Pension Schemes (Northern Ireland) Act 1993

Part X N.I. Investigations: the Pensions Ombudsman

Modifications etc. (not altering text)

C1 Pt. 10 restricted (1.4.2015) by The Health and Social Care Pension Scheme (Transitional and Consequential Provisions) Regulations (Northern Ireland) 2015 (S.R. 2015/122), regs. 1, 27(3)(a)(ii)

141 The Pensions Ombudsman. N.I.

(1) In this Part “the Pensions Ombudsman” means the person appointed under section 145 of the M1 Pension Schemes Act 1993.

[F1 (2A) The Pensions Ombudsman may (with the approval of the Department as to numbers) appoint such persons to be employees of his as he thinks fit, on such terms and conditions as to remuneration and other matters as the Pensions Ombudsman may with the approval of the Department determine.

(2B) The Department may, on such terms as to payment by the Pensions Ombudsman as the Department thinks fit, make available to the Pensions Ombudsman such additional staff and such other facilities as it thinks fit.

(2C) Any function of the Pensions Ombudsman, other than the determination of complaints made and disputes referred under this Part, may be performed by any—

(a) employee appointed by the Pensions Ombudsman under subsection (2A) or any corresponding provision in force in Great Britain, or

(b) member of staff made available to him under subsection (2B) or any corresponding provision in force in Great Britain,

who is authorised for that purpose by the Pensions Ombudsman.]

(3) The Department may reimburse the Pensions Ombudsman in respect of any expenses incurred by him in the performance of his functions.

Textual Amendments

F1 S. 141(2)-(2C) substituted (19.12.1995) for s. 141(2) by S.I. 1995/3213 (N.I. 22), art. 152; S.R. 1995/477, art. 2(a), Sch Pt. II

Marginal Citations

M1 1993 c. 48.

142 Functions of the Pensions Ombudsman. N.I.

[F2 (1) The Pensions Ombudsman may investigate and determine the following [F3 matters]—

(a) a complaint made to him by or on behalf of an actual or potential beneficiary of an occupational or personal pension scheme who alleges that he has sustained injustice in consequence of maladministration in connection with any act or omission of a person responsible for the management of the scheme,

(b) a complaint made to him—

(i) by or on behalf of a person responsible for the management of an occupational pension scheme who in connection with any act or omission of another person responsible for the management of the scheme, alleges maladministration of the scheme, or

(ii) by or on behalf of the trustees or managers of an occupational pension scheme who in connection with any act or omission of any trustee or manager of another such scheme, allege maladministration of the other scheme,

and in any case falling within sub-paragraph (ii) references in this Part to the scheme to which the complaint relates [F4 are references to the other scheme referred to in that sub-paragraph]

[F5 (ba) a complaint made to him by or on behalf of an independent trustee of a trust scheme who, in connection with any act or omission which is an act or omission either—

(i) of trustees of the scheme who are not independent trustees, or

(ii) of former trustees of the scheme who were not independent trustees,

alleges maladministration of the scheme,]

(c) any dispute of fact or law F6 . . . in relation to an occupational or personal pension scheme between—

(i) a person responsible for the management of the scheme, and

(ii) an actual or potential beneficiary,

F6 . . . and

(d) any dispute of fact or law F6 . . . between the trustees or managers of an occupational pension scheme and—

(i) another person responsible for the management of the scheme, or

(ii) any trustee or manager of another such scheme,

[F7 and in a case falling within sub-paragraph (ii) references in this Part to the scheme to which the reference relates are references to each of the schemes,

(e)

any dispute not falling within paragraph (f) between different trustees of the same occupational pension scheme,

(f)

[F8 any dispute, in relation to a time while Article 22 of the Pensions (Northern Ireland) Order 1995 (circumstances in which the Regulatory Authority may appoint an independent trustee) applies in relation to an occupational pension scheme, between an independent trustee of the scheme appointed under Article 23(1) of that Order and either—

(i)

other trustees of the scheme, or

(ii)

former trustees of the scheme who were not independent trustees appointed under Article 23(1) of that Order, and]

(g)

any question relating, in the case of an occupational pension scheme with a sole trustee, to the carrying out of the functions of that trustee.]

[F9 (1A) The Pensions Ombudsman shall not investigate or determine any dispute or question falling within subsection (1)(c) to (g) unless it is referred to him—

(a) in the case of a dispute falling within subsection (1)(c), by or on behalf of the actual or potential beneficiary who is a party to the dispute,

(b) in the case of a dispute falling within subsection (1)(d), by or on behalf of any of the parties to the dispute,

(c) in the case of a dispute falling within subsection (1)(e), by or on behalf of at least half the trustees of the scheme,

(d) in the case of a dispute falling within subsection (1)(f), by or on behalf of the independent trustee who is a party to the dispute,

(e) in the case of a question falling within subsection (1)(g), by or on behalf of the sole trustee.

(1B) For the purposes of this Part any reference to or determination by the Pensions Ombudsman of a question falling within subsection (1)(g) shall be taken to be the reference or determination of a dispute.]

(2) Complaints and references made to the Pensions Ombudsman must be made to him in writing.

(3) For the purposes of this Part, the following persons (subject to subsection (4)) are responsible for the management of an occupational pension scheme [F10 or a personal pension scheme]—

(a) the trustees or managers, and

(b) the employer;

but, in relation to a person falling within one of those paragraphs, references in this Part to another person responsible for the management of the same scheme are to a person falling within the other paragraph.

F11 (3A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) Regulations may provide that, subject to any prescribed modification or exceptions, this Part shall apply in the case of an occupational or personal pension scheme in relation to any prescribed person or body of persons where the person or body—

(a) is not a trustee or manager or employer, but

(b) is concerned with the financing or administration of, or the provision of benefits under, the scheme,

as if for the purposes of this Part he were a person responsible for the management of the scheme.]

[F12 (4A) For the purposes of subsection (4) a person or body of persons is concerned with the administration of an occupational or personal pension scheme where the person or body is responsible for carrying out an act of administration concerned with the scheme.]

(5) The Pensions Ombudsman may investigate a complaint or dispute notwithstanding that it arose, or relates to a matter which arose, before 1st October 1990 (the date on which the provisions under which his office was constituted came into force).

(6) The Pensions Ombudsman shall not investigate or determine a complaint or dispute—

[F13 (a) if, before the making of the complaint or the reference of the dispute—

(i) proceedings in respect of the matters which would be the subject of the investigation have been begun in any court or industrial tribunal, and

(ii) those proceedings are proceedings which have not been discontinued or which have been discontinued on the basis of a settlement or compromise binding all the persons by or on whose behalf the complaint or reference is made;]

(b) if the scheme is of a description which is excluded from the jurisdiction of the Pensions Ombudsman by regulations under this subsection; or

(c) if and to the extent that the complaint or dispute, or any matter arising in connection with the complaint or dispute, is of a description which is excluded from the jurisdiction of the Pensions Ombudsman by regulations under this subsection.

(7) The persons who, for the purposes of this Part are [' F14 actual or potential beneficiaries']in relation to a scheme are—

(a) a member of the scheme;

(b) the [F15 widow, widower or surviving civil partner], or any surviving dependant, of a deceased member of the scheme;

[F16 (ba) a person who is entitled to a pension credit as against the trustees or managers of the scheme;]

[F17 (bb) a person who has given notice in accordance with section 8 of the Pensions (No. 2) Act (Northern Ireland) 2008 (right to opt out of membership of an automatic enrolment scheme);]

(c) where the complaint or dispute relates to the question—

(i) whether a person who claims to be such a person as is mentioned in [F18 paragraph (a), (b) [F19 , (ba) or (bb) ]] is such a person, or

(ii) whether a person who claims to be entitled to become a member of the scheme is so entitled,

the person so claiming.

(8) In this Part—

• “employer”, in relation to a pension scheme, includes a person—

  (a)

  who is or has been an employer in relation to the scheme, or

  (b)

  who is or has been treated under section 176(2) as an employer in relation to the scheme for the purposes of any provision of this Act, or under section 181(2) of the M2 Pension Schemes Act 1993 as an employer in relation to the scheme for the purposes of any provision of that Act;

• [F20 “independent trustee”, in relation to a scheme, means—

(a) a trustee of the scheme appointed under [F21 Article 23(1) of the Pensions (Northern Ireland) Order 1995 (appointment of independent trustee by the Regulatory Authority)]

(b) a person appointed under Article 7(1) of that Order to replace a trustee falling within paragraph (a) or this paragraph;]

• “member”, in relation to a pension scheme, includes a person—

  (a)

  who is or has been in pensionable service under the scheme, or

  (b)

  who is or has been treated under section 176(4) as a member in relation to the scheme for the purposes of any provision of this Act or under section 181(4) of the Pension Schemes Act 1993 as a member in relation to the scheme for the purposes of any provision of that Act;

• “trustees or managers”, in relation to a pension scheme which is a public service pension scheme or a United Kingdom public service pension scheme, includes the scheme’s administrators;

• “United Kingdom public service pension scheme” means a public service pension scheme as defined in section 181(1) of the Pension M3 Schemes Act 1993;

and in this subsection “pensionable service” includes pensionable service as defined in section 181(1) of the M4 Pension Schemes Act 1993.

Textual Amendments

F2 S. 142(1)-(4) substituted (23.7.1996 for certain purposes otherwise 6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(2); S.R. 1996/307, art. 2(a), Sch. Pt. I; S.R. 1997/192, art. 2(b)

F3 Words in s. 142(1) substituted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(9)(a) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F4 Words in s. 142(1)(b) substituted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(9)(b) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F5 S. 142(1)(ba) inserted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(2) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F6 Words in s. 142(1)(c)(d) repealed (1.12.2000) by 2000 c. 4 (N.I.), ss. 49(9)(c), 67, Sch. 9 Pt. III(3) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F7 Words in s. 142(1)(d) and s. 142(1)(e)-(g) substituted (1.12.2000) for words in s. 142(1)(d) by 2000 c. 4 (N.I.), s. 49(3) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F8 S. 142(1)(f) substituted (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), art. 1(2), Sch. 10 para. 19(a); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F9 S. 142(1A)(1B) inserted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(4) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F10 Words in s. 142(3) inserted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(5) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F11 S. 142(3A) repealed (1.12.2000) by 2000 c. 4 (N.I.), s. 67, Sch. 9 Pt. III(3) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F12 S. 142(4A) inserted (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 252 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F13 S. 142(6)(a) substituted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(6) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F14 Words in s. 142(7) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(3); S.R. 1997/192, art. 2(b)

F15 Words in s. 142(7)(b) substituted (5.12.2005) by The Civil Partnership (Pensions and Benefit Payments) (Consequential, etc. Provisions) Order (Northern Ireland) 2005 (S.R. 2005/434), art. 1(3), Sch. para. 17

F16 S. 142(7)(ba) inserted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(7)(a) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F17 S. 142(7)(bb) inserted (30.6.2012) by Pensions (No. 2) Act (Northern Ireland) 2008 (c. 13), ss. 64(2), 118(1) (with s. 73); S.R. 2012/266, art. 2(b), Sch. Pt. 2

F18 Words in s. 142(7)(c)(i) substituted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(7)(b) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F19 Words in s. 142(7)(c)(i) substituted (30.6.2012) by Pensions (No. 2) Act (Northern Ireland) 2008 (c. 13), ss. 64(3), 118(1) (with s. 73); S.R. 2012/266, art. 2(b), Sch. Pt. 2

F20 S. 142(8): definition of

“independent trustee”

inserted (1.12.2000) by 2000 c. 4 (N.I.), s. 49(8) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

F21 Words in s. 142(8) substituted (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), art. 1(2), Sch. 10 para. 19(c); S.R. 2005/48, art. 2(7), Sch. Pt. 7

Modifications etc. (not altering text)

C2 S. 142(6) modified (1.12.2000) by 2000 c. 4 (N.I.), s. 49(10) (with s. 66(6)); S.R. 2000/374, art. 2(a), Sch. Pt. I

Marginal Citations

M2 1993 c. 48.

M3 1993 c. 48.

M4 1993 c. 48.

143 Death, insolvency or disability of authorised complainant. N.I.

(1) Where an [F22 actual or potential beneficiary] dies or is a minor or is otherwise unable to act for himself, then, unless subsection (3) applies—

(a) any complaint or dispute (whenever arising) which the [F22 actual or potential beneficiary] might otherwise have made or referred under this Part may be made or referred by the appropriate person, and

(b) anything in the process of being done by or in relation to the [F22 actual or potential beneficiary] under this Part may be continued by or in relation to the appropriate person,

and any reference in this Part, except this section, to an [F22 actual or potential beneficiary] shall be construed as including a reference to the appropriate person.

(2) For the purposes of subsection (1) “the appropriate person” means—

(a) where the [F23 actual or potential beneficiary] has died, his personal representatives; or

(b) in any other case, a member of [F23 his] family, or some body or individual suitable to represent him.

(3) Where a person is acting as an insolvency practitioner in relation to [F24 a person by whom, or on whose behalf, a complaint or reference has been made under this Part], investigations under this Part shall be regarded for the purposes of the M5 Insolvency (Northern Ireland) Order 1989 as legal proceedings.

(4) In this section “acting as an insolvency practitioner” shall be construed in accordance with Article 3 of the Insolvency (Northern Ireland) Order 1989, but disregarding paragraph (5) of that Article (exclusion of official receiver).

Textual Amendments

F22 Words in s. 143(1) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(4); S.R. 1997/192, art. 2(b)

F23 Words in s. 143(2) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(4); S.R. 1997/192, art. 2(b)

F24 Words in s. 143(3) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(5); S.R. 1997/192, art. 2(b)

Marginal Citations

M5 S.I. 1989/2405 (N.I. 19).

144 Staying court proceedings where a complaint is made or a dispute is referred. N.I.

(1) This section applies where—

(a) a complaint has been made or a dispute referred to the Pensions Ombudsman; and

(b) any party to the investigation subsequently commences any legal proceedings in any court against any other party to the investigation in respect of any of the matters which are the subject of the complaint or dispute.

(2) Where this section applies, any party to the legal proceedings may—

(a) if the proceedings are in the High Court, at any time after an appearance has been entered and before delivering any pleadings or taking any other step in the proceedings;

(b) if the proceedings are in the county court, at any time after the civil bill or other originating process has been served and before taking any other step in the proceedings,

apply to the court to stay the proceedings.

(3) On an application under subsection (2) the court may make an order staying the proceedings if it is satisfied—

(a) that there is no sufficient reason why the matter should not be investigated by the Pensions Ombudsman; and

(b) that the applicant was at the time when the legal proceedings were commenced and still remains ready and willing to do all things necessary to the proper conduct of the investigation.

(4) For the purposes of this section the parties to an investigation are—

[F25 (a) the person by whom, or on whose behalf, the complaint or reference has been made;

(b) any person responsible for the management of the scheme to which the complaint or reference relates;]

F26 [F27 (ba) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F28 (bb)] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) any person against whom allegations are made in the complaint or reference; and

(d) any person claiming under a person falling within paragraphs (a) to (c).

Textual Amendments

F25 S. 144(4)(a)(b) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(6); S.R. 1997/192, art. 2(b)

F26 S. 144(4)(ba) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(a), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F27 S. 144(4)(ba)(bb) inserted (1.3.2002 for the purposes only of authorising the making of rules) by 2000 c. 4 (N.I.), ss. 50(2), 68(2) (with ss. 50(9), 66(6)); S.R. 2002/68, art. 2(2)

F28 S. 144(4)(bb) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(a), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

145 Procedure on an investigation. N.I.

F29 (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F30 (1A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F31 (1B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) The Department may make rules with respect to the procedure which is to be adopted in connection with the making of complaints, the reference of disputes, and the investigation of complaints made and disputes referred, under this Part.

(3) The rules may include provision—

(a) requiring any oral hearing held in connection with such an investigation to take place in public, except in such cases as may be specified in the rules; F32 . . .

(b) as to the persons entitled to appear and be heard on behalf of parties to an investigation, as defined in section 144(4)

F33 (ba) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F34 (c) for the payment by the Pensions Ombudsman of such travelling and other allowances (including compensation for loss of remunerative time) as the Department may determine, to—

(i) actual or potential beneficiaries of a scheme to which a complaint or reference relates, or

(ii) persons appearing and being heard on behalf of such actual or potential beneficiaries, who attend at the request of the Pensions Ombudsman any oral hearing held in connection with an investigation into the complaint or dispute][F35 and

F36 (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

(4) Subject to any provision made by the rules, the procedure for conducting such an investigation shall be such as the Pensions Ombudsman considers appropriate in the circumstances of the case; and he may in particular obtain information from such persons and in such manner, and make such inquiries, as he thinks fit.

[F37 (5) The Pensions Ombudsman may disclose any information which he obtains for the purposes of an investigation under this Part to any person to whom subsection (6) applies, if the Ombudsman considers that the disclosure would enable or assist that person to discharge any of his functions.

(6) This subsection applies to the following—

(a) the Regulatory Authority,

[F38 (b) the Board of the Pension Protection Fund,

(ba) the Ombudsman for the Board of the Pension Protection Fund,]

F39 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) any Northern Ireland department or department of the Government of the United Kingdom,

[F40 (e) the Financial Conduct Authority,

(ea) the Prudential Regulation Authority,

(eb) the Bank of England (acting otherwise than in its capacity as the Prudential Regulation Authority),]

F41 (f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F41 (g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F42 (h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F43 (i) a person appointed under—

(i) Part 14 of the Companies Act 1985,

(ii) section 167 of the Financial Services and Markets Act 2000,

(iii) subsection (3) or (5) of section 168 of that Act, or

(iv) section 284 of that Act,

to conduct an investigation;

(j) a body designated under section 326(1) of the Financial Services and Markets Act 2000; and

(k) a recognised investment exchange [F44 , recognised clearing houseF45 ... [F46 , third country central counterparty, recognised CSD F47 ... or third country CSD]] (as defined by section 285 of that Act).]

(m) [F48 a person who, in a member State F49 ..., has functions corresponding to functions of the Pensions Ombudsman.]

[F50 (n) a body corporate established in accordance with paragraph 2(1) of Schedule 17 to the Financial Services and Markets Act 2000 (the scheme operator of the ombudsman scheme),

(o) an ombudsman as defined in paragraph 1 of that Schedule (interpretation).]

(7) The Department may by order—

(a) amend subsection (6) by adding any person or removing any person for the time being specified in that subsection, or

(b) restrict the circumstances in which, or impose conditions subject to which, disclosure may be made to any person for the time being specified in that subsection.]

F51 (8) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F29 S. 145(1) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(b), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F30 S. 145(1A) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(b), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F31 S. 145(1B) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(b), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F32 Word in s. 145(3)(a) omitted (23.7.1996 for certain purposes otherwise 6.4.1997) and repealed (6.4.1997) by S.I. 1995/3213 (NI 22), arts. 1(2), 154(b), 168, Sch. 5 Pt. IV: S.R. 1996/307, art. 2(b), Sch. Pt. II; S.R. 1997/192, art. 2(b)

F33 S. 145(3)(ba) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(c), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F34 S. 145(3)(c) and the preceding word “and” inserted (23.7.1996 for certain purposes only otherwise 6.4.1997) by S.I. 1995/3213 (NI 22), art. 154(a); S.R. 1996/307, art. 2(b), Sch. Pt. II; S.R. 1997/192, art. 2(b)

F35 S. 145(3)(d) and preceding word added (1.3.2002 for the purpose only of authorising the making of rules) by 2000 c. 4 (N.I.), ss. 50(5), 68(2) (with ss. 50(9), 66(6)); S.R. 2002/68, art. 2(2)

F36 S. 145(3)(d) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(d), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F37 S. 145(5)-(7) added (6.4.1997) by S.I. 1995/3213 (NI 22), art. 155(1); S.R. 1997/192, art. 2(b)

F38 S. 145(6)(b)(ba) substituted for s. 145(6)(b) (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), art. 1(2), Sch. 10 para. 20(a); S.R. 2005/48, art. 2(7), Sch. Pt. 7 (with art. 5(1))

F39 S. 145(6)(c) repealed (6.4.2006) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1)), art. 1(2), Sch. 11; S.R. 2006/95, art. 2(c), Sch. Pt. 3

F40 S. 145(6)(e)-(eb) substituted for s. 145(6)(e) (1.3.2017) by The Bank of England and Financial Services (Consequential Amendments) Regulations 2017 (S.I. 2017/80), reg. 1, Sch. para. 9(a)

F41 S. 145(6)(f)(g) repealed (1.12.2001) by S.I. 2001/3649, arts. 1, 135(a)

F42 S. 145(6)(h) omitted (1.10.2009) by virtue of The Companies Act 2006 (Consequential Amendments, Transitional Provisions and Savings) Order 2009 (S.I. 2009/1941), art. 1(2), Sch. 1 para. 145(3) (with art. 10)

F43 S. 145(6)(i)-(k) substituted (1.12.2001) for s. 145(6)(i)-(l) by S.I. 2001/3649, arts. 1, 135(b)

F44 Words in s. 145(6)(k) substituted (1.4.2013) by The Financial Services and Markets Act 2000 (Over the Counter Derivatives, Central Counterparties and Trade Repositories) Regulations 2013 (S.I. 2013/504), regs. 1(2), 22(2) (with regs. 52-58)

F45 Words in s. 145(6)(k) omitted (31.12.2020) by virtue of The Occupational and Personal Pension Schemes (Amendment etc.) (Northern Ireland) (EU Exit) Regulations 2019 (S.I. 2019/193), regs. 1, 2(4)(a); 2020 c. 1, Sch. 5 para. 1(1)

F46 Words in s. 145(6)(k) substituted (28.11.2017) by The Central Securities Depositories Regulations 2017 (S.I. 2017/1064), reg. 1, Sch. para. 8(2) (with regs. 7(4), 9(1))

F47 Words in s. 145(6)(k) omitted (31.12.2020) by virtue of The Occupational and Personal Pension Schemes (Amendment etc.) (Northern Ireland) (EU Exit) Regulations 2019 (S.I. 2019/193), regs. 1, 2(4)(a); 2020 c. 1, Sch. 5 para. 1(1)

F48 S. 145(6)(m) added (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), art. 1(2), Sch. 10 para. 20(b); S.R. 2005/48, art. 2(7), Sch. Pt. 7 (with art. 5(1))

F49 Words in s. 145(6)(m) omitted (31.12.2020) by virtue of The Occupational and Personal Pension Schemes (Amendment etc.) (Northern Ireland) (EU Exit) Regulations 2019 (S.I. 2019/193), regs. 1, 2(4)(b); 2020 c. 1, Sch. 5 para. 1(1)

F50 S. 145(6)(n)(o) added (1.11.2005) by The Pensions Ombudsman (Disclosure of Information) (Amendment of Specified Persons) Order (Northern Ireland) 2005 (S.R. 2005/442), arts. 1, 2

F51 S. 145(8) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(e), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

Modifications etc. (not altering text)

C3 S. 145(6) modified (temp.) (24.2.2005) by The Pensions (2005 Order) (Commencement No. 1 and Consequential and Transitional Provisions) Order (Northern Ireland) 2005 (S.R. 2005/48), art. 5(1)

146 Investigations: further provisions. N.I.

(1) For the purposes of an investigation under this Part or under any corresponding legislation having effect in Great Britain, the Pensions Ombudsman may require—

(a) [F52 any person responsible for the management of the scheme to which the complaint or reference relates], or

(b) any other person who, in his opinion, is able to furnish information or produce documents relevant to the investigation,

to furnish any such information or produce any such documents.

(2) For the purposes of any such investigation the Pensions Ombudsman shall have the same powers as a county court in respect of the attendance and examination of witnesses (including the administration of oaths and affirmations and the examination of witnesses abroad) and in respect of the production of documents.

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

(4) If any person without lawful excuse obstructs the Pensions Ombudsman in the performance of his functions or is guilty of any act or omission in relation to an investigation under this Part which, if that investigation were a proceeding in a county court, would constitute contempt of court, the Pensions Ombudsman may certify the offence to a county court.

(5) Where an offence is certified under subsection (4) the court may inquire into the matter and, after hearing any witnesses who may be produced against or on behalf of the person charged with the offence and hearing any statement that may be offered in defence, deal with him in any manner in which the court could deal with him if he had committed the like offence in relation to the court.

(6) To assist him in an investigation, the Pensions Ombudsman may obtain advice from any person who in his opinion is qualified to give it and may pay to any such person such fees or allowances as he may with the approval of the Department of Finance and Personnel determine.

(7) The Pensions Ombudsman may refer any question of law arising for determination in connection with a complaint or dispute to the Court of Appeal.

Textual Amendments

F52 Words in s. 146(1)(a) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(8); S.R. 1997/192, art. 2(b)

147 Determinations of the Pensions Ombudsman. N.I.

(1) Where the Pensions Ombudsman has conducted an investigation under this Part he shall send by ordinary post a written statement of his determination of the complaint or dispute in question—

[F53 (a) to the person by whom, or on whose behalf, the complaint or reference was made; and

(b) to any person (if different) responsible for the management of the scheme to which the complaint or reference relates;]F54 [F55 . . .

(c)]F54 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

and any such statement shall contain the reasons for his determination.

(2) Where the Pensions Ombudsman makes a determination under this Part or under any corresponding legislation having effect in Great Britain, he may direct [F56 any person responsible for the management of the scheme to which the complaint or reference relates] to take, or refrain from taking, such steps as he may specify in the statement referred to in subsection (1) or otherwise in writing.

(3) Subject to subsection (4), the determination by the Pensions Ombudsman of a complaint or dispute, and any direction given by him under subsection (2), shall be final and binding on—

[F57 (a) the person by whom, or on whose behalf, the complaint or reference was made;

(b) any person (if different) responsible for the management of the scheme to which the complaint or reference relates;

F58 (ba) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F59 (bb) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c) any person claiming under a person falling within F60 ....]

(4) An appeal on a point of law shall lie to the Court of Appeal from a determination or direction of the Pensions Ombudsman at the instance of any person falling within paragraphs (a) to (c) of subsection (3).

(5) Any determination or direction of the Pensions Ombudsman shall be enforceable as if it were a judgment or order of the county court.

(6) If the Pensions Ombudsman considers it appropriate to do so in any particular case, he may publish in such form and manner as he thinks fit a report of any investigation under this Part and of the result of that investigation.

(7) For the purposes of the law of defamation, the publication of any matter by the Pensions Ombudsman—

(a) in submitting or publishing a report under section 145(6) of the M6 Pension Schemes Act 1993 or subsection (6) of this section

[F61 (aa) in disclosing any information under section 145(5),], or

(b) in sending to any person a statement under subsection (1) or a direction under subsection (2),

shall be absolutely privileged.

Textual Amendments

F53 S. 147(1)(a)(b) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(9); S.R. 1997/192, art. 2(b)

F54 S. 147(1)(c) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(f), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F55 S. 147(1)(c) and preceding word added (1.3.2002 for the purpose only of authorising the making of rules) by 2000 c. 4 (N.I.), ss. 50(7), 68(2) (with ss. 50(9), 66(6)); S.R. 2002/68, art. 2(2)

F56 Words in s. 147(2) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(10); S.R. 1997/192, art. 2(b)

F57 S. 147(3)(a)-(c) substituted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 153(11); S.R. 1997/192, art. 2(b)

F58 S. 147(3)(ba) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(g), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F59 S. 147(3)(bb) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(g), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F60 Words in s. 147(3)(c) repealed (6.4.2005) by The Pensions (Northern Ireland) Order 2005 (S.I. 2005/255 (N.I. 1), arts. 1(2), 253(2)(h), Sch. 11 (with art. 285(5)); S.R. 2005/48, art. 2(7), Sch. Pt. 7

F61 S. 147(7)(aa) inserted (6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 155(2); S.R. 1997/192, art. 2(b)

Marginal Citations

M6 1993 c. 48.

[F62 147A Interest on late payment of benefit. N.I.

Where under this Part the Pensions Ombudsman directs a person responsible for the management of an occupational or personal pension scheme to make any payment in respect of benefit under the scheme which, in his opinion, ought to have been paid earlier, his direction may also require the payment of interest at the prescribed rate.]

Textual Amendments

F62 S. 147A inserted (23.7.1996 for certain purposes otherwise 6.4.1997) by S.I. 1995/3213 (N.I. 22), art. 156; S.R. 1996/307, art. 2(a), Sch. Pt. I; S.R. 1997/192, art. 2(b)

148 Power to apply county court rules. N.I.

Without prejudice to the generality of section 145, rules made by the Department under this section may, to any extent and with or without modifications, apply any county court rules to proceedings under or by virtue of this Part.