text:
Citation and commencement
1
These Regulations may be cited as the Recreational Craft Regulations 1996 and shall come into force on 16th June 1996.
Interpretation
2
1
In these Regulations, unless the context otherwise requires —
“the 1987 Act ” means the Consumer Protection Act 1987 ;
“CE marking” means the CE conformity marking referred to in regulation 8 consisting of the initials “CE” taking the form of the specimen given in Schedule 4;
“ the Commission ” means the Commission of the European Communities;
“component” means any one of the components listed in Schedule 2, whether separate or installed, which is intended for use in recreational craft;
“ the Directive ” means Directive 94/25/ EC of the European Parliament and of the Council on the approximation of the laws, regulations and administrative provisions of the member States relating to recreational craft ;
“enforcement authority” shall be construed in accordance with regulation 15;
“essential safety requirements” means the requirements in Annex I which is set out in Schedule 1;
“harmonised standard” means a technical specification adopted by the European Committee for Standardisation or the European Committee for Electrotechnical Standardisation or both upon a remit from the Commission in accordance with Council Directive 83/189/ EEC laying down a procedure for the provision of information in the field of technical standards and regulations ;
“manufacturer” in respect of a product shall include the builder of that product;
“notified body” shall be construed in accordance with regulation 11;
“placing on the market” includes (except for the purposes of regulations 3(2), 4(f) and (g), 7(2)(b)(i), 7(2)(c), 7(3)(b) and 16(2)) putting into service, and cognate expressions shall be construed accordingly;
“product” means any recreational craft, partly completed recreational craft or component;
“recreational craft” means any boat of any type regardless of its means of propulsion —
whose hull, when measured in accordance with the appropriate harmonised standards, is not less than 2.5 metres and not more than 24 metres in length; and
which is intended for sports or leisure purposes;
and “partly completed recreational craft” shall be construed accordingly; and
“transposed harmonised standard” means a standard the reference number of which is published —
in the United Kingdom, by the Secretary of State in such manner as he considers appropriate; or
in another member State of the Community,
and which corresponds to a harmonised standard the reference number of which is published in the Official Journal of the European Communities.
2
In these Regulations —
a
except for the references to the European Communities in the definition of “the Commission” and in relation to the Official Journal, a reference to the Community includes a reference to the EEA , and a reference to a member State includes a reference to an EEA State: for the purposes of this sub-paragraph —
i
the “EEA” means the European Economic Area;
ii
an “EEA State” means a State which is a Contracting Party to the EEA Agreement; and
iii
the “EEA Agreement” means the Agreement on the European Economic Area signed at Oporto on 2nd May 1992 as adjusted by the Protocol signed at Brussels on 17th March 1993 ; and
b
unless the context otherwise requires, a reference to a numbered regulation or Schedule is a reference to the regulation or Schedule so numbered in these Regulations and a reference —
i
to a paragraph in a regulation is a reference to a paragraph in that regulation; and
ii
to an Annex is a reference to an Annex of the Directive.
Application
3
1
Subject to paragraph (3) and regulations 4, 5 and 6, these Regulations apply to any product.
2
The application of these Regulations to any recreational craft or partly completed recreational craft shall not be prevented by the fact that the said craft could be used for charter or for recreational boating training when it is placed on the market for recreational purposes.
3
The requirements of these Regulations shall not apply to the showing of any product at any trade fair, exhibition, demonstration or the like provided that a visible sign clearly indicates that the product in question may not be placed on the market until it has been made to comply with them.
Excluded products
4
The following are not products for the purposes of these Regulations —
a
craft intended solely for racing, including rowing racing boats and training rowing boats labelled as such by the manufacturer;
b
canoes, kayaks, gondolas and pedalos;
c
sailing surfboards;
d
powered surfboards, personal watercraft and other similar powered craft;
e
original, and individual replicas of, historical craft designed before 1950, built predominantly with the original materials and labelled as such by the manufacturer;
f
experimental craft, provided that they are not subsequently placed on the Community market;
g
craft built for own use, provided that they are not subsequently placed on the Community market during a period of 5 years;
h
craft specifically intended to be crewed and to carry passengers for commercial purposes (without prejudice to regulation 3(2)), in particular those defined in Council Directive 82/716/EEC of 4th October 1982 laying down technical requirements for inland waterway vessels , regardless of the number of passengers;
i
submersibles;
j
air cushion vehicles; or
k
hydrofoils.
Products placed on the market before 16th June 1996
5
These Regulations do not apply to any product which is placed on the market before 16th June 1996.
Exclusion until 15th June 1998 of products complying with national rules in force on 16th June 1994
6
1
These Regulations do not apply to any product which is placed on the market on or before 15th June 1998 and which complies with any safety provisions with which it would have been required to comply for it to be placed on the market in the United Kingdom on 16th June 1994.
2
The exclusion provided in paragraph (1) does not apply in the case of any product which —
a
unless required to bear the CE marking pursuant to any other Community obligation, bears the CE marking or an inscription liable to be confused therewith; or
b
bears or is accompanied by any other indication, howsoever expressed, that it complies with the Directive.
Prohibition on placing on the market
7
1
No person shall place on the market any product to which these Regulations apply unless the requirements of paragraph (2) have been complied with in relation to it.
2
The requirements in respect of any product are that:
a
it satisfies the essential safety requirements which are applicable to that product and, for the purpose of satisfying those requirements —
i
where a transposed harmonised standard covers one or more of the essential safety requirements, a product which conforms with that standard shall be presumed to comply with that or, as the case may be, those essential safety requirements; and
ii
in the case of a partly completed recreational craft, it complies with the requirements which apply at the relevant stage of construction;
b
except in the case of any partly completed recreational craft and subject to paragraph (3),
i
the appropriate conformity assessment procedure has been carried out in accordance with regulation 10 —
aa
by the manufacturer; or
bb
by the manufacturer’s authorised representative established in the Community,
save that where the procedure in Annex V, VII or VIII (which are respectively set out in Schedules 5, 7 and 8) is part of or, as the case may be, is the appropriate conformity assessment procedure and the person placing the product on the market is neither the manufacturer nor his authorised representative established in the Community, the obligation to retain the technical documentation, required as part of the appropriate conformity assessment procedure, shall be fulfilled by the person who places that product on the market; and
ii
the CE marking has been affixed to it or, in the case of a component, its packaging in accordance with regulation 8 and Schedule 4 to indicate that it conforms with all the provisions of the Directive including the appropriate conformity assessment procedure;
c
in the case of any partly completed recreational craft, the manufacturer or his authorised representative established in the Community or the person responsible for the placing on the market declares, in accordance with Annex III (a) (which is set out in Schedule 3(a)), that it is intended to be completed by others; and
d
when correctly constructed, maintained and used in accordance with its intended purpose, it does not endanger the safety and health of persons, property or the environment.
3
In the case of a component to which these Regulations apply and which is intended to be incorporated into a recreational craft, compliance with the appropriate conformity assessment procedure is not required where a declaration is made in accordance with Annex III(b) (which is set out in Schedule 3(b)) by —
a
the manufacturer or his authorised representative established in the Community; or
b
in the case of an import from outside the Community, any person who places that component on the Community market,
and, in the case of such a component, the CE marking shall indicate that that component complies with the essential safety requirements which are relevant to it.
CE marking
8
1
Subject to the following paragraphs of this regulation, recreational craft and components which either meet the essential safety requirements or are presumed so to do in accordance with regulation 7(2)(a)(i) shall bear the CE marking in a visible, legible and indelible form, affixed by either the manufacturer or his authorised representative in the Community.
2
In the case of any recreational craft, the CE marking shall be affixed in accordance with paragraph 2.2 of Annex I which is set out in Schedule 1.
3
In the case of any component, the CE marking shall be affixed either on the component itself or on its packaging or on both.
4
The CE marking shall be accompanied by the identification number of the notified body responsible for carrying out the procedures in Annexes VI , IX , X, XI and XII which are respectively set out in Schedules 6, 9, 10, 11 and 12.
5
Subject to paragraph (6) below, where any recreational craft or component is subject to any other directive or directives, as the case may be, in addition to the Directive which also provides for the affixing of the CE marking, the CE marking shall indicate that that recreational craft or component, as the case may be, also fulfils the provisions of that other directive or those directives.
6
Where one or more of the other directives referred to in paragraph (5) allow the manufacturer, during a transitional period, to choose which arrangements to apply, the CE marking shall indicate that the recreational craft or component in question fulfils the provisions only of the directive or directives applied by the manufacturer; and, in this case, particulars of the directives applied, as published in the Official Journal of the European Communities, must be given in the documents, notices or instructions required by those directives and accompanying the recreational craft or component in question.
Other markings and inscriptions
9
1
No person shall affix on any recreational craft or component, to which these Regulations apply, any markings or inscriptions which are likely to mislead third parties with regard to the meaning or the form of the CE marking.
2
Without prejudice to paragraph (1), nothing in these Regulations shall prohibit the affixing on any recreational craft or component, or on the packaging of any such component, of any other markings, provided that the visibility and legibility of the CE marking are not thereby reduced.
Conformity assessment
10
1
For the purposes of regulation 7(2)(b)(i), the appropriate conformity assessment procedure shall be determined in accordance with paragraph (2).
2
For boat design categories A, B, C and D as referred to in section 1 of Annex I, which is set out in Schedule 1, the manufacturer of any product or his authorised representative established in the Community shall apply the following procedures —
a
for categories A and B —
i
for boats of less than 12 metres hull length, the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6;
ii
for boats from 12 metres to 24 metres hull length, the EC type-examination (module B) referred to in Annex VII, which is set out in Schedule 7, supplemented by type conformity (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B plus D, or B plus F, or G or H;
b
for category C —
i
for boats from 2.5 metres to 12 metres hull length —
aa
where the harmonised standards relating to sections 3.2 and 3.3 of Annex I are complied with, the internal production control (module A), referred to in Annex V, which is set out in Schedule 5,
bb
where the harmonised standards relating to sections 3.2 and 3.3 of Annex I are not complied with, the internal production control plus tests (module Aa) referred to in Annex VI, which is set out in Schedule 6;
ii
for boats from 12 metres to 24 metres hull length, the EC type-examination (module B) referred to in Annex VII, which is set out in Schedule 7, followed by type conformity (module C) referred to in Annex VIII, which is set out in Schedule 8, or any of the following modules: B plus D, or B plus F, or G or H;
c
for category D, for boats from 2.5 metres to 24 metres hull length, the internal production control (module A) referred to in Annex V, which is set out in Schedule 5; and
d
for components, any of the following modules: B plus C, or B plus D, or B plus F, or G or H.
3
For the purposes of this regulation —
a
a reference to module B, C, D, F, G or H is a reference to the module which respectively comprises the conformity assessment procedure in Annex VII, VIII, IX, X, XI and XII and which is respectively set out in Schedule 7, 8, 9, 10, 11 and 12;
b
the technical documentation, which is required as part of the conformity assessment procedures in Annexes V, VII, VIII, IX and XI, which are respectively set out in Schedules 5, 7, 8, 9 and 11, is specified in Annex XIII , which is set out in Schedule 13; and
c
the contents of the written declaration of conformity, which is required as part of the conformity assessment procedures in Annexes V, VIII, IX, X, XI and XII which are respectively set out in Schedules 5, 8, 9, 10, 11 and 12, are specified in Annex XV , which is set out in Schedule 14.
Notified bodies
11
For the purposes of these Regulations, a notified body is a body which has been —
a
appointed as a United Kingdom notified body pursuant to regulation 12; or
b
appointed by a member State other than the United Kingdom,
to carry out one or more of the conformity assessment procedures specified in Article 8 of the Directive which are referred to in regulation 10 and which has been notified by the United Kingdom or by such other member State, as the case may be, to the Commission and the other member States pursuant to Article 9(1) of the Directive.
Appointment of notified bodies
12
1
The Secretary of State may from time to time appoint such persons as he thinks fit to be notified bodies for the purposes of these Regulations.
2
Such appointment —
a
may relate to all descriptions of product or such descriptions (which may be framed by reference to any circumstances whatsoever) of product as the Secretary of State may from time to time determine;
b
may be made subject to such conditions as the Secretary of State may from time to time determine, which may include conditions which are to apply upon or following termination of the appointment;
c
shall, without prejudice to the generality of sub-paragraph (b) above and subject to paragraph (4), require that body to carry out the procedures and specific tasks for which it has been appointed including (where so provided as part of those procedures) surveillance to ensure that the manufacturer duly fulfils the obligations arising out of the relevant conformity assessment procedure;
d
shall be terminated upon 90 days' notice in writing to the Secretary of State, at the request of the notified body; and
e
may be terminated if it appears to the Secretary of State that any of the conditions of the appoinment are not complied with.
3
Subject to paragraphs (2)(d) and (e), an appointment under this regulation may be for the time being or for such period as may be specified in the appointment.
4
A notified body appointed by the Secretary of State shall not be required to carry out the functions referred to in paragraph (2)(c) if —
a
the documents submitted to it in relation to carrying out such functions are not in English or another language acceptable to that body;
b
the person making the application has not submitted with its application the amount of the fee which the body requires to be submitted with the application pursuant to regulation 13; or
c
the body reasonably believes that, having regard to the number of applications made to it in relation to its appointment under these Regulations which are outstanding, it will be unable to commence the required work within 3 months of receiving the application.
5
If for any reason the appointment of a notified body is terminated under this regulation, the Secretary of State may —
a
give such directions (either to the body the subject of the termination or to another notified body) for the purposes of making such arrangements for the determination of outstanding applications as he considers appropriate; and
b
without prejudice to the generality of the foregoing, authorise another notified body to take over its functions in respect of such cases as he may specify.
Fees
13
1
Subject to paragraph (2), a notified body appointed by the Secretary of State may charge such fees in connection with, or incidental to, carrying out the tasks referred to in regulation 12(2)(c) as it may determine; provided that such fees shall not exceed the sum of the following —
a
the costs incurred or to be incurred by the notified body in performing the relevant function; and
b
an amount on account of profit which is reasonable in the circumstances having regard to —
i
the character and extent of the work done or to be done by the body on behalf of the applicant; and
ii
the commercial rate normally charged on account of profit for that work or similar work.
2
The power in paragraph (1) includes the power to require the payment of fees or a reasonable estimate thereof in advance of carrying out the work requested by the applicant.
Procedure where a notified body is minded to refuse to issue an EC type-examination certificate
14
Where a notified body is minded to refuse to issue an EC type-examination certificate as part of the procedure described in Annex VII which is set out in Schedule 7, it shall —
a
give notice in writing to the applicant of the reasons why it is minded to do so; and
b
give the applicant the opportunity to make representations within a period of 28 days of the said notice being given and consider any representations made within that period by the applicant.
Enforcement authorities
15
1
It shall be the duty of the following authorities to enforce these Regulations within their area —
a
in Great Britain, weights and measures authorities; and
b
in Northern Ireland, the Department of Economic Development.
2
Nothing in this regulation shall authorise any enforcement authority to bring proceedings in Scotland for an offence.
Enforcement powers
16
1
Subject to paragraph (2), Schedule 15 shall have effect for the purposes of providing for the enforcement of these Regulations and for matters incidental thereto.
2
Except in the case of a recreational craft or component which, when correctly constructed, installed, maintained and used in accordance with its intended purpose, may in the opinion of an enforcement authority endanger the safety and health of persons, property or the environment, where an enforcement authority has reasonable grounds for suspecting that the CE marking has been affixed to any recreational craft or component, or to a component’s packaging, in relation to which any provision of these Regulations has not been complied with, it may serve a notice (“a compliance notice”) on —
a
the manufacturer or his authorised representative established in the United Kingdom; or
b
where the manufacturer is established outside the Community and —
i
he has no authorised representative established in the United Kingdom; or
ii
his authorised representative established in the United Kingdom is not the person who places the product on the market,
the person who places it on the market in the United Kingdom;
and in such a case no other action pursuant to paragraph 1(b) or (c) of Schedule 15 may be taken, and no proceedings pursuant to regulation 17 may be brought, until such a notice has been so served and the person on whom it has been served has failed to comply with its requirements.
3
A compliance notice shall —
a
state that the enforcement authority suspects that the CE marking has been affixed to the recreational craft or component, or to the component’s packaging, in circumstances where a provision or provisions of these Regulations has or have not been complied with and the reasons for that suspicion;
b
specify the provision or provisions referred to in sub-paragraph (a) above;
c
require the person upon whom the notice is served —
i
to secure that any recreational craft or component to which the notice relates conforms as regards the provisions concerning the CE marking and to end the infringement within such period as may be specified in the notice; or
ii
to provide evidence within that period, to the satisfaction of the enforcement authority, that all the provisions of these Regulations, which apply to the product in question, have been complied with; and
d
warn that person that if the non-conformity continues after (or if satisfactory evidence has not been provided within) the period specified in the notice, further action may be taken under these Regulations in respect of that recreational craft or component, as the case may be, or any recreational craft or component of the same type placed on the market by that person.
4
A compliance notice may include directions as to the measures to be taken by the person upon whom it is served to secure conformity of the recreational craft or component with the provisions of these Regulations, which apply to the product in question, including different ways of securing conformity.
Offences and penalties
17
Any person who contravenes regulation 7, 9 or 20 shall be guilty of an offence and shall be liable on summary conviction —
a
to imprisonment for a term not exceeding 3 months; or
b
to a fine not exceeding level 5 on the standard scale,
or to both.
Defence of due diligence
18
1
Subject to the following provisions of this regulation, in proceedings against any person for an offence under regulation 17 it shall be a defence for that person to show that he took all reasonable steps and exercised all due diligence to avoid committing the offence.
2
Where in any proceedings against a person for such an offence the defence provided by paragraph (1) involves an allegation that the commission of the offence was due —
a
to the act or default of another; or
b
to reliance on information given by another,
that person shall not, without the leave of the court, be entitled to rely on the defence unless, not later than 7 clear days before the hearing of the proceedings (or, in Scotland, the trial diet), he has served a notice under paragraph (3) on the person bringing the proceedings.
3
A notice under this paragraph shall give such information identifying or assisting in the identification of the person who committed the act or default or gave the information as is in the possession of the person serving the notice at the time he serves it.
4
It is hereby declared that a person shall not be entitled to rely on the defence provided by paragraph (1) by reason of his reliance on information supplied by another, unless he shows that it was reasonable in all the circumstances for him to have relied on the information, having regard in particular —
a
to the steps which he took, and those which might reasonably have been taken, for the purpose of verifying the information; and
b
to whether he had any reason to disbelieve the information.
Liability of persons other than the principal offender
19
1
Where the commission by any person of an offence under regulation 17 is due to an act or default committed by some other person in the course of any business of his, the other person shall be guilty of the offence and may be proceeded against and punished by virtue of this paragraph whether or not proceedings are taken against the first-mentioned person.
2
Where a body corporate is guilty of an offence under these Regulations (including where it is so guilty by virtue of paragraph (1)) in respect of any act or default which is shown to have been committed with the consent or connivance of, or to be attributable to any neglect on the part of, any director, manager, secretary or other similar officer of the body corporate or any person who was purporting to act in any such capacity he, as well as the body corporate, shall be guilty of that offence and shall be liable to be proceeded against and punished accordingly.
3
Where the affairs of any body corporate are managed by its members, paragraph (2) shall apply in relation to the acts and defaults of a member in connection with his functions of management as if he were a director of the body corporate.
4
In this regulation, references to a “body corporate” include references to a partnership in Scotland and, in relation to such partnership, any reference to a director, manager, secretary or other similar officer of a body corporate is a reference to a partner.
Requirement to give information about a recreational craft or component which does not bear the CE marking or a partly completed recreational craft
20
A person who places on the market —
a
a recreational craft or a component which does not bear a CE marking and, in the case of that component, no CE marking appears on its packaging; or
b
a partly completed recreational craft,
shall, on his being required at a reasonable time to give such information, give to an enforcement authority, or to any of its officers, all the information he has about —
i
the date when that recreational craft, component or partly completed recreational craft, as the case may be, was placed on the market in the Community; and
ii
the basis on which the recreational craft, component or that component’s packaging is not so marked.
Commencement of proceedings
21
In England, Wales and Northern Ireland, a magistrates' court may try an information (in the case of England and Wales) or a complaint (in the case of Northern Ireland) in respect of an offence committed under regulation 17 or section 12 of the 1987 Act in relation to a contravention of these Regulations if (in the case of England and Wales) the information is laid or (in the case of Northern Ireland) the complaint is made within twelve months from the time when the offence is committed, and in Scotland summary proceedings for such an offence may be begun at any time within twelve months from the time when the offence is committed.
Regulations to be treated as safety regulations within the meaning of the 1987 Act
22
These Regulations shall be treated for all purposes as if they were safety regulations within the meaning of section 45(1) of the 1987 Act.
Ian Taylor
Parliamentary Under Secretary of State for Science and Technology,
Department of Trade and Industry
20th May 1996


type: legislation

jurisdiction: UK

text:
Citation and commencement
1
This Order may be cited as the London Docklands Development Corporation (Alteration of Boundaries) (Surrey Docks) Order 1996 and shall come into force on 20th December 1996.
Interpretation
2
In this Order —
“ the authority ” means the council of the London borough of Southwark;
“the development area ” means the area designated as an urban development area by the London Docklands Development Corporation (Area and Constitution) Order 1980 ;
“the development corporation ” means the London Docklands Development Corporation;
“the excluded area” means the area shown on the maps bounded externally by a red line;
“the maps” means the four maps respectively labelled “Map 1”, “Map 2”, “Map 3” and “Map 4” which are collectively entitled “Maps referred to in the London Docklands Development Corporation (Alteration of Boundaries) (Surrey Docks) Order 1996”, one set of which, signed by an Under Secretary in the Government Office for London, has been deposited and is available for inspection at the offices of each of the Secretary of State for the Environment, the London Docklands Development Corporation and the councils of the London boroughs of Newham, Southwark and Tower Hamlets; and
“the 1990 Act ” means the Town and Country Planning Act 1990 .
Alteration of development area
3
Subject to the following provisions of this Order, the boundaries of the development area shall be altered so as to exclude the excluded area and, as regards any matter arising after the date of the coming into force of this Order, any reference in an enactment to the development area shall be a reference to that area as it has been altered by this Order.
Transitional provisions in connection with article 3
4
The development corporation may continue to exercise the powers conferred on it by section 136 of the Local Government, Planning and Land Act 1980 —
a
to hold, manage, reclaim and dispose of —
i
any land in the excluded area owned by it at the date of the coming into force of this Order; and
ii
any other property owned by it, at that date, in connection with any land in the excluded area;
b
without prejudice to paragraph (a), where the freehold interest of any land in the excluded area is owned by the development corporation, to acquire, hold, manage, reclaim and dispose of a leasehold interest in such land;
c
without prejudice to paragraph (a), where any land in the excluded area is disposed of, to acquire any land in the excluded area in exchange for the land disposed of, and to hold, manage, reclaim and dispose of any land so acquired;
d
to discharge any obligation, exercise any right, power or privilege or assign any benefit under any agreement entered into by it in connection with the excluded area before the date of the coming into force of this Order; and
e
to commence, defend or carry on any proceedings in connection with any matter arising under or in relation to any such agreement as is mentioned in paragraph (d) above and to take such further steps as may be expedient in connection with any such proceedings;
and such powers shall be exercised as if the excluded area continued to form part of the development area.
Liability for compensation
5
1
Where a right to compensation arises, in consequence of the acquisition or vesting of any land within the excluded area by or in the development corporation under Part XVI of the Local Government, Planning and Land Act 1980 (urban development), the development corporation shall be liable for any compensation which is payable.
2
Where a right to compensation arises under Part I of the Land Compensation Act 1973 (compensation for depreciation caused by use of public works) in relation to any land within the excluded area, in consequence of any action taken by the development corporation in the development area, the development corporation shall be liable for any compensation which is payable.
Transitional provisions in connection with planning functions
6
1
Subject to articles 7 and 8, this article applies as respects any planning functions which were transferred to the development corporation by the London Docklands Development Corporation (Planning Functions) Order 1990 and in respect of which the development corporation ceased, by virtue of the preceding provisions of this Order, to be the local planning authority responsible for exercising those functions.
2
Anything which before the date of the coming into force of this Order was in the process of being done by, to or in relation to the development corporation in connection with any of the functions mentioned in paragraph (1) above may be continued after that date by, to or in relation to the authority.
Transitional provisions in connection with planning applications
7
1
This article applies as respects any application for planning permission or approval of reserved matters or for any other approval, consent or determination under the 1990 Act, or the Planning (Listed Buildings and Conservation Areas) Act 1990 , or under any order or regulations made or having effect under either of those Acts —
a
which, before the date of the coming into force of this Order, was duly made to the development corporation and which has not been determined on or before that date, and
b
in respect of which the development corporation ceases, by virtue of the preceding provisions of this Order, to be the local planning authority responsible for determining the application.
2
Except where the development corporation transmits the application to the authority for determination in accordance with paragraph (3), the development corporation shall have in relation to an application the same powers and duties as it would have had if this Order had not come into force.
3
The development corporation shall transmit to the authority for determination —
a
any application which it has resolved with the agreement of the applicant to transmit to the authority; and
b
any other application which it has not determined before 14th February 1997.
4
Subject to paragraph (5), where the development corporation transmits an application to the authority for determination, the application shall be accompanied by a copy of any representation received by the development corporation concerning the application and shall be treated as received by the authority from the applicant on the day on which it is transmitted to the authority.
5
Where notices, certificates, publicity or consultations have been, or are in the process of being, given or carried out in relation to an application before the day on which it is transmitted to the authority, paragraph (4) shall not be construed as requiring further notices, certificates, publicity or consultations solely because the application is treated as received by the authority from the applicant on that day.
6
Where an appeal is made to the Secretary of State under section 78 of the 1990 Act or section 20 of the Planning (Listed Buildings and Conservation Areas) Act 1990 in relation to an application to which this article applies, the authority shall be the local planning authority for the purposes of the appeal.
Liability for compensation in connection with planning functions and planning obligations
8
1
Where a right to compensation arises under section 107, 108, 115, 186, 203 or 204 of the 1990 Act or section 28 or 29 of the Planning (Listed Buildings and Conservation Areas) Act 1990 in consequence of action taken in relation to land within the excluded area by the development corporation, the development corporation shall be liable for any compensation which is payable.
2
Where the Secretary of State makes an order or serves a notice, as the case may be, under section 100, 104, 185 or 202 of, or paragraph 11 of Schedule 9 to, the 1990 Act in respect of a matter arising before the date of the coming into force of this Order, which relates to land within the excluded area, the development corporation shall be liable to pay any compensation arising from the order or notice.
3
A planning obligation entered into by agreement or otherwise under section 106 of the 1990 Act in relation to land within the excluded area which identifies the development corporation as the local planning authority by whom the obligation is enforceable shall be enforceable by the authority.
Signed by authority of the Secretary of State for the Environment
David Curry
Minister of State,
Department of the Environment
27th November 1996


text:
Citation, Commencement and interpretation
1
1
This Order may be cited as the Yorkshire Water Services Limited (Drought) Order 1996 and shall come into force on 5th January 1996
2
In this Order “the Company” means Yorkshire Water services Limited.
Power to prohibit use of water for certain purposes
2
The Company may, for such period as they think necessary not exceeding six months beginning 5th January 1996, prohibit or limit as respect the whole or any part of the areas referred to in the Schedule the use of water supplied by them for any of the following purposes: —
a
the watering, by hosepipe, sprinkler or other similar apparatus, of: —
i
gardens (other than market gardens), including lawns, verges and other landscaped areas;
ii
allotments;
iii
parks; or
iv
any natural or artificial surfaces used for sport or recreation whether publicly or privately owned;
b
the filling (whether wholly or partially) of privately owned swimming pools, other than: —
i
pools designed to be used in the course of programme of medical treatment; or
ii
the filling of pools where necessary in the course of their construction;
c
the filling (whether wholly or partially) of ornamental ponds other than fish ponds;
d
the operation of mechanical vehicle washers, whether automatic or not;
e
the washing of road vehicles, boats, railway rolling stock or aircraft for any reason other than safety or hygiene;
f
the cleaning of the exterior of building, other than windows;
g
the cleaning of windows by hosepipe, sprinkler or other similar apparatus;
h
the cleaning of industrial premises and plant for any reason other than safety or hygiene;
i
the operation of ornamental fountains or cascades, including any where water is recycled;
j
the operation, in relation to any building or other premises, of any cistern which flushes automatically, during any period when the premises are wholly or substantially unoccupied.
Signed by authority of the Secretary of State
Andy Pond
An Under Secretary in the
Department of the Environment
4th January 1996


text:
1
These Regulations may be cited as the Value Added Tax (Annual Accounting) Regulations 1996 and shall, in the case of a taxable person who is on the 31st March 1996 authorised under regulation 50 of the Value Added Tax Regulations 1995 come into force on the first day of his next current accounting year and in respect of any other taxable person, shall come into force on 1st April 1996.
2
The Value Added Tax Regulations 1995 shall be amended in accordance with Regulation 3 below.
3
For Part VII (Annual Accounting) (Regulations 49 to 55) there shall be substituted —
PART VII
ANNUAL ACCOUNTING
Interpretation of Part VII
49
In this Part —
“authorised person” means a person who has been authorised by the Commissioners in accordance with regulation 50(1), and “authorised” and “authorisation” shall be construed accordingly;
“transitional accounting period” means the period commencing on the first day of a person’s prescribed accounting period in which the Commissioners authorise him to use the scheme, and ending on the day immediately preceding the first day of that person’s first current accounting year, and is a prescribed accounting period within the meaning of section 25(1) of the Act;
“current accounting year” means the period of 12 months commencing on a date indicated by the Commissioners in their notification of authorisation of a person, or while a person remains authorised the most recent anniversary thereof, and is a prescribed accounting period within the meaning of section 25(1) of the Act;
“the scheme” means the annual accounting scheme established by regulations 50 and 51;
“credit transfer” means the transfer of funds from one bank account to another under a mandate given by the payer to the bank making the transfer;
“the quarterly sum” means a sum equal to 20 per cent of the total amount of VAT which a taxable person was liable to pay to the Commissioners in the 12 months —
immediately preceding the first day of his current accounting year; or
for the purposes of regulation 51, immediately preceding the first day of his transitional accounting period;
“the agreed quarterly sum” means a sum agreed with the Commissioners, not being less than 20 per cent of a taxable person’s estimated liability for VAT in his current accounting year;
“the monthly sum” means a sum equal to 10 per cent of the total amount of VAT which a taxable person was liable to pay to the Commissioners in the 12 months —
immediately preceding the first day of his current accounting year; or
for the purposes of regulation 51, immediately preceding the first day of his transitional accounting period;
“the agreed monthly sum” means a sum agreed with the Commissioners, not being less than 10 per cent of a taxable person’s estimated liability for VAT, in his current accounting year;
“working day” means any day of the week other than Saturday, Sunday, a bank holiday or a public holiday;
“relevant quarterly date” means the last working day of the fourth and, where a period has such months, the seventh and the tenth months of a transitional accounting period;
“relevant monthly date” means the last working day of the fourth and each successive month of a transitional accounting period.
Annual accounting scheme
50
1
The Commissioners may, subject to the requirements of this Part, authorise a taxable person to pay and account for VAT by reference to any transitional accounting period, and any subsequent current accounting year at such times, and for such amounts, as may be determined in accordance with the scheme.
2
A taxable person authorised to pay and account for VAT in accordance with the scheme shall —
a
pay to the Commissioners by credit transfer —
i
in cases to which paragraph (3) below applies, the quarterly sum, or as the case may be, the agreed quarterly sum, no later than the last working day of each of the fourth, seventh and tenth months of his current accounting year, save that where that sum does not exceed £400 no quarterly payment need be made; or
ii
in all other cases, the monthly sum, or as the case may be, the agreed monthly sum, in nine equal monthly instalments, commencing on the last working day of the fourth month of his current accounting year; and
b
make by the last working day of the second month following the end of that current accounting year a return in respect of that year, together with any outstanding payment due to the Commissioners in respect of his liability for VAT for the current accounting year declared on that return.
3
This paragraph applies where the value of taxable supplies made by a taxable person in the period of 12 months ending on the day before the first day of his current accounting year —
a
does not exceed £100,000; or
b
where he was paying quarterly sums under the scheme in that period, does not exceed £110,000.
51
An authorised person shall, where in any given case the transitional accounting period is —
a
4 months or more —
i
if the value of his taxable supplies during the period of 12 months immediately preceding the first day of his transitional accounting period did not exceed £100,000, pay to the Commissioners by credit transfer on each relevant quarterly date the quarterly sum, save that where that sum does not exceed £400 no quarterly payment need be made; or
ii
in all other cases, pay to the Commissioners by credit transfer on each relevant monthly date the monthly sum; and
iii
make by the last working day of the second month following the end of his transitional accounting period a return in respect of that period, together with any outstanding payment due to the Commissioners in respect of his liability for VAT declared on that return; or
b
less than 4 months, make by the last working day of the first month following the end of his transitional accounting period a return in respect of that period, together with any outstanding payment due to the Commissioners in respect of his liability for VAT declared on that return.
Admission to the scheme
52
1
A taxable person shall be eligible to apply for authorisation under regulation 50(1) if —
a
he has been registered for at least 12 months at the date of his application for authorisation;
b
he has reasonable grounds for believing that the value of taxable supplies made or to be made by him in the period of 12 months beginning on the date of his application for authorisation will not exceed £300,000;
c
his registration is not in the name of a group under section 43(1) of the Act;
d
his registration is not in the name of a division under section 46(1) of the Act; and
e
he has not in the 12 months preceding the date of his application for authorisation ceased to operate the scheme.
2
The Commissioners may refuse to authorise a person under regulation 50(1) where they consider it necessary to do so for the protection of the revenue.
53
1
An authorised person shall continue to account for VAT in accordance with the scheme until he ceases to be authorised.
2
An authorised person ceases to be authorised when —
a
at the end of any transitional accounting period or current accounting year the value of taxable supplies made by him in that period or, as the case may be, year has exceeded £375,000; or
b
his authorisation is terminated in accordance with regulation 54 below;
c
he —
i
becomes insolvent and ceases to trade, other than for the purpose of disposing of stocks and assets; or
ii
ceases business or ceases to be registered; or
iii
dies, becomes bankrupt or incapacitated;
d
he ceases to operate the scheme of his own volition.
54
1
The Commissioners may terminate an authorisation in any case where —
a
a false statement has been made by or on behalf of an authorised person in relation to his application for authorisation; or
b
an authorised person fails to make by the due date a return in accordance with regulation 50(2)(b) or regulation 51(a)(iii) or (b); or
c
an authorised person fails to make any payment prescribed in regulation 50 or 51; or
d
where they receive a notification in accordance with paragraph (2) below; or
e
at any time during an authorised person’s transitional accounting period or current accounting year they have reason to believe, that the value of taxable supplies he will make during the period or as the case may be year, will exceed £375,000; or
f
it is necessary to do so for the protection of the revenue; or
g
an authorised person has not, in relation to a return made by him prior to authorisation, paid to the Commissioners all such sums shown as due thereon; or
h
an authorised person has not, in relation to any assessment made under either section 73 or section 76 of the Act, paid to the Commissioners all such sums shown as due thereon.
2
Where an authorised person has reason to believe that the value of taxable supplies made by him during a transitional accounting period or current accounting year will exceed £375,000, he shall within 30 days notify the Commissioners in writing.
55
1
The date from which an authorised person ceases to be authorised in accordance with Regulation 53(2) shall be —
a
where regulation 53(2)(a) applies, the day following the last day of the relevant transitional accounting period or current accounting year;
b
where regulation 53(2)(b) applies, the day on which the Commissioners terminate his authorisation;
c
where regulation 53(2)(c) applies, the day on which any one of the events mentioned in that paragraph occurs; and
d
where regulation 53(2)(d) applies, the date on which the Commissioners are notified in writing of the authorised persons decision to cease using the scheme.
2
Where an authorised person ceases to be authorised, he or as the case may be, his representative, shall —
a
if his authorisation ceases before the end of his transitional accounting period or current accounting year, make a return within 2 months of the date specified in paragraph (1)(b), (1)(c) or (1)(d) above, together with any outstanding payment due to the Commissioners in respect of his liability for VAT for that part of the period or year arising before the date he ceased to be authorised; or
b
if his authorisation ceases at the end of his transitional accounting period or current accounting year, make a return together with any outstanding payment due to the Commissioners in respect of his liability for VAT in accordance with regulation 51 or 50 above; and
in either case, from the day following the day on which he ceases to be authorised, account for and pay VAT as provided for otherwise than under this Part.
.
Leonard Harris
Commissioner of Customs and Excise
New King’s Beam House 22 Upper Ground LONDON SE1 9PJ
7th March 1996


text:
Commencement and citation
1
1
These Regulations may be cited as the Road Vehicles (Construction and Use) (Amendment) (No. 4) Regulations 1996 and shall come into force on 2nd September 1996.
Preliminary
2
The Road Vehicles (Construction and Use) Regulations 1986 shall be further amended in accordance with the following provisions of these Regulations.
Amendments to Regulation 61 (emission of smoke, vapour, gases, oily substances, etc. )
3
1
Regulation 61 shall be amended as follows.
2
In paragraph (10AB), the word “or” shall be inserted immediately after sub-paragraph (b) and —
a
in sub-paragraph (b), the words “and before 1st August 1996”;
b
the word “or” immediately after sub-paragraph (c); and
c
sub-paragraph (d),
shall be omitted.
3
For paragraph (10AD) there shall be substituted the following paragraph —
10AD
Paragraph (10A) does not apply to —
a
a vehicle to which paragraph (10AA) applies; or
b
a vehicle if, at the date that the engine was manufactured, that engine was incapable of meeting the requirements specified in that paragraph.
.
4
After paragraph (10AD), there shall be inserted the following paragraph —
10AE
Paragraph (10AA) does not apply to a vehicle if, at the date that the engine was manufactured, that engine was incapable of meeting the requirements specified in that paragraph.
5
In paragraph (10B), sub-paragraph (a) shall be omitted.
Amendments to Schedule 7B (Emissions from certain motor vehicles)
4
1
Schedule 7B shall be amended as follows.
2
For sub-paragraph (b) of paragraph 7, there shall be substituted the following sub-paragraph —
b
“the emissions publication” is the publication entitled “In-Service Exhaust Emissions Standards for Road Vehicles — Second Edition” ( ISBN 0-9526457-1-8) published by the Department of Transport.
.
Signed by authority of the Secretary of State for Transport
John Bowis
Parliamentary Under Secretary of State,
Department of Transport
8th August 1996


text:
Citation and commencement
1
This Order may be cited as the Upper Spey and Associated Waters Protection (Renewal) Order 1993 Variation Order 1996 and shall come into force on 1st February 1996.
Variation
2
The Upper Spey and Associated Waters Protection (Renewal) Order 1993 shall be varied by omitting, in article 4, the words “During the period from 6th January 1994 to 6th October 1996, both dates inclusive,”.
D R Dickson
Assistant Secretary, Scottish Office
Pentland House,
Edinburgh
9th January 1996


text:
1
These Regulations may be cited as the Income Tax (Employments) (Notional Payments) (Amendment) Regulations 1996 and shall come into force on 27th November 1996.
2
For regulation 3(2) of the Income Tax (Employments) (Notional Payments) Regulations 1994 there shall be substituted —
2
The property described is —
a
any shares acquired by the employee (whether or not as a result of the exercise of a right to acquire shares) under a scheme approved by the Board under Schedule 9 to the Taxes Act (approved share option schemes and profit sharing schemes),
b
any right over or interest in shares obtained or acquired by the employee under such a scheme, and
c
any shares acquired by the employee as a result of the exercise of a right over shares obtained before 27th November 1996 otherwise than under a scheme approved by the Board under Schedule 9 to the Taxes Act,
where the shares in question form part of the ordinary share capital of —
i
an employer which is a company (“the employer company”), or
ii
a company which has control of the employer company, or
iii
a company which either is, or has control of, a company which is a member of a consortium owning either the employer company or a company having control of the employer company.
C. W. Corlett
G. H. Bush
Two of the Commissioners of Inland Revenue
26th November 1996


text:
PART I
GENERAL PROVISIONS
Preliminary
Citation and commencement
1
1
These regulations may be cited as the Occupational Pension Schemes (Member-nominated Trustees and Directors) Regulations 1996.
2
This regulation and regulations 2, 11, 22 and 24 and paragraph 8 of Schedule 4 shall come into force on 6th October 1996 and the remaining provisions of these regulations shall come into force on 6th April 1997.
General interpretation
2
1
Unless the context otherwise requires, in these regulations —
“alternative arrangements” —
in relation to a scheme to which section 16 applies (or would apply apart from the approval of such arrangements), means arrangements proposed by the employer, as mentioned in section 17(1), as an alternative to those which the trustees of the scheme are otherwise required by section 16 to make for persons selected by members of the scheme to be trustees of the scheme (whether those arrangements are existing or new), and
in relation to a company to which section 18 applies (or would apply apart from the approval of such arrangements), means arrangements proposed by the employer, as mentioned in section 19(1), as an alternative to those which the company is otherwise required by section 18 to make for persons selected by members of the scheme to be its directors (whether those arrangements are existing or new);
“appropriate corresponding scheme” means an approved scheme —
which is treated by the Commissioners of Inland Revenue for the purposes of its approval as a centralised scheme for associated employers, and
none of the employers in relation to which is associated with another of those employers,
and for the purposes of this definition —
the fact that some employers in relation to a scheme are associated by virtue of controlling or being controlled by other employers shall be disregarded if the total number of active members of the scheme who are in pensionable service under the scheme with employers who are associated by virtue of being controlled by other employers is less than 1 per cent. of the total number of active members the scheme comprises, and
“associated” and “control” are to be construed in accordance with paragraph 28(3) and (4) of Schedule 6 to the Finance Act 1989 (centralised schemes);
“appropriate rules” has the meaning given in section 20;
“approval period” in relation to the approval of alternative arrangements —
in the case of arrangements proposed under section 17(1), has the meaning given in regulation 9(3), and
in the case of arrangements proposed under section 19(1), has the meaning given in regulation 15(3);
“approved scheme” means a scheme which is approved or was formerly approved under section 590 or 591 of the Taxes Act or in respect of which an application for such approval has been duly made which has not been determined; and, for the purposes of this definition, if only part of a scheme is an approved scheme the whole scheme shall be treated as if it were an approved scheme;
“associated” shall be construed in accordance with paragraph (3);
“the commencement date” means 6th April 1997;
“connected” shall be construed in accordance with paragraph (3);
“direct payment, paid-up insured scheme” means a scheme under which —
no further contributions are payable,
the benefits that may be provided in respect of an individual are determined by reference to the value of the whole or a specified part of the rights under a contract of insurance, and
the benefits in respect of any member are, in accordance with an agreement made between the insurer and the trustees of the scheme (or a subsequent agreement made with any person for the provision of those benefits by him), to be paid by the insurer (or that person) directly to the member or to a person entitled to benefits in respect of him;
“eligible members”, in relation to a scheme, means the members of the scheme by whom, in accordance with section 21(8)(a), approval of appropriate rules or, as the case may be, of alternative arrangements must be given (taking them as a whole) and, in a case where section 21(8) applies as mentioned in section 18(8) (aggregation) or in regulation 5(2), the references in this definition to the scheme are to the single scheme there mentioned;
“employer”, in relation to a scheme, means the employer of persons in the description or category of employment to which the scheme in question relates (but see paragraphs 1 and 4 of Schedule 3);
“former old code scheme” means an approved scheme which was formerly approved under section 208 of the Income and Corporation Taxes Act 1970 and under the provisions of which —
no further contributions are payable, and
the entitlement in respect of each member is to a benefit consisting of a specified fixed amount which may not be altered unless —
he retires otherwise than at his normal pension age, or
another person becomes entitled to a benefit in respect of him;
“independently selected”, in relation to a trustee of a scheme or a director of a company which is a trustee of a scheme, means selected as a trustee or, as the case may be, a director —
by some or all of the members of the scheme (otherwise than wholly or mainly by members who are directors of companies which are employers in relation to the scheme), or
by an organisation which represents some or all of the members of the scheme (other than wholly or mainly members who are such directors);
“member”, in relation to a scheme to which regulation 18 applies, includes a member of any other scheme with which it is treated by that regulation as a single scheme;
“opt-out failure date”, in relation to a proposal by an employer for alternative arrangements, means —
if the employer gives the trustees notice in writing within the approval period that he is not proceeding with the proposals, the date of that notice, and
otherwise, the date with which the approval period expires;
“relevant benefits” has the meaning given in section 612(1) of the Taxes Act;
“relevant approved centralised scheme” means an approved scheme —
which has been categorised by the Commissioners of Inland Revenue for the purposes of its approval as a centralised scheme for non-associated employers (whether or not the employers are associated within the meaning of these regulations), or is an appropriate corresponding scheme,
under the provisions of which the power to appoint or remove all the trustees is not exercisable solely by one employer or by employers all of whom are connected with each other, and
which satisfies the independence conditions specified in paragraph (4);
“relevant executive pension scheme”, in relation to a company, means a scheme —
in relation to which the company is the only employer and the sole trustee, and
the members of which are either current or former directors of the company and include at least one-third of the current directors;
“relevant scheme”, in relation to any company to which section 18 applies (or would apply apart from section 19(1)), means a scheme by virtue of the trusteeship of which section 18 applies to the company (or would apply apart from section 19(1));
“relevant self-administered scheme” means —
a small self-administered scheme as defined in regulation 2(1) of the Retirement Benefits Schemes (Restriction on Discretion to Approve) (Small Self-administered Schemes) Regulations 1991 , or
a scheme which would fall within that definition if paragraph (a) of the definition were omitted;
“relevant statutory scheme” has the meaning given in section 611A of the Taxes Act ;
“scheme”, in relation to a scheme to which regulation 18 applies, includes any other scheme with which it is treated by that regulation as a single scheme;
“scheme year”, in relation to a scheme, means —
a year specified for the purposes of the scheme in any document comprising the scheme or, if none is so specified, a period of 12 months commencing with 1st April or such other date as the trustees of the scheme select, or
such other period (if any) exceeding 6 months but not exceeding 18 months as is selected by the trustees —
in respect of the scheme year in which the scheme commences or terminates, or
in connection with a variation of the date on which the scheme year is to commence,
and, in relation to a scheme to which regulation 18 applies, references to the first scheme year are to the first scheme year of whichever of the schemes treated as a single scheme commences last;
“section 615(6) scheme” means a scheme with such a superannuation fund as is mentioned in section 615(6) of the Taxes Act;
“the statutory consultation procedure” has the meaning given in section 21(7) (and is prescribed in Schedule 1);
“the Taxes Act” means the Income and Corporation Taxes Act 1988 .
2
Except as otherwise provided, expressions used in these regulations have the same meaning as if they were used in Part I of the Pensions Act 1995 .
3
For the purposes of these regulations, unless the context otherwise requires —
a
sections 249 and 435 of the Insolvency Act 1986 (connected and associated persons) shall apply as they apply for the purposes of that Act; and
b
section 74 of the Bankruptcy (Scotland) Act 1985 (associated persons) shall apply as it applies for the purposes of that Act.
4
The independence conditions referred to in paragraph (c) of the definition in paragraph (1) of “relevant approved centralised scheme” are —
a
in the case of a scheme each trustee of which is a company, that at least one-third of the total number of the directors of each of those companies are persons who are independent or independently selected; and
b
otherwise, that at least one-third of the total number of trustees are persons who —
i
have no direct legal or beneficial interest in the assets of any of the employers or of the scheme (otherwise than as trustees), are neither connected with, nor associates of, any of the employers and, if they are companies, satisfy the condition mentioned in paragraph (a), or
ii
have been independently selected.
5
For the purposes of paragraph (4)(a), a director is independent in relation to a scheme only if he —
a
has no direct legal or beneficial interest in the assets of any of the employers or of the scheme, and
b
is neither connected with, nor an associate of, any of the employers.
6
References to employers in paragraph (b) of the definition in paragraph (1) of “relevant approved centralised scheme” and in paragraphs (4)(b) and (5) do not include companies which carry on the business of acting as trustee of, or providing administrative services to, the scheme and no other business.
7
Unless the context otherwise requires, in these regulations any reference to a section shall be construed as a reference to a section of the Pensions Act 1995 .
Scheme membership
3
1
In determining for the purposes of sections 16(6)(a) and 18(6)(a) (requirements as to numbers of member-nominated trustees and directors) and of these regulations the number of members which a scheme comprises, a person shall be treated as becoming or ceasing to be a member at the beginning of the scheme year following that in which he actually becomes or ceases to be a member.
2
In determining for the purposes of these regulations the number of members of a specified description which a scheme comprises, a person shall be treated as becoming or ceasing to be a member of that description at the beginning of the scheme year following that in which he actually becomes or ceases to be such a member.
3
Paragraphs (1) and (2) do not apply —
a
during the first scheme year of the scheme (but see paragraph 8(3) of Schedule 1); or
b
at any other time if the trustees of the scheme so determine before that time.
Application of sections 16 and 18
Exceptions from member-nominated trustee requirements
4
1
Section 16 (requirement for member-nominated trustees) does not apply to any trust scheme —
a
each trustee of which is a company;
b
which is a relevant scheme in relation to a company in respect of which alternative arrangements under section 19(1) are for the time being approved;
c
which has less than two members;
d
the only benefits provided by which are death benefits;
e
to which section 119 of the Pension Schemes Act 1993 (requirement for independent trustee where employer becomes insolvent etc. ) or section 22 (circumstances for application of requirement for an independent trustee) applies;
f
which is an occupational pension scheme which provides relevant benefits, but is neither an approved scheme nor a relevant statutory scheme;
g
which is a relevant self-administered scheme;
h
which is a relevant approved centralised scheme;
i
which is a direct payment, paid-up insured scheme;
j
which is a former old code scheme;
k
which is a section 615(6) scheme;
l
which is made under section 2 of the Parliamentary and other Pensions Act 1987 (power to provide for pensions for Members of the House of Commons etc.); or
m
which has been modified under Schedule 5 to the Coal Industry Act 1994 .
2
Where section 18(8) or regulation 5(2) treats two or more schemes as if they were a single scheme (or section 18(8) would do so apart from regulation 6(1)(a)), a scheme shall only be treated as falling within paragraph (1)(a) if each trustee of each of those schemes is a company.
Extension of section 18
5
1
In addition to the case specified in subsection (1) of section 18 (which applies that section where a company which is connected with the employer is trustee of a scheme), that section also applies where a company is a trustee of a trust scheme and either —
a
it is the sole trustee of the scheme; or
b
all the other trustees are companies,
unless that section is disapplied by section 19 or regulation 6.
2
Where a company to which section 18 only applies by virtue of paragraph (1) is the trustee of two or more trust schemes which are relevant schemes in relation to the company, then, subject to paragraph (3), sections 18, 20 and 21(8) apply as if those schemes were a single scheme and the members of each of those schemes were members of that scheme.
3
Where —
a
apart from this paragraph, paragraph (2) would apply in relation to a company; and
b
there are only two schemes which are relevant schemes in relation to the company,
the company may determine that paragraph (2) shall not apply to those schemes.
Exceptions from member-nominated director requirements
6
1
Section 18 (requirement for member-nominated directors for certain corporate trustees) does not apply to any company by virtue of its being a trustee of a trust scheme —
a
which has another trustee who is not a company;
b
in respect of which alternative arrangements under section 17(1) are for the time being approved;
c
which has less than two members;
d
the only benefits provided by which are death benefits;
e
to which section 119 of the Pension Schemes Act 1993 (requirement for independent trustee where employer becomes insolvent etc.) or section 22 (circumstances for application of requirement for an independent trustee) applies;
f
which is an occupational pension scheme which provides relevant benefits, but is neither an approved scheme nor a relevant statutory scheme;
g
which is a relevant self-administered scheme;
h
which is a relevant approved centralised scheme;
i
which is a relevant executive pension scheme in relation to the company;
j
which is a direct payment, paid-up insured scheme;
k
which is a former old code scheme;
l
which is a section 615(6) scheme;
m
which is made under section 2 of the Parliamentary and other Pensions Act 1987 (power to provide for pensions for Members of the House of Commons etc.); or
n
which has been modified under Schedule 5 to the Coal Industry Act 1994.
2
For the purposes of paragraph (1)(a), where (apart from that paragraph) section 18(8) or regulation 5(2) would treat two or more schemes as if they were a single scheme, each of those schemes shall be treated as having a trustee who is not a company if any of them has such a trustee.
PART II
MEMBER-NOMINATED TRUSTEES
Section 16 arrangements and rules
Implementation of requirements as to member-nominated trustees: general
7
1
Subject to the following provisions of this regulation, the trustees of a trust scheme to which section 16 (requirement for member-nominated trustees) applies must secure —
a
that such arrangements as are required by section 16(1) are made; and
b
that member-nominated trustees are required to be selected in pursuance of the appropriate rules,
by such times as to secure that the number of such trustees never falls below the number provided for by the arrangements in accordance with section 16(6).
2
Paragraph (1) does not apply during the period of six months beginning —
a
in the case of a scheme to which section 16 applies on the commencement date, with that date;
b
in the case of a scheme to which section 16 first applies after the commencement date, with the date on which it first applies to the scheme;
c
in the case of a scheme to which section 16 has ceased to apply and then reapplies (otherwise than by virtue of section 17(1) ceasing to apply to it or its ceasing to be a relevant scheme), with the date on which section 16 reapplies to it; and
d
if —
i
before the expiry of the period of six months beginning with the date mentioned in paragraph (a), (b) or (c) the employer duly gives notice under regulation 9(1)(a) that he intends to propose alternative arrangements, but
ii
the conditions imposed by regulation 9(1)(b) for the application of section 17(1) are not satisfied within the approval period,
with the opt-out failure date.
3
A deficiency in the number of member-nominated trustees provided for by the arrangements in accordance with section 16(6) is not a breach of the requirement in paragraph (1) during the appropriate excepted period —
a
if a vacancy for such a trustee has not been filled because insufficient nominations are received;
b
if such a trustee has ceased to be a trustee otherwise than by virtue of the expiry of his period of office; or
c
if the number of members a scheme comprises increases from less than 100 at the end of one scheme year to 100 or more at the end of the next scheme year (“the second year”).
4
In paragraph (3) “the appropriate excepted period” means —
a
where paragraph (3)(a) applies, the period during which, if there had been sufficient nominations for a member-nominated trustee to be selected by nomination, his selection would have had effect in accordance with the arrangements made under section 16(5) for the scheme;
b
where paragraph (3)(b) applies, the period of six months beginning with the cessation or the remainder of the trustee’s period of office, if less; and
c
where paragraph (3)(c) applies, the first six months of the year following the second year.
Appropriate rules as to the selection and eligibility of member-nominated trustees
8
1
The trustees of a scheme to which section 16 applies, or to which it would apply apart from section 17(1) or regulation 4, may at any time propose appropriate rules in respect of the scheme.
2
The statutory consultation procedure for such rules is set out in Schedule 1 (which also sets out the conditions which must be satisfied for the approval of such rules).
3
In that Schedule “the proposer”, in relation to such rules, means the trustees of the scheme.
4
The prescribed rules for the purposes of section 20(1)(b) (which are the appropriate rules for a scheme to which section 16 applies, if no other rules are for the time being approved) are the rules set out in Part I of Schedule 2.
Proposals by employers for alternative arrangements
Proposals by the employer for alternative arrangements under section 17
9
1
Section 17(1) (by virtue of which the requirements in section 16 as to member-nominated trustees do not apply to a trust scheme in certain circumstances) only applies if —
a
the employer gives notice in writing to the trustees of the scheme at a permitted notice time that he intends to propose alternative arrangements; and
b
before the expiry of the approval period —
i
alternative arrangements are approved; and
ii
the employer gives notice in writing to the trustees of the scheme of their approval, stating in the notice what those arrangements are and specifying all such matters relating to them as are required to be specified in a notice under paragraph 5(3) of Schedule 1.
2
In paragraph (1)(a) “permitted notice time” means, subject to paragraph (4) —
a
in the case of the first notice to be given in relation to a scheme under paragraph (1)(a) —
i
any time during the period of one month beginning with the commencement date or, if section 16 does not apply to the scheme on that date, before or during the period of one month beginning with the date it first applies to it;
ii
if the approval of appropriate rules under section 16 for the scheme is ceasing to have effect by virtue of paragraph (1)(g) of regulation 20, any time during the period of one month beginning with the date on which notice is given to the employer under paragraph (3) of that regulation; or
iii
any time not less than six years after the date applicable under paragraph (i) or, if such a notice as is mentioned in paragraph (ii) has been given, after the date mentioned in that paragraph;
b
in the case of a second or subsequent notice under paragraph (1)(a) which is given in respect of a scheme to which by virtue of section 17(1) section 16 does not apply —
i
if the approval of alternative arrangements for the scheme is ceasing to have effect by virtue of paragraph (1)(g) of regulation 20, any time during the period of one month beginning with the date on which notice is given to the employer under paragraph (3) of that regulation; and
ii
otherwise, any time not more than twelve nor less than six months before the date on which the approval of the alternative arrangements under section 17(1) ceases to have effect;
c
in the case of a second or subsequent notice under paragraph (1)(a) which is given in respect of a scheme to which section 16 applies, any time after the expiry of the period of six years beginning with —
i
the date on which the last such notice was given to the trustees of the scheme; or
ii
the last permitted notice time falling within paragraph (b),
whichever is the later.
3
In paragraph (1) the “approval period”, in relation to arrangements, means, subject to paragraph (4), the period of six months beginning —
a
in a case where notice is given under paragraph (1)(a) within the period mentioned in paragraph (2)(a)(i), with the commencement date or, as the case may be, the date on which section 16 first applies to the scheme;
b
in a case where such notice is given within the period mentioned in paragraph (2)(a)(ii) or (b)(i), with the date on which notice under regulation 20(3) is given to the employer; and
c
otherwise, with the date on which notice is given under paragraph (1)(a).
4
In the case of a scheme to which section 16 has ceased to apply and then reapplies (otherwise than by virtue of section 17(1) ceasing to apply to it or its ceasing to be a relevant scheme) paragraphs (2) and (3) apply as if —
a
section 16 first applied to the scheme at the time when that section reapplies to it; and
b
no notices had been given in relation to the scheme under paragraph (1)(a) before that time.
5
The statutory consultation procedure in respect of proposals under section 17(1) for the continuation of existing or adoption of new alternative arrangements is set out in Schedule 1 (which also sets out the conditions which must be satisfied for the approval of such arrangements).
6
In that Schedule “the proposer”, in relation to such arrangements, means the employer.
Time limits for making alternative arrangements under section 17
10
1
Where, by virtue of section 17(1) (alternative arrangements for selecting trustees), section 16 does not apply to a trust scheme, the trustees must secure that the alternative arrangements are made no later than is necessary to secure that trustees can be selected immediately in pursuance of the arrangements to fill any vacancy arising after the appropriate time.
2
In paragraph (1), “the appropriate time” means —
a
in a case where, immediately before the approval of the alternative arrangements, section 16 applied to the scheme, the expiry of the period of six months beginning with the date on which the alternative arrangements are approved;
b
in a case where, immediately before the approval of the alternative arrangements, section 16 did not apply to the scheme —
i
if the approval is for the continuation of existing alternative arrangements, the date on which the employer gives notice to the trustees under regulation 9(1)(b)(ii) in respect of the approval of the arrangements; and
ii
otherwise, the expiry of the period of six months beginning with that date.
Power of trustees to modify schemes by resolution
Modification of schemes affected by requirements
11
Where a trust scheme to which section 16 applies provides for a maximum total number of trustees (or a maximum which applies in certain circumstances), the trustees may by resolution modify the scheme with a view to increasing that maximum by not more than the number of member-nominated trustees for which provision must be made in accordance with subsection (6) of that section (on the assumption that the total number of trustees is increased in accordance with the resolution).
Cessation of application of requirements
Cessation of application of requirements
12
1
Subject to any provision of a trust scheme, the fact that section 16 has ceased to apply to the scheme shall not terminate the trusteeship of any member-nominated trustee of the scheme but, if he is a member of the scheme, he shall cease to be a trustee if he ceases to be a member.
2
Where, at the time when section 22 (requirement for an independent trustee in cases of insolvency etc.) first applies to a scheme, one or more of the scheme’s trustees are member-nominated trustees, then —
a
the period of office of any such trustee shall not expire on the date on which it would otherwise have done so but, if he is a member, it shall expire if he ceases to be one; and
b
if any such trustee ceases to be a trustee, the vacancy may be filled by a trustee appointed by a person who is an independent trustee for the purposes of section 23(1) (conditions for independence of a trustee in cases of insolvency etc.).
PART III
MEMBER-NOMINATED DIRECTORS
Section 18 arrangements and rules
Implementation of requirements as to member-nominated directors: general
13
1
Subject to the following provisions of this regulation, a company to which section 18 (requirement for member-nominated directors) applies must secure —
a
that such arrangements as are required by section 18(1) are made; and
b
that member-nominated directors are required to be selected in pursuance of the appropriate rules,
by such times as to secure that the number of such directors never falls below the number provided for by the arrangements in accordance with section 18(6).
2
Paragraph (1) does not apply during the period of six months beginning —
a
in the case of a company to which section 18 applies on the commencement date, with that date;
b
in the case of a company to which section 18 first applies after the commencement date, with the date on which it first applies to the company;
c
in the case of a company to which section 18 has ceased to apply and then reapplies (otherwise than by virtue of section 19(1) ceasing to apply to it or section 16 or 17(1) ceasing to apply to any relevant scheme), with the date on which section 18 reapplies to it; and
d
if —
i
before the expiry of the period of six months beginning with the date mentioned in paragraph (a), (b) or (c) the employer duly gives notice under regulation 15(1)(a) that he intends to propose alternative arrangements, but
ii
the conditions imposed by regulation 15(1)(b) for the application of section 19(1) are not satisfied within the approval period,
with the opt-out failure date.
3
A deficiency in the number of member-nominated directors provided for by the arrangements in accordance with section 18(6) is not a breach of the requirement in paragraph (1) during the appropriate excepted period —
a
if a vacancy for such a director has not been filled because insufficient nominations are received;
b
if such a director has ceased to be a director otherwise than by virtue of the expiry of his period of office; or
c
if the number of members any relevant scheme comprises increases from less than 100 at the end of one scheme year to 100 or more at the end of the next scheme year (“the second year”).
4
In paragraph (3) “the appropriate excepted period” means —
a
where paragraph (3)(a) applies, the period during which, if there had been sufficient nominations for a member-nominated director to be selected by nomination, his selection would have had effect in accordance with the arrangements made under section 18(5) (periods of office) for the company;
b
where paragraph (3)(b) applies, the period of six months beginning with the cessation or the remainder of the director’s period of office, if less;
c
where paragraph (3)(c) applies, the first six months of the year following the second year.
5
Where section 18 applies to a company by virtue of its being trustee of a relevant scheme and —
a
another company is also a trustee of the scheme; or
b
the company became trustee in place of a company to which section 18 applied by virtue of its being trustee of the scheme,
then paragraph (2) has effect —
i
with the omission of paragraphs (2)(b) and (c); and
ii
with the substitution in paragraph (2)(d) for the words “any of the cases mentioned in paragraphs (a) to (c)” of the words “the case mentioned in paragraph (a)”.
Appropriate rules as to the selection and eligibility of member-nominated directors
14
1
A company to which section 18 applies or to which it would apply apart from section 19(1) or regulation 6 may at any time propose appropriate rules in respect of the company.
2
The statutory consultation procedure for such rules is set out in Schedule 1 (which also sets out the conditions which must be satisfied for the approval of such rules).
3
In that Schedule “the proposer”, in relation to such rules, means the company.
4
The prescribed rules for the purposes of section 20(1)(b) (which are the appropriate rules for a company to which section 18 applies, if no other rules are for the time being approved) are the rules applicable by virtue of Part II of Schedule 2.
Proposals by employers for alternative arrangements
Proposals by the employer for alternative arrangements under section 19
15
1
Section 19(1) (by virtue of which the requirements in section 18 as to member-nominated directors do not apply to a company in certain circumstances) only applies if —
a
the employer gives notice in writing to the company at a permitted notice time that he intends to propose alternative arrangements; and
b
before the expiry of the approval period —
i
alternative arrangements are approved; and
ii
the employer gives notice in writing to the company of their approval, stating in the notice what those arrangements are and specifying all such matters relating to them as are required to be specified in a notice under paragraph 5(3) of Schedule 1.
2
In paragraph (1)(a) “permitted notice time” means, subject to paragraph (4) —
a
in the case of the first notice to be given in relation to a company under paragraph (1)(a) —
i
any time during the period of one month beginning with the commencement date or, if section 18 does not apply to the company on that date, before or during the period of one month beginning with the date it first applies to it;
ii
if the approval of appropriate rules under section 18 for the company is ceasing to have effect by virtue of paragraph (1)(h) of regulation 20, any time during the period of one month beginning with the date on which notice is given to the employer under paragraph (3) of that regulation; or
iii
any time not less than six years after the date applicable under paragraph (i) or, if such a notice as is mentioned in paragraph (ii) has been given, after the date mentioned in that paragraph;
b
in the case of a second or subsequent notice under paragraph (1)(a) which is given in respect of a company to which by virtue of section 19(1) section 18 does not apply —
i
if the approval of alternative arrangements for the company is ceasing to have effect by virtue of paragraph (1)(h) of regulation 20, any time during the period of one month beginning with the date on which notice is given to the employer under paragraph (3) of that regulation; and
ii
otherwise, any time not more than twelve nor less than six months before the date on which the approval of the alternative arrangements under section 19(1) ceases to have effect;
c
in the case of a second or subsequent notice under paragraph (1)(a) which is given in respect of a company to which section 18 applies, any time after the expiry of the period of six years beginning with —
i
the date on which the last such notice was given to the company; or
ii
the last permitted notice time falling within paragraph (b),
whichever is the later.
3
In paragraph (1) the “approval period”, in relation to arrangements, means, subject to paragraph (4), the period of six months beginning —
a
in a case where notice is given under paragraph (1)(a) within the period mentioned in paragraph (2)(a)(i), with the commencement date or, as the case may be, the date on which section 18 first applies to the company;
b
in a case where such notice is given within the period mentioned in paragraph (2)(a)(ii) or (b)(i), with the date on which notice under regulation 20(3) is given to the employer; and
c
otherwise, with the date on which notice is given under paragraph (1)(a).
4
In the case of a company to which section 18 has ceased to apply and then reapplies (otherwise than by virtue of section 19(1) ceasing to apply to it or section 16 or 17(1) ceasing to apply to any relevant scheme), paragraphs (2) and (3) apply as if —
a
section 18 first applied to the company at the time when that section reapplies to it; and
b
no notices had been given in relation to the company under paragraph (1)(a) before that time.
5
The statutory consultation procedure in respect of proposals under section 19(1) for the continuation of existing or adoption of new alternative arrangements is set out in Schedule 1 (which also sets out the conditions which must be satisfied for the approval of such arrangements).
6
In that Schedule “the proposer”, in relation to such arrangements, means the employer.
Time limits for making alternative arrangements under section 19
16
1
Where, by virtue of section 19(1) (alternative arrangements for selecting directors), section 18 does not apply to a company, the company must secure that the alternative arrangements are made no later than is necessary to secure that directors can be selected immediately in pursuance of the arrangements to fill any vacancy arising after the appropriate time.
2
In paragraph (1), “the appropriate time” means —
a
in a case where, immediately before the approval of the alternative arrangements, section 18 applied to the company, the expiry of the period of six months beginning with the date on which the alternative arrangements are approved;
b
in a case where, immediately before the approval of the alternative arrangements section 18 did not apply to the company —
i
if the approval is for the continuation of existing alternative arrangements, the date on which the employer gives notice to the company under regulation 15(1)(b)(ii) in respect of the approval of the arrangements; and
ii
otherwise, the expiry of the period of six months beginning with that date.
Cessation of application of requirements
Cessation of application of requirements
17
Subject to any provision made by the articles of association of a company, the fact that section 18 has ceased to apply to the company shall not terminate the directorship of any member-nominated director of the company but, if he is a member of the scheme, he shall cease to be a director if he ceases to be a member.
Aggregation of schemes
Aggregation of linked schemes
18
Where a company is a trustee of two or more schemes which are treated as a single scheme by virtue of section 18(8) or regulation 5(2), this Part and all other provisions of these regulations as they have effect in relation to such a company and such schemes (except regulations 4 to 6) apply as if those schemes were a single scheme and the members of each of the schemes were members of that scheme.
PART IV
GENERAL AND SUPPLEMENTARY PROVISIONS
Modifications for special cases
Modifications
19
Schedule 3 has effect for the purpose of modifying the provisions there mentioned in their application to certain cases, including —
a
schemes with members in employments under different employers;
b
schemes where the employer is sole trustee;
c
companies to which section 18 applies which are the employer in relation to the relevant scheme;
d
schemes without active members.
General provisions about rules and arrangements
Cessation of approval of appropriate rules and alternative arrangements
20
1
The approval of appropriate rules or alternative arrangements under the statutory consultation procedure ceases to have effect (but without prejudice to the validity or term of the appointment of any person selected in accordance with them) —
a
at the expiry of the period of six years beginning with the date on which the rules or arrangements were treated as approved under paragraph 8 or, as the case may be, paragraph 9 of Schedule 1;
b
in the case of an approval of rules, on the date on which fresh rules are treated as approved under paragraph 8 or, as the case may be, paragraph 9 of Schedule 1;
c
in the case of the approval of rules applying to a scheme to which section 16 ceases to apply, on its ceasing;
d
in the case of an approval of arrangements under section 17, on the date on which the employer gives notice under regulation 9(1)(b)(ii) in respect of the approval of new arrangements or the fresh approval of the existing arrangements;
e
in the case of the approval of rules applying to a company to which section 18 ceases to apply, on its ceasing;
f
in the case of an approval of arrangements under section 19, on the date on which the company gives notice under regulation 15(1)(b)(ii) in respect of the approval of new arrangements or the fresh approval of the existing arrangements;
g
in the case of rules applying to a scheme to which section 16 applies or arrangements under section 17, if —
i
a relevant event has occurred in relation to the scheme to which the rules or arrangements apply; and
ii
the trustees of the scheme have given notice to the employer under paragraph (3) that this paragraph is to apply,
at the expiry of the period of six months beginning with the date on which that notice is given or, if paragraph (4) applies, with the opt-out failure date; or
h
in the case of rules applying to a company to which section 18 applies or arrangements under section 19, if —
i
a relevant event has occurred in relation to a scheme which is a relevant scheme in relation to the company to which the rules or arrangements apply; and
ii
the trustees of the scheme have given notice to the employer under paragraph (3) that this paragraph is to apply,
at the expiry of the period of six months beginning with the date on which that notice is given or, if paragraph (5) applies, with the opt-out failure date, whichever occurs first.
2
For the purposes of paragraph (1)(g) and (h), a relevant event occurs in relation to a scheme if, as a result of the event —
a
the accrued rights of a group of members have been or are to be transferred to or from the scheme in such circumstances as are mentioned in regulation 12(2) of the Occupational Pension Schemes (Preservation of Benefit) Regulations 1991 (transfers without consent);
b
any person becomes or ceases to be the employer in relation to the scheme; or
c
a company which is the employer in relation to the scheme becomes a wholly-owned subsidiary (within the meaning of section 736 of the Companies Act 1985 ) of another company which is not the employer of persons in the description or category of employment to which the scheme relates.
3
Where —
a
a relevant event has occurred in relation to a scheme; and
b
the trustees consider that as a result of that event it would be detrimental to the interests of the members of the scheme for the approval of the appropriate rules or, as the case may be, the alternative arrangements to continue to have effect,
they may give notice in writing to the employer and, in the case of rules, to the eligible members that paragraph (1)(g) or, as the case may be, paragraph (1)(h) applies.
4
This paragraph applies where the employer duly gives notice under regulation 9(1)(a) during the period of one month beginning with the date on which the notice under paragraph (3) is given that he intends to propose alternative arrangements, but —
a
the employer gives the trustees notice in writing within the approval period that he is not proceeding with the proposals; or
b
the conditions imposed by regulation 9(1)(b) for the application of section 17(1) are not satisfied within the approval period.
5
This paragraph applies where the employer duly gives notice under regulation 15(1)(a) during the period of one month beginning with the date on which the notice under paragraph (3) is given that he intends to propose alternative arrangements, but —
a
the employer gives the company notice in writing within the approval period that he is not proceeding with the proposals; or
b
the conditions imposed by regulation 15(1)(b) for the application of section 19(1) are not satisfied within the approval period.
Appropriate rules in cases where insufficient nominations are received
21
For the purposes of section 20(4) (by virtue of which where vacancies for member-nomi nated trustees or member-nominated directors are not filled because insufficient nominations are received, the next period in which persons may be nominated and selected as such trustees or directors is to be determined by the appropriate rules), the next period must end at the time when, if there had been sufficient nominations for a person to be selected by nomination, his selection would have ceased to have effect in accordance with the arrangements made under section 16(5) or, as the case may be, section 18(5).
Miscellaneous and supplementary
Records
22
1
All such records shall be kept by the trustees of a trust scheme of the steps taken by them to secure —
a
that such arrangements as are required to be made by section 16(1) or 17(2) are made; and
b
that such arrangements as are required by section 16(1) or 17(2) to be implemented, or the appropriate rules, are implemented,
as are adequate for enabling it to be determined whether all such steps as are reasonable to secure compliance have been taken by them.
2
All such records shall be kept by a company which is a trustee of a trust scheme as to —
a
the making of such arrangements as are required to be made by section 18(1) or 19(2); and
b
the implementation of such arrangements as are required by section 18(1) or 19(2) to be implemented, or the appropriate rules,
as are adequate for enabling it to be determined whether they have been made or, as the cast may be, implemented.
3
All such records shall be kept by employers of the steps taken by them to comply with the statutory consultation procedure specified in Schedule 1 as are adequate for enabling it to be determined whether they have complied with that procedure.
Notices
23
1
Subject to paragraph (2), any notice to be given to a person under these regulations may be given only by delivering it to him or by leaving it at his proper address or by sending it to him by post; and for the purposes of this regulation and section 7 of the Interpretation Act 1978 in its application to this regulation, the proper address of any member is his latest address known to the trustees of the scheme.
2
For the purposes of —
a
regulation 20(3),
b
paragraph 2 of Schedule 1, as it applies in respect of proposals for appropriate rules, and
c
paragraphs 1 and 2 of Schedule 2,
notice shall be deemed to have been given to a person if any procedure has been followed which appears to the trustees of the scheme to be adequate to draw his attention to it.
3
For the purposes of paragraph 2 of Schedule 1, as it applies in respect of proposals for alternative arrangements, notice shall be deemed to have been given to a person if any procedure has been followed which appears to the proposer (within the meaning of that Schedule) and the trustees of the scheme to be adequate to draw his attention to it.
4
Where, apart from this paragraph, any provision of these regulations would provide for any person acting in one capacity to give notice both to himself (acting in another capacity) and to another person, then he shall be deemed duly to have given notice if he duly gives notice to that other person.
Transitional provisions
24
Schedule 4 has effect for the purpose of making transitional provision.
Signed by authority of the Secretary of State for Social Security.
Oliver Heald
Parliamentary Under-Secretary of State,
Department of Social Security
2nd May 1996


text:
1
This Order may be cited as the Criminal Procedure and Investigations Act 1996 (Appointed Day No. 1) Order 1996.
2
1st October 1996 is hereby appointed for the purposes of sections 48, 50, 53, 70 and 71 of the Criminal Procedure and Investigations Act 1996 ( “the Act”).
3
1
1st October 1996 is hereby appointed for the purposes of section 43 of the Act (which relates to the application of Part IV of the Act).
2
This article extends to England and Wales and Scotland only.
Home Office
Michael Howard
One of Her Majesty’s Principal Secretaries of State
7th September 1996