text:
Citation and commencement
1
1
These Regulations may be cited as the Occupational, Personal and Stakeholder Pension Schemes (Disclosure of Information) (Amendment) Regulations 2010.
2
These Regulations come into force on 1st December 2010.
Amendment of the Personal Pension Schemes (Disclosure of Information) Regulations 1987
2
1
The Personal Pension Schemes (Disclosure of Information) Regulations 1987 are amended as follows.
2
In regulation 1(2) (interpretation) —
a
after the definition of “the Act” , insert —
“address” means postal address (except in the phrases “postal address”, “electronic address” and “website address”);
,
b
after the definition of “contracted-out employment” , insert —
“electronic communication” has the same meaning as in section 15(1) of the Electronic Communications Act 2000;
,
c
for the definition of “excluded person” , substitute —
“excluded person” means a person —
whose present postal address and electronic address is not known to the trustees of the scheme;
in respect of whom the trustees of the scheme have sent correspondence to their last known —
postal address and that correspondence has been returned, or
electronic address and the trustees of the scheme are satisfied that that correspondence has not been delivered; and
in respect of whom no contribution has been made to the scheme by or on behalf of the member during the 2 calendar years preceding the date on which the information in question would otherwise fall to be disclosed;
, and
d
after the definition of “pensionable age” , insert —
“recipient” means the person to whom these Regulations require information or documents to be made available;
.
3
For regulation 3(2) (constitution of scheme), substitute —
2
A copy of the contents of any of the documents referred to in paragraph (1) must, within a reasonable time of a request being made by any person in the categories specified in paragraph (4) (not being a request made by a person within 12 months of the last occasion on which a copy of the contents of the same document was made available for inspection by the same person), be made available free of charge —
a
for inspection at a place which is reasonable having regard to the circumstances of the request; or
b
on a website (see regulation 9).
.
4
In regulation 5 (information to be made available to individuals) —
a
for paragraph (2) , substitute —
2
Each member of the scheme except an excluded person, at least once in every period of 12 months after the date the member became a member of the scheme, must be furnished as of course with —
a
the information mentioned in paragraphs 1, 2 and 12 of Schedule 2; and
b
subject to paragraph (2A) of this regulation, the information mentioned in paragraph 2A(1) of Schedule 2.
2ZA
Where information is furnished in accordance with paragraph (2)(b) —
a
it must be accompanied by the additional information specified in paragraph 2A(6) of Schedule 2; and
b
the member referred to in paragraph (2) must be provided with the further information specified in paragraph 2A(7) of Schedule 2 by one of the methods in paragraph (2C) of this regulation.
,
b
in paragraph (2B) , for the words from “then that information” to the end substitute —
then —
a
that information must be accompanied by the additional information specified in paragraph 2A(6) of Schedule 2; and
b
the further information specified in paragraph 2A(7) of Schedule 2 must be provided by one of the methods in paragraph (2C) of this regulation,
as if that additional and further information had been provided under paragraph 2A(1) of Schedule 2.
, and
c
after paragraph (2B), insert —
2C
The methods referred to in paragraphs (2ZA)(b) and (2B)(b) are for the further information to —
a
accompany the information described in paragraph 2A(1) of Schedule 2; or
b
be otherwise furnished by the trustees of the scheme.
.
5
For regulation 6(3) (availability of other information) , substitute —
2A
Any scheme member may request a copy of any document or series of documents referred to in paragraph (1) if —
a
the document is, or series of documents are, not the latest and do not relate to a scheme year which ended more than 5 years previously; and
b
the request is not being made by a person within 3 years of the last occasion on which a copy of the same document or series of documents was made available for the same person.
3
Subject to paragraph (5), where a request in accordance with paragraph (2A) has been made, a copy of the document or series of documents must, within a reasonable time of the request, be made available free of charge
a
for inspection at a place which is reasonable having regard to the circumstances of the request; or
b
on a website (see regulation 9).
.
6
For regulation 7 (service of documents by post), substitute
Service of information and documents by a scheme
7
1
Except where these Regulations otherwise provide, the trustees of the scheme may furnish any relevant information by
a
sending it to the recipient’s last known postal address; or
b
subject to paragraphs (2) to (4), using either or both of the following methods
i
sending it to the recipient’s last known electronic address,
ii
making it available on a website (see regulation 9).
2
Where the recipient has requested in writing that
a
any relevant information; or
b
all relevant information,
is not furnished in accordance with paragraph (1)(b), that relevant information may not be furnished in accordance with paragraph (1)(b).
3
Relevant information may only be furnished in accordance with paragraph (1)(b) where the trustees of the scheme are satisfied that the electronic communications have been designed —
a
so that the recipients will be able to —
i
get access to, and
ii
store or print,
the relevant information; and
b
taking into account the requirements of disabled recipients.
4
Where —
a
a recipient was a member or beneficiary of the scheme on 1st December 2010; and
b
that recipient has not received relevant information by means of an electronic communication before 1st December 2010,
relevant information may not be furnished to that recipient in accordance with paragraph (1)(b) unless the trustees of the scheme have given them by post the written notice referred to in paragraph (5).
5
The written notice mentioned in paragraph (4) must state that —
a
the trustees of the scheme propose to furnish relevant information to the recipient by means of an electronic communication; and
b
the recipient may request in writing that relevant information is not furnished by means of an electronic communication.
6
In this regulation, “relevant information” means any information or document which these Regulations require the trustees of a scheme to furnish to any person.
Service of information, documents and notifications to a scheme
8
Any person may —
a
make a request for information or documents; or
b
give a notification,
to the trustees of the scheme for the purposes of these Regulations by sending it to the trustees’ last known postal address.
Provision of information on a website
9
This regulation sets out the conditions which must be met when making information or documents available on a website under —
a
regulation 3(2)(b);
b
regulation 6(3)(b); and
c
regulation 7(1)(b)(ii).
2
When the trustees of the scheme make the first information or document available on a website, they must send a notification to the recipient’s last known —
a
postal address; or
b
electronic address.
3
The notification referred to in paragraph (2) must include —
a
a statement that the information or document is available on the website;
b
the website address;
c
details of the place on the website where the information or document may be read; and
d
an explanation of how the recipient may read the information or document on the website.
4
Except where paragraph (6) applies, when the trustees of the scheme make any subsequent information or document available on a website, they must send a notification to the recipient’s last known —
a
postal address; or
b
electronic address.
5
The notification referred to in paragraph (4) must include a statement that the information or document is available on the website.
6
This paragraph applies where —
a
at least 3 letters have been —
i
given to the recipient by hand, or
ii
sent to the recipient’s last known postal address;
b
each of those letters —
i
asks the recipient to send their electronic address to the trustees of the scheme, and
ii
states that the recipient may request in writing that information or documents are not furnished or given by means of an electronic communication; and
c
the trustees of the scheme —
i
do not know the recipient’s electronic address, or
ii
have not received a written request that information or documents are not furnished or given to the recipient by means of an electronic communication.
.
7
In Schedule 2 (information to be made available to individuals) —
a
in paragraph 2A(6) —
i
in paragraph (a) —
aa
for the first comma, substitute “and”, and
bb
omit the words from “, and that it should not” to the end,
ii
omit paragraphs (b), (d), (g), (h) and (i), and
iii
in paragraph (e), omit the words from “about the nature” to the end, and
b
after paragraph 2A(6), insert —
7
The further information which is to be provided, as mentioned in regulation 5(2ZA)(b) and (2B)(b), is —
a
a statement to the effect that assumptions have been made about the nature of the investments made for the purposes of the member’s money purchase benefits and their likely performance, which may not correspond with the investments actually made for those purposes, or their actual performance;
b
a statement to the effect that the actual amount of any pension payable to or in respect of the member under the scheme will depend on considerations, including the actual performance of investments and the cost of buying an annuity at the time the pension becomes payable, which may be different from the assumptions made for the purposes of providing the information under sub-paragraph (1);
c
a statement specifying any assumptions made in relation to future contributions to the scheme; and
d
a statement of the assumptions made in accordance with sub-paragraphs (3)(b)(iii) and (4) or as mentioned in sub-paragraph (5).
.
Amendment of the Occupational Pension Schemes (Disclosure of Information) Regulations 1996
3
1
The Occupational Pension Schemes (Disclosure of Information) Regulations 1996 are amended as follows.
2
In regulation 1(2) (interpretation) —
a
after the definition of “the actuary”, insert —
“address” means postal address (except in the phrases “postal address”, “electronic address” and “website address”);
,
b
after the definition of “deferred member”, insert —
“electronic communication” has the same meaning as in section 15(1) of the Electronic Communications Act 2000;
, and
c
for the definition of “excluded person” , substitute —
“excluded person” means a member or beneficiary —
whose present postal address and electronic address is not known to the trustees of the scheme; and
in respect of whom the trustees of the scheme have sent correspondence to their last known —
postal address and that correspondence has been returned, or
electronic address and the trustees of the scheme are satisfied that that correspondence has not been delivered;
.
3
For sub-paragraph (a) of regulations 3(2) (constitution of scheme), 6(4) (availability and content of annual report) and 7(3) (availability of other documents) , substitute —
a
be made available free of charge —
i
for inspection at a place which is reasonable having regard to the circumstances of the request and of the person who or trade union which made it; or
ii
on a website (see regulation 10B); or, at their option,
.
4
In regulation 4 (basic information about the scheme) —
a
in paragraph (2) —
i
in sub-paragraph (a), omit “or by 5th April 1998, whichever is later”, and
ii
omit sub-paragraph (b),
b
at the beginning of paragraph (5), insert “Subject to paragraph (5A),”, and
c
after paragraph (5), insert —
5A
Paragraph (5) does not apply where the change in relation to the scheme results in a material alteration in information which the trustees of the scheme are not required to give or disclose by virtue of paragraph (4).
.
5
In regulation 5 (information to be made available to individuals) —
a
for paragraph (5) , substitute —
5
Subject to regulation 2(3A), each member of a scheme who is eligible for money purchase benefits except an excluded person must be furnished, as of course, within 12 months of the end of each scheme year, with —
a
the information mentioned in paragraphs 5, 6 and 6AA of Schedule 2; and
b
subject to paragraph (5ZA) of this regulation, the information mentioned in paragraph 6ZA(1) of Schedule 2,
and the information provided in accordance with this paragraph must relate to the member’s money purchase benefits.
5ZZA
Where information is furnished in accordance with paragraph (5)(b) —
a
that information must be accompanied by the additional information specified in paragraph 6ZA(6) of Schedule 2; and
b
the further information specified in paragraph 6ZA(7) of Schedule 2 must be provided by one of the methods in paragraph (5ZD) of this regulation,
and the information provided in accordance with this paragraph must relate to the member’s money purchase benefits.
,
b
in paragraph (5ZA) , for “paragraph 6ZA” the first time it appears substitute “paragraph 6ZA(1)”,
c
in paragraph (5ZC) , for the words from “then that information” to the end substitute —
then —
a
that information must be accompanied by the additional information specified in paragraph 6ZA(6) of Schedule 2; and
b
the further information specified in paragraph 6ZA(7) of Schedule 2 must be provided by one of the methods in paragraph (5ZD) of this regulation,
as if that additional and further information had been provided under paragraph 6ZA(1) of Schedule 2.
, and
d
after paragraph (5ZC), insert —
5ZD
The methods referred to in paragraphs (5ZZA)(b) and (5ZC)(b) are for the further information to —
a
accompany the information described in paragraph 6ZA(1) of Schedule 2; or
b
be otherwise furnished by the trustees of the scheme.
.
6
In regulation 8 (limited disclosure requirements for certain schemes), omit paragraph (2)(b) and the word “and” immediately preceding it.
7
For regulation 10 (service of documents by post), substitute —
Service of information and documents by a scheme
10
1
Except where these Regulations otherwise provide, the trustees of the scheme may furnish or give any relevant information by —
a
sending it to a member or beneficiary’s last known postal address; or
b
subject to paragraphs (2) to (4), using either or both of the following methods —
i
sending it to a member or beneficiary’s last known electronic address,
ii
making it available on a website (see regulation 10B).
2
Where the member or beneficiary has requested in writing that —
a
any relevant information; or
b
all relevant information,
is not furnished or given in accordance with paragraph (1)(b), that relevant information may not be furnished or given in accordance with paragraph (1)(b).
3
Relevant information may only be furnished or given in accordance with paragraph (1)(b) where the trustees of the scheme are satisfied that the electronic communications have been designed —
a
so that members or beneficiaries will be able to —
i
get access to, and
ii
store or print,
the relevant information; and
b
taking into account the requirements of disabled persons.
4
Where —
a
a member or beneficiary was a member or beneficiary of the scheme on 1st December 2010; and
b
that member or beneficiary has not received relevant information by means of an electronic communication before 1st December 2010,
relevant information may not be furnished or given to that member or beneficiary in accordance with paragraph (1)(b) unless the trustees of the scheme have given them by post the written notice referred to in paragraph (5).
5
The written notice mentioned in paragraph (4) must state that —
a
the trustees of the scheme propose to furnish or give relevant information to the member or beneficiary by means of an electronic communication; and
b
the member or beneficiary may request in writing that relevant information is not furnished or given by means of an electronic communication.
6
In this regulation, “relevant information” means any information or document which these Regulations require the trustees of a scheme to give or furnish to a member or beneficiary of the scheme.
Service of information and documents to a scheme
10A
Any —
a
request for information or for a document to be given or furnished in pursuance of these Regulations; or
b
information to be given to the trustees of a scheme in relation to requirements imposed by these Regulations,
may be furnished, made or given by sending it to the trustees of the scheme by post.
Provision of information on a website
10B
1
This regulation sets out the conditions which must be met when making information or documents available on a website under —
a
regulation 3(2)(a)(ii);
b
regulation 6(4)(a)(ii);
c
regulation 7(3)(a)(ii); and
d
regulation 10(1)(b)(ii).
2
When the trustees of the scheme make the first information or document available on a website, they must send a notification to the recipient’s last known —
a
postal address; or
b
electronic address.
3
The notification referred to in paragraph (2) must include —
a
a statement that the information or document is available on the website;
b
the website address;
c
details of the place on the website where the information or document may be read; and
d
an explanation of how the recipient may read the information or document on the website.
4
Except where paragraph (6) applies, when the trustees of the scheme make any subsequent information or document available on a website, they must send a notification to the recipient’s last known —
a
postal address; or
b
electronic address.
5
The notification referred to in paragraph (4) must include a statement that the information or document is available on the website.
6
This paragraph applies where —
a
at least 3 letters have been —
i
given to the recipient by hand, or
ii
sent to the recipient’s last known postal address;
b
each of those letters —
i
asks the recipient to send their electronic address to the trustees of the scheme, and
ii
states that the recipient may request in writing that information or documents are not furnished or given by means of an electronic communication; and
c
the trustees of the scheme —
i
do not know the recipient’s electronic address, or
ii
have not received a written request that information or documents are not furnished or given to the recipient by means of an electronic communication.
7
In this regulation, “recipient” means the person, organisation or body to whom these Regulations require information or documents to be made available.
.
8
In Schedule 2 (information to be made available to individuals) —
a
omit paragraph 5(b),
b
in paragraph 6ZA(6) —
i
in paragraph (a) —
aa
for the first comma, substitute “and”, and
bb
omit the words from “, and that it should not” to the end,
ii
omit paragraphs (b), (d), (g), (h) and (i), and
iii
in paragraph (e), omit the words from “about the nature” to the end, and
c
after paragraph 6ZA(6), insert —
7
The further information which is to be provided, as mentioned in regulation 5(5ZZA)(b) and (5ZC)(b), is —
a
a statement to the effect that assumptions have been made about the nature of the investments made for the purposes of the member’s money purchase benefits and their likely performance, which may not correspond with the investments actually made for those purposes, or their actual performance;
b
a statement to the effect that the actual amount of any pension payable to or in respect of the member under the scheme will depend on considerations, including the actual performance of investments and the cost of buying an annuity at the time the pension becomes payable, which may be different from the assumptions made for the purposes of providing the information under sub-paragraph (1);
c
a statement specifying any assumptions made in relation to future contributions to the scheme; and
d
a statement of the assumptions made in accordance with sub-paragraphs (3)(b)(iii) and (4) or as mentioned in sub-paragraph (5).
.
Amendment of the Stakeholder Pension Schemes Regulations 2000
4
1
The Stakeholder Pension Schemes Regulations 2000 are amended as follows.
2
In regulation 1 (citation, commencement and interpretation) —
a
in paragraph (3) —
i
after the definition of “the 1995 Act”, insert —
“address” means postal address (except in the phrases “postal address”, “electronic address” and “website address”);
,
ii
after the definition of “dilution levy” , insert —
“electronic communication” has the same meaning as in section 15(1) of the Electronic Communications Act 2000;
,
iii
in the definition of “illustration date” , for “18(5B)” substitute “18(2A)”,
iv
in the definition of “retirement date” , for “18(5B)” in both places it appears substitute “18(2A)”, and
v
after the definition of “securities” , insert —
“statement year” has the meaning given by regulation 18;
, and
b
omit paragraphs (4) and (4A) .
3
In regulation 6 (procedure for discharging rights on winding-up), omit paragraph (8).
4
In regulation 7 (procedure for discharging on winding-up rights of certain members), for paragraph (1) substitute —
1
This regulation applies in respect of any member —
a
whose present postal address and electronic address is not known to the trustees or manager;
b
in respect of whom the trustees or manager have sent correspondence to their last known —
i
postal address and that correspondence has been returned, or
ii
electronic address and the trustees or manager are satisfied that that correspondence has not been delivered; and
c
in respect of whom no contribution has been made to the scheme by or on behalf of the member during the two calendar years preceding the commencement of winding-up of the scheme.
.
5
In regulation 12(5)(a)(iv) and (d)(ii) (requirement for declaration by trustees or manager) , for “18(2)” substitute “18A(1)”.
6
For regulation 18 (disclosure of information to members) , substitute —
Disclosure of information to members
18
1
For the purposes of section 1(1)(b), it is a condition of a scheme being a stakeholder pension scheme that the trustees or manager of the scheme comply with the requirements set out in regulations 18A and 18B in addition to such requirements of regulations under section 113 of the 1993 Act (disclosure of information about schemes to members etc. ) as are applicable to the scheme.
2
For the purposes of these Regulations “statement year” means, in relation to a person, the period of 12 months beginning —
a
in the case of a person who becomes a member after 6th April 2001, on a date chosen, in respect of that person, by the trustees or manager which falls —
i
on or before the day on which that person becomes a member; but
ii
no earlier than 6th April 2001; and
b
in any other case, on 6th April 2001,
and, subject to paragraph (4), each subsequent period ending on and including the anniversary of the last day of the first statement year.
3
The date to be chosen, in respect of a person, under paragraph (2)(a) must be chosen on or before the day on which that person becomes a member.
4
For the purposes of paragraph (2), the trustees or manager may, in respect of any person, choose a new date for the ending of the statement year relating to that person if —
a
the date chosen —
i
is specified in writing; and
ii
falls before the end of the statement year relating to that person during which the trustees or manager specify the new date; and
b
no other date has been chosen in respect of that person by the trustees or manager under this paragraph during the previous period of 12 months.
5
If a new date is chosen under paragraph (4), “statement year” means, in relation to the person in respect of whom the new date is chosen, the period of 12 months ending on and including that new date (except that, in relation to the first statement year relating to that person, “statement year” means, in relation to that person, the period beginning with the day which is, by virtue of paragraph (2)(b) or of a choice under paragraph (2)(a), the first day of that first statement year and ending on and including that new date) and each subsequent period ending on and including the anniversary of that new date.
6
For the purposes of paragraphs (2)(a) and (4), different dates may be chosen in respect of different persons.
7
For the purposes of this regulation, regulations 18A and 18B and Schedule 3, “member” does not include any member —
a
whose present postal address and electronic address is not known to the trustees or manager;
b
in respect of whom the trustees or manager have sent correspondence to their last known —
i
postal address and that correspondence has been returned, or
ii
electronic address and the trustees or manager are satisfied that that correspondence has not been delivered; and
c
in respect of whom no contribution has been made to the scheme by or on behalf of the member during the two calendar years preceding the most recent date on which the trustees or manager would, apart from this paragraph, be required to provide the member with a statement under regulation 18A.
8
For the purposes of this regulation, regulations 18A and 18B and Schedule 3, “member” includes a dependant making income withdrawals from the scheme in accordance with paragraph 21 of Schedule 28 to the Finance Act 2004 (dependants’ income withdrawal).
18A
1
Where a person is a member for all or part of a statement year relating to them, there must be provided to that person —
a
within three months of the end of that statement year; or
b
where that person ceases during that statement year to be a member, during the period beginning with the time at which that person so ceases and ending on and including the last day of the three-month period mentioned in sub-paragraph (a),
a statement which contains the information mentioned in paragraph 1 of Schedule 3 and either paragraph 2 or 3 of Schedule 3, so far as that information relates to that statement year or, in cases falling within sub-paragraph (b) of this paragraph, to the part of that statement year beginning with the first day of that statement year (whether or not that day is earlier than the day on which that person becomes a member) and ending with the time at which that person so ceases.
2
Subject to paragraph (4), where a statement is provided under paragraph (1) it must also contain an illustration of the amount, calculated in accordance with regulation 18B, of the pension an entitlement to which would be likely to accrue to the member, or be capable of being secured by the member, at the member’s retirement date in respect of rights that may arise under the scheme.
3
Where information is provided under paragraph (2) —
a
that information must be accompanied by the additional information specified in paragraph 5 of Schedule 3; and
b
the further information specified in paragraph 6 of Schedule 3 must be provided by one of the methods in paragraph (6) of this regulation.
4
The requirement to furnish information under paragraph (2) does not apply —
a
in respect of a person who is in receipt of pension benefits under the scheme;
b
where the last day of the statement year referred to in paragraph 1(b)(i) of Schedule 3 is not more than two years before the date which is the member’s retirement date for the purpose of paragraph (2) of this regulation;
c
where, in relation to the member —
i
the value, determined by reference to the relevant guidance, of the member’s accrued rights to money purchase benefits under the scheme was less than £5,000 on the illustration date in respect of which such information was last furnished to the member;
ii
no contributions, including transfers of pension rights or pension credits, have been made to the scheme by the member or on the member’s behalf in respect of money purchase benefits since that date; and
iii
the trustees or manager previously gave notice to the member that no further such information would be furnished to the member unless further contributions to the scheme in respect of money purchase benefits had first been made by the member or on the member’s behalf;
d
where, in relation to the member —
i
the value, determined by reference to the relevant guidance, of the member’s accrued rights to money purchase benefits under the scheme is less than £5,000 on the first illustration date falling after 5th April 2003;
ii
no contributions, including transfers of pension rights or pension credits, have been made to the scheme by the member or on the member’s behalf after 5th April 2003; and
iii
no further contributions are, in the opinion of the trustees or manager, likely to be made to the scheme by the member or on the member’s behalf after that illustration date; or
e
where the last day of the statement year referred to in paragraph 1(b)(i) of Schedule 3 is before 6th April 2003.
5
Where paragraph (4) applies but the trustees or manager nevertheless choose to furnish the information described in paragraph (2) and the amount comprising that information is calculated in accordance with regulation 18B, then —
a
that information must be accompanied by the additional information specified in paragraph 5 of Schedule 3; and
b
the further information specified in paragraph 6 of Schedule 3 must be provided by one of the methods in paragraph (6) of this regulation,
as if that additional and further information had been provided under paragraph (2).
6
The methods referred to in paragraphs (3)(b) and (5)(b) are for the further information to —
a
accompany the information described in paragraph 5 of Schedule 3; or
b
be otherwise furnished by the trustees or manager.
7
Where —
a
a statement has been issued to a member under paragraph (1);
b
in that statement, the trustees or manager provided the information listed in paragraph 3, rather than paragraph 2, of Schedule 3 to that member; and
c
that member requests any information listed in paragraph 2 of Schedule 3 from the scheme,
the trustees or manager must provide to the member a statement in accordance with the conditions referred to in paragraph (8) of this regulation containing the information listed in paragraph 2 of Schedule 3 which the member has requested.
8
The conditions referred to in this paragraph as mentioned in paragraph (7) are —
a
the statement must be provided —
i
as soon as practicable, and
ii
within two months of the date on which the request referred to in paragraph (7)(c) is received; and
b
the information must relate to the same statement year, or part of a statement year, to which the statement issued under paragraph (1) relates.
9
Each member must be provided with a statement setting out the information in paragraph 7 of Schedule 3.
10
The statement mentioned in paragraph (9) must be provided within one month of the change mentioned in paragraph 7 of Schedule 3.
18B
1
The amount referred to in regulation 18A(2) must be determined by reference to —
a
the relevant guidance; and
b
the assumptions about contributions specified in paragraph (2) of this regulation and about annuities specified in paragraphs (3) and (4) of this regulation, and such other assumptions as may be specified for the purpose in the relevant guidance,
having regard to the value of the member’s accrued rights to money purchase benefits under the scheme on the illustration date.
2
The assumptions about contributions referred to in paragraph (1)(b) are —
a
where the calculation relates to the rights of a non-contributing member, that no contributions will be made to the scheme by the member or on the member’s behalf after the illustration date; and
b
in any other case, that, until the member’s retirement date —
i
contributions to the scheme will be made by the member or on the member’s behalf;
ii
the scheme maintains its tax registration under section 153 of the Finance Act 2004 (registration of pension schemes); and
iii
where a member is in contracted-out employment, sums will continue to be paid by the Commissioners of Her Majesty’s Revenue and Customs in respect of the member under section 42A(3) (rebates) or, as the case may be, section 43 of the 1993 Act (payment of minimum contributions to personal pension schemes) in the amounts to be determined by reference to the relevant guidance.
3
The assumptions about annuities referred to in paragraph (1)(b) are —
a
that the rate of pension is to be increased annually by the relevant percentage for the time being specified in the relevant guidance; and
b
that, subject to paragraph (4), irrespective of whether or not the member is married or in a civil partnership at the time when the information referred to in regulation 18A(2) is furnished, the annuity will include provision for the payment, to a surviving spouse or surviving civil partner of the member, of a pension of an amount equal to one half of the pension which was payable to the member immediately before the member’s death.
4
Paragraph (3)(b) does not apply where —
a
the trustees or manager decide to use a different assumption in substitution for that specified in paragraph (3)(b) on the basis that the scheme records indicate that the member is not married or not in a civil partnership; or
b
the member and either the trustees or manager agree to use a different assumption.
Service of information by a scheme
18C
1
Except where these Regulations otherwise provide, the trustees or manager of the scheme may furnish or give any relevant information by —
a
sending it to a member or beneficiary’s last known postal address; or
b
subject to paragraphs (2) to (4), using either or both of the following methods —
i
sending it to a member or beneficiary’s last known electronic address,
ii
making it available on a website (see regulation 18E).
2
Where the member or beneficiary has requested in writing that —
a
any relevant information; or
b
all relevant information,
is not furnished or given in accordance with paragraph (1)(b), that relevant information may not be furnished or given in accordance with paragraph (1)(b).
3
Relevant information may only be furnished or given in accordance with paragraph (1)(b) where the trustees or manager of the scheme are satisfied that the electronic communications have been designed —
a
so that members or beneficiaries will be able to —
i
get access to, and
ii
store or print,
the relevant information; and
b
taking into account the requirements of disabled persons.
4
Where —
a
a member or beneficiary was a member or beneficiary of the scheme on 1st December 2010; and
b
that member or beneficiary has not received relevant information by means of an electronic communication before 1st December 2010,
relevant information may not be furnished or given to that member or beneficiary in accordance with paragraph (1)(b) unless the trustees or manager of the scheme have given them by post the written notice referred to in paragraph (5).
5
The written notice mentioned in paragraph (4) must state that —
a
the trustees or manager of the scheme propose to furnish or give relevant information to the member or beneficiary by means of an electronic communication; and
b
the member or beneficiary may request in writing that relevant information is not furnished or given by means of an electronic communication.
6
In this regulation, “relevant information” means any information, declaration, notice, notification or statement which these Regulations require the trustees or manager of a scheme to give or furnish to a member or beneficiary of the scheme.
Service of information to a scheme
18D
Any —
a
request for information to be given or furnished in pursuance of these Regulations; or
b
information to be given to the trustees or manager of a scheme in relation to requirements imposed by these Regulations,
may be furnished, made or given by sending it to the trustees or manager of the scheme by post.
Provision of information on a website
18E
1
This regulation sets out the conditions which must be met when making relevant information available on a website under regulation 18C(1)(b)(ii).
2
When the trustees or manager of the scheme make the first relevant information available on a website, they must send a notification to the recipient’s last known —
a
postal address; or
b
electronic address.
3
The notification referred to in paragraph (2) must include —
a
a statement that the relevant information is available on the website;
b
the website address;
c
details of the place on the website where the relevant information may be read; and
d
an explanation of how the recipient may read the relevant information on the website.
4
Except where paragraph (6) applies, when the trustees or manager of the scheme make any subsequent relevant information available on a website, they must send a notification to the recipient’s last known —
a
postal address; or
b
electronic address.
5
The notification referred to in paragraph (4) must include a statement that the relevant information is available on the website.
6
This paragraph applies where —
a
at least three letters have been —
i
given to the recipient by hand, or
ii
sent to the recipient’s last known postal address;
b
each of those letters —
i
asks the recipient to send their electronic address to the trustees or manager of the scheme, and
ii
states that the recipient may request in writing that relevant information is not furnished or given by means of an electronic communication; and
c
the trustees or manager of the scheme —
i
do not know the recipient’s electronic address, or
ii
have not received a written request that relevant information is not furnished or given to the recipient by means of an electronic communication.
7
In this regulation —
“recipient” means the person or body to whom these Regulations require statements or information to be made available, and
“relevant information” has the same meaning as in regulation 18C(6).
.
7
After Schedule 2 (regulations applying to schemes which are or have been registered under section 2), there is inserted as Schedule 3 the Schedule set out in the Schedule to these Regulations.
Signed by authority of the Secretary of State for Work and Pensions.
Steve Webb
Minister of State,
Department for Work and Pensions
1st November 2010


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
1
These Regulations may be cited as the Stamp Duty Reserve Tax (Amendment) Regulations 2010.
2
Regulations 2 to 6 come into force on 1st April 2010.
3
Regulations 7 to 12 come into force on 1st April 2011.
Amendment of the Stamp Duty Reserve Tax Regulations 1986 coming into force on 1st April 2010
2
Amend the Stamp Duty Reserve Tax Regulations 1986 as follows.
3
Omit regulations 5 (power to require information) and 15 (inspection of records).
4
1
Amend the Table in Part 1 of the Schedule (which applies the provisions of the Taxes Management Act 1970 specified in the first column of that Table, subject to any modification specified in the second column of that Table) as follows.
2
In the entry for section 99 in the second column —
a
omit “, or any information under regulation 5,”; and
b
after “1986” insert “or Schedule 36 to the Finance Act 2008”.
3
Omit the entries in both columns for section 111.
5
1
Amend Part II of the Schedule (which restates the provisions of the Taxes Management Act 1970 specified in Part I of the Schedule as modified where appropriate) as follows.
2
In section 99 (as modified) —
a
omit “, or any information under regulation 5,”; and
b
after “1986” insert “or Schedule 36 to the Finance Act 2008”.
6
Omit section 111 (as modified).
Amendment of the Stamp Duty Reserve Tax Regulations 1986 coming into force on 1st April 2011
7
Amend the Stamp Duty Reserve Tax Regulations 1986 as follows.
8
In regulation 2 (interpretation) after the definition of “the Board” insert —
“carelessly” has the same meaning as in section 118(5) and (6) of the Taxes Management Act 1970;
“deliberately” has the same meaning as in section 118(7) of the Taxes Management Act 1970;
.
9
1
Amend regulation 13 (underpayments) as follows.
2
In paragraph (2) —
a
for “period of 6” substitute “period of 4”; and
b
for “paragraph (3)” substitute “paragraphs (2A) and (3)”.
3
After paragraph (2) insert —
2A
In any case of an underpayment of tax brought about carelessly by or on behalf of any person the period mentioned in paragraph (2) shall be the period of 6 years beginning with the date specified under paragraph (2).
.
4
For paragraph (3) substitute —
3
In any case of an underpayment of tax brought about deliberately by or on behalf of any person the period mentioned in paragraph (2) shall be the period of 20 years beginning with the date specified under paragraph (2).
4
Paragraph (5) applies to any case not falling within paragraph (2) where too little tax has been paid in respect of a relevant transaction or surrender provided that the case does not involve a loss of tax brought about deliberately by a person liable for the tax (or a person acting on behalf of such a person).
5
Where this paragraph applies —
a
no proceedings are to be brought for the recovery of the tax after the end of the period of 20 years beginning with the date on which the relevant transaction or surrender was made; and
b
at the end of that period any liability for the tax is extinguished.
.
10
In regulation 14(2) (overpayments) for “6” substitute “4”.
11
1
Amend regulation 18 (recovery of over-repayment of tax, etc ) as follows.
2
In paragraph (2) —
a
after “(3)” insert “and (3A)”; and
b
for “6” substitute “4”.
3
For paragraph (3) substitute —
3
In any case where a repayment is brought about carelessly the period mentioned in paragraph (2) shall be 6 years from the date specified in paragraph (2).
3A
In any case where a repayment is brought about deliberately the period mentioned in paragraph (2) shall be 20 years from the date specified in paragraph (2).
.
Transitional provision
12
In any case under regulation 13(2) or 18(2) of the Stamp Duty Reserve Tax Regulations 1986 where —
a
a relevant transaction or surrender took place before 1st April 2011; and
b
an underpayment or repayment was brought about by fraudulent or negligent conduct by or on behalf of any person;
the period in which a determination may be made is the earlier of the period of 6 years beginning when the fraudulent or negligent conduct comes to the knowledge of Her Majesty’s Revenue and Customs or the period of 20 years provided in regulation 13(3) or 18(3A).
Tony Cunningham
Dave Watts
Two of the Lords Commissioners of Her Majesty’s Treasury
9th March 2010


text:
Citation and commencement
1
1
These Regulations may be cited as the Merchant Shipping (Technical Requirements for Inland Waterway Vessels) Regulations 2010.
2
These Regulations come into force on 20th April 2010.
Interpretation
2
1
In these Regulations —
“Directive 2006/87/EC ” means Directive 2006/87/EC dated 12 December 2006 of the European Parliament and of the Council laying down technical requirements for inland waterway vessels and repealing Council Directive 82/714/EEC , as amended by —
Directive 2006/137/EC dated 18 December 2006 of the European Parliament and of the Council amending Directive 2006/87/EC laying down technical requirements for inland waterway vessels ,
Directive 2008/59/EC dated 12 June 2008 of the European Parliament and of the Council adapting Directive 2006/87/EC of the European Parliament and of the Council laying down technical requirements for inland waterway vessels, by reason of the accession of the Republic of Bulgaria and Romania ,
Directive 2008/68/EC dated 24 December 2008 of the European Parliament and of the Council on the inland transport of dangerous goods , and
Commission Directive 2008/87/EC dated 22 September 2008 , Commission Directive 2008/126/EC dated 19 December 2008 and Commission Directive 2009/46/EC dated 24 April 2009 , each amending Directive 2006/87/EC of the European Parliament and of the Council laying down technical requirements for inland waterway vessels,
“Government ship” means a Government ship within the meaning of section 308(4) of the Merchant Shipping Act 1995 which is ordinarily engaged in commercial maritime operations,
“inspector” means a person mentioned in paragraph (a), (b) or (c) of section 258(1) of the Merchant Shipping Act 1995 ,
“ MCA ” means the Maritime and Coastguard Agency, an executive agency of the Department for Transport,
“Merchant Shipping Notice” means a notice described as such and issued by the MCA, and a reference to a Merchant Shipping Notice includes a reference to a Merchant Shipping Notice, amending or replacing such a Notice, which is stated to be considered by the Secretary of State to be relevant from time to time,
“passenger” means any person carried in a vessel other than the master, a member of the crew, any other person employed or engaged in any capacity on board the vessel or on the business of the vessel or a child under one year of age,
“passenger vessel” means a vessel intended for passenger transport and which carries more than 12 passengers in addition to the crew,
“relevant Convention Certificates” means all of the following certificates —
a certificate proving conformity with the International Convention for the Safety of Life at Sea, 1974 —
as amended in accordance with its Article VIII ,
as modified by its Protocols of 1978 and 1988 ,
or a certificate which is equivalent to any such certificate and which is specified as such by the Secretary of State in a Merchant Shipping Notice,
a certificate proving conformity with the International Convention on Load Lines, 1966 , or a certificate which is equivalent to any such certificate and which is specified as such by the Secretary of State in a Merchant Shipping Notice, and
an international oil pollution prevention ( IOPP ) certificate proving conformity with the International Convention for the Prevention of Pollution from Ships, 1973 including its protocols, annexes and appendices and as amended by —
the Protocols of 1978 and 1997 ,
all the amendments adopted by the Marine Environment Protection Committee of the International Maritime Organisation on or before the date on which these Regulations are made, and
any subsequent amendment to that Convention which is considered by the Secretary of State to be relevant from time to time and is specified in a Merchant Shipping Notice,
or a certificate which is equivalent to any such certificate and which is specified as such by the Secretary of State in a Merchant Shipping Notice,
“ship surveyor” means a person who is appointed as a surveyor of ships under section 256(2) of the Merchant Shipping Act 1995;
“technical requirements of Annex II to Directive 2006/87/EC ” means the technical requirements defined in that Annex —
including the transitional and final provisions of Chapter 24 of Annex II, but
excluding the additional transitional provisions of Chapter 24a of Annex II, and
“vessel” includes a hydrofoil boat, a hovercraft and a submersible.
2
In these Regulations —
a
a reference to a waterway which is a Zone 1, 2, 3 or 4 waterway is a reference to such a waterway as so classified by Article 1 of Directive 2006/87/EC ,
b
a reference to an Annex to Directive 2006/87/EC is a reference to that Annex as amended from time to time,
c
expressions used in regulation 3(4) and Schedule 1 and in Directive 2009/100/EC have the same meaning as in that Directive,
d
subject to paragraph (1) and to sub-paragraphs (a) to (c) of this paragraph, other expressions used in these Regulations and in Directive 2006/87/EC have the same meaning as in that Directive.
3
For the purposes of these Regulations, a vessel is laid down on the date on which its keel is laid, or on which the vessel is at a stage of construction at which —
a
construction identifiable with a specific vessel has begun, or
b
assembly of that vessel has incorporated at least 50 tonnes of structural material or one per cent of the estimated mass of all structural material, whichever is less.
Application
3
1
Subject to paragraph (2), these Regulations, apart from regulation 11 and Schedule 1, apply to the following vessels, including Government ships, operating on any waterway in the United Kingdom which is a Zone 1, 2, 3 or 4 waterway —
a
tugs and pushers intended —
i
for towing or pushing vessels to which sub-paragraph (d) applies, or for moving such vessels alongside, or
ii
for towing or pushing floating equipment, or for moving such equipment alongside,
b
passenger vessels,
c
floating equipment, and
d
any other vessel —
i
having a length (L) of 20 metres or more, or
ii
for which the product of length (L), breadth (B) and draught (T) is a volume of 100m 3 or more.
2
These Regulations do not apply to —
a
ferries,
b
naval vessels,
c
sea-going vessels, including sea-going tugs and pusher craft, which —
i
operate or are based on tidal waters, but
ii
operate temporarily on inland waterways and carry the relevant certificates.
3
The relevant certificates referred to in paragraph (2) are —
a
the relevant Convention Certificates,
b
in the case of a passenger vessel which does not hold all the relevant Convention Certificates, a certificate on safety rules and standards for passenger ships issued in conformity with Directive 2009/45/EC dated 6 May 2009 of the European Parliament and of the Council on safety rules and standards for passenger ships , or
c
in the case of a recreational craft which does not hold all the relevant Convention Certificates, a certificate of the State of which the vessel carries the flag.
4
Regulation 11 and Schedule 1 apply to vessels, used for goods transport on any inland waterway in the United Kingdom, which have a total dead weight of 20 tonnes or more and —
a
a length (L) of less than 20 metres, or
b
for which the product of length (L), breadth (B) and draught (T) is less than 100m 3 .
Exemptions: vessels operating on waterways not linked to other Member States
4
1
The Secretary of State may grant exemption from some or all of the requirements of these Regulations (other than regulation 11 and Schedule 1) for —
a
vessels, tugs, pushers and floating equipment operating on waterways in the United Kingdom not linked by inland waterway to the waterways of a member State other than the United Kingdom,
b
vessels having a dead weight not exceeding 350 tonnes or vessels not intended for the carriage of goods and having a water displacement of less than 100m 3 , which were laid down before 1st January 1950 and operate exclusively on waterways in the United Kingdom.
2
An exemption granted in accordance with paragraph (1) may be given on such terms (if any) as the Secretary of State may specify.
3
The Secretary of State may, subject to giving reasonable notice, alter or cancel any such exemption.
Exemptions: limited journeys of local interest or in harbour areas
5
1
The Secretary of State may, on application made by the owner or master of a vessel, grant exemption from some or all of the requirements of these Regulations (other than regulation 11 and Schedule 1) for that vessel in respect of limited journeys of local interest or in harbour areas.
2
An exemption granted in accordance with paragraph (1) may be given on such terms (if any) as the Secretary of State may so specify, and is valid only if it —
a
specifies the extent of the exemption from the requirements of these Regulations and the circumstances in which the exemption applies, and
b
is specified on the vessel’s Community inland navigation certificate or supplementary Community inland navigation certificate (as appropriate).
3
The Secretary of State may, subject to giving reasonable notice, alter or cancel any such exemption.
Obligation to carry a certificate
6
Subject to regulations 7 and 8 , a vessel operating on a Zone 1, 2, 3 or 4 waterway must carry a valid Community inland navigation certificate issued or renewed after 30th December 2008 which attests full compliance of the vessel with the technical requirements of Annex II to Directive 2006/87/EC and —
a
for vessels operating on Zone 1 and 2 waterways, with the additional United Kingdom technical requirements —
i
adopted in accordance with Article 5(1) and (3) of Directive 2006/87/EC ,
ii
notified to the Commission in accordance with Article 5(3) of Directive 2006/87/EC , and
iii
specified in a Merchant Shipping Notice,
b
for passenger vessels operating on Zone 3 waterways, with the additional United Kingdom technical requirements —
i
maintained and amended in accordance with Article 5(2) and (3) of Directive 2006/87/EC ,
ii
notified to the Commission in accordance with Article 5(3) of Directive 2006/87/EC , and
iii
specified in a Merchant Shipping Notice.
Reduced requirements for vessels operating only on Zone 4 waterways
7
A vessel operating only on Zone 4 waterways may, instead of carrying a certificate which complies with regulation 6 , carry a valid Community inland navigation certificate issued or renewed after 30th December 2008 which attests compliance of the vessel with the reduced requirements specified in Chapter 19b of Annex II to Directive 2006/87/EC .
Vessels carrying Rhine Navigation Certificates
8
1
This regulation applies to a vessel which is carrying a valid certificate issued pursuant to Article 22 of the Revised Convention for Rhine Navigation .
2
A vessel which is operating on Zone 1 or 2 waterways may, instead of carrying a certificate which complies with regulation 6 , carry a valid supplementary Community inland navigation certificate which attests full compliance with the additional United Kingdom technical requirements —
a
adopted in accordance with Article 5(1) and (3) of Directive 2006/87/EC ,
b
notified to the Commission in accordance with Article 5(3) of Directive 2006/87/EC , and
c
specified in a Merchant Shipping Notice.
3
A vessel which is a passenger vessel operating on Zone 3 waterways not linked to the navigable inland waterways of an EEA State other than the United Kingdom may, instead of carrying a certificate which complies with regulation 6 , carry a valid supplementary Community inland navigation certificate which attests full compliance with the additional United Kingdom technical requirements —
a
adopted in accordance with Article 5(2) and (3) of Directive 2006/87/EC ,
b
notified to the Commission in accordance with Article 5(3) of Directive 2006/87/EC , and
c
specified in a Merchant Shipping Notice.
4
A vessel which is —
a
not a passenger vessel, and is operating on Zone 3 waterways, or
b
operating on Zone 4 waterways,
may, instead of carrying a certificate which complies with regulation 6 , carry a valid supplementary Community inland navigation certificate which attests full compliance of the vessel with the reduced requirements specified in Chapter 19b of Annex II to Directive 2006/87/EC .
Community inland navigation certificates and supplementary Community inland navigation certificates
9
1
A valid Community inland navigation certificate is a certificate drawn up following the model set out in Part I of Annex V to Directive 2006/87/EC and issued in accordance with Directive 2006/87/EC .
2
A valid supplementary Community inland navigation certificate is a certificate drawn up following the model set out in Part II of Annex V to Directive 2006/87/EC and issued —
a
on production of a certificate issued pursuant to Article 22 of the Revised Convention for Rhine Navigation, and
b
under the conditions laid down by the authorities competent for the waterways concerned.
3
A valid Community inland navigation certificate or valid supplementary Community inland navigation certificate must specify —
a
the additional requirements adopted, maintained or amended in accordance with Article 5(1), 5(2) and 5(3) of Directive 2006/87/EC with which the vessel complies,
b
the reduced requirements —
i
specified in Chapter 19b of Annex II to Directive 2006/87/EC , or
ii
allowed by an EEA State in accordance with Article 5(7) to Directive 2006/87/EC ,
with which the vessel complies.
Recognition of navigability certificates of third countries
10
The Secretary of State may in a Merchant Shipping Notice —
a
specify navigability certificates issued in relation to vessels which are entitled to fly the flag of a State which is not an EEA State,
b
specify that a vessel operating on a Zone 1, 2, 3 or 4 waterway which is carrying a certificate which has been so specified is to be treated for the purposes of these Regulations as though it were carrying a valid Community inland navigation certificate which attests compliance with technical requirements as specified in that Merchant Shipping Notice.
Recognition of navigability licences
11
Schedule 1 has effect as respects recognition of navigability licences.
Inspection and remedial measures
12
1
An inspector may, in accordance with Annex VIII to Directive 2006/87/EC , check at any time whether a vessel to which these Regulations apply —
a
is carrying —
i
a valid Community inland navigation certificate, or
ii
a valid certificate issued pursuant to Article 22 of the Revised Convention for Rhine Navigation and a valid supplementary Community inland navigation certificate,
b
satisfies the requirements set out in such a certificate or certificates, or
c
constitutes a manifest danger for the persons on board, the environment or the navigation.
2
Paragraph (3) applies where, following an inspection under paragraph (1), the inspector notifies the owner of the vessel, or the owner’s representative, that the inspector —
a
has found that a certificate required by these Regulations to be carried on board the vessel is invalid, or
b
considers that the vessel does not satisfy the requirements set out in the certificate,
but considers that such invalidity or failure does not constitute a manifest danger for the persons on board, the environment or the navigation.
3
Where this paragraph applies —
a
the owner of the vessel or the owner’s representative must take all necessary measures to remedy the situation, and
b
within seven days beginning with the date of being notified as set out in paragraph (2), the person notified by the inspector as set out in paragraph (2) must inform the authority which issued or last renewed the certificate of that notification.
4
Paragraph (5) applies where, following an inspection under paragraph (1), the inspector notifies the owner of the vessel, or the owner’s representative, that the inspector —
a
has found that a certificate required by these Regulations to be carried on board the vessel is not being carried, or
b
that the vessel constitutes a manifest danger for the persons on board, the environment or the navigation.
5
Where this paragraph applies —
a
a ship surveyor —
i
may prevent the vessel from proceeding until the necessary steps have been taken to remedy the situation, or
ii
may prescribe measures which will enable the vessel to proceed safely, where appropriate on termination of its transport operations, to a place where it will be either inspected or repaired, and
b
within seven days beginning with the date of being notified as set out in paragraph (4), the person notified by the inspector as set out in paragraph (4) must inform the authority which issued or last renewed the certificate of that notification.
6
Where a ship surveyor has prescribed measures in accordance with paragraph (5)(a)(ii), the vessel must not proceed (or, where appropriate, must not proceed after termination of its transport operations) except in accordance with the prescribed measures.
7
Where a ship surveyor has prevented a vessel from proceeding, or has notified the owner of the vessel, or the owner’s representative, of an intention to do so if the defects found are not corrected —
a
the Secretary of State must inform the authority in the EEA State which issued or last renewed the certificate, within seven days, of the decision which has been taken or which it is intended will be taken,
b
section 264 of the Merchant Shipping Act 1995 (references of notices to arbitration) applies to the decision of the ship surveyor as though it were an improvement notice issued under section 261(2)(a) of that Act, and
c
without delay, the ship surveyor must notify the owner of the vessel, or the owner’s representative (as appropriate) of the arbitration procedure available to that person under sub-paragraph (b), and of the time limits for that arbitration procedure.
Offences and penalties
13
1
The owner and master of a vessel are guilty of an offence if the vessel —
a
operates in contravention of these Regulations,
b
while operating under an exemption granted under these Regulations, fails to comply with any terms subject to which that exemption was granted, or
c
proceeds or attempts to proceed in contravention of regulation 12(5)(a)(i) or (6).
2
A failure to comply with regulation 12(3)(a) is an offence by the owner or owner’s representative, as the case may be.
3
A failure to comply with regulation 12(3)(b) or (5)(b) is an offence by the person notified as set out in regulation 12(2) or (4) (as appropriate).
4
A person guilty of an offence under paragraph (1) or (2) is liable —
a
on summary conviction to a fine of an amount not exceeding the statutory maximum, or
b
on conviction on indictment to imprisonment for a term not exceeding two years or to a fine or to both.
5
A person guilty of an offence under paragraph (3) is liable on summary conviction to a fine of an amount not exceeding level 3 on the standard scale.
6
In any proceedings for an offence under this regulation it is a defence for the person charged to show that all reasonable steps had been taken by that person to ensure compliance with the relevant provision of these Regulations.
7
Where an offence under this regulation is committed, or would be committed but for the operation of paragraph (6) , by any person due to the act or default of some other person, that other person is also guilty of the offence; and a person may be charged with and convicted of an offence by virtue of this paragraph whether or not proceedings are taken against the first mentioned person.
Amendment of Regulations
14
The Regulations specified in column 1 of Schedule 2 are amended to the extent specified in column 2.
Signed by authority of the Secretary of State for Transport
Paul Clark
Parliamentary Under Secretary of State
Department for Transport
29th March 2010


text:
Citation and interpretation
1
1
This Order may be cited as the Crime and Security Act 2010 (Commencement No. 1) Order 2010.
2
In this Order “ the Act ” means the Crime and Security Act 2010.
Provisions coming into force on 31st January 2011
2
The day appointed for the coming into force of the following sections of the Act is 31st January 2011:
a
section 37 (application for variation or discharge of injunction);
b
section 38 (power of court to remand).
James Brokenshire
Parliamentary Under-Secretary of State
Home Office
14th December 2010


text:
Citation and commencement
1
This Order may be cited as the Traffic Management (Northamptonshire County Council) Permit Scheme Order 2010 and is to come into effect on 10th January 2011.
Interpretation
2
In this Order —
“the Northamptonshire County Council Permit Scheme” means the permit scheme set out in the Schedule to this Order which was prepared and submitted to the Secretary of State by Northamptonshire County Council and approved by the Secretary of State on 28th June 2010; and
“specified streets” has the meaning given by regulation 8 of the Traffic Management Permit Scheme (England) Regulations 2007 .
Commencement of Permit Scheme
3
The Northamptonshire County Council Permit Scheme comes into effect on 10th January 2011.
Application of Part 8 of the Traffic Management Permit Scheme (England) Regulations 2007
4
Part 8 of the Traffic Management Permit Scheme (England) Regulations 2007 applies to the specified streets within the Northamptonshire County Council Permit Scheme.
Norman Baker
Parliamentary Under Secretary of State
Department for Transport
22nd November 2010


text:
Citation, construction and commencement
1
1
This Order may be cited as the Turks and Caicos Islands Constitution (Interim Amendment) (Amendment) Order 2010 and shall be construed as one with the Turks and Caicos Islands Constitution Order 2006 and the Turks and Caicos Islands Constitution (Interim Amendment) Order 2009 (in this Order referred to as the “the 2009 Order”).
2
This Order shall come into force on such day as the Governor, acting in his or her discretion, may appoint by proclamation published in the Gazette.
Amendment of 2009 Order
2
1
The 2009 Order is amended by substituting for section 3 the following —
Duration of Order
3
This Order shall continue in force until it is revoked by Order in Council.
2
The 2009 Order is amended by substituting for section 9 the following —
Amendment of laws of Turks and Caicos Islands
9
While this Order is in force, and except as the Governor may otherwise provide in exercise of the power to make laws conferred by paragraph 8 of Schedule 2, where in any law in force in the Turks and Caicos Islands (other than the 2006 Order) —
a
there is a reference to the Cabinet, the Premier, a Minister, the Cabinet Secretary or the Leader of the Opposition, any such reference shall be read and construed as a reference to the Governor, acting in his or her discretion;
b
there is a reference to any power, duty or function of the Cabinet, the Premier, a Minister, the Cabinet Secretary or the Leader of the Opposition, any such reference shall be read and construed as a reference to a power, duty or function of the Governor and in the exercise or performance of it the Governor shall act in his or her discretion;
c
there is a reference to the House of Assembly or any of its committees, the Speaker or the Deputy Speaker, any such reference shall be read and construed as a reference to the Governor, acting in his or her discretion;
d
the Governor is required to exercise or perform any power, duty or function after consultation with, or in accordance with the advice of, the Cabinet or the Premier, the Governor shall exercise or perform that power, duty or function in his or her discretion.
Revocation
3
The Turks and Caicos Islands Constitution (Interim Amendment) (Amendment) Order 2009 is revoked.
Judith Simpson
Clerk of the Privy Council


text:
Citation, commencement and application
1
1
These Regulations may be cited as the Non-Domestic Rating (Unoccupied Property) (England) (Amendment) Regulations 2010 and shall come into force on 1st April 2010.
2
These Regulations apply in relation to England only.
Hereditaments not prescribed for the purposes of section 45(1)(d) of the Local Government Finance Act 1988
2
1
The Non-Domestic Rating (Unoccupied Property) (England) Regulations 2008 are amended as follows.
2
In regulation 4(g) —
a
subject to sub-paragraph (b), for “£2,200” substitute “£2,600”;
b
in relation to the financial year beginning on 1st April 2010, for “£2,200” substitute “£18,000”.
Signed by authority of the Secretary of State for Communities and Local Government
Barbara Follett
Parliamentary Under Secretary of State
Department for Communities and Local Government
21st February 2010


text:
Citation and commencement
1
These Regulations may be cited as the Transfer of State Pensions and Benefits (Amendment) Regulations 2010 and shall come into force on 1st November 2010.
Amendment of the Transfer of State Pensions and Benefits Regulations 2007
2
The Transfer of State Pensions and Benefits Regulations 2007 are amended as follows.
3
1
Regulation 1 (citation, commencement and interpretation) is amended in accordance with this regulation.
2
In paragraph (2) (interpretation) —
a
omit the definitions of “the Communities’ scheme”, “the 1992 Act” and “relevant benefit”;
b
before the definition of “guarantee date” insert —
“the 1992 Acts ” means —
the Social Security Contributions and Benefits Act 1992 ; and
the Social Security Contributions and Benefits (Northern Ireland) Act 1992 ;
“active employment” has the same meaning as in Article 36 of the Council Regulation ;
“the Council Regulation” means Council Regulation (EEC, Euratom, ECSC) No.259/68 laying down staff regulations of officials and the conditions of employment of other servants of the European Union;
“the EU scheme” means the pension scheme provided for officials of EU institutions in accordance with Articles 77 to 84 of, and Annex VIII to, the Council Regulation;
;
c
after the definition of “guarantee date” insert —
“leave on personal grounds” has the same meaning as in Article 40 of the Council Regulation;
“relevant benefit” means —
graduated retirement benefit under —
sections 36 and 37 of the National Insurance Act 1965 ; and
sections 35 and 36 of the National Insurance Act (Northern Ireland) 1966 ;
any benefit under Parts 2 to 5 and 10 of the 1992 Acts;
contribution-based jobseeker’s allowance under —
Part 1 of the Jobseekers Act 1995 ; and
Part 2 of the Jobseekers (Northern Ireland) Order 1995 ;
contributory employment and support allowance under —
Part 1 of the Welfare Reform Act 2007 ; and
Part 1 of the Welfare Reform Act (Northern Ireland) 2007 ;
“secondment” has the same meaning as in Articles 37 to 39 of the Council Regulation;
;
d
in the definition of “transferor”, for “the Communities’ scheme” substitute “the EU scheme”.
3
After paragraph (2) insert —
2A
References in these Regulations to an Article of, or an Annex to, the Council Regulation are references to that Article or Annex as amended from time to time.
.
4
Omit paragraph (3).
4
1
Regulation 2 (transferable rights) is amended in accordance with this regulation.
2
In paragraph (1) —
a
for “paragraph (2)” substitute “paragraphs (2) to (2B)”;
b
in sub-paragraph (a), for “the 1992 Act” substitute “the 1992 Acts”;
c
in sub-paragraph (c), after “Act 1965” insert “and the National Insurance Act (Northern Ireland) 1966” .
3
In paragraph (2) —
a
in sub-paragraph (a)(i), for “the 1992 Act” substitute “the 1992 Acts”;
b
in sub-paragraph (a)(ii), for “that Act” substitute “those Acts”;
c
in sub-paragraph (b), after “Act 1992” insert “and section 142 of the Social Security Administration (Northern Ireland) Act 1992” .
4
After paragraph (2) insert —
2A
Paragraph (1) does not include any such rights which are referable to the period specified in paragraph (2B).
2B
The period referred to in paragraph (2A) is the period commencing on the date on which the person begins active employment as an official of the EU and ending on the date on which the person ceases such employment, excluding any period of —
a
secondment; or
b
leave on personal grounds.
.
5
In paragraph (3) —
a
after “Regulations 1979” insert “and regulation 6(1) of the Social Security (Widow’s Benefit and Retirement Pensions) Regulations (Northern Ireland) 1979” ; and
b
for “the paragraph” substitute “each of those paragraphs”.
5
In regulations 3 and 6 to 9, for “the Communities’ scheme”, wherever those words occur, substitute “the EU scheme”.
6
In regulation 8, for “the 1992 Act”, wherever those words occur, substitute “the 1992 Acts”.
Revocation of the Transfer of State Pensions and Benefits Regulations (Northern Ireland) 2007
7
The Transfer of State Pensions and Benefits Regulations (Northern Ireland) 2007 are revoked.
Signed by authority of the Secretary of State for Work and Pensions.
Steve Webb
Minister of State,
Department for Work and Pensions
15th July 2010


text:
Citation, commencement and revocations
1
1
These Regulations may be cited as the Merchant Shipping (Maritime Labour Convention) (Medical Certification) Regulations 2010 and shall come into force on 6th April 2010.
2
The following Regulations are revoked —
a
the Merchant Shipping (Medical Examination) Regulations 2002 , and
b
the Merchant Shipping (Medical Examination) (Amendment) Regulations 2005 .
Interpretation
2
In these Regulations —
“ the Act ” means the Merchant Shipping Act 1995,
“approval” means an approval given by the Secretary of State in writing and which specifies the date on which it takes effect, its duration and the conditions (if any) on which it is given, and “approved” has a corresponding meaning,
“Code of Practice” means one of the following Codes of Practice —
The Code of Practice for the Safety of Small Commercial Sailing Vessels, published in 1993 by the Stationery Office ( ISBN 0-11-551184-9),
The Code of Practice for the Safety of Large Commercial Sailing and Motor Vessels, as set out in Merchant Shipping Notice 1792(M),
The Code of Practice for the Safety of Small Commercial Motor Vessels, published in 1993 by the Stationery Office (ISBN 0-11-551185-7),
The Safety of Small Workboats and Pilot Boats — A Code of Practice, published in 1998 by the MCA ,
The Code of Practice for the Safety of Small Vessels in Commercial Use for Sport or Pleasure Operating from a Nominated Departure Point, published in 1999 by the Stationery Office (ISBN 0-11-551812-6),
“the MCA” means the Maritime and Coastguard Agency, an executive agency of the Department for Transport,
“medical fitness certificate” means a certificate attesting to a person’s fitness to perform the duties which that person will carry out at sea and which is issued under regulation 8 or 14 (whether or not subject to restriction or conditions),
“medical practitioner” means a medical practitioner approved by the Secretary of State to issue medical fitness certificates who —
in the case of a practitioner based in the United Kingdom, is a registered medical practitioner,
in the case of a practitioner not based in the United Kingdom, is entitled to practise in the country or territory in which that practitioner is based, and whose qualifications are specified in Merchant Shipping Notice 1822(M) as equivalent to those required of a practitioner based in the United Kingdom who is a registered medical practitioner,
“Merchant Shipping Notice” means a notice described as such and issued by the MCA, and any reference to a particular Merchant Shipping Notice includes a reference to a Merchant Shipping Notice amending or replacing that Notice which is considered by the Secretary of State to be relevant from time to time,
“offshore installation” means any installation which is intended for underwater exploitation of mineral resources or exploration with a view to such exploitation,
“relevant inspector” means a person mentioned in paragraph (a), (b) or (c) of section 258(1) of the Act
“sea-going” in relation to a United Kingdom ship means —
a ship in respect of which a certificate is required to be in force in accordance with —
the Merchant Shipping (Load Line) Regulations 1998 ,
the Merchant Shipping (Vessels in Commercial Use for Sport or Pleasure) Regulations 1998 , or
the Merchant Shipping (Small Workboats and Pilot Boats) Regulations 1998 ,
a passenger ship of Class I, II , II(A), III , VI or VI(A) in respect of which a certificate is required to be in force in accordance with the Merchant Shipping (Survey and Certification) Regulations 1995 , or
a high speed craft in respect of which a permit to operate outside waters of Categories A, B, C or D is required to be in force in accordance with the Merchant Shipping (High Speed Craft) Regulations 2004 ,
“ship” includes a hovercraft, and
“United Kingdom ship” means a ship which is —
a United Kingdom ship within the meaning of section 85(2) of the Act,
a Government ship within the meaning of section 308(4) of the Act which is ordinarily engaged in commercial maritime operations, or
a hovercraft registered under the Hovercraft Act 1968 .
Meaning of “seafarer”
3
1
In these Regulations “seafarer” means any person, including a master, who is employed or engaged or works in any capacity on board a ship on the business of the ship but does not include a person who —
a
is training in a sail training vessel, or
b
is on board a sail training vessel other than for training but —
i
is not engaged in or responsible for the navigation of the vessel, and
ii
has no emergency safety responsibilities on the vessel.
2
In paragraph (1) “sail training vessel” means a sailing vessel which is being used either —
a
to provide instruction in the principles of responsibility, resourcefulness, loyalty and team endeavour and to advance education in the art of seamanship, or
b
to provide instruction on navigation and seamanship for yachtsmen,
and which is operating under a Code of Practice.
Meaning of “pleasure vessel”
4
1
Subject to paragraph (4), for the purposes of these Regulations a “pleasure vessel” is a vessel of a type described in paragraph (2) or (3).
2
The first type of pleasure vessel is a vessel —
a
wholly owned by an individual and used only for the sport or pleasure of the owner or the immediate family or friends of the owner, or
b
wholly owned by a body corporate and used only for the sport or pleasure of employees or officers of the body corporate, or their immediate family or friends,
which is on a voyage or excursion in respect of which the owner is not paid for or in connection with operating the vessel or carrying any person, other than as a contribution to the direct expenses of the operation of the vessel incurred during the voyage or excursion.
3
The second type of pleasure vessel is a vessel wholly owned by or on behalf of an unincorporated association formed for the purposes of sport or pleasure which, at the time it is being used, is used only for the sport or pleasure of members of that unincorporated association or their immediate families, and for the use of which any charges levied are paid into the funds of, and applied for the general use of, that unincorporated association.
4
A vessel is not in paragraph (2) or (3) if payments other than those mentioned in those paragraphs are made by or on behalf of the users of the vessel, other than the owner of the vessel.
5
In paragraphs (2) and (3) “immediate family” means, in relation to an individual, the spouse or civil partner of the individual, and a sibling, ancestor or lineal descendant of that individual or of that individual’s spouse or civil partner.
Application
5
1
Subject to paragraph (2) —
a
these Regulations apply to sea-going United Kingdom ships wherever they may be, and
b
regulation 18(1)(b) applies to sea-going ships (including hovercraft) which are not United Kingdom ships, when they are in a United Kingdom port or United Kingdom waters.
2
These Regulations do not apply to —
a
pleasure vessels,
b
fishing vessels,
c
warships or naval auxiliaries,
d
offshore installations whilst on their working stations.
3
These Regulations do not apply to (in the case of regulation 7, do not apply as respects) —
a
any person whose work is not part of the routine business of the ship and whose principal place of work is ashore,
b
any person who is subject to any requirement contained in the Working Time Regulations 1998 , the Merchant Shipping (Working Time: Inland Waterway) Regulations 2003 or the Fishing Vessels (Working Time: Sea-fishermen) Regulations 2004 .
Seafarer to have valid medical fitness certificate
6
1
Subject to paragraphs (3) and (4), no person may work as a seafarer on a ship to which these Regulations apply unless that person has been issued with a medical fitness certificate which is still valid and is not suspended.
2
A seafarer who has been issued with a medical fitness certificate must carry that certificate on board during the term of that seafarer’s employment on a ship to which these Regulations apply.
3
A seafarer whose medical fitness certificate has expired during the course of a voyage may continue to work until —
a
the first port of call at which it is possible for the seafarer to make an application for a medical fitness certificate and be examined by a medical practitioner, or
b
the expiry of three months starting on the date of the expiry of the certificate,
whichever is the sooner.
4
In urgent cases, with the Secretary of State’s approval, if a person —
a
does not hold a valid medical fitness certificate, but
b
has held a medical fitness certificate for a period of not less than 24 months (or in the case of a person under 18 years at the date of issue of the certificate, 12 months) and that certificate has expired no earlier than one month before the date on which that person joined a ship to which these Regulations apply,
that person may work as a seafarer on that ship until the first port of call at which it is possible for an application for a medical fitness certificate as respects that person to be made and for that person to be examined by a medical practitioner, but in any case not for a period exceeding three months.
5
No person may work as a seafarer on a ship to which these Regulations apply in a capacity of sea service or in a geographical area precluded by any restriction in that person’s medical fitness certificate.
6
No person may work as a seafarer on a ship to which these Regulations apply in breach of a condition of that person’s medical fitness certificate.
Employment of seafarers
7
1
Subject to paragraphs (2) and (3), no person may employ another person as a seafarer on a ship to which these Regulations apply unless that other person has been issued with a medical fitness certificate which is still valid and is not suspended.
2
A person may continue to employ as a seafarer, on a ship to which these Regulations apply, a person whose medical fitness certificate has expired during the course of a voyage until —
a
the first port of call at which it is possible for the seafarer to make an application for a medical fitness certificate and be examined by a medical practitioner, or
b
the expiry of three months starting on the date of expiry of the certificate,
whichever is the sooner.
3
In urgent cases, with the Secretary of State’s approval, if a person who is a seafarer —
a
does not hold a valid medical fitness certificate, but
b
has held a medical fitness certificate for a period of not less than 24 months (or in the case of a person under 18 years at the date of issue of the certificate, 12 months) and that certificate has expired no earlier than one month from the date on which the seafarer joined a ship to which these Regulations apply,
another person may employ that person as a seafarer on that ship until the first port of call at which it is possible for an application for a medical fitness certificate as respects that seafarer to be made and for that seafarer to be examined by a medical practitioner, but in any case not for a period exceeding three months.
4
No person may employ a person as a seafarer in a ship to which these Regulations apply in a capacity of sea service or in a geographical area precluded by any restriction in that person’s medical fitness certificate.
5
No person may employ a person as a seafarer in a ship to which these Regulations apply in such a way as to breach a condition of the person’s medical fitness certificate.
Application for and issue of medical fitness certificate
8
1
If —
a
an application for a medical fitness certificate is made to a medical practitioner,
b
any fee prescribed in Regulations made under section 302 of the Act has been paid,
c
the medical practitioner has examined the person to whom the application relates, and
d
having had regard to the medical standards specified by the Secretary of State in Merchant Shipping Notice 1822(M), the medical practitioner considers that the person to whom the application relates is fit to perform the duties which that person will carry out at sea,
the medical practitioner must issue that person with a medical fitness certificate in the form specified in Merchant Shipping Notice 1822(M).
2
A medical fitness certificate may, as the medical practitioner considers appropriate —
a
be restricted to such capacity of sea service or geographical areas as that practitioner records on the certificate, and
b
be subject to such conditions as that practitioner records in accordance with the requirements of Merchant Shipping Notice 1822(M).
3
If a person is employed as a seafarer, or has been offered employment as a seafarer, at the time an application is made for a medical fitness certificate under paragraph (1), the person’s employer must ensure that the application is made and processed at no cost to the person to whom it relates.
Period of validity of medical fitness certificate
9
A medical fitness certificate is valid only from the date of the medical examination or the date of consideration by a medical referee, as appropriate, and for the following maximum periods —
a
in respect of a person under 18 years of age, one year,
b
in respect of a person of 18 years of age or over, two years,
or, in either case, such shorter period as is specified on the certificate.
Fitness certificates: Code vessels and domestic passenger vessels
10
1
If a person has been issued with a certificate of medical fitness which is specified by the Secretary of State in Merchant Shipping Notice 1822(M) as equivalent to a medical fitness certificate for work on a Code vessel or a domestic passenger vessel, then (unless that person is the master of a domestic passenger vessel) that certificate is for the purposes of regulations 6, 7, 12 and 13 equivalent to a medical fitness certificate, but only as respects that person’s work on that type of vessel.
2
In paragraph (1) —
“Code vessel” means a vessel which —
operates under a Code of Practice, and
does not go more than 60 miles from a harbour or shelter of any kind which affords entry (subject to prudence in the weather conditions prevailing) and protection from the force of weather, and
“domestic passenger vessel” means a ship which is of Class VI or Class VI(A) as defined in the Merchant Shipping (Life Saving Appliances for Passenger Ships of Classes III to VI(A)) Regulations 1999 .
Fitness certificates: non-United Kingdom certificates
11
1
A certificate of medical fitness to work as a seafarer which has been issued to a person by an authority empowered to issue such certificates by the laws of any country or territory outside the United Kingdom specified by the Secretary of State in Merchant Shipping Notice 1815(M) is for the purposes of regulations 6, 7 and 12, and for the purposes of regulation 13 other than regulation 13(1)(d), equivalent to a medical fitness certificate, but only until the expiry date specified on the certificate.
2
A certificate to which paragraph (1) applies is not equivalent to a medical fitness certificate unless it is issued in English, or in English and some other language.
Reporting of medical conditions
12
1
A person who is a seafarer who holds a medical fitness certificate and who —
a
is, or is likely to be, absent from work for a period of thirty days or more due to a medical condition, or
b
develops a significant medical condition,
must report that medical condition as soon as practicable.
2
A report made in accordance with paragraph (1) must be made —
a
in the case of a person who has been issued with a certificate of medical fitness, to the authority which issued that certificate,
b
in any other case, to a medical practitioner.
3
If a seafarer must make the report required by paragraph (1), the validity of that seafarer’s medical fitness certificate or certificate of medical fitness is suspended from the date on which it first becomes practicable for that seafarer to make the report until the date (if any) on which a medical practitioner or the authority (as appropriate) has assessed, if necessary by conducting a medical examination of the seafarer, that the seafarer is fit having regard to the medical standards specified by the Secretary of State in Merchant Shipping Notice 1822(M).
4
In this regulation “medical condition” includes both injury and illness, and a significant medical condition is one which adversely affects or is reasonably likely adversely to affect the seafarer’s ability to carry out their duties, including the seafarer’s ability to undertake emergency duties.
Suspension and cancellation of medical fitness certificate
13
1
This regulation applies if a medical practitioner has reasonable grounds for believing that —
a
there has been a significant change in the medical fitness of a person during the period of validity of that person’s medical fitness certificate,
b
a person is not complying with the terms of a condition to which that person’s medical fitness certificate is subject,
c
when a medical fitness certificate was issued to a person, had a medical practitioner been in possession of full details of that person’s condition, the medical practitioner could not reasonably have considered that the person was fit, having regard to the medical standards specified by the Secretary of State in Merchant Shipping Notice 1822(M), or
d
a medical fitness certificate was issued to a person otherwise than in accordance with these Regulations.
2
If this regulation applies, the medical practitioner may —
a
suspend the validity of that medical fitness certificate until the person to whom the certificate was issued has undergone further medical examination,
b
suspend the validity of the medical fitness certificate for such period as the medical practitioner considers the person to whom the certificate was issued will remain unfit to perform the duties that person will carry out at sea, or
c
cancel the certificate if the medical practitioner considers that the person to whom the certificate was issued is likely to remain permanently unfit to perform the duties that person will carry out at sea.
and must notify the person concerned accordingly.
3
The medical practitioner may require that a person surrenders a medical fitness certificate which has been issued to that person and which has been suspended or cancelled pursuant to paragraph (2), as that practitioner directs.
4
In this regulation, a significant change in the medical fitness of a person is a condition which affects or would be reasonably likely to affect that person’s ability to carry out their duties, including their ability to undertake emergency duties.
Review of medical practitioner’s decision
14
1
A person who is aggrieved by —
a
the refusal of a medical practitioner to issue a medical fitness certificate in accordance with regulation 8,
b
any restriction imposed on such a certificate, or
c
the suspension for a period of more than three months or cancellation of such a certificate by a medical practitioner pursuant to regulation 13,
may apply to the Secretary of State for the matter to be reviewed by a single medical referee appointed by the Secretary of State.
2
The Secretary of State must have the matter reviewed if the application —
a
was lodged with the Secretary of State within one month of the date on which the applicant was given notice of refusal, imposition of a restriction, suspension or cancellation,
b
includes a consent for the medical practitioner responsible for the refusal, imposition of a restriction, suspension or cancellation to provide a report to the medical referee, and
c
specifies the name and address of that practitioner.
3
If an application is made after the time prescribed in paragraph (2)(a), the Secretary of State, upon consideration of any reasons for the lateness of the application, may decide that the matter is nonetheless to be reviewed.
4
If requested by the applicant, the medical practitioner must send to the applicant a copy of the report of the medical practitioner and any other evidence provided by the medical practitioner to the medical referee.
5
In a case within paragraph (1)(a) or (c), if in the light of the medical evidence, and having regard to the medical standards specified by the Secretary of State in Merchant Shipping Notice 1822(M), the medical referee considers that the applicant is fit to perform the duties that person will carry out at sea, the medical referee must issue to the applicant a medical fitness certificate in the form specified in Merchant Shipping Notice 1822(M), or terminate the suspension of the applicant’s medical fitness certificate, as the case may be.
6
In a case within paragraph (1)(a), (b) or (c), and having regard to the medical standards specified by the Secretary of State in Merchant Shipping Notice 1822(M), if in the light of the medical evidence the medical referee considers that restrictions as to capacity of sea service or geographical areas should be imposed on a certificate issued to the applicant, or that any restriction so imposed by a medical practitioner should be deleted or varied, the medical referee must issue to the applicant a medical fitness certificate in the form specified in Merchant Shipping Notice 1822(M) which records any restrictions as so imposed or varied, and the former certificate shall cease to have effect.
7
If in the light of the medical evidence, and having regard to the medical standards specified by the Secretary of State in Merchant Shipping Notice 1822(M), the medical referee considers that the applicant is unfit to perform the duties that person will carry out at sea, the medical referee must notify the applicant of the period during which the medical referee considers that the applicant will remain unfit to go to sea.
8
If the applicant fails to attend an appointment with the medical referee without giving adequate notice, then the Secretary of State may recover from the applicant as a civil debt the cost incurred by the Secretary of State of that appointment.
Health assessment and transfer of seafarers on night watchkeeping duties
15
1
If —
a
a medical practitioner or medical referee has certified that a seafarer engaged on watchkeeping duties is suffering from health problems which the practitioner considers to be due to the fact that the seafarer performs work during the night, and
b
it is possible for the seafarer’s employer to transfer the seafarer to work —
i
to which the seafarer is suited, and
ii
which is to be undertaken during periods such that the seafarer will cease to perform work during the night,
the employer must transfer the seafarer accordingly.
2
In paragraph (1), “night” means a period —
a
the duration of which is not less than nine consecutive hours; and
b
which includes the period between midnight and 5 a.m. (local time).
Medical examinations and reviews: records and returns
16
1
A medical practitioner or medical referee who conducts a medical examination or a review in accordance with these Regulations must —
a
make and retain for ten years a record of each such examination or review which that medical practitioner or medical referee carries out pursuant to these Regulations, and
b
send to the Secretary of State on the Secretary of State’s written request a return of all such examinations or reviews.
2
In keeping the record and making any return required under paragraph (1), the medical practitioner or medical referee must use the relevant form or forms specified by the Secretary of State in Merchant Shipping Notice 1822(M).
Replacement certificates
17
1
Unless a medical fitness certificate has been surrendered under regulation 13(3), if a person who was issued with a medical fitness certificate which is still valid is no longer in possession of that certificate, then upon —
a
application being made by that person or that person’s employer to the medical practitioner or referee who issued the certificate, and
b
payment of the medical practitioner’s or referee’s administrative costs of issuing the replacement,
the medical practitioner or referee who issued that certificate may issue to that person a replacement medical fitness certificate.
2
A replacement medical fitness certificate issued under this regulation expires on the expiration date of the original medical fitness certificate which it replaces.
Offences and penalties
18
1
Any person who contravenes regulation 6 or 7 is guilty of an offence and is liable on summary conviction to a fine of an amount not exceeding level 5 on the standard scale.
2
An employer who fails to comply with regulation 8(3) or 15(1) is guilty of an offence and liable on summary conviction to a fine of an amount not exceeding level 2 on the standard scale.
3
A seafarer who fails without reasonable excuse to comply with a requirement made under regulation 13(3) is guilty of an offence and liable on summary conviction to a fine of an amount not exceeding level 2 on the standard scale.
4
Any person who —
a
obstructs a relevant inspector in the exercise of his powers under regulation 20, or
b
fails without reasonable excuse to comply with a requirement made under regulation 20,
is guilty of an offence and liable on summary conviction to a fine of an amount not exceeding level 5 on the standard scale.
5
In any proceedings for an offence under these Regulations it is a defence for the person charged to show that all reasonable steps had been taken by that person to ensure compliance with the relevant provision of these Regulations.
Inspection of Government ships
19
Sections 258 to 266 of the Act apply to these Regulations as if they were for all purposes made under section 85 of the Act and accordingly those sections apply in relation to Government ships.
Inspection of ships other than United Kingdom ships
20
1
When a ship other than a United Kingdom ship is in a United Kingdom port or United Kingdom waters, a relevant inspector may inspect that ship, and may require any seafarer on board that ship to produce any document, in order to ascertain whether the requirements of Regulation 1.2 and Standard A1.2 of the Maritime Labour Convention, 2006 are met in relation to the seafarers working on that ship.
2
Where a relevant inspector is satisfied that any seafarer working on a ship which is not a United Kingdom ship is unable to prove that that seafarer is working in accordance with the medical certification requirements of Regulation 1.2 and Standard A1.2 of the Maritime Labour Convention, 2006, the relevant inspector may send —
a
a report to the government of the State whose flag the ship is entitled to fly, and
b
a copy of the report to the Director General of the International Labour Office .
3
A ship shall not in the exercise of the power under this regulation be delayed unreasonably.
Signed by authority of the Secretary of State for Transport
Paul Clark
Parliamentary Under Secretary of State
Department for Transport
10th March 2010