OPERATIONAL GUIDANCE

WAIVER OF DISQUALIFICATION FOR ACTING AS A CHARITY TRUSTEE

NOTIFYING APPLICANTS AND MAINTAINING RECORDS

OG 42 B3 – 27 February 2007

Purpose

This guidance gives details of how applicants are notified of the outcome and the records we keep of applications.

 

Contents

1. Notification of grant of waiver
2. Notification of refusal of waiver
3. Press Office
4. Review of refusal to waiver
5. Central record

Index to further related information

 

The Law	Refer to a lawyer	Refer to an accountant

1. Notification of grant of waiver
	We have a statutory obligation under s.72(5) of the 1993 Act to notify an applicant in writing of the granting of a waiver.
	This should take the form of the model letter at OG 42 L4 and should be addressed to the applicant personally even though the application may have been submitted on his or her behalf by a solicitor or other person. The reasons for our decision should be given in a separate covering letter.

2. Notification of refusal of waiver
	There are no statutory requirements regarding notification to the applicant of the refusal of a waiver. However, this should also be in writing and addressed to the applicant personally: it should include concise reasons for the refusal to grant a waiver and a warning of the consequences of a disqualified person continuing to act as a trustee.
	There is a model letter of refusal (OG 42 L5) for use when the local Head of Division has taken a decision. Where the case has been referred to the nominated Commissioners, the letter of refusal should be settled either by a legal Commissioner or the nominated Commissioners who will direct under whose signature it should issue. In all cases, the reasons for the refusal should be set out in detail on the file.

3. Press Office

At the same time as the applicant is notified of the success or otherwise of the application, a press line should be produced and sent to the Press Office to aid them in fielding any enquiries. This is particularly important if a case is likely to have a high media profile. Care should be taken with the timing of this, to ensure that there is no press comment until we are sure that the applicant has received our notification.

4. Review of refusal to waiver
	Whenever we refuse a waiver, the applicant should be informed that they have a right for the decision to be reviewed.
	Any decision not to grant a waiver taken by the Board will not be eligible to be reviewed as decisions involving Commissioners are final. Any decision taken by the Head of Charity Services to reject an application for a waiver may be reviewed in accordance with our Decision Review procedures as a Commissioner Review. There is no first stage Review by the Head of Customer Service.

5. Central record
	A central record of the outcomes of applications for waivers is kept by Advice and Orders, Taunton. Information about those granted in other units should be passed to Taunton by nominated officers.
	Where a waiver is granted in the case of a person removed by us or the High Court, the public register of disqualified people must be noted. Where the application is refused, a record should be kept of the reasons for doing so.

Index to further related information