text:
PART I
PRELIMINARY
Citation, commencement and revocation
1
1
These Regulations may be cited as the Lifts Regulations 1997 and shall come into force on 1st July 1997 except that regulation 2(1)(b) shall not have effect until the date of the coming into force of the Decision by the EEA Joint Committee by which the application of the Lifts Directive is extended to the EEA.
2
The Electrically, Hydraulically and Oil-Electrically Operated Lifts (Components) ( EEC Requirements) Regulations 1991 are revoked with effect from 1st July 1999.
Interpretation
2
1
In these Regulations —
a
the “Lifts Directive” means the European Parliament and Council Directive 95/16/ EC on the approximation of the laws of the Member States relating to lifts ;
b
except for the references to the European Communities in the definition of “the Commission” and in relation to the Official Journal, a reference to the Community includes a reference to the EEA, and a reference to a member State includes a reference to an EEA State: for this purpose —
i
the “EEA” means the European Economic Area;
ii
an “EEA State” means a State which is a Contracting Party to the EEA Agreement; and
iii
the “EEA Agreement” means 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 ; and
c
unless the context otherwise requires, a reference to a numbered regulation or Schedule is a reference to the regulation or Schedule so numbered in these Regulations and a reference —
i
to a paragraph in a regulation is a reference to a paragraph in that regulation; and
ii
to an Annex, except for the references to Annex I to Directive 89/392/EEC (as amended) in Sections 1.1 and 5 of Annex I set out in Schedule 1, is a reference to an Annex of the Lifts Directive: for the purposes of these Regulations, Annexes I, II , III , IV , V and VI are respectively set out in Schedules 1, 2, 3, 4, 5 and 6 and Annexes VIII , IX , X, XI , XII , XIII and XIV are respectively set out in Schedules 7, 8, 9, 10, 11, 12 and 13.
2
In these Regulations, unless the context otherwise requires —
“CE marking” or “CE conformity marking” means a marking consisting of the initials
“CE” in the form shown in Schedule 3;
“the Commission” means the Commission of the European Communities;
“enforcement authority” means —
in the case of a lift and a safety component for use in the workplace —
in Great Britain, the Health and Safety Executive established under section 10 of the Health and Safety at Work etc. Act 1974 ; and
in Northern Ireland, the Department of Economic Development; or
in the case of a lift and a safety component for private use or consumption —
in Great Britain, the Secretary of State; and
in Northern Ireland, the Department of Economic Development;
“essential health and safety requirements” means the requirements set out in Schedule 1;
“harmonised standard” means a technical specification adopted by the European Committee for Standardisation or the European Committee for Electrotechnical Standardisation or both, upon a mandate from the Commission in accordance with Council Directive 83/189/EEC of 28th March 1983 laying down a procedure for the provision of information in the field of technical standards and regulations , and of which the reference number is published in the Official Journal of the European Communities;
“installer of a lift” means the natural or legal person who takes responsibility for the design, manufacture, installation and placing on the market of the lift and who affixes the CE marking and draws up the EC declaration of conformity;
“lift” means an appliance serving specific levels, having a car moving —
along guides which are rigid; or
along a fixed course even where it does not move along guides which are rigid (for example, a scissor lift),
and inclined at an angle of more than 15 degrees to the horizontal and intended for the transport of:
persons,
persons and goods,
goods alone if the car is accessible, that is to say, a person may enter it without difficulty, and fitted with controls situated inside the car or within reach of a person inside;
“manufacturer of the safety components” means the natural or legal person who takes responsibility for the design and manufacture of the safety components and who affixes the CE marking and draws up the EC declaration of conformity;
“model lift” means a representative lift whose technical dossier shows the way in which the essential safety requirements will be met for lifts which conform to the model lift defined by objective parameters and which uses identical safety components;
“notified body” shall be construed in accordance with regulation 15;
“placing on the market of the lift” except in the definition of “responsible person” and for the purposes of regulations 9(3), 14 and 19, shall occur when the installer first makes the lift available to the user;
“relevant essential health and safety requirements” in relation to a lift or safety component means those provisions of the essential health and safety requirements which are applicable to that particular lift or safety component, as the case may be;
“responsible person” means,
in the case of a lift, the installer of the lift;
in the case of a safety component, the manufacturer of the safety component or his authorised representative established in the Community; or
where neither the installer of the lift nor the manufacturer of the safety component nor the latter’s authorised representative established in the Community, as the case may be, have fulfilled the requirements of regulation 8(2) or 9(2) applicable to the lift or safety component, the person who places the lift or the safety component on the market;
“safe” in relation to a lift or safety component, means that the lift or, in the case of a safety component, the lift in which it is to be installed, when properly installed and maintained and used for its intended purpose is not liable to endanger the health or safety of persons or, where appropriate, the safety of property, and cognate expressions shall be construed accordingly;
“safety component” means a component listed in Schedule 4;
“standard” or “standard referred to in Article 5” means a technical specification approved by a recognised standardising body for repeated or continuous application, with which compliance is not compulsory: and, for the avoidance of doubt, this definition includes a harmonised standard or a transposed harmonised standard;
“supply” includes offering to supply, agreeing to supply, exposing for supply and possessing for supply and cognate expressions shall be construed accordingly; and
“transposed harmonised standard” means a national standard of a member State which transposes a harmonised standard.
3
Where a person —
a
being the manufacturer of a lift or a safety component for his own use puts that lift or safety component, as the case may be, into service; or
b
having imported a lift or a safety component from a country or territory outside the Community puts that lift or safety component, as the case may be, into service,
for the purposes of these Regulations, that person shall be a responsible person and shall be deemed to have placed that lift or safety component on the market.
PART II
APPLICATION
Lifts, safety components and components
3
1
Subject to regulations 4, 5, 6 and 7, these Regulations apply to —
a
lifts permanently serving buildings or constructions; and
b
safety components for use in such lifts.
2
Nothing in these Regulations shall preclude the placing on the market of any component, other than a safety component, —
a
which is intended to be incorporated into a lift to which these Regulations apply; and
b
in respect of which a declaration is made by the manufacturer of that component or his authorised representative established in the Community that the component is intended for such incorporation.
3
Nothing in these Regulations with regard to the installation of a lift shall affect the application of the Construction Products Regulations 1991 .
Excluded lifts and safety components
4
These Regulations do not apply to —
a
the lifts specified in Schedule 14; and
b
safety components for the lifts referred to in paragraph (a).
Lifts and safety components placed on the market and put into service before 1st July 1997
5
These Regulations do not apply to any lift or safety component which is placed on the market and put into service before 1st July 1997.
Exclusion until 30th June 1999 of lifts and safety components complying with provisions in force on 29th June 1995
6
1
Subject to paragraph (2), these Regulations do not apply to a lift or safety component placed on the market and put into service on or before 30th June 1999 which complies with any health and safety provisions with which it would have been required to comply for it to be placed on the market and put into service in the United Kingdom on 29th June 1995.
2
The exclusion provided in paragraph (1) does not apply in the case of a lift or a safety component which —
a
unless required to bear the CE marking pursuant to any other Community obligation, bears the CE marking or an inscription liable to be confused with it; or
b
bears or is accompanied by any other indication, howsoever expressed, that it complies with the Lifts Directive.
Lifts where risks are wholly or partly covered by other directives
7
The requirements of these Regulations do not apply to a lift insofar as and to the extent that the relevant essential health and safety requirements relate to risks wholly or partly covered by other Community directives applicable to that lift.
PART III
GENERAL REQUIREMENTS
General duty relating to the placing on the market and putting into service of lifts
8
1
Subject to regulation 12, no person who is a responsible person shall place on the market and put into service any lift unless the requirements of paragraph (2) have been complied with in relation to it.
2
The requirements in respect of any lift are that —
a
it satisfies the relevant essential health and safety requirements and for the purpose of satisfying those requirements —
i
where a transposed harmonised standard covers one or more of the relevant essential health and safety requirements, any lift constructed in accordance with that transposed harmonised standard shall be presumed to comply with that or, as the case may be, those essential health and safety requirements; and
ii
by calculation or on the basis of design plans, it is permitted to demonstrate the similarity of a range of equipment to satisfy the essential safety requirements;
b
the appropriate conformity assessment procedure in respect of the lift has been carried out in accordance with regulation 13(1);
c
the CE marking has been affixed to it by the installer of the lift in accordance with Schedule 3;
d
a declaration of conformity has been drawn up in respect of it by the installer of the lift containing the information listed in Part B of Schedule 2, taking account of the specifications given in the Schedule used for the conformity assessment procedure; and
e
it is in fact safe.
3
Any technical documentation or other information in relation to a lift required to be retained under the conformity assessment procedure used shall be retained by the person specified in that respect in that conformity assessment procedure for any period specified in that procedure.
General duty relating to the placing on the market and putting into service of safety components
9
1
Subject to regulation 12, no person who is a responsible person shall place on the market and put into service any safety component unless the requirements of paragraph (2) have been complied with in relation to it.
2
The requirements in respect of any safety component are that —
a
it satisfies the relevant essential health and safety requirements and for the purpose of satisfying those requirements where a transposed harmonised standard covers one or more of the relevant essential health and safety requirements, any safety component constructed in accordance with that transposed harmonised standard shall be presumed to be suitable to enable a lift on which it is correctly installed to comply with that or, as the case may be, those essential health and safety requirements;
b
subject to paragraph (3), the appropriate conformity assessment procedure in respect of the safety component has been carried out in accordance with regulation 13(1);
c
the CE marking has been affixed to it, or on a label inseparably attached to the safety component, by the manufacturer of that safety component or his authorised representative established in the Community in accordance with Schedule 3;
d
a declaration of conformity has been drawn up in respect of it by the manufacturer of the safety component or his authorised representative established in the Community containing the information listed in Part A of Schedule 2, taking account of specifications given in the Schedule used for the conformity assessment procedure; and
e
it is in fact safe.
3
Any technical documentation or other information in relation to a safety component required to be retained under the conformity assessment procedure used shall be retained by the person specified in that respect in that conformity assessment procedure for any period specified in that procedure.
General duty relating to the supply of a lift or safety component
10
Subject to regulation 12, it shall be the duty of any person who supplies any lift or safety component but who is not a person to whom regulation 8 or 9 applies, to ensure that that lift or safety component, as the case may be, is safe.
Specific duties relating to the supply of information, freedom from obstruction of lift shafts and retention of documents
11
1
The person responsible for work on the building or construction where a lift is to be installed and the installer of the lift shall —
a
keep each other informed of the facts necessary for, and
b
take the appropriate steps to ensure,
the proper operation and safe use of the lift: in particular it shall be ensured that shafts intended for lifts do not contain any piping or wiring or fittings other than that necessary for the operation and safety of that lift.
2
Where, in the case of a lift, for the purposes of regulation 8(2)(b) the appropriate conformity assessment procedure is one of the procedures set out in regulation 13(2)(a), (b) or (c), the person responsible for the design of the lift must supply to the person responsible for the construction, installation and testing all necessary documents and information for the latter person to be able to operate in absolute security.
3
A copy of the declaration of conformity referred to in regulation 8(2)(d) or 9(2)(d) shall —
a
in the case of a lift, be supplied to the Commission, the member States and any other notified bodies, on request, by the installer of the lift together with a copy of the reports of the tests involved in the final inspection to be carried out as part of the appropriate conformity assessment procedure referred to in regulation 8(2)(b); and
b
be retained, by the person who draws up that declaration, for a period of 10 years —
i
in the case of a lift, from the date on which the lift was placed on the market; and
ii
in the case of a safety component, from the date on which safety components of that type were last manufactured by that person.
Exceptions to placing on the market or supply in respect of certain lifts and safety components
12
For the purposes of regulation 8, 9 or 10, a lift or a safety component shall not be regarded as being placed on the market or supplied —
a
where that lift or safety component —
i
will be put into service in a country outside the Community; or
ii
is imported into the Community for re-export to a country outside the Community,
save that this paragraph shall not apply if the CE marking, or any inscription liable to be confused therewith, is affixed thereto or, in the case of a safety component, to its label; or
b
by the exhibition at trade fairs and exhibitions of that lift or safety component, in respect of which the provisions of these Regulations are not satisfied, if —
i
a notice is displayed in relation to the lift or safety component in question to the effect —
aa
that it does not satisfy those provisions; and
bb
that it may not be placed on the market or supplied until those provisions are satisfied, in the case of a lift, by the installer of the lift and, in the case of a safety component, by the manufacturer of the safety component or his authorised representative established in the Community; and
ii
adequate safety measures are taken to ensure the safety of persons.
Conformity assessment procedures
13
1
For the purposes of regulation 8(2)(b) or 9(2)(b), the appropriate conformity assessment procedure shall be —
a
in the case of a lift, one of the procedures set out in paragraph (2); and
b
in the case of a safety component, one of the procedures set out in paragraph (3).
2
The procedures referred to in paragraph (1)(a) are as follows:
a
if the lift was designed in accordance with a lift having undergone an EC type-examination as referred to in Schedule 5, it shall be constructed, installed and tested by implementing —
i
the final inspection referred to in Schedule 6;
ii
the quality assurance system referred to in Schedule 11; or
iii
the quality assurance system referred to in Schedule 13,
and the procedures for the design and construction stages, on the one hand, and the installation and testing stages, on the other, may be carried out on the same lift;
b
if the lift was designed in accordance with a model lift having undergone an EC type-examination as referred to in Schedule 5, it shall be constructed, installed and tested by implementing —
i
the final inspection referred to in Schedule 6;
ii
the quality assurance system referred to in Schedule 11; or
iii
the quality assurance system referred to in Schedule 13,
and all permitted variations between a model lift and the lifts forming part of the lifts derived from that model lift must be clearly specified (with maximum and minimum values) in the technical dossier required as part of the appropriate conformity assessment procedure;
c
if the lift was designed in accordance with a lift for which a quality assurance system pursuant to Schedule 12 was implemented, supplemented by an examination of the design if the latter is not wholly in accordance with the harmonised standards, it shall be installed and constructed and tested by implementing, in addition —
i
the final inspection referred to in Schedule 6;
ii
the quality assurance system in accordance with Schedule 11; or
iii
the quality assurance system in accordance with Schedule 13;
d
the unit verification procedure, referred to in Schedule 9, by a notified body; or
e
the quality assurance system in accordance with Schedule 12, supplemented by an examination of the design if the latter is not wholly in accordance with the transposed harmonised standards.
3
The procedures referred to in paragraph 1(b) are as follows:
a
to submit the model of the safety component for EC type-examination in accordance with Schedule 5 and for production checks by a notified body in accordance with Schedule 10;
b
to submit the model of the safety component for EC type-examination in accordance with Schedule 5 and operate a quality assurance system in accordance with Schedule 7 for checking production; or
c
to operate a full quality assurance system in accordance with Schedule 8.
Requirements fulfilled by the person who places a lift or safety component on the market
14
1
Where in the case of a lift or a safety component, any of the requirements of regulations 8, 9, 11 and 13 to be fulfilled by the installer of the lift or the manufacturer of the safety component or, in the case of the latter, his authorised representative established in the Community, have not been so fulfilled such requirements may be fulfilled by the person who places that lift or safety component on the market.
2
Nothing in this regulation shall affect the power of an enforcement authority to take action under Part IV of these Regulations in respect of the installer of the lift, the manufacturer of the safety component or, in the case of the latter, his authorised representative established in the Community in respect of a contravention of or a failure to comply with any of those requirements.
Notified bodies
15
For the purposes of these Regulations, a notified body is a body which has been appointed to carry out one or more of the conformity assessment procedures mentioned and referred to in regulation 13 which has been —
a
appointed as a notified body in the United Kingdom pursuant to regulation 16; or
b
appointed by a member State other than the United Kingdom, and has been notified by the member State concerned to the Commission and the other member States pursuant to Article 9(1) of the Lifts Directive.
Notified bodies appointed by the Secretary of State
16
1
The Secretary of State may from time to time appoint such persons as he thinks fit to be notified bodies for the purposes of these Regulations.
2
An appointment —
a
may relate to all descriptions of lifts or safety components or such descriptions (which may be framed by reference to any circumstances whatsoever) of lifts or safety components as the Secretary of State may from time to time determine;
b
may be made subject to such conditions as the Secretary of State may from time to time determine, and such conditions may include conditions which are to apply upon or following termination of the appointment;
c
shall, without prejudice to the generality of sub-paragraph (b) above, require that body, subject to paragraph (4), to carry out the procedures and specific tasks for which it has been appointed including (where so provided as part of those procedures) surveillance to ensure that the installer of the lift or manufacturer of the safety component or such other responsible person, as the case may be, duly fulfils the obligations arising out of the relevant conformity assessment procedure;
d
shall be terminated upon 90 days' notice in writing to the Secretary of State, at the request of the notified body; and
e
may be terminated if it appears to the Secretary of State that any of the conditions of the appointment are not complied with.
3
Subject to paragraph (2)(d) and (e), an appointment under this regulation may be for the time being or for such period as may be specified in the appointment.
4
A notified body appointed by the Secretary of State shall not be required to carry out the functions referred to in paragraph (2)(c) if —
a
the documents submitted to it in relation to carrying out such functions are not in English or another language acceptable to that body;
b
the person making the application has not submitted with its application the amount of the fee which the body requires to be submitted with the application pursuant to regulation 17; or
c
the body reasonably believes that, having regard to the number of applications made to it in relation to its appointment under these Regulations which are outstanding, it will be unable to commence the required work within three months of receiving the application.
5
If for any reason the appointment of a notified body is terminated under this regulation, the Secretary of State may —
a
give such directions (either to the body the subject of the termination or to another notified body) for the purpose of making such arrangements for the determination of outstanding applications as he considers appropriate; and
b
without prejudice to the generality of the foregoing, authorise another notified body to take over its functions in respect of such cases as he may specify.
6
Where a notified body is minded to refuse to issue an EC type-examination certificate, it shall —
a
give notice in writing to the applicant of the reasons why it is minded to do so; and
b
give the applicant the opportunity to make representations within a period of 28 days of the said notice being given and consider any representations made within that period by the applicant.
Fees
17
1
Without prejudice to the power of the Secretary of State, where he is appointed as a notified body in the United Kingdom, to charge fees pursuant to regulations made under section 56 of the Finance Act 1973 and subject to paragraph (2), a notified body appointed by the Secretary of State may charge such fees in connection with, or incidental to, carrying out its duties in relation to the functions referred to in regulation 16(2)(c) as it may determine; provided that such fees shall not exceed the sum of the following —
a
the costs incurred or to be incurred by the notified body in performing the relevant function; and
b
an amount on account of profit which is reasonable in the circumstances having regard to —
i
the character and extent of the work done or to be done by the body on behalf of the applicant; and
ii
the commercial rate normally charged on account of profit for that work or similar work.
2
The power in paragraph (1) includes the power to require the payment of fees or a reasonable estimate thereof in advance of carrying out the work requested by the applicant.
Conditions for lifts and safety components being taken to conform with the provisions of the Lifts Directive
18
1
Subject to paragraph (2), a lift or safety component which —
a
bears the CE marking or, in the case of a safety component, the label attached to it bears that marking in accordance with regulation 8(2)(c) or 9(2)(c); and
b
is accompanied by an EC declaration of conformity in accordance with regulation 8(2)(d) or 9(2)(d),
shall be taken to conform with all the provisions of these Regulations, which apply to it, including the appropriate conformity assessment procedure specified in regulation 13, unless there are reasonable grounds for suspecting that it does not so conform.
2
Paragraph (1) does not apply in relation to an enforcement authority where a person fails or refuses to make available to the enforcement authority the documentation which he is required, by the conformity assessment procedure which applies to that lift or safety component, to retain or a copy thereof.
PART IV
ENFORCEMENT
Application of Schedule 15
19
1
Subject to paragraph (2), Schedule 15 shall have effect for the purposes of providing for the enforcement of these Regulations and for matters incidental thereto.
2
Except in the case of a lift or safety component which, in the opinion of an enforcement authority, is liable to endanger the safety of persons and, where appropriate, of property, where an enforcement authority has reasonable grounds for suspecting that the CE marking has been affixed to a lift or safety component or, in the case of a safety component, to a label inseparably attached to it and in relation to which any provision of these Regulations has not been complied with it may serve notice in writing on —
a
the installer of the lift or the manufacturer of the safety component or, in the case of the latter, his authorised representative established in the Community; or
b
in a case where neither the installer of the lift nor the manufacturer of the safety component nor, in the case of the latter, his authorised representative established in the Community has placed the lift or safety component, as the case may be, on the market, the person who places it on the market in the United Kingdom;
and subject to paragraph (3), no other action pursuant to Schedule 15 may be taken, and no proceedings may be brought pursuant to regulation 20, in respect of that lift or safety component until such notice has been given and the person to whom it is given has failed to comply with its requirements.
3
Notwithstanding the provisions of paragraph (2), for the purpose of ascertaining whether or not the CE marking has been correctly affixed, action may be taken pursuant to section 20 of the Health and Safety at Work etc. Act 1974 , or, in Northern Ireland, pursuant to Article 22 of the Health and Safety at Work (Northern Ireland) Order 1978 as it is applied by Schedule 15.
4
A notice which is given under paragraph (2) shall —
a
state that the enforcement authority suspects that the CE marking has not been correctly affixed to the lift, safety component or label, as the case may be;
b
specify the respect in which it is so suspected and give particulars thereof;
c
require the person to whom the notice is given —
i
to secure that any lift or safety component to which the notice relates conforms as regards the provisions concerning the correct affixation of the CE marking within such period as may be specified in the notice; or
ii
to provide evidence within that period, to the satisfaction of the enforcement authority, that the CE marking has been correctly affixed; and
d
warn that person that if the non-conformity continues after, or if satisfactory evidence has not been provided within, the period specified in the notice, further action may be taken under the Regulations in respect of that lift or safety component or any lift or safety component of the same type placed on the market by that person.
Offences
20
Any person who —
a
contravenes or fails to comply with regulation 8, 9, 10 or 11(1) or (2); or
b
fails to supply or retain a copy of the declaration of conformity as required by regulation 11(3),
shall be guilty of an offence.
Penalties
21
1
A person guilty of an offence under regulation 20(a) shall be liable on summary conviction —
a
to imprisonment for a term not exceeding 3 months; or
b
to a fine not exceeding level 5 on the standard scale,
or to both.
2
A person guilty of an offence under regulation 20(b) shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
Defence of due diligence
22
1
Subject to the following provisions of this regulation, in proceeding against any person for an offence under regulation 20 it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid committing the offence.
2
Where in any proceedings against any person for such an offence the defence provided by paragraph (1) involves an allegation that the commission of the offence was due —
a
to the act or default of another; or
b
reliance on information given by another,
that person shall not, without the leave of the court, be entitled to rely on the defence unless, not less than seven clear days before the hearing of the proceedings (or, in Scotland, the trial diet), he has served a notice under paragraph (3) below on the person bringing the proceedings.
3
A notice under this paragraph shall give such information identifying or assisting in the identification of the person who committed the act or default or gave the information as is in the possession of the person serving the notice at the time he serves it.
4
It is hereby declared that a person shall not be entitled to rely on the defence provided by paragraph (1) by reason of his reliance on information supplied by another, unless he shows that it was reasonable in all the circumstances for him to have relied on the information, having regard in particular —
a
to the steps which he took, and those which might reasonably have been taken, for the purpose of verifying the information; and
b
to whether he had any reason to disbelieve the information.
Liability of persons other than the principal offender
23
1
Where the commission by any person of an offence under regulation 20 is due to the act or default committed by some other person in the course of any business of his, the other person shall be guilty of the offence and may be proceeded against and punished by virtue of this paragraph whether or not proceedings are taken against the first-mentioned person.
2
Where a body corporate is guilty of an offence under these Regulations (including where it is so guilty by virtue of paragraph (1)) in respect of any act or default which is shown to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
3
Where the affairs of a body corporate are managed by its members, paragraph (2) above shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.
4
In this regulation, references to a “body corporate” include references to a partnership in Scotland and, in relation to such partnership, any reference to a director, manager, secretary or other similar officer of a body corporate is a reference to a partner.
Consequential amendments
24
1
In the Provision and Use of Work Equipment Regulations 1992 —
a
at the end of Schedule 1 there shall be added the following paragraph —
38
European Parliament and Council Directive 95/16/EC on the approximation of the laws of the Member States relating to lifts ( OJ No. L213, 7.9.95, p.1).
; and
b
for the purposes of the enforcement of regulation 10 of those Regulations, these Regulations shall have effect as if the addition of the reference to the Lifts Directive in Schedule 1, effected by sub-paragraph (a) above, had been made by means of Regulations made under section 15 of the Health and Safety at Work etc. Act 1974.
2
In the Provision and Use of Work Equipment Regulations (Northern Ireland) 1993 —
a
in Schedule 1, after paragraph 23 there shall be added the following paragraph —
24
European Parliament and Council Directive 95/16/EC on the approximation of the laws of the member States relating to lifts (OJ No. L213, 7.9.95, p.1).
; and
b
for the purposes of the enforcement of regulation 10 of those Regulations, these Regulations shall have effect as if the addition of the reference to the Lifts Directive in Schedule 1, effected by sub-paragraph (a) above, had been made by means of Regulations made under Article 17 of the Health and Safety at Work (Northern Ireland) Order 1978 .
Ian Taylor
Parliamentary Under-Secretary of State for Science and Technology
Department of Trade and Industry
14th March 1997


type: legislation

jurisdiction: UK

text:
1
This Instrument may be cited as “The City of Stoke-on-Trent Birches Head Road Canal Footbridge Scheme 1997 Confirmation Instrument 1997”, and shall come into force on the date on which notice that it has been confirmed is first published in accordance with paragraph 1 of Schedule 2 to the Highways Act 1980.
2
The City of Stoke-on-Trent Birches Head Road Canal Footbridge Scheme, 1997 is hereby confirmed with modifications.
3
The said Scheme as confirmed (hereinafter referred to as “the Scheme”) is set out in the Schedule hereto and copies of the Scheme with its accompanying plan as modified are deposited at the offices of the Department of the Environment, Transport and the Regions, Great Minster House, 76 Marsham Street, LONDON SW1P 4DR, and at the offices of the City of Stoke-on-Trent, PO Box 631, Civic Centre, Glebe Street, Stoke-on-Trent ST4 1RG.
Signed by authority of the Secretary of State for Transport
Pamela Denham
Regional Director Government Office for the North East
27th October 1997


text:
PART I
PRELIMINARY
Citation and commencement
1
These Regulations may be cited as the Reserve Forces (Call-out and Recall) (Financial Assistance) Regulations 1997 and shall come into force on 1st April 1997.
General interpretation
2
1
In these Regulations —
“the 1996 Act ” means the Reserve Forces Act 1996 ;
“adjudication officer” means a person appointed by or in accordance with the directions of the Secretary of State or the Defence Council to determine claims under these Regulations;
“average weekly earnings” means —
the earnings paid by an employer to a reservist in the 52 weeks immediately preceding the relevant date divided by 52, and increased by a percentage which appears to the Secretary of State to represent the rate of increase in incomes in the United Kingdom in the year ending with the relevant date, or
if —
the reservist began employment with an employer on a day less than 52 weeks before the relevant date, or
in the opinion of the adjudication officer the figure calculated by the method described in sub-paragraph (a) above would not be a reliable estimate of the reservist’s average weekly earnings,
the earnings which the reservist reasonably expects that he would have earned in the service of an employer, but for performing relevant service, in the 52 weeks immediately following the relevant date divided by 52;
“claimant” means a reservist or an employer who is claiming an award under these Regulations;
“earnings” includes —
salary, wages, fees, drawings and gratuities payable to a reservist;
service pay payable to a reservist for service other than relevant service,
but does not include —
any payments made for the benefit of the reservist, his spouse or dependants for accommodation or educational fees, or premiums in relation to a pension scheme, health or medical insurance or life assurance;
the value of or payments in respect of any motor vehicle provided by the reservist’s employer and available for the private use of him, his spouse or dependants;
“employer” means any person who is an employer of a reservist on the relevant date and includes —
a reservist who is self-employed;
a partnership within the meaning of the Partnership Act 1890 of which the reservist is a partner;
a company of which the reservist is a director other than a non-executive director;
a Secretary of State or government department or any officer or body exercising on behalf of the Crown functions conferred by any statute, for whom a reservist works as a Crown servant;
“relevant date” means, subject to paragraph (2) below, the day on which a reservist is accepted into service for the purpose of performing relevant service;
“relevant service” means permanent service —
under Part IV of the 1996 Act;
in relation to a claim by a reservist under regulation 3 or 4 below, under Part V of the 1996 Act;
under a call-out or recall order;
by a person called out or recalled under the 1980 Act or under any other call-out or recall obligations of an officer,
in respect of which a claim is made, but shall not include any period in which the reservist is serving a term of imprisonment or detention under the sentence of a court-martial or a court of law in the British Islands or any colony;
“reservist” means a person called out or recalled for relevant service;
“service pay” means any pay, bounty or allowance payable to a reservist for service in the armed forces but excluding any allowance payable for the cost of living overseas or for reimbursement of expenses.
2
Where a person is performing relevant service and the date on which he is entitled to be released or discharged has been postponed under section 45(6), 53(3), (7) or (11), 55(3), (7) or (11), 57(3) or (7), 61 or 69(3) or (6) (as the case may be) of the 1996 Act, “the relevant date” means the day on which he would otherwise have been entitled to be released or discharged from that service.
PART II
BASIS FOR AWARDS TO RESERVISTS
Reservist’s standard awards
3
1
A reservist shall, subject to fulfilment to the adjudication officer’s satisfaction of the requirement to furnish information or documents under regulation 11(1) below, be entitled to a reservist’s standard award.
2
For the purposes of these Regulations a “reservist’s standard award” means —
a
the lesser of —
i
the sum by which the reservist’s average weekly earnings multiplied by the number of weeks in the period of relevant service exceeds the sum of his earnings and service pay for the same period; or
ii
the sum by which earnings at the rate prescribed for the band into which the reservist falls exceeds his Service pay for the period of relevant service; and
b
subject to paragraph (6) below, sums equivalent to any payments by an employer —
i
into a pension scheme for the benefit of the reservist, his spouse or dependants;
ii
to or on behalf of the reservist for accommodation or educational fees, or premiums in relation to health or medical insurance or life assurance, for accommodation, educational fees or medical insurance premiums,
which would have been paid to or on behalf of the reservist but for performing the period of relevant service; and
c
a travel allowance of £15 for each complete week of relevant service in which the reservist has lost the benefit of any motor vehicle provided by his employer for private use and which would have been available for the spouse or dependant of the reservist but for his performing that service.
3
If the reservist’s service pay for the period of relevant service exceeds his average weekly earnings multiplied by the number of weeks in that period the aggregate of any payments under paragraph (2)(b)(ii) and (c) above shall be reduced by the amount of that excess.
4
For the purposes of this regulation, the band into which a reservist falls shall be determined by his paid rank during the period of relevant service or by his membership of a specialist category and shall be as prescribed in Schedule 2.
5
In this regulation and in Schedule 2 —
a
references to a rank shall include references to a rank or rate in any of Her Majesty’s armed forces equivalent to any of the army ranks prescribed in Schedule 2 to these Regulations;
b
references to a specialist category shall be a reference to any category of persons so described in notices which the Secretary of State may from time to time cause to be published as having specialist skills of exceptional value to the armed forces.
6
Where it is a condition of the making by an employer of any of the payments referred to in paragraph (2)(b) above that the reservist makes payments for the same purpose, the making of an award under paragraph (2)(b) above shall be subject to the same condition.
7
Where a reservist’s standard award is made to a person to whom a service pension is payable —
a
that award shall not be reduced by reason of the service pension;
b
the service pension shall not be withheld or reduced by reason of that award.
Reservist’s hardship awards
4
1
A reservist shall, if the adjudication officer is satisfied that —
a
the reservist has suffered, or will suffer, financial hardship as a result of performing relevant service; and
b
a reservist’s standard award has been or will be insufficient to relieve such hardship,
be entitled to a reservist’s hardship award.
2
For the purposes of these Regulations “a reservist’s hardship award” means an amount sufficient to relieve the hardship which a reservist has suffered or will suffer as a direct result of his performing relevant service.
PART III
BASIS FOR AWARDS TO EMPLOYERS
Employer’s standard awards
5
1
An employer shall, subject to fulfilment to the adjudication officer’s satisfaction of the requirement to furnish information or documents under regulation 11(2) below, be entitled to an employer’s standard award.
2
For the purposes of this Part and Part IV, “an employer’s standard award” means —
a
a lump sum payment equivalent to any costs, other than recurring costs, but not exceeding —
i
6 per cent of the reservist’s average weekly earnings from that employer on the relevant date multiplied by 52; or
ii
£2,400,
whichever is less; and
b
sums equivalent to any recurring costs, not exceeding —
i
4 per cent of the reservist’s average weekly earnings from that employer; or
ii
£31,
whichever is less, multiplied by the number of weeks in the period of relevant service; and
c
an administration expenses allowance of £55 for each employee of his who is accepted into service.
3
In this regulation and in regulation 6 below, “costs” means expenditure reasonably incurred by the employer in replacing the services of a reservist during the period of that reservist’s relevant service, less any expenditure which would have been incurred by the employer but for the reservist’s absence performing relevant service.
Employer’s hardship awards
6
1
An employer shall, if an adjudication officer is satisfied that —
a
the employer is eligible for an employer’s standard award and has incurred costs exceeding one and a half times the amount to which an award under regulation 5(2)(a) or (b) is limited; and
b
the incurring of such costs has caused or will cause that employer financial hardship which an employer’s standard award will be insufficient to relieve,
be entitled to an employer’s hardship award.
2
For the purposes of this Part and Part IV “an employer’s hardship award” means an amount sufficient to relieve the hardship referred to in paragraph 1(b) above.
Retraining awards
7
1
An employer shall, subject to —
a
fulfilment to the adjudication officer’s satisfaction of the requirement to furnish information or documents under regulation 11(3) below; and
b
notification to the adjudication officer no later than 4 weeks after the date on which the reservist resumes employment with him of the employer’s intention to claim a retraining award; and
c
the claim being made within the time limit specified in regulation 8(3) below,
be entitled to a retraining award.
2
The making of a claim within the time limit specified in paragraph (1)(b) above shall be deemed to be notification under that sub-paragraph.
3
For the purposes of these Regulations a “retraining award” means a lump sum payment not exceeding £2,000 of expenditure incurred or to be incurred by an employer in retraining a reservist to regain nationally recognised standards of competence or qualifications required to carry out duties with that employer and which the reservist had immediately before starting a period of relevant service.
PART IV
PROCEDURE FOR THE DETERMINATION OF CLAIMS
Time limits for making claims
8
1
A claim under these Regulations may not be made before —
a
the date of service or deemed service on a reservist of a call-out notice under Part IV or V of the 1996 Act, a call-out or recall notice or any other notice pursuant to which the reservist may be required to perform relevant service; or
b
if there is no such notice, the relevant date.
2
A claim for an award other than a retraining award may not be made more than 4 weeks after the relevant date.
3
A claim for a retraining award may not be made more than 8 weeks after the date on which the reservist resumes work with the employer.
4
Notwithstanding paragraph (2) above, a claim for a reservist’s hardship award or an employer’s hardship award may be made no later than 8 weeks after the relevant date provided that the claimant has given notice to the adjudication officer no later than 4 weeks after the relevant date of his intention to make such a claim.
5
For the purposes of this regulation a claim is deemed to have been made on the day when it is received by the adjudication officer.
Steps by representatives of claimants
9
1
Any step required to be taken by a claimant under this Part may, except for claims to which paragraph (2) below applies, be taken by any person authorised by the claimant to do so on his behalf.
2
In the event of the death of a claimant or of a person who, if he had survived, could have been a claimant, a claim may be continued or made, as the case may be, by his personal representatives.
Person to whom claims made
10
1
A claim shall be made to the person specified in Schedule 3.
2
The person to whom a claim has been made shall, if he is not an adjudication officer, immediately pass that claim to an adjudication officer.
Information and documents to be furnished in relation to claims
11
1
A reservist shall furnish with his claim the information or documents prescribed in paragraph 1 of Schedule 1.
2
An employer shall furnish with his claim for an employer’s standard award the information or documents prescribed in paragraph 2 of Schedule 1.
3
An employer shall furnish with his claim for a retraining award the information or documents prescribed in paragraph 3 of Schedule 1.
4
An adjudication officer may require any person to furnish such further information or documents in connection with a claim as the adjudication officer may at any time reasonably require.
5
A person who has furnished information under this regulation shall notify the adjudication officer of —
a
any inaccuracy in, or change to, that information; or
b
any event,
which would materially affect the claim, no later than 7 days after the inaccuracy, change or event came to that person’s attention.
Determination and payment of claims
12
1
The adjudication officer shall consider a claim promptly and in accordance with the relevant provisions of these Regulations.
2
Where that determination takes into account any estimated cost or expense or any future event, it shall be a preliminary determination subject to confirmation when evidence of the actual amount or the occurrence of the event is provided.
3
The adjudication officer shall within 2 days of making his determination give to the claimant written notification of his determination containing a statement —
a
giving reasons for the determination;
b
showing how the award, if any, has been calculated and the factors taken into account in awarding that amount;
c
that the claimant may, if he is dissatisfied with the determination of his claim, appeal against the determination to a reserve forces appeal tribunal, and giving the address to which such an appeal should be sent.
4
Any payment awarded under these Regulations shall be made by the Secretary of State.
Rejection of claims for non compliance with Regulations
13
The adjudication officer may reject a claim if the claimant has failed without reasonable excuse to comply with —
a
any requirement under regulation 11(1), (2) or (3) above to furnish information or documents;
b
any of the time limits prescribed in regulation 8 above.
Additional powers of adjudication officers
14
An adjudication officer may —
a
treat the requirement to furnish information or documents under regulation 11(1), (2) or (3) above as having been satisfied if he already has that information or those documents when the claimant makes his claim;
b
make an interim award pending his determination;
c
review his determination at any time until the beginning of the hearing by a reserve forces appeal tribunal of an appeal against that determination;
d
deem that a period of relevant service shall include any period between the time at which the reservist presents himself for service pursuant to his call-out or recall and the time at which he is accepted into service.
PART V
MISCELLANEOUS PROVISIONS
Increase of rates of average weekly earnings
15
If the period of relevant service is still in progress on the first or subsequent anniversary of the relevant date, the average weekly earnings for the purposes of a reservist’s standard award or regulation 5(2)(b) above shall be increased with effect from that anniversary by such percentage as appears to the Secretary of State to represent the average rate of increase in incomes in the United Kingdom in the year ending with that anniversary.
Power to compel acceptance of pension payments and provision of information as to use of pension payments
16
1
This regulation applies where an adjudication officer makes an award under these Regulations which includes a sum for the loss of any payment made into a pension scheme by an employer for the benefit of the reservist, his spouse or dependants.
2
The adjudication officer may direct that the person to whom any such payment would have been made, but for the reservist’s performance of relevant service, shall accept such sum as if (for the purpose of these Regulations only) it were a payment into the scheme by the employer.
3
The Secretary of State may by written notice require any person to whom any payment referred to in this regulation has been made to provide to the Secretary of State or other person named in the notice information about the use made of that money.
Nicholas Soames
Minister of State, Ministry of Defence
19th February 1997


text:
Title, commencement and extent
1
1
These Regulations may be cited as the Integrated Administration and Control System (Amendment) Regulations 1997, and shall come into force on 29th April 1997.
2
These Regulations shall apply to the United Kingdom.
Amendment of previous Regulations
2
The Integrated Administration and Control System Regulations 1993 shall be amended in accordance with regulations 3 to 6 of these Regulations.
3
For regulation 2 (interpretation) there shall be substituted the following regulation —
Interpretation
2
1
In these Regulations, unless the context otherwise requires —
“agricultural parcel” has the same meaning as in Article 1(4) of Council Regulation 3508/92;
“area aid application” means the form of application that is made available to farmers by the competent authority, for the purposes of Article 6 of Council Regulation 3508/92 and of Article 4 of Commission Regulation 3887/92, for the IACS year in question;
“authorised person” means any person (whether or not an officer of that authority) who is authorised by the competent authority, either generally or specially, to act in matters arising under these Regulations;
“Commission Regulation 3887/92” means Commission Regulation ( EEC ) No. 3887/92 laying down detailed rules for applying the integrated administration and control system for certain Community aid schemes ;
“Commission Regulation 2700/93” means Commission Regulation (EEC) No. 2700/93 on detailed rules for the application of the premium in favour of sheepmeat and goatmeat producers ;
“Commission Regulation 762/94” means Commission Regulation ( EC ) No. 762/94 laying down detailed rules for the application of Council Regulation 1765/92 with regard to the set-aside scheme ;
“the competent authority” means —
in relation to England, the Minister of Agriculture, Fisheries and Food;
in relation to Scotland or to Wales, the Secretary of State;
in relation to Northern Ireland, the Department of Agriculture for Northern Ireland;
“Council Regulation 805/68” means Council Regulation (EEC) No. 805/68 on the common organisation of the market in beef and veal ;
“Council Regulation 3013/89” means Council Regulation (EEC) No. 3013/89 on the common organisation of the market in sheepmeat and goatmeat ;
“Council Regulation 1323/90” means Council Regulation (EEC) No. 1323/90 instituting specific aid for sheep and goat farming in certain less-favoured areas of the Community ;
“Council Regulation 2328/91” means Council Regulation (EEC) No. 2328/91 on improving the efficiency of agricultural structures ;
“Council Regulation 1765/92” means Council Regulation (EEC) No. 1765/92 establishing a support system for producers of certain arable crops ;
“Council Regulation 3508/92” means Council Regulation (EEC) No. 3508/92 establishing an integrated administration and control system for certain Community aid schemes ;
“Council Regulation 1577/96” means Council Regulation (EC) No. 1577/96 introducing a specific measure in respect of certain grain legumes ;
“farmer” has the same meaning as in Article 1(4) of Council Regulation 3508/92;
“field identification check” means any verification, inspection, investigation or other operation made by the competent authority, after an application has been made to it by a farmer for —
in England, Wales or Northern Ireland, the allocation (for the purposes of area aid applications to be made by him) of a new identification number in respect of any field of his, or
in Scotland, the updating (for the purposes of area aid applications to be made by him) of any field identification number or field boundary,
for the purposes of assessing the completeness and accuracy of the information given in that application;
“forage area” has the same meaning as in the second indent of Article 4g(3) of Council Regulation 805/68;
“IACS year” means a period of 12 months commencing on 16th May;
“specified control measure” means any check, test, verification, inspection, investigation, control or other operation in relation to land which a Member State is required to carry out under Council Regulation 3508/92 or Title IV of Commission Regulation 3887/92;
“specified payment” means any one or more of —
a compensatory payment under Article 2 of Council Regulation 1765/92;
the special premium under Article 4b of Council Regulation 805/68;
the deseasonalisation premium under Article 4c of Council Regulation 805/68;
the suckler cow premium under Article 4d of Council Regulation 805/68;
the additional amount under Article 4h of Council Regulation 805/68;
the premium in respect of sheep under Article 5 of Council Regulation 3013/89;
the compensatory allowance under Article 17 of Council Regulation 2328/91;
the specific aid under Article 1 of Council Regulation 1323/90 as read with Article 1a of Commission Regulation 2700/93;
the grain legume aid under Articles 1, 2 and 3 of Council Regulation 1577/96.
2
In these Regulations, a reference to any European Community Regulation shall include any amendments to it up to the time of the making of the Integrated Administration and Control System (Amendment) Regulations 1997.
3
In these Regulations, unless the context otherwise requires, any reference to a numbered regulation is a reference to the regulation so numbered in these Regulations.
.
4
After regulation 2 (interpretation), there shall be inserted the following regulation —
Date by which area aid applications must be submitted
2A
For the purposes of Article 6(2) of Council Regulation 3508/92, and subject to Article 8 of Commission Regulation 3887/92, the last day on which an area aid application for any IACS year may be submitted to the competent authority shall be the 15th May immediately preceding the commencement of that IACS year.
.
5
In regulation 6 (powers of authorised persons) —
a
in paragraph (1), in sub-paragraph (a), after the word “measure” there shall be inserted the words “or field identification check”;
b
in paragraph (3) —
i
the word “and” shall be deleted, and
ii
after sub-paragraph (b) there shall be inserted the following sub-paragraph —
c
in the course of a field identification check, inspect any records which he has reasonable cause to believe are relevant to that check
.
6
In regulation 8 (offences and penalties) —
a
in both paragraph (2) and paragraph (4), the words “in Great Britain” and the words from “, and in Northern Ireland” to the end of the paragraph shall be deleted ;
b
after paragraph (2) there shall be inserted the following paragraphs —
2A
If any person for the purpose —
a
in England, Wales or Northern Ireland, of having a new identification number allocated (for the purposes of area aid applications to be made by him) in respect of any field of his, or
b
in Scotland, of having any field identification number or field boundary updated (for the purposes of area aid applications to be made by him) —
i
furnishes information which he knows to be false or misleading in a material particular; or
ii
recklessly furnishes information which is false or misleading in a material particular,
he shall be guilty of an offence.
2B
A person guilty of an offence under paragraph (2A) above shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.
;
c
in paragraph (5), after the number “(1)” there shall be inserted the number “, (2A)”.
Tony Baldry
Minister of State, Ministry of Agriculture, Fisheries and Food
3rd April 1997
Raymond S Robertson
Parliamentary Under Secretary of State, Scottish Office
31st March 1997


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the Personal Pension Schemes (Appropriate Schemes) Regulations 1997 and shall come into force on 6th April 1997.
2
In these Regulations —
“the 1993 Act ” means the Pension Schemes Act 1993;
“administrators”, in relation to a personal pension scheme, means —
the trustees; or
the managers (if there are no trustees), and
any person or company authorised to act on behalf of the trustees or managers (if there are no trustees),
but does not include any person who is resident outside the United Kingdom nor any company which has its registered office outside the United Kingdom;
“Friendly Society” has the same meaning as in the Friendly Societies Act 1992 (including any society which by virtue of section 96(2) of that Act is to be treated as a registered friendly society within the meaning of that Act);
“investment business” has the meaning assigned to that expression by the Financial Services Act 1986 ;
“overseas scheme” means an occupational pension scheme which is administered wholly or primarily outside the United Kingdom but does not include one which is contracted-out within the meaning of section 7(3) of the 1993 Act nor one to which section 53 of the 1993 Act applies;
“pensionable age” has the meaning given by the rules in paragraph 1 of Part I of Schedule 4 to the Pensions Act 1995; and
“tax week” has the same meaning as in section 181(1) of the 1993 Act.
3
In these Regulations, unless the context otherwise requires, any reference —
a
to a numbered regulation is to the regulation in these Regulations bearing that number;
b
in a regulation to a numbered paragraph is to the paragraph of that regulation bearing that number; and
c
in a paragraph to a lettered sub-paragraph is to the sub-paragraph of that paragraph bearing that letter.
Forms of schemes which may be appropriate schemes
2
1
A personal pension scheme can be an appropriate scheme only if it is approved by the Inland Revenue under either —
a
Chapter IV of Part XIV of the Income and Corporation Taxes Act 1988 ; or
b
Chapter I of Part XIV of the Income and Corporation Taxes Act 1988 by reference to section 591(2)(h) of that Act, and
in either case it takes one of the forms (but not more than one) specified in paragraph (2).
2
The forms referred to in paragraph (1) are —
a
an arrangement for the issue of insurance policies or annuity contracts;
b
a unit trust scheme of a kind mentioned in Part I of Schedule 1 to these Regulations which has been authorised under section 78(1) of, or by virtue of paragraph 9 of Schedule 15 to, the Financial Services Act 1986;
c
subject to paragraph (3), an arrangement for the investment of contributions in an interest-bearing account (which expression includes shares in or deposits with a building society as defined in the Building Societies Act 1986) .
3
For the purposes of paragraph (2)(c) the rules of the personal pension scheme must provide that, at the minimum, there shall be invested in the interest-bearing account any payments which, under section 10(3) of the 1993 Act or regulation 3 of the Personal and Occupational Pension Schemes (Protected Rights) Regulations 1996 , are those from which are derived protected rights.
Persons who and bodies which may establish schemes
3
1
An arrangement such as is described in —
a
regulation 2(2)(a) which is established by a Friendly Society can be an appropriate scheme only if paragraph (2) applies to that Friendly Society; and
b
regulation 2(2)(c) can be an appropriate scheme only if it is established by a person to whom or a body to which paragraph (3) applies.
2
This paragraph applies to a Friendly Society which is authorised under section 32 of the Friendly Societies Act 1992 to carry on long term business under any of the Classes specified in Head A of Schedule 2 to that Act.
3
This paragraph applies to —
a
a building society as defined in the Building Societies Act 1986;
b
a pension vehicle as defined in item 14 of the Schedule to the Building Societies (Designation of Qualifying Bodies) Order 1988 which is associated with a building society as described in section 18(17) of the Building Societies Act 1986;
c
an institution authorised under Part I of the Banking Act 1987 ;
d
subject to paragraph (4), a body corporate which is a subsidiary or holding company of an institution such as is mentioned in sub-paragraph (c) or a subsidiary of the holding company of such an institution (“holding company” and “subsidiary” being construed in accordance with section 736 of the Companies Act 1985 or Article 4 of the Companies (Northern Ireland) Order 1986 ).
4
Paragraph (3)(d) applies subject to the conditions that the rules of any appropriate scheme established by such a body require that the resources of the scheme be invested with an institution such as is mentioned in paragraph (3)(c), and further provide that the rights arising from such investment, in so far as they are attributable to the contributions made by or on behalf of a member, shall be held by that body on trust for that member.
Requirements in respect of an application for an appropriate scheme certificate
4
1
Every application for an appropriate scheme certificate (“the certificate”) shall be made in writing to the Secretary of State and shall include —
a
the name of the scheme and the address where it is administered;
b
the names and addresses of the administrators of the scheme;
c
the name, address and position (in relation to the scheme) of the person making the application for the certificate;
d
the name and address of the person who has established the scheme or, in the case of a company, the registered office;
e
such evidence as the Secretary of State may reasonably require that the scheme satisfies such of the requirements of regulation 3 as apply to it;
f
which of the forms specified in regulation 2(2) the scheme is to take;
g
the name and address of a bank or building society which accepts payments made by automated credit transfer together with the name and account number of that bank or building society into which it is desired that minimum contributions should be paid; and
h
the date from which the desired certificate shall have effect.
2
Every application shall be accompanied by a copy of —
a
the documents constituting the scheme; and
b
the rules of the scheme, if they are not set out in those documents or any of them,
except where the Secretary of State in his discretion dispenses wholly or partly with this requirement.
3
Every person who has made an application shall supply such other documents and information as the Secretary of State may reasonably require.
Issue of appropriate scheme certificates
5
When the Secretary of State has determined that a personal pension scheme is, or at any time was, an appropriate scheme, he shall issue an appropriate scheme certificate so stating to the person who applied for it.
Requirement to give the Secretary of State information
6
The administators of the scheme shall furnish the Secretary of State —
a
with such reports, accounts and other documents and information relating to the scheme to which the certificate relates, in such manner and at such times as is reasonably required by him;
b
with particulars in writing of —
i
any change in identity, names and addresses of the administrators of the scheme;
ii
any change in the name or address of the person who has established the scheme;
iii
any change affecting the information given under regulation 4(1)(e) and (f); and
iv
any change of circumstances affecting the scheme as the Secretary of State may have required them to notify,
as soon as practicable after its occurrence.
Cancellation, variation and surrender of an appropriate scheme certificate
7
An appropriate scheme certificate may be cancelled, varied or surrendered where there is any change in respect of the information which was provided by virtue of regulations 4 and 6.
Applications for the variation of, and to surrender, appropriate scheme certificates
8
1
Every application for the variation of, or to surrender, an appropriate scheme certificate —
a
shall be made in writing to the Secretary of State by the administrators of the scheme;
b
shall be made only after notices of intention to make that application have been given by the administrators in accordance with paragraph (2) except where (in the case of an application for the variation of an appropriate scheme certificate) the Secretary of State dispenses with this requirement; and
c
shall include a statement that all notices required by paragraph (2) to be given in relation to that application have been duly given.
2
Notice of intention to make an application such as is mentioned in paragraph (1) shall be given in writing to —
a
any member of the scheme who has protected rights under it; and
b
any earner who, jointly with the trustees or managers of the scheme, has given in relation to the scheme a notice under section 44(1) of the 1993 Act which has not been cancelled,
by sending it to his last known address.
3
Notices given under this regulation shall specify —
a
the name of the scheme and the address where it is administered;
b
the date from which it is desired that the variation or surrender shall have effect; and
c
where the application is to surrender an appropriate scheme certificate, any arrangements made or proposed for the preservation or transfer of protected rights under the scheme.
4
Every person who makes an application under this regulation shall supply such other documents and information as the Secretary of State may reasonably require.
Cancellation of an appropriate scheme certificate
9
For the purpose of section 34(8) of the 1993 Act (no cancellation of an appropriate scheme certificate shall have effect from a date earlier than that on which the cancellation is made except in prescribed circumstances) the prescribed circumstance is where the Secretary of State considers that the scheme has failed to satisfy the requirements for continuing to be an appropriate scheme before the date cancellation is made and in such a case the date of effect of the cancellation —
a
shall not be a date other than 6th April in any year; and
b
shall not be earlier than 6th April in the tax year in which the Secretary of State considers that the scheme first failed to satisfy those requirements.
Notice under section 44(1) of the 1993 Act
10
1
A notice under section 44(1) of the 1993 Act (notice of earner’s chosen scheme) shall be given in writing in such form as the Secretary of State may in his discretion accept.
2
Subject to paragraph (4), the date specified in a notice under section 44(1) of the 1993 Act as the date from which the scheme is to be the earner’s chosen scheme shall, subject to paragraph (3), be 6th April in the year notice is given or 6th April in the next tax year.
3
Where a notice is given by 17th May in a tax year it may specify 6th April in the preceding tax year.
4
In a case where a scheme (“the first scheme”) was an earner’s chosen scheme on the date with effect from which the first scheme ceased to be an appropriate scheme, the date specified in a notice under section 44(1) of the 1993 Act as the date from which another scheme (“the second scheme”) is to be the earner’s chosen scheme may be the date with effect from which the first scheme ceased to be an appropriate scheme (whether or not that date is 6th April), if that date is not earlier than whichever is the earlier of —
a
the date 6 months earlier than that on which the Secretary of State receives the notice; and
b
6th April in the tax year in which the Secretary of State receives the notice.
Notice under section 44(2) of the 1993 Act
11
1
A notice under section 44(2) of the 1993 Act (cancellation of a notice given under section 44(1)) shall be given in writing and in such form as the Secretary of State may in his discretion accept.
2
The date specified in a notice under section 44(2) of the 1993 Act shall, subject to paragraph (3), be 6th April in the tax year in which the Secretary of State receives the notice or 6th April in the next tax year.
3
Where notice under section 44(2) of the 1993 Act is given by the earner and not by the trustees or managers of the scheme the date shall be at least a year later than the date specified in the notice given under section 44(1) of that Act.
Circumstances in which minimum contributions are not to be paid
12
1
Minimum contributions shall not be paid in respect of an earner for the tax year or any part of the tax year in which that earner —
a
reaches pensionable age; or
b
dies and in which he would have reached pensionable age.
2
Where effect has been given to the earner’s protected rights under section 28 of the 1993 Act (ways of giving effect to protected rights), minimum contributions shall not, except as provided by paragraphs (3) to (9) be paid in respect of the period during which the scheme was the earner’s chosen scheme.
3
Where effect has been given to the earner’s protected rights by the making of a transfer payment to another appropriate scheme which has become the earner’s chosen scheme or a money purchase contracted-out scheme, the minimum contributions shall be paid to the trustees or managers of that scheme.
4
Where effect has been given to the earner’s protected rights by the making of a transfer payment to a salary-related scheme or an overseas scheme and the Secretary of State becomes aware, as a consequence of evidence in respect of the earner’s age being brought to his attention, that an additional amount of minimum contributions would have been payable had he been aware of that evidence, that additional amount of minimum contributions shall be paid to the trustees or managers of that scheme.
5
Where effect has been given to the earner’s protected rights by the purchase of an annuity or by the provision by the scheme of a pension, and the amount of the minimum contributions in question is at least 10 times as great as the lower earnings limit for the tax year in which the Secretary of State becomes aware that minimum contributions are payable or would be payable, but for paragraph (2), those minimum contributions shall be paid (in the case of an annuity) to the insurance company from which the annuity has been purchased or (in the case of a pension) to the trustees or managers of the scheme.
6
Where effect has been given to the earner’s protected rights by the purchase of an annuity or by the provision by the scheme of a pension and —
a
the circumstances in paragraph (5) do not exist; and
b
minimum contributions are payable for the tax year or part of the tax year in which the earner died,
those minimum contributions shall be paid to the earner’s widow or widower, or if the earner died unmarried, they may at the Secretary of State’s discretion be paid to any person.
7
Where effect has been given to the earner’s protected rights by the purchase of an annuity or by provision by the scheme of a pension and —
a
the circumstances in paragraph (5) do not exist; and
b
the Secretary of State becomes aware, as a consequence of evidence in respect of the earner’s age being brought to his attention, that an additional amount of mimimum contributions would have been payable had he been aware of that evidence,
that additional amount of minimum contributions shall be payable for any tax year before or part of a tax year before effect has been given to protected rights to the earner or the earner’s widow or widower, or if the earner died unmarried, they may at the Secretary of State’s discretion be paid to any person.
8
Where effect has been given to the earner’s protected rights by the provision of a lump sum, minimum contributions shall be payable to the earner or the earner’s widow or widower, or if the earner died unmarried, they may at the Secretary of State’s discretion be paid to any person.
9
Where effect has been given to the earner’s protected rights by the making of payments under an interim arrangement, minimum contributions shall continue to be payable to the trustees or managers of the earner’s chosen scheme.
Manner of payment of minimum contributions
13
Minimum contributions shall be paid —
a
by automated credit transfer into a bank or building society account which relates to the relevant scheme and which accepts payments made by automated credit transfer; or
b
in such other manner as the Secretary of State may in his discretion approve.
Allocation of minimum contributions
14
A personal pension scheme can be an appropriate scheme only if the rules of the scheme provide that any minimum contributions falling to be applied so as to provide benefits in respect of a member are to be so applied from the date on which payment is made by the Secretary of State in accordance with regulation 13 and that such minimum contributions are to be allocated to that member’s account within three months of that date.
Calculation or estimation of earnings
15
1
In relation to any tax year, the earnings of an earner shall be calculated or estimated, for the purposes of section 45(1) of the 1993 Act, on the basis mentioned in this regulation.
2
In paragraph (3) —
“eligible tax week” means any tax week in any part of which the earner in question is at least 16 years of age and in no part of which he is over pensionable age; and
“ineligible tax week” means any tax week which is not an eligible tax week.
3
In relation to any eligible tax week in a tax year the earnings of an earner shall be taken to be the amount calculated or estimated in accordance with paragraph (4) divided by the number of eligible tax weeks in that tax year, and in relation to any ineligible tax week they shall be taken to be nil.
4
The formula to be applied shall be the formula set out in paragraph (5)(a) or, if it produces a smaller value for X, the formula set out in paragraph (5)(b), so however, that if the formula set out in paragraph (5)(a) produces a negative value for X, or if the value of P is nil, the value of X shall be taken to be nil.
5
The formulae mentioned in paragraph (4) are —
a
X = P + R - S - 52L
; and
b
X = 53U - 52L.
6
In paragraph (7) —
a
“primary Class 1 contributions” does not include contributions which the earner, being a married woman or widow, is liable to make at a reduced rate in accordance with an election which she has made and which is still operative; and
b
the reference to contributions as having been paid includes the case of contributions which are treated as having been paid under regulation 39 of the Social Security (Contributions) Regulations 1979 but does not include the case of contributions which are treated as not paid under regulation 38(1) and (2)(a) of those Regulations.
7
In this regulation —
a
L is the lower earnings limit for the tax year in question;
b
P is the total earnings, in so far as the earnings for each week did not exceed U, paid to or for the benefit of the earner in relation to the tax year in question, in relation to which primary Class 1 contributions have been paid with respect to employments that are not contracted-out;
c
R is the total earnings, in so far as the earnings for each week did not exceed U, paid to or for the benefit of the earner in relation to the tax year in question, in relation to which primary Class 1 contributions have been paid with respect to employments that are contracted-out;
d
S is the total earnings, in so far as the earnings for each week equalled or exceeded L but did not exceed U, paid to or for the benefit of the earner in relation to the tax year in question, in relation to which primary Class 1 contributions have been paid with respect to employments that are contracted-out; and
e
U is the upper earnings limit for the tax year in question.
Calculation of minimum contributions
16
1
For the purposes of determining the appropriate age related percentage for the purposes of section 45(1) of the 1993 Act , the Secretary of State may require an earner to send documentary evidence of his date of birth.
2
For the purposes of section 45B(2) of the 1993 Act (information held as to the age to be disclosed by the Secretary of State to trustees or managers of an appropriate personal pension scheme and such other persons as may be prescribed) the prescribed person shall be the person who is responsible for administering the scheme.
Adjustment of amount of minimum contributions
17
Where the amount of minimum contributions payable in respect of an earner in relation to a tax year would otherwise not be a whole number of pence, it shall be adjusted to the nearest whole number of pence, and any amount of half penny or less shall be disregarded.
Cancellation of membership of interest-bearing account-funded appropriate personal pension schemes
18
1
A personal pension scheme which comprises an arrangement of the kind described in regulation 2(2)(c) can be an appropriate scheme only if it satisfies the requirements of paragraph (2).
2
Without prejudice to any right of a member of the scheme, under section 160(1) of the 1993 Act or other rules of the scheme, the rules of the scheme shall include provision —
a
that, within 7 days of the day on which a person becomes a member of the scheme, he shall be served, personally or by post, with a notice in writing containing the information specified in Schedule 2 to these Regulations and a form of counter-notice; and
b
that, if the person signs the form of counter-notice or another document to the same effect and serves it —
i
by post or otherwise,
ii
not later than the fourteenth day after the notice referred to in sub-paragraph (a) is served on him,
iii
on the person nominated, in that notice, to accept service of it, his membership of the scheme shall be cancelled and the contributions (if any) paid to the scheme by him or for him shall be returned, as soon as reasonably practicable, to the person who paid them.
3
Where a counter-notice of the kind mentioned in paragraph (2)(b) is properly addressed, pre-paid and served by post, it shall be deemed to have been duly served on the day on which it was posted.
Transitional provision in respect of earnings
19
For the purposes of paying minimum contributions in respect of an employed earner for any period up to and including the tax year 1996 — 1997, regulations 16 and 17 of the Personal Pension Schemes (Appropriate Schemes) Regulations 1988 shall continue to have effect as if regulation 15 of these Regulations had not come into force.
Revocations
20
The regulations listed in column 1 of Schedule 3 to these Regulations are revoked to the extent specified in column 3 of that Schedule.
Signed by authority of the Secretary of State for Social Security
Oliver Heald
Parliamentary Under-Secretary of State,
Department of Social Security
25th February 1997


text:
1
This Order may be cited as the Public Telecommunication System Designation (COLT Telecommunications) Order 1997 and shall come into force on 17th April 1997.
2
Each of the Applicable Systems is hereby designated as a public telecommunication system.
Ian Taylor,
Parliamentary Under-Secretary of State for Science and Technology,
Department of Trade and Industry
17th March 1997


text:
1
This Order may be cited as the Public Telecommunication System Designation (Telewest Communications plc) (No. 2) Order 1997 and shall come into force on 17th April 1997.
2
Each of the Applicable Systems is hereby designated as a public telecommunication system.
Ian Taylor,
Parliamentary Under-Secretary of State for Science and Technology,
Department of Trade and Industry
17th March 1997


text:
Citation and commencement
1
This Order may be cited as the Section 19 Minibus (Designated Bodies) (Amendment) Order 1997 and shall come into force on 31st March 1997.
Interpretation
2
In this Order —
“the principal order” means the Section 19 Minibus (Designated Bodies) Order 1987 ; and
“the Schedule” means the Schedule to the principal order.
Amendment of the principal order
3
The principal order shall be amended in accordance with the following provisions of this Order.
Bodies ceasing to be designated
4
Items 30A, 51, 72 and 73 of the Schedule shall be omitted.
New designated bodies
5
In the Schedule, after item 1 there shall be inserted the following item —
1A
Every council constituted under section 21 of the Local Government Act 1972 .
a
Bodies to whom the council may make grants under section 65 of the Health Services and Public Health Act 1968 .
b
Schools or bodies which fulfil the duty of the council under the Education Act 1996 with respect to the provision of education, and bodies connected with such schools or bodies.
c
Bodies which assist and coordinate activities of community bodies within the area of the council.
Change of name
6
In the Schedule —
a
the following shall be substituted for the entry in column (2)(a) of item 42 —
Barnardo's
;
b
the following shall be substituted for the entry in column (2)(a) of item 44B —
Halliwick Association of Swimming Therapy
;
c
the following shall be substituted for the entry in column (2)(a) of item 48 —
The Guide Association
;
d
the following shall be substituted for the entry in column (2)(a) of item 50 —
the Methodist Council
; and
e
the following shall be substituted for the entry in column (2)(a) of item 59 —
Phab Limited
.
Change of address
7
For the address given in column (2)(b) of an item in the Schedule referred to in column (1) of the Table below there shall be substituted the address given opposite that item in column (2) of the Table.
TABLE
(1) (2) Item in Schedule New Address
13 113 Rose Street, Edinburgh EH2 3DT 15 RAF Cranwell, Sleaford, Lincolnshire NG34 8HB 16 E Block, Duke of York’s Headquarters, King’s Road, London SW3 4RR 25 Ground Floor Unit A, Eagle Office Centre, The Runway, South Ruislip, Middlesex HA4 6SE 35 E Block, Duke of York’s Headquarters, King’s Road, London SW3 4RR 53 371 Kennington Lane, London SE11 5QY 59 Summit House, Wandle Road, Croydon CR0 1DF 76 207 — 209 Queensway, Bletchley, Milton Keynes MK2 2EB 80 National Accounts Of|fi|ce, PO Box 30, Tor Mill, Dimple Road, Matlock, Derbyshire DE4 3JX
New class of body to whom the designated body may grant permits
8
In the Schedule, the following shall be substituted for the entry in column (3) of item 75 —
a
All Scout Association organisations within the scope of the designated body; and
b
Joint Scout and Guide units.
Amendments consequent upon local government reorganisation in Scotland
9
In the Schedule, for items 9, 10 and 11 there shall be substituted the following —
9
Every council constituted under section 2 of the Local Government etc. (Scotland) Act 1994 .
a
Bodies connected with the fulfilment of any duty imposed on the council by the Social Work (Scotland) Act 1968 .
b
Schools or other educational establishments which fulfil the duty of the council under the Education (Scotland) Act 1980 with respect to the provision of education, and bodies connected with such schools or educational establishments.
c
Community councils within the area of the council.
d
Bodies which assist and co-ordinate activities of community bodies within the area of the council.
Signed by authority of the Secretary of State for Transport.
John Bowis
Parliamentary Under Secretary of State,
Department of Transport
27th February 1997


text:
Citation and commencement
1
These Regulations may be cited as the Local Government Changes for England (Transport Levying Bodies) Regulations 1997 and shall come into force on 26th February 1997.
Interpretation
2
In these Regulations —
“the 1992 Regulations ” means the Transport Levying Bodies Regulations 1992 ; and
“acquiring authority”, “abolished authority”, “initial year”, “preliminary period”, “relinquishing authority”, “the reorganisation date” and “successor authority” have the same meanings as in the Local Government Changes for England (Finance) Regulations 1994 .
Levies: billing authorities and county councils
3
Subject to regulation 5, in the definition of “council concerned” in regulation 2 of the 1992 Regulations the reference to a council shall, during the preliminary period, include an authority which has the functions of a billing authority under Chapters I, III and IV of Part I of the Local Government Finance Act 1992 as regards the initial year by virtue of regulation 49(1) of the Local Government Changes for England (Finance) Regulations 1994.
Levies: successor and acquiring authorities
4
1
Subject to paragraph (2) and to regulation 5, in the definition of “council concerned” in regulation 2 of the 1992 Regulations the reference to a council shall, during the preliminary period and on or after the reorganisation date —
a
where the council is an abolished authority, have effect as if it were a reference to the successor authority or, if more than one, to all such authorities; and
b
where the council is a relinquishing authority, have effect as if it were a reference to that council and the acquiring authority or, if more than one, all such authorities.
2
Subject to regulation 5, in the definition of “council concerned” in regulation 2 of the 1992 Regulations where a levy or any portion of it relates only to part of a council’s area (in this paragraph referred to as the “levied area”), the reference to a council shall, during the preliminary period and on or after the reorganisation date —
a
where the council is an abolished authority, have effect as if it were a reference to each successor authority in relation to all or part of the levied area; and
b
where the council is a relinquishing authority, have effect as if it were a reference to that authority, where all or any part of the levied area remains within its area on or after the reorganisation date, and to each acquiring authority in relation to all or any part of the levied area.
Savings
5
In regulations 3 and 4 above,
a
a reference to the preliminary period shall not include any time before the coming into force of these Regulations; and
b
a reference to any time on or after the reorganisation date shall, in a case where that date is before the coming into force of these Regulations, be read as a reference to any time after the coming into force of these Regulations.
Signed by authority of the Secretary of State
John Watts,
Minister of State,
Department of Transport
28th January 1997


text:
1
This Order may be cited as the Public Telecommunication System Designation (TotalTel International Inc.) Order 1997 and shall come into force on 23rd December 1997.
2
Each of the Applicable Systems is hereby designated as a public telecommunication system.
Barbara Roche,
Parliamentary Under Secretary of State for Small Firms, Trade and Industry
Department of Trade and Industry
20th November 1997


text:
Citation, commencement and interpretation
1
1
These Regulations may be cited as the M8 and M9 Special Roads (Newbridge Grade Separation) Speed Limit Regulations 1997 and shall come into force on 20th October 1997.
2
In these Regulations–
“M8” means the M8 special road;
“M9” means the M9 special road;
“slip road” means a road which provides access to or from the M8 or the M9 as the case may be.
Speed Limit
2
No person shall drive any vehicle at a speed exceeding–
a
50mph on those lengths of special road described in Schedule 1 to these Regulations; or
b
40mph on that length of special road described in Schedule 2 to these Regulations.
Malcolm Chisholm
Parliamentary Under Secretary of State, Scottish Office
St Andrew’s House,
Edinburgh
26th September 1997


text:
Citation and commencement
1
This Order may be cited as the Local Government Act 1988 (Defined Activities) (Exemption) (Bath and North East Somerset District Council) Order 1997 and shall come into force on 1st April 1998.
Exemption of housing management
2
The housing management work of the council of the district of Bath and North East Somerset shall not be treated as a defined activity so long as it is undertaken during the period beginning with 1 April 1998 and ending on 31 August 1999.
Signed by authority of the Secretary of State,
Hilary Armstrong
Minister of State,
Department of the Environment, Transport and the Regions
8th December 1997


text:
1
This Order may be cited as the Insurance Premium Tax (Taxable Insurance Contracts) Order 1997 and shall come into force on 1st October 1997 in relation to premiums received or treated as received on or after that date.
2
Paragraph 2 of Schedule 7A to the Finance Act 1994 shall be amended as follows —
a
in sub-paragraph (1) for the words “A contract falls” there shall be substituted “Subject to sub-paragraph (3) below, a contract falls”;
b
after sub-paragraph (2) there shall be inserted —
3
A contract which would otherwise fall within this paragraph does not do so if it is for medical insurance.
4
Subject to sub-paragraph (5) below, for the purposes of this paragraph a contract is a contract for medical insurance if it provides one or more of the following benefits,
whether or not their provision is subject to conditions or limitations —
a
medical, dental or optical, consultation, diagnosis or treatment;
b
alternative or complementary medical treatment or therapy;
c
convalescent care;
d
goods or services related to any of the above;
e
payment or reimbursement of, or a grant towards, the whole or part of the cost of any of the above;
f
payment of a specified sum for optical, dental or medical appointments;
g
payment of a specified sum for each specified period of treatment as a hospital in-patient;
h
payment of a specified sum for each specified period of convalescent care; or
i
payment of a specified sum, except one to which sub-paragraph (6) below applies, when a person is diagnosed as requiring or has undergone a specified medical procedure.
5
A benefit which would apart from this sub-paragraph fall within sub-paragraph (4) above shall not do so if, before he can become entitled to the benefit, the insured is required —
a
to be suffering from a disability which so impairs his ability to carry out normal activities of daily living that he requires long term care, supervision or assistance; and
b
to have been suffering from the disability for a continuous period of not less than 4 weeks.
6
This sub-paragraph applies to a payment of a specified sum if the contract under which it is payable provides that only one such payment in relation to each specified medical procedure will be made in respect of each person in relation to whom benefit is payable under the contract.
.
Bob Ainsworth
Graham Allen
Two of the Lords Commissioners of Her Majesty’s Treasury
2nd July 1997


text:
1
This Order may be cited as the Criminal Procedure and Investigations Act 1996 (Appointed Day No. 2) Order 1997.
2
1st February 1997 is hereby appointed for the purposes of section 52 of the Criminal Procedure and Investigations Act 1996.
Michael Howard
One of Her Majesty’s Principal Secretaries of State
Home Office
12th January 1997