Pensions Bill

House of Commons

Session 2003 - 04
Internet Publications
Other Bills before Parliament

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.
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(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,
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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,
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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
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(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,
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(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”).
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(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;
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(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
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(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.