The Health and Safety (Fees) Regulations 2001

Citation, commencement and interpretation

1.—(1) These Regulations may be cited as the Health and Safety (Fees) Regulations 2001 and shall come into force on 20th August 2001.

(2) In these Regulations, unless the context otherwise requires—

• “approval” includes the amendment of an approval, and “amendment of an approval” includes the issue of a new approval replacing the original incorporating an amendment;

• “employment medical adviser” means an employment medical adviser appointed under section 56(1) of the 1974 Act;

• “the mines and quarries provisions” means such of the relevant statutory provisions as relate exclusively to–

  (a)

  mines within the meaning of section 180 of the Mines and Quarries Act 1954(1);

  (b)

  tips and quarries within the meaning of regulations 2(1) and 3 respectively of the Quarries Regulations 1999(2); and

  (c)

  tips within the meaning of section 2(1) of the Mines and Quarries (Tips) Act 1969(3);

  and includes regulations, rules and orders relating to a particular mine (whether they are continued in force by regulation 7(3) of the Mines and Quarries Acts 1954 to 1971 (Repeals and Modifications) Regulations 1974(4) or are health and safety regulations);

• “original approval” does not include an amendment of an approval;

• “renewal of approval” or “renewal of licence” means respectively the granting of an approval or licence to follow a previous approval or licence without any amendment or gap in time; and

• “respiratory protective equipment” includes any respirator and any breathing apparatus.

(3) Unless the context otherwise requires, any reference in these Reulgations to–

(a) a numbered regulation or Schedule is a reference to the regulation or Schedule in these Regulations so numbered;

(b) a numbered paragraph is a reference to the paragraph so numbered in the regulation in which the reference appears.

Fees payable under the mines and quarries provisions

2.—(1) A fee shall be payable by the applicant to the Executive on each application for an original approval, an amendment of approval or a renewal of approval under any of the mines and quarries provisions.

(2) The fee payable under paragraph (1) on application for such approval as is mentioned in column 1 of Part I of Schedule 1 shall be respectively that specified in the corresponding entry in column 2, 3 or 4 of that Part and shall be payable on making the application for approval, or, where any such entry specifies a fee as the reasonable cost to the Executive of having the work carried out, the fee so costed shall be payable prior to the notification of the result of the application.

(3) Where the Executive requires testing to be carried out to decide whether approval can be granted, a fee shall be payable to the Executive by the applicant prior to the notification of the result of the application for the approval as described below–

(a) in the case of explosives and detonators for each test specified in column 1 of Part II of Schedule 1, the fee shall be that specified in the corresponding entry in column 2 of that Part;

(b) in any other case, the fee shall be as set out in Part III of Schedule 1 (that is to say the reasonable cost to the Executive of having the testing carried out).

Fee for applications for approval of respiratory protective equipment

3.—(1) A fee shall be payable by the applicant to the Executive on each application for approval of respiratory protective equipment–

(a) under the Factories Act 1961(5), or any regulations made or having effect as if made under that Act;

(b) under the Control of Lead at Work Regulations 1998(6);

(c) under the Ionising Radiations Regulations 1999(7);

(d) under the Control of Asbestos at Work Regulations 1987(8); and

(e) under the Control of Substances Hazardous to Health Regulations 1999(9).

(2) The fee payable on application for approval of respiratory protective equipment shall be that specified in column 2 of Schedule 2 (that is to say the reasonable cost to the Executive of having the work, including any testing, carried out).

Fees for applications for approval under the Agriculture (Tractor Cabs) Regulations 1974

4.—(1) A fee shall be payable by the applicant to the Executive on each application for approval of plant and equipment under the Agriculture (Tractor Cabs) Regulations 1974(10).

(2) The fee payable on application for such an approval or revision of an approval as is described in column 1 of Schedule 3 shall be that specified in the corresponding entry in column 2 of that Schedule.

Fee for application for approval under the Freight Containers (Safety Convention) Regulations 1984

5.—(1) A fee shall be payable by the applicant to the Executive on each application for approval of a scheme or programme for examination of freight containers under the Freight Containers (Safety Convention) Regulations 1984(11).

(2) The fee payable on application for the approval described in column 1 of Schedule 4 shall be that specified in column 2 of that Schedule.

Fee for application for a licence under the Asbestos (Licensing) Regulations 1983

6.—(1) A fee shall be payable by the applicant to the Executive on each application for a licence under the Asbestos (Licensing) Regulations 1983(12).

(2) The fee payable on application for a licence described in column 1 of Schedule 5 shall be that specified in column 2 of that Schedule.

Fees for examination or surveillance by an employment medical adviser

7.—(1) A fee shall be payable to the Executive by an employer in respect of a medical examination or medical surveillance of each of his employees by an employment medical adviser for the purposes of any provision specified in column 1 of Schedule 6.

(2) The fee payable under paragraph (1) shall be a basic fee for each examination or on each occasion when surveillance is carried out together with additional fees for X–rays and laboratory tests where these are taken or carried out in connection with the examination; and for each provision specified in column 1 of Schedule 6–

(a) the basic fee shall be the amount specified in column 3 of that Schedule for that provision;

(b) the additional fee for X–rays shall be the amount specified in column 4 of that Schedule for that provision and shall cover all X–rays taken in connection with any one examination;

(c) the additional fee for laboratory tests shall be the amount specified in column 5 of that Schedule for that provision and shall cover all such tests carried out in connection with any one examination.

(3) Where an employment medical adviser carries out a medical examination of a self-employed person for the purposes of the Control of Asbestos at Work Regulations 1987, that self-employed person shall pay to the Executive fees ascertained in accordance with paragraph (2).

Fees for medical surveillance by an employment medical adviser under the Control of Lead at Work Regulations 1998

8.—(1) A fee shall be payable to the Executive by an employer in respect of medical surveillance of any of his employees by an employment medical adviser for the purposes of the Control of Lead at Work Regulations 1998(13).

(2) The fee payable for each item described in column 1 of Schedule 7 shall be that specified in the corresponding entry in column 2 of that Schedule.

Fees for application for approval or reassessment of approval of dosimetry services and for type approval of apparatus under the Ionising Radiations Regulations 1999

9.—(1) A fee shall be payable by the applicant to the Executive on each application for an approval of dosimetry services or for the reassessment of an approval of dosimetry services previously granted for the purposes of the 1999 Regulations.

(2) A fee shall be payable by the applicant to the Executive on each application for the type approval of apparatus pursuant to sub-paragraphs 1(c)(i) and 1(d)(i) of Schedule 1 to the 1999 Regulations.

(3) The fee payable for approval or reassessment or type approval in respect of each matter described in column 1 of Schedule 8 shall be that specified in the corresponding entry in column 2 of that Schedule.

(4) A fee shall be payable by the applicant to the Executive where the Executive requires any work to be carried out by its nuclear or other specialist inspectors in connection with any application in respect of which a fee is payable by virtue of paragraph (1) or (2) and the fee for work in connection with each such matter described in column 1 of Schedule 8 shall be that specified in the corresponding entry in column 3 of that Schedule for each hour or part of an hour worked.

(5) Where the Executive requires an inspection to be carried out in connection with any application mentioned in this regulation, a fee shall be payable by the applicant to the Executive of an amount equal to the reasonable cost of travelling and subsistence of any member of the Executive’s staff in connection with the provision.

(6) Any fee payable under paragraph (4) or (5) shall be payable prior to notification of the result of the application.

(7) In this regulation “the 1999 Regulations” means the Ionising Radiations Regulations 1999(14).

Fees payable under the Explosives Act 1875 and instruments made thereunder, under the Petroleum (Consolidation) Act 1928, the Petroleum (Transfer of Licences) Act 1936 and the Classification and Labelling of Explosives Regulations 1983

10.—(1) Where any application in relation to a provision specified in column 1 of Part I of Schedule 9 is made for a purpose specified in column 2 of that Part, the fee specified in the corresponding entry in column 3 of that Part shall be payable by the applicant to the Executive.

(2) The fee or maximum fee payable under each provision specified in column 1 of Part II of Schedule 9 for the purpose described in the corresponding entry in column 2 shall be that specified in the corresponding entry in column 3 of that Part.

(3) A fee shall be payable to the Executive where the Executive requires any work to be carried out by its specialist inspectors in connection with any application in respectof which a fee is payable by virtue of paragraph (1) for any purpose specified in column 2 of Part I of Schedule 9 for which there is a corresponding entry in column 4 of that Part, and the fee for work in connection with each such purpose shall be that specified in the corresponding entry in column 4 of that Part for each hour or part of an hour worked and such fee shall be payable prior to notification of the result of the application.

(4) A fee shall be payable by the applicant to the Executive on each application being made for each purpose specified in column 1 of each of Parts III, IV, and V of Schedule 9, and the fee for each such purpose shall be that specified in the corresponding entry in column 2 in the respective Part.

(5) A fee shall be payable to the Executive where the Executive requires any work to be carried out by its specialist inspectors in connection with any application in respect of which a fee is payable by virtue of paragraph (4) for any purpose specified in column 1 of each of Parts III, IV and V of Schedule 9 for which there is a corresponding entry in column 3 of the respective Part, and the fee for work in connection with each such purpose shall be that specified in the corresponding entry in column 3 of that Part for each hour or part of an hour worked and such fee shall be payable prior to notification of the result of the application.

(6) A fee shall be payable to the Executive where the Executive requires any testing to be carried out in connection with any purpose specified in column 1 of Part VI of Schedule 9, and the fee for testing in connection with each such purpose shall be the reasonable cost to the Executive of having the work carried out and such fee shall be payable prior to notification of the result of the application.

Date from which fees are payable under the Petroleum (Consolidation) Act 1928 and the Petroleum (Transfer of Licences) Act 1936

11.  Notwithstanding the provisions of section 4 of the Petroleum (Consolidation) Act 1928(15) or section 1(4) of the Petroleum (Transfer of Licences) Act 1936(16) the fees in respect of applications for petroleum licences prescribed by these Regulations shall be payable for any licence first having effect or any transfer or renewal of a licence first taking effect on or after the coming into force of these Regulations irrespective of the date of the application for that licence, transfer or renewal.

Fee for application for an explosives licence under Part IX of the Dangerous Substances in Harbour Areas Regulations 1987

12.—(1) A Fee shall be payable by the applicant to the Executive on each application for an explosives licence or for any alteration in the terms of an existing licence under Part IX of the Dangerous Substances in Harbour Areas Regulations 1987(17).

(2) The fee on an application for each purpose specified in column 1 of Schedule 10 shall be that specified in column 2 of that Schedule and where the fee is determined as an amount per hour, the fee so calculated shall be payable prior to notification of the result of the application.

Fee for a vocational training certificate under the Carriage of Dangerous Goods by Road (Driver Training) Regulations 1996

13.—(1) A driver may only be issued with a vocational training certificate in accordance with paragraph (1) of regulation 4 of the Carriage of Dangerous Goods by Road (Driver Training) Regulations 1996(18) where a fee of the sum specified in Schedule 11 has been paid to the Secretary of State.

(2) The validity of a vocational training certificate may only be extended in accordance with paragraph (6) of regulation 4 of the Carriage of Dangerous Goods by Road (Driver Training) Regulations 1996 where, within the period of 12 months which precede the expiry of the original certificate or any extension of it granted in accordance with that paragraph, a fee of the sum specified in Schedule 11 has been paid to the Secretary of State.

(3) Nothing in this regulation shall be construed as making a fee payable by a person in any of the capacities specified in section 43(4) of the 1974 Act.

Fees for applications for approvals under the Carriage of Dangerous Goods by Road (Driver Training) Regulations 1996

14.—(1) A fee shall be payable by the applicant to the Secretary of State on each application for an original approval or a renewal of any approval of—

(a) training under regulation 4(3)(a); or

(b) a refresher course under regulation 4(6)(a),

of the Carriage of Dangerous Goods by Road (Driver Training) Regulations 1996.

(2) The fee payable under paragraph (1) on application for such approval as is mentioned in column 1 of Schedule 12 shall be respectively that specified in the corresponding entry in column 2 or 3 of that Schedule.

Fee for a vocational training certificate under the Transport of Dangerous Goods (Safety Advisers) Regulations 1999

15.—(1) An individual may only be issued with a vocational training certificate in accordance with paragraph (1) of regulation 7 of the Transport of Dangerous Goods (Safety Advisers) Regulations 1999(19) where a fee as specified in Schedule 13 has been paid to the Secretary of State or the person designated by the Secretary of State for the purpose of issuing vocational training certificates.

(2) The validity of a vocational training certificate may only be extended in accordance with paragraph (5) of regulation 7 of the Transport of Dangerous Goods (Safety Advisers) Regulations 1999 where, within the period of 12 months which precede the expiry of the original certificate or any extension of it granted in accordance with that paragraph, a fee as specified in Schedule 13 has been paid to the Secretary of State or the person designated by the Secretary of State for the purpose of issuing vocational training certificates.

(3) Nothing in this regulation shall be construed as making a fee payable by a person in any of the capacities specified in section 43(4) of the 1974 Act.

Estimate of cost of work

16.  Where any fee is to be assessed on the reasonable cost to the Executive of carrying out any work or testing under regulation 2(2), 2(3)(b), 3(2) or 10(6), the Executive shall on receipt of the application first prepare and send to the applicant an estimate of that cost and shall, before carrying out the work, obtain confirmation from the applicant that he wishes the work to be carried out.

Fees for notifications and applications under the Genetically Modified Organisms (Contained Use) Regulations 2000

17.—(1) The fee specified in column 2 of Schedule 14 shall be payable by a notifier to the competent authority on each such notification or application under the 2000 Regulations as is referred to in the corresponding entry in column 1 of that Schedule.

(2) No fee shall be returned to a notifier where the competent authority returns a notification pursuant to regulation 14(7) of the 2000 Regulations or a notifier withdraws his notification pursuant to regulation 15(6) of the 2000 Regulations.

(3) In this regulation, “the 2000 Regulations” means the Genetically Modified Organisms (Contained Use) Regulations 2000(20) and “competent authority” has the same meaning as in those Regulations.

Fees for notifications and applications under the Notification of New Substances Regulations 1993

18.—(1) The fee specified in column 2 of Part 1 of Schedule 15 shall be payable by a notifier to the Executive on each such notification or application under the Notification of New Substances Regulations 1993(21) as is referred to in the corresponding entry in column 1 of that Part.

(2) In the circumstances described in column 1 of Part 2 of Schedule 15, the fee specified in the corresponding entry in column 2 of that Part shall be payable by the notifier to the Executive in addition to the fee payable under paragraph (1) in respect of the notification concerned.

Fees payable in respect of offshore installations

19.—(1) A fee shall be payable to the Executive by the person referred to in column 2 of Schedule 16 for the performance by the Executive of such functions conferred on the Executive as are specified in column 1 of that Schedule.

(2) A fee shall be payable to the Executive by an operator or owner who has prepared a safety case pursuant to the 1992 Regulations for the performance by or on behalf of the Executive, or by an inspector appointed by it, of any function conferred on the Executive or the inspector by the 1974 Act which relates to the enforcement of any of the relevant statutory provisions against—

(a) that operator or owner in relation to the installation to which the safety case relates;

(b) a contractor in relation to any work carried out by him or in connection with that installation.

(3) In this regulation, regulation 22 and Schedule 16, “the 1992 Regulations” means the Offshore Installations (Safety Case) Regulations 1992(22), and “installation” “safety case” “operator” and “owner” have the same meanings as in those Regulations.

Fees payable in respect of railway safety functions

20.—(1) A fee shall be payable to the Executive by the person referred to in column 2 of Schedule 17 for the performance by the Executive of such functions conferred on the Executive as are specified in colunm 1 of that Schedule.

(2) A fee shall be payable to the Executive by a railway operator who has prepared a safety case which has been accepted by the Executive pursuant to the 2000 Regulations for the performance by or on behalf of the Executive, or by an inspector appointed by it, of any function conferred on the Executive or the inspector by the 1974 Act which relates to the enforcement of any of the relevant statutory provisons against—

(a) that railway operator in relation to the railway infrastructure, station or train operation to which that safety case relates;

(b) a contractor in relation to work carried out by him on or in connection with that railway infrastructure or station or in connection with that train operation.

(3) This regulation shall not apply to a function performed in relation to the tunnel system within the meaning of section 1(7) of the Channel Tunnel Act 1987(23).

(4) This regulation shall not apply to a function performed in relation to a railway, tramway or trolley vehicle system if on no part of that railway, tramway or trolley vehicle system there is a line speed exceeding 40 kilometres per hour and for the purposes of this paragraph “line speed” means the highest of the permitted speeds on the railway, tramway or trolley vehicle system concerned and “permitted speed” means the maximum speed permitted on the part of the railway, tramway or trolley vehicle system concerned.

(5) In this regulation, regulation 22 and Schedule 17 the “2000 Regulations” means the Railways (Safety Case) Regulations 2000 (24), the “Approval Regulations” means the Railway and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994 (25), “railway”, “railway infrastructure”, “railway operator”, “safety case”, “station” and “train” have the same meanings as in the 2000 regulations and “tramway” and “trolley vehicle system” have the same meanings as in the Transport and Works Act 1992 (26).

Fees payable in respect of gas safety functions

21.—(1) A fee shall be payable to the Executive by the person referred to in column 2 of Schedule 18 for the performance by the Executive of such functions conferred on the Executive as are specified in column 1 of that Schedule.

(2) A fee shall be payable to the Executive by a person conveying gas who has prepared a safety case pursuant to the 1996 Regulations or by a network emergency co-ordinator for the performance by or on behalf of the Executive, or by an inspector appointed by it, of any function conferred on the Executive or the inpector by the 1974 Act which relates to the enforcement of any of the relevant statutory provisions against—

(a) that person in relation to the network to which the safety case relates; and

(b) a contractor in relation to work carried out by him on or in connection with that network,

insofar as such enforcement is for the purpose of protecting persons from risks arising from the manner in which gas is conveyed or used.

(3) In this regulation, regulation 22 and Schedule 18 “the 1996 Regulations” means the Gas Safety (Management) Regulations 1996(27), and “network”, “network emergency co-ordinator” and “safety case” have the same meanings as in the 1996 Regulations.

Provisions supplementary to regulations 19 to 21

22.—(1) The fees referred to in regulations 19 to 21 above shall—

(a) not exceed the sum of the costs reasonably incurred by the Executive for the performance of the function referred to in the respective regulation; and

(b) be payable within 30 days from the date of the invoice that the Executive has sent or given to the person who is required to pay the fees, such invoice to include a statement of the work done and the costs incurred including the period to which the statement relates.

(2) Any fees payable under regulations 19 to 21 shall be recoverable only as a civil debt.

(3) Any fees payable under regulations 19 to 21 shall not include any costs connected with any—

(a) in England and Wales, criminal investigation or prosecution incurred (in either case) from the date any summons is obtained from a Magistrates' Court;

(b) in Scotland, criminal investigation or prosecution incurred (in either case) after such a time as—

(i) the inspector undertaking the investigation refers the case to the Procurator Fiscal; or

(ii) the Procurator Fiscal intervenes in the investigation,

whichever is the sooner; or

(c) appeal pursuant to section 24 of the 1974 Act (appeal against improvement or prohibition notice) and, in England and Wales, regulation 8(4)(b) of, and Schedule 4 to, the Employment Tribunals (Constitution and Rules of Procedure) Regulations 1993(28) and, in Scotland, regulation 8(4)(b) of, and Schedule 4 to, the Employment Tribunals (Constitution and Rules of Procedure) (Scotland) Regulations 1993(29).

(4) For the purposes of regulation 19 and paragraphs (3)(a) and (b) an installation shall be treated as being in England and Wales if it is in the English area within the meaning of article 1 of the Civil Jurisdiction (Offshore Activities) Order 1987(30) and in Scotland if it is in the Scottish area within the meaning of that article.

(5) Any reference in regulations 19 to 21 to a person who has prepared a safety case includes a reference to a person who is required to prepare a safety case, and in that connection as if—

(a) any reference in those regulations to the installation, railway infrastructure, station, train operation or network to which the safety case relates were a reference to the installation, railway infrastructure, station, train operation or network to which the safety case would have related if it had been prepared in accordance with such requirement; and

(b) the reference in regulation 20(2) to a safety case which has been accepted by the Executive were a reference to a safety case which is required to be accepted by the Executive.

(6) Any reference in regulations 19 and 20 to a person who has prepared a safety case includes a reference to a person who is treated as having prepared a safety case by virtue of (in the case of regulation 19) regulation 2(9) of the 1992 Regulations or (in the case of regulation 20) regulation 2(7) of the 2000 Regulations.

(7) Any reference in regulations 19 to 21 to work carried out by a contractor is a reference to work carried out by the contractor or his employees for the benefit of the person by whom the fees are payable under that regulation, whether pursuant to an agreement or an arrangement he has made with that person or with another person.

(8) Any reference in regulations 19 to 21 to a function conferred on an inspector by the 1974 Act which relates to enforcement against a person of any of the relevant statutory provisions includes a reference to any function conferred on an inspector by that Act which is exercised for the purpose of carrying into effect those provisions in relation to that person.

Fees for applications for approvals under the Health and Safety (First-Aid) Regulations 1981

23.—(1) A fee shall be payable by the applicant to the Executive on each application for an original approval of training or a renewal of an approval of training under regulation 3(2)(a) of the Health and Safety (First-Aid) Regulations 1981(31).

(2) The fee payable under paragraph (1) shall be—

(a) in respect of an application for an original approval, that specified in column 1 of Part I of Schedule 19; and

(b) in respect of an application for a renewal of an approval, that specified in column 3 of that Part.

(3) Where, before an original approval of training is given, a shortcoming in the proposed training is identified by the Executive during a site-visit and an additional site-visit for the purpose of reassessment is required, the fee payable shall be that specified in column 2 of Part I of Schedule 19.

(4) The fee referred to—

(a) in paragraph (1) shall be payable on making the application for approval or renewal of an approval of training;

(b) in paragraph (3) shall be payable prior to the notification of the result of the application for approval of training.

(5) Where the Executive requires a site-visit to be made in connection with an approval mentioned in paragraph (1) in order to ascertain whether the standards in place when the original approval was given are being maintained, a fee shall be payable to the Executive by the provider of the approved training, except that no such fee shall be payable in respect of the first site-visit made after the original approval has been given.

(6) The fee payable under paragraph (5) for such a site-visit shall be that specified in column 1 of Part II of Schedule 19 except where the site-visit is required to be carried out because a shortcoming in the training has been identified by the Executive during an earlier site-visit, when the fee shall be that specified in column 2 of that Part.

(7) The fee referred to in paragraph (6) shall be payable within 30 days from the date of the invoice that the Executive has sent or given to the person providing the approved training.

Revocation

24.  The Regulations referred to in column 1 of Schedule 20 are hereby revoked to the extent referred to in column 3 of that Schedule.

Signed by authority of the Secretary of State

Alan Whitehead

Parliamentary Under-Secretary of State,

Department for Transport, Local Government and the Regions

19th July 2001