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PART I
INTRODUCTION
Citation, commencement, application and interpretation
1
1
These Regulations may be cited as the Financing of Maintained Schools (England) Regulations 2001 and shall come into force on 14th March 2001.
2
These Regulations shall apply for the purposes of the financing of maintained schools in England in the financial year beginning on 1st April 2001.
3
In these Regulations —
“the 1996 Act ” means the Education Act 1996 ;
“the 1998 Act ” means the School Standards and Framework Act 1998;
“the 1999 Regulations ” means the Financing of Maintained Schools Regulations 1999 ;
“the 2000 Regulations ” means the Financing of Maintained Schools (England) Regulations 2000 .
4
In these Regulations “maintained school” means a community, foundation or voluntary school or a community or foundation special school.
5
In these Regulations a reference to proposals for the establishment of a school is a reference to a proposal for the establishment of the school under section 35, 41 or 339(1) of the 1996 Act or section 28 or 31 of, or paragraph 5 of Schedule 7 to, the 1998 Act.
6
In these Regulations, except in Part IV where the definition in regulation 27 applies, a reference (however framed) to a community, foundation or voluntary school or a community or foundation special school includes a proposed school which on implementation of proposals for the establishment of the school will be such a school and which has a temporary governing body.
7
In these Regulations a reference to a governing body includes the temporary governing body of a proposed school falling within paragraph (6).
8
In these Regulations a reference to a primary or secondary school means a primary or secondary school which is a community, foundation or voluntary school.
9
In these Regulations a reference (however framed) to schools maintained by a local education authority does not include schools which are not maintained schools as defined in paragraph (4).
10
In these Regulations a reference to the permanent exclusion of a pupil is a reference to his permanent exclusion as defined from time to time for the purposes of section 494 of the 1996 Act .
11
In these Regulations references to net expenditure or to a net local schools budget —
a
are references to that expenditure or that local schools budget net of related fees, charges, specific grant or other income received by the local education authority;
b
except that there is not to be deducted in order to arrive at the net local schools budget, any specific grant which is used to support expenditure through the individual schools budget or which is a specific grant only to the extent that it has to be used for supporting any or all of the authority’s expenditure through the local schools budget.
12
In these Regulations a reference to a former grant-maintained or grant-maintained special school is a reference to a school which was such a school within the meaning of the 1996 Act immediately before 1st April 1999.
13
Unless the context otherwise requires, words or expressions used in these Regulations set out in the first column of the following table shall have the meanings attributed to them by the provisions set out opposite thereto in the second column.
budget share section 47(1) of the 1998 Act delegated budget section 49(7) of the 1998 Act expenditure regulation 3(2) of these Regulations (for the purposes of Part II of these Regulations) financial year section 579(1) of the 1996 Act formula regulation 10 of these Regulations individual schools budget section 46(2) of the 1998 Act key stage section 355(1) of the 1996 Act local schools budget section 46(1) of the 1998 Act maintained school regulation 1(4) of these Regulations maintenance grant sections 244(1) and 250(1) of the 1996 Act nursery school section 6(1) of the 1996 Act permanent exclusion regulation 1(10) of these Regulations scheme section 48(5) of the 1998 Act school maintained by a local education authority regulation 1(9) of these Regulations school year section 579(1) of the 1996 Act special educational needs section 312(1) of the 1996 Act.
14
Unless the context otherwise requires, a reference in these Regulations to a numbered regulation, Part or Schedule is a reference to the regulation or Part of, or Schedule to, these Regulations so numbered and a reference to a numbered paragraph is a reference to the paragraph so numbered in the regulation or Schedule in which the reference appears.
Operation of the 2000 Regulations
2
A school’s budget share for the financial year beginning on 1st April 2000 may only be redetermined in the financial year beginning on 1st April 2001 in accordance with the provisions of the 2000 Regulations or the Financing of Maintained Schools (England) ( No. 2) Regulations 2000 , if such redetermination makes provision for
a
pupils permanently excluded or admitted following a permanent exclusion; or
b
the correction of errors, whether in calculation or data, under any of the provisions of those Regulations.
PART II
LOCAL AND INDIVIDUAL SCHOOLS BUDGET
Local schools budget
3
1
The classes or descriptions of local education authority expenditure specified in sub-paragraphs (a) and (b) below are hereby prescribed for the purposes of section 46(1) of the 1998 Act and the determination of a local education authority’s local schools budget subject to the exceptions in regulation 4 —
a
expenditure incurred in connection with the authority’s functions in relation to the provision of primary and secondary education; and
b
expenditure on items listed in paragraph 27(a), (b), (d) and (r) to (t) of Schedule 1 in so far as such expenditure does not fall within sub-paragraph (a) above.
2
For the purposes of this Part expenditure does not include expenditure defrayed by fees and charges collected by the governing body of a maintained school which are —
a
specifically required or permitted to be collected by any provision of the Education Acts; or
b
in respect of the use of school premises or equipment.
Exceptions
4
A local education authority’s local schools budget shall not include the following classes or descriptions of expenditure —
a
expenditure in connection with nursery schools;
b
expenditure in connection with any provision made for children who have not attained the age of five except where such provision is made at a maintained school or the expenditure is by way of fees paid under section 320 or 348 of the 1996 Act (special provision for children with special educational needs);
c
expenditure on payments to another local education authority pursuant to section 492, 493 or 494 of the 1996 Act (recoupment between authorities);
d
expenditure which the authority propose to capitalise in their accounts in accordance with proper practices being those accounting practices —
i
which the authority are required to follow by virtue of any enactment, or
ii
which, whether by reference to any generally recognised published code or otherwise, are regarded as proper accounting practices to be followed in the keeping of the accounts of local authorities, either generally or of the description concerned,
but in the event of any conflict in any respect between the practices falling within sub-paragraph (i) above and those falling within sub-paragraph (ii) above, only those falling within sub-paragraph (i) above are to be regarded as proper practices ;
e
expenditure expected to be offset by income received from Her Majesty’s Chief Inspector of Schools in England or Her Majesty’s Chief Inspector of Schools in Wales;
f
expenditure for the purposes of section 26 of the Road Traffic Regulation Act 1984 (arrangements for patrolling school crossings); and
g
expenditure on the payment of allowances under section 518 of the 1996 Act to pupils over compulsory school age to the extent that it is expected to be offset by specific grant paid by the Secretary of State.
Individual schools budget
5
A local education authority may deduct from their local schools budget any or all of the classes or descriptions of planned expenditure set out in Schedule 1, in whole or in part, in order to arrive at their individual schools budget for the financial year.
PART III
SCHOOLS' BUDGET SHARES: MAIN PROVISIONS
Determination of budget shares
6
This Part and Parts IV and V apply for the purpose of determining the amount which a local education authority may determine as a maintained school’s budget share for the financial year beginning on 1st April 2001.
Allocation of individual schools budget
7
A local education authority shall allocate in the financial year beginning on 1st April 2001 in accordance with this Part and Parts IV and V all of their individual schools budget for that financial year as the budget shares of schools which they maintain.
Timing of determination of budget shares
8
1
The amount of a school’s budget share for the financial year beginning on 1st April 2001 shall be initially determined by the local education authority before the beginning of that financial year.
2
A local education authority may decide not to initially allocate all of their individual schools budget in accordance with this Part in the form of budget shares at the beginning of the financial year and instead to retain an amount for the purpose of redeterminations or the correction of errors but such amount must be used for that purpose or distributed to schools as required by regulation 21(4) before the end of the financial year.
Consultation
9
1
Subject to paragraph (2), a local education authority shall consult the governing body and head teacher of every school which they maintain about any proposed changes in relation to the factors and criteria that were taken into account, or the methods, principles and rules that were adopted, in their formula under the 2000 Regulations in the financial year beginning on 1st April 2000 (including any new factors, criteria, methods, principles or rules).
2
Paragraph (1) shall not apply to changes required by regulation 8(2), 11(7), 14(2), 20, 21(4) or 22 or by Part IV.
3
Consultation under this regulation shall take place in sufficient time to allow the outcome to be taken into account in the determination of the authority’s formula and in the initial determination of schools' budget shares before the beginning of the financial year.
4
The requirement to consult in paragraph (1) can be satisfied by consultation which takes place during the financial year beginning on 1st April 2000 before the coming into force of these Regulations.
5
A local education authority shall inform all those who were consulted of the outcome of the consultation.
Formula for determination of budget shares
10
1
A local education authority shall determine before the beginning of the financial year beginning on 1st April 2001, and after the consultation referred to in regulation 9, the formula which they will use to determine schools' budget shares in that financial year having regard to the factors, criteria and requirements set out in this Part and in Part IV.
2
A local education authority shall have regard to the desirability of such a formula being simple, objective, measurable and predictable in effect, and clearly expressed.
3
A local education authority may not use factors or criteria in their formula under this Part which make an allowance, in whole or in part, for —
a
any amount included in the school’s budget share by virtue of Part IV; or
b
any education standards grants, received by the authority pursuant to section 484 of the 1996 Act, paid in respect of capital projects, of an amount determined by the Secretary of State by reference to a formula, and decisions about the spending of which the authority are required to delegate to the governing bodies of schools.
4
Subject to regulation 31 (additional arrangements approved by the Secretary of State), a local education authority shall use the formula determined under paragraph (1) in all determinations and redeterminations of budget shares in respect of the financial year.
Pupil numbers
11
1
In determining budget shares for primary and secondary schools, a local education authority shall take into account in their formula the number of registered pupils at those schools on such date or dates as may be determined by the authority in accordance with regulation 12, weighted if the authority consider it appropriate in accordance with paragraph (5).
2
For the purposes of paragraph (1), the number of registered pupils does not include —
a
pupils in places which the authority recognise as reserved for children with special educational needs or for children in nursery classes; or
b
in relation to the funding of boarding accommodation only, pupils in boarding accommodation at boarding schools other than special schools.
3
An authority may in determining budget shares for special schools, or for primary or secondary schools with places which the authority recognise as reserved for children with special educational needs or for children in nursery classes, take into account in their formula the number of registered pupils at those special schools or the number of pupils in those reserved places at primary or secondary schools on such date or dates as may be determined by the authority, weighted if the authority consider it appropriate in accordance with paragraph (5).
4
If the authority estimate the number of registered pupils at a school they must consult the head teacher of the school.
5
A local education authority may weight pupil numbers according to any or all of the following factors —
a
age, including weighting according to key stage or year group;
b
whether a pupil is provided with nursery education by a school;
c
in the case of pupils aged under five, their exact age when admitted to the school;
d
in the case of pupils aged under five, whether they have been admitted to the school in excess of planned admission limits agreed with the authority;
e
the subject or course of study in the case of pupils in a sixth form; and
f
special educational needs.
6
A local education authority may adjust the number of registered pupils used to determine or redetermine a school’s budget share where it is appropriate to do so in order to take into account, wholly or partly, the permanent exclusion of a pupil from the school or the admission of a pupil following his permanent exclusion from another school maintained by a local education authority.
7
Subject to paragraph (8), a local education authority shall provide in their formula that the average amount per pupil allocated in accordance with regulation 11(1) or (3) in respect of pupils who are —
a
in key stage 1 or 2;
b
in key stage 3 or 4;
c
above compulsory school age,
shall in each case be at least 2.5 per cent. higher than the average amount per pupil initially determined in each of those three cases under the corresponding provisions of the 2000 Regulations.
8
Paragraph (7) shall not apply in relation to any amount allocated in accordance with paragraph (3) weighted in accordance with paragraph (5)(f) (special educational needs).
Dates for ascertaining pupil numbers
12
1
Where the authority determine only one date for the purposes of regulation 11(1) that must be a date which falls —
a
before 1st April 2001; and
b
in the school year in which 1st April 2001 falls.
2
Where the authority determine more than one date for the purposes of regulation 11(1) then —
a
one of those dates must satisfy paragraph (1) above;
b
of the other date or dates —
i
no date may be earlier than the beginning of the school year in which 1st April 2001 falls;
ii
the authority may determine a date or dates which are in the future and estimate the number of registered pupils at the school on that date or those dates.
3
Paragraphs (1) and (2) (restrictions on choice of dates for the purposes of regulation 11(1)) shall not apply in relation to pupils in nursery or reception classes whom the authority take into account under regulation 11(1) (pupils in nursery classes not occupying places which the authority recognise as reserved for such pupils or any pupils in reception classes).
Pupil numbers: Dual registration
13
Where a pupil is, in accordance with regulations made under section 434 of the 1996 Act , a registered pupil at more than one school then that pupil shall be treated as being a full-time pupil at each such school unless the authority expressly provide otherwise in their formula.
Places
14
1
In determining budget shares for —
a
special schools;
b
primary or secondary schools with places which the authority recognise as reserved for children with special educational needs or for children in nursery classes; or
c
schools with boarding accommodation,
the local education authority may take into account in their formula the number of places which they wish to fund at those special schools, the number of places of the kind described above at those primary or secondary schools or the amount of boarding accommodation which they wish to fund and in the case of paragraphs (a) and (b) above may take account of the special educational needs in question.
2
A local education authority shall provide in their formula that any amount allocated in accordance with —
a
paragraph (1)(a); or
b
in so far as it relates to special educational needs, paragraph (1)(b),
in respect of a place at a school shall be at least 2.5 per cent. higher than the amount initially determined in relation to the financial year beginning on 1st April 2000 in respect of a place appropriate to a pupil with the same characteristics at that school under the corresponding provisions of the 2000 Regulations.
Differential funding
15
1
A local education authority shall use factors or criteria which differentiate between different categories or descriptions of schools in so far as the functions of the governing bodies of those schools justify such differentiation but may not otherwise do so except as required or expressly permitted by these Regulations.
2
A local education authority shall use factors or criteria which differentiate between a school and other schools of the same category or description if the choice that that school’s governing body have made under these Regulations regarding particular expenditure funding for which is to be included in their school’s budget share, justifies such differentiation.
3
A local education authority are not required to use factors or criteria in their formula which differentiate between —
a
primary and secondary schools, and special schools;
b
schools whose pupils are in different age ranges,
but they may do so.
4
If a local education authority choose to use a particular factor or criteria to delegate funding to all or some of the schools which they maintain, and a school which it is proposed to discontinue during the financial year did not receive funding in accordance with that factor or criteria in the financial year beginning on 1st April 2000, then this regulation shall not require the local education authority to delegate such funding to that school in accordance with that factor or criteria but they may do so.
Additional factors or criteria
16
Subject to regulation 15 (differential funding), a local education authority may, in determining budget shares for schools which they maintain, take into account in their formula, as they consider appropriate, any or all of the factors or criteria set out in Schedule 2.
Budget share adjustments in relation to the financial year beginning on 1st April 2000: Pupil numbers
17
1
This regulation applies to the extent that a school’s budget share for the financial year beginning on 1st April 2000 was determined pursuant to regulation 11(1) or (6) of the 2000 Regulations other than in cases where pupil numbers were weighted according to special educational needs.
2
Subject to paragraph (3), to the extent that a school’s budget share for the financial year beginning on 1st April 2000 was —
a
determined by reference to an estimate of the number of registered pupils at the school; and
b
differences between the estimated number of pupils on those dates and the actual number of pupils at the school on those dates were not taken into account in a redetermination of the school’s budget share for that financial year,
the local education authority shall determine that school’s budget share for the financial year beginning on 1st April 2001 so as to take into account those differences.
3
A local education authority may determine a school’s budget share so as to make such adjustments which are appropriate to take into account, wholly or partly, any increases in pupil numbers during the course of the financial year beginning on 1st April 2000.
4
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s budget share for the financial year beginning on 1st April 2000 determined in accordance with regulation 18 (transitional funding) of the 2000 Regulations could have been reduced.
5
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 2000 under regulation 18 (transitional funding) of the 2000 Regulations.
6
A local education authority shall include factors or criteria in their formula which satisfy the requirements of this regulation.
Budget share adjustments in relation to the financial year beginning on 1st April 2000: Non-pupil number factors
18
1
This regulation applies to the extent that a school’s budget share for the financial year beginning on 1st April 2000 was determined other than pursuant to regulation 11(1) or (6) of the 2000 Regulations or was so determined in accordance with pupil numbers weighted according to special educational needs.
2
Where —
a
there has been a change in the data on the basis of which that determination was made; and
b
that change was not taken into account in a redetermination of the school’s budget share for the financial year beginning on 1st April 2000,
the local education authority may determine that school’s budget share so as to take into account those changes.
3
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s budget share for the financial year beginning on 1st April 2000 determined in accordance with regulation 18 (transitional funding) of the 2000 Regulations could have been reduced.
4
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 2000 under regulation 18 (transitional funding) of the 2000 Regulations.
5
A local education authority shall include factors or criteria in their formula which satisfy the requirements of this regulation.
New schools
19
1
In the case of —
a
a proposed school referred to in regulation 1(6);
b
a school proposals for the establishment of which have not been fully implemented;
c
a school which is the subject of a significant change of character, a significant enlargement of its premises or a transfer to a new site under the 1996 Act; or
d
a school which is the subject of a prescribed alteration within the meaning of the 1998 Act,
the local education authority shall include factors or criteria in their formula which enable them to determine the school’s budget share so as to take into account the particular needs of the school or proposed school; and in particular may, in any financial year preceding the financial year in which a school first admits pupils, determine the amount of the budget share as zero.
2
For the purposes of these Regulations, proposals for the establishment of a school have been fully implemented when the number of pupils admitted to the school in each age group has, in the opinion of the local education authority, reached —
a
that number of pupils indicated, when proposals for the establishment of the school were published, as the number of pupils to be admitted to each age group when the proposals were fully implemented; or
b
if no such number was indicated, such number as the authority may determine.
Transitional funding
20
1
A local education authority shall determine the budget share of a former grant-maintained or grant-maintained special school so as to include an amount for transitional funding.
2
The amount referred to in paragraph (1) is the amount if any by which the school’s protected level of funding in respect of the financial year beginning on 1st April 2001 determined by the local education authority in accordance with Schedule 3 is greater than the school’s adjusted budget share for that financial year.
3
For the purposes of this regulation, a school’s adjusted budget share is its budget share determined in accordance with this Part and Part V but not taking into account the effect of this regulation and regulations 17 (budget share adjustments: pupil numbers), 18 (budget share adjustments: non-pupil number factors), 22 (excluded pupils), 23, 24 and 25 (additional provisions for redeterminations) and Part IV.
4
The amount of a school’s transitional funding shall not be affected by a net increase during the financial year in that school’s adjusted budget share arising out of changes in the numbers of pupils with statements of special educational needs or changes in the needs of such pupils.
5
A local education authority which maintain a former grant-maintained or grant-maintained special school shall include factors or criteria in their formula which satisfy the requirements of this regulation.
Redetermination of budget shares
21
1
A local education authority shall include factors or criteria in their formula which enable them, if they so wish, to redetermine a school’s budget share during the course of the financial year to take account wholly or partly of —
a
changes during the financial year in the number or estimates of the number of registered pupils (including the substitution of actual numbers for estimates) at the school by reference to which the budget share was determined in accordance with regulation 11(1) or (3) other than in cases where pupil numbers were weighted according to special educational needs;
b
other changes during the financial year in the data by reference to which the budget share was determined; and
c
changes during the financial year in the amount of the authority’s individual schools budget.
2
This regulation is subject to regulation 20 (transitional funding).
3
A local education authority shall set out in their formula the factors or criteria that they will use, in redetermining schools' budget shares in accordance with paragraph (1), to allocate the planned expenditure referred to in paragraph 32 of Schedule 1.
4
Where the local education authority propose to retain part of their individual schools budget pursuant to regulation 8(2) for the purpose of redeterminations or the correction of errors they shall include factors or criteria in their formula which require them to redetermine schools' budget shares before the end of the financial year so as to distribute to schools the unallocated balance of any such retained amount on the basis of pupil numbers in accordance with regulation 11(1) or (3).
5
A local education authority shall include factors or criteria in their formula which enable them to adjust the number of registered pupils used to determine or redetermine a school’s budget share where it is appropriate to do so in order to take into account, wholly or partly —
a
any reduction or increase in the school’s budget share under regulation 22 (pupils permanently excluded or admitted following a permanent exclusion); or
b
any increase in the school’s budget share under this regulation in respect of significant increases in pupil numbers funded by the planned expenditure referred to in paragraph 32 of Schedule 1.
Pupils permanently excluded or admitted following a permanent exclusion
22
1
Where a pupil is permanently excluded from a school maintained by a local education authority, the authority shall redetermine the school’s budget share for that financial year in accordance with paragraph (2).
2
The school’s budget share shall be reduced by the amount A × (B/52) where —
A is the amount, in the financial year in which the permanent exclusion takes effect (as defined from time to time for the purposes of section 494 of the 1996 Act (“the relevant date”)), determined by the authority, in accordance with this Part, to be attributable for the full financial year to a registered pupil of the same age and characteristics as the pupil in question at primary or secondary schools maintained by the authority:
For the purposes of this definition the amount attributable to a registered pupil is the sum of the amounts determined in accordance with the authority’s formula or regulation 31 by reference to pupil numbers rather than by reference to the number of places at the school or any other factor or criteria not dependent on pupil numbers; and
B is the number of complete weeks remaining in the financial year calculated from the relevant date:
EXCEPT that where the permanent exclusion takes effect on or after 1st April in a school year at the end of which pupils of the same age or age group as the pupil in question normally leave that school prior to being admitted to another school with a different pupil age range, B is the number of complete weeks remaining in that school year calculated from the relevant date.
3
Where a pupil is admitted to a school maintained by a local education authority (“the admitting school”) who has been permanently excluded from another maintained school in that financial year the authority shall redetermine the admitting school’s budget share in accordance with paragraph (4).
4
The school’s budget share shall be increased by an amount which may not be less than the amount D × (E/F) where —
D is the amount by which the authority reduce the budget share of the school from which the pupil was permanently excluded or would have reduced it had that school been maintained by the authority;
E is the number of complete weeks remaining in the financial year during which the pupil is a registered pupil at the admitting school;
F is the number of complete weeks remaining in the financial year calculated from the relevant date.
5
A local education authority shall include factors or criteria in their formula which satisfy the requirements of this regulation.
Additional provisions for redeterminations in relation to financial years beginning on or before 1st April 1999: (1) Former grant-maintained or grant-maintained special schools in the period before they became such schools and (2) Schools which were never such schools
23
1
A local education authority may in the circumstances described in paragraph (2) redetermine a school’s budget share for the financial year beginning on 1st April 2001 to take into account changes in that school’s non-domestic rates liability or to correct errors in data supplied by the head teacher or governing body of the school, by reference to which the following were determined —
a
the school’s budget share within the meaning of the 1996 Act for any financial year beginning on or before 1st April 1998; or
b
in the case of a school which is not a former grant-maintained or grant-maintained special school, the school’s budget share within the meaning of the 1998 Act for the financial year beginning on 1st April 1999.
2
The circumstances referred to in paragraph (1) are that —
a
such matters have not already been taken into account in any determination or redetermination of that school’s budget share within the meaning of the 1996 Act or the 1998 Act or its maintenance grant (as a former grant-maintained or grant-maintained special school); and
b
such redetermination as is proposed could have been made in relation to the preceding financial year in question under the terms of the authority’s scheme within the meaning of the 1996 Act in force in that year or, in the case of the financial year beginning on 1st April 1999, the 1999 Regulations.
3
A local education authority shall include factors or criteria in their formula which satisfy the requirements of this regulation.
Additional provisions for redeterminations in relation to the financial years beginning on 1st April 1999: Former grant-maintained or grant-maintained special schools
24
1
A local education authority may redetermine a former grant-maintained or grant-maintained special school’s budget share for the financial year beginning on 1st April 2001 to take into account changes in that school’s non-domestic rates liability or to correct errors in data supplied by the head teacher or governing body of the school, by reference to which the school’s budget share for the financial year beginning on 1st April 1999 was determined if —
a
such matters have not already been taken into account in any determination or redetermination of that school’s budget share for the financial year beginning on 1st April 1999 or 1st April 2000;
b
such redetermination as is proposed could have been made in that financial year beginning on 1st April 1999 in accordance with the 1999 regulations.
2
In so far as a determination under paragraph (1) would require the amount that would otherwise be the budget share of the school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s budget share for the financial year beginning on 1st April 1999 determined in accordance with regulation 18 (transitional funding) of the 1999 Regulations could have been reduced.
3
In so far as a determination under paragraph (1) would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 1999 under regulation 18 (transitional funding) of the 1999 Regulations.
4
A local education authority shall include factors or criteria in their formula which satisfy the requirements of this regulation.
Additional provisions for redeterminations in relation to financial years beginning on or before 1st April 1998: Former grant-maintained or grant-maintained special schools
25
1
A local education authority shall, in the case of a former grant-maintained or grant-maintained special school and in so far as required by paragraphs (2) to (4), redetermine that school’s budget share for the financial year beginning on 1st April 2001 to take into account changes in data, other than pupil numbers, by reference to which the school’s maintenance grant for any financial year beginning on or before 1st April 1998 was determined if such changes have not already been taken into account in any determination or redetermination of that school’s maintenance grant or budget share for a financial year beginning before 1st April 2001.
2
The local education authority shall add or subtract such amount, if any, determined by the Secretary of State in accordance with the provisions of the regulations made under section 244(2) of the 1996 Act in force in the preceding financial year in question and as if any reference to the Funding Agency for Schools was a reference to the Secretary of State.
3
The Secretary of State may decline to make a determination under paragraph (2) unless —
a
he has received by 31st March 2001, a request in writing to make such a determination; and
b
the person making the request has provided the Secretary of State by 31st March 2001 with sufficient information about the changed data to enable him to carry out the necessary calculations without further enquiry.
4
If the Secretary of State considers it likely that the changes in data referred to in paragraph (1) and any consequent change in the school’s maintenance grant for that year would have meant that the governing body would have received a larger payment of special purpose grant pursuant to section 245 of the 1996 Act in respect of the costs incurred by the school in respect of Value Added Tax in that year he may add to the amount determined under paragraph (2) an amount which he considers would be equivalent to that increase. Conversely if he considers that the governing body would have been entitled to a smaller such payment he may subtract an amount which he considers would be equivalent to that reduction for the financial year in question.
5
Where the Secretary of State has confirmed in writing to a local education authority that he does not propose to make a determination under paragraph (2) in respect of a particular school then that local education authority may in the circumstances described in paragraph (6) redetermine that school’s budget share for the financial year beginning on 1st April 2001 to take into account changes in that school’s non-domestic rates liability or to correct errors in data supplied by the head teacher or governing body of the school, by reference to which the school’s maintenance grant (as a grant-maintained or grant-maintained special school) was determined for the financial year in question.
6
The circumstances referred to in paragraph (5) are that —
a
such matters have not already been taken into account in any determination or redetermination of that school’s budget share within the meaning of the 1996 Act or the 1998 Act or its maintenance grant (as a former grant-maintained or grant-maintained special school);
b
such redetermination as is proposed could have been made in the preceding financial year in question in relation to a school maintained by the authority under the terms of the authority’s scheme within the meaning of the 1996 Act in force in that year; and
c
any increase or decrease in the amount of the school’s budget share to take into account changes in the school’s non-domestic rates liability does not exceed the change in the school’s net liability in respect of rates.
7
In so far as a determination under paragraph (5), arising from adjustments relating to the financial year beginning on 1st April 1998, would require the amount that would otherwise be the budget share of the school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s maintenance grant for that financial year determined in accordance with regulation 9 (transitional funding) of the Education (Grant-maintained and Grant-maintained Special Schools) (Finance) Regulations 1998 (“the 1998 Regulations ”) could have been reduced.
8
In so far as a determination under paragraph (5), arising from adjustments relating to the financial year beginning on 1st April 1998, would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 1998 under regulation 9 (transitional funding) of the 1998 Regulations.
9
A local education authority shall include factors or criteria in their formula which satisfy the requirements of this regulation.
Percentage of “pupil-led” funding
26
1
In determining and redetermining budget shares for primary and secondary schools a local education authority shall ensure that their formula provides that at least 80 per cent. of the amount which is their individual schools budget, less the amounts referred to in paragraph (2), is allocated in one or more of the following manners —
a
in accordance with regulation 11(1) or (3);
b
in accordance with any other factors or criteria using pupil numbers which provide for the same funding for pupils of the same age irrespective of the nature of the school which they attend but such funding for children with special educational needs who do not have statements of special educational needs shall only count towards the figure of 80 per cent. referred to above to the extent that it does not exceed 5 per cent. of the total amount allocated by the authority to primary and secondary schools from their individual schools budget;
c
to places in primary schools which the authority recognise as reserved for children in nursery classes;
d
to places in primary or secondary schools which the authority recognise as reserved for children with special educational needs;
e
for pupils with statements of special educational needs where funding in respect of such pupils forms part of schools' delegated budgets;
f
by reference to any or all of the following: the recruitment of, the length, type and subject matter of courses taken by, and the achievements of, pupils in a sixth form at a school; and
g
to places for pupils in boarding accommodation at boarding schools other than special schools.
2
For the purposes of this regulation the following amounts are to be excluded from the local education authority’s individual schools budget —
a
the budget shares of special schools;
b
any transitional funding determined under regulation 20;
c
any part of the individual schools budget retained pursuant to regulation 8(2) for the purpose of redeterminations or the correction of errors in relation to special schools;
d
any amount determined under Part IV.
PART IV
ADDITIONAL AMOUNT TO BE ADDED TO AMOUNT DETERMINED UNDER PART III
Definition for Part IV
27
In this Part a reference to a maintained school includes a proposed school which, on implementation of the proposals for the establishment of the school, will be a community, foundation or voluntary school or a community or foundation special school in the financial year beginning on 1st April 2001.
Determination of additional amount
28
1
In making the initial determination of a maintained school’s budget share, a local education authority shall, subject to paragraphs (2), (3) and (5) and regulation 31 below, add to the amount determined in accordance with Part III, the amount which is set out in column (2) of the table below, opposite the description of that school in column (1).
(1) (2) Description of school Amount to be added
Primary school with fewer than 100.5 pupils £6,000 Primary school with 100.5 pupils or more but with fewer than 200.5 pupils £12,000 Primary school with 200.5 pupils or more but with fewer than 400.5 pupils £20,000 Primary school with 400.5 pupils or more but with fewer than 600.5 pupils £25,000 Primary school with 600.5 pupils or more £40,000 Secondary school with fewer than 600.5 pupils £50,000 Secondary school with 600.5 pupils or more but with fewer than 1,200.5 pupils £60,000 Secondary school with 1,200.5 pupils or more £70,000 Special school with fewer than 100.5 pupils £18,000 Special school with 100.5 pupils or more £25,000
2
A local education authority shall determine the budget share of a middle deemed primary school which has a year 8 or a year 9 class as if that school were a secondary school.
3
Where a proposed school to which this Part applies will not have a budget share on or before 1st April 2001, a local education authority shall redetermine the budget share of that school in accordance with this Part as soon as it does have a budget share.
4
References in the table to a number of pupils are references to —
a
the number of full-time equivalent pupils registered at the school on 18th January 2001; or
b
in the case of a school which is to open during the financial year or a school proposals for the establishment of which have not been fully implemented, the number of full-time pupils indicated, when proposals for the establishment of the school were published, as the number of such pupils to be admitted to the school when the proposals were fully implemented,
where the “full-time equivalent” is the number of full-time pupils plus half the number of part-time pupils, and a “part-time pupil” is one who attends school other than on the basis that he should attend both morning and afternoon sessions at least 5 days each week.
5
A local education authority shall not determine the budget share of a school in accordance with this Part if proposals to discontinue the school in the financial year beginning on 1st April 2001 have already been approved.
Redeterminations of budget shares under Part III
29
Whenever a local education authority redetermine a school’s budget share in accordance with Part III they shall —
a
first determine an amount in accordance with that Part without taking into account the amount to be added in accordance with this Part; and then
b
add to the amount so determined the amount to be added in accordance with this Part.
PART V
CORRECTION OF ERRORS AND ADDITIONAL ARRANGEMENTS APPROVED BY THE SECRETARY OF STATE
Correction of errors
30
A local education authority may at any time during the financial year redetermine a school’s budget share for the financial year beginning on 1st April 2001 in order to correct an error in a determination or redetermination under these Regulations, whether arising from a mistake as to the number of registered pupils at the school or otherwise.
Additional arrangements approved by the Secretary of State
31
1
The Secretary of State may, where it appears to him to be expedient to do so, authorise a local education authority to determine or redetermine budget shares, to such extent as he may specify, in accordance with arrangements approved by him in place of the arrangements provided for by these Regulations.
2
Authorisations given and arrangements approved by the Secretary of State under the 1999 Regulations or the 2000 Regulations shall, unless the contrary intention appears in such authorisation or arrangements, continue to apply in relation to the financial year beginning on 1st April 2001.
PART VI
SCHEMES
Required content of schemes
32
A scheme prepared by a local education authority under section 48(1) of the 1998 Act shall deal with the matters connected with the financing of schools maintained by the authority set out in Schedule 4.
Manner of publication
33
For the purposes of paragraph 1(7) of Schedule 14 to the 1998 Act (prescribed manner of publication of schemes) a scheme shall be published by the local education authority concerned on its coming into force and in the circumstances prescribed in regulation 34 by —
a
furnishing a copy to the governing body and a copy to the head teacher of each school maintained by the authority; and
b
making a copy available for reference at all reasonable times and without charge at each school maintained by the authority and at the principal education office of the authority.
Additional occasions when schemes require publication
34
For the purposes of paragraph 1(7)(b) of Schedule 14 to the 1998 Act (prescribed occasions on which publication of schemes is required) a scheme shall be published by the local education authority concerned on the coming into force of any revision of it.
Estelle Morris
Minister of State,
Department for Education and Employment
15th February 2001


type: legislation

jurisdiction: UK

text:
PART I
GENERAL
Citation and commencement
1
These Regulations may be cited as the Motor Vehicles (Approval) Regulations 2001 and shall come into force on 1st February 2001.
Revocation
2
The instruments specified in Schedule 1 are hereby revoked.
Interpretation
3
1
In these Regulations, unless the context otherwise requires —
“the 1970 Directive ” means Council Directive 70/156/ EEC of 6th February 1970 on the approximation of the laws of the member states relating to the type-approval of motor vehicles and their trailers as last amended by Directive 98/14/ EC of 25th March 1998 ;
“the 1982 Regulations ” means the Motor Vehicles (Type Approval for Goods Vehicles) (Great Britain) Regulations 1982 ;
“the 1984 Regulations ” means the Motor Vehicles (Type Approval) (Great Britain) Regulations 1984 ;
“the 1988 Act ” means the Road Traffic Act 1988;
“ambulance”, “armoured vehicle”, “hearse” and “motor caravan” have the meanings given by paragraph 1 of Schedule 2;
“approval requirements”, in relation to a vehicle, means the requirements prescribed by section 54 of the 1988 Act as they apply to that vehicle and which are set out in regulation 5(1);
“axle weight”, “gross weight”, “kerbside weight”, “maximum gross weight” and “maximum permitted axle weight” have the meanings given in regulation 3(2) of the Construction and Use Regulations ;
“the Construction and Use Regulations” means the Road Vehicles (Construction and Use) Regulations 1986 ;
“design gross weight” means the weight which the vehicle is designed or adapted not to exceed when in normal use and travelling on a road laden;
“ 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 ;
“family of types” has the same meaning as in Annex XII of the 1970 Directive;
“goods vehicle” means a vehicle of a kind specified in regulation 4(1)(b);
“ kg ” means kilograms;
“ kph ” means kilometres per hour;
“the Lighting Regulations ” means the Road Vehicles Lighting Regulations 1989 ;
“ mm ” means millimetres;
“ mph ” means miles per hour;
“registered” means registered under the Vehicle Excise and Regulation Act 1994 ;
“relevant vehicle” has the meaning given in regulation 4(3);
“Schedule 2 vehicle” has the meaning given in Schedule 2;
“subject matter” means a subject matter in relation to which approval requirements are specified in Schedule 3 or 4 and “applicable subject matter” in relation to a vehicle means a subject matter as respects which approval requirements are applicable to the vehicle in accordance with these Regulations;
“wheel” has the meaning given in regulation 3(2) of the Construction and Use Regulations.
2
References to vehicles of categories M1, M2, M3, N1, N2 and N3 are to vehicles of those categories as defined in Annex II.A of the 1970 Directive.
3
A reference in any provision of these Regulations to a prescribed fee is a reference to the fee (if any) for the time being prescribed for the purposes of that provision in regulations made under section 61 of the 1988 Act.
4
Paragraphs (7) and (8) of regulation 3 of the Construction and Use Regulations (determination of the numbers of wheels and axles of a vehicle) shall apply for the purposes of these Regulations other than item 16 of Schedule 3 as they apply for the purposes of the Construction and Use Regulations other than regulations 26 and 27.
5
For the purposes of these Regulations, a vehicle is to be regarded as being manufactured on or after a particular date if it is first assembled on or after that date, even if it includes one or more parts which were manufactured before that date.
6
Schedule 6 of these Regulations —
a
defines expressions relating to Community instruments and ECE Regulations (including references to complying with provisions of such instruments); and
b
sets out details of Community instruments and ECE Regulations referred to in these Regulations.
PART II
APPROVAL REQUIREMENTS FOR RELEVANT VEHICLES
Application of Regulations
4
1
These Regulations apply to every motor vehicle —
a
to which the 1984 Regulations apply; or
b
to which the 1982 Regulations apply and which either has a design gross weight not exceeding 3,500 kg or complies with the requirements specified in paragraph (2).
2
The requirements referred to in paragraph (1)(b) are that the vehicle in question —
a
has a design gross weight exceeding 3,500 kg but not exceeding 5,500 kg;
b
has a kerbside weight not exceeding 3,425 kg; and
c
belongs to the same family of types as at least one vehicle to which these Regulations apply by virtue of paragraph (1) and which has been granted a Minister’s approval certificate on the basis that it complies with the approval requirements by virtue of these Regulations or the Motor Vehicles (Approval) Regulations 1996 .
3
In these Regulations, “relevant vehicle” means a vehicle to which these Regulations apply.
Approval requirements for relevant vehicles
5
1
Subject to the following provisions of this regulation, the following are prescribed under section 54 of the 1988 Act as requirements as to the design, construction, equipment and marking of relevant vehicles —
a
in the case of any relevant vehicle, compliance with the requirements set out in column 3 of the Table in Schedule 3; and
b
in the case of any relevant vehicle which is not a Schedule 2 vehicle, and in relation to each item in the Table in Schedule 4 for which is specified in column 3(a) of that Table a date which is, or falls before, the date of manufacture of the vehicle, compliance with the requirements of the Community instruments set out in column 3(b) of that Table in relation to that item, or with any equivalent requirement of the ECE Regulations set out in column 3(c) of that Table.
2
Subject to paragraph (3), the requirements of paragraph (1)(b) shall not apply to a relevant vehicle until 1st August 2001.
3
Where, in the case of any relevant vehicle which is of category M1 and to which the requirements of paragraph (1)(b) would not otherwise apply, a person making an application in accordance with regulation 6 requests the Secretary of State in writing at the time of making the application that the provisions of paragraph (1)(b) be applied for the purposes of the application, those provisions shall so apply.
4
The items in Schedule 3 numbered 1, 3, 6, 7, 8, 9, 10, 11, 14, 15, 16 and 19 and the items in Schedule 4 numbered 3, 8, 10, 11, 26, 27 and 28 shall not apply to goods vehicles.
5
The requirements set out or referred to in column 3 of the Tables in Schedules 3 and 4 have effect subject to the exceptions and modifications set out in column 5 of those Tables.
6
An entry in column 4 of an item in the Table in Schedules 3 and 4 shall have effect for the purposes of interpreting or otherwise supplementing the entries in that item and, for convenience, expressions that are defined in that column are printed in bold type.
7
Where a provision of any Community instrument or ECE Regulation is applied by Schedule 4, that provision as so applied shall (except in so far as the contrary intention appears) have effect in relation to —
a
a vehicle to which the 1984 Regulations apply as it has effect in relation to a vehicle of category M1; and
b
a vehicle to which the 1982 Regulations apply as it has effect in relation to a vehicle of category N1.
8
A relevant vehicle shall be regarded as complying with all the requirements prescribed under section 54 of the 1988 Act if at least one of the following three conditions are satisfied in relation to each applicable subject matter mentioned in Schedule 3 or 4 —
a
that the vehicle complies with the requirements set out in paragraph (1);
b
that requirements applicable to the vehicle are prescribed by regulation 4 of the 1984 Regulations or by regulation 4 of the 1982 Regulations in relation to the subject matter and the vehicle complies with those requirements;
c
that there is produced to the Secretary of State evidence that satisfies him that the vehicle has been found by a competent authority in another EEA State to comply with requirements applicable to the vehicle equivalent to those prescribed in relation to the subject matter.
9
For the purposes of paragraph (8)(b), the requirements prescribed by regulation 4 of the 1984 Regulations in relation to the subject matter mentioned in item 6 of column 2 of the Table in Schedule 3 to these Regulations (lamps, reflectors and devices) shall be regarded as the requirements prescribed in relation to —
a
installation of lighting and signalling equipment;
b
direction indicators;
c
headlamps and filament lamps;
d
side, rear and stop lamps;
e
rear reflectors; and
f
rear fog lamps.
10
For the purposes of paragraph (8), regulation 4(1A) of the 1984 Regulations shall have effect as if —
a
for sub-paragraph (a), there were substituted —
a
an entry in column (6) of Part I of Schedule 1 shall not apply to the vehicle if the vehicle was manufactured before the date specified or having effect as if specified in that entry;
; and
b
the words after sub-paragraph (b) were omitted.
11
For the purposes of paragraph (8), regulation 4(2A) of the 1982 Regulations shall have effect as if —
a
for sub-paragraph (a), there were substituted —
a
an entry in column (6) of Part I of Schedule 1 shall not apply to the vehicle if the vehicle was manufactured before the date specified or having effect as if specified in that entry;
; and
b
the words after sub-paragraph (b) were omitted.
12
If a relevant vehicle complies with all the requirements prescribed by —
a
regulation 4 of the 1984 Regulations (disregarding paragraph (9)); or
b
regulation 4 of the 1982 Regulations (disregarding paragraph (10)),
that are applicable to it, the requirements prescribed by this regulation shall not apply to it.
PART III
MISCELLANEOUS
Application for Minister’s approval certificate
6
1
An application for the issue for a Minister’s approval certificate on the basis that the vehicle complies with the approval requirements by virtue of these Regulations shall be made to the Secretary of State.
2
The application shall be in a form which —
a
has been approved by the Secretary of State; and
b
has been duly completed so as to furnish all the information required by that form.
3
The application shall be accompanied by —
a
the documents mentioned in the form as being required in connection with the application; and
b
the prescribed fee.
4
As soon as reasonably practicable after he receives the application, the Secretary of State shall send to the applicant a notice stating the time when and the place where an examination for the purposes of the application is to be carried out.
5
The Secretary of State may by notice to the applicant alter the time when or the place where the examination is to be carried out, but he shall not alter the time to an earlier time without the consent of the applicant.
6
Where an application (“the original application”) made in accordance with the paragraphs (1) to (3) is refused other than by virtue of regulation 10 or on the grounds that the vehicle is not a relevant vehicle, a further application by the same applicant in respect of the vehicle shall be regarded as having been made in accordance with and pursuant to those paragraphs if —
a
it is made (orally or in writing) to the Secretary of State during the period of six months beginning with the date on which the original application was refused; and
b
at the time that he makes the further application, the applicant requests an examination to be carried out for the purpose of the further application —
i
during that period of six months; and
ii
except in the case of a Schedule 2 vehicle other than a left hand drive vehicle or a personally imported vehicle, at the place where the examination took place for the purposes of the original application.
7
Paragraphs (4) and (5) shall not apply to an application made in accordance with paragraph (6); and in the case of such an application —
a
the Secretary of State shall inform the applicant in such manner as he thinks fit of the time when and the place where the examination is to be carried out;
b
the Secretary of State may alter the time when or the place where the examination is to be carried out, but he shall not alter the time to an earlier time without the consent of the applicant;
c
if the Secretary of State so alters the time or place, he shall inform the applicant in such manner as he thinks fit of the time when and the place where the examination is to be carried out; and
d
the applicant shall pay the prescribed fee to the Secretary of State before the examination is carried out.
8
Paragraphs (4) to (7) shall not apply to an application for the issue of a Minister’s approval certificate under section 58(4) of the 1988 Act.
Assignment of vehicle identification numbers
7
1
Where it appears to the Secretary of State when an application is made for a Minister’s approval certificate in accordance with paragraphs (1) to (3) of regulation 6 that the vehicle to which the application relates does not have a vehicle identification number which —
a
complies with paragraph 3.1.1 of the Annex to Directive 76/114/EEC or that Directive as last amended by Directive 78/507/EEC ;
b
has been previously assigned to the vehicle under this regulation; or
c
does not fall within sub-paragraph (a) or (b), but is adequate for the purpose of enabling the vehicle to be identified,
he shall assign a vehicle identification number to the vehicle.
2
Where an application is made under regulation 6 for the issue of a Minister’s approval certificate under section 58(4) of the 1988 Act, paragraph (1) shall have effect as if the words “in accordance with paragraphs (1) to (3) of regulation 6” were omitted.
Criteria for determining design weights
8
For the purposes of section 54(2) of the 1988 Act, where an application is made pursuant to regulation 6, the criteria for determining, as design weights, the axle weights and gross weights which in the opinion of the Secretary of State should not be exceeded in the case of a vehicle to which these Regulations apply are as follows —
a
the design of the vehicle, its construction and equipment and the stresses to which it is likely to be subject when used on a road;
b
any information which is available about the weight which a vehicle of that type was designed by the manufacturer to carry when used on a road; and
c
any information obtained from an examination of a vehicle of that type or a similar type with a view to ascertaining whether at the time of the examination, it complied with any requirement prescribed under section 54 of the 1988 Act and applicable to it.
Appeals
9
1
An appeal under section 60 of the 1988 Act by a person aggrieved by a determination made by the Secretary of State pursuant to an application under regulation 6 shall be made by including with the documents submitted a form which —
a
has been provided by the Secretary of State; and
b
has been completed so as to include a description of the grounds upon which the appeal is made and such other information as may be reasonably required by that form.
2
The appeal shall be accompanied by the prescribed fee.
3
The prescribed time within which an appeal against such a determination may be made is 14 days beginning with the date of the determination.
4
As soon as reasonably practicable after the date of the receipt of the appeal the Secretary of State shall send to the appellant a notice stating the time when and the place where the re-examination for the purpose of determining the issues raised on the appeal is to be carried out.
5
The Secretary of State may by notice to the applicant alter the time when or the place where the re-examination is to be carried out, but he shall not alter the time to an earlier time without the consent of the applicant.
Refusal of application or appeal without an examination or a complete examination
10
1
In this regulation —
“appeal” means an appeal under section 60 of the 1988 Act in respect of the determination of an application;
“application” means an application under regulation 6 for the issue of a Minister’s approval certificate under section 58(1) of the 1988 Act;
“examination” means an examination for the purposes of an application or appeal; and
“examiner”, in relation to an examination, means the person appointed by the Secretary of State to conduct the examination.
2
The Secretary of State may refuse an application or appeal even though an examination has not been carried out if —
a
the vehicle is not submitted for examination at the time and place fixed under these Regulations for the examination;
b
the fee in respect of the examination is not paid at or before the time fixed under these Regulations for the examination;
c
the examiner is not able, with the facilities and apparatus available to him at the place at which the examination would otherwise be carried out, to complete the examination without the vehicle being driven or the engine run and the vehicle is not when submitted for examination, either for want of fuel or oil or for any other reason, fit to be driven or for the engine to be run to such extent as may be necessary for the purposes of carrying out the examination;
d
when the vehicle is submitted for the examination, the vehicle or any item which forms part of the vehicle or its equipment is so dirty or dangerous as to make it unreasonable for the examination to be carried out;
e
any things which are on the vehicle when it is submitted for the examination, and are not part of its equipment or accessories, are required by the examiner to be removed from the vehicle or to be secured in such a manner as he may think necessary and those things are not removed or secured accordingly;
f
when the vehicle is submitted for the examination, a proper examination cannot be carried out as a consequence of any door, tailgate, boot lid, engine cover, fuel cap or other device designed to be capable of being readily opened, being locked or otherwise fixed so that it cannot readily be opened;
g
when the vehicle is submitted for the examination, its condition is such that, in the opinion of the examiner, a proper examination of the vehicle would involve a danger of —
i
injury to any person, or
ii
damage to the vehicle or any other property;
h
when the vehicle is submitted for the examination, there is not permanently fixed to the chassis or main structure of the vehicle in a conspicuous and easily accessible position so as to readily legible, a vehicle identification number which —
i
complies with paragraph 3.1.1 of Annex to Directive 76/114/EEC or that Directive as last amended by Directive 78/507/EEC ;
ii
has been assigned to the vehicle under regulation 7(1); or
iii
does not fall within sub-paragraph (i) or (ii), but appears to the Secretary of State to be adequate for the purpose of enabling the vehicle to be identified; or
i
the person who is the driver of the vehicle at the time it is submitted for the examination is requested to remain in it or its vicinity throughout the examination, to drive it, to operate its controls or to remove or refit its panels and he declines to do so.
3
Nothing in this regulation shall affect any power of the Secretary of State to refuse an application or to reject an appeal otherwise than under this regulation.
Form of certificate
11
1
Subject to the following paragraphs, where a Minister’s approval certificate is issued under section 58(1) of the 1988 Act on the basis that the vehicle complies with the approval requirements by virtue of these Regulations, the certificate shall be in the form set out in Schedule 5 to these Regulations or in a form to the like effect.
2
Where the certificate is issued on the basis that it relates to a vehicle falling within a class specified in column (2) of an item in the Table below there shall be inserted in the box under the words “Class Code” the letter specified in column (3) of that item.
TABLE
(1) (2) (3) Item Class of vehicle Letter
1. Left hand drive vehicle N 2. Personally imported vehicle P 3. Amateur built vehicle A 4. Vehicle manufactured in very low volume L 5. Vehicle manufactured using parts from a registered vehicle C 6. Disabled persons vehicle D 7. Rebuilt vehicle S 8. Motor caravan, ambulance or hearse M 9. Armoured vehicle T 10. Vehicle not falling within any of the preceding classes specified in this Table R 11. Vehicle which meets the condition set out in regulation 5(8)(c) E
3
Any letter or letters inserted pursuant to paragraph (2) may be followed by a zero and then by any letters or numbers that the Secretary of State thinks fit to insert.
4
Expressions used in this regulation which are the subject of definitions in Schedule 2 shall have the meanings given by those definitions.
5
This regulation shall apply to a Minister’s approval certificate issued under section 58(4) of the 1988 Act as it applies to such a certificate issued under section 58(1) of that Act as if for the words “section 58(1)” in the form set out in Schedule 5 to these Regulations there were substituted the words “section 58(4)”.
Replacement certificates
12
1
If a Minister’s approval certificate has been lost or defaced, an application for issue of a replacement for the original certificate may be made, either orally or in writing, to the Secretary of State at the place from which the original certificate was issued.
2
The application shall —
a
specify the identification number of the vehicle in respect of which the original certificate was issued; and
b
be accompanied by the prescribed fee.
3
As soon as reasonably practicable after he receives the application and fee, the Secretary of State shall issue to the applicant a replacement for the certificate to which the application relates and any such replacement shall have the same effect as the certificate which it replaces and shall be marked “replacement”.
Notices
13
Except as otherwise provided by these Regulations, every notice under them shall be in writing and may be given by post.
Obligatory certificates
14
1
Subject to paragraph (2) below, this regulation applies to all relevant vehicles.
2
This regulation does not apply —
a
to any ambulance or a motor caravan;
b
to any registered vehicle;
c
to a vehicle more than 10 years after the time when it was manufactured; or
d
to a vehicle that meets the requirements specified in paragraph (3).
3
The requirements referred to in paragraph (2)(d) are that —
a
the person by whom the vehicle is kept (“the keeper”) is a member of a visiting force or of a member of the civilian component of a visiting force;
b
the vehicle has been imported into the United Kingdom for the personal use of the keeper or of his dependants;
c
there is not in force with respect to the vehicle —
i
a Minister’s approval certificate issued in pursuance of these Regulations;
ii
a certificate of conformity;
iii
a Minister’s approval certificate in a form prescribed by regulation 14 of the 1982 Regulations or regulation 9 of the 1984 Regulations; or
iv
an EC certificate of conformity; and
d
not more than one other vehicle which meets the requirements of sub-paragraphs (a), (b) and (c) is kept in the United Kingdom by the keeper.
4
In paragraph (3) the expressions “member of a visiting force” and “member of a civilian component of a visiting force” shall bear the same meanings as in Part I of the Visiting Forces Act 1952 .
5
The day appointed for the purposes of section 63(1) of the 1988 Act in relation to every vehicle —
a
to which this regulation applies; but
b
which is not of a class for which a day had previously been appointed for those purposes,
is 1st February 2001.
6
Without prejudice to any other Regulations having effect by virtue of section 63(1) of the 1988 Act, all vehicles to which this regulation applies are vehicles of a prescribed class for the purposes of that section.
7
The type approval requirements prescribed for the purposes of section 63(1) of the 1988 Act, in relation to every vehicle to which this regulation applies, are the approval requirements.
8
Section 63(1) of the 1988 Act shall not apply to the use of a relevant vehicle —
a
for the purpose of submitting it (by previous arrangement for a specified time on a specified date) before it is registered for an examination pursuant to an application under these Regulations;
b
for the purpose of bringing it away, before it is registered, from such an examination;
c
by an authorised person for the purpose of —
i
taking it to, or bringing it away from, a place where a part of such an examination is to be, or has been, carried out, or
ii
carrying out a part of such an examination, or
iii
warming up its engine in preparation for such an examination, before it is registered;
d
where an application under regulation 6 is refused following such an examination, for the purpose of —
i
delivering it (by previous arrangement for a specified time on a specified date) at a place where relevant work is to be done on it, or
ii
bringing it away from a place where relevant work has been done on it, before it is registered.
9
In this regulation —
“authorised person” means an examiner appointed under section 66A of the 1988 Act or a person carrying out such an examination under the direction of such an examiner;
“relevant work” means work done or to be done to remedy the defects on the grounds of which the application was refused (including work to alter the vehicle in some aspect of design, construction, equipment or marking on account of which the certificate was refused).
Licences not to be issued for vehicles unless appropriate certificates are in force
15
Where application is made for a licence under the Vehicle Excise and Registration Act 1994 for a vehicle to which regulation 14 applies, the licence shall not be granted unless on the first application after the day appointed by Regulations made by virtue of the 1988 Act for a licence for that vehicle, there is produced evidence that there are one or more certificates in force for the vehicle under sections 54 to 58 of the 1988 Act from which it appears that the vehicle complies with the approval requirements.
Signed by authority of the Secretary of State
Gus Macdonald
Minister of State,
Department of the Environment, Transport and the Regions
9th January 2001


text:
1
This Order may be cited as the A41 Trunk Road (Birkenhead (Wirral) to M53 Motorway) (Detrunking) Order 2001 and shall come into force on 1st April 2002.
2
In this Order —
i
“the plan”
means the plan, numbered HA10/PS/254 and marked “The A41 Trunk Road (Birkenhead (Wirral) to M53 Motorway) (Detrunking) Order 2001”, signed by authority of the Secretary of State for Transport, Local Government and the Regions, and deposited at DTLR Records Management Branch, Ashdown House, Sedlescombe Road North, St Leonards-on-Sea, East Sussex, TN37 7GA.
ii
“principal road”
as a classification for a highway, means that the highway is a principal road for the purposes of enactments and instruments which refer to highways classified as principal roads and is also classified for the purpose of every other enactment and instrument which refers to highways classified by the Secretary of State; and
iii
“the trunk road”
means the A41 Trunk Road
3
The length of the trunk road described in the Schedule to this Order shall cease to be a trunk road and shall be classified as a principal road from the date on which the order comes into force.
Signed by authority of the Secretary of State for Transport, Local Government and the Regions
Kevin Lasbury
Highways Agency
21st November 2001


text:
1
These Regulations may be cited as the Financial Services and Markets Act 2000 (Regulations Relating to Money Laundering) Regulations 2001 and come into force on 18th June 2001.
2
The Money Laundering Regulations 1993 are prescribed for the purposes of section 168(4)(b) and section 402(1)(b) of the Act.
Jim Dowd
Greg Pope
Two of the Lords Commissioners of Her Majesty’s Treasury
9th May 2001


text:
Citation, commencement and application
1
1
This Order may be cited as the National Park and Broads Authorities (Model Code of Conduct) (England) Order 2001 and shall come into force on 27th November 2001.
2
This Order applies in relation to National Park authorities in England and to the Broads Authority , and references to “authority” shall be construed accordingly.
Model code of conduct — National Park authorities and the Broads Authority
2
1
The Secretary of State hereby issues a model code as regards the conduct which is expected of members and co-opted members of authorities and that code is set out in the Schedule to this Order.
2
All the provisions of the model code in the Schedule to this Order are mandatory .
Transitional provision
3
1
On the day an authority’s code of conduct is adopted or applied to it, the following shall, where applicable to the authority, be disapplied as respects that authority until 27th November 2002 —
a
paragraphs 9 and 10 of Schedule 7 to the Environment Act 1995 ;
b
section 19 of the Local Government and Housing Act 1989 ;
c
in section 17 of the Audit Commission Act 1998, subsections (1)(b), (3), (5)(b), (7) and (8) and in subsection (2), the words “subject to subsection (3)” and paragraphs (a) and (b) ; and
d
section 18 of the Audit Commission Act 1998 .
2
Section 16(1) of the Interpretation Act 1978 shall apply to a disapplication under paragraph (1) above as if it were a repeal, by an Act, of an enactment.
Signed by authority of the Secretary of State for Transport, Local Government and the Regions
Nick Raynsford
Minister of State,
Department for Transport, Local Government and the Regions
5th November 2001


text:
Citation, commencement and application
1
1
These Regulations may be cited as the Local Authorities (Arrangements for the Discharge of Functions) (England) (Amendment) Regulations 2001 and shall come into force on 1st January 2002.
2
These Regulations apply to local authorities in England only.
Joint exercise of an executive’s functions
2
In regulation 11 of the Local Authorities (Arrangements for the Discharge of Functions) (England) Regulations 2000 (joint exercise of an executive’s functions) —
a
after paragraph (2), there shall be inserted —
2A
Where —
a
arrangements are made under section 101(5) of the 1972 Act at the same time in relation to more than one function;
b
at least one of those functions is one which is the responsibility of an executive of a local authority; and
c
the arrangements in respect of each function are made on behalf of the same local authorities, regardless of who made the arrangements on behalf of each authority in respect of each function,
the arrangements may provide for one joint committee to discharge all the functions which are the subject of the arrangements on behalf of those authorities.
2B
Subject to paragraph (2C), where the arrangements provide for the discharge of functions by a joint committee, the joint committee may be a new joint committee or an existing joint committee.
2C
Arrangements made on behalf of particular local authorities may only provide for an existing joint committee to discharge functions on behalf of those authorities where each function, which the joint committee will discharge or will continue to discharge once the arrangements are made, is to be discharged on behalf of each of those authorities and not on behalf of any other authorities.
2D
If a function, in relation to which arrangements have been made in accordance with paragraph (2)(b) with a local authority, is a function which becomes the responsibility of an executive of that local authority, the person who by virtue of regulation 3, 4 or 5 above has power to make arrangements under section 101(5) in accordance with this regulation shall take the action specified in paragraph (2E).
2E
As soon as reasonably practicable after the executive becomes responsible for the function, the person shall —
a
decide whether or not the function shall continue to be discharged in relation to the authority in accordance with the existing arrangements; and
b
notify in writing all the other parties to the arrangements —
i
that the executive of the local authority has become responsible for the function; and
ii
what decision he has made under sub-paragraph (a).
2F
Until the person decides whether or not the function shall continue to be discharged in accordance with the existing arrangements in relation to the authority, and notifies in writing that decision to all the other parties to the arrangements, the function shall be so discharged.
2G
Where the person decides that the function shall continue to be discharged in accordance with the existing arrangements in relation to the authority, the function shall continue to be so discharged.
2H
Where the person decides that the function shall not continue to be discharged in accordance with the existing arrangements in relation to the authority, the function shall cease to be so discharged in relation to the authority when the person has notified in writing that decision to all the other parties to the arrangements.
;
b
for paragraph (3), there shall be substituted —
3
Where arrangements provide for the discharge of functions by a joint committee and the functions to be discharged by that joint committee, in relation to an authority, are all the responsibility of the authority —
a
appointment of the joint committee shall be made, under section 102(1)(b) of the 1972 Act ; and
b
the number of members to be appointed, their term of office, and the area (if restricted) within which the committee is to exercise its authority, shall be fixed, under section 102(2) of the 1972 Act,
in relation to the authority, by the authority.
3A
Where arrangements provide for the discharge of functions by a joint committee and the functions to be discharged by that joint committee, in relation to an authority, are all the responsibility of the executive of the authority —
a
appointment of the joint committee shall be made, under section 102(1)(b) of the 1972 Act; and
b
the number of members to be appointed, their term of office, and the area (if restricted) within which the committee is to exercise its authority, shall be fixed, under section 102(2) of the 1972 Act,
in relation to the authority, by the person who, by virtue of regulation 3, 4 or 5 above, has power to make arrangements under section 101(5) of the 1972 Act in accordance with this regulation.
3B
Where arrangements provide for the discharge of functions by a joint committee and one or more, but not all, of the functions to be discharged by that joint committee, in relation to an authority, are the responsibility of the executive of the authority —
a
appointment of the joint committee shall be made, under section 102(1)(b) of the 1972 Act; and
b
the number of members to be appointed, their term of office, and the area (if restricted) within which the committee is to exercise its authority, shall be fixed, under section 102(2) of the 1972 Act,
in relation to the authority, by the authority with the agreement of the executive of that authority.
;
c
in paragraph (5), after “subject of the arrangements”, there shall be inserted “and where the function in question is the responsibility of the executive of that authority”; and
d
paragraph (6) shall be omitted.
Members of joint committees
3
In regulation 12 of the Local Authorities (Arrangements for the Discharge of Functions) (England) Regulations 2000 (members of joint committees) —
a
in paragraph (1), for “paragraphs (2) to (4)”, there shall be substituted “ paragraph (1A) and paragraphs (1D) to (4)”; and
b
after paragraph (1), there shall be inserted —
1A
Subject to paragraph (2), where —
a
the joint committee is discharging a function in relation to five or more local authorities; or
b
the function which the joint committee is discharging is a function which is required by statute to be discharged by a joint committee ,
every person appointed to the joint committee in relation to an authority, in accordance with regulation 11, by the authority’s executive, a member of the executive or a committee of the executive shall be a member of that executive or of that authority, and the political balance requirements shall not apply to the appointment of such members.
1B
A local authority may exercise the function under section 102(3) of the 1972 Act (appointment of persons who are not members of the authority) in relation to a joint committee where members of that committee are appointed by the local authority under section 102(1)(b) of the 1972 Act in accordance with paragraph (3) or (3B) of regulation 11.
1C
Where arrangements provide for the discharge of functions by a joint committee and one or more, but not all, of the functions to be discharged by that joint committee, in relation to an authority, are the responsibility of the executive of the authority —
a
where only one member of the authority is a member of the joint committee, that person may be, but need not be, a member of the executive of the authority; and
b
where more than one member of the authority is a member of the joint committee, at least one member of the executive of the authority shall be a member of the joint committee.
1D
Where —
a
arrangements provide for the discharge of functions by a joint committee;
b
the functions to be discharged by that joint committee, in relation to an authority, are all the responsibility of the executive of the authority; and
c
the joint committee previously discharged one or more functions in relation to the local authority which were not the responsibility of the executive of the authority,
paragraph (1E) shall apply.
1E
Where this paragraph applies —
a
if sub-paragraph (a) or (b) of paragraph (1A) applies, any member of the joint committee, who was appointed by the local authority and is not a member of the authority or of the executive of the authority, shall cease to be a member of the joint committee;
b
if neither sub-paragraph (a) nor (b) of paragraph (1A) applies, any member of the joint committee, who was appointed by the local authority and is not a member of the executive of the authority, shall cease to be a member of the joint committee; and
c
any other member of the joint committee, who was appointed by the local authority, shall be treated as if he had been appointed by the person who, by virtue of regulation 3, 4 or 5 above, has power to make arrangements under section 101(5) of the 1972 Act in accordance with regulation 11.
.
Signed on behalf of the Secretary of State for Transport, Local Government and the Regions
Nick Raynsford
Minister of State,
Department for Transport, Local Government and the Regions
11th December 2001


text:
1
1
This Order may be cited as the Criminal Justice and Police Act 2001 (Commencement No. 1) Order 2001.
2
In this Order, “the 2001 Act ” means the Criminal Justice and Police Act 2001.
2
1
The following provisions of the 2001 Act shall come into force on the day after this Order is made —
a
sections 76 and 77 (codes of practice);
b
sections 104 to 106, except in so far as they amend the Police Act 1997 (vice-chairmen, political balance and removal of age qualification for membership of police authorities);
c
section 134 (criminal records);
d
section 135 (ministerial expenditure);
e
section 136 (interpretation);
f
section 137 (repeals) in so far as it relates to the entries in Schedule 7 referred to in paragraphs (g) and (h) below;
g
in Schedule 7 Part 2, the entries relating to:
i
section 64(4) of the Police and Criminal Evidence Act 1984 ;
ii
article 64(4) of the Police and Criminal Evidence (Northern Ireland) Order 1989 ;
h
in Schedule 7 Part 4, the entries relating to:
i
paragraphs 10 and 16 of Schedule 2 and Schedule 3 to the Police Act 1996 ;
ii
the Greater London Authority Act 1999 .
2
The following provisions of the 2001 Act shall come into force on the day after this Order is made for the purpose of making regulations or orders —
a
section 13 (alcohol consumption in designated public places);
b
section 37 (travel restriction orders); and
c
section 45 (addresses of directors and secretaries of companies).
3
The following provisions of the 2001 Act shall come into force on 1st August 2001 —
a
sections 39 to 41 (intimidating, harming and threatening witnesses);
b
section 44 (collective harassment);
c
sections 48 and 49 (child curfews);
d
section 75 (use of video links for proceedings about Terrorism Act detention);
e
section 86 (execution of process in other domestic jurisdictions);
f
sections 110 and 111 (budget statement and funding of NCIS Service Authority);
g
sections 113 and 114 (budget statement and funding of NCS Service Authority);
h
section 128 (amendments relating to NCIS and NCS) in so far as it relates to paragraphs 3 and 12 of Schedule 6;
i
section 129 (reasons for granting or continuing bail);
j
section 137 (repeals) in so far as it relates to the entries in Schedule 7 referred to in sub-paragraphs (l) and (m) below;
k
paragraphs 3 and 12 of Schedule 6;
l
in Schedule 7 Part 5,
i
the entries relating to sections 32(6A) and 43(5A) of the Local Government Finance Act 1992 ;
ii
the entries relating to sections 2(6), 18, 48(7), 63, 137(2)(d) of and Schedules 3 and 5 to the Police Act 1997;
iii
the entries relating to section 86(3) and paragraphs 110, 111, 114 and 115 of Schedule 27 to the Greater London Authority Act 1999; and
m
in Schedule 7 Part 6, the entry relating to the Bail Act 1976 .
4
The following provisions of the 2001 Act shall come into force on 1st September 2001 —
a
sections 12 to 16 (alcohol consumption in designated public places);
b
section 29 (confiscation of alcohol containers from young persons);
c
sections 46 and 47 (advertisements relating to prostitution).
John Denham
Minister of State
Home Office
18th June 2001


text:
Citation and commencement
1
These Regulations may be cited as the Motor Vehicles (EC Type Approval) (Amendment) Regulations 2001 and shall come into force on 31st August 2001.
Amendments to Schedule 1 (Separate Directives)
2
1
Schedule 1 to the Motor Vehicles (EC Type Approval) Regulations 1998 shall be further amended by the insertion in the third and fourth columns of the Table of the entries specified below.
2
In item 2 (emissions), after the last entry —
2001/1/EC† L35,6.2.2001,p.34
3
In item 3 (fuel tanks/rear protective devices), after the last entry —
2000/8/EC†(corrigendum) L64,6.3.2001,p.39
4
In item 6 (doors, latches and hinges), after the last entry —
2001/31/EC* L130, 12.5.2001,p.33
5
In item 41 (diesel emissions), after the last entry —
2001/27/EC* L107,18.4.2001,p.10
Signed by authority of the Secretary of State for Transport, Local Government and the Regions
David Jamieson
Parliamentary Under Secretary of State,
Department for Transport, Local Government and the Regions
1st August 2001


text:
Citation, commencement, interpretation and extent
1
1
This order may be cited as the Broadmoor Hospital Authority (Abolition) Order 2001 and shall come into force on 1st April 2001.
2
In this Order —
“ the Act ” means the National Health Service Act 1977;
“the Authority” means the Broadmoor Hospital Authority established by the Authorities for the Ashworth, Broadmoor and Rampton Hospitals (Establishment and Constitution) Order 1996 ;
“designated officer” means an officer mentioned in the list marked “The Broadmoor Hospital Authority (Abolition) Order 2001 (Transfer of Officers to the London Borough of Ealing) List of Designated Officers” signed on behalf of the Secretary of State on 8th March 2001 ;
“the Trust” means the West London Mental Health National Health Service Trust .
3
This Order extends to England and Wales .
Abolition of the Authority and amendment of Order and Regulations
2
The Authority is hereby abolished and
a
the Authorities for the Ashworth, Broadmoor and Rampton (Establishment and Constitution) Order 1996 is amended by omitting the entry in the Schedule relating to the Broadmoor Hospital Authority, and
b
the Ashworth, Broadmoor and Rampton Hospital Authorities (Functions and Membership) Regulations are amended by omitting “Broadmoor” from the definition of “the hospitals” in regulation 1(2)(a).
Transfer of Staff
3
1
Subject to paragraph (2), any person who, immediately before the coming into force of this Order, was an officer of the Authority shall, on the coming into force of this Order, be transferred to the employment of the relevant new employer.
2
This regulation shall not apply to an officer of the Authority whose contract of employment terminates on the day immediately preceding the coming into force of this Order.
3
The contract of employment of an officer transferred under paragraph (1) —
a
is not terminated by the transfer, and
b
has effect from the time of the transfer as if originally made between the officer and the relevant new employer.
4
Without prejudice to paragraph (3) —
a
any right or liability of the Authority under or in connection with the officer’s contract of employment shall by virtue of this paragraph be transferred to the relevant new employer;
b
anything done before the date of the transfer by or in relation to the Authority in respect of the officer or the contract of employment shall be deemed from that time to have been done by or in relation to the relevant new employer.
5
Paragraphs (1), (3) and (4) do not transfer an officer’s contract of employment, or any right or liability under or in connection with it, if he informs the Authority or the relevant new employer that he objects to the transfer.
6
Where an officer objects as mentioned in sub-paragraph (5) his contract of employment with the Authority shall be treated as having been terminated immediately before the date on which the transfer would occur, but he shall not be treated, for any purpose, as having been dismissed by the Authority.
7
This article is without prejudice to any right of an officer to terminate his contract of employment if a substantial change is made to his detriment in his working conditions; but no such right shall arise by reason only that the identity of his employer changes unless the officer shows, that, in all the circumstances, the change is a significant change and is to his detriment.
8
For the purposes of this article, the relevant new employer is —
a
in the case of a designated officer, the London Borough of Ealing;
b
in any other case, the Trust.
Transfer of property, rights and liabilities
4
The property, rights and liabilities of the Authority shall be transferred to the Trust.
Winding-Up of affairs of the Authority
5
It shall be the duty of the Trust to take such action as may be necessary for the winding-up of the affairs of the Authority, including the preparation of the outstanding accounts of the Authority and the performance of all statutory duties relating to those accounts.
Signed by authority of the Secretary of State for Health
John Hutton
Minister of State,
Department of Health
8th March 2001


text:
Citation and commencement
1
These Regulations may be cited as the Financial Services (EEA Passport Rights) Regulations 2001 and come into force on 30th April 2001.
Amendment of the Financial Services and Markets Act 2000
2
1
Part III of Schedule 3 to the Financial Services and Markets Act 2000 is amended as follows.
2
In paragraph 20, after sub-paragraph (3) insert —
3A
If the firm’s EEA right derives from any of the insurance directives, the Authority must, within one month of receiving the notice of intention —
a
give notice in specified terms (“a consent notice”) to the host state regulator; or
b
give written notice to the firm of —
i
its refusal to give a consent notice; and
ii
its reasons for that refusal.
.
3
In sub-paragraph (4) of that paragraph, after “sub-paragraph (3)” insert “or gives a consent notice”.
4
After that sub-paragraph insert —
4A
If the firm is given notice under sub-paragraph (3A)(b), it may refer the matter to the Tribunal.
4B
If the firm’s EEA right derives from any of the insurance directives, it must not provide the services to which its notice of intention relates until it has received written notice under sub-paragraph (4).
4C
Rules may specify the procedure to be followed by the Authority under this paragraph.
.
5
Omit sub-paragraph (5) of that paragraph.
6
In paragraph 21(1)(b), for “(5)” substitute “(4B)”.
Jim Dowd
David Clelland
Two of the Lords Commissioners of Her Majesty’s Treasury
4th April 2001