8.—(1) A competent authority must perform the functions set out in this Part.
(2) Each body specified in the first column of Part 1 of Schedule 1 is—
(a)a competent authority for the purposes of these Regulations, and
(b)the relevant competent authority in relation to alternative dispute resolution services offered by the body specified alongside it in the second column of Part 1 of Schedule 1.
(3) Subject to paragraph (2), each body specified in Part 2 of Schedule 1 is—
(a)a competent authority for the purposes of these Regulations in relation to the area for which it has regulatory responsibility or any area for which it has oversight under any enactment, and
(b)the relevant competent authority in relation to an ADR entity or ADR applicant which offers alternative dispute resolution services in that area.
(4) The Secretary of State is the relevant competent authority in relation to—
(a)alternative dispute resolution services offered by the Pensions Ombudsman, and
(b)an ADR entity or ADR applicant which offers alternative dispute resolution services in an area other than one referred to in paragraph (3).
9.—(1) An ADR applicant may apply to the relevant competent authority to become an ADR entity.
(2) The ADR applicant must supply with an application—
(a)the information in Schedule 2; and
(b)such other information as the competent authority may require in order to assess whether the ADR applicant meets the requirements in Schedule 3.
(3) The information referred to in paragraph (2) must be provided in such form as the competent authority may require.
(4) The competent authority may only approve an application if it is satisfied that—
(a)the ADR applicant is established in the United Kingdom; and
(b)the requirements in Schedule 3—
(i)have been met by the ADR applicant, or
(ii)will be met by the ADR applicant within a reasonable period of time of the application being granted.
(5) Where—
(a)an enactment contains the power for a competent authority to impose additional requirements which go beyond those set out in Schedule 3, and
(b)such requirements, including issuing binding solutions on traders, are imposed for the purpose of ensuring a higher level of consumer protection,
such requirements shall be deemed to be included in Schedule 3 for the purposes of this regulation, regulations 12 and 13(1) and (2) and paragraph (i) of Schedule 2.
(6) Where an application is approved, the competent authority must as soon as is reasonably practicable give written notice to the ADR applicant.
(7) Where an application is rejected, the competent authority must as soon as is reasonably practicable give written notice of this fact to the ADR applicant, which must include the grounds on which it has rejected the application.
(8) For the purposes of paragraph (4)(a) an ADR applicant is “established”—
(a)if the ADR applicant is operated by an individual, at the place where it carries out the dispute resolution;
(b)if the ADR applicant is operated by a legal person, or association of persons, at the place where that legal person or association of persons carries out the dispute resolution or has its statutory seat;
(c)if the ADR applicant is operated by a public authority or other public body, at the place where that public authority or other public body has its statutory seat.
10.—(1) A competent authority must maintain a list of the ADR applicants which have been approved by it to become an ADR entity under regulation 9(4) and that list must include the information in Schedule 4 in respect of each ADR applicant.
(2) A competent authority must, without undue delay following compilation of a list, send the list to the single point of contact.
(3) If under regulation 11(1) a competent authority receives notification from an ADR entity containing information which differs from the information included in relation to that ADR entity in the list maintained under paragraph (1), the competent authority must—
(a)amend the list to reflect the change in that information, and
(b)without undue delay, send the amended list to the single point of contact.
11.—(1) In the event of a change to the information which an ADR entity has supplied under regulation 9(1), the ADR entity must, without undue delay, provide written notification of the change to the competent authority.
(2) An ADR entity must, within a month of the first anniversary of the approval date and within a month of each subsequent anniversary, publish on its website a report (“an annual activity report”) relating to the preceding year which contains the information in Schedule 5.
(3) The ADR entity must, within a month of the second anniversary of the approval date and within a month of the expiry of each successive period of two years, supply the relevant competent authority with the information in Schedule 6 relating to the preceding two year period.
(4) The annual activity report and information to be provided under paragraph (3) must be in such form as the competent authority may require.
(5) In this regulation “approval date” means the date of the written notice granting approval to the ADR entity under regulation 9(6).
12. Following receipt of the information received under regulation 11(3) the competent authority must review the information and assess whether the ADR entity still meets the requirements in Schedule 3.
13.—(1) A competent authority must provide notice in writing to an ADR entity approved by it under regulation 9(4) if the competent authority has reason to believe that—
(a)the ADR entity no longer meets a requirement in Schedule 3; and
(b)the reason the ADR entity no longer meets the requirement is within its control.
(2) The written notice must—
(a)identify the requirement in Schedule 3 which is no longer met; and
(b)require the ADR entity to meet the requirement promptly or in any event within 3 months of the date of the notice.
(3) If the ADR entity fails to meet the requirement notified to it on or before the expiry of the period specified in paragraph (2), and the competent authority considers that the failure to meet the requirement is sufficiently serious, the competent authority must—
(a)send notice in writing to the ADR entity of the withdrawal of its approval, and
(b)without undue delay, remove the ADR entity from the list maintained by it under regulation 10(1).
(4) If a competent authority removes an ADR entity from the list under paragraph (3) it must, without undue delay, send the revised list to the single point of contact.
14. A competent authority must make the consolidated list of ADR entities published by the European Commission—
(a)publicly available on its website by means of a link to the relevant European Commission website; and
(b)available on request by a member of the public on a durable medium.
15.—(1) Where the competent authority is the Secretary of State, the competent authority may charge—
(a)an ADR applicant a fee in respect of the costs incurred by or on behalf of the Secretary of State in evaluating an application made under regulation 9, and
(b)an ADR entity a periodic fee, in respect of costs incurred by or on behalf of the Secretary of State in carrying out the functions of the Secretary of State under regulations 10 to 14.
(2) The fees referred to above shall not exceed the amount of all reasonable costs and expenses incurred by or on behalf of the Secretary of State in evaluating an application and carrying out the other functions referred to above, which shall include a sum calculated at the rate of £750 for every day, (based upon an eight hour day) spent by each person in carrying out the relevant function (which shall be pro-rated in respect of any period less than a day spent by any person).
(3) The fees are payable on invoice, to the Secretary of State, or such person as the Secretary of State may direct, and any unpaid fee may be recovered by the Secretary of State as a civil debt.
(4) The Secretary of State is not required to approve an application under Regulation 9(4) if there is a fee outstanding under this regulation in relation to that application.
16. Schedule 7 makes amendments that are consequential on these Regulations.