Paragraph 1 Conditions relating to the responsible individual

(1)

The scheme must provide—

(a)

for the appointment by the Secretary of State of an individual to be the responsible individual for the scheme;

(b)

that the responsible individual is to be appointed by the Secretary of State on such terms and conditions as the Secretary of State thinks fit;

(c)

that the Secretary of State may at any time terminate the responsible individual’s appointment;

(d)

that the Secretary of State may not terminate the responsible individual’s appointment because of dissatisfaction with a particular decision of the responsible individual on a complaint under the scheme.

(2)

Where the scheme provides for the responsible individual to be employed by the scheme administrator, the scheme must provide that—

(a)

the responsible individual is to be employed by the scheme administrator on such terms and conditions as the Secretary of State thinks fit;

(b)

the Secretary of State may at any time give the scheme administrator a direction to cease to employ the individual who is the responsible individual as the responsible individual (and may revoke or vary such a direction by a further direction);

(c)

the Secretary of State may not give a direction under provision included in the scheme in accordance with paragraph (b) because of dissatisfaction with a particular decision of the responsible individual on a complaint under the scheme.

(3)

Where the scheme provides that the scheme administrator is to be a body corporate, the scheme must provide that—

(a)

the Secretary of State may delegate to the scheme administrator any function of the Secretary of State under a provision included in the scheme in accordance with sub-paragraph (1) or (2)(a);

(b)

a delegation to the scheme administrator may specify—

(i)

the extent to which the function is delegated;

(ii)

any conditions to which the delegation is subject;

(c)

a delegation to the scheme administrator—

(i)

may be varied or revoked by the Secretary of State at any time;

(ii)

does not prevent the Secretary of State from exercising the function.

(4)

The scheme must provide—

(a)

that for an individual to be appointed as the responsible individual, the individual—

(i)

must be, and be seen as, impartial,

(ii)

must have the skills and competencies needed for the role,

(iii)

must not be a scheme member, and

(iv)

must declare any conflicts of interest;

(b)

that, if the responsible individual is aware that they have a conflict of interest in relation to a complaint under the scheme, they must arrange for staff to act on their behalf in relation to the complaint;

(c)

for the appointment of staff by the scheme administrator, including a leader or leadership team, to administer the scheme and assist the responsible individual;

(d)

that a member of staff designated by the scheme administrator may act on behalf of the responsible individual if the responsible individual is unable to fulfil their duties;

(e)

for mechanisms to provide oversight of the responsible individual, including—

(i)

a performance review process;

(ii)

a process allowing staff to raise concerns about the responsible individual with the Secretary of State.