The Financial Assistance Scheme (Modifications and Miscellaneous Amendments) Regulations 2005

Amendment of the FAS Internal Review Regulations

5.—(1) The FAS Internal Review Regulations shall be amended in accordance with this regulation.

(2) In regulation 1(3) (interpretation)—

(a) omit the definition of “appointed representative”; and

(b) after the definition of “interested person”, insert—

““potential beneficiary” means any person—

(a)

in respect of whom the information determined in accordance with the fourth item of the table in paragraph 1(2) of Schedule 1 to the Financial Assistance Scheme (Provision of Information and Administration of Payments) Regulations 2005(1) (information to be provided by appropriate persons) is to be provided to the scheme manager in accordance with regulation 3(3)(a) of those Regulations (information to be provided to the scheme manager); but

(b)

who has not yet been determined to be a beneficiary;”.

(3) In regulation 2(1)(d) (reviewable determinations), after “scheme” insert “, or a survivor of that qualifying member,”.

(4) In regulations 3 (notice of a reviewable determination), 6 (applications for a review of a reviewable determination), 8 (notice of an application for the review of a reviewable determination), 9 (withdrawal or amendment of application) and 11 (notice of reviews other than on application), after “trustees”, in each place that it occurs, insert “or managers”.

(5) In regulation 3(1)(b)(ii), after “appointed representative” insert “within the meaning of regulation 2(7)(b) of the FAS Regulations”.

(6) For regulation 4 (duty of scheme manager to give a review decision), substitute—

“Duty of scheme manager to give a review decision

4.— (1) Subject to paragraph (2) and regulation 7, a review decision in respect of a reviewable determination must be given by the scheme manager on receipt of an application that—

(a) is made by an interested person; and

(b) otherwise complies with the requirements of regulations 5 and 6.

(2) Where a scheme manager receives from an interested person an application that does not otherwise comply with the requirements of regulations 5 and 6, the scheme manager must, as soon as practicable after receipt of such an application, inform the interested person that—

(a) the application does not comply with those requirements; and

(b) unless the interested person can amend the application, within such period as the scheme manager requests, so that it does comply with those requirements, he will not conduct the review.”.

(7) In regulation 5 (time for making an application for a review of a reviewable determination)—

(a) in paragraph (1)(a), for “made; or” substitute “made;”;

(b) for paragraph (1)(b), substitute—

“(b) in the case of a reviewable determination which—

(i) is made before the coming into force of the Financial Assistance Scheme (Modifications and Miscellaneous Amendments) Regulations 2005; and

(ii) relates to member eligibility or member assessment,

at any time after the date on which that determination was made; or

(c) in the case of a reviewable determination which—

(i) is made on or after the coming into force of the Financial Assistance Scheme (Modifications and Miscellaneous Amendments) Regulations 2005; and

(ii) relates to member eligibility or member assessment,

before the end of the period of one month beginning with the date on which that determination was made.”;

(c) in paragraph (3), after “paragraph (1)(a)” insert “or (b)”; and

(d) after paragraph (3), add—

“(4) For the purposes of paragraph (2), “application” means an application that—

(a) is made by an interested person; and

(b) otherwise complies with the requirements of this regulation and regulation 6.”.

(8) In regulation 6(1), after “regulation 17(2)”, in each place that it occurs, insert “of these Regulations or regulation 2(7)(b) of the FAS Regulations”.

(9) In regulations 11(3)(a), for “16(2)”, substitute “16(1)”.

(10) In regulation 15(d)(i) (matters to be included in a review decision or a subsequent review decision), after “any” insert “interested”.

(11) For regulation 16 (notice of a review decision or a subsequent review decision), substitute—

“Notice of a review decision or a subsequent review decision

16.— (1) The scheme manager must issue a notice of a review decision given under regulation 4 or 7(1) or of a subsequent review decision given under regulation 7(2)—

(a) in a case where the reviewable determination relates to scheme notification or scheme eligibility, to—

(i) the person who made the application for a review of a reviewable determination;

(ii) where the occupational pension scheme to which the application relates has not completed winding up, the trustees or managers of the scheme, if the scheme manager is not already required to issue a notice to those trustees or managers under sub-paragraph (a)(i); and

(iii) the person who notified the scheme manager of the details referred to in regulation 14(1) or (3) of the FAS Regulations (notification of details), if the scheme manager is not already required to issue a notice to that person under sub-paragraph (a)(i) or (ii); and

(b) in a case where the reviewable determination relates to member eligibility or member assessment, to the person who made the application for a review decision.

(2) The scheme manager must issue a notice of a review decision given under regulation 10—

(a) in a case where the reviewable determination relates to scheme notification or scheme eligibility, to—

(i) the person who notified the scheme manager of the details referred to in regulation 14(1) or (3) of the FAS Regulations; and

(ii) where the occupational pension scheme to which the application relates has not completed winding up, the trustees or managers of the scheme, if the scheme manager is not already required to issue a notice to those trustees or managers under sub-paragraph (a)(i); and

(b) in a case where the reviewable determination relates to member eligibility or member assessment, to any person to whom the scheme manager issued a notice under regulation 3(1)(b).

(3) Where the reviewable determination relates to scheme notification or scheme eligibility, the scheme manager must also —

(a) take reasonable steps to publicise to any interested person who has not been issued with a notice under paragraph (1) or (2)—

(i) the fact that a review decision or a subsequent review decision has been made; and

(ii) the right of that person to appeal against that decision;

(b) make a copy of that notice available for inspection by that person; and

(c) issue a notice to that person if he requests it.

(4) A notice issued by the scheme manager under this regulation must be—

(a) in writing; and

(b) accompanied by a copy of—

(i) the review decision; or

(ii) the subsequent review decision,

to which it relates.”.

(12) In regulation 17 (representation)—

(a) in paragraph (3), for “for the purposes”, in the second place that it occurs, substitute “within the meaning of regulation 2(7)(a)”; and

(b) after paragraph (3), add—

“(4) If an interested person appoints a representative under paragraph (1), and then—

(a) dies; or

(b) becomes otherwise incapable of acting for himself,

the person appointed under paragraph (1) is deemed to have been appointed under paragraph (2).”.

(1)

S.I. 2005/2189 as amended by regulation 6 of these Regulations.