text:
PART 1 Introduction
Title, application and commencement
1
This Order —
a
may be cited as the Sheep and Goats (Records, Identification and Movement) (England) Order 2009;
b
applies in England; and
c
comes into force on 31st December 2009.
Interpretation
2
1
In this Order —
“animal” means any animal of the ovine or caprine species;
“central point of recording” means a holding approved by the Secretary of State under Section C.2 of the Annex to the Council Regulation for recording the identities of animals arriving at that holding;
“Council Directive 92/102/ EEC ” means Council Directive 92/102/EEC on the identification and registration of animals ;
“the Council Regulation” means Council Regulation (EC) No. 21/2004 establishing a system for the identification and registration of ovine and caprine animals and amending Regulation (EC) No. 1782/2003 and Directives 92/102/EEC and 64/432/EEC ;
“export” means sending to another member State or a third country;
“flockmark” means the number allocated by the Secretary of State in respect of a flock of sheep on a holding;
“herdmark” means the number allocated by the Secretary of State in respect of a herd of goats on a holding;
“holding” has the meaning given in Article 2 of the Council Regulation;
“identification code” means the code set out on a means of identification as required under this Order or under the previous Orders;
“identification device” means an eartag, electronic eartag, pastern tag, electronic pastern tag or bolus;
“identification mark” means a method of identification applied in another member State, a means of identification or an older means of identification;
“inspector” means a person appointed to be an inspector for the purposes of this Order by the Secretary of State or a local authority;
“keeper” has the meaning given in Article 2 of the Council Regulation;
“local authority” means —
where there is, within the meaning of the Local Government Changes for England Regulations 1994 , a unitary authority for a local government area, that authority;
where there is not a unitary authority —
in a metropolitan district, the council of that district;
in a non-metropolitan county, the council of that county; or
in each London borough, the council of that borough;
in the city of London, the Common Council;
“market operator” means a person responsible for managing the reception or the sale of animals in a market or a duly authorised representative of such a person;
“means of identification” means an identification device or a tattoo;
“method of identification” means an eartag, pastern tag or tattoo applied in another member State or a third country;
“movement document” means the movement document required by Article 6 of the Council Regulation;
“the previous Orders” means —
the Sheep and Goats (Registration, Identification and Movement)(England) Order 2007 ;
the Sheep and Goats (Registration, Identification and Movement)(England) Order 2005 ;
the Sheep and Goats Identification and Movement (Interim Measures)(England) ( No. 2) Order 2002 ;
the Sheep and Goats Identification and Movement (Interim Measures)(England) Order 2002 ;
the Sheep and Goats Identification (England) Order 2000 ;
the Sheep and Goats (Records, Identification and Movement) (Wales) Order 2008 ;
the Sheep and Goats (Records, Identification and Movement) (Wales) Order 2006 ;
the Sheep and Goats Identification and Movement (Interim Measures) (Wales) (No. 2) Order 2002 ;
the Sheep and Goats Identification and Movement (Interim Measures) (Wales) Order 2002 ;
the Sheep and Goats Identification and Movement (Interim Measures) (Wales) Regulations 2002 ;
the Sheep and Goats (Registration, Identification and Movement) Order (Northern Ireland) 2005 ;
the Identification and Movement of Sheep and Goats Order (Northern Ireland) 2004 ;
the Identification and Movement of Sheep and Goats Order (Northern Ireland) 1997 ;
the Sheep and Goats (Identification and Traceability) (Scotland) Regulations 2006 ;
the Sheep and Goats Movement (Interim Measures) (Scotland) Order 2002 ; or
the Sheep and Goats Identification (Scotland) Regulations 2000 ;
“register” means the register required by Article 5 of the Council Regulation;
“slaughterhouse operator” means a person carrying on the business of a slaughterhouse or the duly authorised representative of such a person;
“unique number” means a number that is unique to an animal in a flock or herd and contains no more than 6` digits.
2
Expressions not defined in paragraph (1) which are used in this Order and which are also used in the Council Regulation have the same meaning in this Order as they have in that Regulation.
Competent authority
3
The Secretary of State is the competent authority for the purposes of the Council Regulation.
Authorisations
4
Any authorisations or approvals issued under this Order or the Council Regulation must be in writing, may be made subject to conditions and may be amended, suspended or revoked by notice at any time.
PART 2 Identification devices
Approval of identification devices
5
Identification devices used to comply with this Order must be of a model approved by the Secretary of State.
Additional tags and identification devices with additional information
6
1
At the request of a keeper, a manufacturer of identification devices may, subject to article 6(2), add supplementary information to an identification device or replacement device provided that —
a
the supplementary information is distinct from the identification code; and
b
the identification code remains legible and clearly distinguishable at all times.
2
A keeper may apply an additional tag to an animal but it must not contain the letters “ UK ” or bear a flockmark or herdmark, unless authorised by the Secretary of State.
Colour of identification devices
7
1
All electronic identification devices, other than replacement devices and boluses, must be yellow and no keeper may apply a yellow identification device that is not electronic.
2
No person may attach a red identification device to any animal, other than a replacement identification device.
3
Where a keeper re-identifies an animal and that animal is not on its holding of birth, or the keeper does not know the holding of birth, they must use a red replacement identification device but the requirement to use a red identification device does not apply to the use of boluses.
4
Where an animal is identified by means of a bolus and a second identification device that second device must be black and a black identification device may only be used in combination with a bolus.
5
The characters on all identification devices must be a different colour from the background of the device and must be clearly legible at all times when the device is attached to an animal.
Destruction of identification devices
8
1
The operator of a slaughterhouse, knackers yard, hunt kennels or rendering plant and any other person who finally disposes of an identified animal carcass must destroy in a secure manner which prevents reuse all identification devices on animals they slaughter or otherwise dispose of.
2
Secure destruction includes the rendering of any identification device.
PART 3 Identification of animals not identified before 31 December 2009
Identification of animals not identified before the 31st December 2009
9
1
This article applies to —
a
sheep born before 31st December 2009 which are not identified before that date and are on their holding of birth;
b
sheep born on or after 31st December 2009;
c
goats born before 31st December 2009 that are not identified before that date and are on their holding of birth whose keepers chose to identify them electronically; and
d
goats born on or after 31st December 2009 whose keepers chose to identify them electronically.
2
A keeper must comply with Article 4(1) (first paragraph), Article 4(2)(a) and (b) and Article 9(3) of the Council Regulation and this article unless the alternative identification method set out in article 10 is authorised.
3
For the purpose of Article 4(1) of the Council Regulation, the time limits for identifying an animal are —
a
9 months from the date of birth, in the case of an animal kept in extensive or free range farming conditions; or
b
6 months from the date of birth, in the case of any other animal.
4
No animal may be identified by the use of a bolus in combination with a tattoo.
5
The identification code on a means of identification for the purposes of Section A.2. of the Annex to the Council Regulation must be —
a
the letters “UK” or, on an electronic identification device, the numbers “826”; and
b
a 12 digit number prescribed by the Secretary of State;
and must be identical on the first and second means of identification.
Identification of animals intended for slaughter
10
1
For animals intended for slaughter before the age of 12 months and not intended for export, the identification method in Section A.7 of the Annex to the Council Regulation is authorised.
2
The identification code for the purposes of Section A.7 of the Annex to the Council Regulation must be the letters “UK” followed by the flockmark or herdmark; no other number issued by the competent authority may be visibly recorded on this eartag.
3
Where it is intended to slaughter after the age of 12 months or to export an animal identified under paragraph (1) that animal must be identified in accordance with article 9 and the original eartag removed.
4
A keeper may re-identify under article 9 an animal identified under this article and need not slaughter that animal before the age of 12 months only if —
a
the animal is on its holding of birth;
b
the animal has moved to its present holding directly from its holding of birth or from its holding of birth via a market and its tag contains a unique electronic identifier; or
c
the keeper has a complete record of all the animal’s movements.
5
Where an animal is re-identified under paragraph (4)(b) and its tag contains a unique electronic identifier that unique identifier must be cross-referenced to the new identification code in the holding register.
6
A keeper may re-identify an animal identified under paragraph (1) by using an eartag of the kind described in paragraph (2) which includes an electronic identifier but may not then re-identify that animal according to article 9 unless the animal is still on its holding of birth.
7
Where an animal is re-identified under this article and it is no longer on its holding of birth the keeper must cross-reference the old and new identification codes in the holding register.
PART 4 Removal or replacement of means of identification of animals identified under Part 3
Application of Part 4
11
This Part applies to all animals identified under Part 3.
Removal or replacement of means of identification
12
1
No person may contravene or fail to comply with Article 4(6)(first paragraph) of the Council Regulation.
2
But a keeper must replace a lost or illegible means of identification, in accordance with articles 13 or 14 as the case may require, as soon as possible after the original means of identification is discovered to be lost or illegible, but in any event —
a
no later than 28 days after it was discovered to be lost or illegible, and
b
before the animal is moved from the holding.
3
Where an identification mark is replaced with an identification mark bearing a different identification code and the old identification code is known the keeper must cross-reference the old and new identification codes in the holding register.
4
It is a defence for any person charged with an offence of contravening or failing to comply with paragraphs (1) or (2) to prove that —
a
the means of identification was removed to prevent unnecessary pain to an animal; and
b
a replacement means of identification bearing the same identification code was applied to the animal as soon as possible.
Replacement of the means of identification for animals identified according to article 9
13
1
Where an animal identified according to article 9 loses one means of identification, or that means of identification becomes illegible, the means of identification is replaced in accordance with this article if it is replaced with one bearing the same 12 digit number or the remaining identification device is removed and the animal is re-identified according to article 9.
2
Where an animal identified according to article 9 loses both means of identification, or both means of identification become illegible it is re-identified according to this article if it is re-identified according to article 9.
Replacement of lost or illegible means of identification for animals identified according to article 10
14
1
Where an animal identified according to article 10 loses its eartag or that eartag becomes illegible and is on its holding of birth it is re-identified according to this article if the eartag is replaced with an eartag bearing the same flockmark or herdmark.
2
Where an animal identified according to article 10 loses its eartag or that eartag becomes illegible and is not on its holding of birth, or if the keeper does not know if it is on its holding of birth, it is re-identified according to this article if the eartag is replaced with a red eartag bearing the flockmark or herdmark of the holding the animal is now on.
PART 5 Identification of goats not identified before 31st December 2009
Identification of goats
15
1
Where a goat is on its holding of birth and has not been identified before 31st December 2009 the keeper must, if they have not identified it in accordance with Part 3, identify it within the time limits specified in article 9(3), with either —
a
two eartags;
b
an eartag and a pastern tag; or
c
an eartag and a tattoo.
2
The identification code on a means of identification must be —
a
the letters “UK”; and
b
a 12 digit number in accordance with a numbering scheme prescribed by the Secretary of State;
and must be identical on the first and second means of identification.
Re-identification of goats
16
Goats identified in accordance with article 15 may be re-identified in accordance with article 9.
PART 6 Removal or replacement of identification marks on animals identified before 31st December 2009
Application of Part 6
17
This Part applies to all animals identified before 31st December 2009 and to goats identified in accordance with article 15.
Removal or replacement of identification marks
18
1
No person may contravene or fail to comply with Article 4(6)(first paragraph) of the Council Regulation.
2
But a keeper must replace a lost or illegible identification mark, in accordance with article 19 as soon as possible after the original identification mark is discovered to be lost or illegible, but in any event —
a
no later than 28 days after it was discovered to be lost or illegible; and
b
before the animal is moved from the holding.
3
Where an identification mark is replaced with an identification mark bearing a different identification code and the animal is not on its holding of birth and the old identification code is known the keeper must cross-reference the old and new identification codes in the holding register.
4
It is a defence for any person charged with an offence of contravening or failing to comply with paragraphs (1) or (2) to prove that —
a
the identification mark was removed to prevent unnecessary pain to an animal; and
b
a replacement means of identification bearing the same identification code was applied to the animal as soon as possible.
5
A keeper may at any time remove identification marks and re-identify the animal in accordance with article 9.
Replacement of a single identification mark on a double-tagged animal or the identification marks on animals with no remaining means of identification
19
An animal is re-identified according to this article if the missing or illegible means of identification is or are replaced with —
a
means of identification bearing the same unique number as the lost or illegible means of identification;
b
two non-electronic means of identification, both bearing the same number; or
c
the means of identification specified in Articles 4(1) (first paragraph), 4(2)(a) and (b) and Article 9(3) of the Council Regulation.
Mandatory re-identification of animals
20
Where an animal identified before the coming into force of this Order is not identified with a unique number a keeper must re-identify it before moving it from the holding in accordance with article 9 and, if it is not on its holding of birth, must cross-reference the old and new identification numbers in the holding register.
PART 7 Holding registers
Holding register
21
1
It is an offence for a keeper, other than a transporter, to fail to comply with Article 5(1), (3) and (5) of the Council Regulation.
2
When an animal is moved onto or from its holding, the keeper must record —
a
the information required by Section B of the Annex to the Council Regulation; and
b
the number of animals moved.
3
The information referred to in paragraph (2) in respect of animals moving onto a holding must be recorded by the keeper by entering it in the register but the individual identification codes of each animal may, alternatively, be recorded by retaining a duplicate or certified copy of the movement documents in date order and cross-referencing them to the relevant movement records in the holding register.
4
The information referred to in paragraph (2) in respect of animals moving off a holding must be recorded by the keeper by either —
a
entering it in the register; or
b
retaining a duplicate or certified copy of the movement document and keeping such duplicate or copy with the register in chronological order with any other movement documents retained.
5
It is an offence to keep the register in a form other than that approved by the Secretary of State.
6
The keeper must complete the register —
a
in the case of the movement of an animal onto or from a holding other than via a central point of recording, within 36 hours of the movement;
b
in the case of a movement of an animal onto or from a holding via a central point of recording, within 48 hours of the movement;
c
in the case of the replacement of an identification mark, within 36 hours of the replacement;
d
in the case of the identification code of an animal, the year of its birth, the date of its identification, its race and, if know its genotype, within 36 hours of its identification;
e
in the case of the death of an animal, within 36 hours of the discovery of its death.
7
Where a keeper moves their animals to another holding but continues to be the keeper, the keeper does not have to keep the register on that holding but must be able to produce it within a reasonable time to the Secretary of State upon request.
8
For the purposes of Article 5(3) of the Council Regulation, the period for which the register, including the duplicate or certified copies of the movement documents if kept in accordance with paragraph (4)(b), must be available is 3 years from the last day when an animal referred to on the document dies or leaves the holding.
9
When an animal is re-identified the keeper must record in the register the date of re-identification.
PART 8 Movement documents
Movement document
22
1
It is an offence for a keeper to fail to comply with Article 6(1) of the Council Regulation and complete the movement document in a form approved by the Secretary of State except that the identities of the animals moved may be recorded at the holding of destination where that holding is a central point of recording and the animals are transported in accordance with Section C, point 2(a) of the Annex.
2
It is an offence for the keeper at the holding of destination to fail to comply with Article 6(3) of the Council Regulation and to fail to keep the movement documents in chronological order.
3
For the purposes of Article 6(3) the minimum period for which the keeper at that holding must keep the movement document is 3 years from the date of the movement of an animal onto their holding.
Supply of movement document
23
1
In the case of an animal moved to another holding —
a
upon the animal’s arrival at that other holding, the transporter must give the movement document to the keeper at that holding; and
b
the keeper at that holding must send a copy of the movement document to the local authority within 3 days of the animal arriving at the holding.
2
In the case of an animal moved from a holding to a port and intended for consignment outside Great Britain, the keeper at that holding must send a copy of the movement document to the local authority within 3 days of the animal leaving the holding.
PART 9 Central database
Inventory of animals
24
1
For the purpose of Article 7(2) of the Council Regulation, a keeper who keeps animals permanently must make an inventory of the number of animals on their holding as at the 1st December each year.
2
It is an offence for a keeper to fail to provide the result of the annual inventory to the Secretary of State by 31st December each year.
Supply of information
25
1
On receiving notification under Article 8(2) of the Council Regulation that a person has become the keeper on a holding, the Secretary of State must, subject to paragraph (2), allocate a flockmark in respect of each flock of sheep on the holding and a herdmark in respect of each herd of goats on the holding.
2
When the holding is a slaughterhouse or a market, the Secretary of State must allocate a flockmark or herdmark only where the Secretary of State deems it appropriate to do so.
3
The keeper must notify the Secretary of State in writing of any change in the information specified in Article 8(2)(a) of the Council Regulation within 30 days of such change.
PART 10 Markets
Markets
26
1
A market operator must ensure that all animals are divided into lots of one or more animals immediately upon their arrival at the market and that a lot number is allocated to each lot.
2
No person may buy an animal at a market unless they buy all the other animals in the lot to which that animal belongs and moves the entire lot from the market to the same holding.
3
No person may sell an animal at a market unless they also sell all the other animals in the lot to the same buyer.
4
A market operator may not receive an animal onto a market unless —
a
it is identified in accordance with this Order; and
b
it is accompanied by a movement document which is completed in accordance with Part 8.
5
But a market operator may receive an animal onto a market which is not identified in accordance with this Order with the approval of the local authority.
Replacement of identification marks lost at markets
27
1
The requirements in this Order to replace an identification mark do not apply to a market operator or slaughterhouse operator.
2
If an identification mark is removed, lost or discovered to be illegible while an animal is at a market, the keeper who purchases the animal at the market must apply a replacement in accordance with this Order.
Contingency planning for power and equipment failures
28
1
Local authorities may exempt market, collection centre and slaughterhouse operators from the need to record —
a
an animal’s unique number on a movement document;
b
an animal’s unique number in a holding register; or
c
the numbers of animals in any batch bearing a particular flockmark or herdmark,
where a contingency plan has been agreed between the local authority and the market or slaughterhouse operator.
2
A local authority may withdraw any such exemption if it is no longer satisfied with the operation or terms of the contingency plan.
3
A contingency plan agreed under paragraph (1) must set out the conditions which must be met by the market or slaughterhouse operator and the circumstances in which, provided those conditions are met, the exemptions in paragraph (1) will apply.
4
A market or slaughterhouse operator must seek the consent of the local authority as soon as possible on every occasion when they wish to apply the exemptions in paragraph (1) and must cease to accept animals without recording the information referred to in paragraph (1) if that consent is refused.
5
For the purposes of this article “collection centre” means any holding at which sheep or goats originating from different holdings are grouped together to form consignments of animals intended for export or which is used in the course of export.
PART 11 Animals brought into England
Receipt of animals from another member State
29
1
No person may receive an animal from another member State unless it is identified in accordance with —
a
the Council Regulation, in the case of an animal born after 9th July 2005; or
b
Council Directive 92/102/EEC , in the case of an animal born on or before 9th July 2005.
2
It is an offence to remove or replace the original method of identification of an animal originating in another member State in contravention of Article 4(5) of the Council Regulation.
Receipt of animals from Scotland, Wales, Northern Ireland or the Crown Dependencies
30
No person may receive an animal from Scotland, Wales, Northern Ireland, the Channel Islands or the Isle of Man unless it is identified and accompanied by a movement document in accordance with —
a
in the case of an animal born after 9th July 2005, the Council Regulation, including any derogation exercised under the Council Regulation; or
b
in the case of an animal from Scotland, Wales or Northern Ireland born on or before 9th July 2005 the previous Orders and any additional requirements imposed in legislation enforcing the Council Regulation in relation to those animals; or
c
in the case of animals from the Crown Dependencies born on or before 9th July 2005 Council Directive 92/102/EEC .
Identification of animals imported from third countries
31
1
It is an offence for a keeper to fail to comply with Article 4(4) of the Council Regulation and this article.
2
For the purposes of Article 4(4) (first paragraph) of the Council Regulation, the period for identifying an animal is 14 days.
3
The means of identification for animals imported from a third country must be the same as that set out in Article 4(2)(a) and (b) and Article 9(3) of the Council Regulation and the identification code for the purposes of Section A.2 of the Annex is —
a
the letters “UK”;
b
a 12 digit number in accordance with a numbering scheme prescribed by the Secretary of State.
4
Where an animal is imported from a third country and re-identified according to this article, the keeper must record information about the addition of the new means of identification in the register together with the full identification code on the new means of identification and the full code on the method of identification applied in the third country.
Loss of methods of identification applied in a third country
32
Where an animal is imported from a third country and re-identified in accordance with Article 4(4) of the Council Regulation, the keeper is not required to replace a method of identification applied in the third country if it subsequently becomes lost or illegible.
PART 12 Miscellaneous
Identification and recording of animals for export
33
1
A keeper must identify all animals consigned for export in accordance with Article 4(2)(a) and (b) and Article 9(3) of the Council Regulation.
2
Once an animal identified before 31st December 2009 is consigned for export the keeper must record its individual identity in the holding register and may not export that animal until 30 days after its identity has been recorded.
Defence related to movement for emergency veterinary treatment
34
It is a defence for any person charged with an offence of contravening or failing to comply with any provision in this Order relating to the movement of an animal from a holding without attaching or applying the required means of identification to prove that the animal was moved from the holding for the purposes of emergency veterinary treatment.
Powers of inspectors
35
1
An inspector may, for any purpose relating to the enforcement of this Order —
a
collect, pen and mark any animal and require a keeper to arrange for the collection, penning, marking and securing of any animal;
b
require the keeper to produce or copy any document or record;
c
remove and retain any document or record;
d
have access to, and check the operation of, any computer and any associated apparatus or material which is or has been used in connection with records;
e
where a record is kept by means of a computer, require the record to be produced in a form which may be taken away;
f
require the production of any unused identification devices, and record their numbers;
g
take with them a representative of the European Commission acting for the purposes of Article 12 of the Council Regulation, or any people or things they consider necessary.
2
A person required to do anything by an inspector acting under paragraph (1) must, unless they have reasonable cause, do so without delay and proof of any such reasonable cause lies on that person.
Power to prohibit movement of animals
36
1
An inspector may, by serving notice on a keeper, prohibit the movement of sheep onto or from the holding specified in the notice, if they are satisfied that the prohibition is necessary for the proper enforcement of this Order in relation to that flock.
2
An inspector may, by serving notice on a keeper, prohibit the movement of goats onto or from the holding specified in the notice, if they are satisfied that the prohibition is necessary for the proper enforcement of this Order in relation to that herd.
3
A notice served under this article may be amended or revoked by further notice at any time.
False information
37
No person may furnish information which they know to be false or misleading to a person acting under this Order.
Alteration of identification marks
38
No person may alter, obliterate or deface the information on any identification mark attached to an animal under —
a
the Council Regulation;
b
this Order or any provision that gives effect to the Council Regulation in Scotland, Wales or Northern Ireland;
c
the previous Orders; or
d
Council Directive 92/102/EEC , in the case of an animal marked in another member State in accordance with that Directive.
Offences by bodies corporate
39
1
If an offence against the Animal Health Act 1981 committed by a body corporate is shown —
a
to have been committed with the consent or connivance of an officer; or
b
to be attributable to any neglect on their part,
the officer as well as the body corporate is guilty of the offence and liable to be proceeded against and punished accordingly.
2
If the affairs of a body corporate are managed by its members, paragraph (1) applies in relation to the acts and defaults of a member in connection with their functions of management as if they were a director of the body.
3
“Officer”, in relation to a body corporate, means a director, member of the committee of management, chief executive, manager, secretary or other similar officer of the body, or a person purporting to act in any such capacity.
Offences by partnerships and unincorporated associations
40
1
Proceedings for an offence under this Order alleged to have been committed by a partnership or an unincorporated association may be brought in the name of the partnership or association.
2
For the purposes of such proceedings —
a
rules of court relating to the service of documents are to have effect as if the partnership or association were a body corporate;
b
section 33 of the Criminal Justice Act 1925 and Schedule 3 to the Magistrates’ Courts Act 1980 apply in relation to the partnership or associations as they apply in relation to a body corporate.
3
A fine imposed on a partnership or association on its conviction for an offence under this Order is to be paid out of the funds of the partnership or association.
4
Where an offence under this Order committed by a partnership is proved to have been committed with the consent or connivance of, or be attributable to any neglect on the part of, a partner, that partner (as well as the partnership) is guilty of the offence and is liable to be proceeded against and punished accordingly.
For these purposes, “partner” includes a person purporting to act as a partner.
5
Where an offence under this Order committed by an unincorporated association is proved to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, an officer of the association, that officer (as well as the association) is guilty of the offence and is liable to be proceeded against and punished accordingly.
For these purposes, “officer” means an officer of the association or a member of its governing body or a person purporting to act in such a capacity.
Enforcement
41
1
This Order is enforced by the local authority.
2
The Secretary of State may direct, in relation to cases of a particular description or any particular case, that an enforcement duty imposed on a local authority by this Order must be discharged by the Secretary of State and not by the local authority.
Revocations
42
The Sheep and Goats (Records, Identification and Movement) (England) Order 2007 is revoked.
Jim Fitzpatrick
Minister of State
Department for Environment, Food and Rural Affairs
2nd December 2009


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
These Regulations may be cited as the Greenhouse Gas Emissions Data and National Implementation Measures Regulations 2009 and come into force on 31st December 2009.
Interpretation
2
In these Regulations —
“ 2005 Regulations ” mean the Greenhouse Gas Emissions Trading Scheme Regulations 2005 as amended from time to time;
“allowance” has the meaning given to it in Article 3 of the Directive;
“Annex I” means Annex I to the Directive;
“appropriate authority” means —
in relation to an installation situated in England or an offshore installation, the Secretary of State;
in relation to an installation (other than an offshore installation) situated in Wales, the Welsh Ministers;
in relation to an installation (other than an offshore installation) situated in Scotland, the Scottish Ministers;
in relation to an installation (other than an offshore installation) situated in Northern Ireland, the Department of the Environment in Northern Ireland;
in respect of appeals against decisions of the chief inspector, the Planning Appeals Commission;
“chief inspector” means the chief inspector constituted under regulation 8(3) of the Northern Ireland Regulations ;
“combustion” has the meaning given to it in the Directive;
“the Directive” means Directive 2003/87/ EC of the European Parliament and of the Council establishing a scheme for greenhouse gas emissions allowance trading within the Community and amending Council Directive 96/61/EC , as amended from time to time;
“electronic communication” has the same meaning as in the Electronic Communications Act 2000 ;
“emissions” means the release of greenhouse gases into the atmosphere from sources in an installation;
“emissions data” means a record of emissions during the relevant period which are attributable to a Phase 3 activity, or, in relation to an installation which carried out a Phase 3 activity for only part of the relevant period, a record of emissions relating to that period;
“greenhouse gases” means the gases listed in Annex I to the Directive;
“incumbent installation” means an installation whose emissions are authorised by a permit issued under the 2005 Regulations;
“independent verifier” means a person or body accredited or endorsed by UKAS to carry out the verification requirements of Article 15 of the Directive;
“installation” has the meaning given to it in the Directive;
“Monitoring and Reporting Decision” means Commission Decision 2007/589/EC as amended from time to time establishing guidelines for the monitoring and reporting of greenhouse gas emissions pursuant to the Directive;
“Northern Ireland Regulations” means the Pollution Prevention and Control Regulations (Northern Ireland) 2003 ;
“offshore installation” has the meaning given to it in the 2005 Regulations;
“operator” has the meaning given to it in the 2005 Regulations;
“other relevant data” has the meaning given by regulation 4(4);
“Phase 3 activity” means —
in relation to activities other than combustion activities, those activities listed in Annex I which are only included in the scheme for greenhouse gas emission allowance trading established in the Directive from 2013 onwards; or
those combustion activities which are only included in the scheme for greenhouse gas emission allowance trading established in the Directive from 2013 onwards
where, in relation to any of those activities, they are carried on at an installation other than an incumbent installation;
“Planning Appeals Commission” means the Planning Appeals Commission established under Article 110 of the Planning (Northern Ireland) Order 1991 ;
“production data” has the meaning given by regulation 4(3);
“proper address” has the meaning given by regulation 10(5);
“regulator” has the meaning given to it in the 2005 Regulations;
“relevant period” means the period beginning on 1st January 2005 and ending on 31st December 2008;
“UKAS” means the United Kingdom Accreditation Service;
“the United Kingdom’s national implementation measures” means —
a list of installations situated in the United Kingdom covered by the Directive; and
any free allocation of allowances to such installations calculated in accordance with the rules referred to in articles 10a and 10c of the Directive.
Submission of emissions data
3
1
In respect of an installation carrying out a Phase 3 activity the operator of that installation must, by 30th April 2010, submit to the regulator emissions data.
2
Emissions data must be submitted in such form as the regulator requires.
3
Emissions data must be accompanied by —
a
the name, telephone number and —
i
the postal address (including postcode) in the United Kingdom for service; or
ii
the address for service using electronic communication
of the operator; and
b
a statement from an independent verifier that the emissions data have been verified in accordance with paragraph (4).
4
The operator must ensure that emissions data are —
a
verified by an independent verifier in accordance with Annex V of the Directive; and
b
submitted in accordance with the provisions adopted in the Monitoring and Reporting Decision.
5
The Scottish Environment Protection Agency and the chief inspector must, by 15th June 2010, send all emissions data provided to them pursuant to this regulation to the Environment Agency.
6
Subject to any notification given to it by the Secretary of State pursuant to paragraph (7), the Environment Agency must, by 30th June 2010, submit all emissions data provided to it pursuant to this regulation to the European Commission.
7
Where an installation has emitted greenhouse gases other than carbon dioxide as a consequence of carrying out a Phase 3 activity, the Secretary of State may instruct the Environment Agency to notify to the European Commission a lower amount of emissions in accordance with article 9a(2) of the Directive.
National implementation measures: submission of production data and other relevant data
4
1
Subject to paragraph (2), where the operator of an installation is entitled to free allowances calculated in accordance with the rules referred to in articles 10a and 10c of the Directive, that operator must, by 30th April 2010, submit to the regulator production data and other relevant data.
2
In complying with its obligation under paragraph (1) the operator must submit production data or any category of other relevant data identified in a notification supplied by the regulator as appropriate to the category of installation operated by the operator.
3
Data is production data where it —
a
comprises a record of annual product output levels of an installation which are attributable to an Annex I activity; and
b
relates only to the relevant period or, in relation to production which has been carried out for part only of the relevant period, where it relates to that period.
4
Data is other relevant data where it —
a
comprises a record of the amount of heat produced by an installation which is attributable to an Annex I activity; or
b
comprises a record of the quantity of fuel use which is attributable to an Annex I activity; or
c
comprises a record of emissions which are attributable to an Annex I activity; and
d
relates only to the relevant period or, in relation to activities which have been carried out for part only of the relevant period, which relates to that period.
5
Production data or other relevant data must be submitted in such form as required by the regulator.
6
Production data or other relevant data must be accompanied by the name, telephone number and —
a
the postal address (including postcode) in the United Kingdom for service; or
b
the address for service using electronic communication
of the operator.
7
By 30th June 2010 the operator must submit to the regulator a statement from an independent verifier that production data or other relevant data have been verified in accordance with the applicable verification standards.
8
Where production data or other relevant data are —
a
not submitted on time; or
b
not verified in accordance with paragraph (7),
the regulator may determine the production data or the other relevant data.
9
Where the regulator makes a determination under paragraph (8), the regulator —
a
must notify the operator of that determination; and
b
may recover from the operator the costs of making the determination.
10
The Scottish Environment Protection Agency and the chief inspector must —
a
by 30th May 2010, send all production data and other relevant data provided to them pursuant to this regulation; and
b
by 14th July 2010, send all verified production data and other relevant data provided to them pursuant to this regulation
to the Environment Agency.
11
The Environment Agency must —
a
by 15th June 2010, send all production data and other relevant data provided to it pursuant to this regulation; and
b
by 30th July 2010, send all verified production data and other relevant data provided to it
to the Secretary of State.
12
The Secretary of State must —
a
determine the applicable verification standards; and
b
within 14 days of making the determination publish details of the applicable verification standards.
13
In this regulation —
“the applicable verification standards” means the processes and methodologies to be applied by an independent verifier when verifying production data or other relevant data required to be submitted to the regulator under this regulation; and
“heat” means steam, hot water, thermal oil or hot air.
Information
5
1
The regulator may serve a notice on an operator requiring the operator to provide information.
2
A notice under paragraph (1) —
a
must set out the information required;
b
may state the form in which that information is to be provided;
c
must state the deadline for the provision of that information;
d
may only be served for the purposes of —
i
discharging the regulator’s functions under these Regulations; or
ii
enabling the publication in the United Kingdom or the submission to the European Commission by 30th September 2011 of the United Kingdom’s national implementation measures.
3
The Scottish Environment Protection Agency and the chief inspector must, by 15th January 2011, send to the Environment Agency all information received by them under paragraph (1).
4
The Environment Agency must, by 30th January 2011, provide to the Secretary of State the information received by it —
a
further to a notice made by the Environment Agency under paragraph (1); and
b
under paragraph (3).
Civil penalties
6
1
Subject to paragraph (2) an operator is liable to the following civil penalties —
a
for failure to comply with —
i
regulation 3(1); or
ii
regulation 3(3)(b); or
iii
a notice served under regulation 5(1) requiring information to be given for the purpose of the discharge of the regulator’s functions under regulation 3,
£1,500; or
b
for failure to comply with —
i
regulation 4(1); or
ii
regulation 4(7); or
iii
a notice served under regulation 5(1) requiring information to be given for the purpose of the discharge of the regulator’s functions under regulation 4; or
iv
a notice served under regulation 5(1) for the purpose stated in paragraph (2)(d)(ii) of that regulation,
£10,000.
2
Where an operator fails to comply with —
a
both regulation 3(1) and 3(3)(b) the maximum penalty under paragraph (1)(a) shall be £1,500;
b
both regulation 4(1) and 4(7) the maximum penalty under paragraph (1)(b) shall be £10,000.
3
Where an operator is liable to a civil penalty under paragraph (1) the regulator must notify the operator liable to the civil penalty of the amount due.
4
A civil penalty is due one month after the notification given under paragraph (3).
5
A civil penalty must be paid to the regulator.
6
A civil penalty imposed is recoverable as a civil debt.
7
The regulator must notify the appropriate authority of any civil penalty notified by it under paragraph (3) and must pass any civil penalty paid to it to the appropriate authority.
Appeals
7
1
An operator may appeal to the appropriate authority against —
a
a notice given by the regulator under regulation 5(1); or
b
a notice given by the regulator under regulation 6(3).
2
In determining an appeal under this regulation the appropriate authority may —
a
affirm the decision or notice;
b
quash all or part of the decision or notice;
c
vary the decision or notice;
d
give directions to the regulator in relation to the subject matter of the appeal; or
e
substitute its decision for that of the regulator.
3
The bringing of an appeal has the effect of suspending the operation of the notice pending the final determination or the withdrawal of the appeal.
4
Except where paragraph (5) applies, Schedule 1 has effect in relation to the making and determination of appeals under this regulation.
5
Where an appeal under this regulation is made to the Planning Appeals Commission, Schedule 2 has effect in relation to the making and determination of the appeal.
Agreement of Scottish Ministers, Welsh Ministers and the Department of the Environment in Northern Ireland
8
1
Subject to paragraphs (2), (3) and (4), any power of the Secretary of State under regulation 3(7) and 4(12) is exercisable —
a
in so far as it relates to installations situated in Scotland (other than offshore installations), only with the agreement of Scottish Ministers;
b
in so far as it relates to installations situated in Wales (other than offshore installations), only with the agreement of the Welsh Ministers; and
c
in so far as it relates to installations situated in Northern Ireland (other than offshore installations), only with the agreement of the Northern Ireland Department of the Environment.
2
The Secretary of State may exercise a power referred to in paragraph (1) in relation to installations situated in Scotland where —
a
no agreement has been reached with the Scottish Ministers;
b
the Secretary of State considers that it is necessary to do so to ensure that the United Kingdom complies with its obligations under the Directive; and
c
a notice is served on the Scottish Ministers stating that the Secretary of State has decided to exercise a power referred to in paragraph (1) in relation to Scotland.
3
The Secretary of State may exercise a power referred to in paragraph (1) in relation to installations situated in Wales where —
a
no agreement has been reached with the Welsh Ministers;
b
the Secretary of State considers that it is necessary to do so to ensure that the United Kingdom complies with its obligations under the Directive; and
c
a notice is served on the Welsh Ministers stating that the Secretary of State has decided to exercise a power referred to in paragraph (1) in relation to Wales.
4
The Secretary of State may exercise a power referred to in paragraph (1) in relation to installations situated in Northern Ireland where —
a
no agreement has been reached with the Department of the Environment in Northern Ireland;
b
the Secretary of State considers that it is necessary to do so to ensure that the United Kingdom complies with its obligations under the Directive; and
c
a notice is served on the Department of the Environment in Northern Ireland stating that the Secretary of State has decided to exercise a power referred to in paragraph (1) in relation to Northern Ireland.
Functions of the regulator: Northern Ireland
9
Any functions conferred or imposed by these Regulations on the chief inspector may be delegated by the chief inspector to any inspector appointed under regulation 8(1) of the Northern Ireland Regulations.
Notices
10
1
Any notice or other document served or given under these Regulations by an appropriate authority or regulator must be in writing or by electronic communication.
2
Subject to paragraph (3), any notice or other document (including but not limited to documents arising from or connected to proceedings in the courts of England and Wales, Scotland and Northern Ireland) may be served on or given to a person by —
a
where applicable, leaving it at a postal address for service provided pursuant to regulation 3(3)(a)(i) or regulation 4(6)(a);
b
sending it by post to the person at an address falling under sub-paragraph (a);
c
where an address for service using electronic communications has been provided by a person pursuant to regulation 3(3)(a)(ii) or regulation 4(6)(b), sending it using electronic communications to that person at the address provided.
3
Where any such notice or other document falling under paragraph (2) is to be served on a person that has not provided a postal address for service or an address for service using electronic communications, any such notice or other document may be served on or given to a person by —
a
leaving it at the person’s proper address; or
b
sending it by post to the person at that address.
4
Any such notice or other document may —
a
in the case of a body corporate (other than a limited liability partnership), be served on the secretary or clerk of that body;
b
in the case of a limited liability partnership, be served on a member; or
c
in the case of a partnership (other than a limited liability partnership), be served on or given to a partner or person having control or management of the partnership business.
5
For the purpose of this regulation and of section 7 of the Interpretation Act 1978 (service of documents by post) in its application to this regulation, the proper address of any person on or to whom any such notice or other document is to be served or given must be the person’s last known address, except that —
a
in the case of a body corporate (other than a limited liability partnership) or its secretary or clerk, it must be the address of the registered or principal office of that body;
b
in the case of a limited liability partnership or a member of a limited liability partnership, it must be the registered or principal office of that partnership;
c
in the case of a partnership (other than a limited liability partnership) or person having the control or management of the partnership business, it must be the principal office of the partnership,
and, where applicable, for the purposes of this paragraph the principal office of a company registered outside the United Kingdom or of a partnership carrying on a business outside the United Kingdom must be its principal office within the United Kingdom.
6
If the person to be served with or given any such notice or document has specified an address (including an address for service using electronic communications) other than the person’s proper address as the one at which the person or someone on the person’s behalf will accept notices or documents of the same description as that notice or document, that address must also be treated for the purpose of this regulation and section 7 of the Interpretation Act 1978 as the person’s proper address.
7
Where a notice or document is served or given using electronic communications, the service is deemed to be effected by properly addressing and transmitting the electronic communication.
Joan Ruddock
Minister of State,
Department of Energy and Climate Change
Date 30th November 2009


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2009 and come into force on 17th December 2009.
2
In these Regulations —
“the 2001 Regulations ” means the Financial Services and Markets Act 2000 (Law Applicable to Contracts of Insurance) Regulations 2001 ;
“the Rome I Regulation ” means Regulation (EC) No. 593/2008 of the European Parliament and of the Council of 17th June 2008 on the law applicable to contractual obligations (Rome I) .
3
Expressions used in regulations 4 and 5 and in the Rome I Regulation have the same meaning as in the Rome I Regulation unless the context requires otherwise.
Limited application of the 2001 Regulations
2
1
After regulation 3(1) of the 2001 Regulations insert —
1A
These Regulations do not apply to contracts of insurance entered into on or after 17th December 2009.
.
2
In regulation 3(2) of the 2001 Regulations, after the words “friendly societies” insert “before 17th December 2009”.
Application of the Rome I Regulation: conflicts falling within Article 22(2)
3
Notwithstanding Article 22(2) of the Rome I Regulation, Article 7 of that Regulation applies in the case of conflicts between —
a
the laws of different parts of the United Kingdom, or
b
the laws of one or more parts of the United Kingdom and Gibraltar,
in relation to contracts of insurance described in Article 7 of the Rome I Regulation as it applies in the case of conflicts between the laws of different countries.
Contracts of insurance of risks other than large risks: greater freedom of choice of law
4
Where, in the case of a contract of insurance to which Article 7(3) of the Rome I Regulation applies, the law referred to in sub-paragraph (a) or (b) of that Article, or one of the laws referred to in sub-paragraph (e) of that Article, is a law of any part of the United Kingdom, the parties to that contract may also choose as the law applicable to the contract —
a
the law of another country; or
b
the law of another part of the United Kingdom,
if that choice complies with Article 3, Article 6 and Articles 9 to 22 of that Regulation.
Community co-insurers
5
Where the parties to the contract may choose the applicable law under the Rome I Regulation or under regulation 4, and where the risk to which the contract relates is covered by Community co-insurance (within the meaning of Council Directive 78/473/ EEC on the coordination of laws, regulations and administrative provisions relating to Community insurance ), co-insurers other than the leading insurer (within the meaning of that Directive) are not to be treated as parties to the contract.
Dave Watts
Bob Blizzard
Two of the Lords Commissioners of Her Majesty’s Treasury
23rd November 2009


text:
Citation and commencement
1
These Regulations may be cited as the Social Security (Additional Class 3 National Insurance Contributions) Amendment Regulations 2009 and shall come into force on 6th April 2009.
Amendment of the Social Security and Child Support (Decisions and Appeals) Regulations 1999
2
1
Regulation 3 (revision of decisions) of the Social Security and Child Support (Decisions and Appeals) Regulations 1999 is amended in accordance with this regulation.
2
After paragraph (8C) insert —
8D
A decision made under section 8 or 10 may be revised at any time where, by virtue of regulation 6C (treatment of Class 3 contributions paid under section 13A of the Act) of the Social Security (Crediting and Treatment of Contributions, and National Insurance Numbers) Regulations 2001, a contribution is treated as paid on a date which falls on or before the date on which the decision was made.
.
Amendment of the Social Security (Crediting and Treatment of Contributions, and National Insurance Numbers) Regulations 2001
3
1
The Social Security (Crediting and Treatment of Contributions, and National Insurance Numbers) Regulations 2001 are amended in accordance with this regulation.
2
In regulation 4(1), for “to 6B” substitute “to 6C”.
3
After regulation 6B insert —
Treatment of Class 3 contributions paid under section 13A of the Act
6C
1
This regulation applies to a Class 3 contribution paid by an eligible person under section 13A (right to pay additional Class 3 contributions in certain cases) of the Act.
2
A contribution paid after 5th April 2009 but before 6th April 2011 shall be treated as paid on —
a
the day on which it is paid; or
b
the date on which the person attained pensionable age,
whichever is the earlier.
3
A contribution paid after 5th April 2011 shall be treated as paid on the day on which it is paid.
.
Signed by authority of the Secretary for Work and Pensions
Rosie Winterton.
Minister of State
Department for Work and Pensions
10th March 2009
We concur in respect of regulation 3
Mike Eland.
Dave Hartnett.
Two of the Commissioners for Her Majesty’s Revenue and Customs
11th March 2009