text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Leeds North West Primary Care Trust (Establishment) Order 2001 and shall come into force on 16th November 2001.
2
In this Order, unless the context otherwise requires —
“the Act” means the National Health Service Act 1977;
“Executive Committee” has the meaning given in regulation 1(2) of the Membership Regulations ;
“member”, “officer member” and “non-officer member” have the meanings given in regulation 1(2) of the Membership Regulations;
“Membership Regulations” means the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000 ;
“operational date” is to be construed in accordance with paragraph 1(2) of Schedule 5A to the Act;
“preparatory period” is to be construed in accordance with paragraph 2(2) of Schedule 5A to the Act;
“the trust” means the Leeds North West Primary Care Trust established by article 2 of this Order.
Establishment, operational date and name of the Primary Care Trust
2
1
There is hereby established with effect from 16th November 2001 a Primary Care Trust to be called the Leeds North West Primary Care Trust.
2
The operational date of the trust shall be 1st April 2002.
Area of the trust
3
The trust shall be established for the area specified in the Schedule to this Order.
Members of the trust
4
1
The trust shall have, in addition to the chairman, 5 officer members and 5 non-officer members.
2
The non-officer members shall comprise the persons appointed by the Secretary of State under regulation 2(3) of the Membership Regulations.
3
The officer members shall comprise —
a
the persons who for the time being hold the offices of the Chief Executive and the Director of Finance of the trust;
b
the person who for the time being holds the post of chairman of the Executive Committee of the trust;
c
2 persons appointed by the chairman of the trust following nomination by the Executive Committee of the trust.
Limitations on the exercise of functions by the trust during the preparatory period
5
During the preparatory period the exercise of functions by the trust shall be limited to the following —
a
entering into NHS contracts;
b
entering into other contracts including contracts of employment; and
c
doing such other things as are reasonably necessary to enable it to begin to operate satisfactorily with effect from the operational date.
Assistance during the preparatory period
6
1
The Leeds Health Authority shall meet the costs of the trust performing its functions during the preparatory period by discharging such of the liabilities of the trust incurred during that period as are of a description specified in paragraph (2) and do not in aggregate exceed such amount as may be notified by the Authority to the trust.
2
The liabilities referred to in the preceding paragraph are —
a
liability for the remuneration and travelling or other allowances of the chairman and members of the trust;
b
liability for the travelling or other allowances of the members of committees and sub-committees of the trust who are not also members of the trust;
c
liability for the remuneration of officers of the trust; and
d
any other liability which may reasonably be incurred by the trust for the purpose of enabling it to begin to operate satisfactorily with effect from its operational date.
3
The Leeds Health Authority shall make available to the trust during the preparatory period —
a
premises and other facilities of the Authority; and
b
officers of the Authority.
4
The Leeds Teaching Hospitals National Health Service Trust shall make available to the trust during the preparatory period —
a
premises and other facilities of the NHS trust; and
b
staff of the NHS trust.
5
The Leeds Community and Mental Health Services Teaching National Health Service Trust shall make available to the trust during the preparatory period —
a
premises and other facilities of the NHS trust; and
b
staff of the NHS trust.
Signed by authority of the Secretary of State
Jacqui Smith
Minister of State,
Department of Health
6th November 2001


type: legislation

jurisdiction: UK

text:
Citation, commencement and extent
1
1
These Regulations may be cited as the Child Minding and Day Care (Disqualification) (England) Regulations 2001 and shall come into force on 2nd July 2001.
2
These Regulations extend only to England.
Interpretation
2
In these Regulations —
“the 2000 Act ” means the Criminal Justice and Court Services Act 2000 ;
“disqualification order”, “qualifying sentence”, “relevant order” and “senior court” have the same meanings as in section 30 of the 2000 Act;
“disqualified” means disqualified for registration under Part XA of the Children Act 1989 for child minding or providing day care;
“offence against a child” has the meaning given in section 26 of the 2000 Act;
“rehabilitation period” has the same meaning as in the Rehabilitation of Offenders Act 1974 ;
“Tribunal” means the Tribunal established by section 9 of the Protection of Children Act 1999 .
Offences against children
3
1
A person is, subject to paragraph (2) and regulation 9, disqualified if —
a
he has been convicted of an offence against a child in respect of which a qualifying sentence has been imposed by a senior court; or
b
he has been charged with an offence against a child in respect of which a relevant order has been imposed by a senior court; and
c
where, in either case, the offence fell to be considered under Part II of the 2000 Act, the court has made a disqualification order in resepct of that offence.
2
A person shall not be disqualified under paragraph (1) in respect of any offence if the person has successfully appealed against the disqualification order (pursuant to section 31 of the 2000 Act) or if the Tribunal has determined (pursuant to section 32 of that Act) that he shall no longer be subject to the disqualification order unless the High Court has restored the disqualification order (pursuant to section 34 of that Act) following such a determination.
Offences against adults
4
1
A person is, subject to paragraph (2) and regulation 9, disqualified if he has been —
a
convicted of any offence, committed against a person aged 18 or over, mentioned in paragraph 2 of Schedule 4 to the 2000 Act in respect of which a qualifying sentence has been imposed by a senior court; or
b
charged with any offence, committed against a person aged 18 or over, mentioned in paragraph 2 of Schedule 4 to the 2000 Act in respect of which a relevant order has been imposed by a senior court.
2
A person shall cease to be disqualified under paragraph (1) where the rehabilitation period applicable to the conviction under the Rehabilitation of Offenders Act 1974 has expired save that, where the conviction is one for which there is no rehabilitation period, the person shall cease to be disqualified after the following periods from the date of conviction —
a
in the case of a person aged 18 or over at the date of conviction, 10 years; and
b
in the case of a person aged under 18 at the date of conviction, 5 years.
Protection of Children Act list
5
A person who is included in the list of persons kept under section 1 of the Protection of Children Act 1999 (list of those considered by the Secretary of State unsuitable to work with children) is disqualified.
Education Reform Act list
6
A person who is included on the grounds mentioned in subsection (6ZA)(c) of section 218 of the Education Reform Act 1988 in the list kept for the purposes of regulations made under subsection (6) of that section (list of those who are prohibited or restricted from teaching) is disqualified.
Education Act 1996 list
7
A person who is included on the grounds that he is unsuitable to work with children in any list kept by the Secretary of State of persons who are subject to a disqualification imposed under section 470 or 471 of the Education Act 1996 (disqualification of persons from being proprietors of independent schools or from being teachers or employeers in any school) is disqualified.
Persons living in a household where a disqualified person lives or works
8
Subject to regulation 9, a person who lives —
a
in the same household as a person who is himself disqualified; or
b
in a household at which any such person is employed,
is disqualified.
Local authority waivers
9
Where a person would be disqualified by virtue of regulation 3, 4 or 8 but that person has, in relation to a registration for child minding or providing day care granted by a local authority pursuant to Schedule 9 to the Children Act 1989, disclosed the facts that would give rise to the disqualification to the authority and the authority have given their consent in writing then that person shall not, in respect of the facts so disclosed, be regarded as disqualified for the purpose of these Regulations.
Margaret Hodge
Parliamentary Under Secretary of State,
Department for Education and Employment
9th May 2001


text:
1
This Order may be cited as the Value Added Tax (Business Gifts of Small Value) Order 2001 and shall come into force on 8th March 2001 and shall apply in relation to gifts made on or after that date.
2
In Schedule 4 to the Value Added Tax Act 1994 (matters to be treated as supply of goods or services), in paragraph 5(2)(a) (gift of goods in the course or furtherance of a business not a supply if cost to donor is not more than £15) , for “£15” there shall be substituted “£50”.
Jim Dowd
Greg Pope
Two of the Lords Commissioners of Her Majesty’s Treasury
7th March 2001


text:
Citation and commencement
1
These Regulations may be cited as the Community Drivers' Hours (Foot-and-Mouth Disease) (Temporary Exception) (No. 2) (Amendment No. 2) Regulations 2001 and shall come into force on 3rd July 2001.
Amendment of the Community Drivers' Hours (Foot-and-Mouth Disease) (Temporary Exception) (No. 2) Regulations 2001
2
1
The Community Drivers' Hours (Foot-and-Mouth Disease) (Temporary Exception) (No. 2) Regulations 2001 shall be amended as follows.
2
In regulation 3(1), for the words “until 3rd July 2001” there shall be substituted the words “until 2nd August 2001”.
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
2nd July 2001


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Welwyn Hatfield Primary Care Trust (Establishment) Order 2001 and shall come into force on 21st February 2001.
2
In this Order, unless the context otherwise requires —
“the Act” means the National Health Service Act 1977;
“Executive Committee” has the meaning given in regulation 1(2) of the Membership Regulations ;
“member”, “officer member” and “non-officer member” have the meanings given in regulation 1(2) of the Membership Regulations;
“Membership Regulations” means the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000 ;
“operational date” is to be construed in accordance with paragraph 1(2) of Schedule 5A to the Act;
“preparatory period” is to be construed in accordance with paragraph 2(2) of Schedule 5A to the Act;
“the trust” means the Welwyn Hatfield Primary Care Trust established by article 2 of this Order.
Establishment and name of the Primary Care Trust
2
There is hereby established a Primary Care Trust which is to be called the Welwyn Hatfield Primary Care Trust.
Area of the trust
3
The trust shall be established for the area specified in the Schedule to this Order.
Members of the trust
4
1
The trust shall have, in addition to the chairman, 5 officer members and 5 non-officer members.
2
The non-officer members shall comprise the persons appointed by the Secretary of State under regulation 2(3) of the Membership Regulations.
3
The officer members shall comprise —
a
the persons who for the time being hold the offices of Chief Executive and Director of Finance of the trust;
b
the person who for the time being holds the post of chairman of the Executive Committee of the trust;
c
2 persons appointed by the chairman of the trust following nomination by the Executive Committee of the trust.
Operational date of the trust
5
The trust’s operational date shall be 1st April 2001.
Limitations on the exercise of functions by the trust during the preparatory period
6
During the preparatory period the exercise of functions by the trust shall be limited to the following —
a
entering into NHS contracts;
b
entering into other contracts including contracts of employment; and
c
doing such other things as are reasonably necessary to enable it to begin to operate satisfactorily with effect from the operational date.
Assistance during the preparatory period
7
1
The East and North Hertfordshire Health Authority shall meet the costs of the trust performing its functions during the preparatory period by discharging such of the liabilities of the trust incurred during that period as are of a description specified in paragraph (2) and do not in aggregate exceed such amount as may be notified by the Authority to the trust.
2
The liabilities referred to in the preceding paragraph are —
a
liability for the remuneration and travelling or other allowances of the chairman and members of the trust;
b
liability for the travelling or other allowances of the members of committees and sub-committees of the trust who are not also members of the trust;
c
liability for the remuneration of officers of the trust; and
d
any other liability which may reasonably be incurred by the trust for the purpose of enabling it to begin to operate satisfactorily with effect from its operational date.
3
The East and North Hertfordshire Health Authority shall make available to the trust during the preparatory period —
a
premises and other facilities of the Authority; and
b
officers of the Authority.
4
The East and North Hertfordshire National Health Service Trust shall make available to the trust during the preparatory period —
a
premises and other facilities of the NHS trust; and
b
staff of the NHS trust.
Signed by authority of the Secretary of State
Hunt
Parliamentary Under Secretary of State,
Department of Health
11th February 2001


text:
Citation, commencement, interpretation and extent
1
1
These Regulations may be cited as the National Assistance (Assessment of Resources) (Amendment) (No. 3) (England) Regulations 2001 and shall come into force on 12th April 2001.
2
These Regulations extend to England only .
Amendment of Schedule 4 to the National Assistance (Assessment of Resources) Regulations 1992
2
In Schedule 4 to the National Assistance (Assessment of Resources) Regulations 1992 , after paragraph 20, insert the following new paragraph —
21
Any payment which would be disregarded under paragraph 64 of Schedule 10 to the Income Support Regulations (payments under a trust established out of funds provided by the Secretary of State in respect of persons who suffered or are suffering from variant Creutzfeldt-Jakob disease).
Signed by authority of the Secretary of State for Health
John Hutton
Minister of State,
Department of Health
21st March 2001


text:
1
This Order may be cited as the Financial Services Act 1986 (Exemption) Order 2001 and comes into force on 9th April 2001.
2
Article 3 of the Financial Services Act 1986 (Miscellaneous Exemptions) Order 1995 is omitted.
Jim Dowd
David Jamieson
Two of the Lords Commissioners of Her Majesty’s Treasury
19th March 2001


text:
Citation and commencement
1
This Order may be cited as the Lincoln District Healthcare and the South Lincolnshire Healthcare National Health Service Trusts (Dissolution) Order 2001 and shall come into force on 1st April 2001.
Dissolution of NHS trusts
2
1
The Lincoln District Healthcare National Health Service Trust established by the Lincoln District Healthcare National Health Service Trust (Establishment) Order 1993 is hereby dissolved, and accordingly that Order is hereby revoked.
2
The South Lincolnshire Healthcare National Health Service Trust established by the South Lincolnshire Community and Mental Health Services National Health Service Trust (Establishment) Order 1992 is hereby dissolved, and accordingly that Order is hereby revoked.
Signed by authority of the Secretary of State for Health
Yvette Cooper
Parliamentary Under-Secretary of State for Public Health,
Department of Health
28th January 2001


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the Teignbridge Primary Care Trust (Establishment) Order 2001 and shall come into force on 26th February 2001.
2
In this Order, unless the context otherwise requires —
“the Act” means the National Health Service Act 1977;
“Executive Committee” has the meaning given in regulation 1(2) of the Membership Regulations ;
“member”, “officer member” and “non-officer member” have the meanings given in regulation 1(2) of the Membership Regulations;
“Membership Regulations” means the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000 ;
“operational date” is to be construed in accordance with paragraph 1(2) of Schedule 5A to the Act;
“preparatory period” is to be construed in accordance with paragraph 2(2) of Schedule 5A to the Act;
“the trust” means the Teignbridge Primary Care Trust established by article 2 of this Order.
Establishment and name of the Primary Care Trust
2
There is hereby established a Primary Care Trust which is to be called the Teignbridge Primary Care Trust.
Area of the trust
3
The trust shall be established for the area specified in the Schedule to this Order.
Members of the trust
4
1
The trust shall have, in addition to the chairman, 5 officer members and 5 non-officer members.
2
The non-officer members shall comprise the persons appointed by the Secretary of State under regulation 2(3) of the Membership Regulations.
3
The officer members shall comprise —
a
the persons who for the time being hold the offices of Chief Executive and Director of Finance of the trust;
b
the person who for the time being holds the post of chairman of the Executive Committee of the trust;
c
2 persons appointed by the chairman of the trust following nomination by the Executive Committee of the trust.
Operational date of the trust
5
The trust’s operational date shall be 1st April 2001.
Limitations on the exercise of functions by the trust during the preparatory period
6
During the preparatory period the exercise of functions by the trust shall be limited to the following —
a
entering into NHS contracts;
b
entering into other contracts including contracts of employment; and
c
doing such other things as are reasonably necessary to enable it to begin to operate satisfactorily with effect from the operational date.
Assistance during the preparatory period
7
1
The South and West Devon Health Authority shall meet the costs of the trust performing its functions during the preparatory period by discharging such of the liabilities of the trust incurred during that period as are of a description specified in paragraph (2) and do not in aggregate exceed such amount as may be notified by the Authority to the trust.
2
The liabilities referred to in the preceding paragraph are —
a
liability for the remuneration and travelling or other allowances of the chairman and members of the trust;
b
liability for the travelling or other allowances of the members of committees and sub-committees of the trust who are not also members of the trust;
c
liability for the remuneration of officers of the trust; and
d
any other liability which may reasonably be incurred by the trust for the purpose of enabling it to begin to operate satisfactorily with effect from its operational date.
3
The South and West Devon Health Authority shall make available to the trust during the preparatory period —
a
premises and other facilities of the Authority; and
b
officers of the Authority.
Exercise of functions
8
In exercising the functions conferred on it under section 17A(a) of the Act the trust shall not provide services directly to patients.
Signed by authority of the Secretary of State
Gisela Stuart
Parliamentary Under Secretary of State,
Department of Health
14th February 2001


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Stakeholder Pension Schemes (Amendment) (No.2) Regulations 2001 and shall come into force on 5th April 2001.
2
In these Regulations, unless the context otherwise requires, a reference to a numbered regulation or numbered schedule, is to the regulation or schedule bearing that number in the Stakeholder Pension Schemes Regulations 2000 .
Amendment of regulation 1
2
1
Regulation 1 (citation, commencement and interpretation) shall be amended as follows.
2
In paragraph (2) for “and Part IV shall come into force on 8th October 2001.” substitute —
and —
a
regulation 23 shall come into force on 6th April 2001; and
b
Part IV (except regulation 23) shall come into force on 8th October 2001.
.
3
In paragraph (3) —
a
after the definition of “beneficiary” insert —
“dilution levy” has the meaning given by —
in relation to —
a scheme to which Part 4A (single pricing and dealing) of The Financial Services (Regulated Schemes) Regulations 1991 applies; or
where a scheme to which those Regulations apply has constituent parts for the purposes of Table 12.1 of those Regulations (umbrella schemes: application of regulations) as modified by Part 4C of those Regulations (single pricing: adaptation of regulations), each such constituent part to which that Part 4A applies,
Schedule 4 to those Regulations as modified by that Part 4C;
in relation to a company in relation to which The Financial Services (Open-Ended Investment Companies) Regulations 1997 apply, Schedule 3 to those Regulations;
; and
b
after the definition of “reporting accountant” insert —
“scheme instruments” means instruments establishing a stakeholder pension scheme;
.
4
After paragraph (7) insert —
8
In paragraph (3), references in the definition of “dilution levy” to —
a
The Financial Services (Regulated Schemes) Regulations 1991 are references to those Regulations; and
b
The Financial Services (Open-Ended Investment Companies) Regulations 1997 are references to those Regulations,
as in force on the date on which the Stakeholder Pension Schemes (Amendment) (No.2) Regulations 2001 were made.
.
Amendment of regulation 3
3
1
Regulation 3 (requirements applying to all stakeholder pension schemes as regards instruments establishing such schemes) shall be amended as follows.
2
In paragraph (1) for “the instruments establishing a stakeholder pension scheme (the “scheme instruments”)” substitute “the scheme instruments”.
3
In paragraph (5A) for “Subject to paragraphs (10) and (11) and to regulation 17(1),” substitute —
Subject to paragraph (10) and to regulation 17(1) and (5),
.
4
After paragraph (5A) insert —
5B
The scheme instruments must, except to the extent necessary to ensure that the scheme has tax-exemption or tax-approval, permit as means of payment of contributions to the scheme payment from a bank account or building society account by —
a
cheque;
b
direct debit;
c
standing order;
d
direct credit (other than standing order),
and (for the avoidance of doubt) for the purposes of this paragraph, those means of payment do not include payment by cash, credit card or debit card (or by any combination thereof).
.
5
Omit paragraph (11).
Amendment of regulation 4
4
1
Regulation 4 (additional requirements as regards instruments establishing a stakeholder pension scheme established under a trust) shall be amended as follows.
2
In paragraph (3) for “The instruments establishing a stakeholder pension” substitute “The scheme instruments of a”.
3
In paragraph (4)(a) for “or by this regulation” substitute “, by this regulation or by regulation 6”.
Amendment of regulation 8
5
In regulation 8(6) (requirement applying to all stakeholder pension schemes as regards investments) for the definition of “contract of insurance” substitute —
“contract of insurance” means a contract —
any (or any part) of whose objects is within any of classes I, III and VII of insurance business specified in Schedule 1 to the Insurance Companies Act 1982 (classes of long term business); and
which is carried out by a person authorised under that Act to carry on insurance business including carrying out such a contract;
.
Amendment of regulation 10
6
1
Regulation 10 (requirement for manager of schemes not established under a trust to have regard to certain matters, and to take advice, relating to investment) shall be amended as follows.
2
In paragraph (4) after “proper advice as to whether the investment” insert “or investment option”.
3
After paragraph (4) insert —
4A
The manager of the scheme, and any person managing funds held for the purposes of the scheme, must, if retaining any investment or investment option for the purposes of the scheme —
a
determine at what intervals the circumstances, and in particular the nature of the investment or investment option, make it desirable to obtain and consider in relation to that investment or investment option such advice as is mentioned in paragraph (4); and
b
obtain and consider such advice accordingly.
.
4
In paragraph (5) for “For the purposes of paragraph (4)” substitute “For the purposes of this regulation”.
5
In paragraph (6) —
a
for “Paragraph (4) does not apply” substitute “Paragraphs (4) and (4A)(b) do not apply”; and
b
for “themselves” substitute “himself”.
6
In paragraph (7) —
a
after “To the extent that paragraph (4)” insert “or (4A)(b)”; and
b
for “persons who may themselves give proper advice” to the end substitute —
a person who may himself give proper advice —
a
must —
i
before making any investment or selecting any investment option for the purposes of the scheme, consider; and
ii
if so retaining any investment or investment option, consider at such intervals as are determined by him in relation to that investment or investment option under paragraph (4A)(a),
whether the investment or investment option is satisfactory having regard to the matters mentioned in paragraph (3) and the principles contained in the statement under regulation 9; and
b
must record in writing the reasons why he considers that any —
i
investment he makes or retains; or
ii
investment option he selects or retains,
is satisfactory having regard to those matters and principles.
.
7
For paragraph (8) substitute —
8
No person shall be regarded as having complied with —
a
paragraph (4) unless the advice to be obtained and considered by him under that paragraph is given or (by the giver of the advice) confirmed in writing;
b
paragraph (4A)(a) unless the determination to be made by him under that paragraph is recorded by him in writing;
c
paragraph (4A)(b) unless the advice to be obtained and considered by him under that paragraph is given or (by the giver of the advice) confirmed in writing.
.
Amendment of regulation 11
7
1
Regulation 11 (requirement for manager of schemes not established under trust to appoint a reporting accountant) shall be amended as follows.
2
In paragraph (1) for “Subject to paragraph (2), for” substitute “For”.
3
Omit paragraph (2).
4
For paragraph (3) substitute —
3
There shall be appointed as reporting accountant for the scheme (“the reporting accountant”), by the trustees or manager of the scheme, a person who is eligible under paragraph (4) for such appointment.
.
5
For paragraph (4) substitute —
4
A person is eligible for appointment as the reporting accountant only if —
a
he is not or, in the case of a partnership, no partner or employee of the partnership is a member of the scheme;
b
he is not or, in the case of a partnership, neither the partnership nor any partner or employee of the partnership is connected with or an associate of the manager, or any of the trustees, of the scheme;
c
he is eligible (but subject to paragraph (10)) under section 25 of the Companies Act 1989 (“the 1989 Act ”) for appointment as a company auditor; and
d
he is not by virtue of section 27 of the 1989 Act ineligible for appointment as company auditor of a company which is an employer in relation to the scheme.
.
6
In paragraphs (6) to (8), for “manager” in each place where it occurs substitute “trustees or manager”.
7
In paragraph (7) —
a
after “in the event of his resignation” insert “(including where he resigns solely or partly because he is required to do so by paragraph (7A))”; and
b
for sub-paragraph (b) substitute —
b
a declaration that he knows of no such circumstances,
but for the purposes of this paragraph, such circumstances shall not include the mere fact of his being, or having become, ineligible as mentioned in paragraph (7A).
.
8
After paragraph (7) insert —
7A
Where the reporting accountant is or becomes ineligible, by virtue of paragraph (11) or of not satisfying the conditions in paragraph (4), for his appointment as such —
a
he shall not act as the reporting accountant (except if required to do so under paragraph (6), and except as required by his agreement under paragraph (7) and as required by sub-paragraphs (c) and (d));
b
anything done for the purposes of these Regulations by him acting as such while ineligible in contravention of sub-paragraph (a) shall by the trustees or manager be taken for those purposes not to have been done;
c
he shall resign (with immediate effect) by notice in writing immediately he is or becomes aware, or, as the case may be, should reasonably be or become aware, that he is or has become so ineligible;
d
he shall state in that notice —
i
that he is resigning by reason of ineligibility; and
ii
the ground on which he is or has become so ineligible;
e
notwithstanding sub-paragraph (c), if he is still in place when the trustees or manager are or become aware, or should reasonably be or become aware, that he is or has become so ineligible, the trustees or manager shall remove him immediately.
.
9
In paragraph (8) —
a
for “Where” substitute “Except in cases falling within paragraph (9), where”; and
b
for “shall appoint” to the end substitute —
shall appoint, in accordance with this regulation, another reporting accountant —
a
within 3 months of the date of that removal, resignation or death; or
b
if earlier, as soon as is required in order not to prevent compliance with regulation 12(5) and (6).
.
10
After paragraph (8) insert —
9
Where under paragraph (7A) the reporting accountant resigns with immediate effect or is removed, the trustees or manager shall appoint, in accordance with this regulation, another reporting accountant —
a
within one month of the date of that resignation or removal; or
b
if earlier, as soon as is required in order not to prevent compliance with regulation 12(5) and (6).
10
For the purposes of paragraph (4)(c), a person is not eligible under section 25 of the 1989 Act for appointment as a company auditor if section 34 of that Act applies to him (individuals retaining only authorisation under section 13(1) of the Companies Act 1967) .
11
In this regulation references to a person are references to an individual, a body corporate or a partnership.
.
Amendment of regulation 12
8
1
Regulation 12 (requirement for annual declaration) shall be amended as follows.
2
In paragraph (2) —
a
after “ending on” insert “and including”; and
b
for sub-paragraphs (a) to (d) substitute —
a
a statement that the trustees or manager are responsible for ensuring —
i
that there are in place; and
ii
proper use of,
systems which and controls which ensure the proper administration of the scheme;
b
a statement describing each of the —
i
principal systems; and
ii
principal controls,
designed to ensure the proper administration of the scheme and which were in place for all or any part of the period in relation to which the declaration is made (whether put in place during or prior to that period);
c
a statement, in relation to each of those principal systems and principal controls, of which particular aspect of the proper administration of the scheme that system or control was designed to ensure;
d
a statement that the (not merely the principal) systems designed as mentioned in sub-paragraph (b) and in place as so mentioned, and controls so designed and so in place, were overall of a design such that, and used such that, they provide reasonable assurance —
i
in relation to each of those systems and controls, that there has been ensured that particular aspect of the proper administration of the scheme which that system or control was designed to ensure; and
ii
that the statement made under sub-paragraph (e) is true;
e
a statement —
i
that regulations 13 and 14 of these Regulations have been complied with in relation to the scheme;
ii
that transactions for the purposes of the scheme in securities, property or other assets occur at a fair market value;
iii
that the value of members' rights has been determined in accordance with the provisions in the instruments establishing the scheme; and
iv
that adequate accounts and records have been maintained for the purposes of providing to members the statement required by regulation 18(2) of these Regulations; and
f
a statement that the conditions mentioned in section 1(1) were fulfilled.
.
3
Omit paragraph (4).
4
In paragraph (5) —
a
for “In the case of a scheme not established under a trust, the manager shall” substitute “The trustees or manager shall”; and
b
for sub-paragraphs (a) and (b) substitute —
a
a statement —
i
as to whether, in the opinion of the reporting accountant, it was or was not reasonable for the trustees or manager to make the statements mentioned in paragraph (2)(b) and (d) and contained in the declaration;
ii
so far as the reporting accountant is unable to express such an opinion, explaining why he is unable to do so; and
b
a statement containing a summary —
i
of the tests performed by the reporting accountant for the purposes of his making the statement mentioned in sub-paragraph (a); and
ii
of the results of those tests.
.
5
In each of paragraphs (6) and (7) —
a
for “statement” substitute “statements”; and
b
omit “(4) or”.
6
After paragraph (7) insert —
8
If either or both of the statements to be obtained by the trustees or manager under paragraph (5) are obtained by them or him from the reporting accountant acting as such while ineligible in contravention of regulation 11(7A)(a) —
a
the trustees or manager, as the case may be, shall not be regarded as having complied with paragraph (5); and
b
for the purposes of paragraphs (6) and (7), neither statement shall be regarded as obtained in accordance with paragraph (5).
.
Amendment of regulation 13
9
1
Regulation 13 (expenses, commission etc. — principles) shall be amended as follows.
2
After paragraph (2) insert —
2A
Nothing in paragraph (1) shall be taken to prevent that which is permitted by or under any of the provisions mentioned in paragraph (4).
.
3
After paragraph (3) insert —
4
The provisions referred to in paragraph (2A) are —
a
section 32 of the 1993 Act and regulation 9 of the Personal and Occupational Pension Schemes (Protected Rights) Regulations 1996 (protected rights: suspension and forfeiture);
b
section 159 of the 1993 Act (inalienability of guaranteed minimum pension and protected rights payments);
c
sections 91 to 94 of the 1995 Act and regulations under those sections (inalienability and forfeiture of occupational pensions); and
d
in the case of a pension scheme established under a trust which —
i
is not an occupational pension scheme; but
ii
is or has been registered under section 2;
sections 91, 92 and 94 of the 1995 Act and the Occupational Pension Schemes (Assignment, Forfeiture, Bankruptcy etc.) Regulations 1997 (inalienability and forfeiture of occupational pensions) as those sections and Regulations have effect by virtue of section 6(3) of, and Schedule 1 to, the Act and of regulation 32.
.
Amendment of regulation 14
10
1
Regulation 14 (charges etc. — permitted reductions in members' rights) shall be amended as follows.
2
In paragraph (5) —
a
in sub-paragraph (c) for “are incurred” substitute —
(including any dilution levy) are incurred by the trustees or manager
;
b
after sub-paragraph (d) insert “and”;
c
after sub-paragraph (e) omit “and”; and
d
omit sub-paragraph (f).
3
In paragraph (8) omit “costs or”.
Amendment of regulation 15
11
1
Regulation 15 (requirement for trustees or manager to satisfy certain conditions in relation to with-profits funds) shall be amended as follows.
2
In paragraph (3)(c) for “auditor or reporting accountant to certify that the requirements of regulations 13 and 14 have been complied with” substitute —
reporting accountant to make the statement mentioned in regulation 12(5)(a)(i) so far as that statement relates to regulation 12(2)(d)(ii)
.
3
In paragraph (4) —
a
omit “the auditor to the insurance company or”;
b
for “systems and controls that are designed and used so that” substitute “systems which and controls which are of a design such that, and used such that”; and
c
in sub-paragraph (b) for “auditor or reporting accountant, as the case may be,” substitute “reporting accountant and, as the case may be, to the auditor”.
Amendment of regulation 17
12
1
Regulation 17 (restrictions on contributions) shall be amended as follows.
2
In paragraph (1) for “the rules of a stakeholder pension scheme” substitute “the scheme instruments”.
3
After paragraph (4) insert —
5
Subject to regulation 3(5B), the scheme instruments may permit restrictions on the means of payment of contributions to the scheme.
6
The scheme instruments of an occupational pension scheme may permit the trustees or manager to refuse to accept, in respect of any member of the scheme who is not an active member of the scheme, any contribution by or on behalf of or in respect of that member.
7
For the purposes of paragraph (6), “active member” has the meaning given by section 124 of the 1995 Act .
.
Amendment of regulation 18
13
1
Regulation 18 (disclosure of information to members) shall be amended as follows.
2
For paragraph (2) substitute —
2
Where a person is a member for all or part of a statement year relating to him, there shall be provided to him —
a
within 3 months of the end of that statement year; or
b
where he ceases during that statement year to be a member, during the period beginning with the time at which he so ceases and ending on and including the last day of the three-month period mentioned in sub-paragraph (a),
a statement which contains the information mentioned in paragraph (5), so far as that information relates to that statement year or, in cases falling within sub-paragraph (b), to the part of that statement year beginning with the first day of that statement year (whether or not that day is earlier than the day on which he becomes a member) and ending with the time at which he so ceases.
.
3
In paragraph (3) —
a
after ““statement year” means” insert “, in relation to a person,”; and
b
for “beginning on a date chosen” to the end substitute —
beginning —
a
in the case of a person who becomes a member after 6th April 2001, on a date chosen, in respect of that person, by the trustees or manager which falls —
i
on or before the day on which he becomes a member; but
ii
no earlier than 6th April 2001; and
b
in any other case, on 6th April 2001,
and, subject to paragraph (4), each subsequent period ending on and including the anniversary of the last day of the first statement year.
.
4
After paragraph (3) insert —
3A
The date to be chosen, in respect of a person, under paragraph (3)(a) must be chosen on or before the day on which that person becomes a member.
.
5
In paragraph (4) —
a
after “the trustees or manager may” insert “, in respect of any person,”;
b
after “the statement year” in each of the two places where it occurs insert “relating to that person”;
c
after “no other date has been chosen” insert “in respect of that person”; and
d
for ““statement year” shall mean” to the end substitute —
“statement year” shall mean, in relation to the person in respect of whom the new date is chosen, the period of 12 months ending on and including that new date (except that, in relation to the first statement year relating to that person, “statement year” shall mean, in relation to him, the period beginning with the day which is, by virtue of paragraph (3)(b) or of a choice under paragraph (3)(a), the first day of that first statement year and ending on and including that new date) and each subsequent period ending on and including the anniversary of that new date.
.
6
After paragraph (4) insert —
4A
For the purposes of paragraphs (3)(a) and (4) different dates may be chosen in respect of different persons.
.
7
In paragraph (5) —
a
after “The information to be provided under paragraph (2) is” insert “, subject to paragraph (5A)”;
b
for sub-paragraph (b) substitute —
b
the value of the member’s rights —
i
on the last day of the statement year, being an amount which is not less than the cash equivalent of those rights on that day; or
ii
where he ceases during the statement year to be a member, at the time immediately prior to the time at which he so ceases, being an amount which is not less than the cash equivalent of those rights at the time immediately prior to the time at which he so ceases,
as calculated and verified in a manner consistent with regulations made under section 97 of the 1993 Act (calculation of cash equivalents) ;
;
c
in sub-paragraph (d) for “made by the member” substitute “made by or on behalf of, or made in respect of, the member (except contributions falling within sub-paragraph (e))”;
d
in sub-paragraph (e) after “on behalf of” insert “or in respect of”;
e
after sub-paragraph (q) omit “and”; and
f
after sub-paragraph (r) insert —
and
s
in relation to any reduction under any of paragraphs (2) to (4) of regulation 14 —
i
the rate, expressed as an annual percentage rate, at which, and the period in relation to which, deductions giving rise to that reduction were made; or
ii
where such deductions were made in relation to different periods at different rates —
aa
each rate, expressed as an annual percentage rate, at which those deductions were made; and
bb
the period in relation to which they were made at that rate.
.
8
After paragraph (5) insert —
5A
The information mentioned in paragraph (5) does not include —
a
the amount of any reduction or deduction under any of paragraphs (2) to (4) of regulation 14;
b
the amount of any reduction under regulation 14(5)(c).
.
9
After paragraph (10) insert —
11
In this regulation “annual percentage rate” means the daily percentage rate at which deductions were made under regulation 14(2), (3) or (4) (being no greater than 1/365 per cent. of the value of the fund, share or rights in the with-profits fund respectively from which they were made) multiplied by 365.
.
Amendment of regulation 22
14
1
Regulation 22 (exemption from employer access and consultation requirements) shall be amended as follows.
2
In paragraph (2)(a) for “(other than any employee who has not attained the age of 18)” substitute —
(except any employee who has not attained the age of 18, and except any employee in respect of whom paragraph (8) is satisfied)
.
3
In paragraph (4) —
a
for “be conditional on the employee making” substitute “be subject to the condition that the employee make”; and
b
for sub-paragraphs (a) and (b) (and the word “and” between them) substitute —
a
in cases falling within paragraph (4A) —
i
the condition remains dependent; and
ii
the employer continues making contributions,
as mentioned in paragraph (4A)(b);
b
in cases falling within paragraph (4B), the employee is not required to make contributions exceeding 3 per cent. of the amount of remuneration paid to him on any such occasion or for each such interval.
.
4
After paragraph (4) insert —
4A
A case falls within this paragraph if —
a
the term mentioned in paragraph (2)(a)(i), and the condition mentioned in paragraph (4) —
i
are in place on 8th October 2001; and
ii
have on that date continuously been in place from prior to that date;
b
that condition —
i
is on 8th October 2001; and
ii
has on that date continuously been from prior to that date,
dependent on the employer making contributions at a rate equal to or exceeding the rate specified in respect of contributions to be made by the employee; and
c
the employer has on 8th October 2001 continually been, from prior to that date, making contributions as mentioned in sub-paragraph (b).
4B
A case falls within this paragraph if —
a
the condition mentioned in paragraph (4) is first imposed on or after 8th October 2001; or
b
the employer ceases, on or after that date, making contributions as mentioned in paragraph (4A)(b).
.
5
In each of paragraphs (5) and (6) for “the purposes of paragraphs (3) and (4)” substitute “the purposes of paragraphs (3) to (4B)”.
6
For paragraph (8) substitute —
8
An employer need not comply with the requirements set out in section 3 and this Part of these Regulations if paragraph (2)(b) is satisfied and if —
a
in cases not falling within sub-paragraph (b), the employer can provide written evidence to show that contributions are being made as if every relevant employee (except those mentioned in paragraph (8D)) had a term in his contract that would satisfy paragraph (2)(a);
b
where contributions made by the employer in relation to a relevant employee (except one mentioned in paragraph (8D)) are subject to a condition which (but for the fact that it is not contained in that employee’s contract (if it is not so contained)) is a condition such as is mentioned in paragraph (4), the employer can provide written evidence to show that —
i
where the employer is, in relation to that relevant employee, making contributions as mentioned in paragraph (4A)(b), the condition in paragraph (8A) is satisfied;
ii
where the employer ceases, on or after 8th October 2001 and in relation to that relevant employee, making contributions as mentioned in paragraph (4A)(b), the condition in paragraph (8B) is satisfied;
iii
in any other case, the condition in paragraph (8C) is satisfied.
8A
The condition referred to in paragraph (8)(b)(i) is that contributions —
a
are being, and have continually from prior to 8th October 2001 been, made as if the relevant employee whose case falls within paragraph (8)(b)(i) had a term in his contract that —
i
subject to sub-paragraph (ii), would satisfy paragraph (2)(a)(i);
ii
would satisfy paragraph (2)(a)(i), so far as paragraph (2)(a)(i) relates to paragraph (4), as if and on the grounds that —
aa
his case fell within paragraph (4A); and
bb
the conditions in paragraph (4)(a) were satisfied; and
b
are being made as if that relevant employee had a term in his contract that would satisfy paragraph (2)(a)(ii).
8B
The condition referred to in paragraph (8)(b)(ii) is that contributions are being made as if the relevant employee whose case falls within paragraph (8)(b)(ii) had a term in his contract —
a
that —
i
subject to sub-paragraph (ii), would satisfy paragraph (2)(a)(i);
ii
would satisfy paragraph (2)(a)(i), so far as paragraph (2)(a)(i) relates to paragraph (4), as if and on the ground that the condition in paragraph (4)(b) were satisfied; and
b
that would satisfy paragraph (2)(a)(ii).
8C
The condition referred to in paragraph (8)(b)(iii) is that contributions are being made as if the relevant employee whose case falls within paragraph (8)(b)(iii) had a term in his contract —
a
that —
i
subject to sub-paragraph (ii), would satisfy paragraph (2)(a)(i);
ii
would satisfy paragraph (2)(a)(i), so far as paragraph (2)(a)(i) relates to paragraph (4), as if and on the grounds that —
aa
his case fell within paragraph (4B)(a); and
bb
the condition in paragraph (4)(b) were satisfied; and
b
that would satisfy paragraph (2)(a)(ii).
8D
The employees referred to in paragraph (8) are —
a
any employee who has not attained the age of 18;
b
any employee in respect of whom paragraph (2) is satisfied;
c
any employee —
i
in the case of paragraph (8)(a), in respect of whom paragraph (8)(b) is satisfied;
ii
in the case of paragraph (8)(b), in respect of whom paragraph (8)(a) is satisfied.
.
7
In paragraph (9)(b) —
a
for “8th July” substitute “9th July”;
b
for “after a period” substitute “, thereby bringing to an end a period”; and
c
for “for more than 3 months” substitute “after the expiry of 3 months”.
Amendment of regulation 23
15
1
Regulation 23 (exceptions to definition of “relevant employees”) shall be amended as follows.
2
In paragraph (1) —
a
after sub-paragraph (e) omit “and”; and
b
after sub-paragraph (f) insert —
g
any employee who is now excluded from active membership of an occupational pension scheme of the employer because that employee ceased to be a member or active member of that scheme;
h
for the purposes only of consultation pursuant to section 3(2), and in relation to consultation for the purposes of any particular designation of a scheme pursuant to section 3(2), any employee who was not an employee of the employer on the date of commencement of that consultation.
.
3
After paragraph (2) insert —
3
For the purposes of paragraph (1)(g), “active member” has the meaning given by section 124 of the 1995 Act , and “active membership” shall be construed accordingly.
.
Amendment of regulation 24
16
1
Regulation 24 (payroll deduction of contributions) shall be amended as follows.
2
In paragraph (1) —
a
for “Subject to paragraph (2)” substitute “Subject to paragraphs (2) and (2A)”; and
b
for “the end of the pay period following that in which the request is made.” substitute —
the end of —
a
the pay period following that in which the request is made; or
b
where the request relates to a pay period later than the one following that in which the request is made, that later pay period.
.
3
In paragraph (2) —
a
for sub-paragraph (a) substitute —
a
that —
i
he is not complying with the request; and
ii
the reason he is not complying with it is that it was made within 6 months of the employee requesting him to make, vary or cease such deductions and the employer is permitted by these Regulations not to comply with it in such circumstances;
; and
b
in sub-paragraph (c) —
i
in sub-paragraph (i) omit “immediately”; and
ii
in sub-paragraph (ii) after “the employee may make payments,” insert —
(subject to the trustees or manager refusing to accept them as permitted by or under these Regulations)
.
4
After paragraph (2) insert —
2A
Where the trustees or manager of the scheme in relation to which the request is made inform the employer that they will refuse, in accordance with regulation 17, to accept payment —
a
of a contribution to which the request relates, the employer need not comply with the request so far as the request relates to that contribution;
b
of contributions of a particular type, the employer need not comply with the request so far as the request relates to a contribution of that particular type.
2B
Where the employer, on a ground mentioned in paragraph (2A), does not comply with the request, he must give notice to the employee in writing —
a
that, and of the extent to which, he is not complying with the request;
b
that the reason he is not complying with the request to that extent is that —
i
the trustees or manager have informed the employer that they will refuse, in accordance with regulation 17, to accept payment of a contribution to which the request relates or of contributions of a particular type; and
ii
the employer is permitted by these Regulations not to comply with the request so far as the request relates to that contribution or to a contribution of that particular type;
c
where the trustees or manager cite to the employer the ground of refusal in regulation 17 on which they will rely to refuse that contribution or contributions of that particular type, informing him that the trustees or manager have cited that ground of refusal in relation to that contribution or to contributions of that particular type; and
d
informing him that —
i
he may require the employer to cease such deductions (if deductions are being made at the time of the request) but, if the employee makes such a request, the employer is not required to comply with any further request to make such deductions if that further request is made within 6 months of the employee requesting that the deductions cease; and
ii
the employee may make payments, (subject to the trustees or manager refusing to accept them as permitted by or under these Regulations) at a rate of his choosing, directly to the qualifying scheme.
.
5
For paragraph (3) substitute —
3
Where an employee requests an employer to cease to make deductions from the employee’s remuneration on account of contributions to a qualifying scheme, the employer must —
a
comply with that request as soon as possible, but no later than the end of —
i
the pay period following that in which that request is made; or
ii
where that request relates to a pay period later than the one following that in which that request is made, that later pay period; and
b
give notice to the employee in writing —
i
that the employer is not required to comply with any further request to make such deductions if that further request is made within 6 months of the employee requesting that the deductions cease; and
ii
that the employee may make payments, (subject to the trustees or manager refusing to accept them as permitted by or under these Regulations) at a rate of his choosing, directly to the qualifying scheme.
.
6
After paragraph (5) insert —
6
Any notice to be given under any of paragraphs (2), (2B) and (3) must be given prior to the end of —
a
the pay period following that in which the request to which the notice relates is made; or
b
where that request relates to a pay period later than the one following that in which that request is made, that later pay period.
7
In this regulation and in regulation 25 references, in relation to an employer, to an employee are references to a relevant employee of that employer where that relevant employee is a member of a qualifying scheme.
.
Amendment of regulation 25
17
1
Regulation 25 (disclosure of information to relevant employees: first-time deduction requests) shall be amended as follows.
2
In paragraph (1) for “to make or vary (but not cease)” substitute “to make (but not vary or cease)”.
3
In paragraph (2) —
a
in sub-paragraph (b) after “need not comply with that request” insert “within”;
b
in sub-paragraph (b)(i) omit “within”;
c
in sub-paragraph (c) omit “immediately”;
d
after sub-paragraph (c) omit “and”;
e
in sub-paragraph (d) —
i
for “the request” where it first occurs substitute “that request”; and
ii
for “the end of the pay period following that in which the request is made.” substitute —
the end of —
a
the pay period following that in which that request is made; or
b
where that request relates to a pay period later than the one following that in which that request is made, that later pay period.
; and
f
after sub-paragraph (d) insert —
and
e
advice that —
i
the trustees or manager of the scheme may refuse to accept a contribution if accepting it would contravene the scheme’s tax-exemption or tax-approval;
ii
if the instruments establishing the scheme allow it, the trustees or manager may also refuse to accept payments of less than £20; and
iii
where an employee requests an employer to make or vary deductions of the employee’s contributions to a qualifying scheme from the employee’s remuneration, the employer need not comply with that request so far as that request relates to any particular contribution, if the trustees or manager of the scheme inform the employer that they will refuse, in accordance with the regulation which allows them to refuse payments on the grounds referred to in sub-paragraphs (i) and (ii) (and on other grounds), to accept that contribution or contributions of that particular type.
.
Amendment of Schedule 2
18
1
Schedule 2 (application of other regulations to stakeholder pension schemes) shall be amended as follows.
2
For “The Occupational Pension Schemes (Requirement to obtain Audited Accounts or a Statement from the Auditor) Regulations 1996” substitute —
The Occupational Pension Schemes (Requirement to obtain Audited Accounts and a Statement from the Auditor) Regulations 1996
.
3
In the entry relating to those Regulations in the right-hand column of the Schedule, before “paragraph 5” insert “regulations 2(1)(b) and 4 and”.
Transitional provision
19
Where, prior to the coming into force of these Regulations, the reporting accountant appointed for the purposes of regulation 11 has been removed or has resigned or died, regulation 11(8) shall, for the purposes of appointing the next reporting accountant after him for the purposes of regulation 11, continue to have effect as in force immediately prior to the coming into force of these Regulations.
Signed by authority of the Secretary of State for Social Security.
Jeff Rooker
Minister of State,
Department of Social Security
13th March 2001


text:
Part I
General
Citation, commencement and application
1
1
These Regulations may be cited as the Local Authorities (Alternative Arrangements) (England) Regulations 2001 and shall come into force on the day after they are made.
2
These Regulations apply in relation to local authorities in England .
Interpretation
2
In these Regulations —
“the 2000 Act ” means the Local Government Act 2000;
“the 1972 Act ” means the Local Government Act 1972 ;
“local authority”, unless otherwise stated, means a local authority which is operating alternative arrangements; and
“overview and scrutiny committee” has the meaning given by regulation 6(1).
Alternative arrangements
3
The arrangements set out in these Regulations are specified as alternative arrangements for the purposes of Part II of the 2000 Act .
Functions which are to be the responsibility of the authority itself
4
1
Section 101 (arrangements for the discharge of functions by local authorities) of the 1972 Act shall not apply with respect to the discharge, by a local authority, of any function mentioned in paragraph (2), (3) or (4).
2
The functions mentioned in this paragraph are;
a
the approval or adoption of a plan or strategy of a description specified in column (1) of the Schedule to these Regulations by reference to the enactments, in relation to those functions in column (2);
b
the approval or adoption of a plan or strategy for the control of the local authority’s borrowing or capital expenditure;
c
the approval for the purpose of its submission to the Secretary of State or any Minister of the Crown for his approval, of any plan or strategy mentioned in sub-paragraphs (a) or (b), (whether or not in the form of a draft) of which any part is required to be so submitted; and
d
the authorisation of the making of an application —
i
for the inclusion of a disposal in a disposals programme under subsection (5) of section 135 (programmes for disposals) of the Leasehold Reform, Housing and Urban Development Act 1993 , or
ii
for consent to that disposal under section 32 (power to dispose of land held for the purposes of part II ) or section 43 (consent required for certain disposals not within section 32) of the Housing Act 1985 .
3
The function mentioned in this paragraph is the making of any scheme authorised or required by Regulations under section 18 (schemes for basic, attendance and special responsibility allowances for local authority members) of the Local Government and Housing Act 1989 or of amending, revoking or replacing any such scheme.
4
The functions mentioned in this paragraph are the functions of the determination of —
a
the amount of any allowance payable under;
i
subsection (5) of section 3 (chairman’s expenses) of the 1972 Act;
ii
subsection (4) of section 5 (vice-chairman’s expenses) of that Act; or
iii
subsection (4) of section 173 (financial loss allowance) of that Act ;
iv
section 175 (allowances for attending conferences and meetings) of that Act;
b
the rates at which payments are to be made under section 174 (travelling and subsistence allowances) of that Act; and
c
the amount of any allowance payable pursuant to a scheme under section 18 of the Local Government and Housing Act 1989, or the rates at which payments, by way of any such allowance are to be made.
5
Subject to paragraph (6), section 101 of the 1972 Act shall not apply with respect to the discharge of the function of amending, modifying, varying or revoking any plan or strategy mentioned in paragraph (2)(a) or (b) (whether approved or adopted before or after the coming into force of these Regulations).
6
Paragraph (5) does not apply to any amendment, modification, variation or revocation which —
a
is required for giving effect to requirements of the Secretary of State or a Minister of the Crown in relation to a plan or strategy submitted for his approval, or to any part so submitted; or
b
is authorised by a determination made by the local authority —
i
in pursuance of arrangements made for the discharge of functions under section 101 of the 1972 Act; and
ii
at the time when the local authority approves or adopts the plan or strategy, as the case may be.
Local authority committees and sub-committees
5
1
Subject to paragraph (3), where a local authority appoints a committee under section 102(1)(a) of the 1972 Act for the purpose of discharging any function in pursuance of arrangements made under section 101 of the 1972 Act, the number of members of that committee, who are members of the local authority, shall not exceed fifteen.
2
Subject to paragraph (3), where a committee, appointed under section 102(1)(a) of the 1972 Act, appoints a sub-committee for the purpose of discharging any function in pursuance of arrangements made under section 101 of the 1972 Act, the number of members of that sub-committee, who are members of the local authority, shall not exceed ten.
3
Paragraphs (1) and (2) shall not apply —
a
to a committee or sub-committee of a local authority to which regulation 16A of the Local Government (Committees and Political Groups) Regulations 1990 (area committees and sub-committees) as amended from time to time applies; or
b
to a committee or sub-committee of a local authority, which only discharges one or more of those functions mentioned under headings A , B , C , H or I in Schedule 1 to the Local Authorities (Functions and Responsibilities) (England) Regulations 2000 as amended from time to time.
4
Any reference in paragraph (3)(b) to the discharge of any functions includes a reference to the doing of anything which is calculated to facilitate, or is conducive or incidental to, the discharge of those functions .
Overview and Scrutiny committees
6
1
Alternative arrangements by a local authority must include provision for the appointment by the authority of one or more committees of the authority, with the functions mentioned in paragraph (2), (referred to in these Regulations as overview and scrutiny committees).
2
Alternative arrangements by a local authority must ensure their overview and scrutiny committee has power (or that their overview and scrutiny committees have power between them) —
a
to review or scrutinise decisions made, or other action taken, in connection with the discharge of any functions of the local authority;
b
to make reports or recommendations to —
i
the local authority,
ii
any committee or sub-committee of the local authority, or
iii
any joint committee on which the local authority is represented or any sub-committee of such a committee, with respect to the discharge of any functions of the local authority; and
c
to make reports or recommendations to —
i
the local authority,
ii
any committee or sub-committee of the local authority, or
iii
any joint committee on which the local authority is represented or any sub-committee of such a committee,
on matters which affect the authority’s area or the inhabitants of that area.
3
The power of an overview and scrutiny committee under paragraph (2)(a) to review or scrutinise a decision made but not yet implemented includes power —
a
to recommend that the decision be reconsidered by the person who made it; or
b
to arrange for its function under paragraph (2)(a), so far as it relates to the decision, to be exercised by the authority.
4
Subject to paragraph (5) an overview and scrutiny committee of a local authority may not discharge any functions other than its functions under this regulation.
5
A local authority may arrange for the function of the conducting of a best value review under section 5 of the Local Government Act 1999 (best value reviews) to be discharged by an overview and scrutiny committee.
6
An overview and scrutiny committee of a local authority —
a
may appoint one or more sub-committees; and
b
may arrange for the discharge of any of its functions by any such sub-committee.
7
A sub-committee of an overview and scrutiny committee may not discharge any functions other than those conferred on it in accordance with paragraph (6)(b).
8
Alternative arrangements by a local authority must include provision which enables —
a
any member of an overview and scrutiny committee of the authority to ensure that any matter which is relevant to the functions of the committee is included in the agenda for, and is discussed at, a meeting of the committee; and
b
any member of a sub-committee of an overview and scrutiny committee of the authority to ensure that any matter which is relevant to the functions of the sub-committee is included in the agenda for, and is discussed at, a meeting of the sub-committee.
9
An overview and scrutiny committee of a local authority, or any sub-committee of such a committee may include persons who are not members of the authority, but, subject to regulations 8 and 16, any such persons are not entitled to vote at any meeting of such a committee or sub-committee on any question which falls to be decided at that meeting.
10
An overview and scrutiny committee of a local authority, or a sub-committee of such a committee, is to be treated;
a
as a committee or sub-committee of a principal council for the purposes of Part VA of the 1972 Act (access to meetings and documents of certain authorities, committees and sub-committees), and
b
as a body to which section 15 of the Local Government and Housing Act 1989 (duty to allocate seats to political groups) applies .
11
Subsections (2) and (5) of section 102 of the 1972 Act are to apply to an overview and scrutiny committee of a local authority, or a sub-committee of such a committee, as they apply to a committee appointed under that section.
12
An overview and scrutiny committee of a local authority or a sub-committee of such a committee —
a
may require members of the local authority, and officers of the authority, to attend before it to answer questions; and
b
may invite other persons to attend meetings of the committee.
13
It is the duty of any member or officer mentioned in paragraph (12)(a) to comply with any requirement so mentioned.
14
A person is not obliged by paragraph (13) to answer any question which he would be entitled to refuse to answer in or for the purposes of proceedings in a court in England and Wales.
Part II
Education
Interpretation of Part II
7
In this Part —
“the 1998 Act ” means the School Standards and Framework Act 1998 ;
“The date of election” means, in relation to an election in which votes can be cast on more than one date, the last date on which votes can be cast or postal votes can be received;
“education overview and scrutiny committee” means an overview and scrutiny committee of a relevant local authority appointed under regulation 6, the functions of which relate wholly or partly to any education functions which are the responsibility of the authority;
“maintained school” has the meaning given in section 20(7) of the 1998 Act;
“school maintained by a relevant local authority” has the meaning given in section 142(1) of the 1998 Act;
“parent governor” means —
a person who is elected as a member of a maintained school’s governing body by parents of registered pupils at the school and is himself a parent at the time at which he is elected;
a person who is appointed as a parent governor by the governing body in accordance with regulations under the 1998 Act ;
a person who continues as a parent governor for the purposes of the reconstitution of the governing body on transition to the new schools framework by virtue of regulations under part II of the 1998 Act ;
“parent governor representative” means a person elected in accordance with regulations 9 to 11; and
“relevant local authority” means a local authority in England which is also an education authority and which is operating alternative arrangements.
Church representatives
8
1
In the case of a relevant local authority which maintain one or more Church of England schools, an education overview and scrutiny committee or sub-committee of an education overview and scrutiny committee must include at least one qualifying person.
2
A person is a qualifying person for the purposes of paragraph (1) if he is nominated by the Diocesan Board of Education for any Church of England diocese which falls wholly or partly in the authority concerned’s area.
3
In the case of a relevant local authority which maintain one or more Roman Catholic Church schools, an education overview and scrutiny committee or sub-committee of an education overview and scrutiny committee must include at least one qualifying person.
4
A person is a qualifying person for the purposes of paragraph (3) if he is nominated by the bishop of any Roman Catholic diocese which falls wholly or partly in the authority concerned’s area.
5
A member of an education overview and scrutiny committee or a sub-committee appointed by virtue of paragraph (1) or (3) is to be entitled to vote at a meeting of the committee or sub-committee on any question —
a
which relates to any education functions which are the responsibility of the authority concerned; and
b
which falls to be decided at the meeting.
6
The Secretary of State may by directions to a relevant local authority require any of the authority’s education overview and scrutiny committees or sub-committees to which this regulation applies to include persons who are appointed, in accordance with the directions, as representatives of the persons who appoint foundation governors for the foundation or voluntary schools maintained by the authority which are not Church of England schools or Roman Catholic Church schools but which are specified in the directions.
7
Directions under paragraph (6) may make provision with respect to the voting rights of persons appointed in accordance with such directions.
Parent governor representatives
9
A relevant local authority shall appoint at least two but not more than five parent governor representatives, elected in accordance with regulations 10 to 13, to each of their education overview and scrutiny committees and sub-committees.
Election procedures for parent governor representatives
10
1
A relevant local authority shall make all the necessary arrangements for, and determine all other matters relating to, the holding of an election of a parent governor representative but nothing in this regulation shall prevent the authority from appointing another body to conduct or oversee that election.
2
A relevant local authority may make arrangements —
a
dividing parent governor representatives into different categories representing —
i
particular types of school; or
ii
maintained schools in a particular area; and
b
where they have done so, restricting the electorate for each such category to parent governors of the same type of school or parent governors of schools in that area (but they need not do so).
3
Where a vacancy for a parent governor representative is required to be filled by election the relevant local authority shall announce that vacancy and at the time of that announcement shall —
a
appoint a returning officer who shall ensure that so far as possible the election is conducted fairly;
b
take such steps as are reasonably practicable to secure that every person who is known to them to be eligible to vote in the election of a parent governor representative is —
i
informed of the vacancy and that it is required to be filled by election;
ii
informed that he is entitled to vote in the election;
iii
informed of any arrangements made in respect of the election under regulation 10(2);
iv
informed of details of the electoral timetable and procedures;
v
informed of the qualifications which a person requires in order to be elected as a parent governor representative, and of the term of office of the parent governor representative; and
vi
provided with a description of the role of a parent governor representative.
4
Any election of a parent governor representative which is contested shall be held by secret ballot.
5
No ballot paper in such an election shall contain any indication of an affiliation with a political party.
6
Where a vacancy for a parent governor representative arises, the relevant local authority shall —
a
determine, for the purposes of the election, any question as to a person’s entitlement to vote or eligibility to stand for election;
b
provide for every person who is eligible to vote in the election to have an opportunity to do so by post;
c
secure that the results of the election are announced not more than one week after the date of the election, and not more than three months after the announcement of the vacancy.
7
Where a vacancy remains unfilled because no, or not enough, candidates seek election, the relevant local authority shall comply with the requirements of this regulation again, within one year after the date of the original vacancy having arisen and at six monthly intervals thereafter, calculated from the first anniversary of the original vacancy having arisen, until the vacancy is filled.
8
Nothing in these Regulations shall require a ballot to be held if the number of vacancies to be filled is equal to or exceeds the number of candidates for election.
Eligibility to vote in elections
11
A person shall be eligible to vote in the election of a parent governor representative if at the date of the election he is a parent governor at a maintained school maintained by the relevant local authority, and either —
a
where voting for a particular category of parent governor representative is restricted to parent governors of a particular type of school, he is a parent governor of that type of school; or
b
where voting for a particular category of parent governor representative is restricted to parent governors of schools in a particular geographic area, he is a parent governor of a maintained school in that area.
Qualifications for election as a parent governor representative
12
1
Subject to paragraphs (2) and (4), a person shall, unless disqualified under any enactment, be qualified to be elected as a parent governor representative in an election held by a relevant local authority if on the date of the election —
a
he is a parent governor at a maintained school which is maintained by the relevant local authority;
b
he is the parent of a registered pupil who is educated at a maintained school which is maintained by the relevant local authority, or who is educated by the relevant local authority otherwise than at school;
c
where the vacancy is for a parent governor representative to represent a particular type of school, he is a parent governor at that type of school, and
d
where the vacancy is for a parent governor representative to represent schools in a particular area, he is a parent governor of a school in that area.
2
A person who is a member of a local authority shall be disqualified from being elected as a parent governor representative.
3
A person who is a teacher at, or is otherwise employed in, a school maintained by the relevant local authority shall be disqualified from being elected as a parent governor representative.
4
A person who is employed by the relevant local authority shall be disqualified from being elected as a parent governor representative.
5
For the purposes of paragraph (2) “local authority” has the meaning given in section 48 of the 2000 Act.
Disqualification from holding office as a parent governor representative
13
1
A parent governor representative who is qualified for election under these Regulations shall cease to be qualified to hold that office if —
a
he resigns or is disqualified from office as a parent governor; or
b
he ceases to be a parent governor for any reason other than that —
i
he has completed his term of office; or
ii
he no longer holds office as a result of the discontinuance of the school at which he was a parent governor; or
iii
he no longer holds office as a result of a change in the constitution of the governing body of the school at which he was a parent governor.
2
A parent governor representative shall cease to be qualified to hold that office if he is elected as a member of a local authority.
3
A parent governor representative shall cease to be qualified to hold that office if he takes up employment —
a
whether as a teacher or otherwise, in a school maintained by the relevant local authority, or
b
with the relevant local authority.
4
A parent governor representative shall not hold the office of parent governor representative on an education overview and scrutiny committee of more than one local authority at any one time.
5
A parent governor representative who has failed to attend the meetings of an education overview and scrutiny committee of which he is a member for a continuous period of six months beginning with the date of a meeting, shall, on the expiry of that period, cease to be qualified to hold that office.
6
For the purposes of paragraph (5), a parent governor representative shall not be taken to have failed to attend a meeting of an education overview and scrutiny committee if he has tendered an apology for his absence and his apology has been accepted by the committee.
7
For the purposes of paragraphs (2) and (4) “local authority” has the meaning given in section 48 of the 2000 Act.
Term of office of parent governor representatives
14
The term of office of a parent governor representative on an education overview and scrutiny committee —
a
shall begin on such a date as the relevant local authority shall determine, being a date not more than one month after the date of the announcement of the result of the election in which he has been elected; and
b
shall be of such duration as the authority shall determine, being a period not less than two years nor greater than four years.
Vacation of office
15
1
Where a parent governor representative completes his term of office or that office becomes vacant for any other reason, the relevant local authority shall ensure that an election is held to fill the vacancy and that the date of the election falls in time for the vacancy to be filled not later than six months after the date on which the vacancy occurred.
2
Where a parent governor representative does not complete his term of office, the authority concerned may decide whether his successor should be appointed for a full term of office determined in accordance with regulation 14(b), for the unexpired portion of the previous term of office or for the aggregate of the unexpired portion of that term and a further full term, provided that such aggregate period does not exceed four years.
Voting rights of parent governor representatives
16
A parent governor representative shall be entitled to vote at a meeting of an education overview and scrutiny committee of which he is a member on any question —
a
which relates to any education functions which are the responsibility of the authority concerned; and
b
which falls to be considered at the meeting.
Transitional Provision
17
In this regulation “a 1999 Representative” means a representative of parent governors —
a
elected and appointed to a committee of the local authority pursuant to the Education (Parent Governor Representatives) Regulations 1999 ;
b
whose term of office, calculated in accordance with the 1999 Regulations, has not expired on the date on which that authority establishes an education overview and scrutiny committee.
2
Subject to paragraph (3), on the establishment of an education overview and scrutiny committee by a relevant local authority, a 1999 representative shall be treated as having been appointed to that education overview and scrutiny committee.
3
A 1999 Representative who is treated as having been appointed to an education overview and scrutiny committee in accordance with paragraph (2) shall continue in office until the expiry of his original term of office.
4
Nothing in paragraph (3) shall prevent a 1999 Representative from being disqualified, by virtue of a provision of these Regulations, from continuing to hold office.
Signed by authority of the Secretary of State for the Environment Transport and the Regions
Hilary Armstrong
Minister of State,
Department of the Environment, Transport and the Regions
1st April 2001


text:
Citation, commencement and interpretation
1
1
These regulations may be cited as the Teachers' Pensions (Amendment) Regulations 2001 and shall come into force on 31st March 2001.
2
In these regulations “the Principal Regulations ” means the Teachers' Pensions Regulations 1997 .
Amendment of Principal Regulations
2
The Principal Regulations shall be amended in accordance with regulations 3 to 7.
3
In regulation C1(5)(a) after “include any payment” there shall be inserted —
, other than a payment made in consequence of a School Achievement Award,
.
4
In regulation C1(5)(b) after “include any payment” there shall be inserted —
, other than a payment made in consequence of a School Achievement Award,
.
5
In Schedule 1 the following definition shall be inserted at the appropriate place in alphabetical order —
“School Achievement Award”
A payment granted in respect of a school, in recognition of excellence or improvement, under the scheme established by the Secretary of State known as the School Achievement Award Scheme.
.
6
In Schedule 2, paragraph 5(a) for the words “or, as the case may be, a city college for the technology of the arts, or”, there shall be substituted “a city college for the technology of the arts, or, as the case may be, a city academy, or”.
7
In Schedule 2, paragraph 5(b) for the words “or, as the case may be, a city college for the technology of the arts.”, there shall be substituted “a city college for the technology of the arts, or, as the case may be, a city academy.”.
Malcolm Wicks
Parliamentary Under-Secretary of State,
Department for Education and Employment
7th March 2001
We consent
Greg Pope
Jim Dowd
Two of the Lords Commissioners of Her Majesty’s Treasury
7th March 2001


text:
Citation, commencement and interpretation
1
1
This Order may be cited as the North Norfolk Primary Care Trust (Establishment) Order 2001 and shall come into force on 1st January 2002.
2
In this Order, unless the context otherwise requires —
“the Act” means the National Health Service Act 1977;
“Executive Committee” has the meaning given in regulation 1(2) of the Membership Regulations ;
“member”, “officer member” and “non-officer member” have the meanings given in regulation 1(2) of the Membership Regulations;
“Membership Regulations” means the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000 ;
“operational date” is to be construed in accordance with paragraph 1(2) of Schedule 5A to the Act;
“preparatory period” is to be construed in accordance with paragraph 2(2) of Schedule 5A to the Act;
“the trust” means the North Norfolk Primary Care Trust established by article 2 of this Order.
Establishment, operational date and name of the Primary Care Trust
2
1
There is hereby established with effect from 1st January 2002 a Primary Care Trust to be called the North Norfolk Primary Care Trust.
2
The operational date of the trust shall be 1st April 2002.
Area of the trust
3
The trust shall be established for the area specified in the Schedule to this Order.
Members of the trust
4
1
The trust shall have, in addition to the chairman, 5 officer members and 5 non-officer members.
2
The non-officer members shall comprise the persons appointed by the Secretary of State under regulation 2(3) of the Membership Regulations.
3
The officer members shall comprise —
a
the persons who for the time being hold the offices of the Chief Executive and the Director of Finance of the trust;
b
the person who for the time being holds the post of chairman of the Executive Committee of the trust;
c
2 persons appointed by the chairman of the trust following nomination by the Executive Committee of the trust.
Limitations on the exercise of functions by the trust during the preparatory period
5
During the preparatory period the exercise of functions by the trust shall be limited to doing such things as are reasonably necessary to enable it to carry out its funcions with effect from the operational date, including —
a
entering into NHS contracts;
b
entering into other contracts including contracts of employment.
Assistance during the preparatory period
6
1
The Norfolk Health Authority (“the Authority”) shall meet the costs of the trust performing its functions during the preparatory period by discharging such of the liabilities of the trust which it has reasonably incurred during that period for the purpose of enabling it to carry out its functions with effect from the operational date and which do not in aggregate exceed such amount as may be notified by the Authority to the trust, including —
a
liability for the remuneration and travelling or other allowances of the chairman and members of the trust;
b
liability for the travelling or other allowances of the members of committees and sub-committees of the trust who are not also members of the trust; and
c
liability for the remuneration of officers of the trust.
2
The Authority shall make officers of the Authority available to the trust during the preparatory period.
3
The Local Health Partnerships National Health Service Trust shall make staff of the NHS trust available to the trust during the preparatory period.
Signed by authority of the Secretary of State
Hunt
Parliamentary Under Secretary of State,
Department of Health
17th December 2001