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Pensions Bill


Pensions Bill
Part 2 — The Board of the Pension Protection Fund
Chapter 5 — Gathering information

126

 

(5)   

A nomination by a member of the scheme under subsection (4)(b)—

(a)   

may be made by notice in writing given by the member,

(b)   

becomes effective when the notice is received by the Board, and

(c)   

ceases to be effective when the Board receives a further notice from the

member withdrawing the nomination.

5

(6)   

In the case of an occupational pension scheme, section 180 does not preclude

the disclosure of restricted information by the Board if—

(a)   

the disclosure is made to any of the following in relation to the

scheme—

(i)   

a trustee or manager,

10

(ii)   

any professional adviser,

(iii)   

the employer,

(iv)   

the insolvency practitioner in relation to the employer,

(b)   

the information is relevant to the exercise of that person’s functions in

relation to the scheme, and

15

(c)   

the Board considers that it is reasonable in all the circumstances to

make the disclosure for the purpose of facilitating the exercise of those

functions.

Interpretation

187     

Sections 173 to 186: interpretation

20

(1)   

This section applies for the purposes of sections 173 to 186.

(2)   

“Document” includes information recorded in any form, and any reference to

production of a document, in relation to information recorded otherwise than

in a legible form, is to producing a copy of the information—

(a)   

in a legible form, or

25

(b)   

in a form from which it can readily be produced in a legible form.

(3)   

Where the Board has assumed responsibility for a scheme—

(a)   

any reference to the Board’s functions in relation to the scheme

includes a reference to the functions which it has by virtue of having

assumed responsibility for the scheme, and

30

(b)   

any reference to a trustee, manager, professional adviser or employer

in relation to the scheme is to be read as a reference to a person who

held that position in relation to the scheme before the Board assumed

responsibility for it.

Reports

35

188     

Publishing reports etc

(1)   

The Board may, if it considers it appropriate to do so in any particular case,

publish a report of the exercise of, or any matter arising out of or connected

with the exercise of, any of its functions in that case.

(2)   

The publication of a report under subsection (1) may be in such form and

40

manner as the Board considers appropriate.

 

 

Pensions Bill
Part 2 — The Board of the Pension Protection Fund
Chapter 6 — Reviews, appeals and maladministration

127

 

(3)   

For the purposes of the law of defamation, the publication of any matter by the

Board is privileged unless the publication is shown to be made with malice.

Chapter 6

Reviews, appeals and maladministration

Review etc by the Board

5

189     

Meaning of “reviewable matters”

(1)   

For the purposes of this Chapter, “reviewable matter” means a matter

mentioned in Schedule 9.

(2)   

Regulations may provide, in relation to any reference in that Schedule to a

failure by the Board to do any act or make any determination, that the reference

10

is to be construed as a reference to a failure by the Board to do the act or make

the determination within a prescribed period.

(3)   

Regulations may amend that Schedule by—

(a)   

adding to it any other description of determination, act or failure of, or

matter determined or for determination by, the Board, or

15

(b)   

removing from it any such determination, act, failure or matter for the

time being mentioned in it.

190     

Review and reconsideration by the Board of reviewable matters

(1)   

Regulations must—

(a)   

provide for the Board, on the written application of an interested

20

person, to give a decision (“a review decision”) on any reviewable

matter, and

(b)   

require a committee of the Board constituted for the purposes of this

section (the “Reconsideration Committee”), on the written application

of an interested person following a review decision, to reconsider the

25

reviewable matter and give a decision (“a reconsideration decision”).

(2)   

In subsection (1), “interested person” in relation to a reviewable matter, means

a person of a description prescribed in relation to reviewable matters of that

description.

(3)   

Regulations under subsection (1) may—

30

(a)   

permit a review decision in respect of a reviewable matter of a

prescribed description to be made otherwise than on an application,

and

(b)   

permit a reconsideration decision in respect of such a matter to be made

otherwise than on an application.

35

(4)   

Regulations under subsection (1) must provide for the Board’s powers on

making a review decision or reconsideration decision to include power—

(a)   

to vary or revoke the determination, direction or other decision already

made by the Board in respect of the reviewable matter,

(b)   

to substitute a different determination, direction or decision,

40

 

 

Pensions Bill
Part 2 — The Board of the Pension Protection Fund
Chapter 6 — Reviews, appeals and maladministration

128

 

(c)   

generally to deal with the matters arising on the review decision or

reconsideration decision as if they had arisen on the original

determination, direction or decision,

(d)   

to pay such compensation as the Board considers appropriate to such

persons as it may determine, and

5

(e)   

to make savings and transitional provision.

(5)   

Regulations under subsection (1) must include provision—

(a)   

about applications under the regulations for a review decision or

reconsideration decision in respect of a reviewable matter, including

the times by which they are to be made,

10

(b)   

requiring notice—

(i)   

of such applications, or

(ii)   

of a decision of the Board or the Reconsideration Committee by

virtue of subsection (3) to give a review decision or reconsider a

reviewable matter otherwise than on such an application,

15

   

to be given to interested persons in relation to the matter,

(c)   

with a view to securing that individuals concerned in giving a

reconsideration decision were not concerned in the reviewable matter

in respect of which the decision is to be made,

(d)   

as to the procedure for reaching and giving decisions under the

20

regulations, including—

(i)   

rights of interested persons to make representations to the

Reconsideration Committee on a reconsideration under

regulations made under subsection (1)(b), and

(ii)   

the times by which decisions are to be given, and

25

(e)   

requiring notice of the review decision or the reconsideration decision

in respect of a reviewable matter to be given to interested persons in

relation to the matter.

(6)   

Provision required by subsection (5)(c) may modify paragraphs 15 and 16 of

Schedule 5 (membership and procedure of committees of the Board).

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191     

Investigation by the Board of complaints of maladministration

(1)   

Regulations must make provision for dealing with relevant complaints.

(2)   

For the purposes of this Chapter, “relevant complaint” means a complaint—

(a)   

by a person who is or might become entitled to compensation under

Schedule 7 (pension compensation provisions), or

35

(b)   

by a person who has or may make an application under section 165

(fraud compensation),

   

alleging that he has sustained injustice in consequence of maladministration in

connection with any act or omission by the Board or any person exercising

functions on its behalf.

40

(3)   

Regulations under subsection (1) must—

(a)   

provide for the Board to investigate and give decisions on matters

complained of in relevant complaints, and

(b)   

provide for a committee of the Board, on applications following such

decisions, to investigate matters complained of and give decisions on

45

them.

(4)   

Such regulations may, in particular, make provision—

 

 

Pensions Bill
Part 2 — The Board of the Pension Protection Fund
Chapter 6 — Reviews, appeals and maladministration

129

 

(a)   

about the making of relevant complaints and applications under the

regulations, including the times by which they are to be made,

(b)   

with a view to securing that individuals concerned in giving a decision

were not concerned in the matter which is the subject of the relevant

complaint in question,

5

(c)   

as to the procedure for reaching and giving decisions under the

regulations, including—

(i)   

rights of prescribed persons to make representations to the

Board, on an investigation under regulations made under

subsection (3)(b), and

10

(ii)   

the times by which decisions are to be given, and

(d)   

requiring notice—

(i)   

of a relevant complaint under the regulations, or

(ii)   

of a decision under the regulations in respect of the complaint,

   

to be given to prescribed persons in relation to the matter.

15

(5)   

Regulations under subsection (1) may confer power on the Board to pay such

compensation as it considers appropriate to such persons as it considers have

sustained injustice in consequence of the matters complained of.

(6)   

The power conferred by subsection (4)(b) includes power to modify

paragraphs 15 and 16 of Schedule 5 (membership and procedure of committees

20

of the Board).

The PPF Ombudsman

192     

The Ombudsman for the Board of the Pension Protection Fund

(1)   

There is to be a commissioner to be known as the Ombudsman for the Board of

the Pension Protection Fund (in this Act referred to as “the PPF Ombudsman”).

25

(2)   

The PPF Ombudsman is to be appointed by the Secretary of State on such terms

and conditions as are determined by the Secretary of State.

(3)   

The PPF Ombudsman—

(a)   

is to hold and vacate office in accordance with the terms and conditions

of his appointment, and

30

(b)   

may resign or be removed from office in accordance with those terms

and conditions.

(4)   

The Secretary of State may by order make provision—

(a)   

about the payment, or provision for payment, of remuneration,

compensation for loss of office, pension, allowances or gratuities to or

35

in respect of the PPF Ombudsman;

(b)   

about the reimbursement of the PPF Ombudsman in respect of any

expenses incurred by him in the performance of his functions;

(c)   

about the staff of the PPF Ombudsman and the provision of facilities

(including additional staff) to him;

40

(d)   

about the delegation of the functions of the PPF Ombudsman to his

staff or to any such additional staff;

(e)   

authorising the PPF Ombudsman—

(i)   

to charge such fees as are specified in the order;

 

 

Pensions Bill
Part 2 — The Board of the Pension Protection Fund
Chapter 6 — Reviews, appeals and maladministration

130

 

(ii)   

to charge fees sufficient to meet such costs as are specified in the

order;

(f)   

conferring powers to enable the PPF Ombudsman to obtain such

information and documents as he may require for the performance of

his functions; and

5

(g)   

about restrictions on the disclosure of information held by him.

(5)   

An order under subsection (4)(e)—

(a)   

may prescribe, or authorise the PPF Ombudsman to determine, the

time at which any fee is due, and

(b)   

provide that any fee which is owed to the PPF Ombudsman by virtue

10

of an order under subsection (4)(e) may be recovered as a debt due to

the PPF Ombudsman.

(6)   

The Secretary of State must pay to the PPF Ombudsman out of money

provided by Parliament such sums as may be required to be paid by the

Secretary of State to or in respect of the PPF Ombudsman by virtue of an order

15

under subsection (4).

193     

Deputy PPF Ombudsmen

(1)   

The Secretary of State may appoint one or more persons to act as a deputy to

the PPF Ombudsman (“a Deputy PPF Ombudsman”).

(2)   

Any such appointment is to be on such terms and conditions as the Secretary

20

of State determines.

(3)   

A Deputy PPF Ombudsman—

(a)   

is to hold and vacate office in accordance with the terms and conditions

of his appointment, and

(b)   

may resign or be removed from office in accordance with those terms

25

and conditions.

(4)   

A Deputy PPF Ombudsman may perform the functions of the PPF

Ombudsman—

(a)   

during any vacancy in that office,

(b)   

at any time when the PPF Ombudsman is for any reason unable to

30

discharge his functions, or

(c)   

at any other time, with the consent of the Secretary of State.

(5)   

References to the PPF Ombudsman in relation to the performance of his

functions are accordingly to be construed as including references to a Deputy

PPF Ombudsman in relation to the performance of those functions.

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(6)   

An order by the Secretary of State under section 192(4) may make provision—

(a)   

about the payment, or provision for payment, of remuneration,

compensation for loss of office, pension, allowances or gratuities to or

in respect of a Deputy PPF Ombudsman;

(b)   

about the reimbursement of any expenses incurred by a Deputy PPF

40

Ombudsman in the performance of any of the PPF Ombudsman’s

functions.

 

 

 
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