Regulation 9

For regulation 20 (authorisation procedures: other requirements), substitute—

“Authorisation procedures: acknowledgment and review of applications

20

(1)

All applications to a competent authority under an authorisation scheme must be acknowledged in writing as quickly as possible by sending the applicant the relevant acknowledgement or notice under paragraph (3), (4) or (6).

(2)

A competent authority must assess whether an application is complete for the purposes of processing without undue delay.

(3)

Where, on receipt of an application, a competent authority requires time to assess whether it is complete for the purposes of processing, it must send an acknowledgement to the applicant informing them that—

(a)

the completeness of the application is under review, and

(b)

the application processing period has not begun.

(4)

Where a competent authority determines that an application is complete for the purposes of processing under paragraph (2), whether following receipt of the application or following the receipt of further information or documentation under paragraph (5), it must send a notice to the applicant specifying—

(a)

that the application submitted is complete for the purposes of processing,

(b)

the date the application processing period begins and its duration, and

(c)

the available means of redress in the event of a dispute between a competent authority and an applicant.

(5)

Where a competent authority determines that an application is incomplete it must, where practicable, give the applicant the opportunity to provide the additional information or documentation required for the application to be considered complete for the purposes of processing, without being required to submit a new application.

(6)

Where an application is incomplete, the competent authority must notify the applicant—

(a)

that the application is incomplete,

(b)

whether they can provide further information or documentation, and

(c)

what information or documentation is required for the application to be considered complete for the purposes of processing.

(7)

Where a competent authority permits an applicant to provide further information or documentation—

(a)

this must be limited to the matters identified by the competent authority, and

(b)

the competent authority must—

(i)

specify a reasonable period of time within which the applicant must provide the information or documentation, and

(ii)

explain the effect of failing to submit information or documentation by the end of the specified period.

Authorisation procedures: decisions and further applications

20A

(1)

Where an application for authorisation is rejected, the applicant must be informed in writing as quickly as possible—

(a)

that their application has been rejected,

(b)

the reasons for that rejection, and

(c)

where applicable, the procedure for resubmission of the application.

(2)

A competent authority must not restrict an applicant from submitting another application solely on the basis of a previously rejected application.

(3)

A competent authority must notify the applicant in writing of its decision to grant or refuse an application for authorisation within a reasonable period, and in any event by the end of the processing period specified in the notice sent to the applicant under regulation 20(4).

(4)

A competent authority is not required to notify the applicant of its decision to grant the application where it is deemed granted under regulation 19(5).

Authorisation procedures: status updates and other processing requirements

20B

(1)

A competent authority must, on request by an applicant, provide the applicant with information concerning the status of its application for authorisation without undue delay.

(2)

A competent authority must, where reasonably practicable, ensure that applications for authorisation may be submitted and processed throughout the year.

(3)

Where a competent authority requires an applicant to apply for an authorisation within a specified period, it must ensure that the period is sufficient to allow the application to be submitted before the period ends.

Authorisation procedures: examinations

20C

Where a competent authority requires an applicant to undertake an examination for authorisation, the competent authority must, where reasonably practicable—

(a)

schedule examinations at reasonably frequent intervals,

(b)

provide a reasonable period of time for applicants to request to take the examination,

(c)

accept requests to take such examinations in electronic format, and

(d)

consider the use of electronic means in other aspects of the examination process.”.