Prospective
New regulation 5AU.K.
2. After regulation 5 (signature of documents: meaning of appropriate person), insert—
“Delegation of document-signing function
5A.—(1) The appropriate authority may approve the delegation by an appropriate person of the function of signing documents or information under these Regulations to any other person.
(2) A person who proposes to delegate under paragraph (1) must apply for approval to the appropriate authority on a form supplied for that purpose by the authority and signed by the person.
(3) An application for approval under paragraph (2) must, within 28 days of receipt of the application—
(a)be granted where the appropriate authority is satisfied that the proposed delegate, taking into account the factors specified in paragraph (4), is capable of carrying out the function; or
(b)otherwise be refused.
(4) The factors mentioned in paragraph (3)(a) are—
(a)if the proposed delegate is an employee of the producer or the operator of the scheme, the proposed delegate’s level of seniority;
(b)if the proposed delegate is not an employee of the producer or the operator of the scheme, the nature of the proposed delegate’s relationship with the appropriate person;
(c)the degree of the proposed delegate’s knowledge of, or access to, information necessary for the purposes of carrying out the function; and
(d)any other factor which the appropriate authority reasonably thinks relevant.
(5) An approval granted in accordance with paragraph (3)(a) may be for such period, or subject to such other conditions, as the appropriate authority may specify.
(6) Where an application for approval is granted in accordance with paragraph (3)(a), the appropriate authority must, within 28 days of its decision, notify the appropriate person in writing of this and of any conditions it has imposed pursuant to paragraph (5).
(7) A person whose function has been delegated in accordance with paragraph (3)(a) may continue to perform the function.
(8) The appropriate authority may withdraw an approval granted under paragraph (3)(a) and, if so, must notify the appropriate person in writing of this and of—
(a)the reasons for withdrawal of the approval; and
(b)the date when the withdrawal takes effect, not being earlier than 28 days from the date of the notice.
(9) If an appropriate person proposes to revoke a delegation approved under paragraph (3)(a), the person must serve written notice on the appropriate authority of this and of the date when the revocation takes effect, not being earlier than 28 days from the date of the notice.
(10) For the purposes of these Regulations, an act of a delegate acting in accordance with an approval granted under paragraph (3)(a) is treated as an act of the appropriate person.”.
Commencement Information
I1Reg. 2 in force at 1.1.2016, see reg. 1(1)