The Personal and Occupational Pension Schemes (Pensions Ombudsman) (Procedure) (Amendment) Rules (Northern Ireland) 1997

Statutory Rules of Northern Ireland

1997 No. 38

PENSIONS

The Personal and Occupational Pension Schemes (Pensions Ombudsman) (Procedure) (Amendment) Rules (Northern Ireland) 1997

Made

3rd February 1997

Coming into operation

6th April 1997

The Department of Health and Social Services for Northern Ireland, in exercise of the powers conferred on it by section 145(2) and (3) of the Pension Schemes (Northern Ireland) Act 1993(1), and of all other powers enabling it in that behalf, hereby makes the following Rules:

Citation, commencement and interpretation

1.—(1) These Rules may be cited as the Personal and Occupational Pension Schemes (Pensions Ombudsman) (Procedure) (Amendment) Rules (Northern Ireland) 1997 and shall come into operation on 6th April 1997.

(2) The Interpretation Act (Northern Ireland) 1954(2) shall apply to these Rules as it applies to a Measure of the Assembly.

Amendment of the Personal and Occupational Pension Schemes (Pensions Ombudsman) (Procedure) Rules

2.—(1) The Personal and Occupational Pension Schemes (Pensions Ombudsman) (Procedure) Rules (Northern Ireland) 1995(3) shall be amended in accordance with paragraphs (2) to (5).

(2) In rule 1(2)—

(a) after the definition of “the Act” there shall be inserted the definition—

““complainant” means a person by or in respect of whom the complaint is made or dispute is referred under section 142(1) of the Act;”;

(b) in the definition of “complaint” for “section 142(1)” there shall be substituted “section 142(1)(a) or (b)”(4);

(c) in the definition of “dispute” for “section 142(2)” there shall be substituted “section 142(1)(c) or (d)”;

(d) in the definition of “party to the investigation” for “authorised complainant” there shall be substituted “complainant”;

(e) in the definition of “respondent” for paragraphs (a) and (b) there shall be substituted—

“(a) a person responsible for the management of an occupational or personal pension scheme, or

(b) any other person to whom Part X of the Act applies as it applies to a person responsible for the management of an occupational or personal pension scheme,”.

(3) In rule 2(1) for “An authorised complainant” there shall be substituted “A complainant”.

(4) In rules 2(2)(a) and (e), 3 to 5, 6(2), 7(2) and 9(1) for “authorised complainant”, in each place where it occurs, there shall be substituted “complainant”.

(5) After rule 15 there shall be inserted the following rule—

“Payment of travel and subsistence expenses and compensation for lost earnings

15A.— (1) Where the Pensions Ombudsman considers it appropriate for an oral hearing to be held in connection with an investigation conducted by him, he may, having regard to the particular circumstances of the case, make payments in respect of allowances, fees and expenses in accordance with the following provisions of this rule.

(2) In this rule “specified”, in relation to any amount, means the amount determined by the Department from time to time and notified by it to the Pensions Ombudsman.

(3) Sub-paragraphs (a) to (c) of paragraph (4) apply only in respect of complaints or disputes in which the complainant is an actual or potential beneficiary of an occupational or personal pension scheme.

(4) Subject to paragraph (3), travelling expenses actually and reasonably incurred may be paid to—

(a) in a case where the complainant attends the hearing, that person;

(b) in a case where the complainant cannot, for reasons of ill health or incapacity, attend the hearing but is represented at the hearing by a relative or friend who is not receiving any form of remuneration in connection with his involvement in the complaint or dispute, that relative or friend;

(c) in a case where the complainant requires, for reasons of ill health or incapacity, to be accompanied at the hearing by an attendant, that attendant;

(d) a witness, other than a medical or other expert witness, attending the hearing where an application has been made in writing to the Pensions Ombudsman and the Pensions Ombudsman certifies that, in the circumstances of the case, the attendance of the witness is necessary or desirable.

(5) An allowance in respect of day and, where applicable, overnight subsistence may be paid at the specified rate to the persons and in the circumstances mentioned in paragraph (4).

(6) An allowance in respect of travel and subsistence expenses may be paid in advance of a hearing to the persons and in the circumstances mentioned in paragraph (4) where the Pensions Ombudsman is satisfied that such persons would not otherwise be able to attend the hearing.

(7) Compensation in respect of lost earnings may be paid, subject to the specified daily maximum, to the persons and in the circumstances mentioned in paragraph (4) where the Pensions Ombudsman is satisfied that—

(a) by attending the hearing, such persons have experienced an interruption in employment which results in a reduction in their gross earnings; and

(b) had such persons not attended the hearing, their gross earnings in respect of the period of interruption of employment would not have been less than the amount claimed.

(8) A claim for travel and subsistence expenses or, as the case may be, for compensation in respect of lost earnings shall be made in writing to the Pensions Ombudsman and shall be accompanied by full particulars and evidence of the expenses and lost earnings claimed.

(9) In any case where the Pensions Ombudsman considers it appropriate to hold an oral hearing in connection with an investigation conducted by him, he shall immediately provide to an actual or potential beneficiary and, on request, to any other person full particulars of the arrangements made for the payment of specified travel and subsistence expenses, including information about advance payments and compensation in respect of lost earnings.”.

Sealed with the Official Seal of the Department of Health and Social Services for Northern Ireland on

L.S.

John O'Neill

Assistant Secretary

3rd February 1997.

Explanatory Note

(This note is not part of the Rules.)

These Rules amend the Personal and Occupational Pension Schemes (Pensions Ombudsman) (Procedure) Rules (Northern Ireland) 1995 which make provision as to the procedure to be followed where a complaint or dispute relating to an occupational or personal pension scheme is referred to the Pensions Ombudsman under Part X of the Pension Schemes (Northern Ireland) Act 1993 (“the Act”).

Rule 2(2) to (4) makes amendments to certain definitions and expressions to reflect amendments to the Act made by the Pensions (Northern Ireland) Order 1995 (“the Order”).

Rule 2(5) inserts a new rule 15A which makes provision for the Pensions Ombudsman to pay travel and subsistence expenses and compensation for lost earnings in certain cases to those who attend oral hearings in connection with an investigation by the Pensions Ombudsman of a complaint or dispute.

Section 145(3) of the Act, one of the enabling provisions under which these Rules are made, was amended by Article 154 of the Order. The Pensions (1995 Order) (Commencement No. 4) Order (Northern Ireland) 1996 (S.R. 1996 No. 307 (C. 18)) provides for the coming into operation of Article 154, for the purposes only of authorising the making of rules, on 23rd July 1996.

(1)

1993 c. 49; section 145(3) was amended by Article 154 of the Pensions (Northern Ireland) Order 1995 (S.I. 1995/3213 (N.I. 22))

(2)

1954 c. 33 (N.I.)

(3)

S.R. 1995 No. 167

(4)

Section 142(1) to (4) is substituted by Article 153(2) of the Pensions (Northern Ireland) Order 1995