text:
PART I
GENERAL
Citation, commencement and application
1
1
These Regulations may be cited as the Education (School Performance Information) (England) Regulations 1999 and shall come into force on 7th May 1999.
2
These Regulations apply in relation to schools in England.
Interpretation
2
1
In these Regulations, except where the context otherwise requires–
“the 1996 Act ” means the Education Act 1996;
“assessment” in relation to a maintained school means assessment pursuant to orders made under section 356 of the 1996 Act and “level” shall be construed in accordance with the provisions of such orders and in relation to a CTC means assessment pursuant to an agreement with the Secretary of State made under section 482 of the 1996 Act;
“assessment term” means the term in which assessment is completed;
“attainment targets” has the meaning given by section 353 of the 1996 Act;
“authority”, in relation to a school maintained by a local education authority , means that authority and, in relation to a non-maintained special school or an independent school, means the local education authority in whose area the school is situated;
“external marking agency” means a body nominated by the Qualifications and Curriculum Authority and approved by the Secretary of State to mark NC tests;
“CTC” means city technology college and city college for the technology of the arts;
“core subject” means any of the following subjects, English, mathematics or science;
“ GCE ’A’ level examinations” and “ GCE ’AS’ examinations” means General Certificate of Education advanced level examinations and General Certificate of Education advanced supplementary examinations respectively;
“ GCSE ” means General Certificate of Secondary Education;
“ GNVQ ” means a General National Vocational Qualification;
“maintained school” means–
in relation to the period before 1st September 1999,
any county, voluntary or grant-maintained school; or
any maintained special or grant-maintained special school which is not established in a hospital;
in relation to the period on and after that date,
any community, foundation or voluntary school, or
any community or foundation special school which is not established in a hospital
but excludes any nursery school;
“middle deemed secondary school” means a middle school deemed to be a secondary school by virtue of the Education (Middle Schools) Regulations 1980 ;
“NC tests” means National Curriculum tests administered to pupils for the purpose of assessing the level of attainment which they have achieved in any core subject being tests laid down in provisions made by the Secretary of State under the appropriate order made under section 356 of the 1996 Act in force when those tests were administered ;
“non-maintained special school” means a special school which is not maintained by an authority;
“public examination” means a public examination which is for the time being prescribed by regulations made under section 453 of the 1996 Act ;
“reporting school year” means the school year immediately preceding the school year in which information provided to the Secretary of State under these Regulations is to be published by him or, as the case may be, local education authorities;
“school day” has the meaning given by section 579(1) of the 1996 Act;
“school year” has the meaning given by section 579(1) of the 1996 Act;
“special educational needs” has the meaning given by section 312(1) of the 1996 Act;
“special school” has the meaning given by section 337 of the 1996 Act;
“unauthorised absence” means an occasion on which a pupil is recorded as absent without authority pursuant to the Education (Pupil Registration Regulations) 1995 and “authorised absence” shall be construed accordingly; and
“unit”, in relation to a vocational qualification, means a module or part of a course leading to that qualification which, when successfully completed, can be counted together with other modules or parts towards obtaining that qualification.
2
In these Regulations, except where the context otherwise requires–
a
references to pupils of a particular age are to pupils who attained that age during the period of twelve months ending on the day immediately preceding the commencement of the reporting school year and who were registered pupils at the school on the third Thursday in January in the reporting school year;
b
references to examinations for which pupils at the school were entered include examinations for which they were entered otherwise than in pursuance of section 402 of the 1996 Act;
c
references to key stages are references to the periods set out in section 355(1) of the 1996 Act; and
d
references to a grant-maintained special school or to any other school maintained by an authority do not include such a school which is established in a hospital.
3
Particulars to which these Regulations apply may be made available in the form of data from which the particulars are capable of being extracted by computer.
4
For the purposes of these Regulations any examination for the GCSE for which a pupil aged 15 was entered during a previous school year shall be treated as such an examination for which the pupil was entered during the reporting school year.
5
Information relating to authorised or unauthorised absences shall not include any information relating to any period after the Friday before the last Monday in May in the reporting school year.
6
In calculating the number of GCE ’A’ level examinations for which a pupil was entered, a GCE ’AS’ examination shall be treated as the equivalent of half a GCE ’A’ level examination.
7
In these Regulations, unless the context otherwise requires, any reference to a numbered regulation or Schedule is a reference to the regulation or Schedule bearing that number in these Regulations and any reference in a regulation or Schedule to a numbered paragraph is to the paragraph in that regulation or Schedule bearing that number.
Qualification of duties
3
The duties imposed on governing bodies, authorities and proprietors by virtue of these Regulations in respect of the making available, provision or publication of information apply only to the extent that that information is available to the governing body, authority or proprietor in time for it to be reasonably practicable to make available, provide or publish the information before the latest occasion on which the information is required to be made available, provided or published, as the case may be.
Revocations and savings
4
1
Subject to paragraph (2), the Education (School Performance Information) (England) Regulations 1998 and the Education (School Performance Information) (England) (Amendment) Regulations 1998 are hereby revoked.
2
The revocation of the Education (School Performance Information) (England) Regulations 1998 shall not relieve any person of any duty under those Regulations to make available, provide or publish information which has not been performed before the date that these Regulations come into force.
PART II
PROVISION OF INFORMATION BY HEAD TEACHER
Provision of information by head teacher to governing body
5
The head teacher of every maintained school shall each year make available to the governing body information about the matters mentioned in Schedules 1 to 7 for the purpose of enabling the governing body to comply with their obligations under these Regulations in respect of those matters.
PART III
PROVISION OF INFORMATION TO THE SECRETARY OF STATE AND LOCAL EDUCATION AUTHORITIES
Provision of first key stage assessment results to the Secretary of State and local education authorities
6
1
The governing body of every maintained school except any grant-maintained or grant-maintained special school which, in the assessment term of the reporting school year, has registered pupils who are at or near the end of the final year of the first key stage, shall each year, by the end of that term, provide to the authority the information relating to assessment referred to in Schedule 1.
2
The governing body of every grant-maintained or grant-maintained special school which, in the assessment term of the reporting school year, has registered pupils who are at or near the end of the final year of the first key stage, shall on or before 15th July 1999, provide to the Secretary of State the information relating to assessment referred to in Schedule 1.
Provision of information about second key stage assessment results to the Secretary of State
7
The governing body of every maintained primary or middle deemed secondary school, except a special school, shall, within two weeks of receiving a written request from the Secretary of State, provide him with the information for the reporting school year referred to in Schedule 2.
Provision of results of school examinations and of courses leading towards vocational qualifications to the Secretary of State
8
The governing body of every maintained school and the proprietor of every non-maintained special school or independent school with pupils aged 15, 16, 17 or 18 shall, within two weeks of receiving a written request from the Secretary of State, provide him with such particulars relating to public examinations and courses leading to vocational qualifications or units for which registered pupils at the school were entered, and such other information as are referred to–
a
in the case of a school providing information in respect of pupils aged 15, in Part I of Schedule 3;
b
in the case of a school providing information in respect of pupils aged 16, 17 or 18, in Part II of Schedule 3.
Provision of information about authorised and unauthorised absence to the local education authority
9
1
Subject to paragraph (3), the governing body of every school maintained by an authority shall make available to that authority information for the reporting school year about the matters referred to in Schedule 4, for the purpose of enabling the authority to comply with its obligations under paragraph (2).
2
Subject to paragraph (3), every authority, in respect of each school which it maintains and the proprietor of every non-maintained special school or independent school shall, within two weeks of receiving a written request from the Secretary of State, provide him with information for the reporting school year about the matters referred to in Schedule 4.
3
This regulation does not apply in respect of a school providing education for boarding pupils only.
Provision of general information about secondary schools to the Secretary of State
10
The governing body of every maintained secondary school, except a middle deemed secondary school, and the proprietor of every non-maintained special school or independent school with pupils aged 15 shall, within two weeks of receiving a written request from the Secretary of State, provide him with the general information about the school for the reporting school year referred to in Schedule 5.
Provision of general information about primary schools to the Secretary of State
11
The governing body of every maintained primary or middle deemed secondary school, except a special school, shall, within two weeks of receiving a written request from the Secretary of State, provide him with the general information about the school for the reporting school year referred to in Schedule 6.
PART IV
PROVISION OF INFORMATION
Provision of information about second and third key stage assessment results to the National Data Collection Agency
12
1
The governing body of every maintained school which, in the assessment term of the reporting school year, has registered pupils who are at or near the end of the final year of the second key stage, shall, each year, on or before 11th July, provide to the National Data Collection Agency the information relating to assessment referred to in Part I of Schedule 7.
2
The governing body of every maintained school and the proprietor of every CTC which, in the assessment term of the reporting school year, has registered pupils who are at or near the end of the final year of the third key stage, or in the case of a CTC has registered pupils aged 14, shall each year, on or before 11th July, provide to the National Data Collection Agency the information relating to assessment referred to in Part II of Schedule 7.
Provision of information about second and third key stage assessments to the external marking agency
13
1
The governing body of every maintained school which, in the assessment term of the reporting school year, has registered pupils who are at or near the end of the final year of the second key stage, shall each year, as soon as reasonably practicable after the last school day on which NC tests are administered to those pupils in each subject, provide the information referred to in Part III of Schedule 7 to the external marking agency determined by the Qualifications and Curriculum Authority and notified by them to the head teacher of the school pursuant to article 5(3) of the Education (National Curriculum) (Assessment Arrangements for the Core Subjects) (Key Stage 2) (England) Order 1995 .
2
The governing body of every maintained school which, in the assessment term of the reporting school year, has registered pupils who are at or near the end of the final year of the third key stage, shall each year, as soon as reasonably practicable after the last school day on which NC tests are administered to those pupils in each subject, provide the information referred to in Part IV of Schedule 7 to the external marking agency determined by the Qualifications and Curriculum Authority and notified by them to the head teacher of the school pursuant to article 10(3) of the Education (National Curriculum) (Key Stage 3 Assessment Arrangements) (England) Order 1996 .
PART V
PUBLICATION OF INFORMATION
Publication of performance information about primary schools by local education authorities
14
1
Each authority shall publish the information about schools in its area referred to in paragraphs (2) and (3), together with the supplementary information referred to in paragraph (4), in the form and manner referred to, respectively, in paragraphs (5) and (6).
2
The information to be published is information for the reporting school year provided to the Secretary of State under these Regulations consisting of, in respect of each maintained primary or middle deemed secondary school (existing after 1st January 1999), except a special school, in the area of the authority which has registered pupils at or near the end of the final year of the second key stage, the following–
a
the number of registered pupils at or near the end of the final year of the second key stage; and
b
in the case of each such school which has eleven or more registered pupils at or near the end of the final year of the second key stage–
i
the percentage of such pupils who, in respect of each core subject, achieved level 4 or above of the National Curriculum level scale as determined by NC tests and by teacher assessment;
ii
the percentage of such pupils who, in respect of each core subject, failed to achieve a level on the National Curriculum level scale because they were exempted from an NC test under section 364 or 365 of the 1996 Act or were absent on the day that the test was administered; and
iii
the percentage of such pupils who, in respect of each core subject, failed to achieve a level on the National Curriculum level scale because they were exempted from teacher assessment under section 364 or 365 of the 1996 Act or there is no teacher assessment result available because of their absence.
3
The information to be published is the information for the reporting school year referred to in Schedule 6 and provided to the Secretary of State under these Regulations by the governing body of every maintained primary or middle deemed secondary school, except a special school.
4
The supplementary information to be published consists of the following–
a
information calculated by the Secretary of State giving the average percentage of pupils at or near the end of the final year of the second key stage in the reporting school year at, respectively–
i
all maintained schools providing primary education in the area of the authority; and
ii
all maintained schools providing primary education in England
who, in respect of each core subject, achieved level 4 or above of the National Curriculum level scale as determined by the results of NC tests and by teacher assessment;
b
whether, in respect of each maintained primary or middle deemed secondary school, except a special school, in the area of the authority–
i
the school is the holder of a Charter Mark awarded by the Citizen’s Charter Unit ;
ii
no information, or only some information, under paragraph (2) is published pursuant to paragraph (1) for the school because the governing body of the school failed to provide the information concerned to the Secretary of State;
iii
no information under paragraph (2) is published pursuant to paragraph (1) for the school because the governing body of the school were unable to provide the information to the Secretary of State for reasons beyond their control;
iv
no information under paragraph (2) is published pursuant to paragraph (1) for the school because the school had 10 or fewer registered pupils at or near the end of the final year of the second key stage in the reporting school year;
v
the governing body of the school failed to confirm to the Secretary of State that they have checked the information referred to in paragraph (2); or
vi
the governing body of the school failed to confirm to the Secretary of State that they have checked the information referred to in Schedule 6.
5
The information referred to in paragraphs (2) to (4) shall be published in the form specified in Schedule 8, or a form to like effect, provided that the information referred to in paragraph (4)(a) shall be included on every printed page so published.
6
a
The information referred to in paragraphs (2) to (4) shall be published in the following manner.
b
The information shall be published without charge before 24th February in each year by–
i
providing three copies of a document and a computer disk containing the information to the Secretary of State;
ii
providing copies of the document containing the information to the governing body of every maintained school and the proprietor of every CTC in the area of the authority;
iii
providing a copy of the document containing the information to any person providing nursery education, other than at a school, in the area of the authority; and
iv
making available copies of the document containing the information at each public library in the area of the authority.
Charles Clarke
Parliamentary Under Secretary of State,
Department for Education and Employment
15th April 1999


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
This Order may be cited as the Northern Ireland Assembly Commission (Crown Status) Order 1999 and shall come into force on the appointed day .
Planning
2
1
The Commission shall be treated as a Crown body for the purposes of the Planning (Northern Ireland) Order 1991 (“the Planning Order”) and accordingly —
a
the estate of the Commission in any land shall be treated as a Crown estate;
b
any development or works carried out by or on behalf of the Commission shall be treated as development or works carried out by or on behalf of the Crown; and
c
the use of land by the Commission shall be treated as use by or on behalf of the Crown.
2
In relation to land which is Crown land by virtue only of paragraph (1)(a), “the appropriate authority” for the purposes of Part XII of the Planning Order shall be the Commission.
3
If the Commission is entitled to occupy Crown land by virtue of a licence in writing, that licence shall be treated as a Crown estate rather than a private estate.
4
To the extent that the Commission has responsibility for the management of any land in which it has no estate, the Commission shall be treated as a government department for the purposes of sub-paragraph (b) of the definition of “the appropriate authority” in Article 118(1) of the Planning Order.
5
This Article shall be construed as if it were contained in Part XII of the Planning Order.
Historic monuments
3
1
The Commission shall be treated as a Crown body for the purposes of the Historic Monuments and Archaeological Objects (Northern Ireland) Order 1995 (“the 1995 Order ”) and accordingly —
a
the estate of the Commission in any land shall be treated as a Crown estate;
b
any works carried out by or on behalf of the Commission shall be treated as works carried out by or on behalf of the Crown; and
c
the use of land by the Commission shall be treated as use by or on behalf of the Crown.
2
In relation to land which is Crown land by virtue only of paragraph (1)(a), “the appropriate authority” for the purposes of Article 37 of the 1995 Order shall be the Commission.
3
To the extent that the Commission has responsibility for the management of any land in which it has no estate, the Commission shall be treated as a government department for the purposes of sub-paragraph (b) of the definition of “the appropriate authority” in Article 37(3) of the 1995 Order.
4
This Article shall be construed as if it were contained in the 1995 Order.
Building regulations
4
1
The Commission shall be treated as a Crown body for the purposes of the Building Regulations (Northern Ireland) Order 1979 (“the Building Regulations Order”) and accordingly —
a
the interest of the Commission in any land shall be treated as a Crown interest;
b
any works carried out by or on behalf of the Commission shall be treated as works carried out by or on behalf of a Crown authority; and
c
any building an interest in which belongs to the Commission shall be treated as a Crown building.
2
This Article shall be construed as if it were contained in the Building Regulations Order.
Fire precautions
5
1
The Commission shall be treated as a Crown body for the purposes of Part III of the Fire Services (Northern Ireland) Order 1984 (“the Fire Services Order”) and accordingly for the purposes of Article 49 of that Order —
a
the occupation of any premises by the Commission shall be treated as occupation by the Crown; and
b
any premises owned by the Commission shall be treated as premises owned by the Crown.
2
This Article shall be construed as if it were contained in the Fire Services Order.
Health and Safety at Work
6
1
The Commission shall be treated as a Crown body for the purposes of Part II of the Health and Safety at Work (Northern Ireland) Order 1978 (“the Health and Safety at Work Order”) and accordingly for the purposes of Article 44 of that Order —
a
any reference to the Crown shall be treated as including a reference to the Commission; and
b
any reference to persons in the public service of the Crown shall be treated as including a reference to persons employed by the Commission.
2
This Article shall be construed as if it were contained in the Health and Safety at Work Order.
Licensing
7
The Commission shall be treated as a Crown body for the purposes of the Licensing (Northern Ireland) Order 1996 .
Value Added Tax
8
The Commission shall be treated as a Crown body for the purposes of the Value Added Tax Act 1994 and accordingly for the purposes of section 41 of that Act (application to the Crown) it shall be treated as a government department.
Data protection
9
1
The Commission shall be treated as a Crown body for the purposes of the Data Protection Act 1984 and accordingly —
a
for the purposes of section 29(2)(a) of that Act (exemptions for certain information held by government departments) information held by the Commission shall be treated as information held by a government department;
b
for the purposes of section 31(1) of that Act (exemptions for certain personal data held by government departments) personal data held by the Commission shall be treated as personal data held by a government department;
c
for the purposes of section 38 of that Act (application to government departments etc. ) the Commission shall be treated as a government department; and
d
employment under the Commission shall be treated for the purposes of that section as employment in the service of the Crown.
2
In paragraph (1) of this article, “personal data” has the same meaning as in the Data Protection Act 1984.
3
On the coming into force of each of the provisions of the Data Protection Act 1998 , the Commission shall be treated as a Crown body for the purposes of those provisions and accordingly —
a
for the purposes of section 30(3) of that Act (power to exempt certain information) information processed by the Commission shall be treated as information processsed by a government department;
b
for the purposes of section 31 of that Act (exemptions for certain regulatory activities), of paragraph 5 of Schedule 2 to that Act (conditions relating to processing of personal data), and of paragraph 7 of Schedule 3 to that Act (conditions relating to processing of sensitive personal data) the functions of the Commission shall be treated as functions of the Crown;
c
for the purposes of section 63 of that Act (application to the Crown) the Commission shall be treated as a government department and employment under the Commission shall be treated as employment in the service of the Crown; and
d
for the purposes of paragraph 4 of Schedule 7 to that Act (power to exempt certain personal data) employment by or under the Commission shall be treated as employment by or under the Crown.
4
In paragraph (3) of this article, “information processed” and “functions” shall have the same meanings as they have for the purposes of the Data Protection Act 1998.
A. K. Galloway
Clerk of the Privy Council


text:
Citation and commencement
1
This Order may be cited as the Insurance Brokers (Registration) Act 1977 (Amendment) Order 1999 and shall come into force on 8th November 1999.
Constitution of Council
2
Substitute for paragraph 1 of the Schedule to the Insurance Brokers (Registration) Act 1977 the following paragraph: —
1
The Council shall consist of —
a
six persons chosen to represent registered insurance brokers of whom one shall be Chairman of the Council;
b
four persons nominated by the Treasury of whom one shall be a barrister, advocate or solicitor; and as regards two of the others, the Treasury, in making the nominations shall give due consideration that it would be desirable that one member of the Council should be a member of a recognised body of accountants and one a person appearing to the Treasury to represent the interests of persons who are or may become policyholders of insurance companies.
3
Substitute for paragraph 3 of the Schedule to the Insurance Brokers (Registration) Act 1977 the following paragraph: —
3
The Treasury, where the Council has not caused there to be an election or elections to fill a vacancy or vacancies, may nominate as members to the Council to represent registered insurance brokers, after consultation with the Council, persons to fill the vacancies.
Bob Ainsworth
Clive Betts
Two of the Lords Commissioners of Her Majesty’s Treasury
3rd November 1999


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Road Traffic (NHS Charges) (Reviews and Appeals) Regulations 1999 and shall come into force on 5th April 1999.
2
In these Regulations —
“ the Act ” means the Road Traffic (NHS Charges) Act 1999;
“appeal” means, except in regulation 12, an appeal against a certificate under section 7 of the Act;
“certificate” means a certificate of NHS charges, issued under section 2 of the Act;
“Compensation Recovery Unit” means the Compensation Recovery Unit of the Department of Social Security ;
“compensator” means a person making a compensation payment within the meaning of section 1(3) of the Act;
“tribunal” means an appeal tribunal specified in section 8(6) of the Act and references to “President”, “chairman”, “member” or “clerk” are to the President, chairman, member or clerk of that tribunal .
3
A reference in these Regulations to the parties to the proceedings is a reference to the Secretary of State and any person entitled under section 7(1) of the Act to make an appeal.
4
Where, by any provisions of these Regulations —
a
any notice or other document is required to be given or sent to the Compensation Recovery Unit, or the clerk to or a chairman of a tribunal, that notice or document shall be treated as having been so given or sent on the day that it is received in the office of the Compensation Recovery Unit or of the clerk to the tribunal, as appropriate; and
b
any notice or other document is required to be given or sent to any other person, that notice or document shall, if sent by post to that person’s last known or notified address, be treated as having been given or sent on the day that it was posted.
5
Where by these Regulations any power is conferred on a chairman of a tribunal then —
a
if the power is to be exercised at the hearing of an appeal or application, it shall be exercised by the chairman of the tribunal hearing the appeal or application; and
b
otherwise, it shall be exercised by a person who is eligible to be nominated to act as a chairman.
Review of certificates
2
A certificate may be reviewed under section 6 of the Act where the Secretary of State is satisfied that —
a
a mistake (whether in computation of the amount specified or otherwise) occurred in the preparation of the certificate;
b
the amount specified in the certificate is in excess of the amount due to the Secretary of State;
c
incorrect or insufficient information was supplied to the Secretary of State by the person who applied for the certificate and in consequence the amount specified in the certificate was less than it would have been had the information supplied been correct or sufficient; or
d
it appears to the Secretary of State that, under section 7 of the Act, a ground for appeal is satisfied.
Manner of making appeals and time limits
3
1
Any appeal against a certificate shall, subject to paragraph (10), be in writing on a form approved by the Secretary of State and shall be sent or delivered to the Compensation Recovery Unit —
a
not later than 3 months after the data the compensator discharged the liability under section 1 of the Act;
b
where the certificate is reviewed by the Secretary of State in accordance with regulation 3(17), not later than 3 months after the date the certificate is confirmed, or, as the case may be, a fresh certificate is issued; or
c
where an agreement is made under which an earlier compensation payment is treated as having been made in final discharge of a claim made by or in respect of a traffic casualty and arising out of the injury or death, not later than 3 months after the date of that agreement.
2
The time specified by this regulation for the making of any appeal may be extended, even though the time so specified may already have expired, provided the conditions set out in paragraphs (3) to (7) are satisfied; and any application for an extension of time under this paragraph shall be made to the Compensation Recovery Unit and shall be determined by a chairman of a tribunal.
3
Where the time specified for the making of an appeal has already expired, an application for an extension of time for making an appeal shall not be granted unless the applicant has satisfied the chairman considering the application that —
a
if the application is granted there are reasonable prospects that such an appeal will be successful; and
b
it is in the interests of justice that the application be granted.
4
For the purposes of paragraph (3) it shall not be considered to be in the interests of justice to grant an application unless the chairman considering the application is satisfied that —
a
special reasons exist, which are wholly exceptional and which relate to the history or facts of the case; and
b
such special reasons have existed throughout the period beginning with the day following the expiry of the time specified by paragraph (1) for the making of an appeal and ending with the day on which the application for an extension of time is made; and
c
such special reasons manifestly constitute a reasonable excuse of compelling weight for the applicant’s failure to make an appeal within the time specified.
5
In determining whether there are special reasons for granting an application for an extension of time for making an appeal under paragraph (2) the chairman considering the application shall have regard to the principle that the greater the amount of time that has elapsed between the expiry of the time specified for the making of the appeal and the making of the application for an extension of time, the more cogent should be the special reasons on which the application is based.
6
In determining whether facts constitute special reasons for granting an application for an extension of time for making an appeal under paragraph (2) no account shall be taken of the following —
a
that the applicant or anyone acting for him or advising him was unaware of or misunderstood the law applicable to his case (including ignorance or misunderstanding of any time limits imposed by paragraph (1));
b
that a court has taken a different view of the law from that previously understood and applied.
7
Notwithstanding paragraph (2), no appeal may in any event be brought later than 6 years after the beginning of the period specified in paragraph (1) or if more than one such period is relevant, the one beginning later or latest.
8
An application under paragraph (2) for an extension of time which has been refused may not be renewed.
9
Any appeal or any application under this regulation shall contain the following particulars —
a
in the case of an appeal, the date of the certificate or review decision of the Secretary of State against which the appeal is made, the question under section 7 of the Act to which the appeal relates and a summary of the arguments relied on by the person making the appeal to support his contention that the certificate is wrong;
b
in the case of an application under paragraph (2) for an extension of time in which to appeal, the particulars required under sub-paragraph (a) in relation to the appeal which it is proposed to bring, together with particulars of the special reasons on which the application is based.
10
Where an appeal is not made on the form approved for the time being, but is made in writing and contains all the particulars required under paragraph (9) the Secretary of State may treat that appeal as duly made.
11
Where it appears to the Secretary of State that an appeal or application does not contain the particulars required under paragraph (9) he may direct the person making the appeal or application to provide such particulars or such document.
12
Where paragraph (11) applies, the Secretary of State may extend the time specified by this regulation for making the application by a period of not more than 14 days.
13
Where further particulars of a document are required under paragraph (11) they shall be sent or delivered to the Compensation Recovery Unit within such period as the Secretary of State may direct.
14
The date of an appeal shall be the date on which all the particulars required under paragraph (9) are received by the Compensation Recovery Unit.
15
In the case of an application under paragraph (2) for an extension of time for making an appeal, the chairman who determines that application shall record his decision in writing together with a statement of the reasons for the decision.
16
As soon as practicable after the decision has been made, it shall be communicated to the applicant and to the Secretary of State and if within 3 months of such communication being sent the applicant or the Secretary of State so requests in writing, a copy of the record referred to in paragraph (15) shall be supplied to the person making that request.
17
The Secretary of State may treat any appeal as an application for review under section 6 of the Act.
General provisions relating to the procedure of tribunals
4
1
Subject to the provisions of the Act and of these Regulations —
a
the procedure in connection with the consideration and determination of any appeal under section 7 of the Act shall be such as the chairman of the tribunal shall determine;
b
the chairman of a tribunal may give directions requiring any party to the proceedings to comply with any provision of these Regulations and may further at any stage of the proceedings either of his own motion or on a written application made to the clerk to the tribunal by any such party give such directions as he may consider necessary or desirable for the just, effective and efficient conduct of the proceedings and may direct any party to provide such further particulars or to produce such documents as may reasonably be required;
c
where under these Regulations the clerk to the tribunal is authorised to take steps in relation to the procedure of the tribunal, he may give directions requiring any party to the proceedings to comply with any provision of these Regulations;
d
any person who by virtue of the provisions of these Regulations has the right to be heard at a hearing may be accompanied and may be represented by another person whether having professional qualifications or not and, for the purposes of the proceedings at any such hearing, any such representative shall have all the rights and powers to which the person whom he represents is entitled under the Act and these Regulations.
2
For the purpose of arriving at its decision a tribunal shall, and for the purpose of discussing any question of procedure may, notwithstanding anything contained in these Regulations, order all persons not being members of the tribunal, other than the person acting as clerk to the tribunal, to withdraw from the sitting of the tribunal, except that —
a
a member of the Council on Tribunals or of the Scottish Committee of the Council and the President and any full-time chairman; and
b
with the leave of the chairman of the tribunal,
i
any person undergoing training as a chairman or other member of a medical appeal tribunal or as a clerk to such a tribunal, and
ii
any other person to whose presence every party to the proceedings actually present consents,
may remain present at any such sitting.
3
Nothing in these Regulations shall prevent a member of the Council on Tribunals or of the Scottish Committee of the Council from being present at a hearing before a tribunal, in his capacity as such, notwithstanding that the hearing is not in public.
4
Where a reference is made to a tribunal by the Secretary of State, the clerk to the tribunal shall give notice of it to the other parties to the proceedings.
Requirement for oral hearings
5
1
Where a reference is made to a tribunal, the clerk to the tribunal shall direct every party to the proceedings to notify him if that party wishes an oral hearing of that reference to be held.
2
A notification under paragraph (1) that a party wishes an oral hearing shall be in writing and shall be made within 10 days of receipt of the direction from the clerk to the tribunal or within such other period as the clerk to the tribunal or the chairman of the tribunal may direct.
3
Where the clerk to the tribunal receives a notification in accordance with paragraph (2) the tribunal shall hold an oral hearing.
4
The chairman of a tribunal may of his own motion require an oral hearing to be held if he is satisfied that such a hearing is necessary to enable the tribunal to reach a decision.
Procedure at oral hearings
6
1
Except where paragraph (4) applies, not less than 7 days notice, beginning with the day on which the notice is given and ending on the day before the hearing, of the time and place of any oral hearing before a tribunal shall be given to every party to the proceedings, and if such notice has not been given to a person to whom it should have been given under the provisions of this paragraph the hearing may proceed only with the consent of that person.
2
The chairman of a tribunal may give notice before or during an oral hearing for the determination at that hearing by the tribunal, in accordance with the provisions of these Regulations, of any appeal referred under section 8 of the Act notwithstanding that a party to the proceedings has failed to indicate his availability for a hearing or to provide all the information which may have been requested, if the chairman is satisfied that such party —
a
has failed to comply with a direction regarding his availability or requiring information under regulation 4(1)(b) or (c); and
b
has not given any explanation for his failure to comply with such a direction,
provided that the chairman is satisfied that the tribunal has sufficient particulars in order for the question to be determined.
3
The chairman of a tribunal may give notice before or during an oral hearing for the determination at that hearing by the tribunal, in accordance with the provisions of these Regulations, of any question where he believes the appeal on that ground has no reasonable prospect of success.
4
Any party to the proceedings may waive his right to receive not less than 7 days notice of the time and place of any oral hearing as specified in paragraph (1).
5
If a party to the proceedings to whom notice has been given under paragraph (1) fails to appear at the hearing the tribunal may, having regard to all the circumstances including any explanation offered for the absence and, where applicable, the circumstances set out in paragraph (2)(a) and (b), proceed with the hearing notwithstanding his absence, or gives such directions with a view to the determination of any question referred to it as it may think proper.
6
If a party to the proceedings has waived his right to be given notice under paragraph (4), the tribunal may proceed with the hearing notwithstanding his absence.
7
Any oral hearing before a tribunal shall be in public except where the person making the appeal requests a private hearing or the chairman is satisfied that intimate personal or financial circumstances may have to be disclosed or that considerations of public security are involved, in which case the hearing shall be in private.
8
At any oral hearing any party to the proceedings shall be entitled to be present and be heard.
9
The following persons shall also be entitled to be present at an oral hearing (whether or not it is otherwise in private) but shall take no part in the proceedings —
a
the President and any full-time chairman;
b
any person undergoing training as a chairman or other member of a tribunal or as a clerk to such a tribunal;
c
any person acting on behalf of the President or the Secretary of State in the training or supervision of clerks to tribunals or of officers of the Secretary of State;
d
any person undergoing training as an officer of the Secretary of State; and
e
with the leave of the chairman of the tribunal and the consent of every party to the proceedings actually present, any other person.
10
Nothing in paragraph (9) affects the rights of any person mentioned in sub-paragraph (a) and (b) of that paragraph at any oral hearing where he is sitting as a member of the tribunal or acting as its clerk, and nothing in this regulation prevents the presence at an oral hearing of any witness.
11
Any person entitled to be heard at an oral hearing may address the tribunal, may give evidence, may call witnesses and may put questions directly to any other person called as a witness.
Postponement and adjournment
7
1
Where a person to whom notice of an oral hearing by a tribunal has been given wishes to apply for that hearing to be postponed, he shall do so in writing to the clerk to the tribunal stating his reasons for the application, and the clerk may grant or refuse the request as he thinks fit or may pass the request to the chairman, who may grant or refuse the request as he thinks fit.
2
The chairman or the clerk to the tribunal may of his own motion at any time before the beginning of an oral hearing postpone that hearing.
3
An oral hearing may be adjourned by the tribunal at any time on the application of any party to the proceedings or of its own motion.
4
Where an oral hearing is adjourned and at the hearing after the adjournment the tribunal is differently constituted, the proceedings at that hearing shall be by way of a complete rehearing of the case.
Withdrawal of appeals
8
Any appeal may be withdrawn by the person who made the appeal —
a
before the appeal has been referred to a tribunal under section 8 of the Act, by written notice to the Compensation Recovery Unit and with the consent of the Secretary of State;
b
after the reference has been made and before the hearing begins by written notice to the chairman of the tribunal to which an appeal was referred and with the written consent of the Secretary of State;
c
after the hearing has begun, at any time before the determination is made with the leave of the chairman of the tribunal and the consent of the Secretary of State.
Non-disclosure of medical evidence
9
1
Where, in connection with the consideration of any appeal, there is before a tribunal medical advice or medical evidence relating to a person which has not been disclosed to him, and in the opinion of the chairman of the tribunal the disclosure of that advice or evidence, if it came to that person’s attention, would be harmful to his health, such advice or evidence shall not be required to be disclosed.
2
Evidence such as is mentioned in paragraph (1) shall not be disclosed to any person acting for or representing the person to whom it relates unless the chairman is satisfied that it is in the interests of the person to whom the evidence relates to do so.
3
A tribunal shall not be precluded from taking into account for the purposes of the determination evidence which has not been disclosed to a person under the provisions of paragraph (1) or (2).
Decisions of tribunals
10
1
The decision of the majority of the tribunal shall be the decision of the tribunal.
2
Every decision of a tribunal shall be recorded in summary by the chairman in such written form of decision notice as shall have been approved by the President, and such decision shall be signed by the chairman.
3
As soon as may be practicable after a case has been decided by a tribunal, a copy of the decision notice made in accordance with paragraph (2) shall be sent or given to every party to the proceedings who shall also be informed of —
a
his right under paragraph (6); and
b
the conditions governing appeals to the court under section 9 of the Act.
4
A statement of the reasons for the tribunal’s decision and of its findings on questions of fact material thereto may be given —
a
orally at the hearing; or
b
in writing at such later date as the chairman may determine.
5
Where the statement referred to in paragraph (4) is given orally, it shall be recorded in such medium as the chairman may determine.
6
A copy of the statement referred to in paragraph (4) shall be supplied to the parties to the proceedings if requested by any of them within 21 days after the decision notice has been sent or given, and if the statement was given orally at the hearing, that copy shall be supplied in such medium as the chairman may direct.
7
If a decision is not unanimous, the statement referred to in paragraph (4) shall record that one of the members dissented and the reasons given by him for dissenting.
8
A record of the proceedings at the hearing shall be made by the chairman in such medium as he may direct and preserved by the clerk to the tribunal for 18 months, and a copy of such record shall be supplied to the parties if requested by any of them within that period.
Correction of accidental errors in decisions
11
1
Accidental errors in any decision or record of a decision may at any time be corrected by the tribunal which gave the decision or by another tribunal.
2
A correction made to, or to the record of, a decision shall be deemed to be part of the decision or of that record and written notice of it shall be given as soon as practicable to every party to the proceedings.
3
Without prejudice to provisions for appeals to the court under section 9 of the Act, there shall be no other appeal against a correction made under paragraph (1) or a refusal to make such a correction.
4
Nothing in this regulation shall be construed as derogating from any power to correct errors which is exercisable apart from these Regulations.
Appeals to the High Court
12
1
In England and Wales an appeal against a decision of a tribunal under section 8 may be made on the ground that the decision was erroneous in point of law.
2
An appeal under this regulation may be brought by —
a
the Secretary of State, or
b
the person to whom the certificate was issued.
Signed by authority of the Secretary of State for Health.
John Hutton
Parliamentary Under Secretary of State,
Department of Health
15th March 1999


text:
Citation and commencement
1
This Order may be cited as the Local Government Act 1988 (Defined Activities) (Exemption) (Enfield London Borough Council) Order 1999 and shall come into force on 8th February 1999.
Exemption of maintenance — of ground
2
The maintenance of ground by the council of the London borough of Enfield shall not be treated as a defined activity so long as it is carried out during the period beginning with the date on which this Order comes into force and ending immediately before 1st October 1999, at the following sites within the borough–
a
Forty Hall Park and Estate, Forty Hill,
b
Gough Park, Clay Hill,
c
Hillyfields, Browning Road,
d
Whitewebbs Park, Whitewebbs Road.
Signed by authority of the Secretary of State
Hilary Armstrong
Minister of State,
Department of the Environment, Transport and the Regions
12th January 1999


text:
Commencement and citation
1
This Order may be cited as The A41 Trunk Road (Barnet) Red Route (Prohibited Turn) Experimental Traffic Order 1999, and shall come into force on 19th March 1999.
Interpretation
2
In this Order–
a
a reference to an article followed by a number is a reference to the article of this Order so numbered;
b
causing includes permitting;
c
“A41 Hendon Way” means the Trunk Road of that name in the London Borough of Barnet;
d
“A407 Cricklewood Lane” means the Local Road of that name in the London Borough of Barnet.
Prohibited Turn
3
Subject to the provisions of article 4, no person shall cause any vehicle on entering the A41 Hendon Way from A407 Cricklewood Lane, south-western arm, to turn right into A41 Hendon Way south-eastbound.
Exemptions
4
The provisions of article 3 shall not apply–
a
to anything done with the permission or at the direction of a police constable in uniform or a traffic warden; or
b
to a vehicle being used for fire brigade, ambulance or police purposes.
Power to modify or suspend this Order
5
If it appears to the Traffic Director for London, or some person authorised by him, essential in the interests of the expeditious, convenient and safe movement of traffic, or of the provision of suitable and adequate parking facilities on the highway, or for preserving or improving the amenities of the area through which any road affected by this Order runs, and after consulting with the Commissioner of Police of the Metropolis, he may modify or suspend any provision of this Order, save that no modification shall make an addition.
Signed in accordance with a direction from the Secretary of State.
Derek Turner
Traffic Director for London
4th March 1999


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the North Tees and Hartlepool National Health Service Trust (Establishment) Order 1999 and shall come into force on 1st April 1999.
2
In this Order, unless the context otherwise requires–
“ the Act ” means the National Health Service and Community Care Act 1990;
“community health services” means any services which the Secretary of State may provide under section 3(1)(d) or (e) of or Schedule 1 to the National Health Service Act 1977 and any service which he has a duty to provide under section 5(1) or (1A) of that Act ;
“the trust” means the North Tees and Hartlepool 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 Tees and Hartlepool 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:–
a
with the exception of the Unit mentioned in sub-paragraph (b) below, to own and manage pursuant to section 5(1)(a) of the Act Hartlepool General Hospital, Holdforth Road, Hartlepool, Cleveland, TS24 9AH and associated hospitals, establishments and facilities, and there to provide and manage hospital accommodation and services, and there and from there to provide and manage community health services; and
b
to provide and manage pursuant to section 5(1)(b) of the Act the Rehabilitation Unit, Hartlepool General Hospital, Holdforth Road, Hartlepool, Cleveland, TS24 9AH and North Tees General Hospital, Hardwick, Stockton on Tees, Cleveland, TS19 8PE, and there to provide hospital accommodation and services.
Directors of the trust
4
The trust shall have, in addition to the chairman, 5 non-executive directors and 5 executive directors.
Operational date and accounting date of the trust
5
1
The operational date of the trust shall be 1st April 1999.
2
The accounting date of the trust shall be 31st March.
Restriction on disposal of assets
6
The sum specified for the purposes of paragraph 6(2)(d) of Schedule 2 to the Act (maximum value of freely disposable assets) in relation to the trust shall be £1,000,000.
Signed by authority of the Secretary of State for Health
John Denham
Minister of State,
Department of Health
16th March 1999


text:
1
These Rules may be cited as the Magistrates' Courts (Children and Young Persons) (Amendment) Rules 1999 and shall come into force on 1st June 1999.
2
1
The Magistrates' Courts (Children and Young Persons) Rules 1992 shall be amended as follows.
2
For rule 28 there shall be substituted the following rule–
28
Where a young person is remanded or committed under subsection (4) of section 23 of the Act of 1969 (as modified by section 98 of the Crime and Disorder Act 1998) to:
a
local authority accommodation with a requirement that he be placed and kept in secure accommodation;
b
a remand centre; or
c
a prison,
the court shall record in the warrant of commitment that it has declared as mentioned in that subsection.
3
In Schedule 2, in forms 12, 14 and 20 (warrants of commitment for remand or committal to local authority accommodation), before the words “it is hereby ordered”, there shall be inserted the following words–
.
[It is hereby declared that the defendant is a person to whom section 23(5) of the Children and Young Persons Act 1969 applies:]
.
Irvine of Lairg, C.
12th May 1999


text:
Citation and commencement
1
This Order may be cited as the Ashington Education Action Zone Order 1999 and shall come into force on 10th January 2000.
Interpretation
2
In this Order —
“partners” means those persons listed in Schedule 1 to this Order; and
“zone school” means a school listed in Schedule 2 to this Order.
Constitution of education action zone
3
The schools listed in Schedule 2 to this Order shall constitute collectively an education action zone under the name of the Ashington Education Achievement Zone (“the zone”) for the purposes of Chapter III of Part I of the School Standards and Framework Act 1998.
Education Action Forum
4
There shall be an Education Action Forum for the zone to be known as the Ashington Education Achievement Forum (“the Forum”), the membership of which shall include —
a
one person appointed by the governing body of each zone school, unless any such governing body choose not to make such an appointment;
b
either one or two persons appointed by the Secretary of State;
c
one person appointed by each partner, unless any partner chooses not to make such an appointment; and
d
two persons appointed by Northumberland County Council.
5
The Forum may at any time appoint additional members as follows —
a
up to three persons nominated by Northumberland County Council;
b
one person nominated by The University of Newcastle upon Tyne;
c
up to seven persons representing the interests of public services operating in the area served by the zone schools;
d
up to nine persons representing the interests of business or the community in the area served by the zone schools;
e
up to six persons representing governing bodies of zone schools; and
f
up to four persons representing the interests of teachers working in zone schools.
Disqualification for membership of the Forum
6
Articles 7 to 9 shall have effect for the purpose of prescribing the circumstances and cases in which a person is to be disqualified for holding, or continuing to hold, office as a member of the Forum.
Disqualification for membership of the Forum — bankruptcy etc.
7
1
Subject to the provisions of this article, a person shall be disqualified for holding, or for continuing to hold, office as a member of the Forum if he has been adjudged bankrupt or has made a composition or arrangement with his creditors; and a member, on becoming so disqualified, shall give written notice of the fact to the secretary to the Forum.
2
Where a person is disqualified by reason of his having been adjudged bankrupt, that disqualification shall cease —
a
unless the bankruptcy order made against that person is previously annulled, on his discharge from bankruptcy; and
b
if the bankruptcy order is so annulled, on the date of the annulment.
3
Where a person is disqualified by reason of his having made a composition or arrangement with his creditors and he pays his debts in full, the disqualification shall cease on the date on which the payment is completed and in any other case it shall cease on the expiration of three years from the date on which the terms of the deed of composition or arrangement are fulfilled.
Disqualification for membership of the Forum — criminal convictions
8
1
Subject to paragraph (2) a person shall be disqualified for holding, or for continuing to hold, office as a member of the Forum if —
a
within five years before his appointment would otherwise have taken effect or since his appointment, he has been convicted, whether in the United Kingdom or elsewhere, of any offence and has had passed on him a sentence of imprisonment (whether suspended or not) for a period of not less than three months without the option of a fine;
b
within twenty years before his appointment would otherwise have taken effect, he has been convicted as aforesaid and has had passed on him a sentence of imprisonment for a period of more than two and a half years; or
c
he has at any time been convicted as aforesaid and has had passed on him a sentence of imprisonment of not less than five years.
2
For the purposes of this article there shall be disregarded any conviction by or before a court outside the United Kingdom of an offence in respect of conduct which, if it had taken place in any part of the United Kingdom, would not have constituted an offence under the law in force in that part of the United Kingdom.
Disqualification — absence from meetings
9
Any member of the Forum who, without the consent of the Forum, has failed to attend the meetings thereof for a continuous period of six months beginning with the date of a meeting shall, on the expiry of that period, be disqualified for continuing to be a member of the Forum without prejudice however, to his re-appointment.
Chairman’s tenure of office
10
The chairman of the Forum elected in accordance with paragraph 2 of Schedule 1 to the School Standards and Framework Act 1998, shall hold office for one year from the date of his election (unless he resigns his office earlier), without prejudice to his eligibility to be re-elected for a further such period.
Estelle Morris
Minister of State,
Department for Education and Employment
15th December 1999


text:
PART I
GENERAL
Citation, commencement and extent
1
1
These Regulations may be cited as the Financial Markets and Insolvency (Settlement Finality) Regulations 1999 and shall come into force on 11th December 1999.
2
These Regulations do not extend to Northern Ireland.
Interpretation
2
1
In these Regulations —
“the 1986 Act ” means the Financial Services Act 1986 ;
“central bank” means a central bank of an EEA State or the European Central Bank;
“central counterparty” means a body corporate or unincorporated association interposed between the institutions in a designated system and which acts as the exclusive counterparty of those institutions with regard to transfer orders;
“charge” means any form of security, including a mortgage and, in Scotland, a heritable security;
“clearing house” means a body corporate or unincorporated association which is responsible for the calculation of the net positions of institutions and any central counterparty or settlement agent in a designated system;
“collateral security” means any realisable assets provided under a charge or a repurchase or similar agreement, or otherwise (including money provided under a charge) —
for the purpose of securing rights and obligations potentially arising in connection with a designated system (“collateral security in connection with participation in a designated system”); or
to a central bank for the purpose of securing rights and obligations in connection with its operations in carrying out its functions as a central bank (“collateral security in connection with the functions of a central bank”);
“collateral security charge” means, where collateral security consists of realisable assets (including money) provided under a charge, that charge;
“credit institution” means a credit institution as defined in the first indent of Article 1 of Council Directive 77/780/ EEC including the bodies set out in the list in Article 2(2);
“creditors' voluntary winding-up resolution” means a resolution for voluntary winding up (within the meaning of the Insolvency Act 1986 ) where the winding up is a creditors' winding up (within the meaning of that Act);
“default arrangements” means the arrangements put in place by a designated system to limit systemic and other types of risk which arise in the event of a participant appearing to be unable, or likely to become unable, to meet its obligations in respect of a transfer order, including, for example, any default rules within the meaning of Part VII or any other arrangements for —
netting,
the closing out of open positions, or
the application or transfer of collateral security;
“defaulter” means a person in respect of whom action has been taken by a designated system under its default arrangements;
“designated system” means a system which is declared by a designation order for the time being in force to be a designated system for the purposes of these Regulations;
“designating authority” means —
in the case of a system —
which is, or the operator of which is, a recognised investment exchange or a recognised clearing house for the purposes of the 1986 Act,
which is, or the operator of which is, a listed person within the meaning of the Financial Markets and Insolvency (Money Market) Regulations 1995 , or
through which securities transfer orders are effected (whether or not payment transfer orders are also effected through that system),
the Financial Services Authority;
in any other case, the Bank of England;
“designation order” has the meaning given by regulation 4;
“EEA State” means a State which is a Contracting Party to the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 as adjusted by the Protocol signed at Brussels on 17th March 1993 ;
“guidance”, in relation to a designated system, means guidance issued or any recommendation made by it which is intended to have continuing effect and is issued in writing or other legible form to all or any class of its participants or users or persons seeking to participate in the system or to use its facilities and which would, if it were a rule, come within the definition of a rule;
“indirect participant” means a credit institution for which payment transfer orders are capable of being effected through a designated system pursuant to its contractual relationship with an institution;
“institution” means —
a credit institution;
an investment firm as defined in point 2 of Article 1 of Council Directive 93/22/EEC excluding the bodies set out in the list in Article 2(2)(a) to (k);
a public authority or publicly guaranteed undertaking;
any undertaking whose head office is outside the European Community and whose functions correspond to those of a credit institution or investment firm as defined in (a) and (b) above; or
any undertaking which is treated by the designating authority as an institution in accordance with regulation 8(1),
which participates in a designated system and which is responsible for discharging the financial obligations arising from transfer orders which are effected through the system;
“netting” means the conversion into one net claim or obligation of different claims or obligations between participants resulting from the issue and receipt of transfer orders between them, whether on a bilateral or multilateral basis and whether through the interposition of a clearing house, central counterparty or settlement agent or otherwise;
“Part VII” means Part VII of the Companies Act 1989 ;
“participant” means —
an institution,
a body corporate or unincorporated association which carries out any combination of the functions of a central counterparty, a settlement agent or a clearing house, with respect to a system, or
an indirect participant which is treated as a participant, or is a member of a class of indirect participants which are treated as participants, in accordance with regulation 9;
“protected trust deed” and “trust deed” shall be construed in accordance with section 73(1) of the Bankruptcy (Scotland) Act 1985 (interpretation);
“relevant office-holder” means —
the official receiver;
any person acting in relation to a company as its liquidator, provisional liquidator, or administrator;
any person acting in relation to an individual (or, in Scotland, any debtor within the meaning of the Bankruptcy (Scotland) Act 1985) as his trustee in bankruptcy or interim receiver of his property or as permanent or interim trustee in the sequestration of his estate or as his trustee under a protected trust deed; or
any person acting as administrator of an insolvent estate of a deceased person;
and in sub-paragraph (b), “company” means any company, society, association, partnership or other body which may be wound up under the Insolvency Act 1986;
“rules”, in relation to a designated system, means rules or conditions governing the system with respect to the matters dealt with in these Regulations;
“securities” means (except for the purposes of the definition of “charge”) any instruments referred to in section B of the Annex to Council Directive 93/22/EEC ;
“settlement account” means an account at a central bank, a settlement agent or a central counterparty used to hold funds or securities (or both) and to settle transactions between participants in a designated system;
“settlement agent” means a body corporate or unincorporated association providing settlement accounts to the institutions and any central counterparty in a designated system for the settlement of transfer orders within the system and, as the case may be, for extending credit to such institutions and any such central counterparty for settlement purposes;
“the Settlement Finality Directive ” means Directive 98/26/ EC of the European Parliament and of the Council of 19th May 1998 on settlement finality in payment and securities settlement systems ;
“transfer order” means —
an instruction by a participant to place at the disposal of a recipient an amount of money by means of a book entry on the accounts of a credit institution, a central bank or a settlement agent, or an instruction which results in the assumption or discharge of a payment obligation as defined by the rules of a designated system (“a payment transfer order”); or
an instruction by a participant to transfer the title to, or interest in, securities by means of a book entry on a register, or otherwise (“a securities transfer order”);
“winding up” means —
winding up by the court, or
creditors' voluntary winding up,
within the meaning of the Insolvency Act 1986 (but does not include members' voluntary winding up within the meaning of that Act).
2
In these Regulations —
a
references to the law of insolvency include references to every provision made by or under the Insolvency Act 1986 or the Bankruptcy (Scotland) Act 1985; and in relation to a building society references to insolvency law or to any provision of the Insolvency Act 1986 are to that law or provision as modified by the Building Societies Act 1986 ;
b
in relation to Scotland, references to —
i
sequestration include references to the administration by a judicial factor of the insolvent estate of a deceased person,
ii
an interim or permanent trustee include references to a judicial factor on the insolvent estate of a deceased person, and
iii
“set off” include compensation.
3
Subject to paragraph (1), expressions used in these Regulations which are also used in the Settlement Finality Directive have the same meaning in these Regulations as they have in the Settlement Finality Directive.
4
References in these Regulations to things done, or required to be done, by or in relation to a designated system shall, in the case of a designated system which is neither a body corporate nor an unincorporated association, be treated as references to things done, or required to be done, by or in relation to the operator of that system.
PART II
DESIGNATED SYSTEMS
Application for designation
3
1
Any body corporate or unincorporated association may apply to the designating authority for an order declaring it, or any system of which it is the operator, to be a designated system for the purposes of these Regulations.
2
Any such application —
a
shall be made in such manner as the designating authority may direct; and
b
shall be accompanied by such information as the designating authority may reasonably require for the purpose of determining the application.
3
At any time after receiving an application and before determining it, the designating authority may require the applicant to furnish additional information.
4
The directions and requirements given or imposed under paragraphs (2) and (3) may differ as between different applications.
5
Any information to be furnished to the designating authority under this regulation shall be in such form or verified in such manner as it may specify.
6
Every application shall be accompanied by copies of the rules of the system to which the application relates and any guidance relating to that system.
Grant and refusal of designation
4
1
Where —
a
an application has been duly made under regulation 3;
b
the applicant has paid any fee charged by virtue of regulation 5(1); and
c
the designating authority is satisfied that the requirements of the Schedule are satisfied with respect to the system to which the application relates;
the designating authority may make an order (a “designation order”) declaring the system to be a designated system for the purposes of these Regulations.
2
In determining whether to make a designation order, the designating authority shall have regard to systemic risks.
3
Where an application has been made to the Financial Services Authority under regulation 3 in relation to a system through which both securities transfer orders and payment transfer orders are effected, the Authority shall consult the Bank of England before deciding whether to make a designation order.
4
A designation order shall state the date on which it takes effect.
5
Where the designating authority refuses an application for a designation order it shall give the applicant a written notice to that effect stating the reasons for the refusal.
Fees
5
1
The designating authority may charge a fee to an applicant for a designation order.
2
The designating authority may charge a designated system a periodical fee.
3
Fees chargeable by the designating authority under this regulation shall not exceed an amount which reasonably represents the amount of costs incurred or likely to be incurred —
a
in the case of a fee charged to an applicant for a designation order, in determining whether the designation order should be made; and
b
in the case of a periodical fee, in satisfying itself that the designated system continues to meet the requirements of the Schedule and is complying with any obligations to which it is subject by virtue of these Regulations.
Certain bodies deemed to satisfy requirements for designation
6
1
Subject to paragraph (2), an investment exchange or clearing house declared by an order for the time being in force to be a recognised investment exchange or recognised clearing house for the purposes of the 1986 Act, whether that order was made before or is made after the coming into force of these Regulations, shall be deemed to satisfy the requirements in paragraphs 2 and 3 of the Schedule.
2
Paragraph (1) does not apply to overseas investment exchanges or overseas clearing houses within the meaning of the 1986 Act.
Revocation of designation
7
1
A designation order may be revoked by a further order made by the designating authority if at any time it appears to the designating authority —
a
that any requirement of the Schedule is not satisfied in the case of the system to which the designation order relates; or
b
that the system has failed to comply with any obligation to which it is subject by virtue of these Regulations.
2
Subsections (2) to (9) of section 11 of the 1986 Act shall apply in relation to the revocation of a designation order under paragraph (1) as they apply in relation to the revocation of a recognition order under subsection (1) of that section; and in those subsections as they so apply —
a
any reference to a recognised organisation shall be taken to be a reference to a designated system; and
b
any reference to members of a recognised organisation shall be taken to be a reference to participants in a designated system.
Undertakings treated as institutions
8
1
A designating authority may treat as an institution any undertaking which participates in a designated system and which is responsible for discharging financial obligations arising from transfer orders effected through that system, provided that —
a
the designating authority considers such treatment to be required on grounds of systemic risk, and
b
the designated system is one in which at least three institutions (other than any undertaking treated as an institution by virtue of this paragraph) participate and through which securities transfer orders are effected.
2
Where a designating authority decides to treat an undertaking as an institution in accordance with paragraph (1), it shall give written notice of that decision to the designated system in which the undertaking is to be treated as a participant.
Indirect participants treated as participants
9
1
A designating authority may treat —
a
an indirect participant as a participant in a designated system, or
b
a class of indirect participants as participants in a designated system,
where it considers this to be required on grounds of systemic risk, and shall give written notice of any decision to that effect to the designated system.
Provision of information by designated systems
10
1
A designated system shall, on being declared to be a designated system, provide to the designating authority in writing a list of its participants and shall give written notice to the designating authority of any amendment to the list within seven days of such amendment.
2
The designating authority may, in writing, require a designated system to furnish to it such other information relating to that designated system as it reasonably requires for the exercise of its functions under these Regulations, within such time, in such form, at such intervals and verified in such manner as the designating authority may specify.
3
When a designated system amends, revokes or adds to its rules or its guidance, it shall within fourteen days give written notice to the designating authority of the amendment, revocation or addition.
4
A designated system shall give the designating authority at least fourteen days' written notice of any proposal to amend, revoke or add to its default arrangements.
5
Nothing in this regulation shall require a designated system to give any notice or furnish any information to the Financial Services Authority which it has given or furnished to the Authority pursuant to any requirement imposed by or under section 41 of the 1986 Act (notification requirements) or any other enactment.
Exemption from liability in damages
11
1
Neither the designating authority nor any person who is, or is acting as, a member, officer or member of staff of the designating authority shall be liable in damages for anything done or omitted in the discharge, or purported discharge, of the designating authority’s functions under these Regulations.
2
Paragraph (1) does not apply —
a
if the act or omission is shown to have been in bad faith; or
b
so as to prevent an award of damages made in respect of an act or omission on the ground that the act or omission was unlawful as a result of section 6(1) of the Human Rights Act 1998 (acts of public authorities).
Publication of information and advice
12
A designating authority may publish information or give advice, or arrange for the publication of information or the giving of advice, in such form and manner as it considers appropriate with respect to any matter dealt with in these Regulations.
PART III
TRANSFER ORDERS EFFECTED THROUGH A DESIGNATED SYSTEMAND COLLATERAL SECURITY
Modifications of the law of insolvency
13
1
The general law of insolvency has effect in relation to —
a
transfer orders effected through a designated system and action taken under the rules of a designated system with respect to such orders; and
b
collateral security,
subject to the provisions of this Part.
2
Those provisions apply in relation to —
a
insolvency proceedings in respect of a participant in a designated system; and
b
insolvency proceedings in respect of a provider of collateral security in connection with the functions of a central bank, in so far as the proceedings affect the rights of the central bank to the collateral security;
but not in relation to any other insolvency proceedings, notwithstanding that rights or liabilities arising from transfer orders or collateral security fall to be dealt with in the proceedings.
3
Subject to regulation 21, nothing in this Part shall have the effect of disapplying Part VII.
Proceedings of designated system take precedence over insolvency proceedings
14
1
None of the following shall be regarded as to any extent invalid at law on the ground of inconsistency with the law relating to the distribution of the assets of a person on bankruptcy, winding up, sequestration or under a protected trust deed, or in the administration of an insolvent estate —
a
a transfer order;
b
the default arrangements of a designated system;
c
the rules of a designated system as to the settlement of transfer orders not dealt with under its default arrangements;
d
a contract for the purpose of realising collateral security in connection with participation in a designated system otherwise than pursuant to its default arrangements; or
e
a contract for the purpose of realising collateral security in connection with the functions of a central bank.
2
The powers of a relevant office-holder in his capacity as such, and the powers of the court under the Insolvency Act 1986 or the Bankruptcy (Scotland) Act 1985 , shall not be exercised in such a way as to prevent or interfere with —
a
the settlement in accordance with the rules of a designated system of a transfer order not dealt with under its default arrangements;
b
any action taken under its default arrangements;
c
any action taken to realise collateral security in connection with participation in a designated system otherwise than pursuant to its default arrangements; or
d
any action taken to realise collateral security in connection with the functions of a central bank.
This does not prevent the court from afterwards making any such order or decree as is mentioned in regulation 17(1) or (2).
3
Nothing in the following provisions of this Part shall be construed as affecting the generality of the above provisions.
4
A debt or other liability arising out of a transfer order which is the subject of action taken under default arrangements may not be proved in a winding up or bankruptcy, or in Scotland claimed in a winding up, sequestration or under a protected trust deed, until the completion of the action taken under default arrangements.
A debt or other liability which by virtue of this paragraph may not be proved or claimed shall not be taken into account for the purposes of any set-off until the completion of the action taken under default arrangements.
5
Paragraph (1) has the effect that the following provisions (which relate to preferential debts and the payment of expenses etc ) apply subject to paragraph (6), namely —
a
in the case of collateral security provided by a company (within the meaning of section 735 of the Companies Act 1985 ) —
i
section 175 of the Insolvency 1986, and
ii
where the company is one in relation to which an administration order is made, section 19(4) of the Insolvency Act 1986, section 40 (or, in Scotland, section 59 and 60(1)(e)) of that Act, and section 196 of the Companies Act 1985; and
b
in the case of collateral security provided by an individual, section 328(1 and (2) of the Insolvency Act 1986 or, in Scotland, in the case of collateral security provided by an individual or a partnership, section 51 of the Bankruptcy (Scotland) Act 1985 and any like provision or rule of law affecting a protected trust deed.
6
The claim of a participant or central bank to collateral security shall be paid in priority to —
a
the expenses of the winding up mentioned in sections 115 and 156 of the Insolvency Act 1986, the expenses of the bankruptcy within the meaning of that Act or, as the case may be, the remuneration and expenses of the administrator mentioned in section 19(4) of that Act, and
b
the preferential debts of the company or the individual (as the case may be) within the meaning given by section 386 of that Act,
unless the terms on which the collateral security was provided expressly provide that such expenses, remuneration or preferential debts are to have priority.
7
As respects Scotland —
a
the reference in paragraph (6)(a) to the expenses of bankruptcy shall be taken to be a reference to the matters mentioned in paragraphs (a) to (d) of section 51(1) of the Bankruptcy (Scotland) Act 1985, or any like provision or rule of law affecting a protected trust deed; and
b
the reference in paragraph (6)(b) to the preferential debts of the individual shall be taken to be a reference to the preferred debts of the debtor within the meaning of the Bankruptcy (Scotland) Act 1985, or any like definition applying with respect to a protected trust deed by virtue of any provision or rule of law affecting it.
Net sum payable on completion of action taken under default arrangements
15
1
The following provisions apply with respect to any sum which is owed on completion of action taken under default arrangements by or to a defaulter but do not apply to any sum which (or to the extent that it) arises from a transfer order which is also a market contract within the meaning of Part VII, in which case sections 162 and 163 of the Companies Act 1989 apply subject to the modification made by regulation 21.
2
If, in England and Wales, a bankruptcy or winding-up order has been made or a creditors' voluntary winding-up resolution has been passed, the debt —
a
is provable in the bankruptcy or winding up or, as the case may be, is payable to the relevant office-holder; and
b
shall be taken into account, where appropriate, under section 323 of the Insolvency Act 1986 (mutual dealings and set-off) or the corresponding provision applicable in the case of winding up;
in the same way as a debt due before the commencement of bankruptcy, the date on which the body corporate goes into liquidation (within the meaning of section 247 of the Insolvency Act 1986) or, in the case of a partnership, the date of the winding-up order.
3
If, in Scotland, an award of sequestration or a winding-up order has been made, or a creditors' voluntary winding-up resolution has been passed, or a trust deed has been granted and it has become a protected trust deed, the debt —
a
may be claimed in the sequestration or winding up or under the protected trust deed or, as the case may be, is payable to the relevant office-holder; and
b
shall be taken into account for the purposes of any rule of law relating to set-off applicable in sequestration, winding up or in respect of a protected trust deed;
in the same way as a debt due before the date of sequestration (within the meaning of section 73(1) of the Bankruptcy (Scotland) Act 1985) or the commencement of the winding up (within the meaning of section 129 of the Insolvency Act 1986) or the grant of the trust deed.
Disclaimer of property, rescission of contracts, &c
16
1
Sections 178, 186, 315 and 345 of the Insolvency Act 1986 (power to disclaim onerous property and court’s power to order rescission of contracts, &c) do not apply in relation to —
a
a transfer order; or
b
a contract for the purpose of realising collateral security.
In the application of this paragraph in Scotland, the reference to sections 178, 315 and 345 shall be construed as a reference to any rule of law having the like effect as those sections.
2
In Scotland, a permanent trustee on the sequestrated estate of a defaulter or a liquidator or a trustee under a protected trust deed granted by a defaulter is bound by any transfer order given by that defaulter and by any such contract as is mentioned in paragraph (1)(b) notwithstanding section 42 of the Bankruptcy (Scotland) Act 1985 or any rule of law having the like effect applying in liquidations or any like provision or rule of law affecting the protected trust deed.
3
Sections 127 and 284 of the Insolvency Act 1986 (avoidance of property dispositions effected after commencement of winding up or presentation of bankruptcy petition), section 32(8) of the Bankruptcy (Scotland) Act 1985 (effect of dealing with debtor relating to estate vested in permanent trustee) and any like provision or rule of law affecting a protected trust deed, do not apply to —
a
a transfer order, or any disposition of property in pursuance of such an order;
b
the provision of collateral security;
c
a contract for the purpose of realising collateral security or any disposition of property in pursuance of such a contract; or
d
any disposition of property in accordance with the rules of a designated system as to the application of collateral security.
Adjustment of prior transactions
17
1
No order shall be made in relation to a transaction to which this regulation applies under —
a
section 238 or 339 of the Insolvency Act 1986 (transactions at an undervalue);
b
section 239 or 340 of that Act (preferences); or
c
section 423 of that Act (transactions defrauding creditors).
2
As respects Scotland, no decree shall be granted in relation to any such transaction —
a
under section 34 or 36 of the Bankruptcy (Scotland) Act 1985 or section 242 or 243 of the Insolvency Act 1986 (gratuitous alienations and unfair preferences); or
b
at common law on grounds of gratuitous alienations or fraudulent preferences.
3
This regulation applies to —
a
a transfer order, or any disposition of property in pursuance of such an order;
b
the provision of collateral security;
c
a contract for the purpose of realising collateral security or any disposition of property in pursuance of such a contract; or
d
any disposition of property in accordance with the rules of a designated system as to the application of collateral security.
Collateral security charges
Modifications of the law of insolvency
18
The general law of insolvency has effect in relation to a collateral security charge and the action taken to enforce such a charge, subject to the provisions of regulation 19.
Administration orders, &c
19
1
The following provisions of the Insolvency Act 1986 (which relate to administration orders and administrators) do not apply in relation to a collateral security charge —
a
sections 10(1)(b) and 11(3)(c) (restriction on enforcement of security while petition for administration order pending or order in force); and
b
section 15(1) and (2) (power of administrator to deal with charged property);
and section 11(2) of that Act (receiver to vacate office when so required by administrator) does not apply to a receiver appointed under such a charge.
2
However, where a collateral security charge falls to be enforced after an administration order has been made or a petition for an administration order has been presented, and there exists another charge over some or all of the same property ranking in priority to or pari passu with the collateral security charge, on the application of any person interested, the court may order that there shall be taken after enforcement of the collateral security charge such steps as the court may direct for the purpose of ensuring that the chargee under the other charge is not prejudiced by the enforcement of the collateral security charge.
3
Sections 127 and 284 of the Insolvency Act 1986 (avoidance of property dispositions effected after commencement of winding up or presentation of bankruptcy petition), section 32(8) of the Bankruptcy (Scotland) Act 1985 (effect of dealing with debtor relating to estate vested in permanent trustee) and any like provision or rule of law affecting a protected trust deed, do not apply to a disposition of property as a result of which the property becomes subject to a collateral security charge or any transactions pursuant to which that disposition is made.
General
Transfer order entered into designated system following insolvency
20
1
This Part does not apply in relation to any transfer order given by a participant which is entered into a designated system after —
a
a court has made an order of a type referred to in regulation 22 in respect of that participant, or
b
that participant has passed a creditors' voluntary winding-up resolution, or
c
a trust deed granted by that participant has become a protected trust deed,
unless the conditions mentioned in paragraph (2) are satisfied.
2
The conditions referred to in paragraph (1) are that —
a
the transfer order is carried out on the same day that the event specified in paragraph (1)(a), (b) or (c) occurs, and
b
the settlement agent, the central counterparty or the clearing house can show that it did not have notice of that event at the time of settlement of the transfer order.
3
For the purposes of paragraph (2)(b), the relevant settlement agent, central counterparty or clearing house shall be taken to have notice of an event specified in paragraph (1)(a), (b) or (c) if it deliberately failed to make enquiries as to that matter in circumstances in which a reasonable and honest person would have done so.
Disapplication of certain provisions of Part VII
21
1
The provisions of the Companies Act 1989 mentioned in paragraph (2) do not apply in relation to —
a
a market contract which is also a transfer order effected through a designated system; or
b
a market charge which is also a collateral security charge.
2
The provisions referred to in paragraph (1) are as follows —
a
section 163(4) to (6) (net sum payable on completion of default proceedings);
b
section 164(4) to (6) (disclaimer of property, rescission of contracts, &c); and
c
section 175(5) and (6) (administration orders, &c).
Notification of insolvency order or passing of resolution for creditors' voluntary winding up
22
1
Upon the making of an order for bankruptcy, sequestration, administration or winding up in respect of a participant in a designated system, the court shall forthwith notify both the system and the designating authority that such an order has been made.
2
Following receipt of —
a
such notification from the court, or
b
notification from a participant of the passing of a creditors' voluntary winding-up resolution or of a trust deed becoming a protected trust deed, pursuant to paragraph 5(4) of the Schedule,
the designating authority shall forthwith inform the Treasury of the notification.
Applicable law relating to securities held as collateral security
23
Where —
a
securities (including rights in securities) are provided as collateral security to a participant or a central bank (including any nominee, agent or third party acting on behalf of the participant or the central bank), and
b
a register, account or centralised deposit system located in an EEA State legally records the entitlement of that person to the collateral security,
the rights of that person as a holder of collateral security in relation to those securities shall be governed by the law of the EEA State or, where appropriate, the law of the part of the EEA State, where the register, account, or centralised deposit system is located.
Applicable law where insolvency proceedings are brought
24
Where insolvency proceedings are brought in any jurisdiction against a person who participates, or has participated, in a system designated for the purposes of the Settlement Finality Directive, any question relating to the rights and obligations arising from, or in connection with, that participation and falling to be determined by a court in England and Wales or in Scotland shall (subject to regulation 23) be determined in accordance with the law governing that system.
Insolvency proceedings in other jurisdictions
25
1
The references to insolvency law in section 426 of the Insolvency Act 1986 (co-operation between courts exercising jurisdiction in relation to insolvency) include, in relation to a part of the United Kingdom, this Part and, in relation to a relevant country or territory within the meaning of that section, so much of the law of that country or territory as corresponds to this Part.
2
A court shall not, in pursuance of that section or any other enactment or rule of law, recognise or give effect to —
a
any order of a court exercising jurisdiction in relation to insolvency law in a country or territory outside the United Kingdom, or
b
any act of a person appointed in such a country or territory to discharge any functions under insolvency law,
in so far as the making of the order or the doing of the act would be prohibited in the case of a court in England and Wales or Scotland or a relevant office-holder by this Part.
3
Paragraph (2) does not affect the recognition or enforcement of a judgment required to be recognised or enforced under or by virtue of the Civil Jurisdiction and Judgments Act 1982 .
Systems designated in other EEA States, Northern Ireland and Gibraltar
26
1
Where an equivalent overseas order or equivalent overseas security is subject to the insolvency law of England and Wales or Scotland, this Part shall apply —
a
in relation to the equivalent overseas order as it applies in relation to a transfer order; and
b
in relation to the equivalent overseas security as it applies in relation to collateral security in connection with a designated system.
2
In paragraph (1) —
a
“equivalent overseas order” means an order having the like effect as a transfer order which is effected through a system designated for the purposes of the Settlement Finality Directive in another EEA State, Northern Ireland or Gibraltar; and
b
“equivalent overseas security” means any realisable assets provided under a charge or a repurchase or similar agreement, or otherwise (including money provided under a charge) for the purpose of securing rights and obligations potentially arising in connection with such a system.
Jim Dowd
Bob Ainsworth
Two of the Lords Commissioners of Her Majesty’s Treasury
2nd November 1999


text:
Citation and commencement
1
This Order may be cited as the Social Landlords (Additional Purposes or Objects) (No. 2) Order 1999 and shall come into force on 1st July 1999.
Additional permissible purposes or objects
2
1
The following are specified as permissible purposes or objects additional to those specified in section 2(4) of the Housing Act 1996 (eligibility for registration as a social landlord)–
a
providing land, amenities or services, or providing, constructing, repairing or improving buildings, either exclusively or together with other persons, for persons who are not residents of the body if the activity in question is also being carried out for residents of the body;
b
providing amenities or services for residents all or some of whom are residents of accommodation being managed by the body under section 2(4)(d) of the Housing Act 1996;
c
carrying out regeneration activities for the benefit of persons all or some of whom are persons benefitting from any of the activities carried out by the body which are mentioned in or specified under section 2 of that Act (other than by this sub-paragraph).
2
In paragraph (1)–
a
“persons”, except where the word first occurs in sub-paragraph (a), does not include a body of persons corporate or unincorporate;
b
“regeneration activities” means activities which contribute to the regeneration or development of an area for the purposes of section 126 of the Housing Grants, Construction and Regeneration Act 1996 .
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
21st April 1999
Signed by authority of the Secretary of State for Wales
Jon Owen Jones
Parliamentary Under Secretary of State, Welsh Office
21st April 1999