text:
PART 1
GENERAL
Citation, commencement and application
1
1
These Regulations may be cited as the Adoption Support Agencies (England) and Adoption Agencies (Miscellaneous Amendments) Regulations 2005 and shall come into force for the purposes of regulation 34 on 28th October 2005 and for all other purposes on 30th December 2005.
2
These Regulations apply to England only.
Interpretation
2
1
In these Regulations —
“the 2000 Act ” means the Care Standards Act 2000;
“the 2002 Act ” means the Adoption and Children Act 2002;
“the 2005 Regulations ” means the Adoption Support Services Regulations 2005 ;
“adoptive child” means —
a child who has been adopted or in respect of whom a person has given notice of his intention to adopt under section 44 of the 2002 Act; or
a child whom an adoption agency has matched with a prospective adopter or placed for adoption;
“adoptive parent” means —
a person who has adopted a child or has given notice under section 44 of the 2002 Act of his intention to adopt a child; or
a person with whom an adoption agency has matched a child or has placed a child for adoption;
“agency” means an adoption support agency;
“child” means a person who has not attained the age of 18 years;
“children’s guide” means the written guide produced in accordance with regulation 5(4);
“complaints procedure” means the procedure established under regulation 16(1);
“organisation” means a body corporate or any unincorporated association other than a partnership;
“registered manager” means, in relation to an agency, a person who is registered under Part 2 of the 2000 Act as the manager of the agency;
“registered person” means, in relation to an agency, any person who is the registered provider or the registered manager;
“registered provider” means, in relation to an agency, a person who is registered under Part 2 of the 2000 Act as the person carrying on the agency;
“registration authority” means the Commission for Social Care Inspection ;
“responsible individual” shall be construed in accordance with regulation 7(2)(c);
“statement of purpose” means the written statement compiled in accordance with regulation 5(1).
2
In these Regulations any reference to employing a person includes employing a person whether or not for payment, and whether under a contract of service or a contract for services, and allowing a person to work as a volunteer, and references to an employee or to a person being employed shall be construed accordingly.
Prescribed services
3
1
For the purposes of these Regulations the following services (in addition to other services prescribed for the purposes of section 2(6)(b) of the 2002 Act ) are prescribed as adoption support services —
a
any services prescribed in regulation 3(1)(b) to (f) of the 2005 Regulations that are provided in the case of an adoption of a child by his natural parent or the partner of his natural parent;
b
assistance to adoption agencies in preparing and training adoptive parents;
c
assistance to —
i
adopted persons who have attained the age of 18, or
ii
relatives of such persons,
to facilitate contact between such adopted persons and their relatives (and in this sub-paragraph “relative”, in relation to an adopted person, means any person who, but for his adoption, would be related to him by blood, including half-blood, marriage or civil partnership).
2
In the case of an adoption of a child by his natural parent or the partner of his natural parent respite care that consists of the provision of accommodation must be accommodation provided by or on behalf of a local authority under section 23 of the Children Act 1989 (accommodation of looked after children) or by a voluntary organisation under section 59 of that Act.
Exceptions
4
1
A barrister, or a solicitor of the Supreme Court, who is providing adoption support services in the course of his practice as such is not an adoption support agency.
2
An undertaking is not an adoption support agency merely because it provides services to enable groups of adoptive children, adoptive parents and natural parents or former guardians of an adoptive child to discuss matters relating to adoption.
3
An undertaking is not an adoption support agency merely because it —
a
provides respite care in relation to adoption and is a —
i
care home,
ii
children’s home, or
iii
domiciliary care agency,
in respect of which a person is registered under Part 2 of the 2000 Act; or
b
provides respite care in relation to adoption consisting of child minding within the meaning in Part 10A of the Children Act 1989 (“the 1989 Act ”) and is registered for child minding under that Part of that Act; or
c
provides respite care in relation to adoption consisting of day care within the meaning in Part 10A of the 1989 Act on premises in respect of which it is registered to provide day care under that Part of that Act.
Statement of purpose and children’s guide
5
1
The registered person shall compile in relation to the agency a written statement which shall consist of a statement as to the matters listed in Schedule 1 (“statement of purpose”).
2
The registered person shall provide a copy of the statement of purpose to the registration authority.
3
The registered person shall make a copy of the statement of purpose available, upon request, for inspection by —
a
any person working for the purposes of the agency;
b
any person receiving adoption support services from the agency or acting on behalf of a child receiving such services from the agency;
c
any person making enquiries about receiving adoption support services from the agency on his own or a child’s behalf;
d
any local authority.
4
The registered person in relation to an agency which provides adoption support services to children shall produce a written guide to the agency (“children’s guide”) which shall include —
a
a summary of the agency’s statement of purpose;
b
a summary of the complaints procedure; and
c
the address and telephone number of the registration authority.
5
The children’s guide shall be produced in a form appropriate to the age, understanding and communication needs of the children to whom the agency provides adoption support services.
6
The registered person shall provide a copy of the children’s guide to the registration authority, to any adult acting on behalf of a child to whom the agency provides adoption support services and (subject to his age and understanding) to each such child.
7
Subject to paragraph (8), the registered person shall ensure that the agency is at all times conducted in a manner that is consistent with its statement of purpose.
8
Nothing in paragraph (7) shall require or authorise the registered person to contravene, or not comply with —
a
any other provision of these Regulations; or
b
any conditions for the time being in force in relation to the registration of the registered person under Part 2 of the 2000 Act.
Review of statement of purpose and children’s guide
6
The registered person shall —
a
keep under review and, where appropriate, revise the statement of purpose and children’s guide;
b
notify the registration authority of any such revision within 28 days of making the revision; and
c
if the children’s guide is revised, supply a copy to any adult acting on behalf of a child to whom the agency provides adoption support services and (subject to his age and understanding) to each such child.
PART 2
REGISTERED PROVIDERS, RESPONSIBLE INDIVIDUALS AND MANAGERS
Fitness of registered provider
7
1
A person shall not carry on an agency unless he is fit to do so.
2
A person is not fit to carry on an agency unless the person —
a
is an individual who carries on the agency —
i
otherwise than in partnership with others and he satisfies the requirements set out in paragraph (3);
ii
in partnership with others, and he and each of the partners satisfies the requirements set out in paragraph (3);
b
is a partnership, and each of the partners satisfies the requirements set out in paragraph (3);
c
is an organisation and —
i
the organisation has given notice to the registration authority of the name, address and position in the organisation of an individual (“the responsible individual”) who is a director, manager, secretary or other officer of the organisation and is responsible for supervising the management of the agency; and
ii
that individual satisfies the requirements set out in paragraph (3).
3
The requirements are that —
a
he is of integrity and good character;
b
he is physically and mentally fit to carry on the agency; and
c
full and satisfactory information is available in relation to him in respect of each of the matters specified in Schedule 2.
4
A person shall not carry on an agency if —
a
he has been adjudged bankrupt or sequestration of his estate has been awarded and (in either case) he has not been discharged and the bankruptcy order has not been annulled or rescinded;
b
he is a person in respect of whom a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A of the Insolvency Act 1986 has effect; or
c
he has made a composition or arrangement with his creditors and has not been discharged in respect of it.
Appointment of manager
8
1
The registered provider shall appoint an individual to manage the agency if the registered provider is —
a
an organisation or a partnership;
b
is not a fit person to manage an agency; or
c
is not, or does not intend to be, in full-time day-to-day charge of the agency.
2
The registered provider shall forthwith notify the registration authority of —
a
the name of any person appointed in accordance with this regulation; and
b
the date on which the appointment is to take effect.
Fitness of manager
9
1
A person shall not manage an agency unless he is fit to do so.
2
A person is not fit to manage an agency unless —
a
he is of integrity and good character;
b
having regard to the size of the agency and the agency’s statement of purpose —
i
he has the qualifications, skills and experience necessary for managing the agency; and
ii
he is physically and mentally fit to manage the agency; and
c
full and satisfactory information is available in relation to him in respect of each of the matters listed in Schedule 2.
Registered person – general requirements
10
1
The registered person and the responsible individual (if any) shall, having regard to the size of the agency, the statement of purpose and the number and needs of those receiving adoption support services from the agency, carry on or (as the case may be) manage the agency with sufficient care, competence and skill.
2
If the registered provider is —
a
an individual, he shall undertake,
b
an organisation, it shall ensure that the responsible individual undertakes,
c
a partnership, it shall ensure that one of the partners undertakes,
from time to time such training as is appropriate to ensure that he has the experience and skills necessary for carrying on the agency.
3
The registered provider shall ensure that the registered manager undertakes from time to time such training as is appropriate to ensure that he has the experience and skills necessary for managing the agency.
Notification of offences
11
Where the registered person or the responsible individual is convicted of any criminal offence, whether in England and Wales or elsewhere, he shall immediately give notice in writing to the registration authority of —
a
the date and place of the conviction;
b
the offence of which he was convicted;
c
the penalty imposed on him in respect of the offence.
PART 3
CONDUCT OF AGENCIES
Arrangements for the protection of children
12
1
The registered person in relation to an agency providing adoption support services to children shall prepare and implement a written policy which —
a
is intended to safeguard from abuse or neglect children receiving adoption support services from the agency; and
b
sets out the procedure to be followed in the event of any allegation of abuse or neglect.
2
The procedure under paragraph (1)(b) shall provide in particular for —
a
liaison and co-operation with any local authority which is, or may be, making child protection enquiries in respect of the child;
b
written records to be kept of any allegation of abuse or neglect and the action taken in response; and
c
arrangements to be made for persons working for the purposes of the agency and adults and children to whom the agency has provided adoption support services to have access to information that would enable them to contact —
i
the local authority in whose area the agency is situated and any other local authority on behalf of whom the agency is providing adoption support services to a child, and
ii
the registration authority,
regarding any concern about child welfare or safety.
3
In this regulation “child protection enquiries” means any enquiries carried out by a local authority in the exercise of any of its functions conferred by or under the Children Act 1989 relating to the protection of children.
Provision of services
13
The registered person shall ensure that adoption support services provided to any person are appropriate having regard to the needs for such services identified by an assessment carried out by the agency or by a local authority.
Records with respect to services
14
1
The registered person shall maintain records indicating in respect of each person to whom the agency provides adoption support services —
a
full name;
b
date of birth;
c
whether he is an adoptive child or an adopted person who has attained the age of 18 or, if not, his relationship to an adoptive child or adopted person;
d
description of services requested;
e
description of needs as assessed by the agency or a local authority;
f
description of services provided;
g
whether the services are provided on behalf of a local authority by virtue of section 3(4)(b) of the 2002 Act .
2
The records specified in paragraph (1) shall be retained for such period as the registered provider considers appropriate.
Adoption case records (adoption support agencies that were formerly adoption agencies)
15
1
This regulation applies where an adoption support agency holds pre-commencement case records by virtue of regulation 16(2A) of the 1983 Regulations (transfer of case records).
2
The provisions of the 1983 Regulations that relate to the retention, storage, transfer and disclosure of information in relation to the adoption of a person adopted before 30th December 2005 shall apply to the pre-commencement case records held by an adoption support agency as they apply to the case records of an adoption agency.
3
In this regulation —
“the 1983 Regulations” means the Adoption Agencies Regulations 1983 ;
“adoption agency” has the same meaning as in section 1(4) of the Adoption Act 1976 ; and
“pre-commencement case records” means case records for any adoption before 30th December 2005.
Complaints
16
1
The registered person shall establish a written procedure for considering complaints made by or on behalf of any person to whom the agency has provided adoption support services or to whom the agency has refused to provide adoption support services (“complaints procedure”).
2
The complaints procedure shall provide in particular —
a
for an opportunity for informal resolution of a complaint at an early stage;
b
that no person who is the subject of a complaint takes part in its consideration other than, if the registered person considers it appropriate, at the informal resolution stage only;
c
for dealing with complaints about the registered person or responsible individual; and
d
in the case of an agency providing adoption support services to children, for complaints to be made by a person acting on behalf of a child.
3
The registered person shall provide a copy of the complaints procedure to every person working for the purposes of the agency and shall provide, upon request, a copy of the procedure to any person mentioned in paragraph (1) or any person acting on behalf of a child.
4
The copy of the complaints procedure supplied under paragraph (3) shall include —
a
the name, address and telephone number of the registration authority; and
b
details of the procedure (if any) which has been notified to the registered person by the registration authority for the making of complaints to the registration authority that relate to the agency.
Complaints – further requirements
17
1
The registered person shall ensure that any complaint made under the complaints procedure is fully investigated.
2
The registered person shall, so far as is reasonably practicable, within a period of 28 days beginning on the date on which the complaint is received by the agency, inform the complainant of the outcome of the investigation and the action (if any) that is to be taken in consequence.
3
The registered person shall ensure that a written record is made of any complaint, including details of the investigation made, the outcome and any action taken in consequence, and for that record to be retained for at least 3 years from the date that it is made.
4
The registered person shall take all reasonable steps to ensure that —
a
children are enabled to make a complaint; and
b
no person is subject to any reprisal by the agency for making a complaint.
5
The registered person shall supply to the registration authority at its request a statement containing a summary of any complaints made during the preceding 12 months and the action that was taken in consequence.
Staffing of agency
18
The registered person shall ensure that there is, having regard to the size of the agency, the statement of purpose, and the number and needs of persons to whom the agency provides adoption support services, a sufficient number of suitably qualified, competent and experienced persons working for the purposes of the agency.
Fitness of workers
19
1
The registered person shall not —
a
employ a person to work for the purposes of the agency unless that person is fit to work for the purposes of the agency; or
b
allow a person who is employed by a person other than the registered provider to work for the purposes of the agency unless that person is fit to work for the purposes of the agency.
2
For the purposes of paragraph (1), a person is not fit to work for the purposes of an agency unless —
a
he is of integrity and good character;
b
he has the qualifications, skills and experience necessary for the work he is to perform;
c
he is physically and mentally fit for the work he is to perform; and
d
full and satisfactory information is available in relation to him in respect of each of the matters specified in Schedule 2.
Employment of staff
20
1
The registered person shall —
a
ensure that all permanent appointments of staff employed for the purposes of the agency are subject to the satisfactory completion of a period of probation; and
b
provide all employees with a job description outlining their responsibilities.
2
The registered person shall ensure that all persons employed by the agency —
a
receive appropriate training, supervision and appraisal; and
b
are enabled from time to time to obtain further qualifications appropriate to the work they perform.
Staff disciplinary procedure
21
1
The registered person shall operate a disciplinary procedure which, in particular —
a
provides for the suspension of an employee where necessary in the interests of the safety or welfare of persons to whom the agency provides adoption support services;
b
provides that the failure on the part of an employee to report, to an appropriate person, an incident of abuse, or suspected abuse, of a child to whom the agency provides adoption support services is a ground on which disciplinary proceedings may be instituted.
2
For the purposes of paragraph (1)(b), an appropriate person is —
a
the registered person;
b
an officer of the registration authority;
c
a police officer;
d
an officer of the National Society for the Prevention of Cruelty to Children;
e
an officer of the local authority in whose area the agency is situated;
f
an officer of the local authority in whose area the child is living.
Records with respect to staff
22
1
The registered person shall maintain and keep up to date the records specified in Schedule 3.
2
The records referred to in paragraph (1) shall be retained for at least 15 years from the date of the last entry.
Fitness of premises
23
1
The registered person shall not use premises for the purposes of the agency unless the premises are suitable for the purpose of achieving the aims and objectives set out in the statement of purpose.
2
The registered person shall ensure —
a
that there are adequate security arrangements at the premises, in particular that there are secure facilities for the storage of records; and
b
that any records which are, for any reason, not on the premises are nevertheless kept in conditions of appropriate security.
PART 4
MISCELLANEOUS
Notifiable events
24
1
If, in relation to an agency, any of the events listed in column 1 of the table in Schedule 4 (“the table”) takes place, the registered person shall without delay notify the person indicated in respect of the event in column 2 of the table.
2
Any notification made in accordance with this regulation which is given orally shall be confirmed in writing by the registered person within 14 days.
3
In the table —
“Local Health Board” means the Local Health Board in whose area the child who has died or sustained serious injury in the course of receiving adoption support services was living at the time of the incident;
“Primary Care Trust” means the Primary Care Trust in whose area the child who has died or sustained serious injury in the course of receiving adoption support services was living at the time of the incident; and
“relevant authority” means —
the local authority in whose area the agency is situated; and
in relation to a child who has died or sustained serious injury in the course of receiving adoption support services, any other local authority on behalf of whom the agency is providing adoption support services to that child by virtue of section 3(4)(b) of the 2002 Act.
Financial position
25
1
The registered provider shall —
a
carry on the agency in such a manner as is likely to ensure that it will be financially viable for the purpose of achieving the aims and objectives set out in its statement of purpose; and
b
ensure that adequate accounts are maintained and kept up to date in respect of the agency.
2
The registered provider shall, if the registration authority so requests, provide the authority with such information and documents as it may require for the purpose of considering the financial viability of the agency, including —
a
the annual accounts of the agency, certified by an accountant; and
b
a certificate of insurance for the registered provider in respect of liability which may be incurred by him in relation to the agency in respect of death, injury, public liability, damage or other loss.
Notice of absence
26
1
Where —
a
the registered provider, if he is the person in day-to-day charge of the agency; or
b
the registered manager,
proposes to be absent from the agency for a continuous period of 28 days or more the registered person shall give notice in writing to the registration authority of the proposed absence.
2
Except in the case of an emergency, the notice referred to in paragraph (1) shall be given no later than one month before the proposed absence is to start, or within such shorter period as may be agreed with the registration authority, and the notice shall specify —
a
the length or expected length of the proposed absence;
b
the reason for the proposed absence;
c
the arrangements which have been made for the running of the agency during that absence;
d
the name, address and qualifications of the person who will be responsible for the management of the agency during the absence; and
e
the arrangements that have been made or are proposed to be made for appointing another person to manage the agency during the absence, including the proposed date by which the appointment is to start.
3
Where the absence arises as a result of an emergency, the registered person shall give notice of the absence within one week of its occurrence, specifying the matters mentioned in paragraph (2).
4
Where —
a
the registered provider, if he is the person in day-to-day charge of the agency; or
b
the registered manager,
has been absent from the agency for a continuous period of 28 days or more, and the registration authority has not been given notice of the absence, the registered person shall without delay give notice in writing to the authority specifying the matters mentioned in paragraph (2).
5
The registered person shall notify the registration authority of the return to duty of the registered provider or (as the case may be) the registered manager not later than 7 days after the date of his return.
Notice of changes
27
1
The registered person shall give notice in writing to the registration authority as soon as it is practicable to do so if any of the following events takes place or is proposed to take place —
a
a person other than the registered person carries on or manages the agency;
b
a person ceases to carry on or manage the agency;
c
where the registered provider is an individual, he changes his name;
d
where the registered provider is a partnership, there is any change in the membership of the partnership;
e
where the registered provider is an organisation —
i
the name or address of the organisation is changed;
ii
there is any change of director, manager, secretary or similar officer of the organisation;
iii
there is any change in the identity of the responsible individual;
f
where the registered provider is an individual, a trustee in bankruptcy is appointed or he makes any composition or arrangement with his creditors; or
g
where the registered provider is a company, or a partnership, a receiver, manager, liquidator or provisional liquidator is appointed in respect of the registered provider.
2
If more than one person is registered in respect of an agency, and a registered person dies, the other registered person shall without delay notify the registration authority of the death, in writing.
3
If only one person is registered in respect of an agency, and he dies, his personal representatives shall without delay notify the registration authority of the death, in writing.
Appointment of liquidators, etc.
28
1
Any person to whom paragraph (2) applies shall —
a
forthwith notify the registration authority of his appointment indicating the reasons for it;
b
appoint a manager to take full-time day-to-day control of the agency in any case where there is no registered manager; and
c
not more than 28 days after his appointment notify the registration authority of his intentions regarding the future operation of the agency.
2
This paragraph applies to any person appointed as —
a
the receiver or manager of the property of a company or partnership which is a registered provider of an agency;
b
the liquidator or provisional liquidator of a company which is a registered provider of an agency;
c
the trustee in bankruptcy of an individual who is a registered provider of an agency.
Offences
29
1
A person who contravenes or fails to comply with any of the provisions of regulations 5(1) to (7), 6, 7(1) and (4), 8(2), 9(1), 10, 11, 12(1) and (2), 13, 14, 16 to 18, 19(1), 20, 21(1), 22, 23, 24(1) and (2), 25, 26 and 27(1) shall be guilty of an offence and liable on summary conviction to a fine not exceeding level 5 on the standard scale.
2
The registration authority shall not bring proceedings against a person in respect of any contravention or failure to comply with any of the provisions of those regulations unless —
a
subject to paragraph (4), he is a registered person;
b
notice has been given to him in accordance with paragraph (3);
c
the period specified in the notice, within which the registered person may make representations to the registration authority, has expired;
d
in a case where, in accordance with paragraph (3)(b), the notice specifies any action that is to be taken within a specified period, the period has expired and the action has not been taken within that period.
3
Where the registration authority considers that the registered person has contravened or failed to comply with any of the provisions of the regulations mentioned in paragraph (1), it may serve a notice on the registered person specifying —
a
in what respect in its opinion the registered person has contravened or is contravening any of the regulations, or has failed or is failing to comply with the requirements of any of the regulations;
b
what action, in the opinion of the registration authority, the registered person should take so as to comply with any of those regulations; and
c
the period, not exceeding three months, within which the registered person should take action.
4
The registration authority may bring proceedings against a person who was once, but no longer is, a registered person, in respect of a failure to comply with regulation 14 or 22, and for this purpose, references in paragraphs (2) and (3) to a registered person shall be taken to include such a person.
Compliance with regulations
30
Where anything is required under these Regulations to be done by more than one person, it shall, if done by one of those persons, not be required to be done by the other person or, as the case may be, persons.
PART 5
FEES, FREQUENCY OF INSPECTIONS AND REGISTRATION
Amendment of the National Care Standards Commission (Registration) Regulations 2001
31
1
The National Care Standards Commission (Registration) Regulations 2001 are amended as follows.
2
In regulation 2 (interpretation), after sub-paragraph (cf) in the definition of “statement of purpose” in paragraph (1) insert —
cg
in relation to an adoption support agency, the written statement required to be compiled in relation to the adoption support agency in accordance with regulation 5(1) of the Adoption Support Agencies (England) and Adoption Agencies (Miscellaneous Amendments) Regulations 2005 ;
.
3
In Schedule 7 (particulars to be recorded in the registers kept by the Commission) —
a
in paragraph 9 —
i
in the heading, for the words “fostering agencies and adult placement schemes” substitute “fostering agencies, adult placement schemes and adoption support agencies”; and
ii
after paragraph (e) add —
f
adoption support agencies, the code ASA
;
b
in paragraph 10 —
i
at the end of sub-paragraph (1) add —
domestic adoption services and adoption support services DA&AS intercountry adoption services and adoption support services ICA&AS domestic and intercountry adoption services and adoption support services DICA&AS
;
ii
in sub-paragraph (2), before the definition of “domestic adoption services” insert —
“adoption support services” has the same meaning as in section 2(6) of the Adoption and Children Act 2002 ;
.
Amendment of the National Care Standards Commission (Fees and Frequency of Inspections) (Adoption Agencies) Regulations 2003
32
1
The National Care Standards Commission (Fees and Frequency of Inspections) (Adoption Agencies) Regulations 2003 are amended as follows.
2
In regulation 2(1) (interpretation) —
a
for the definition of “registered provider” substitute —
“registered provider” means, in relation to a voluntary adoption agency or an adoption support agency, a person who is registered under Part 2 of the Act as the person carrying on the agency;
;
b
for the definition of “relevant number of staff” substitute —
“relevant number of staff” means —
in the case of a voluntary adoption agency, seven full-time staff or the equivalent, but does not include the manager or, as the case may be, branch manager, appointed in accordance with the Voluntary Adoption Agencies and the Adoption Agencies (Miscellaneous Amendments) Regulations 2003 ;
in the case of an adoption support agency, two full-time staff or the equivalent, but does not include the manager appointed in accordance with the Adoption Support Agencies (England) and Adoption Agencies (Miscellaneous Amendments) Regulations 2005 or anyone employed solely as a receptionist or administrator;
“small adoption support agency” means an adoption support agency where no more than the relevant number of staff are employed at any one time;
.
3
After regulation 3 (registration fees) insert —
3A
1
For the purposes of section 12(2) of the Act, the fee to accompany an application by a person seeking to be registered under Part 2 of the Act as the person who carries on an adoption support agency shall, subject to paragraph (2), be £1,320.
2
Where the adoption support agency is a small adoption support agency the fee shall be £360.
3
For the purposes of section 12(2) of the Act, the fee to accompany an application by a person seeking to be registered under Part 2 of the Act as the person who manages an adoption support agency other than a small adoption support agency shall be £360.
.
4
In regulation 4(1) (variation fees), after “registered provider” insert “in relation to a voluntary adoption agency”.
5
After regulation 4 insert —
4A
1
For the purposes of section 15(3) of the Act, the fee to accompany an application by the registered provider in relation to an adoption support agency under section 15(1)(a) of the Act (“the variation fee”) shall, subject to paragraphs (2) and (3), be £660.
2
Where the adoption support agency is a small adoption support agency the fee shall be £360.
3
In the case of an application for the variation of a condition for the time being in force where the variation of the condition is a minor variation, the variation fee shall be £60, and “minor variation” has the same meaning as in regulation 4(4).
.
6
In regulation 5 (annual fees – voluntary adoption agencies), after “registered provider” insert “in relation to a voluntary adoption agency”.
7
After regulation 5 insert —
Annual fees – adoption support agencies
5A
1
The registered provider in relation to an adoption support agency shall pay an annual fee and the amount of the annual fee shall, subject to paragraph (2), be £600.
2
Where the adoption support agency is a small adoption support agency the amount of the annual fee shall be £300.
3
The annual fee shall first be payable (“the first date”) on the date on which the certificate of registration is issued, and thereafter shall be payable on the anniversary of the first date.
.
8
In regulation 7 (frequency of inspections – voluntary adoption agencies), for “for the purposes of an agency” substitute “for the purposes of a voluntary adoption agency”.
9
After regulation 7 insert —
Frequency of inspections – adoption support agencies
7A
1
The Commission shall arrange for premises which are used for the purposes of an adoption support agency to be inspected a minimum of once in every 3 year period.
2
Any inspection referred to in paragraph (1) may be unannounced.
3
The first 3 year period shall commence on the date on which the certificate of registration is issued.
.
Amendment of the Commission for Social Care Inspection (Fees and Frequency of Inspections) Regulations 2004
33
In regulation 2(2)(a) of the Commission for Social Care Inspection (Fees and Frequency of Inspections) Regulations 2004 (interpretation), after “voluntary adoption agency” insert “, an adoption support agency”.
PART 6
MISCELLANEOUS AMENDMENTS
Amendment of the Adoption Agencies Regulations 1983
34
1
The Adoption Agencies Regulations 1983 are amended as follows.
2
In regulation 5A (tenure of office of members) after paragraph (1A) insert —
1B
Where an adoption agency extended the term of office of a member of its adoption panel in accordance with paragraph (1A) and that term of office is due to expire on or before 29th December 2005, the agency may extend the term of office of that member up to (and including) 29th December 2005.
.
3
In regulation 16 (transfer of case records) —
a
at the beginning of paragraph (2) insert “Subject to paragraph (2A),”; and
b
after paragraph (2) insert —
2A
An appropriate voluntary organisation which intends to cease to act as such and to seek to be registered as a person who carries on an adoption support agency or is treated as having applied for and been granted registration in respect of an adoption support agency may, with the approval of the registration authority, retain its case records in relation to persons adopted before 30th December 2005.
.
Amendment of the Adoption Information and Intermediary Services (Pre-Commencement Adoptions) Regulations 2005
35
After regulation 4 of the Adoption Information and Intermediary Services (Pre-Commencement Adoptions) Regulations 2005 (meaning of “intermediary service” and “intermediary agency”) insert —
Adoption support agencies that were formerly adoption agencies
4A
Where, by virtue of regulation 16(2A) of the Adoption Agencies Regulations 1983 , an adoption support agency keeps the information in relation to the adoption of a person adopted before 30th December 2005, any reference in these Regulations to the appropriate adoption agency in relation to that person shall be taken to be a reference to that adoption support agency.
.
Marie Eagle
Parliamentary Under-Secretary of State,
Department for Education and Skills
30th September 2005


type: legislation

jurisdiction: UK

text:
Citation, application and commencement
1
These Regulations, which apply to England only, may be cited as the Non-Domestic Rating (Material Day for List Alterations) (Amendment) (England) Regulations 2005 and shall come into force on 1st April 2005.
Amendment of the 1992 Regulations
2
1
The Non-Domestic Rating (Material Day for List Alterations) Regulations 1992 are amended in accordance with paragraphs (2) and (3).
2
After regulation 3(4) insert —
4A
Where the determination is with a view to making an alteration to a list compiled on 1st April 1995, and —
a
the alteration falls to be made after the coming into force of the Non-Domestic Rating (Alteration of Lists and Appeals) (Amendment) (England) Regulations 2003; and
b
the day from which the alteration has effect was determined under regulation 13(2A) or (8BA) of the Non-Domestic Rating (Alteration of Lists and Appeals) Regulations 1993,
the material day is 31st March 2000.
.
3
For regulation 3(7) substitute —
7
In any other case —
a
where the determination is with a view to making an alteration to a list compiled before 1st April 2005, the material day is the day on which the proposal for the alteration in respect of which a determination falls to be made is served on the valuation officer or, where there is no such proposal, the day on which the valuation officer alters the list; and
b
where the determination is with a view to making an alteration to a list compiled on or after 1st April 2005, the material day is —
i
where the alteration is made in pursuance of a proposal, the day on which the proposal was served on the valuation officer;
ii
where the alteration is not made in pursuance of a proposal —
aa
if the day on which the circumstances giving rise to the alteration is reasonably ascertainable, the day on which the circumstances giving rise to the alteration occurred.;
bb
if that day is not reasonably ascertainable, the day on which the valuation officer alters the list
.
Signed by authority of the First Secretary of State
Nick Raynsford
Minister of State, Office of the Deputy Prime Minister
10th March 2005


text:
Title and commencement
1
These Regulations may be cited as the Food (Pistachios from Iran) (Emergency Control) (England) (Amendment) Regulations 2005 and shall come into force on 7th February 2005.
Amendments to the Food (Pistachios from Iran) (Emergency Control) (England) Regulations 2003
2
1
The Food (Pistachios from Iran) (Emergency Control) (England) Regulations 2003 shall be amended in accordance with paragraphs (2) to (5).
2
In paragraph (1) of regulation 2 (interpretation) —
a
for the definition of “the Commission Decision” there shall be substituted the following definition —
“the Commission Decision” means Commission Decision 2005/85/ EC imposing special conditions on the import of pistachios and certain products derived from pistachios originating in, or consigned from Iran ;
; and
b
for the definition of “Directive 98/53/EC ” there shall be substituted the following definition —
“Directive 98/53/EC ” means Commission Directive 98/53/EC laying down the sampling methods and the methods of analysis for the official control of the levels for certain contaminants in foodstuffs as last amended by Commission Directive 2004/43/EC ;
.
3
For paragraph (1) of regulation 3 (prohibition on import) there shall be substituted the following paragraph —
1
Subject to paragraph (3), no person shall import into England any Iranian pistachios unless —
a
the conditions specified in Article 1.1, 3, 5 and (so far as applicable at the point of import) 7 of the Commission Decision are satisfied in relation to those pistachios; and
b
the costs resulting from sampling, analysis, storage and issuing of accompanying official documents and of copies of health certificates and accompanying documents pursuant to Article 1.4 to 7 of the Commission Decision have been met.
.
4
For paragraph (4) of regulation 4 (enforcement) there shall be substituted the following paragraph —
4
The requirements are those specified in —
a
Article 1.4 of the Commission Decision (which is concerned with documentary checks relating to consignments of Iranian pistachios);
b
Article 1.5 and 1.6 of that Decision (which is concerned with the sampling and analysis of such consignments), other than the requirement under Article 1.5 to supply the Commission with specified information; and
c
Article 1.7 of that Decision (which is concerned with the case where consignments are split).
.
5
For regulation 6 (re–dispatch or destruction of illegal imports) there shall be substituted the following regulation —
6
1
If on an inspection or examination of any Iranian pistachios it appears to an authorised officer of a port health authority or as the case may be food authority that they have been imported in contravention of paragraph (1) or (2) of regulation 3 he may after appropriate consultation with a person appearing to him to be the importer of the pistachios serve on that person a notice requiring —
a
the re–dispatch of the pistachios outside the European Community within such reasonable period as shall be specified in the notice if all costs related to official measures taken in respect of those pistachios and identified in that notice have been met; or
b
if —
i
such re–dispatch would in his opinion involve serious risks to human health, or
ii
such costs have not been met,
the destruction of the pistachios within such reasonable period as shall be specified in the notice.
2
If a notice has been served under sub–paragraph (a) of paragraph (1) and the pistachios concerned have not been re–dispatched outside the European Community within the period specified in the notice, an authorised officer of the port health authority or food authority whose authorised officer served it may after appropriate consultation with the person appearing to him to be the importer of the pistachios serve on that person a notice requiring the destruction of the pistachios within such reasonable period as shall be specified in the notice.
3
A notice served under paragraph (1) or (2) shall state —
a
the right of appeal to a magistrates' court; and
b
the period within which such an appeal may be brought.
4
Any person who is aggrieved by a decision of an authorised officer to serve a notice under paragraph (1) or (2) may appeal to a magistrates' court, which shall determine whether the notice should be upheld or set aside.
5
The period within which such an appeal as is mentioned in paragraph (4) may be brought shall be 6 days from the date on which the notice was served exclusive of Saturdays, Sundays and Public Holidays and the making of the complaint shall be deemed for the purpose of this paragraph to be the bringing of the appeal.
6
The procedure on an appeal to a magistrates' court under paragraph (4) shall be by way of complaint for an order and the Magistrates' Court Act 1980 shall apply to the proceedings.
7
If the court allows an appeal brought under paragraph (4) the authority concerned shall compensate the owner of the Iranian pistachios concerned for any depreciation in their value resulting from the action taken by the authorised officer.
8
Any disputed question as to the right to or the amount of any compensation payable under paragraph (7) shall be determined by arbitration.
9
Any person who breaches the terms of a notice served under paragraph (1) or (2) shall be guilty of an offence and liable on summary conviction to a fine not exceeding level 5 on the standard scale or to imprisonment for a term not exceeding three months.
.
Signed by authority of the Secretary of State for Health
Melanie Johnson
Parliamentary Under Secretary of State,
Department of Health
3rd February 2005


text:
Citation and commencement
1
These Regulations may be cited as the National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 and shall come into force on 5th December 2005.
Amendment of the National Health Service Pension Scheme Regulations 1995
2
1
The National Health Service Pension Scheme Regulations 1995 shall be amended in accordance with the following paragraphs.
2
In paragraph (3)(d) of regulation D2 (contributions by employing authorities) after “widow, widower”, insert “, surviving civil partner”.
3
In paragraph (3) of regulation F5 (payment of lump sum) —
a
for “widow or widower”, insert (in each place) “widow, widower or surviving civil partner”; and
b
for “widow’s or widower's”, insert “widow's, widower’s or surviving civil partner's”.
4
In the heading to Part G for “Widows and widowers”, substitute “Widows, widowers and surviving civil partners”.
5
In regulation G1 (widow’s pension) —
a
in paragraph (2) —
i
in sub-paragraph (a) omit “and”;
ii
in sub-paragraph (b) after “remarries” insert —
;
c
no widow’s pension shall be payable in respect of any period during which the widow and a woman who is not her civil partner are living together as if they were civil partners; and
d
the widow shall cease to be entitled to a widow’s pension if she forms a civil partnership.
2A
Paragraph (2)(c) and (d) shall not apply where the member dies before 5th December 2005.
.
6
After regulation G9 add —
Surviving civil partner’s pension
G10
1
Subject to the following provisions of this regulation, if a member who is in a civil partnership dies in the circumstances described in any of regulations G2 to G6 and leaves a surviving civil partner, the surviving civil partner shall be entitled to a pension as described in this regulation.
2
Subject to paragraph (3), regulations G1 to G6 (pensions for widows) apply to the calculation and payment of pensions for surviving civil partners in like manner as they apply to pensions for widows.
3
When calculating a surviving civil partner’s pension, any part of the member’s benefit that is based on pensionable service before 6th April 1988 will, subject to paragraphs (4) and (5), be disregarded.
4
Where regulation G2(3) or G4(2) applies to the calculation of the surviving civil partner’s pension on a member’s death in pensionable employment or with a preserved pension —
a
the whole of the member’s pensionable service will be taken into account when calculating whether and (if so) to what extent there would have been an increase, by virtue of regulation E2(3), in the pensionable service on which the member’s pension under regulation E2 (early retirement pension on grounds of ill-health) would have been based; and
b
the whole period (if any) by which the member’s pension would have been increased will be treated as pensionable service after 5th April 1988.
5
Where regulation G3(2) applies to the calculation of the surviving civil partner’s pension, so that the surviving civil partner’s pension is equal to the member’s pension for a limited period, the surviving civil partner’s pension for that limited period will be equal to the whole of the member’s pension (including any part of the member’s pension that is based on pensionable service before 6th April 1988).
6
Any reference in these Regulations to regulations G1 to G6 means, in relation to benefits in respect of a member who has formed a civil partnership, those regulations as applicable to the member’s surviving civil partner (if any).
Dependent surviving civil partner’s pension
G11
1
A member who has formed a civil partnership may, by giving notice in writing to the Secretary of State prior to leaving pensionable employment, nominate the other party to the civil partnership to receive a dependent surviving civil partner’s pension on the member’s death.
2
The Secretary of State shall accept a member’s nomination only if she is satisfied that the member’s civil partner is permanently incapable of earning a living because of physical or mental infirmity and is wholly or mainly dependent on the member.
3
If the Secretary of State has accepted a member’s nomination and the member subsequently dies before the other party to the civil partnership, the dependent surviving civil partner shall be entitled to a dependent surviving civil partner’s pension.
4
The dependent surviving civil partner’s pension shall be calculated in the same way as a widow’s pension under regulations G1 to G6 (pension for widows), but based only on the member’s pensionable service before 6th April 1988.
5
If the Secretary of State has accepted a member’s nomination for a dependent surviving civil partner’s pension and the member’s pensionable service started before 6th April 1988 any lump sum payable to the member will be reduced by an amount equal to 1.4 times the yearly rate of the part of the member’s pension that is based on pensionable service before 6th April 1988 (except to the extent that any reduction has been off-set under regulation Q2 (right to buy an unreduced retirement lump sum)).
6
Where regulation E2(10) or regulation L1(8) applies to a member who has formed a civil partnership, any reference in those regulations to a lump sum payable on retirement shall mean, in relation to a member to whom paragraph (5) of this regulation refers, a lump sum which is not reduced as described in that paragraph.
Purchase of surviving civil partner’s pension in respect of service prior to 6th April 1988
G12
1
Subject to the following provisions of this regulation an officer or a practitioner, unless he is a person in respect of whom a pension has already become payable under regulation E2 and to whom E2(11) applies, may, in respect of the whole or any part of his contributing service prior to 6th April 1988, elect to purchase an increase in the amount of any surviving civil partner’s pension which may become payable by virtue of regulation G10.
2
The purchase of an increase pursuant to paragraph (1) may be made only in respect of complete years of service unless the officer or practitioner wishes to purchase an increase in respect of all of his service before 6th April 1988 in which case the whole of the requisite period may be purchased whether or not it constitutes a multiple of complete years of service.
3
An election pursuant to paragraph (1) —
a
shall not be made later than 28th February 2007 by giving notice in writing to the Secretary of State specifying the period in respect of which the election is made;
b
must be accompanied by a declaration in writing signed by the officer or practitioner that he is of sound health for his age; and
c
shall be irrevocable.
4
Schedule 1, tables 2 and 4 multiplied by a factor of 0.7 shall have effect with regard to the cost of providing the increase provided pursuant to paragraph (1).
Increased surviving civil partner’s pension
G13
1
If a member who has formed a civil partnership elected on or before 28th February 2007 to buy an increased surviving civil partner’s pension pursuant to regulation G12(1), the surviving civil partner’s pension described in regulation G10 will be based on pensionable service after 5th April 1988 plus the period of pensionable service before that date that the member elected to buy for this purpose under regulation G12(1).
2
Subject to paragraph (3) any retirement lump sum payable to a member under regulation E6 (lump sum on retirement), in respect of any period of pensionable service that the member elected to buy as described in paragraph (1), will be reduced by 1.4 times the yearly rate of the member’s pension plus the relevant daily proportion of that rate for each additional day (except to the extent that any lump sum reduction has been off-set under regulation Q2 (right to buy an unreduced retirement lump sum)).
3
Where regulation E2(10) or regulation L1(8) applies to a member who has formed a civil partnership, any reference in those regulations to a lump sum payable on retirement shall mean, in relation to a member to whom paragraph (2) of this regulation refers, a lump sum which is not reduced as described in that paragraph.
4
Subject to paragraph (5) where by virtue of an election under regulation G12(1) the amount of the retirement lump sum would fall to be reduced by 1.4 times the yearly rate of the member’s pension plus the relevant daily proportion of that rate for each additional day, he may make an election to purchase an unreduced lump sum under regulation Q2 (right to buy an unreduced retirement lump sum) provided that the election is made no later than 28th February 2007.
5
A member who has purchased additional service in accordance with regulation Q1 (right to buy additional service) by way of a payment under regulation Q6 (paying for additional service or an unreduced retirement lump sum by regular additional contributions) may not make an election under paragraph (4) in respect of the purchase of an unreduced lump sum.
.
7
In paragraph (1) of regulation H1 (dependent child) —
a
in sub-paragraph (b) after “marriage entered into”, insert “or a civil partnership formed”; and
b
in sub-paragraph (c) after “spouse”, insert “or civil partner”.
8
In regulation H3 (member dies in pensionable employment) —
a
in paragraphs (4), (7) and (8) after “spouse”, insert (in each place) “or civil partner”;
b
in paragraphs (5), (6) and (8) for “widow’s or widower's”, substitute (in each place) “widow's, widower’s or surviving civil partner's”; and
c
in paragraphs (5) and (6) for “widow or widower”, substitute (in each place) “widow, widower or surviving civil partner”.
9
In regulation H4 (member dies after pension becomes payable) —
a
in paragraphs (3), (4) and (5) after “spouse”, insert (in each place) “or civil partner”;
b
in paragraphs (5), (6) and (7) for “widow’s or widower's”, substitute (in each place) “widow's, widower’s or surviving civil partner's”; and
c
in paragraphs (6) and (7) for “widow or widower”, substitute (in each place) “widow, widower or surviving civil partner”.
10
In regulation H5 (member dies with preserved pension) —
a
in paragraphs (4), (5) and (6) after “spouse”, insert (in each place) “or civil partner”; and
b
in paragraph (6) for “widow’s or widower's”, substitute “widow's, widower’s or surviving civil partner's”.
11
In regulation H7 (dependent child not being maintained by surviving parent or spouse of parent) —
a
in the heading after “spouse”, insert “or civil partner”; and
b
in paragraphs (1) and (2) after “spouse”, insert (in each place) “or civil partner”.
12
In the heading to Part J after “spouse”, insert “, civil partner”.
13
In regulation J1 (allocation of pension) —
a
in paragraph (1) after “spouse”, insert “, civil partner”; and
b
in paragraph (2) —
i
after “spouse”, insert “or civil partner”; and
ii
for “widow’s or widower's”, substitute “widow's, widower’s or surviving civil partner's”.
14
In regulation J2 (limits on allocation of pension) —
a
in paragraph (1) after “spouse”, insert “, a civil partner”;
b
in paragraph (2) for “or spouse’s pension”, substitute “, spouse’s pension or civil partner’s pension”; and
c
in paragraph (3) for “or spouse”, substitute “, spouse or civil partner”.
15
In paragraph (2)(b) of regulation J3 (date on which allocation has effect) for “or spouse”, substitute “, spouse or civil partner”.
16
In regulation K2 (guaranteed minimum pensions) —
a
after paragraph (4) insert —
4A
If the member is in a civil partnership and dies leaving a surviving civil partner, the weekly rate of the surviving civil partner’s pension will not be less than one-half of the part of the member’s guaranteed minimum that is attributable to earnings for the tax year 1988 — 1989 and subsequent tax years.
; and
b
in paragraph (6) for “widow’s or widower's”, substitute “widow's, widower’s or surviving civil partner's”.
17
In paragraph K6 (protected rights transferred to the scheme) after “spouse”, insert (in each place) “or civil partner”.
18
In paragraph (2) of regulation K7 (State scheme premiums) for “widow or widower”, substitute (in each place) “widow, widower or surviving civil partner”.
19
In paragraph (3) of regulation L2 (refund of contributions) after “spouse”, insert “or civil partner”.
20
In paragraph (3)(a) of regulation L4 (early leavers returning to pensionable employment) after “spouse”, insert “or civil partner”.
21
In regulation Q1 (right to buy additional service and unreduced retirement lump sum) after paragraph (5) insert —
5A
For the purposes of regulation G10 (surviving civil partner’s pension) if a civil partner exercised his right to buy additional service before 6th April 1988, the additional service bought as a result of the exercise of that right will be treated as service before 6th April 1988.
.
22
In paragraph (1) of regulation Q2 (right to buy an unreduced retirement lump sum) after “married”, insert “or in a civil partnership”.
23
In regulation Q5 (paying for an unreduced lump sum by a single payment), after sub-paragraph (2) insert —
2A
A member who has formed a civil partnership who wishes to pay for an unreduced lump sum by a single payment must elect to do so within 12 months after nominating his civil partner to receive a dependent surviving civil partner’s pension under regulation G11 (dependent surviving civil partner’s pension).
.
24
In paragraph (7)(b) of regulation R3 (mental health officers) for “widow’s or widower's”, substitute “widow's, widower’s or surviving civil partner's”.
25
In the heading to regulation R12 after “marriage”, insert “or, dissolution or nullity of civil partnership”.
26
In regulation S4 (benefits on death in pensionable employment after pension becomes payable) —
a
in paragraphs (4) and (7) after “spouse”, insert (in each place) “or civil partner”;
b
in paragraphs (4), (5), (6) and (8) after “spouse's”, insert (in each place) “or civil partner's”; and
c
in paragraph (6) after “widower's”, insert “or surviving civil partner's”.
27
In paragraph (1A)(a) of regulation T6 (loss of rights to benefits) for “widow or widower”, substitute “widow, widower or surviving civil partner”.
28
In paragraph (b) of regulation U1A (determination by medical practitioners) after “regulation G8(2)”, insert “or regulation G11(2)”.
29
In Schedule 2 (medical and dental practitioners) —
a
in the heading to paragraph 15 for “Widows or widowers”, substitute “Widows, widowers or surviving civil partners”; and
b
after paragraph 16 insert —
Increased surviving civil partner’s pension
16A
In the case of a civil partner who made a nomination under regulation G11 (dependent surviving civil partner’s pension) or an election under G13 (increased surviving civil partner’s pension) those regulations are modified so that the lump sum payable on the member’s retirement will be reduced by 1.96 per cent of uprated earnings for each complete year of practitioner service plus the relevant daily proportion for each additional day.
.
30
In the heading to Schedule 2A after “MARRIAGE”, insert “OR, ON THE DISSOLUTION OR NULLITY OF A CIVIL PARTNERSHIP”.
Amendment of the National Health Service (Injury Benefits) Regulations 1995
3
1
The National Health Service (Injury Benefits) Regulations 1995 shall be amended in accordance with the following paragraphs.
2
In regulation 7 (widow’s or widower’s allowance) —
a
in the heading for “Widow’s or widower's”, substitute “Widow's, widower’s or surviving civil partner's”;
b
in paragraphs (1) and (2) for “widow or widower”, substitute (in each place) “widow, widower or surviving civil partner”; and
c
for paragraph (3) substitute —
3
Except where paragraph (3A) applies, a widow, widower or surviving civil partner shall not be entitled to receive an allowance —
a
if the marriage took place or the civil partnership was formed after —
i
the deceased last ceased to be employed as a person to whom these Regulations apply; or
ii
the date on which his or her earning ability was permanently reduced as a result of the injury or disease,
whichever is the later;
b
if at the date of the deceased’s death such widow, widower or surviving civil partner and a man or, as the case may be, a woman to whom she or he is not married or with whom she or he is not in a civil partnership are living together as husband and wife or as civil partners; or
c
in respect of any period after such widow, widower or surviving civil partner —
i
remarries or forms a civil partnership; or
ii
during which she or he lives together with another person as if she or he were married to or in a civil partnership with that other person,
so, however, that where such marriage or civil partnership has terminated, the Secretary of State may restore an allowance to a widow, widower or surviving civil partner if she is satisfied that such widow, widower or surviving civil partner is suffering hardship.
3A
This paragraph applies where —
a
the deceased referred to in paragraph (3) died before 5th December 2005, and
b
his widow, or as the case may be, her widower forms a civil partnership or lives with another person of the same sex as if they were civil partners.
.
3
In regulation 8 (child’s allowance) —
a
in paragraph (2)(b) after “marriage”, insert “or civil partnership”; and
b
in paragraph (2)(c) after “spouse”, insert “or civil partner”.
4
In regulation 9 (dependent relative’s allowance) —
a
in paragraph (1)(a) after “spouse's”, insert “or civil partner's”;
b
in paragraph (2) —
i
for “widow or widower”, substitute “widow, widower or surviving civil partner”; and
ii
after “spouse”, insert (in each place) “or civil partner”;
c
in paragraph (4) after sub-paragraph (a) insert —
aa
if he or she subsequently forms a civil partnership or lives together with another person as if they were civil partners of each other; or
; and
d
after paragraph (4) insert —
4A
Paragraph (4)(aa) shall not apply where the member dies before 5th December 2005.
.
5
In paragraph (1) of regulation 11 (lump sum payment on death) —
a
in sub-paragraph (a) for “widow or widower”, substitute “widow, widower or surviving civil partner”; and
b
in sub-paragraph (b) after “spouse”, insert “or civil partner”.
6
In paragraph (3) of regulation 12 (incidental provisions) for “the widow’s or the widower’s pension”, substitute “the widow's, the widower’s or the surviving civil partner’s pension”.
7
In regulation 22 (determination of questions) after “or widower”, insert “or surviving civil partner”.
Amendment of the National Health Service Pension Scheme (Additional Voluntary Contributions) Regulations 2000
4
1
The National Health Service Pension Scheme (Additional Voluntary Contributions) Regulations 2000 shall be amended in accordance with the following paragraphs.
2
In paragraph (1) of regulation 2 (interpretation) in the definition of “dependant”, after paragraph (a) insert —
aa
a surviving civil partner;
.
3
In paragraphs (3) and (5) of regulation 15 (payments by the Secretary of State) after “spouse”, (in each place) insert “or civil partner”.
4
In the heading to regulation 17A after “marriage”, insert “or, dissolution or nullity of civil partnership”.
5
In Schedule 2 —
a
in the heading to the Schedule after “MARRIAGE”, insert “OR, DISSOLUTION OR NULLITY OF CIVIL PARTNERSHIP”; and
b
in paragraph 11(2) for “widow or widower”, substitute (in each place) “widow, widower or surviving civil partner”.
Amendment of the National Health Service (Compensation for Premature Retirement) Regulations 2002
5
1
The National Health Service (Compensation for Premature Retirement) Regulations 2002 shall be amended in accordance with the following paragraphs.
2
In regulation 7 (partial surrender of annual allowance) after “spouse”, insert “or civil partner”.
3
In regulation 8 (compensation payable to widow, widower or dependants) —
a
in the heading after “widower”, insert “, surviving civil partner”; and
b
in paragraphs (1), (2) and (3) after “widower”, insert (in each place) “surviving civil partner,”.
4
In paragraph (1) of regulation 9 (compensation where lump sum on death becomes payable) after “widower”, insert (in each place) “surviving civil partner,”.
Signed by authority of the Secretary of State for Health
Warner
Minister of State,
Department of Health
2nd November 2005
We consent.
Gillian Merron
Vernon Coaker
Two of the Lords Commissioners of Her Majesty’s Treasury
2nd November 2005


text:
Citation, commencement and interpretation
1
1
These Rules may be cited as the Family Proceedings (Civil Partnership: Staying of Proceedings) Rules 2005 and shall come into force on the 5 th December 2005.
2
In these Rules —
a
“civil partnership proceedings” means proceedings under the Civil Partnership Act 2004 of a kind mentioned in sub-paragraph (b);
b
the proceedings referred to in sub-paragraph (a) are proceedings so far as they are for one or more of the following —
i
a dissolution order,
ii
a separation order,
iii
a nullity order,
iv
a declaration as to the validity of a civil partnership of the petitioner,
v
a declaration as to the subsistence of such a civil partnership;
c
“another jurisdiction” means any jurisdiction outside England and Wales;
d
“related jurisdiction” means Scotland, Northern Ireland, Jersey, Guernsey and the Isle of Man (the reference to Guernsey being treated as including Alderney and Sark);
e
references to the trial in any proceedings are, where there is more than one trial, references to the first trial in those proceedings, but do not include the separate trial of an issue as to jurisdiction only;
f
references to proceedings in another jurisdiction are references to proceedings in a court of that jurisdiction and to any proceedings which are instituted before a tribunal or other authority having power under the law having effect there to determine questions of status;
g
references to proceedings which are continuing in another jurisdiction are references to proceedings which have been begun and have not been finally disposed of;
h
references to proceedings before the court which are continuing are references to proceedings which are pending and not stayed; and
i
proceedings are relevant proceedings if they are in respect of the same civil partnership or are capable of affecting its validity or subsistence.
Duty to give particulars of concurrent proceedings in another jurisdiction
2
1
Where civil partnership proceedings are pending before the court in respect of a civil partnership and the trial in those proceedings has not begun —
a
the petitioner, or
b
a respondent who has included a prayer for relief in his answer,must provide to the court such particulars of any relevant proceedings which he knows to be continuing in another jurisdiction as are required by paragraph (2).
2
The particulars required by paragraph (1) are —
a
in the case of a petitioner, the particulars required by paragraph 1(j) of Appendix 2 to the Family Proceedings Rules 1991 ; and
b
in the case of a respondent, the particulars required by paragraph 1(j) of Appendix 2 to the Family Proceedings Rules 1991 in so far as they have not been given by the petitioner.
Obligatory stays of civil partnership proceedings
3
1
Where, before the beginning of the trial in any proceedings before the court for a dissolution order which are continuing, it appears to the court on the application of a party to the civil partnership —
a
that, in respect of the same civil partnership, proceedings for the dissolution or annulment of the civil partnership are continuing in a related jurisdiction;
b
that the parties to the civil partnership have lived together after its formation;
c
that the place where they lived together —
i
on the date when the proceedings before the court were begun, or
ii
if they did not live together at that date, where they last lived together before those proceedings were begun,
is in that jurisdiction; and
d
that either of those parties was habitually resident in that jurisdiction throughout the year ending with the date on which they last lived together before the proceedings before the court were begun,
the court must order that the proceedings before it be stayed.
2
But paragraph (1) does not apply if rule 5(3) applies.
3
Where the proceedings before the court referred to in paragraph (1) are also proceedings other than for a dissolution order, this rule applies only to the proceedings so far as they are for a dissolution order.
Discretionary stays of civil partnership proceedings
4
1
Paragraph (2) applies where, before the beginning of the trial in any civil partnership proceedings before the court which are continuing, it appears to the court —
a
that any relevant proceedings are continuing in another jurisdiction, and
b
that the balance of fairness (including convenience) as between the parties to the civil partnership makes it appropriate for the proceedings in that jurisdiction to be disposed of before further steps are taken —
i
in the proceedings before the court, or
ii
in those proceedings so far as they consist of a particular kind of civil partnership proceedings.
2
The court may, if it thinks fit, order that —
a
the proceedings before it, or
b
those proceedings, so far as they consist of a particular kind of civil partnership proceedings,
be stayed.
3
In considering the balance of fairness and convenience for the purposes of paragraph (1)(b), the court must have regard to all factors appearing to be relevant, including the convenience of witnesses and any delay or expense which may result from the proceedings being stayed, or not being stayed.
4
In the case of any proceedings so far as they are proceedings for a dissolution order, the court must not exercise the power conferred on it by paragraph (2) when an application under rule 3 is pending in respect of the proceedings.
5
Where, after the beginning of the trial in any civil partnership proceedings which are continuing before the court, the court makes an order under paragraph (6), paragraphs (1) and (2) of this rule have effect in relation to those proceedings, and to the other proceedings by reference to which that order is made, as if the words “before the beginning of the trial” in paragraph (1) were omitted.
6
The order referred to in paragraph (5) is an order declaring that the court is satisfied that a person has failed to perform the duty imposed on him in respect of the proceedings by rule 2.
7
No action lies in respect of the failure of a person to comply with rule 2.
Discharge of orders
5
1
A party to proceedings which are stayed by an order made under rule 3 or 4 may apply to discharge that order.
2
On such an application the court may discharge the order if it appears that the proceedings by reference to which the order was made are stayed or concluded, or that a party to those other proceedings has delayed unreasonably in prosecuting them.
3
If the court discharges an order staying any proceedings under rule 3 no further order staying those proceedings may be made under that rule.
Supplementary
6
1
Rules 7 and 8 apply where proceedings for a dissolution, separation or nullity order are stayed by reference to proceedings in a related jurisdiction for the dissolution or annulment of a civil partnership, or the legal separation of civil partners.
2
But paragraph (1) is subject to rule 9.
3
In this rule and in rules 7 to 9 —
a
“lump sum order” means —
i
an order made under paragraph 1 of Schedule 5 to the Civil Partnership Act 2004 of a kind mentioned in paragraph 2(1)(f)(lump sum for child) of that Schedule, or
ii
an order made under Schedule 1 to the Children Act 1989 of a kind mentioned in paragraph 1(2)(c)(lump sum for child) of that Schedule, if made in equivalent circumstances to an order of the kind mentioned in sub-paragraph (a)(i);
b
“the other proceedings”, in relation to any stayed proceedings, means the proceedings in the other jurisdiction by reference to which the stay was imposed;
c
“relevant order” means —
i
an order under Part 8 of Schedule 5 to the Civil Partnership Act 2004 (maintenance pending outcome of dissolution, nullity or separation proceedings),
ii
an order made under paragraph 1 of Schedule 5 to the Civil Partnership Act 2004 of a kind mentioned in paragraph 2(1)(d) or (e)(periodical payments for child) of that Schedule,
iii
an order made under Schedule 1 to the Children Act 1989 of a kind mentioned in paragraph 1(2)(a) or (b) (periodical payments for child) of that Schedule, if made in equivalent circumstances to an order of a kind mentioned in sub-paragraph (c)(ii),
iv
an order under section 8 of the Children Act 1989, or
v
except for the purposes of rule 8, any order restraining a person from removing a child out of England and Wales or out of the care of another person; and
d
“stayed” means stayed in pursuance of these Rules.
4
Nothing in rules 7 to 9 affects any power of the court —
a
to vary or discharge a relevant order which remains in force,
b
to enforce a relevant order in relation to any period when it is or was in force, or
c
to make a relevant order or a lump sum order in connection with proceedings which were, but are no longer, stayed.
7
1
Where proceedings to which this rule applies are stayed then —
a
the court must not make a relevant order or a lump sum order in connection with the stayed proceedings except under paragraph (2); and
b
except as provided by paragraph (4), any relevant order made in connection with the stayed proceedings ceases to have effect on the expiration of three months from the date on which the stay was imposed, unless before that date the stay is removed or the order discharged.
2
The court may exercise the powers referred to in paragraph (3) if it considers that —
a
there are circumstances which must be dealt with urgently, and
b
it is necessary to exercise those powers whilst the stay is in force in order to deal with those circumstances.
3
The powers are —
a
the power to make a lump sum order or a relevant order in connection with the stayed proceedings; and
b
the power to extend, or further extend, the duration of a relevant order made in connection with the stayed proceedings.
4
Where by virtue of paragraph (2) the court exercises any of the powers referred to in paragraph (3) in respect of a relevant order, paragraph (1)(b) does not apply to the order so made or extended.
5
This rule does not alter the effect of the stay except as provided by this rule.
8
1
Where —
a
any proceedings to which this rule applies are stayed, and
b
an order (“the other order”) making provision of a kind referred to in paragraph (2) which was made in connection with the other proceedings —
i
is in force at the time when the stay is imposed, or
ii
comes into force subsequently,
then paragraphs (3) to (6) apply.
2
The provision referred to in paragraph (1) is —
a
provision for periodical payments for a civil partner of the civil partnership in question;
b
provision for periodical payments for a child;
c
any provision which could be made by an order under section 8 of the Children Act 1989.
3
Any relevant order made in connection with the stayed proceedings ceases to have effect in so far as it makes any provision for a civil partner or child which (whether it makes the same or different provision) is of the same type as any provision for that civil partner or child made by the other order.
4
The court must not make a relevant order in connection with the stayed proceedings containing provision for a civil partner or child in respect of any matter for which provision for that civil partner or child is made by the other order.
5
If the other order contains provision for periodical payments for a child, the court must not make a lump sum order for that child in connection with the stayed proceedings.
6
The provisions of paragraphs (3) to (5) have effect —
a
in a case where the other order is in force when the stay is imposed, from that date, and
b
in any other case, from the date when the other order comes into force.
7
Where an order made under paragraph 1 of Schedule 5 to the Civil Partnership Act 2004, of a kind mentioned in paragraph (2)(1)(e) of that Schedule (secured periodical payments for, or for the benefit of, children) ceases to have effect by virtue of rule 7 or the preceding provisions of this rule, paragraph (8) applies.
8
Any order made under Part 3 of that Schedule which requires the proceeds of sale of property to be used for securing the periodical payments also ceases to have effect.
9
1
Where —
a
civil partnership proceedings are proceedings for more than one of the orders mentioned in rule 1(2)(b)(i) to (iii); and
b
proceedings for some but not all of those orders are stayed,
then rules 7 and 8 do not apply.
2
Where paragraph (1) applies the court must not make a relevant order or a lump sum order in connection with the proceedings so far as they are stayed.
3
This rule does not affect the application of the stay except as provided by this rule.
Effect of stay apart from these Rules
10
These rules do not affect any power of the court to stay proceedings apart from that provided by these Rules.
Transitional provision
11
Where —
a
there are proceedings before the court in respect of a civil partnership which are continuing;
b
that civil partnership is treated as having been formed by virtue of section 215(1) of the Civil Partnership Act 2004; and
c
the overseas relationship by reference to which the parties are treated as having formed the civil partnership was registered before 5 th December 2005,
then rule 3 applies to those proceedings as though the reference to the parties having lived together after the formation of the civil partnership is a reference to their having lived together after the registration of the overseas relationship.
Mark Potter, P
William Charles
Philip Waller
David Salter
Bruce Edgington
Falconer of Thoroton, C
18th October 2005


text:
Citation and commencement
1
These Regulations may be cited as the Pensions Regulator (Financial Support Directions etc.) Regulations 2005 and shall come into force on 1st September 2005.
Interpretation
2
1
In these Regulations —
“ the Act ” means the Pensions Act 2004;
“business associate” means a person referred to in —
section 43(6)(b) (persons to whom the Regulator may issue a financial support direction - individuals) who is involved in the carrying on of any business; or
section 43(6)(c) (persons to whom the Regulator may issue a financial support direction – non-individuals);
“calculation date” means the date specified by the Regulator, by reference to which the value of the resources of a person to whom section 43(6) applies will be calculated;
“entity” means an employer or a business associate;
“entity value” means the fair value of the entity;
“entity value difference” (“ EVD ”) means the difference between the entity value at the calculation date and the aggregate of that entity’s net assets as set out in the FSD reference accounts and any identified FVD s;
“fair value” means the amount for which an asset could be exchanged, or a liability settled, between knowledgeable, willing parties in an arm’s length transaction;
“fair value difference” (“FVD”) means the difference between the fair value of an asset or liability at the calculation date and the amount at which that asset or liability is recorded in the FSD reference accounts;
“FSD reference accounts” means the accounts used to establish the net assets of the relevant entity for the purposes of the value of resources calculation which shall be —
the entity’s most recent individual accounts, or, where the Regulator and the entity agree, subsequent accounts prepared on a basis consistent with the most recent individual accounts, taking into account any changes required in order to comply with generally accepted accounting practice; or
in the case of an entity not subject to section 226 of the Companies Act 1985 (duty to prepare individual company accounts), that entity’s most recent set of approved accounts, or where the Regulator and the entity agree, subsequent accounts prepared on a basis consistent with the most recent approved accounts, taking into account any changes required in order to comply with generally accepted accounting practice;
“individual accounts” means accounts prepared in accordance with section 226 of the Companies Act 1985;
“net assets” (“ NA ”) means the aggregate of the entity’s assets less the aggregate of its liabilities (and liabilities shall include any provision for liabilities made in individual accounts prepared in accordance with either section 226A (Companies Act individual accounts) or section 226B ( IAS individual accounts) of the Companies Act 1985, or any similar provision for liabilities made in the accounts of any entity to which the Companies Act 1985 does not apply);
“property” has the same meaning as in section 53(7) (restoration orders – meaning of “property”);
“related employer balances” (“ Eb ”) means any amount which has been taken into account in the calculation of the value of the resources of the employer which, were it also to appear in the calculation of the value of the resources of a business associate, would result in the value of the resources of the business associate and the employer together being overstated or understated by that amount; and such an amount may include (but is not limited to) —
any direct or indirect investment in the share capital of the employer;
any liability of a business associate relating to the employer’s liabilities to the extent that the corresponding liability is deducted in the calculation of the value of the employer’s resources;
any subordinated employer funding; and
provisions made by the business associate against any amounts owed by the employer to the business associate, to the extent that the corresponding liability is deducted in the calculation of the value of the employer’s resources;
“relevant pension scheme related balances” (“ P ”) means any assets or liabilities included within the FSD reference accounts of the entity which relate to the scheme in relation to which section 43 applies, including any assets or liabilities relating to the scheme’s deficit or surplus net of any related deferred tax asset or liability together with any other creditor or prepayment balances related to the scheme in question as calculated in accordance with the generally accepted accounting practice used for the FSD reference accounts;
“section 75 debt” means a debt due, or a debt which might become due, from the employer in relation to the scheme under section 75 of the Pensions Act 1995 (deficiencies in the scheme assets);
“subordinated employer funding” means any amounts included within the calculation of the value of the resources of the business associate that have been treated as subordinated liabilities of the employer in the calculation of the value of the employer’s resources; and
“subordinated liabilities” (“ Se ”) means any liabilities included within the FSD reference accounts of the employer which in the event of the entity being wound up would rank for payment after the unsecured creditors whether as a matter of general law or contract or otherwise.
2
In these Regulations, a reference to a numbered section (other than in the phrase “section 75 debt”) is a reference to the section of the Act bearing that number, unless the context otherwise requires.
Prescribed schemes
3
For the purposes of section 43(1)(b) (schemes to which section 43 (financial support directions) does not apply), a prescribed scheme or a scheme of a prescribed description is as prescribed for the purposes of sections 38 and 52 (contribution notices and restoration orders) in regulation 3 of the Pensions Regulator (Contribution Notices and Restoration Orders) Regulations 2005 .
Prescribed events
4
An event prescribed for the purposes of section 43(3)(c) (financial support directions – content of direction) is —
a
any event specified in any sub-paragraph of regulation 2(2) of the Pensions Regulator (Notifiable Events) Regulations 2005 (employer-related notifiable events) which occurs in respect of any party named in arrangements approved in a notice issued under section 45(1) (meaning of “financial support”);
b
any insolvency event, as defined in section 121(2) to (5) (insolvency events) as the case may be, in relation to any person named in a financial support direction;
c
any failure to abide by, or any alteration to, an arrangement falling within section 45(2) (meaning of “financial support” – arrangements) and approved by the Regulator in a notice issued under section 45(1).
Prescribed period
5
The period prescribed for the purposes of section 43(9) (financial support directions – prescription of relevant time) is the period of 12 months.
Prescribed percentage
6
The percentage of the estimated section 75 debt in relation to a scheme, prescribed for the purposes of section 44(3)(a) (meaning of “insufficiently resourced” – percentage of section 75 debt), is 50 per cent.
Resources
7
1
The resources of an entity shall constitute all those aspects of the entity that would be taken into account when arriving at the entity value.
2
The resources of a person to whom regulation 11 applies shall constitute all that person’s property.
Value of resources - business
8
1
Paragraphs (2) and (3) are subject to regulation 9(2) and (3).
2
The value of the resources of the employer shall be the greater of zero or its entity value excluding relevant pension scheme related balances and any subordinated liabilities together with any related fair value differences as verified in accordance with regulation 10.
3
The value of the resources of a business associate shall be its entity value excluding relevant pension scheme related balances and any employer investment balances together with any related fair value differences as verified in accordance with regulation 10.
Calculation of value of resources – business
9
1
The value of the resources of an entity shall be calculated in accordance with the provisions of this regulation.
2
If, following any stage of the calculation in the case of the employer, the test set out in section 44(3)(a) is not met (that is, the amount calculated to that point is greater than 50 per cent. of the estimated section 75 debt in relation to the scheme) then the employer may seek the agreement of the Regulator that the employer be deemed to be not insufficiently resourced (but see regulation 10), and if the Regulator so agrees no further calculations in relation to either the employer or the business associate need be undertaken.
3
If following any stage of the calculation set out in paragraphs (4) to (7) the value of the resources of the entity in relation to which the calculation is being undertaken —
a
in the case of the employer, meets the test set out in section 44(3)(a), substituting zero if the value of resources calculated to this point is less than zero; or
b
in the case of the business associate, meets the test set out in section 44(3)(b),
that entity may seek the agreement of the Regulator that the value of that entity’s resources shall be set at the amount resulting from the calculations undertaken up to that point (but see regulation 10), and if the Regulator so agrees no further calculations in relation to that entity need be undertaken.
4
In the case of the employer, stage one of the calculation is as follows —
NA + P (assuming P is a liability; if P is an asset then deduct P) + Se
5
In the case of the business associate, stage one of the calculation is as follows —
NA + P (assuming P is a liability; if P is an asset then deduct P) – Eb (assuming Eb is an asset; if Eb is a liability then add Eb).
6
Stage two of the calculation is to add to the amount resulting from the applicable stage one any identified FVD, calculated in relation to any asset (or assets) or liability (or liabilities) selected by the relevant entity.
7
Stage three of the calculation is to calculate the EVD and add that to the amount that resulted from the stage two calculation.
Verification of value of resources – business
10
1
If —
a
the employer seeks the agreement of the Regulator referred to in regulation 9(2); or
b
following either stage one or stage two of the calculation set out in regulation 9 the entity the value of whose resources is being calculated seeks the agreement of the Regulator referred to in regulation 9(3),
the relevant entity (either the employer referred to in sub-paragraph (a) or the entity referred to in sub-paragraph (b) as the case may be) must submit to the Regulator the calculation undertaken to that point together with the statutory declaration specified in paragraph (4), the supporting evidence specified in paragraph (5) and the report specified in paragraph (6).
2
The Regulator will decide whether or not to give its agreement referred to in regulation 9(2) or (3) (as the case may be) following consideration of the documentation submitted in accordance with paragraph (1).
3
If the entity the value of whose resources is being calculated carries out stage 3 of the calculation set out in regulation 9, that entity must submit to the Regulator that calculation together with the statutory declaration specified in paragraph (4), the supporting evidence specified in paragraph (5) and the report specified in paragraph (6).
4
The making of the statutory declaration referred to in paragraphs (1) and (3) shall be approved by the board of directors of the relevant entity, and it shall be made by a director on behalf of the board and consist of a declaration that the calculation of the value of resources of the entity attached to the statutory declaration has been approved by the board of directors of that entity and in the board’s opinion fairly reflects the value of resources of that entity at the calculation date as calculated to that stage in accordance with regulation 9.
5
The statutory declaration shall be accompanied by evidence of such underlying assumptions and calculations as the board considers necessary to set out the basis on which they have calculated the value of resources together with such other evidence as they consider necessary to understand the basis on which they have made their declaration.
6
The statutory declaration shall be accompanied by a report from a reporting accountant, or, where approved by the Regulator, another appropriately qualified person, that in his opinion the calculation of the value of resources has been compiled in accordance with the underlying assumptions and calculations accompanying the statutory declaration, and that this calculation is consistent with such provisions of regulation 9 as are relevant in that case.
7
Any reference to “director” or “board” in paragraphs (4) or (5) shall, in the case of an entity which is not a company within the Companies Act 1985, be taken —
a
in the case of a partnership, to be a reference to a partner or the partners, as the case may be;
b
in the case of any other body (whether corporate or not) the affairs of which are managed by its members, to be a reference to a member or the body, as the case may be;
c
in the case of any other body, to be a reference to a person who exercises functions equivalent to those of a director or either the body or the group of persons who exercise functions equivalent to those of a board of directors, as the case may be.
8
In this regulation “reporting accountant” means —
a
in the case of an entity which is required to have its accounts audited, a person eligible under section 25 of the Companies Act 1989 at the time of the report for appointment as a company auditor;
b
in the case of any other entity, an independent accountant.
Value of resources – individual – calculation and verification
11
1
This regulation applies to an individual to whom section 43(6)(b) applies who is an associate of the employer under —
a
section 435(2) of the Insolvency Act 1986 ;
b
section 435(3) of that Act who is not a member of the partnership in question; or
c
section 435(5) of that Act.
2
The Regulator may require an individual to whom this regulation applies to submit to it, within such time period as the Regulator shall specify being not less than 28 days, a statutory declaration of his resources as at the calculation date.
3
The declaration of resources shall comprise the following particulars —
a
a list of the individual’s property, divided into such categories as are appropriate for easy identification, with values assigned to each category;
b
a list detailing any income and usual outgoings;
c
a list of creditors, debts, and any other liabilities, with details of amounts; and
d
any other information as specified by the Regulator.
4
If the information provided by the individual appears to the Regulator to be incomplete or insufficient in any way the Regulator may require the individual to submit one or more supplementary declarations of resources detailing any further information required by the Regulator.
5
The Regulator may at its discretion require the individual to obtain independent valuations undertaken by a relevantly qualified independent person, of any specified asset or liability included in the declaration of resources.
Verification – Regulator’s power to deem value of resources
12
1
If any relevant person fails to provide to the Regulator any of the required information or documentation within a reasonable time, specified in writing by the Regulator, it (the Regulator) may deem the value of that person’s resources to be an amount determined by the Regulator.
2
When making the determination referred to in paragraph (1), the Regulator must take into account all relevant information in its possession, and having done so, no further verification of the amount so determined is required.
3
In this regulation —
“relevant person” means a person the value of whose resources the Regulator is seeking to have verified in accordance with regulation 10 or 11 (as the case may be); and
“required information or documentation” means any information or documentation required by regulation 10 or 11 (as the case may be).
Prescribed requirements
13
The requirements prescribed for the purposes of section 45(2)(b) and (c) are that —
a
the party or parties to the arrangement consent to the jurisdiction of the courts of England and Wales, and
b
where there is more than one party to the arrangement, those parties enter into a legally enforceable agreement.
Prescribed arrangements
14
An arrangement is prescribed for the purposes of section 45(2)(d) if —
a
the party or parties to the arrangement consent to the jurisdiction of the courts of England and Wales, and
b
where there is more than one party to the arrangement, those parties enter into a legally enforceable agreement.
Former employers
15
1
In sections 38 to 56 (contribution notices, financial support directions and transactions at an undervalue) and these Regulations, “employer”, in relation to —
a
an occupational pension scheme which is not a multi-employer scheme; or
b
a single-employer section of a segregated scheme;
which has no active members, includes the person who was the employer of persons in the description of employment to which the scheme or section relates immediately before the time at which the scheme or section ceased to have any active members in relation to it.
2
In sections 38 to 56 and these Regulations, “employer”, in relation to a non-segregated scheme or a multi-employer section of a segregated scheme includes any person who has ceased to be the employer of persons in the description of employment to which the scheme or section relates unless condition A, B, C or D is satisfied where —
a
condition A is that a section 75 debt became due from that employer and the full amount of the debt has been paid;
b
condition B is that —
i
such a debt became due;
ii
a legally enforceable agreement has been entered into in good faith the effect of which is to reduce the amount which may be recovered in respect of the debt; and
iii
the reduced amount has been paid in full;
c
condition C is that such a debt became due but it is excluded from the value of the assets of the scheme or section because it is unlikely to be recovered without disproportionate costs or within a reasonable time;
d
condition D is that at the time at which any such person ceased to be the employer of persons in the description of employment to which the scheme or section relates the value of the assets of the scheme or section was such that no such debt was treated as becoming due.
3
In this regulation —
“multi-employer section” means a section of a segregated scheme which has at least two employers in relation to that section; and
“segregated scheme” means a multi-employer scheme which is divided into two or more sections where —
any contributions payable to the scheme by an employer in relation to the scheme or by a member are allocated to that employer’s or that member’s section; and
a specified proportion of the assets of the scheme is attributable to each section of the scheme and cannot be used for the purposes of any other section.
Multi-employer schemes
16
1
Where sections 38 to 56 apply in relation to an occupational pension scheme which is a multi-employer scheme, those sections are modified so that references to the employer are to be treated as references to any employer in relation to the scheme to which those sections apply.
2
In sections 38 to 51, in relation to a multi-employer scheme, any reference to the estimated section 75 debt, in relation to the scheme, shall be modified so that it applies as if it were a reference to the section 75 debt due from any specified employer in relation to the scheme calculated in accordance with sections 75 and 75A of the Pensions Act 1995 and any regulations made thereunder.
Signed by authority of the Secretary of State for Work and Pensions.
Stephen C. Timms
Minister of State,
Department for Work and Pensions
4th August 2005