House of Commons Amendments

House of Commons

Session 2007 - 08
Internet Publications
Other Bills before Parliament

10
83
Page 15, line 17, at end insert—

“( )
state that, if the third party fails to comply with the requirements of

the notice, the Regulator may issue a fixed penalty notice under

section 35.”
Clause 33
84
Page 15, line 25, leave out “unpaid relevant contributions” and insert “relevant

contributions that have not been paid”
85
Page 15, line 27, leave out subsection (3)
86
Page 15, line 35, leave out “jobholders, or category of jobholders” and insert

“workers, or category of workers”
87
Page 15, line 43, at end insert—

“(6)
In this section, “employer” in relation to a worker means the person by

whom the worker is or, if the employment has ceased, was employed.”
Clause 34
88
Page 16, line 3, after “of” insert “a contravention of section 2(1) or”
89
Page 16, leave out line 8 and insert “are of a description specified in the notice

(“unpaid relevant contributions”)”
90
Page 16, line 10, leave out “due” and insert “appropriate”
91
Page 16, line 11, leave out “33(3)(a)” and insert “(Meaning of “relevant

contributions”)(2)(a)”
92
Page 16, line 13, leave out “due” and insert “appropriate”
93
Page 16, line 17, leave out “jobholder” and insert “worker”
94
Page 16, line 20, leave out “jobholder” and insert “worker”
95
Page 16, line 21, at end insert—

“( )
if the contributions are payable to a money purchase scheme, a

hybrid scheme or a personal pension scheme, a requirement to pay

interest on the amount required by the notice to be paid in respect

of unpaid relevant contributions, at a rate and in respect of a period

determined in accordance with regulations.”
96
Page 16, line 24, after “pay” insert “on behalf or”
97
Page 16, line 25, leave out “jobholder” and insert “worker”
98
Page 16, line 28, at end insert—

“(5)
In this section, “appropriate date” means—

(a)
in the case of a compliance notice, such date as may be specified in

the notice;

(b)
in the case of an unpaid contributions notice, the due date within

the meaning of section 33(4).

(6)
In this section, “employer” in relation to a worker means the person by

whom the worker is or, if the employment has ceased, was employed.”

11

After Clause 34
99
Insert the following new Clause—

“Meaning of “relevant contributions”

(1)
In sections 33 and 34 “relevant contributions” are—

(a)
in relation to a jobholder, employer contributions payable to a

qualifying scheme in relation to the jobholder;

(b)
in relation to a worker to whom section 8 applies, employer

contributions payable to a pension scheme which satisfies the

requirements of that section.

(2)
In subsection (1), employer contributions means contributions payable by

the employer—

(a)
on the employer’s own account (but in respect of the worker), or

(b)
on behalf of the worker out of deductions from the worker’s

earnings.”
Clause 35
100
Page 17, line 22, leave out “employer” and insert “person to whom the notice is

issued”
101
Page 17, line 23, leave out “appeal” and insert “referral to the Pensions Regulator

Tribunal”
Clause 36
102
Page 17, line 37, leave out “appeal under section 39 against” and insert “referral to

the Pensions Regulator Tribunal under section 39 in respect of”
103
Page 17, line 38, leave out “appeal” and insert “reference”
104
Page 18, line 18, leave out “appeal” and insert “referral to the Pensions Regulator

Tribunal”
Clause 38
105
Page 19, line 2, leave out subsection (4) and insert—

“( )
On a review of a notice, the effect of the notice is suspended for the period

beginning when the Regulator determines to carry out the review and

ending when the review is completed.”
Clause 39
106
Page 19, line 10, after “may” insert “, if one of the conditions in subsection (1A) is

satisfied,”
107
Page 19, line 13, at end insert—

“(1A)
The conditions are—

(a)
that the Regulator has completed a review of the notice under

section 38;

12

(b)
that the person to whom the notice was issued has made an

application for the review of the notice under section 38(1)(a) and

the Regulator has determined not to carry out such a review.”
108
Page 19, line 13, at end insert—

“(1B)
On a reference to the Pensions Regulator Tribunal in respect of a notice, the

effect of the notice is suspended for the period beginning when the

Tribunal receives notice of the reference and ending—

(a)
when the reference is withdrawn or completed, or

(b)
if the reference is made out of time, on the Tribunal determining not

to allow the reference to proceed.

(1C)
For the purposes of subsection (1B), a reference is completed when—

(a)
the reference has been determined,

(b)
the Tribunal has remitted the matter to the Regulator, and

(c)
any directions of the Tribunal for giving effect to its determination

have been complied with.”
109
Page 19, line 14, leave out subsection (2)
110
Page 19, line 26, at end insert—

“( )
In section 103 of that Act (references to the Tribunal), after subsection (1)

insert—

“(1A)
A reference to the Tribunal under section 39 of the Pensions Act

2008 must be made during such period as may be specified in rules

made under section 102.”

( )
In subsection (2) of that section, at the end insert “or (1A)”.

( )
In Schedule 4 to that Act (constitution, procedure etc. of the Tribunal), in

paragraph 7(5)—

(a)
the words from “under this Act” to the end become paragraph (a);

(b)
at the end insert—

“(b)
under section 39 of the Pensions Act 2008 or any

provision in force in Northern Ireland

corresponding to that section.”

( )
In that Schedule, in paragraph 13—

(a)
after “a reference” (in both places where it occurs) insert “under this

Act, or any provisions in force in Northern Ireland corresponding

to this Act,”;

(b)
at the end insert—

  “(3)
The Lord Chancellor may by regulations make provision

about the award of costs and expenses by the Tribunal on

a reference made under section 39 of the Pensions Act

2008 or any provision in force in Northern Ireland

corresponding to that section.””
Clause 40
111
Page 19, line 36, leave out “level 5 on the standard scale” and insert “the statutory

maximum”

13

After Clause 40
112
Insert the following new Clause—

“Offences by bodies corporate

(1)
Subsection (2) applies where an offence under section 40 committed by a

body corporate is proved—

(a)
to have been committed with the consent or connivance of an officer

of the body corporate, or

(b)
to be attributable to any neglect on the part of an officer of the body

corporate.

(2)
The officer, as well as the body corporate, is guilty of the offence and is

liable to be proceeded against and punished accordingly.

(3)
“Officer” in this section means—

(a)
a director, manager, secretary or other similar officer, or

(b)
a person purporting to act in such a capacity.

(4)
Where the affairs of a body corporate are managed by its members, this

section applies in relation to the acts and defaults of a member in

connection with the member’s functions of management as if the member

were an officer of the body corporate.”
113
Insert the following new Clause—

“Offences by partnerships and unincorporated associations

(1)
Proceedings for an offence under section 40 alleged to have been

committed by a partnership or an unincorporated association may be

brought in the name of the partnership or association.

(2)
For the purposes of such proceedings—

(a)
rules of court relating to the service of documents are to have effect

as if the partnership or association were a body corporate;

(b)
the following provisions apply in relation to the partnership or

association as they apply in relation to a body corporate—

(i)
section 33 of the Criminal Justice Act 1925 (c. 86) and

Schedule 3 to the Magistrates’ Courts Act 1980 (c. 43);

(ii)
section 70 of the Criminal Procedure (Scotland) Act 1995

(c. 46).

(3)
A fine imposed on a partnership or association on its conviction of an

offence under section 40 is to be paid out of the funds of the partnership or

association.

(4)
Subsection (5) applies where an offence under section 40 committed by a

partnership is proved—

(a)
to have been committed with the consent or connivance of a

partner, or

(b)
to be attributable to any neglect on the part of a partner.

(5)
The partner, as well as the partnership, is guilty of the offence and is liable

to be proceeded against and punished accordingly.

14

(6)
Subsection (7) applies where an offence under section 40 committed by an

unincorporated association is proved—

(a)
to have been committed with the consent or connivance of an officer

of the association, or

(b)
to be attributable to any neglect on the part of an officer of the

association.

(7)
The officer, as well as the association, is guilty of the offence and is liable to

be proceeded against and punished accordingly.

(8)
“Officer” in this section means—

(a)
an officer of the association or a member of its governing body, or

(b)
a person purporting to act in such capacity.

(9)
“Partner” in this section includes a person purporting to act as a partner.”
Clause 41
114
Page 20, line 1, after “information)” insert—

“(a)
”
115
Page 20, line 2, at end insert—

“(b)
omit “or” at the end of sub-paragraph (iii).”
Clause 43
116
Page 20, line 10, leave out “of this Part, or this Chapter” and insert “or 2 of this Part”
117
Transpose Clause 43 to after Clause 57
Clause 44
118
Page 20, line 24, after “2008” insert “or section 50 of that Act”
119
Page 20, line 38, leave out from “employer” to “at” in line 39 and insert “is

contravening, or has contravened—

(c)
any provision of, or of regulations under, Chapter 1 of Part 1, or

section 49 or (Inducements), of the Pensions Act 2008, or

(d)
any corresponding provision in force in Northern Ireland,”
120
Page 21, line 3, leave out “employees of the employer are employed” and insert

“the employer employs workers”
121
Page 21, line 8, at end insert “or under any corresponding provision in force in

Northern Ireland”
122
Page 21, line 9, leave out “qualifying scheme” and insert “pension scheme that is

relevant to the discharge of those duties”
123
Page 21, line 13, leave out ““employee”” and insert ““worker””
124
Page 21, leave out lines 15 and 16
125
Page 21, line 16, at end insert—

“(D1)
In the application of subsections (A1) and (B1) in relation to any provision

mentioned in subsection (A1)(b) (a “corresponding Northern Ireland

provision”), references in those subsections to “employer” or “worker” are

15

to be read as having the meaning that they have for the purposes of the

corresponding Northern Ireland provision.”
126
Transpose Clause 44 to after Clause 57
Clause 45
127
Transpose Clause 45 to after Clause 57
Clause 46
128
Transpose Clause 46 to after Clause 57
Clause 47
129
Transpose Clause 47 to after Clause 57
Clause 48
130
Page 23, line 29, after “1” insert “(and the safeguards in sections 49 and

(Inducements))”
131
Transpose Clause 48 to after Clause 57
After Clause 48
132
Insert the following new Clause—

“Functions of the Pensions Ombudsman

Functions of the Pensions Ombudsman

(1)
Section 146 of the Pension Schemes Act 1993 (c. 48) (functions of the

Pensions Ombudsman) is amended as follows.

(2)
In subsection (7), after paragraph (ba) insert—

“(bb)
a person who has given notice in accordance with section 7

of the Pensions Act 2008 (right to opt out of membership of

an automatic enrolment scheme);”

(3)
In paragraph (c)(i) of that subsection, for “or (ba)” substitute “, (ba) or

(bb)”.”
Clause 49
133
Page 24, line 13, leave out from “section” to end of line 16
Clause 50
134
Page 24, line 20, leave out from first “The” to “may” and insert “Regulator”
After Clause 52
135
Insert the following new Clause—

16

“Inducements

(1)
An employer contravenes this section if the employer takes any action for

the sole or main purpose of—

(a)
inducing a worker to give up membership of a relevant scheme

without becoming an active member of another relevant scheme

within the period prescribed under section 2(3), or

(b)
inducing a jobholder to give a notice under section 7 without

becoming an active member of a qualifying scheme within the

period prescribed under section 2(3).

(2)
Section 31 applies in relation to a contravention of this section as it applies

in relation to a contravention of section 2(1), and sections 34 to 39 apply

accordingly.

(3)
But the Regulator may not issue a compliance notice in respect of a

contravention of this section unless the contravention occurred within the

prescribed period before—

(a)
the time when a complaint was made to the Regulator about the

contravention, or

(b)
the time when the Regulator informed the employer of an

investigation of the contravention, if no complaint was made before

that time.

(4)
A compliance notice in respect of a contravention of this section may direct

the employer to take or refrain from taking specified steps in order to

prevent the contravention being repeated.

(5)
For the purposes of this section a worker gives up membership of a

relevant scheme if the worker—

(a)
takes action or makes an omission by which the worker, without

ceasing to be employed by the employer, ceases to be an active

member of the scheme, or

(b)
requests or authorises the employer to take such action or to make

such an omission.

(6)
In this section, “relevant scheme” means—

(a)
in relation to a jobholder, a qualifying scheme;

(b)
in relation to a worker to whom section 8 applies, a scheme which

satisfies the requirements of that section.”
Clause 54
136
Page 26, line 13, leave out “a worker’s contract and”
137
Page 26, line 20, after “employee” insert “within the meaning of that Act”
Clause 55
138
Page 27, leave out lines 11 and 12 and insert—

“( )
This section applies to any requirement imposed on the employer by or

under any provision of Chapter 1 of Part 1 of the Pensions Act 2008.

( )
In this section references to enforcing a requirement include references to

securing its benefit in any way.”