text:
Citation and commencement
1
These Regulations may be cited as the Education (Adjudicators Inquiry Procedure etc.) (Amendment) Regulations 2001 and shall come into force on 1st May 2001.
Amendment of the Education (Adjudicators Inquiry Procedure etc.) Regulations 1999
2
1
The Education (Adjudicators Inquiry Procedure etc.) Regulations 1999 shall be amended as follows.
2
In regulation 2 in the definition of “proposer” the word “and” after paragraph (b) shall be omitted and after paragraph (c) there shall be inserted the following —
and
d
where the inquiry relates to proposals published under Part II of Schedule 7 to the Learning and Skills Act 2000 , the Learning and Skills Council for England
.
3
In regulation 2 for paragraph (d) of the definition of “relevant objector” there shall be substituted the following —
d
the Learning and Skills Council for England (if the inquiry is into any matter which affects education to which section 2(1) of the Learning and Skills Act 2000 applies); and
.
4
In regulation 3(1) after sub-paragraph (b) there shall be added the following —
or
c
arising from his consideration of proposals published under Part II of Schedule 7 to the Learning and Skills Act 2000 referred to him under paragraphs 35(5) or (6) or 37(1) or (2) of that Schedule
.
Tessa Blackstone
Minister of State,
Department of Education and Employment
2nd April 2001


type: legislation

jurisdiction: UK

text:
1
These Regulations may be cited as the Community Drivers' Hours (Foot-and-Mouth Disease) (Temporary Exception) (No. 2) Regulations 2001 and shall come into force on 5th April 2001.
2
In these Regulations —
“agricultural product” means products of —
the soil;
dairy farming;
the breeding and keeping of livestock, and
poultry farming,
and products of first-stage processing directly relating to such products;
“agricultural purpose” includes horticulture, fruit growing, seed growing, dairy farming and livestock breeding and keeping, the use of land as grazing land and meadow land, and the use of land for woodlands where that use is ancillary to the farming of land for other agricultural purposes;
“farm” means land which is occupied for agricultural purposes, including any dwelling-house or other building occupied by the same person for the purpose of farming the land;
“feeding stuff” means —
a product of vegetable or animal origin in its natural state (whether fresh or preserved);
a product derived from the industrial processing of such a product; or
an organic or inorganic substance, used singly or in a mixture (and whether or not containing additives);
for oral feeding to animals which, or kinds of which, are in particular kept for the production of food, skins or fur or for the purpose of their use in the farming of land;
“fertiliser” means a fertiliser used for the cultivation of crops or plants of any description, including trees;
“fuel” includes any substances used as a source of heat or power;
“grain” includes wheat, maize, oats, rye, barley, rice, pulses, seeds and processed forms thereof;
“livestock” includes cattle, horses, asses, mules, hinnies, sheep, pigs, goats, poultry, deer and, while in captivity, pheasants, partridges and grouse;
“machinery” includes:
digging machines;
mobile cranes;
generators and compressors;
construction equipment, including wheel loaders, bulldozers, crawler tractors, crawler loaders, truck-type loaders, off-highway trucks and hydraulic excavators;
agricultural equipment;
self-propelled agricultural vehicles including tractors;
fork-lift trucks;
“vehicle”, whether laden or not, has the same meaning as “vehicles” in the Council Regulation.
3
1
Pursuant to Article 13(2) of Council Regulation ( EEC ) No. 3820/85 of 20th December 1985 on the harmonisation of certain social legislation relating to road transport (“the Council Regulation”) until 3rd June 2001, and in order to meet the exceptional circumstances occasioned by the outbreak of foot-and-mouth disease in Great Britain, or the effects or consequences of such exceptional circumstances, any time spent driving a vehicle for the purpose of —
a
the collection or delivery to or from a farm of agricultural products, machinery, fertiliser, fuel, disinfectants, herbicides and pesticides; or
b
the movement of livestock; or
c
the transport of feeding stuff and grain,
shall not be taken into account for the purposes of Article 6(2) of that Regulation.
2
In relation to the driving of a vehicle in the exceptional circumstances and for the purposes mentioned in paragraph (1) above, the said Council Regulation shall have effect as if:
a
in Article 6, paragraph 1 first sentence, for the reference to “nine hours” there were substituted “ten hours” and the second sentence of that paragraph were deleted;
b
in Article 8, for paragraph 3 there were substituted the following:
3
In the course of each week, one of the rest periods referred to in paragraphs 1 and 2 shall be extended, by way of weekly rest, to a total of 24 consecutive hours. Every third week this rest period shall be extended to a total of 45 consecutive hours.
.
Signed by authority of the Secretary of State for the Environment, Transport and the Regions
Larry Whitty
Parliamentary Under-Secretary of State
Department of the Environment, Transport and the Regions
30th March 2001


text:
1
This Order may be cited as the Value Added Tax (Cars) (Amendment) Order 2001 and shall come into force on 2nd January 2002.
2
The Value Added Tax (Cars) Order 1992 shall be amended as follows.
3
For article 8(7)(a) substitute —
a
calculate the price at which the motor car was obtained by deducting from the successful bid the amount of the commission payable to him under his contract with the vendor for the sale of the motor car;
.
Anne McGuire
Tony McNulty
Two of the Lords Commissioners of Her Majestys Treasury
22nd November 2001


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Greenwich Primary Care Trust (Establishment) Order 2001 and shall come into force on 26th 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 Greenwich 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 Greenwich 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 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 Bexley and Greenwich 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 Bexley and Greenwich Health Authority shall make available to the trust during the preparatory period —
a
premises and other facilities of the Authority; and
b
officers of the Authority.
4
The Greenwich Healthcare National Health Service Trust, the Oxleas National Health Service Trust and the Queen Mary’s Sidcup National Health Service Trust shall make available to the trust during the preparatory period —
a
premises and other facilities of those NHS trusts; and
b
staff of those NHS trusts.
Signed by authority of the Secretary of State
John Denham
Minister of State,
Department of Health
17th February 2001


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the North Cumbria Acute Hospitals National Health Service Trust (Establishment) Order 2001 and shall come into force on 12th March 2001.
2
In this Order, unless the context otherwise requires —
“ the Act ” means the National Health Service and Community Care Act 1990;
“establishment date” means 12th March 2001;
“operational date” has the meaning assigned to it in paragraph 3(1)(e) of Schedule 2 to the Act;
“the trust” means the North Cumbria Acute Hospitals National Health Service Trust established by article 2 of this Order.
Establishment and name of the trust
2
There is hereby established an NHS trust which shall be called the North Cumbria Acute Hospitals National Health Service Trust.
Nature and functions of the trust
3
1
The trust is established for the purposes specified in section 5(1) of the Act.
2
The trust’s functions shall be to provide goods and services, namely hospital accommodation and services, for the purposes of the health service at or from:
i
New Cumberland Infirmary, Newtown Road, Carlisle CA2 7HY;
ii
West Cumberland Hospital, Hensingham, Whitehaven CA28 8JG,
and at or from associated hospitals, establishments or facilities.
Directors of the trust
4
The trust shall have, in addition to the chairman, 5 executive directors and 5 non-executive directors.
Operational date and accounting date of the trust
5
1
The operational date of the trust shall be 1st April 2001.
2
The accounting date of the trust shall be 31st March.
Limited functions before operational date
6
Between its establishment date and its operational date the trust shall have the functions —
a
of entering into NHS contracts;
b
of entering into other contracts including contracts of employment; and
c
of doing such other things as are reasonably necessary to enable it to begin to operate satisfactorily with effect from its operational date.
Assistance by Health Authorities before operational date
7
1
The North Cumbria Health Authority shall discharge the liabilities of the trust, incurred between the establishment date and the operational date, that are of a description specified in paragraph (2) of this article.
2
The liabilities referred to in the preceding paragraph are —
a
liability for the remuneration and travelling or other allowances of the chairman and non-executive directors 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 directors of the trust;
c
liability for the remuneration of persons employed by 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 the operational date.
Signed by authority of the Secretary of State for Health
John Hutton
Minister of State,
Department of Health
1st March 2001


text:
Citation, commencement, interpretation and extent
1
1
This Order may be cited as the National Treatment Agency (Establishment and Constitution) Order 2001 and shall come into force on 1st April 2001.
1
In this Order “the Agency” means the National Treatment Agency established by this Order.
2
This Order extends to England only.
Establishment of the Agency
There is hereby established a Special Health Authority which shall be known as the National Treatment Agency.
Functions of the Agency
Subject to and in accordance with such directions as the Secretary of State may give , the Agency shall perform —
a
such functions in connection with the treatment of drug misusers, and
b
such other functions,
as the Secretary of State may direct.
Constitution of the Agency
The Agency shall consist of —
a
a chairman,
b
not less than 3 and not more than 8 members who are not officers of the Agency,
c
the person who for the time being holds the office of Chief Executive of the Agency, and
d
not less than 2 and not more than 3 members who are officers of the Agency.
Remuneration of members
The Agency is hereby specified for the purposes of paragraph 9(7)(b) of Schedule 5 to the National Health Service Act 1977 (definition of “relevant authority” for the purposes of paying remuneration to members of Health Authorities and certain Special Health Authorities).
Public Meetings
The Public Bodies (Admission to Meetings) Act 1960 shall apply to the Agency.
Signed by authority of the Secretary of State for Health
Gisela Stuart
Parliamentary Under-Secretary of State,
Department of Health
6th March 2001


text:
Citation and application
1
1
This Order may be cited as the Local Government Act 2000 (Commencement No. 7) Order 2001.
2
This Order applies in relation to England only.
Provisions coming into force on 1st August 2001
2
Sections 94 and 95 of the Local Government Act 2000 shall come into force on 1st August 2001.
Signed by authority of the Secretary of State for Transport, Local Government and the Regions
Sally Keeble
Parliamentary Under Secretary of State,
Department for Transport, Local Government and the Regions
23rd July 2001


text:
Title, commencement and application
1
1
These Regulations may be cited as the Shellfish (Specification of Crustaceans) Regulations 2001 and shall come into force on 26th April 2001.
2
These Regulations do not apply in relation to Scotland or in relation to Wales as defined in section 155(1) of the Government of Wales Act 1998 .
Specification of crustaceans
2
Crabs are hereby specified for the purposes of section 1(1) of the Sea Fisheries (Shellfish) Act 1967.
E. A. Morley
Parliamentary Secretary, Ministry of Agriculture, Fisheries and Food
4th April 2001


text:
PART 1
GENERAL
Citation, commencement and interpretation
1
1
This Order may be cited as the Financial Services and Markets Act 2000 (Transitional Provisions and Savings) (Information Requirements and Investigations) Order 2001 and comes into force on 1st December 2001.
2
In this Order —
“ the Act ” means the Financial Services and Markets Act 2000;
“the Banking Act ” means the Banking Act 1987 ;
“the 2BCD Regulations ” means the Banking Coordination (Second Council Directive) Regulations 1992 ;
“commencement” means 1st December 2001;
“the Financial Services Act ” means the Financial Services Act 1986 ;
“the Insurance Companies Act ” means the Insurance Companies Act 1982 ;
“investment business” has the same meaning as in the Financial Services Act;
“the ISD Regulations ” means the Investment Services Regulations 1995 ;
“member”, in relation to a recognised self-regulating organisation or recognised self-regulating organisation for friendly societies, includes any person who, immediately before commencement, was —
a registered person for the purposes of the rules of The Securities and Futures Authority Limited; or
a registered individual for the purposes of the rules of the Personal Investment Authority Limited or of the Investment Management Regulatory Organisation Limited;
“recognised professional body”, “recognised self-regulating organisation” and “recognised self-regulating organisation for friendly societies” have the same meanings as in the Financial Services Act;
“rules”, in relation to a recognised self-regulating organisation, has the meaning given by section 8(3) of the Financial Services Act.
3
For the purposes of this Order, a requirement is outstanding if it was imposed before commencement and —
a
the date by which it must be complied with is, or the period within which it must be complied with expires, on or after commencement; and
b
it was not complied with before commencement.
PART 2
INFORMATION AND REPORT REQUIREMENTS
Relevant information requirements
2
1
Any outstanding relevant information requirement is to be treated as a requirement imposed under section 165(1) of the Act (Authority’s power to require information), whether or not it could have been imposed under that section.
2
Such a relevant information requirement is to be treated as if it required the information to be provided, or documents to be produced, to the Authority (if it does not already do so).
3
In relation to such a relevant information requirement —
a
any requirement that any information be provided or document be produced within a specified period or at a specified place is to be treated as if that period or place were specified for the purposes of section 165(2) of the Act;
b
any requirement that the information be provided in a particular form is to be treated as a requirement imposed under section 165(5) of the Act;
c
any requirement that any information be verified in a specified manner or that any document be authenticated in a specified manner is to be treated as a requirement imposed under section 165(6) of the Act.
4
Section 174 of the Act (admissibility of statements) applies to any statement made on or after commencement in compliance with an outstanding relevant information requirement of the kind specified by paragraph (8)(b) or (d) as if that statement were a statement of the kind specified in subsection (1) of that section, and as if the reference in subsection (3) to section 177(4) or 398 of the Act including a reference to —
a
in relation to a requirement of the kind specified by paragraph (8)(b), section 39(11) or 94(1)(a) of the Banking Act;
b
in relation to a requirement of the kind specified by paragraph (8)(d), section 71(1)(b), (3) or (4) of the Insurance Companies Act.
5
Section 177 of the Act (offences) does not apply to an outstanding relevant information requirement of the kind specified by paragraph (8)(a) and subsection (4) of that section does not apply to an outstanding relevant information requirement of the kind specified by paragraph (8)(c).
6
Section 398 of the Act (misleading the Authority) does not apply to a person who, on or after commencement, purports to comply with an outstanding relevant information requirement of the kind specified by paragraph (8)(a) or (c).
7
Where, on or after commencement, a person fails to comply with an outstanding relevant information requirement or purports to comply with such a requirement —
a
the court may not impose any penalty or other measure under section 177 of the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed; and
b
the Authority may not impose any penalty or other disciplinary measure under the Act that is more severe than the penalty or measure that could have been imposed, other than by the court, but whether by the Authority or otherwise, had the Act not been passed.
8
In this article, “relevant information requirement” means —
a
an applicable requirement or request to provide information or to produce a document imposed on, or made to, a member of a recognised self-regulating organisation or of a recognised self-regulating organisation for friendly societies by that organisation pursuant to a power conferred on it by its rules;
b
a requirement to provide information or to produce a document imposed under —
i
subsection (1)(a) of section 39 of the Banking Act;
ii
subsection (3)(a) of that section; or
iii
subsection (4) of that section (so far as it relates to subsection (3)(a));
c
a requirement to deposit a document or statement imposed under section 43 of the Insurance Companies Act; or
d
a requirement to furnish information or to produce a document imposed by the Treasury under —
i
subsection (1) of section 44 of the Insurance Companies Act;
ii
subsection (2)(a) of that section; or
iii
subsection (3) of that section (so far as it relates to subsection (2)(a)).
9
A requirement or request is “applicable” for the purposes of paragraph (8)(a) if it was imposed or made otherwise than in connection with an investigation.
Section 104 of the Financial Services Act etc
3
1
Any outstanding requirement to which this paragraph applies is to be treated —
a
as a relevant requirement for the purposes of Part XXV of the Act (injunctions); and
b
if the requirement was imposed on a person who is, immediately after commencement, an authorised person, as a requirement imposed on him by or under the Act for the purposes of section 205 of the Act (public censure).
2
Paragraph (1) applies to a requirement to furnish information imposed under —
a
section 104(1) of the Financial Services Act ; or
b
paragraph 24 of Schedule 11 to that Act .
3
Any outstanding requirement imposed on a recognised professional body under section 104(2) of the Financial Services Act —
a
is to be treated for the purposes of section 380(2) of the Act (injunctions) as a relevant requirement; and
b
is to be treated for the purposes of section 398 of the Act (misleading the Authority) as a requirement imposed by or under the Act (and subsection (2) of that section does not apply).
4
Any outstanding requirement imposed on a recognised investment exchange or recognised clearing house (in each case, within the meaning of the Financial Services Act) under section 104(2) of that Act is to be treated for the purposes of section 398 of the Act (misleading the Authority) as a requirement imposed by or under the Act (and subsection (2) of that section does not apply).
Reports by skilled persons
4
1
Any outstanding relevant report requirement is to be treated as a requirement imposed under section 166(1) of the Act (reports by skilled persons), whether or not it could have been imposed under that section.
2
Such a relevant report requirement is to be treated as if it required the report to be provided to the Authority (if it does not already do so).
3
In relation to such a relevant report requirement, any requirement as to the form of the report, and any provision relating to the form, contents or deposit of the abstract imposed under subsections (3) to (6) of section 42 of the Insurance Companies Act, is to be treated as a requirement imposed under section 166(3) of the Act.
4
Any outstanding relevant report requirement is to be treated as if the person making the report satisfies the requirements of section 166(4) of the Act if —
a
in the case of a relevant requirement of the kind specified by paragraph (7)(a), that person was nominated or approved by the Authority under section 39(2) of the Banking Act;
b
in the case of a relevant report requirement of the kind specified by paragraph (7)(b), that person was specified in the requirement;
c
in the case of a relevant report requirement of the kind specified by paragraph (7)(c), that person was the actuary under section 19(1) of the Insurance Companies Act acting for the person to whom the requirement relates at the time the relevant report requirement was imposed.
5
Section 174 of the Act (admissibility of statements) applies to any statement made on or after commencement in compliance with an outstanding relevant report requirement as if that statement were a statement of the kind specified in subsection (1) of that section, and as if the reference in subsection (3) to section 177(4) or 398 of the Act included a reference to —
a
in the case of a requirement of the kind specified by paragraph (7)(a), section 39(11) or 94(1)(a) of the Banking Act;
b
in the case of a requirement of the kind specified by paragraph (7)(b), section 71(1)(b), (3) or (4) of the Insurance Companies Act.
6
Where, on or after commencement, a person fails to comply with an outstanding relevant report requirement or purports to comply with such a requirement —
a
the court may not impose any penalty or other measure under section 177 of the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed; and
b
the Authority may not impose any penalty or other disciplinary measure under the Act that is more severe than the penalty or measure that could have been imposed, other than by the court, but whether by the Authority or otherwise, had the Act not been passed.
7
In this article, “relevant report requirement” means —
a
a requirement to provide a report imposed under section 39(1)(b) of the Banking Act;
b
a requirement to furnish a report imposed by the Treasury under section 44(2B) of the Insurance Companies Act; or
c
a requirement imposed under section 42(1)(b) of that Act to cause an abstract of a report made by an actuary under section 42(1)(a) of that Act to be made.
Use of statements — information requirements
5
Notwithstanding any repeal, section 44(5) to (5B) of the Insurance Companies Act and section 39(12) to (12B) of the Banking Act continue to have effect on and after commencement, in relation to any statement made before commencement, as if —
a
the reference in section 44(5B) of the Insurance Companies Act to section 71(1)(b), (3) or (4) of that Act; and
b
the reference in section 39(12B) of the Banking Act to section 94(1)(a) of that Act,
included a reference to sections 177(4) and 398 of the Act.
PART 3
INVESTIGATIONS
Section 43A of the Insurance Companies Act
6
1
This article applies to an appointment, which is effective immediately before commencement, of a person under section 43A(1)(a) of the Insurance Companies Act to investigate any matter.
2
The appointment is to be treated as an appointment of that person by the Authority under section 167(1) of the Act (general investigations) to conduct an investigation on its behalf into that matter, subject to the modifications of Part XI of the Act specified by paragraph (3).
3
The modifications specified by this paragraph are —
a
if the notice of appointment required by section 43A(1) of the Insurance Companies Act has been given, section 170(2) of the Act does not apply;
b
the reference in section 170(6) of the Act to the investigator’s investigation includes a reference to his investigation before commencement;
c
any outstanding requirement imposed under section 43A(2)(a) or (b) of the Insurance Companies Act is to be treated as a requirement imposed under section 171 of the Act (whether or not such a requirement could have been imposed under that section);
d
in its application to any statement made on or after commencement in compliance with a requirement imposed under section 43A of the Insurance Companies Act or under Part XI of the Act, section 174 of the Act (admissibility of statements) applies as if the reference in subsection (3) to section 177(4) or 398 of the Act included a reference to section 71(1)(b) or (3) of the Insurance Companies Act.
4
Where, on or after commencement, a person fails to comply with an outstanding requirement imposed under section 43A of the Insurance Companies Act or purports to comply with such a requirement —
a
the court may not impose any penalty or other measure under section 177 of the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed; and
b
the Authority may not impose any penalty or other disciplinary measure under the Act that is more severe than the penalty or measure that could have been imposed, other than by the court, but whether by the Authority or otherwise, had the act not been passed.
Section 41 of the Banking Act
7
1
This article applies to an appointment, which is effective immediately before commencement, of a person under section 41(1) of the Banking Act to investigate any matter.
2
The appointment is to be treated as an appointment of that person by the Authority under section 167(1) of the Act (general investigations) to conduct an investigation on its behalf into that matter, subject to the modifications of Part XI of the Act specified by paragraph (3).
3
The modifications specified by this paragraph are —
a
any investigation under section 41(2) or (3) of the Banking Act begun by that person before, but not completed by, commencement, is to be treated as an investigation under section 167(2) of the Act (whether or not it could have been begun under that section);
b
if the notice required by section 41(4) of the Banking Act has been given, section 167(3) of the Act does not apply in respect of any investigation specified by sub-paragraph (a);
c
if the notice of appointment required by section 41(1) of the Banking Act has been given, section 170(2) of the Act does not apply;
d
the reference in section 170(6) of the Act to the investigator’s investigation includes a reference to his investigation before commencement;
e
any outstanding requirement imposed under section 41(5)(a) or (b) of the Banking Act is to be treated as a requirement imposed under section 171 of the Act (whether or not such a requirement could have been imposed under that section);
f
in its application to any statement made on or after commencement in compliance with a requirement imposed under section 41 of the Banking Act or under Part XI of the Act, section 174 of the Act (admissibility of statements) applies as if the reference in subsection (3) to section 177(4) or 398 of the Act included a reference to section 41(9)(c) or 94(4) of the Banking Act.
4
Where, on or after commencement, a person fails to comply with an outstanding requirement imposed under section 41 of the Banking Act or purports to comply with such a requirement —
a
the court may not impose any penalty or other measure under section 177 of the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed;
b
in any proceedings for an offence under the Act, or in any proceedings in which a person may be dealt with under section 177(2) of the Act, it is a defence for the person charged to prove that he took all reasonable precautions and exercised all due diligence to avoid the failure to comply (or purported compliance) by himself or any person under his control; and
c
the Authority may not impose any penalty or other disciplinary measure under the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed.
Section 94 of the Financial Services Act
8
1
This article applies to an appointment, which is effective immediately before commencement, of a person under section 94 of the Financial Services Act to investigate any matter.
2
The appointment is to be treated as an appointment of that person under section 284(1) of the Act (investigations of collective investment schemes) to investigate that matter by —
a
where the Secretary of State appointed that person, the Secretary of State; or
b
where the Authority appointed that person, the Authority,
subject to the modifications of section 284 and Part XI of the Act (as applied by that section) specified by paragraph (3).
3
The modifications specified by this paragraph are —
a
the reference in section 170(6) of the Act to the investigator’s investigation includes a reference to his investigation before commencement;
b
any direction given under section 94(8), (8A), (8B) or (9) of the Financial Services Act which is effective immediately before commencement is to be treated as a direction given under section 170(7) of the Act;
c
in its application to any statement made on or after commencement by a person in response to a question put to him by an investigator in exercise of powers conferred by section 434 of the Companies Act 1985 , as applied by section 94 of the Financial Services Act, or under Part XI of the Act, section 174 of the Act (admissibility of statements) applies as if subsection (3)(d) were omitted;
d
any investigation under section 94(2) of the Financial Services Act begun by that person before, but not completed by, commencement, is to be treated as an investigation under section 284(2) of the Act (whether or not it could have been begun under that section);
e
any outstanding requirement imposed under section 434(1)(b) or (2) of the Companies Act 1985, as applied by section 94(3) of the Financial Services Act, is to be treated as a requirement imposed under section 284(3) of the Act (whether or not such a requirement could have been imposed under that section);
f
any consent or authorisation given under section 94(7) of the Financial Services Act which was effective before commencement is to be treated as if given under section 284(9) of the Act.
4
Where, on or after commencement, a person fails to comply with an outstanding requirement imposed under section 434 of the Companies Act 1985, as applied by section 94 of the Financial Services Act —
a
the court may not impose any penalty or other measure under section 177 of the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed; and
b
the Authority may not impose any penalty or other disciplinary measure under the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed.
Section 177 of the Financial Services Act
9
1
This article applies to an appointment, which is effective immediately before commencement, of a person under section 177 of the Financial Services Act to investigate any matter.
2
The appointment is to be treated as an appointment of that person by the Secretary of State under section 168(3) of the Act, by virtue of section 168(2)(a) (offence under Part V of the Criminal Justice Act 1993 ), to conduct an investigation on his behalf into that matter, subject to the modifications of Part XI of the Act specified by paragraph (3).
3
The modifications specified by this paragraph are —
a
the reference in section 170(6) of the Act to the investigator’s investigation includes a reference to his investigation before commencement;
b
any —
i
provision made under subsection (2) of section 177 of the Financial Services Act;
ii
variation made under subsection (2A) of that section; or
iii
direction under subsection (5) or (5A) of that section,
which is effective immediately before commencement is to be treated as a direction given under section 170(7) of the Act;
c
any outstanding requirement imposed under section 177(3) of the Financial Services Act is to be treated as a requirement imposed under section 173 of the Act (whether or not such a requirement could have been imposed under that section);
d
in its application to any statement made on or after commencement by a person in compliance with a requirement imposed under section 177 of the Financial Services Act or under Part XI of the Act, section 174 of the Act (admissibility of statements) applies as if the reference in subsection (3) to section 177(4) or 398 of the Act included a reference to section 200(1) of the Financial Services Act; and
e
any consent or authorisation given under section 177(8) of the Financial Services Act which was effective before commencement is to be treated as if given under section 175(5) of the Act.
4
Where, on or after commencement, a person fails to comply with an outstanding requirement imposed under section 177 of the Financial Services Act —
a
the court may not impose any penalty or other measure under section 177 of the Act that is more severe than the penalty or measure that it could have imposed had the Act not been passed; and
b
the Authority may not impose any penalty or other disciplinary measure under the Act that is more severe than the penalty or measure that it could have been imposed had the Act not been passed.
Notices and directions
10
1
This article applies to an investigation if, by virtue of this Order, the appointment of the investigator is to be treated as an appointment made under the Act.
2
The person who has appointed the investigator (the Secretary of State or the Authority, as the case may be) (“the investigating authority”) must, as soon as practicable after commencement, give written notice of the provision of the Act under which, by virtue of this Order, the investigator is to be treated as having been appointed and (where applicable) the provision under which the investigation is to be treated as being conducted under, to the person who is the subject of the investigation unless he believes that such a notice would be likely to result in the investigation being frustrated.
3
A direction by the investigating authority under section 170(7) of the Act in respect of an investigation to which this article applies may, in particular, provide that steps taken by the investigator before commencement are not to be duplicated under the powers conferred on him by the Act.
Savings or sections 94 and 177 of the Financial Services Act
11
Any repeal of section 94 or 177 of the Financial Services Act does not affect —
a
the power of the court under subsection (10) of section 94 of the Financial Services Act where a person is convicted on a prosecution instituted as a result of any investigation under that section; or
b
the power of the court under subsection (11) of section 177 of that Act where a person is convicted on a prosecution instituted as a result of any investigation under that section,
where the appointment of the investigator under section 94 or 177 (as the case may be) was not effective immediately before commencement.
Savings of sections 105 and 106 of the Financial Services Act
12
1
Any repeal of section 105 or 106 of the Financial Services Act (investigation powers), and any revocation of the 2BCD Regulations or the ISD Regulations, does not affect-
a
any outstanding requirement imposed under subsection (3) or (4) of section 105 of the Financial Services Act (subject to section 105(6) and section 106(2) and (2A) of that Act);
b
the application of subsection (8) of section 105 of that Act in relation to a document produced after commencement pursuant to such an outstanding requirement;
c
the application of subsection (10) of that section in relation to a failure after commencement to comply with such an outstanding requirement;
d
the power of the court under subsection (11) of that section where a person is convicted after commencement on a prosecution instituted as a result of any investigation under that section;
e
any power of the Secretary of State or the Authority under subsection (4)(a) or (b) of that section in relation to any document produced (or not produced) after commencement pursuant to any outstanding requirement to which sub-paragraph (a) applies;
f
any authorisation granted to any person under section 106(1) of that Act so far as it relates to an outstanding requirement to which sub-paragraph (a) applies;
g
any duty of a person incurred before commencement under section 106(3) of that Act to make a report;
h
any determination made before commencement under paragraph 29 of Schedule 9 to the 2BCD Regulations or paragraph 27 of Schedule 7 to the ISD Regulations; or
i
the application of section 200(1) of that Act (false and misleading statements) in relation to any information furnished in purported compliance with an outstanding requirement to which sub-paragraph (a) applies.
2
Section 400 (offences by bodies corporate), 401 (proceedings for offences) and 403 of the Act (jurisdiction and procedure in respect of offences) have effect as if any offence committed under section 105(10) or 200 of the Financial Services Act after commencement were an offence under the Act.
Saving of section 42 of the Banking Act
13
1
Any repeal of section 42 of the Banking Act does not affect —
a
any outstanding requirement imposed under subsection (1) of section 42 of the Banking Act (subject to subsection (6) of that section);
b
any power of a person under subsection (2) of that section in relation to a document produced pursuant to such an outstanding requirement;
c
the application of subsection (4) of that section in relation to a failure to comply with such an outstanding requirement;
d
any authorisation granted to any person for the purposes of subsection (2) of that section; or
e
the application of section 94 of the Banking Act (false and misleading information) in relation to any information furnished in purported compliance with an outstanding requirement to which sub-paragraph (a) applies.
2
Any outstanding requirement imposed under section 42(1)(a) or (b) of the Banking Act is to be treated as an information requirement for the purposes of section 176(2) of the Act.
3
Sections 400 (offences by bodies corporate), 401 (proceedings for offences) and 403 of the Act (jurisdiction and procedure in respect of offences) have effect as if any offence committed under section 42(4) or 94 of the Banking Act after commencement were an offence under the Act.
4
In proceedings for any such offence, it is a defence for the person charged to prove that he took all reasonable precautions and exercised all due diligence to avoid the failure to comply (or purported compliance) by himself or any person under his control.
Use of statements — investigations
14
Notwithstanding any repeal, section 43A(5) to (7) of the Insurance Companies Act, sections 41(10) to (10B) and 42(5) to (5B) of the Banking Act and sections 105(5) to (5B) and 177(6) to (6A) of the Financial Services Act continue to have effect on and after commencement (including in relation to statements made after commencement) as if —
a
the reference in section 43A(7) of the Insurance Companies Act to section 71(1)(b) or (3) of that Act;
b
the references in section 41(10B) and 42(5B) of the Banking Act to section 94 of that Act; and
c
the references in section 105(5B) and 177(6A) of the Financial Services Act to section 200(1) of that Act,
included a reference to sections 177(4) and 398 of the Act.
John Heppell
Tony McNulty
Two of the Lords Commissioners of Her Majesty’s Treasury
9th November 2001


text:
1
These Regulations may be cited as the Limited Liability Partnerships (Fees) (No. 2) Regulations 2001.
2
These Regulations revoke the Limited Liability Partnerships (Fees) Regulations 2001 .
3
Regulations 1 and 2 shall come into force on the day after these Regulations are made. The remainder of these regulations shall come into force on 6th April 2001.
4
In these Regulations:
“the 1985 Act ” means the Companies Act 1985 and any reference to a numbered section is a reference to a section of that Act;
“the 2000 Act ” means the Limited Liability Partnerships Act 2000 and any reference to a numbered section is a reference to a section of that Act;
“an annual return” means a document required to be submitted by a limited liability partnership to the registrar of companies under section 363 of the 1985 Act as applied to limited liability partnerships by the Limited Liability Partnerships Regulations 2001;
“the Companies Acts” has the meaning contained in section 744 of the 1985 Act as extended by regulation 4 of the Limited Liability Partnerships Regulations 2001;
“the register” means the register kept by the registrar of companies for the purposes of the Companies Acts.
5
The fees set out in the second column of the Schedule to these Regulations shall be the fees payable in respect of the matters set out in the first column of that Schedule.
Kim Howells,
Parliamentary Under-Secretary of State for Competition and Consumer Affairs,
Department of Trade and Industry
14th March 2001


text:
Citation, commencement, extent and interpretation
1
1
These Regulations, which may be cited as the Control of Pollution (Oil Storage) (England) Regulations 2001, shall come into force on 1st March 2002 and extend to England only.
2
In these Regulations —
“container” means a fixed tank, a drum or a mobile bowser or (even if not connected to fixed pipework) an intermediate bulk container;
“drum” means an oil drum or similar container used for storing oil;
“fixed tank” includes an intermediate bulk container which is connected to fixed pipework;
“oil” means any kind of oil and includes petrol; and
“secondary containment system” means a drip tray, an area surrounded by a bund or any other system for preventing oil which is no longer in its container from escaping from the place where it is stored.
Application of Regulations
2
1
Subject to paragraph (2), these Regulations apply to the storage of oil on any premises.
2
These Regulations do not apply to the storage of oil —
a
if the oil is waste oil within the meaning of regulation 1(3) of the Waste Management Licensing Regulations 1994 ;
b
in any container which is situated in a building or wholly underground;
c
in any container with a storage capacity of 200 litres or less;
d
on any premises used —
i
wholly or mainly as a private dwelling if the storage capacity of the container in which it is stored is 3500 litres or less;
ii
for refining oil; or
iii
for the onward distribution of oil to other places; or
e
on any farm if the oil is for use in connection with agriculture within the meaning of the Agriculture Act 1947 .
Requirements for storage of oil — general
3
1
Oil shall be stored in a container which is of sufficient strength and structural integrity to ensure that it is unlikely to burst or leak in its ordinary use.
2
The container must be situated within a secondary containment system which satisfies the following requirements —
a
subject to paragraph (5), it must have a capacity of not less than 110% of the container’s storage capacity or, if there is more than one container within the system, of not less than 110% of the largest container’s storage capacity or 25% of their aggregate storage capacity, whichever is the greater;
b
it must be positioned, or other steps must be taken, so as to minimise any risk of damage by impact so far as is reasonably practicable;
c
its base and walls must be impermeable to water and oil;
d
its base and walls must not be penetrated by any valve, pipe or other opening which is used for draining the system; and
e
if any fill pipe, or draw off pipe, penetrates its base or any of its walls, the junction of the pipe with the base or walls must be adequately sealed to prevent oil escaping from the system.
3
Any valve, filter, sight gauge, vent pipe or other equipment ancillary to the container (other than a fill pipe or draw off pipe or, if the oil has a flashpoint of less than 32°C, a pump) must be situated within the secondary containment system.
4
Where a fill pipe is not within the secondary containment system, a drip tray must be used to catch any oil spilled when the container is being filled with oil.
5
Where any drum is used for the storage of oil in conjunction with a drip tray as the secondary containment system, it is sufficient if the tray has a capacity of not less than 25% of —
a
the drum’s storage capacity; or
b
if there is more than one drum used at the same time with the tray, the aggregate storage capacity of the drums.
Fixed tanks
4
1
Any fixed tank used for storing oil shall satisfy the following requirements.
2
Any sight gauge must be properly supported and fitted with a valve which must be closed automatically when not in use.
3
Any fill pipe, draw off pipe or overflow pipe must be positioned, or other steps must be taken, so as to minimise any risk of damage by impact so far as is reasonably practicable and —
a
if above ground, must be properly supported;
b
if underground —
i
must have no mechanical joints, except at a place which is accessible for inspection by removing a hatch or cover;
ii
must be adequately protected from physical damage;
iii
must have adequate facilities for detecting any leaks;
iv
if fitted with a leakage detection device which is used continuously to monitor for leaks, the detection device must be maintained in working order and tested at appropriate intervals to ensure that it works properly; and
v
if not fitted with such a device, must be tested for leaks before it is first used and further tests for leaks must be performed, in the case of pipes which have mechanical joints, at least once in every 5 years and, in other cases, at least once in every 10 years; and
c
if made of materials which are liable to corrosion, must be adequately protected against corrosion.
4
The tank must be fitted with an automatic overfill prevention device if the filling operation is controlled from a place where it is not reasonably practicable to observe the tank and any vent pipe.
5
Any screw fitting or other fixed coupling which is fitted and is in good condition must be used when the tank is being filled with oil.
6
Where oil from the tank is delivered through a flexible pipe which is permanently attached to the container —
a
the pipe must be fitted with a tap or valve at the delivery end which closes automatically when not in use;
b
the tap or valve must not be capable of being fixed in the open position unless the pipe is fitted with an automatic shut off device;
c
the pipe must be enclosed in a secure cabinet which is locked shut when not in use and is equipped with a drip tray or the pipe must —
i
have a lockable valve where it leaves the container which is locked shut when not in use; and
ii
be kept within the secondary containment system when not in use.
7
Any pump must be —
a
fitted with a non-return valve in its feed line;
b
positioned, or other steps must be taken, so as to minimise any risk of damage by impact so far as is reasonably practicable; and
c
protected from unauthorised use.
8
Any permanent vent pipe, tap or valve through which oil can be discharged from the tank to the open must satisfy the following requirements —
a
it must be situated within the secondary containment system;
b
it must be arranged so as to discharge the oil vertically downwards and be contained within the system; and
c
in the case of a tap or valve, it must be fitted with a lock and locked shut when not in use.
Mobile bowsers
5
1
Any mobile bowser used for storing oil shall satisfy the following requirements.
2
Any tap or valve permanently fixed to the unit through which oil can be discharged to the open must be fitted with a lock and locked shut when not in use.
3
Where oil is delivered through a flexible pipe which is permanently attached to the unit —
a
the pipe must be fitted with a manually operated pump or with a valve at the delivery end which closes automatically when not in use;
b
the pump or valve must be provided with a lock and locked shut when not in use;
c
the pipe must be fitted with a lockable valve at the end where it leaves the container and must be locked shut when not in use.
Transitional provisions
6
1
Subject to paragraphs (2) and (3) below, the preceding provisions of these Regulations shall not apply until 1st September 2005 to the storage of oil in any container if the container was used for that purpose on any premises before 1st September 2001 .
2
Subject to paragraph (3), if the container or, if there is more than one container within the secondary containment system, any of them is situated less than —
a
10 metres away from any inland freshwaters or coastal waters; or
b
50 metres away from a well or borehole.
the preceding provisions of these Regulations shall apply from 1st September 2003.
3
If a notice under regulation 7 is not complied with in relation to any container by the date specified in the notice, the preceding provisions of these Regulations shall apply from whichever is the latest of the following —
a
the date specified in the notice;
b
if the period for compliance is extended under regulation 7(4), the expiry of the extension;
c
if there is an appeal against the notice, the date on which the appeal is determined or withdrawn.
Notices to minimise pollution risks in transitional cases
7
1
In a case where —
a
regulation 6(1) or (2) applies; and
b
the Agency considers that there is a significant risk of pollution of controlled waters from the entry of the oil in question into those waters if steps are not immediately taken to minimise that risk,
the Agency may serve notice on the person having custody or control of that oil requiring him to carry out such works, take such precautions or such other steps as, in the opinion of the Agency, are appropriate for minimising that risk having regard to the requirements of regulations 3 to 5.
2
The notice shall —
a
specify or describe the works, precautions or other steps which the person is required to carry out or take;
b
state the period within which any such requirement is to be complied with; and
c
inform him of his rights under regulation 8.
3
The period for compliance shall be such period as is reasonable in the circumstances and shall not in any case be less than 28 days.
4
The Agency may at any time —
a
withdraw the notice;
b
extend the period for compliance with any requirement of the notice;
c
with the consent of the person on whom it is served, modify the requirements of the notice,
and shall do so if so directed by the Secretary of State under regulation 8(4).
Right of appeal in transitional cases
8
1
A person served with a notice under regulation 7 may within the period of 28 days beginning with the day on which the notice is served (or within such longer period as the Secretary of State may allow) appeal to the Secretary of State against the notice.
2
An appeal shall be made by the appellant serving notice on the Secretary of State and the notice shall contain or be accompanied by a statement of the appellant’s reasons for appealing and the matters which he wishes the Secretary of State to take into account in determining the appeal.
3
Before determining an appeal the Secretary of State shall —
a
take into account any written representations of the appellant or the Agency; and
b
if requested to do so by the appellant or the Agency, afford them the opportunity of appearing before and being heard by a person appointed by the Secretary of State for the purpose.
4
On determining an appeal the Secretary of State may direct the Agency to withdraw the notice under regulation 7, modify any of its requirements, extend the period for compliance or dismiss the appeal.
5
The period for compliance with a notice under regulation 7 shall, subject to any direction under paragraph (4) be extended so that it expires on the date on which the Secretary of State determines the appeal or, if the appeal is withdrawn, the date on which it is withdrawn.
Offences
9
A person who has custody or control of any oil in circumstances in which there is a contravention of any provision of regulations 3 to 5 or the requirements of a notice under regulation 7 shall be guilty of an offence and shall be liable —
a
on summary conviction to a fine not exceeding the statutory maximum; or
b
on conviction on indictment, to a fine.
Whitty
Parliamentary Under-Secretary of State,
Department for Environment, Food and Rural Affairs
21st August 2001


text:
Title, application and commencement
1
This Order may be cited as the Foot-and-Mouth Disease (Amendment) (England) (No. 14) Order 2001; it applies to England, and shall come into force on 17th December 2001.
Amendment of the Foot-and-Mouth Disease Order 1983
2
1
The Foot-and-Mouth Disease Order 1983 in so far it applies to England is amended in accordance with the provisions of this article.
2
In article 3(1) in the definition of “hunting” for the words “any drag trail” there shall be substituted the words “any drag or other trail”.
3
For article 3(6) there shall be substituted the following —
6
References in paragraph (5) above and in articles 41(2), 42(1) and 45(c) and (d) to licences shall be taken to include reference to a permit issued by a veterinary inspector under either article 29A(2)(d) or article 36(2)(d),
.
4
In article 18 —
a
paragraph (4) shall be deleted;
b
for paragraph (7) there shall be substituted the following paragraph —
7
The person in charge of the vehicle in which animals are moved under this article shall ensure, as soon as possible after the animals have been unloaded and, in any case (unless the licence otherwise provides) before the vehicle is moved from the delivery premises, that the vehicle is thoroughly cleansed and disinfected in accordance with the requirements of paragraph 3 of Schedule 2 to this Order and with any additional requirements specified in the licence under which the animals are moved.
; and
c
at the beginning of paragraph (8) there shall be inserted the words —
Subject to any provisions of the licence issued under paragraphs (1) or (2) above which impose a contrary requirement on the person moving the animals,
.
5
In article 29A the following paragraph shall be inserted after paragraph (2) —
2A
In deciding whether to issue a licence under paragraph (2)(b) above or a permit under paragraph 2(d) above a veterinary inspector shall comply with any instructions which may have been issued by the Minister in relation to the issue of such licences or permits.
.
6
In article 31 —
a
paragraph (2) shall be deleted;
b
for paragraph (5) there shall be substituted the following paragraph —
5
The person in charge of the vehicle in which animals are moved under this article shall ensure, as soon as possible after the animals have been unloaded and, in any case (unless the licence otherwise provides) before the vehicle is moved from the delivery premises, that the vehicle is thoroughly cleansed and disinfected in accordance with the requirements of paragraph 3 of Schedule 2 to this Order and with any additional requirements specified in the licence under which the animals are moved.
; and
c
at the beginning of paragraph (6) there shall be inserted the words “Subject to any provisions of the licence granted under paragraph (1) above which impose a contrary requirement on the person moving the animals,”.
7
In article 36
a
for paragraph (2) there shall be substituted the following paragraph —
2
Nothing in paragraph (1) shall make it unlawful for —
a
the occupier of any land, or for a member of a shooting party consisting of not more than three persons who are authorised by the occupier or are members of his household or who are persons employed by him as beaters to shoot or attempt to shoot any deer found on that land;
b
the occupier of any land or any group of not more than three persons who are authorised by the occupier or are members of his household to use any dog in connection with the killing on that land of any fox, hare, mink or rabbit found thereon provided that this shall not be taken to authorise the pursuit of any such quarry using dogs outside the boundaries of that land;
c
a person to cull deer under the authority of a licence granted by an inspector and subject to any conditions set out therein; or
d
a person to take part in hunting (other than hunting where deer is the quarry) under the authority of a permit granted by a veterinary inspector and subject to any conditions that may be specified therein.
; and
b
after paragraph (2) there shall be added the following paragraph —
3
In deciding whether to issue:
a
a licence under paragraph (2)(c) above (“case A”); or
b
a permit under paragraph (2)(d) above (“case B”),
an inspector, in case A, and a veterinary inspector, in case B, shall comply with any instructions which may have been issued by the Minister in relation to the issue of such licences or permits.
.
8
In article 37D in paragraph (1) for the words “articles 31, 35 and 37A” there shall be substituted the words “articles 31, 35, 36 and 37A above”.
9
In article 41, at the beginning of paragraph (1)(b), the words “subject to any provision in the licence imposing a contrary requirements on the person moving the animals,” shall be inserted.
Signed on 14th December 2001
Alun Michael
Minister of State
Department for Environment, Food and Rural Affairs


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the North Middlesex Hospital National Health Service Trust (Change of Name) Order 2001 and shall come into force on 31st July 2001.
2
In this Order —
“ the Order ” means the North Middlesex Hospital National Health Service Trust (Establishment) Order 1990 ;
“ the trust ” means the National Health Service trust established by the Order.
Change of name of NHS trust
2
The trust shall be called the North Middlesex University Hospital National Health Service Trust instead of the North Middlesex Hospital National Health Service Trust, and accordingly —
a
in article 1 of the Order in the definition of “the trust”, and in article 2 of the Order, for the words “North Middlesex Hospital National Health Service Trust” there shall be substituted the words “North Middlesex University Hospital National Health Service Trust”; and
b
in article 3(2) of the Order for the words “North Middlesex Hospital” there shall be substituted the words “North Middlesex University Hospital”.
Transitional provisions
3
The changes of name under this Order shall not —
a
affect any right or obligation of any person; or
b
be taken as invalidating any instrument (whether made before, on or after the day on which this Order comes into force) which refers to the trust or hospital by its previous name, and all instruments and other documents which refer to the trust or hospital under its previous name shall be construed as referring to it under its new name.
Signed by authority of the Secretary of State for Health
John Hutton
Minister of State,
Department of Health
3rd July 2001


text:
1
These Regulations may be cited as the Weights and Measures (Metrication Amendments) Regulations 2001 and shall come into force on 8th February 2001.
2
On the coming into force of these Regulations, the Regulations specified in the Schedule to these Regulations shall be amended in the manner specified in regulation 3(1) below.
3
1
In respect of each of the Regulations listed in the Schedule, after the words “supplementary indication” or “supplementary indications” where those words appear for the first time in each of the regulations specified, there shall be inserted the words “up to and including 31st December 2009”.
2
In the Weighing Equipment (Automatic Gravimetric Filling Instruments) Regulations 2000 , after regulation 6 there shall be inserted —
6A
Where the indication of the exact quantity of material a filling instrument purports to weigh is given in metric units of measurement that indication may also be given by means of a supplementary indication up to and including 31st December 2009.
.
Kim Howells,
Parliamentary Under-Secretary of State for Consumers and Corporate Affairs,
Department of Trade and Industry
16th January 2001


text:
Citation and commencement
1
This Order may be cited as the Relevant Authorities (General Principles) Order 2001 and shall come into force on the day after the day on which it is made.
Interpretation
2
In this Order —
“ the Act ” means the Local Government Act 2000;
“members” means members and co-opted members of relevant authorities, and
“statutory officers” means heads of paid service, chief finance officers and monitoring officers.
General principles
3
1
The Secretary of State hereby specifies in the Schedule to this Order, the principles which are to govern the conduct of members of relevant authorities in England and police authorities in Wales.
2
Only paragraphs 2 and 8 of the Schedule to this Order shall have effect in relation to the activities of a member that are undertaken other than in an official capacity.
Signed by authority of the Secretary of State for the Environment, Transport and the Regions
Hilary Armstrong
Minister of State,
Department of the Environment, Transport and the Regions
5th April 2001


text:
1
These Regulations may be cited as the Education Standards Fund 2000 (England) (Amendment) Regulations 2001 and shall come into force on 27th February 2001.
2
The Education Standards Fund (England) Regulations 2000 shall be amended as follows.
3
In regulation 5(2) the following entry shall be inserted at the end of the table in the left hand and right hand columns respectively —
56 100
.
4
Schedule 1 shall be amended by inserting after paragraph 55 the following paragraph —
56
Support for projects to assist groups which provide educational and play activities suitable for children who have not attained compulsory school age.
Estelle Morris
Minister of State,
Department for Education and Employment
26th January 2001


text:
1
This Order may be cited as the Value Added Tax (Increase of Registration Limits) Order 2001 and shall come into force on 1st April 2001.
2
In Schedule 1 to the Value Added Tax Act 1994 (registration in respect of taxable supplies) —
a
in paragraph 1(1)(a), (1)(b), (2)(a) and (2)(b), for “£52,000” substitute “£54,000”; and
b
in paragraphs 1(3) and 4(1) and (2), for “£50,000” substitute “£52,000”.
3
In Schedule 3 to the Value Added Tax Act 1994 (registration in respect of acquisitions from other member States) —
a
in paragraph 1(1) and (2); and
b
in paragraph 2(1)(a), (1)(b) and (2),
for “£52,000” substitute “£54,000”.
Jim Dowd
Greg Pope
Two of the Lords Commissioners of Her Majesty’s Treasury
7th March 2001


text:
PART I
GENERAL
Citation, commencement and extent
1
1
These Regulations may be cited as the National Care Standards Commission (Fees and Frequency of Inspections) Regulations 2001 and shall come into force on 1st January 2002.
2
These Regulations extend to England only.
Interpretation
2
1
In these Regulations —
“ the Act ” means the Care Standards Act 2000;
“the 1957 Act ” means the Nurses Agency Act 1957 ;
“the 1984 Act ” means the Registered Homes Act 1984 ;
“the 1989 Act ” means the Children Act 1989 ;
“acute hospital” means a hospital of the type referred to in section 2(3)(a)(i) of the Act (not being a hospice) which has approved places;
“adult placement home” means a care home in respect of which the registered provider is an adult placement carer within the meaning of regulation 45 of the Care Homes Regulations 2001 ;
“annual fee” means the amount prescribed for the purposes of section 16(3) or 51(1) of the Act, or section 87D(2) of the 1989 Act, as the case may be;
“approved place” means —
in relation to an establishment, boarding school, further education college or residential special school, a bed provided for the use of a service user at night; or
in relation to a residential family centre, overnight accommodation which is appropriate to a single family;
“boarding school” means a school (not being a residential special school or a school which is a children’s home or a care home) providing accommodation for any child, and “school” has the meaning given to it in section 105(1) of the 1989 Act;
“certificate” means a certificate of registration;
“existing provider” means —
a person who is registered under Part I of the 1984 Act in respect of a residential care home;
a person who is registered under Part II of the 1984 Act in respect of a nursing home or mental nursing home;
a person who carries on a home that is registered in a register kept for the purposes of section 60 of the 1989 Act;
a person who carries on a home that is registered under Part VIII of the 1989 Act; or
a nurses agency provider;
“existing undertaking” means —
a residential care home in respect of which a person is registered under Part I of the 1984 Act;
a nursing home or mental nursing home in respect of which a person is registered under Part II of the 1984 Act;
a home that is registered in a register kept for the purposes of section 60 of the 1989 Act;
a home that is registered under Part VIII of the 1989 Act; or
a licensed nurses agency;
“further education college” means a college as defined in section 87(10) of the 1989 Act which provides accommodation for any child ;
“hospice” means an establishment the whole or main purpose of which is to provide palliative care;
“licensed nurses agency” means an agency for the supply of nurses within the meaning of the 1957 Act which a person is authorised to carry on by a licence which has been granted to him by a local authority under section 2 of that Act;
“listed services” has the same meaning as in section 2(7) of the Act, as modified by regulation 3(4) of the Private and Voluntary Health Care (England) Regulations 2001 , but in these Regulations excludes treatment using prescribed techniques or prescribed technology;
“local authority fostering service” means the discharge by a local authority of relevant fostering functions within the meaning of section 43(3)(b) of the Act;
“mental health hospital” means a hospital of the type referred to in section 2(3)(b) of the Act;
“new provider” means a person who carries on —
a residential family centre, nurses agency or domiciliary care agency, for the first time after 1st July 2002;
any other description of establishment or agency, for the first time after 1st April 2002;
“nurses agency provider” means a person who —
carries on an agency for the supply of nurses within the meaning of the 1957 Act; and
is the holder of a licence which has been granted to him by a local authority under section 2 of that Act and which authorises him to carry on that agency from premises specified in the licence;
“prescribed techniques or prescribed technology” means the techniques or technology set out in regulation 3(1)(a) to (f) of the Private and Voluntary Health Care (England) Regulations 2001;
“previously exempt provider” means a provider who carries on an establishment or agency other than —
a residential care home, nursing home or mental nursing home in respect of which a person is required to be registered under Part I or II of the 1984 Act;
a home that is required to be registered in a register kept for the purposes of section 60 of the 1989 Act or under Part VIII of that Act;
an agency for the supply of nurses within the meaning of the 1957 Act which the person is authorised to carry on from those premises under a licence granted to him under section 2 of that Act;
“registered” means registered under Part II of the Act;
“registration fee” means a fee of the amount prescribed for the purposes of section 12(2) of the Act;
“registered manager” in relation to an establishment or agency means a person who is registered under Part II of the Act as the manager of the establishment or agency;
“registered person” means any person who is the registered proprietor or registered manager in respect of an establishment or agency;
“registered provider” in relation to an establishment or agency means a person who is registered under Part II of the Act as the person carrying on the establishment or agency;
“registration” means registration under Part II of the Act;
“residential special school” means —
a special school in accordance with sections 337 and 347(1) of the Education Act 1996 ; or
an independent school not falling within (a) which has as its sole or main purpose the provision of places, with the consent of the Secretary of State, for pupils with special educational needs or who are in public care,
and which provides accommodation for any child;
“service user” means —
any person who is to be provided with accommodation or services in an establishment, or by an agency, but excludes registered persons or persons employed or intended to be employed in an establishment or by an agency, and their relatives; or
a child accommodated in a boarding school, further education college or residential special school;
“small establishment” means an establishment (other than an adult placement home), which has less than four approved places;
“small agency” means a domiciliary care agency or nurses agency where no more than two members of staff, including registered persons but excluding someone employed solely as a receptionist, are employed at any one time;
“variation fee” means a fee of the amount prescribed for the purposes of section 15(3) of the Act.
2
In these Regulations, unless the context otherwise requires, references to an establishment or agency are to be construed as references —
a
in the case of an application for registration, to the establishment or agency in respect of which the application is made; and
b
in the case of a registered person, to the establishment or agency in respect of which he is registered.
3
In these Regulations, a reference —
a
to a numbered regulation or Schedule is to the regulation in, or Schedule to, these Regulations bearing that number;
b
in a regulation or Schedule to a numbered paragraph is to the paragraph in that regulation or Schedule bearing that number; and
c
in a paragraph to a lettered or numbered sub-paragraph is to the sub-paragraph in that paragraph bearing that letter or number.
PART II
FEES
Registration fees
3
1
Subject to paragraphs (2) to (4), the registration fee shall be —
a
in the case of an application for registration by a person who is seeking to be registered as a person who carries on an establishment or an agency, £1,100; and
b
in the case of an application for registration by a person who is seeking to be registered as a person who manages an establishment or an agency, £300.
2
In the case of an application for registration in respect of an establishment which is a small establishment or adult placement home or an agency which is a small agency —
a
by a person mentioned in paragraph (1)(a), the registration fee shall be £300; and
b
by a person mentioned in paragraph (1)(b), no registration fee shall be payable.
3
Where an application for registration is made by any person who manages an existing undertaking other than a residential care home in respect of which a person is registered under Part I of the 1984 Act —
a
in the case of a licensed nurses agency, before 1st July 2002; or
b
in the case of any other existing undertaking, before 31st March 2002,
no registration fee shall be payable.
4
Where, pursuant to paragraph 5 of Schedule 1 to the Care Standards Act 2000 (Commencement No. 9 (England) and Transitional and Savings Provisions) Order 2001 , an existing provider is treated as having applied for, and been granted, registration in respect of an existing undertaking for the purposes of Part II of the Act, no registration fee shall be payable.
Variation fees
4
1
Subject to paragraphs (2) to (4), the variation fee shall be —
a
in the case of an application under section 15(1)(a) of the Act by the registered provider, £550; and
b
in the case of such an application by the registered manager, £300.
2
In the case of an application under section 15(1)(a) in respect of an establishment which is a small establishment or adult placement home or an agency which is a small agency —
a
in the case of an application by a person mentioned in paragraph (1)(a), the variation fee shall be £300;
b
in the case of an application by a person mentioned in paragraph (1)(b), no variation fee shall be payable.
3
In a case where the variation of a condition is a minor variation, the variation fee shall be £50.
4
For the purposes of paragraph (3) a “minor variation” is a variation which, in the opinion of the Commission, if the application for the variation of the condition were granted, would involve no material alteration in the register kept by the Commission in accordance with regulations made under section 11(4) of the Act.
Annual fees
5
1
Subject to paragraphs (2) to (5), the annual fee which shall be payable by the registered provider in respect of an establishment or agency, by the relevant person in respect of a boarding school, a further education college or residential special school, or by a local authority in respect of a local authority fostering service, specified in column (1) of the Table below —
a
shall be —
i
in a case where no amount is specified in column (3) or (4), the amount specified in column (2);
ii
in any other case, the sum of the amount specified in column (2) and the amounts specified in column (3), and (if applicable) column (4), multiplied by the number of approved places specified in respect of that column; and
b
shall first be payable in accordance with column (5) (“the first date ”), and thereafter shall be payable on the anniversary of the first date.
Column (1) Column (2) Column (3) Column (4) Column (5) Establishment, agency, school or college, local authority fostering service Flat rate payable in all cases Rate payable for each approved place from the 4th to the 29th place inclusive Rate payable for the 30th and each subsequent approved place First annual fee due on:
a
Care home
£150 £50 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act or the 1989 Act;
b
in the case of a previously exempt provider, on 1 April 2003; and
c
in the case of a new provider, on the date on which the certificate is issued.
b
Children’s home
£500 £50 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act or the 1989 Act ;
b
in the case of an existing provider, where an annual fee has not previously been payable under the 1989 Act, 1 April 2002;
c
in the case of a previously exempt provider, on 1 April 2003; and
d
in the case of a new provider, on the date on which the certificate is issued.
c
Fostering agency
£1,000 On 1 April 2003, or on the date on which the certificate is issued, whichever is the later.
d
Hospice
£150 £50 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act;
b
in the case of a previously exempt provider, on 1 April 2003; and
c
in the case of a new provider, on the date on which the certificate is issued.
e
Acute hospital or mental health hospital
£2,500 £100 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act;
b
in the case of a previously exempt provider, on 1 April 2003; and
c
in the case of a new provider, on the date on which the certificate is issued.
f
Hospital using prescribed techniques or prescribed technology
£750 £100 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act;
b
in the case of a previously exempt provider, on 1 April 2003; and
c
in the case of a new provider, on the date on which the certificate is issued.
g
Hospital providing listed services
£1,000 £100 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act;
b
in the case of a previously exempt provider, on 1 April 2003; and
c
in the case of a new provider, on the date on which the certificate is issued.
h
Independent clinic or independent medical agency
£1,000
a
in the case of a previously exempt provider, on 1 April 2003; and
b
in the case of a new provider, on the date on which the certificate is issued.
i
Residential family centre
£400 £50 £50
a
in the case of an existing provider, on the anniversary of the date on which the annual fee was payable under the 1984 Act or the 1989 Act;
b
in the case of a previously exempt provider, on 1 April 2003; and
c
in the case of a new provider, on the date on which the certificate is issued.
j
Domiciliary care agency
£750 On 1 April 2003, or on the date on which the certificate is issued, whichever is the later.
k
Nurses agency
£500
a
in the case of an existing provider, on the anniversary first occurring after 1 July 2002 of the date on which the annual fee was payable under the 1957 Act; and
b
in the case of a new provider, on the date on which the certificate is issued.
l
Boarding school and further education college
£250 £15 £7.50 In the case of a school or college which is providing accommodation for any child on the date on which these Regulations come into force, on 1 September 2002 and, in all other cases, on the establishment of the school or college.
m
Residential special school
£400 £40 £20 In the case of a school which is providing accommodation for any child on the date on which these Regulations come into force, on 1 September 2002 and, in all other cases, on the establishment of the school.
n
Local authority fostering service
£1,000 In the case of a local authority which is discharging relevant fostering functions on the date on which these Regulations come into force, on 1 April 2002, and in all other cases, on the date on which such functions are first discharged.
2
In the case of a care home which is an adult placement home, or a care home which is a small establishment, the annual fee shall be limited to the sum of £100.
3
In the case of an establishment which is a small establishment, other than a care home which is a small establishment, the annual fee shall be limited to the flat rate specified in column (2).
4
In the case of an agency which is a small agency, the annual fee payable shall be 50 per cent. of the flat rate specified in column (2).
5
Where an independent hospital falls into more than one of the categories listed in paragraphs (1)(d), (e), (f) or (g) of the Table above, the category that applies to it for the purposes of this regulation shall be the category with the highest flat rate fee payable as set out in column (2) of paragraphs (1)(d), (e), (f) or (g).
PART III
FREQUENCY OF INSPECTIONS
Frequency of inspections
6
1
Subject to paragraphs (2) to (5), as from 1st April 2002, the Commission shall carry out inspections of premises which are used as an establishment, or for the purposes of an agency, or for the purposes of a local authority fostering service, at the following intervals —
a
in the case of a care home, a minimum of two inspections in every 12 month period;
b
in the case of a children’s home, a minimum of two inspections in every 12 month period;
c
in the case of a fostering agency or a local authority fostering service, a minimum of one inspection in every 12 month period;
d
in the case of any independent hospital, a minimum of one inspection in every 12 month period;
e
in the case of an independent clinic, a minimum of one inspection in every 12 month period;
f
in the case of an independent medical agency, a minimum of one inspection in every 12 month period;
g
in the case of a residential family centre, a minimum of one inspection in every 12 month period; and
h
in the case of a nurses agency or a domiciliary care agency, a minimum of one inspection in every 12 month period.
2
In the case of an establishment or agency (other than an existing undertaking) which is a care home or a children’s home and in respect of which a person is registered for the first time —
a
between 1st April and 30th September in a 12 month period, only one inspection is to be carried out in that period;
b
between 1st October and 31st March in a 12 month period, no inspection shall be required in that period.
3
In the case of an establishment or agency (other than an existing undertaking or a home mentioned in paragraph (2)) in respect of which a person is registered for the first time in a 12 month period, no inspection shall be required in that period.
4
Any inspection referred to in paragraph (1) may be unannounced.
5
In this regulation “12 month period” means a period commencing on 1st April in any year and ending on 31st March in the following year, except that for the purposes of paragraph (1)(g) and (h) in the year ending 31st March 2003, the 12 month period shall be treated as commencing on 1st July 2002.
Jacqui Smith
Minister of State,
Department of Health
12th December 2001


text:
Citation, commencement and extent
1
1
These Regulations may be cited as the National Health Service (General Dental Services) Amendment (No. 2) Regulations 2001 and shall come into force on 1st April 2001.
2
These Regulations extend to England only.
Amendment of the National Health Service (General Dental Services) Regulations 1992
2
The National Health Service (General Dental Services) Regulations 1992 shall be amended in accordance with regulation 3 of these Regulations.
Amendment of Schedule 4
3
In Part II of Schedule 4 (prior approval treatment), in each of paragraphs 1 and 2, for “£230” there shall be substituted “£260”.
Signed by authority of the Secretary of State for Health
Hunt
Parliamentary Under Secretary of State,
Department of Health
7th March 2001


text:
Citation and commencement
1
These Regulations may be cited as the Social Security Contributions (Share Options) Regulations 2001 and shall come into force on 12th May 2001.
Interpretation
2
In these Regulations —
“ the Act ” means the Social Security Contributions (Share Options) Act 2001 and references to a numbered section, without more, are references to the section bearing that number in the Act;
“the Contributions and Benefits Act ” means —
in the application of these Regulations to Great Britain, the Social Security Contributions and Benefits Act 1992; and
in the application of these Regulations to Northern Ireland, the Social Security Contributions and Benefits (Northern Ireland) Act 1992;
“the day on which the Act is passed” means 11th May 2001;
“special contribution” means the contribution payable to the Inland Revenue under section 2.
Matters to be contained in notices under section 1
3
1
A notice under section 1 must contain the following —
a
the name and address of the person giving the notice;
b
the name and national insurance number of the person who has obtained a right to acquire shares in respect of which the notice is given;
c
the date on which the right was granted;
d
the amount that a person might reasonably have expected to have obtained from a sale in the open market on 7th November 2000 of each share to which the right relates together with a statement as to whether or not that amount has been agreed with Inland Revenue Shares Valuation;
e
the price at which each share may be acquired by exercise of the right;
f
any amount paid in consideration of the grant of the right, or, in cases where section 3 applies, the grant of the original right, by the person who has obtained it;
g
the amount in respect of which Class 1 contributions would have been payable by virtue of section 4(4)(a) of the Contributions and Benefits Act if the right had been exercised in full on 7th November 2000 without the giving of any further consideration for the shares acquired by exercise of that right;
h
the amounts of any Class 1 contributions that have already been paid to the Inland Revenue in respect of any liability to pay Class 1 contributions in respect of any gain realised on an exercise, assignment or release of the right after 7th November 2000 and before the day on which the Act is passed; and
i
confirmation that the person giving the notice understands that the notice is irrevocable.
2
In cases where an election for the purposes of paragraph 3B(1) of Schedule 1 to the Contributions and Benefits Act which is in force on the day of the notice would relate to any gain realised on an exercise, assignment or release of the right on the day of the notice, the notice must also contain the following —
a
a statement as to whether the person paying the special contribution is the person on whom (apart from the Act) any liability to pay secondary Class 1 contributions in respect of that gain would fall by virtue of the election;
b
if different parts of that liability would fall (apart from the Act) on different persons by virtue of the election, a statement as to how much of the special contribution is being paid by the secondary contributor on whom (apart from the Act) that liability would fall if no election were in force; and
c
if the notice is given —
i
by the secondary contributor on whom (apart from the Act) any liability to pay secondary Class 1 contributions in respect of that gain would fall if no election were in force,
ii
on behalf of the person on whom (apart from the Act) that liability would fall by virtue of the election,
a declaration that that person has consented to the notice being given by the secondary contributor.
3
In cases where section 3 applies, the notice must also contain confirmation that the person on whom any liability to pay Class 1 contributions in respect of any gain realised on the exercise, assignment or release of the replacement right referred to in that section or any subsequent replacement right would fall understands that section 2(1)(a) and (b) does not —
a
prevent any such liability in respect of any such gain; or
b
have the effect of deeming any such liability not to have arisen on any such gain.
Form of, and manner of giving, notices under section 1
4
1
A notice under section 1 given in writing must be signed by the person giving it.
2
A notice under section 1 may also be given by electronic communication containing an electronic signature of the person giving the notice.
3
Where a notice under section 1 is to be given by a company, section 108(1) of the Taxes Management Act 1970 shall apply to that notice as it applies to a notice to be given by a company under the Taxes Acts.
4
In this regulation —
“electronic communication” includes any communication by means of a telecommunication system (within the meaning of the Telecommunications Act 1984 );
“electronic signature” has the meaning given by section 7(2) of the Electronic Communications Act 2000 ;
“the Taxes Acts” has the same meaning as is given by section 118(1) of the Taxes Management Act 1970 .
Payment of special contributions
5
1
Any special contribution must be paid to the Inland Revenue before the end of the period of ninety-two days beginning with the day on which the Act is passed or before the end of that period as extended by any such further period determined by the Inland Revenue under section 2(5).
2
For the purpose of this regulation and regulations 6 to 9 where —
a
any payment to the Inland Revenue is made by cheque; and
b
the cheque is paid on its first presentation to the banker on whom it is drawn,
the payment shall be treated as made on the day on which the cheque was received by the Inland Revenue and cognate expressions shall be construed accordingly.
Interest on overdue special contributions
6
1
A special contribution which is not paid to the Inland Revenue before the end of the period of ninety-two days beginning with the day on which the Act is passed shall carry interest at the rate applicable under paragraph 6(3) of Schedule 1 to the Social Security Contributions and Benefits Act 1992 from the end of that period until payment.
2
Interest payable under this regulation shall be recoverable as if it were a Class 1A contribution.
3
A certificate of the Inland Revenue that any amount of interest payable under this regulation has not been paid to them, or, to the best of their knowledge and belief, to any person acting on their behalf, shall be sufficient evidence that a person is liable to pay to them the amount of interest shown on the certificate and that the sum is unpaid and due to be paid, and any document purporting to be such a certificate shall be deemed to be such a certificate until the contrary is proved.
Payment of interest on repaid special contributions
7
Where a special contribution is repaid to a person by the Inland Revenue, the repayment shall carry interest at the rate applicable under paragraph 6(3) of Schedule 1 to the Social Security Contributions and Benefits Act 1992 from the end of the period of ninety-two days beginning with the day on which the Act is passed, or, if later, from the date on which the special contribution was paid to the Inland Revenue, until the order for repayment is issued.
Repayment of interest paid on special contributions
8
Where a person has paid interest in respect of a special contribution, the Inland Revenue shall repay the interest to that person if —
a
the interest is found not to have been due to be paid; or
b
the special contribution is returned, or repaid, to that person.
Remission of interest on special contributions
9
1
Interest payable in respect of a special contribution shall be remitted for the period commencing on the first relevant date and ending on the second relevant date in the circumstances specified in paragraph (2).
2
The circumstances specified in this paragraph are that the liability, or a part of the liability, to pay the interest arises as the result of an official error being made.
3
In this regulation —
“official error” means a mistake made, or something omitted to be done, by an officer of, or person employed in relation to, the Inland Revenue acting as such, where the person by whom the interest was payable, or any person acting on his behalf, does not cause, or materially contribute to, that error or omission;
“the first relevant date” means the date after the end of the period of ninety-two days beginning with the day on which the Act is passed or, if later, the date on which the official error occurs;
“the second relevant date” means the date which is fourteen days after the date on which the official error is rectified and the person by whom the interest was payable is advised of its rectification.
Records to be maintained
10
1
A person who has given a notice under section 1 must maintain the following records —
a
a copy of the notice;
b
evidence of the price at which each share may be acquired by exercise of the right in respect of which the notice is given;
c
evidence of the amount that a person might reasonably have expected to have obtained from a sale in the open market on 7th November 2000 of each share to which the right relates;
d
evidence that the special contribution was paid to the Inland Revenue before the end of the period of ninety-two days beginning with the day on which the Act is passed; and
e
in cases where sub-paragraph (c) of regulation 3(2) applies, evidence of the consent referred to in that sub-paragraph.
2
Subject to paragraph (3), the records referred to in paragraph (1) must be retained by the person required to maintain them for a period of not less than three years beginning with 6th April following the date on which a gain is realised on the exercise, assignment or release of the right in respect of which the notice under section 1 is given.
3
In cases where —
a
section 3 applies; and
b
the notice under section 1 is given in respect of the original right,
the records referred to in paragraph (1) must be retained by the person required to maintain them for a period of not less than three years beginning with 6th April following the date on which a gain is realised on the exercise, assignment or release of the replacement right or any subsequent replacement right.
Inspection of records
11
1
The following provisions of this regulation, which are a modified version of paragraphs (1) and (3) to (7) of regulation 55 of the Income Tax (Employments) Regulations 1993 , shall apply in relation to every person required to maintain records under regulation 10 of these Regulations.
2
Every person required to maintain records under regulation 10, whenever called upon to do so by any authorised officer of the Inland Revenue, must produce those records to that officer for inspection, at such time as that officer may reasonably require, at the prescribed place.
3
“The prescribed place” mentioned in paragraph (2) means —
a
such place in the United Kingdom as the person and the officer may agree upon;
b
in default of such agreement, the place in the United Kingdom at which the records referred to in paragraph (2) are normally kept; or
c
in default of such agreement and if there is no such place as is referred to in sub-paragraph (b), the person’s principal place of business in the United Kingdom.
4
The authorised officer may —
a
take copies of, or make extracts from, any document produced to him for inspection in accordance with paragraph (2); and
b
remove any document so produced if it appears to him to be necessary to do so, at a reasonable time and for a reasonable period.
5
Where any document is removed in accordance with paragraph (4)(b), the authorised officer must provide —
a
a receipt for any documents so removed; and
b
a copy of the document, free of charge, within seven days, to the person by whom it was produced or caused to be produced where the document is reasonably required for the proper conduct of a business.
6
Where a lien is claimed on a document produced in accordance with paragraph (2), the removal of the document under paragraph (4)(b) shall not be regarded as breaking the lien.
7
Where records are maintained by computer, the person required to make them available for inspection shall provide the authorised officer with all facilities necessary for obtaining information from them.
David Clelland
Clive Betts
Two of the Lords Commissioners of Her Majesty’s Treasury
11th May 2001
Nick Montagu
Tim Flesher
Two of the Commissioners of Inland Revenue
11th May 2001