the date of issue.
5
No notice may be issued to any person —
a
who reaches pensionable age at any time before 6th April 2014; or
b
at any time when payment of the existing award to the person is subject to adjustment under regulation 4 of the Social Security (Transitional Payments) Regulations 2009 (adjustment of subsequent payments following an adjusting payment of benefit).
6
Where a person is entitled to —
a
an existing award of incapacity benefit or severe disablement allowance; and
b
an existing award of income support,
the notice issued to the person under this regulation shall have effect in relation to both such awards.
Deciding whether an existing award qualifies for conversion
5
1
In relation to the existing award or awards to which a notified person (“P”) is entitled, the Secretary of State must, except where paragraph (8)(a) applies, make a conversion decision in accordance with these Regulations.
2
A conversion decision is —
a
a decision that P’s existing award or awards qualify for conversion into an award of an employment and support allowance in accordance with regulation 7 (qualifying for conversion); or
b
a decision that P’s existing award or awards do not qualify for conversion into an award of an employment and support allowance.
3
A notice of a conversion decision under paragraph (2)(a) must specify the amount of an employment and support allowance to which P is entitled on the effective date (subject to any relevant deductions).
4
The amount referred to in paragraph (3) is to be determined in accordance with regulation 8 (amount of an employment and support allowance on conversion).
5
The Secretary of State must notify P of the Secretary of State’s conversion decision.
6
The conversion phase ends in relation to P —
a
immediately before the effective date of the conversion decision notified to P; or
b
if earlier, when P’s entitlement to the award or awards to which the notice under regulation 4 (notice commencing the conversion phase) relates otherwise ceases to be subject to conversion (because entitlement to the award has terminated or for some other reason).
7
The effective date of any conversion decision is to be determined in accordance with regulation 13 (effective date of a conversion decision).
8
In the event that P’s entitlement to an existing award ceases to be subject to conversion (for example, because P’s entitlement to an award of income support has ceased to fall within paragraph (c) of the definition of “existing award” in paragraph 11 of Schedule 4 to the 2007 Act) —
a
before a conversion decision is made, the Secretary of State must notify P that the conversion phase has ended without a conversion decision being made; or
b
after the making of a conversion decision but before its effective date, the Secretary of State must notify P that the conversion decision shall not come into effect.
9
On the giving of a notice under paragraph (8)(b), the conversion decision to which it relates shall lapse with immediate effect.
Application of certain enactments for purpose of making conversion decisions
6
1
The enactments listed in paragraph (2) apply, subject to the modifications specified in Schedule 1, for the purposes of —
a
enabling the Secretary of State to make in relation to any person a conversion decision under this Part; and
b
providing for the revision of such decisions at any time before the effective date.
2
The listed enactments are —
a
Part 1 of the 2007 Act;
b
the 2008 Regulations;
c
regulation 32(1) and (1A) of the Social Security (Claims and Payments) Regulations 1987 (information to be given);
d
Chapter 2 of Part 1 of the Social Security Act 1998 (social security decisions and appeals); and
e
the Social Security and Child Support (Decisions and Appeals) Regulations 1999 .
3
In the application of the enactments listed in paragraph (2)(d) and (e), the conversion decision is to be treated as if it were a decision as to a person’s entitlement to an employment and support allowance which had been made on a claim.
Qualifying for conversion
7
For the purposes of regulation 5(2)(a) (deciding whether an existing award qualifies for conversion), an existing award or awards to which a notified person is entitled qualify for conversion into an award of an employment and support allowance only if the person satisfies the basic conditions set out in section 1(3)(a) to (d) and (f) of the 2007 Act.
Amount of an employment and support allowance on conversion
8
For the purposes of regulation 5(3), the amount of an employment and support allowance to which a notified person is entitled shall be determined as follows.
Step 1
Determine in accordance with Part 1 of the 2007 Act and the 2008 Regulations the amount (if any) of an employment and support allowance to which the notified person would be entitled if, on a claim made by that person —
it had been determined that the person was entitled to an award of an employment and support allowance; and
the assessment phase had ended.
Step 2
Determine in accordance with regulations 9 to 12 —
whether the notified person is entitled to a transitional addition; and
if so, the amount of the transitional addition.
Step 3
Aggregate the amounts (if any) which result from Steps 1 and 2.
Determining entitlement to a transitional addition
9
1
In relation to any notified person whose existing award or awards qualify for conversion into an employment and support allowance —
a
the person’s entitlement (if any) to a transitional addition; and
b
the amount of any such transitional addition,
are to be determined in accordance with regulation 10(2) (transitional addition: incapacity benefit or severe disablement allowance) or 11(2) (transitional addition: income support).
2
The amount of transitional addition to which a notified person is entitled is subject to reduction in accordance with regulations 18 to 20 .
3
The entitlement of a notified person to any transitional addition terminates in accordance with regulation 21 (termination of transitional addition).
Transitional addition: incapacity benefit or severe disablement allowance
10
1
This regulation applies to any notified person who is entitled to an existing award of incapacity benefit or severe disablement allowance (and for these purposes it is irrelevant whether the person is also entitled to any existing award of income support).
2
In any case falling within paragraph (1) —
a
the notified person shall be entitled to a transitional addition if Amount A exceeds Amount B; and
b
the amount of transitional addition to which the notified person is entitled under this paragraph shall be equal to the amount of any such excess.
3
Amount A is the amount of the weekly rate of the existing award applicable to the notified person.
4
To calculate Amount B —
a
take the amount prescribed under paragraph (2) of regulation 67 of the 2008 Regulations (prescribed amounts for purpose of calculating a contributory allowance) which is applicable to the notified person; and
b
add the amount of the applicable component determined in accordance with regulation 12(5) .
5
In paragraph (3), the reference to the weekly rate of an existing award applicable to the notified person is to —
a
in the case of incapacity benefit, the weekly rate payable —
i
under section 30B(2), (6) or (7) of the Contributions and Benefits Act (incapacity benefit: rate),
ii
under section 40(5) or 41(4) of the Contributions and Benefits Act (long-term incapacity benefit for widows and for widowers),
iii
by virtue of regulation 11(4) of the Social Security (Incapacity Benefit) (Transitional) Regulations 1995 (former sickness benefit), or
iv
by virtue of regulation 17(1) of those Regulations (former invalidity benefit); or
b
in the case of severe disablement allowance, the weekly rate payable under sections 68(7) and 69(1) of the Contributions and Benefits Act (as they have effect by virtue of article 4 of the Welfare Reform and Pensions Act 1999 (Commencement No.9 and Transitional and Savings Provisions) Order 2000 ).
Transitional addition: income support
11
1
This regulation applies to any notified person who is entitled to an existing award of income support (and for these purposes it is irrelevant whether the person is also entitled to any existing award of incapacity benefit or severe disablement allowance).
2
In any case falling within paragraph (1) —
a
the notified person shall be entitled to a transitional addition if Amount C exceeds Amount D; and
b
the amount of transitional addition to which the notified person is entitled under this paragraph shall be equal to the amount of any such excess.
3
To calculate Amount C —
a
take the notified person’s weekly applicable amount under regulation 17 or 18 of, and Schedule 2 to, the Income Support (General) Regulations 1987 (applicable amounts);
b
disregard any amount determined in accordance with (as the case may be) regulation 17(1)(e) or 18(1)(f) of, and Schedule 3 to, those Regulations (housing costs); and
c
disregard any amount included in the person’s applicable amount —
i
under regulation 17(1)(b), (c) or (d) of those Regulations in respect of a child or young person who is a member of the notified person’s family, or
ii
under regulation 18(1)(b), (c), (d) or (e) of those Regulations in respect of a child or young person who is a member of the same household as the notified person,
as those provisions have effect by virtue of regulations 1 and 7 of the Social Security (Working Tax Credit and Child Tax Credit) (Consequential Amendment) Regulations 2003 .
4
To calculate Amount D —
a
take the amount prescribed under regulation 67(1) or 68(1) of the 2008 Regulations (prescribed amounts for purpose of calculating an income-related allowance) which is applicable to the notified person;
b
disregard any amount determined in accordance with (as the case may be) regulation 67(1)(c) or 68(1)(d) (housing costs) of the 2008 Regulations; and
c
add the amount of the applicable component determined in accordance with regulation 12(5) of these Regulations.
Regulations 10 and 11 : supplementary
12
1
This regulation has effect for the purposes of applying regulations 10 and 11 in relation to any notified person.
2
Subject to paragraphs (3) and (4) —
a
Amounts A and C are to be calculated in respect of the benefit week which ends immediately before the effective date of the notified person’s conversion decision; and
b
Amounts B and D are to be calculated in respect of the benefit week the first day of which is the effective date of the notified person’s conversion decision.
3
Where —
a
by virtue of an order made under section 150 of the Administration Act (annual up-rating of benefits), there is an increase in —
i
the weekly rate which, in accordance with regulation 10(3) (transitional addition: incapacity benefit or severe disablement allowance), is to be used to calculate Amount A, or
ii
the applicable amount which, in accordance with regulation 11(3) (transitional addition: income support), is to be used to calculate Amount C; and
b
that increase takes effect from any day in the benefit week referred to in paragraph (2)(b),
the calculation of Amount A or C is to be made using the increased weekly rate or applicable amount (as the case may be).
4
Where —
a
there is a change of circumstances in relation to a notified person which, but for sub-paragraph (b), would have resulted in an increase or decrease of the weekly rate or applicable amount referred to in paragraph (3)(a)(i) or (ii); and
b
that increase or decrease would have taken effect from any day in the benefit week referred to in paragraph (2)(b),
the calculation of Amount A or C is to be made using the weekly rate or applicable amount (as the case may be) which would have been payable in respect of the existing award if it had not been subject to conversion under these Regulations.
5
The “applicable component”, in relation to the notified person, means —
a
the work-related activity component, if it has been determined in accordance with the enactments applied by regulation 6 (application of certain enactments for purpose of making conversion decisions) that the notified person does not have and is not to be treated as having limited capability for work-related activity; or
b
the support component, if it has been determined in accordance with those enactments that the notified person has or is to be treated as having limited capability for work-related activity.
The effective date of a conversion decision
13
1
For the purposes of determining the date on which a conversion decision takes effect in relation to any notified person —
a
take the date on which the person is notified of the conversion decision; and
b
unless paragraph (2) applies, determine the first complete fortnightly period in respect of which the person’s existing benefit is payable after that date,
and the effective date of the person’s conversion decision is the first day of the benefit week immediately following the end of the fortnightly period referred to in sub-paragraph (b).
2
Where existing benefit is payable to the notified person in respect of a period other than a fortnight —
a
determine the second complete benefit week in respect of which the person’s existing benefit is payable after the date on which the person is notified of the conversion decision; and
b
the effective date of the person’s conversion decision is the first day of the benefit week immediately following the end of that second complete benefit week.
3
“Existing benefit”, in relation to a notified person, means the benefit in respect of the person’s existing award or awards.
Conversion decision that existing award qualifies for conversion
14
1
Paragraphs (2) and (3) apply in any case where the conversion decision is a decision that a notified person’s (“P”) existing award or awards qualify for conversion into an employment and support allowance.
2
On the effective date of the conversion decision —
a
P’s existing award; or
b
both of P’s existing awards (as the case may be),
are by virtue of this paragraph converted into, and shall have effect on and after that date as, a single award of an employment and support allowance of such amount as is specified in the conversion decision.
3
Where immediately before the effective date of the conversion decision, any relevant deduction was made from the existing award or awards, an equivalent deduction shall be made from the employment and support allowance to which P is entitled by virtue of these Regulations.
4
Paragraphs (2) and (3) are subject to regulation 17 .
Conversion decision that existing award does not qualify for conversion
15
1
Subject to paragraph (4), paragraphs (2) and (3) apply in any case where the conversion decision is a decision that a notified person’s (“P”) existing award or awards do not qualify for conversion into an employment and support allowance.
2
P’s entitlement to one or both of —
a
an existing award of incapacity benefit or severe disablement allowance; or
b
an existing award of income support (being an award made to a person incapable of work or disabled),
shall terminate by virtue of this paragraph immediately before the effective date of P’s conversion decision.
3
Where, immediately before that date, P is entitled to be credited with any earnings under regulation 8B(2)(a) of the Social Security (Credits) Regulations 1975 (credits for incapacity for work), P shall not be entitled to be so credited under that regulation on or after that date.
4
Paragraph (5) applies where —
a
a conversion decision within the meaning of regulation 5(2)(b) (“the earlier conversion decision”) is made by virtue of either of the following provisions of the 2008 Regulations (as they apply by virtue of regulation 6)–
i
regulation 22(1) (failure to provide information or evidence requested in relation to limited capability for work), or
ii
regulation 23(2) (failure to attend for a medical examination to determine whether the claimant has limited capability for work); and
b
after P is notified of the earlier conversion decision, the Secretary of State is satisfied (or where the conversion decision is appealed to the First-tier Tribunal, that tribunal determines) that P had good cause for failing to–
i
provide the information requested, or
ii
attend for or submit to the medical examination for which P was called.
5
Where this paragraph applies —
a
the earlier conversion decision is treated as never having been made;
b
any entitlement of P–
i
to an existing award which was terminated by virtue of paragraph (2), or
ii
to be credited with earnings which was terminated by virtue of paragraph (3),
shall be reinstated with effect from the effective date of the earlier conversion decision;
c
the Secretary of State must make a conversion decision (“the new conversion decision”) in accordance with regulation 5 (deciding whether an existing award qualifies for conversion) in relation to the existing award or awards to which P is entitled;
d
the notice issued under regulation 4 (notice commencing the conversion phase) has effect in relation to that existing award or those existing awards; and
e
with the exception of regulation 4 (notice commencing the conversion phase), the remaining provisions of this Part, including this regulation, apply to the new conversion decision.
6
Paragraphs (2) and (3) are subject to regulation 17 (changes of circumstances before the effective date).
PART 3 AFTER THE CONVERSION PHASE
Application of other enactments applying to employment and support allowances
16
1
The enactments listed in paragraph (2) apply, subject to the modifications specified in Schedule 2, for the purposes of —
a
providing for the revision or supersession of any person’s conversion decision at any time on or after that decision’s effective date; and
b
enabling any other matter to be determined in connection with any person’s entitlement or continuing entitlement to an award of an employment and support allowance by virtue of these Regulations.
2
The listed enactments are —
a
Part 1 of the 2007 Act;
b
Chapter 2 of Part 1 of the Social Security Act 1998 (social security decisions and appeals);
c
any other Act which is amended by Schedule 3 to the 2007 Act;
d
the Social Security (Recovery of Benefits) Act 1997 ; and
e
the following regulations —
i
this Part of these Regulations,
ii
the 2008 Regulations, and
iii
the Regulations listed in Schedule 3 to these Regulations (being regulations consequentially amended by regulations made under Part 1 of the 2007 Act).
3
In the application of those enactments, the conversion decision is to be treated as if it were a decision as to a person’s entitlement to an employment and support allowance which had been made on a claim.
Changes of circumstances before the effective date
17
Where, on or after the effective date of any person’s conversion decision, the Secretary of State is notified of any change of circumstances or other relevant event which occurred before that date, the Secretary of State —
a
must treat any award converted by virtue of regulation 14(2) (conversion decision that existing award qualifies for conversion) or terminated by virtue of regulation 15(2) (conversion decision that existing award does not qualify for conversion) as if it had not been converted or terminated;
b
must take account of the change of circumstances or other relevant event for the purposes of determining whether to revise or supersede a decision (“the earlier decision”) relating to the award or awards in respect of which the conversion decision was made;
c
in an appropriate case, must revise or supersede the earlier decision;
d
if any earlier decision is revised or superseded, must determine whether to revise the conversion decision made in relation to P; and
e
in an appropriate case, must revise that conversion decision.
Reducing the transitional addition: general rule
18
1
The amount of any transitional addition to which a person is entitled by virtue of these Regulations shall be reduced (but not below nil) by a sum equal to the aggregate amount of all relevant increases which occur on or after the effective date in the amount payable to the person by way of an employment and support allowance.
2
For the purposes of paragraph (1), a relevant increase is —
a
in relation to a person entitled to a contributory allowance, an increase in any amount applicable to the person under regulation 67(2)(a) or (3) of the 2008 Regulations ; and
b
in relation to a person entitled to an income-related allowance, an increase in any amount applicable to the person under regulation 67(1)(a) or (b) or (3) or 68(1)(a), (b) or (c) of the 2008 Regulations,
which is not excluded by paragraph (3).
3
In relation to any person, the excluded increases are —
a
any increase applicable to the benefit week the first day of which is the effective date of the person’s conversion decision; and
b
any increase resulting from the reversal (on appeal or otherwise) of any decision made by the Secretary of State that a person who was previously entitled to the support component has become entitled to the work-related activity component.
Reducing the transitional addition: increases for dependent children
19
1
Paragraphs (2) and (3) apply to any person (“T”) who —
a
on the day before the effective date of T’s conversion decision, was entitled in connection with an existing award of incapacity benefit or severe disablement allowance to an increase under section 80 of the Contributions and Benefits Act (beneficiary’s dependent children), as that section has effect by virtue of article 3 of the Tax Credits (Commencement No.3 and Transitional Provisions and Savings) Order 2003 ; and
b
on and after the effective date, is entitled by virtue of these Regulations to an employment and support allowance which includes an amount by way of a transitional addition.
2
The amount of the transitional addition shall be reduced in accordance with paragraph (3) on the termination, on or after the effective date, of T’s entitlement to child benefit in respect of the child or qualifying young person —
a
for whom; or
b
for whose care by an adult dependant,
T was entitled to the increase referred to in paragraph (1)(a).
3
The amount of the transitional addition shall be reduced (but not below nil) by a sum equal to the amount which, on the day before the effective date, was the amount of the increase referred to in paragraph (1)(a) to which T was entitled.
Reducing the transitional addition: increases for adult dependants
20
1
Paragraphs (2) and (3) apply to any person (“T”) who —
a
on the day before the effective date of T’s conversion decision, was entitled in connection with an existing award of incapacity benefit or severe disablement allowance to an increase under —
i
section 86A of the Contributions and Benefits Act (incapacity benefit: increases for adult dependants), or
ii
section 90 of the Contributions and Benefits Act (adult dependants of beneficiaries in receipt of severe disablement allowance); and
b
on and after the effective date, is entitled by virtue of these Regulations to an employment and support allowance which includes an amount by way of a transitional addition.
2
The amount of the transitional addition shall be reduced in accordance with paragraph (3) on the occurrence, on or after the effective date, of any of the following events —
a
the death of the adult dependant in respect of whom T was entitled to the increase referred to in paragraph (1)(a);
b
the permanent separation of T and that adult dependant;
c
the termination of the entitlement of either T or that adult dependant to child benefit; or
d
the award to that adult dependant of a personal benefit (within the meaning of the Social Security (Overlapping Benefits) Regulations 1979 ) which is equal to or more than the amount which, on the day before the effective date, was the amount of the increase referred to in paragraph (1)(a) to which T was entitled.
3
The amount of the transitional addition shall be reduced (but not below nil) by a sum equal to the amount which, on the day before the effective date, was the amount of the increase referred to in paragraph (1)(a) to which T was entitled.
Termination of transitional addition
21
1
Any entitlement to a transitional addition which a person (“T”) may have by virtue of these Regulations terminates on whichever is the earlier of —
a
the reduction in accordance with regulations 18 to 20 (reducing the transitional addition: general rule and increases for dependent children and adult dependants) of the amount of the transitional addition to nil;
b
subject to paragraphs (2) and (3), the termination in accordance with the enactments applied by regulation 16 of T’s entitlement to an employment and support allowance; and
c
5th April 2020.
2
Nothing in paragraph (1)(b) prevents reinstatement of a person’s entitlement to a transitional addition following the reversal on appeal of any determination which results in the termination of the person’s entitlement to an employment and support allowance.
3
Any termination of T’s entitlement to a transitional addition by virtue of paragraph (1)(b) shall instead have effect as a suspension of that entitlement in Case 1 or Case 2.
4
Case 1 is where —
a
on a subsequent claim made by T for an employment and support allowance, a period of limited capability for work is treated under regulation 145(1) or (2) of the 2008 Regulations (linking rules) as a continuation of an earlier period of limited capability for work; and
b
T’s entitlement to an employment and support allowance which is referred to in paragraph (1)(b) (“T’s old entitlement”) was in respect of that earlier period.
5
Case 2 is where —
a
T’s old entitlement was to an income-related allowance;
b
the reason for terminating that entitlement was that the condition set out in paragraph 6(1)(f) of Schedule 1 to the 2007 Act had ceased to be satisfied in T’s case (no entitlement to income-related allowance where other member of a couple engages in remunerative work); and
c
on a subsequent claim for an income-related allowance, T’s entitlement to such an allowance commences before the end of the 12 week period which begins with the date of termination of T’s old entitlement.
6
In Cases 1 and 2, the amount of the transitional addition which becomes payable on commencement of T’s entitlement to an employment and support allowance is to be determined by reference to the amount of the transitional addition that was payable on the termination of T’s old entitlement, subject to any subsequent adjustment of that amount that would have been made under this Part.
PART 4 MISCELLANEOUS
Disapplication of certain enactments following conversion decision
22
Where a conversion decision has been made in relation to any person, the following enactments shall not apply to that person with effect from the conversion decision’s effective date —
a
sections 30A, 40 or 41 of the Contributions and Benefits Act (incapacity benefit);
b
section 68 of the Contributions and Benefits Act (as it has effect by virtue of article 4 of the Welfare Reform and Pensions Act 1999 (Commencement No. 9, and Transitional and Savings Provisions) Order 2000 );
c
regulation 13(2)(b) or (bb) of, or paragraph 7(a) or (b), 10, 12 or 13 of Schedule 1B to, the Income Support (General) Regulations 1987 (prescribed category of persons for the purposes of entitlement on grounds of incapacity or disability);
d
the Income Support Transitional Regulations 1987 ; and
e
the Incapacity Benefit Transitional Regulations 1995 .
Treatment of claims until coming into force of regulation 24
23
In sub-paragraphs (a), (b) and (c) of regulation 2(2) of the Employment and Support Allowance (Transitional Provisions) Regulations 2008 (claim for existing award), for “a claim” substitute “a claim made in respect of a period commencing before 31st January 2011”.
Revocation of transitional claims provisions
24
In regulation 2(2) of the Employment and Support Allowance (Transitional Provisions) Regulations 2008, sub-paragraphs (a) to (c) are revoked.
Amendment of the 2008 Regulations
25
1
Regulation 31 of the 2008 Regulations (claimant who claims jobseeker’s allowance to be treated as not having limited capability for work) is revoked.
2
In regulation 144(2)(a) of the 2008 Regulations (which sets out exceptions from the requirement to serve a period of waiting days at the beginning of a period of limited capability for work), between “income support,” and “state pension credit” insert “incapacity benefit, severe disablement allowance,”.
Consequential amendments
26
Schedule 4 (which makes amendments consequential on these Regulations) has effect.
Amendments to legislation relating to Housing Benefit and Council Tax Benefit
27
Schedule 5 (which makes amendments to legislation relating to Housing Benefit and Council Tax Benefit) has effect.
Signed by authority of the Secretary of State for Work and Pensions.
Chris Grayling
Minister of State,
Department for Work and Pensions
27th July 2010