Legalize / United Kingdom / Northern Ireland / Ni-Statutory-Rule

The Pension Protection Fund (Reference of Reviewable Matters to the PPF Ombudsman) Regulations (Northern Ireland) 2005

Type Ni-Statutory-Rule

Publication 2005-07-20

State In force

Jurisdiction Northern Ireland

Department Government Printer for Northern Ireland

Source legislation.gov.uk

articles 1

Reform history JSON API PDF

Made: 20th July 2005

Coming into operation: 21st July 2005

The Department for Social Development, in exercise of the powers conferred on it by Articles 192(1) to (3), (4)(a) to (d) and (f) and (5)(a) to (d) and (f) and 287(2) and (3) of the Pensions (Northern Ireland) Order 2005[^f00001], and of all other powers enabling it in that behalf, hereby makes the following Regulations:

Citation, commencement and interpretation

1

(1) These Regulations may be cited as the Pension Protection Fund (Reference of Reviewable Matters to the PPF Ombudsman) Regulations (Northern Ireland) 2005 and shall come into operation on 21st July 2005.

(2) In these Regulations—

“the Order” means the Pensions (Northern Ireland) Order 2005 and any reference to a numbered Article is a reference to the Article of the Order bearing that number;

“applicant” means a person who has referred a reviewable matter to the PPF Ombudsman pursuant to regulation 2 or, if that person was acting as a representative of another person, that other person;

“party to the reference” means— the applicant, and the Board;

“Reconsideration Committee” means a committee of the Board constituted under Article 189 (review and reconsideration by the Board of reviewable matters).

Reference of a reviewable matter

2

Where the Reconsideration Committee has given a reconsideration decision in relation to a reviewable matter by virtue of regulations made under Article 189(1)(b) or (3)(b), that matter may be referred to the PPF Ombudsman by any person who is sent, or required to be sent, a copy of the reconsideration decision under those regulations.

Time for making a reference

3

(1) Subject to regulation 19(1), a reference of a reviewable matter is made when it is sent to the PPF Ombudsman by a person before the end of the period of 28 days beginning with the date on which that person was sent a notice of the reconsideration decision.

(2) A reference of a reviewable matter may not be made after the end of the period referred to in paragraph (1) in any case where the reviewable matter to which the reference relates is—

(a) the issue of a notice under Article 106 (insolvency practitioner’s duty to issue notices confirming status of scheme) by virtue of Article 108 (Board’s duty where there is a failure to comply with Article 106);

(b) the issue of a determination notice under Article 107(4) (approval of notices issued under Article 106);

(c) the issue of a validation notice under regulation 2(5) of the Pension Protection Fund (Entry Rules) Regulations (Northern Ireland) 2005[^f00002] (determination to validate or not to validate an estimate and statement provided by the actuary);

(d) the issue of—

(i) a scheme failure notice under Article 114(2) (Board’s duty where application or notification received under Article 113), or

(ii) a withdrawal notice under Article 114(3);

(e) the issue of a notice under Article 120(2) (power to validate contraventions of Article 119);

(ea) the issue of—

(i) a notice under Article 127(2A) (whether Board will make a determination or obtain an actuarial valuation), or

(ii) a determination under Article 127(2)(a) (whether condition in Article 111(2)(a) or 112(2)(a) satisfied);

(f) the approval of the valuation under Article 128(2)(a)[^f00003] (approval of valuation);

(g) the approval of the valuation under Article 128(2)(a) as applied for the purposes of Article 144(8)[^f00004] (transfer notice);

(h) the issue of a withdrawal notice under Article 130(2)(a) (schemes which become eligible schemes);

(i) the issue of a withdrawal notice under Article 131(2)(a) (new schemes created to replace existing schemes);

(j) the issue of a withdrawal notice under Article 132(3) or (4) (withdrawal following issue of Article 106(4) notice);

(k) the issue of a determination notice under Article 136(3) (duty to assume responsibility following reconsideration);

(l) the issue of a determination notice under Article 137(6) (closed schemes); or

(m) the issue of—

(i) a notice under Article 142(3A) (whether Board will make a determination or obtain an actuarial valuation), or

(ii) a determination under Article 142(3)(a) (whether condition in Article 142(1) satisfied).

Form and content of a reference

4

(1) A reference of a reviewable matter to the PPF Ombudsman must be made in writing and must include—

(a) the name and address of the applicant;

(b) the date on which the decision of the Reconsideration Committee to which the reference relates was given;

(d) the grounds on which the reference is made, and

(e) where the reference is made by a representative of the applicant, the name and address of that representative and whether that address is the address to be used for the purposes of the reference.

(2) A reference must be signed and dated by the person who has referred the matter.

(3) Where the reference is transmitted by means of an electronic communications network, the reference is treated as having been signed for the purposes of paragraph (2) if the identity of the applicant as the person responsible for making the reference can be established from the reference in such manner as the PPF Ombudsman directs for the purposes of this paragraph.

(4) In paragraph (3) “electronic communications network” has the same meaning as in section 32 of the Communications Act 2003[^f00005] (meaning of electronic communications networks and services).

Procedure on receipt of a reference

5

(1) As soon as practicable after receiving a reference of a reviewable matter that is duly made in accordance with regulations 3(1) and 4, the PPF Ombudsman must—

(a) send a written acknowledgement of its receipt to each party to the reference, and

(b) if the PPF Ombudsman considers that a person other than a party to the reference may be significantly adversely affected by his determination in relation to the matter, notify that person—

(i) that a reference has been made;

(ii) of the grounds on which the reference has been made;

(iii) that the reference and any other documents relating to the reference that are sent to the PPF Ombudsman at any stage in the investigation of the reference, including any written representations made by the person under regulation 8, will be available for inspection at the offices of the PPF Ombudsman;

(iv) that such written representations will be copied to the applicant and the Board;

(v) of the person’s rights under regulations 8 and 12, and

(vi) of the effect of regulation 15(5).

(2) The acknowledgement must state the date on which the reference was received.

(3) The acknowledgement sent to the applicant must include a statement—

(a) that any information or documents provided in support of the reference will be—

(i) copied to the Board;

(ii) made available for inspection by any person notified under paragraph (1)(b);

(b) of the applicant’s rights under regulations 8 and 12, and

(4) The acknowledgement sent to the Board must be accompanied by a notification of the grounds on which the reference has been made.

(5) A notification under this regulation must be made in writing but, subject to that, may be made in such manner as the PPF Ombudsman considers appropriate.

(6) Unless paragraph (7) applies, as soon as practicable after receiving a reference that is not duly made in accordance with regulations 3(1) and 4 the PPF Ombudsman must inform the applicant that the reference was not duly made and that he will not be investigating the matter in question.

(7) This paragraph applies if—

(a) the reference is duly made in accordance with regulation 3(1) but not regulation 4;

(b) the PPF Ombudsman is satisfied that the reference can be amended by the applicant so that it is duly made in accordance with regulation 4 within such period as the PPF Ombudsman requests, and

Duty to investigate and determine a reviewable matter

6

(1) Where a reference of a reviewable matter is duly made in accordance with regulations 3(1) and 4, the PPF Ombudsman must—

(a) investigate the matter and determine what action, if any, the Board should take, and

(b) remit the matter to the Board with directions for the purpose of giving effect to his determination.

(2) The determination must be reached and given before the end of the relevant period.

(3) In paragraph (2), the “relevant period” means—

(a) the period of 2 months beginning with the date on which the PPF Ombudsman concludes his investigation in relation to the matter, or

(b) such longer period, beginning with that date, as he considers appropriate having regard to the reference of the reviewable matter involved, but not exceeding 6 months.

(4) In any case where the Board—

(a) states in writing that it does not oppose the grounds upon which the reference of a reviewable matter is made;

(b) withdraws its opposition to such a reference, or

(c) fails to comply with a request from the PPF Ombudsman for information relating to the reference before the end of such period within which the PPF Ombudsman has requested the information to be given,

the PPF Ombudsman may determine the matter forthwith without any further investigation.

Conduct of investigation: general

7

(1) For the purposes of investigating a reference of a reviewable matter made to him, the PPF Ombudsman may consider any evidence before him.

(2) The PPF Ombudsman may—

(a) conduct an oral hearing in relation to the reference;

(b) investigate the reference on the basis of written evidence before him without holding an oral hearing;

(d) refer any question which arises out of the reference to a person who, in the PPF Ombudsman’s opinion, is able to provide an expert opinion in relation to that question, and

(e) without prejudice to his powers under regulation 16, where references are made on the same or substantially the same grounds and are supported by the same or substantially the same evidence, deal together with any issues arising in respect of two or more references made to him if those issues are the same or substantially the same.

(3) The PPF Ombudsman may by notice in writing require any person who, in the PPF Ombudsman’s opinion, is able to produce documents necessary for the purposes of the investigation, to produce such documents in such manner, at such place and within such period as is specified in the notice.

(4) No person can be compelled for the purposes of any investigation or determination to give evidence or produce any document which he could not be compelled to give or produce in civil proceedings before a county court.

(5) Subject to the provisions of this regulation and to any provision to the contrary in these Regulations, the procedure for conducting an investigation of a reference of a reviewable matter made to the PPF Ombudsman is such as the PPF Ombudsman considers appropriate in the circumstances of the case and, in particular, he may—

(a) obtain information from such persons and in such manner;

(b) make such inquiries, and

as he thinks fit.

Written representations and right to be heard

8

(1) A party to the reference of a reviewable matter, or a person notified of such a reference under regulation 5(1)(b), may—

(a) make written representations to the PPF Ombudsman in respect of the reference;

(b) request that the PPF Ombudsman holds an oral hearing about the reference, and

(2) Written representations must be sent to the PPF Ombudsman by—

(a) a party to the reference, before the end of the period of 28 days beginning with the day on which the PPF Ombudsman sent a written acknowledgement of his receipt of the reference to that party under regulation 5(1)(a) (“the acknowledgement day”);

(b) a person notified of the reference under regulation 5(1)(b), before the end of the period of 28 days beginning with the date on which the notification was given.

(3) Where written representations are duly sent to the PPF Ombudsman by a party to the reference under paragraph (2)(a), the PPF Ombudsman must, as soon as practicable after receiving them—

(a) send a copy of those representations to the other party to the reference, and

(b) make those representations available for inspection by any person notified of the reference under regulation 5(1)(b).

(4) Where written representations are duly sent to the PPF Ombudsman in accordance with paragraph (2)(b) by a person notified of a reference under regulation 5(1)(b), the PPF Ombudsman must, as soon as practicable—

(a) send a copy of those representations to each party to the reference, and

(b) make those representations available for inspection by any other person notified of the reference under regulation 5(1)(b).

(5) A request to the PPF Ombudsman to hold an oral hearing must be made in writing and must be sent to the PPF Ombudsman before the end of the period of 28 days beginning with, in the case of—

(a) a party to the reference, the acknowledgement day, or

(b) a person notified of the reference under regulation 5(1)(b), the date on which the notification was sent to that person.

(6) On receiving such a request, the PPF Ombudsman—

(a) must consider it, and

(b) if he considers that it is not appropriate to hold an oral hearing, must give his reasons in writing to the person making the request.

Delivery of supplementary statement

9

(1) The applicant may at any time during the investigation of a reference by the PPF Ombudsman, if the PPF Ombudsman consents, submit a supplementary statement in writing in respect of a reference of a reviewable matter.

(2) The PPF Ombudsman must, as soon as practicable after receiving such a statement—

(a) send a copy of it to the Board;

(b) give notice of the submission in such manner and in such form as he considers appropriate to any person notified of the reference under regulation 5(1)(b), and

Withdrawal and amendment of the reference or supplementary statement

10

(1) If the PPF Ombudsman consents, the applicant may at any time during the investigation of a reference of a reviewable matter by the PPF Ombudsman—

(a) withdraw the reference or supplementary statement, or

(b) amend the content of the reference or supplementary statement.

(2) Such a withdrawal or amendment must be made by giving notice in writing to the PPF Ombudsman.

(3) The PPF Ombudsman must, as soon as practicable after receiving such a notice—

(a) send a copy of it to the Board;

(b) give notice of it in such manner and in such form as he considers appropriate to any person notified of the reference under regulation 5(1)(b), and

Time and place of oral hearings

11

(1) If the PPF Ombudsman decides that it is appropriate to hold an oral hearing in connection with his investigation of a reference of a reviewable matter made to him, he must fix the time and place of the hearing, having due regard to any representations made to him by the referring party and the Board about the time and place that would be convenient for them.

(2) The PPF Ombudsman must send a notice of the time and place to—

(a) each party to the reference;

(b) a person notified of the reference under regulation 5(1)(b), and

(3) The notice—

(a) must be sent not later than 21 days before the date of the hearing or by such later time as each party to the reference agrees, and

(b) may be given in such manner and take such form as the PPF Ombudsman considers appropriate.

(4) The PPF Ombudsman must include with the notice a statement explaining—

(a) the purpose of the hearing;

(b) the rights of each party to the reference, or of any person notified of the reference under regulation 5(1)(b), to—

(i) make oral representations at the hearing;

(ii) call witnesses at the hearing to give evidence that is relevant to the matter being investigated, and

(iii) send written representations to the PPF Ombudsman not later than 14 days before the date of the hearing if they do not intend to attend the hearing;

(d) that if a party to the reference or a person notified of the reference under regulation 5(1)(b) fails to—

(i) attend the hearing, or

(ii) send written representations to the PPF Ombudsman at least 14 days before the date of the hearing,

the PPF Ombudsman may decide the matter without providing a further opportunity for that person to make oral or written representations in respect of it.

(5) If the PPF Ombudsman considers it to be necessary to alter the time or location of the hearing, he must give the persons specified in paragraph (2) notice of the alteration not less than 7 days before—

(a) the date on which the hearing was to have taken place, or

(b) if it is earlier, the date on which it is to take place after the alteration,

or at such later time as each party to the reference may agree.

Reading this document does not replace reading the official text published on legislation.gov.uk. Contains public sector information licensed under the Open Government Licence v3.0. We assume no responsibility for any inaccuracies arising from the conversion of the original CLML XML to this format.