The Occupational Pensions Regulatory Authority (Determinations and Review Procedure) Regulations 1997

Explanatory Note

(This note is not part of the Regulations)

The Occupational Pensions Regulatory Authority (“the Authority") is established under section 1 of the Pensions Act 1995 (c.26).

In these Regulations, Part I contains provision as to their citation, commencement, interpretation and extent; Part II provides for the procedures to be followed in the review of determinations by the Authority; and Part III provides the time limit for payment of a civil penalty imposed by the Authority.

Regulation 1 concerns the citation, commencement, interpretation and extent of the Regulations.

Regulation 2 concerns the requirements on the Authority when they make a determination.

Regulation 3 concerns how an application for a review is to be made.

Regulation 4 concerns the procedure to be followed by the Authority when they receive an application for a review or when they decide to review a determination of their own motion.

Regulation 5 provides for written representations to be made to the Authority in connection with a review.

Regulation 6 concerns the preparation of a statement of facts in connection with a review.

Regulation 7 concerns the circumstances in which the Authority may deal with a review other than by way of an oral hearing. It also provides for circumstances when an oral hearing must be held.

Regulation 8 concerns requirements relating to the notification of the date, time, place and manner of the review.

Regulation 9 concerns when a review may be withdrawn and the procedure to be followed.

Regulation 10 concerns the circumstances in which an application for a review of a determination may be made or continued after the death of the person in respect of whom the determination was made.

Regulation 11 concerns the establishment of a committee by the Authority to dispose of a review.

Regulation 12 provides for the copying of relevant documents relating to a review to interested persons.

Regulation 13 provides for the circumstances in which the Authority may hold an oral hearing in private rather than in public and for the persons entitled to attend any hearing whether held in private or not.

Regulation 14 gives the Authority power to summon witnesses to attend an oral hearing of a review.

Regulation 15 concerns procedural requirements at oral hearings.

Regulation 16 provides requirements relating to the content and notification of decisions on review and also relating to their publication.

Regulation 17 concerns applications for a review which are made or continued by a person acting on behalf of another.

Regulation 18 concerns the circumstances in which certain time limits may be extended.

Regulation 19 concerns the correction of irregularities.

Regulation 20 concerns the procedures for sending or delivering documents.

Regulation 21 provides the time limit for payment of a civil penalty imposed by the Authority for the purposes of section 10(1) of the Pensions Act 1995.

An assessment of the compliance costs for employers of the measures arising from the Pensions Act 1995, including regulations, has been placed in the libraries of both Houses of Parliament. Copies can be obtained by post from the Department of Social Security, 11th Floor, The Adelphi, 1-11 John Adam Street, London WC2N 6HT.