The Pension Protection Fund (Investigation by PPF Ombudsman of Complaints of Maladministration) Regulations 2005

Procedure on receipt of a reference

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

(a) send a written acknowledgement of its receipt to the referring party and the Board; and

(b) if the PPF Ombudsman considers that a person other than the referring party 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 representations will be copied to the referring party and the Board;

(v) of the person’s rights under regulations 8 and 11; and

(vi) of the effect of regulation 14(6).

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

(3) The acknowledgement sent to the referring party 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 referring party’s rights under regulations 8 and 11; and

(c) of the effect of regulation 14(6).

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

(5) The notification under paragraph (1)(b) 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 and 4 the PPF Ombudsman must inform the referring party 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 but not regulation 4;

(b) the PPF Ombudsman is satisfied that the referring party can amend the reference so that it is duly made in accordance with regulation 4 within such period as the PPF Ombudsman requests; and

(c) the reference is so amended.