Pensions Act 1995

157 Jurisdiction of Pensions Ombudsman. E+W+S

(1) Sections 146 to 151 of the M1 Pension Schemes Act 1993 are amended as shown in subsections (2) to (11).

(2) In section 146 (investigations concerning the trustees or managers of schemes), for subsections (1) to (4) there is substituted—

“(1) The Pensions Ombudsman may investigate and determine the following complaints and disputes—

(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 is to the other scheme referred to in that paragraph,

(c) any dispute of fact or law which arises 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,

and which is referred to him by or on behalf of the actual or potential beneficiary, and

(d) any dispute of fact or law which arises 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,

and which is referred to him by or on behalf of the person referred to in sub-paragraph (i) or (ii); and in any case falling within sub-paragraph (ii) references in this Part to the scheme to which the reference relates is to the scheme first mentioned in that paragraph.

(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—

(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.

(3A) For the purposes of this Part, a person is responsible for the management of a personal pension scheme if he is a trustee or manager of the scheme.

(4) Regulations may provide that, subject to any prescribed modifications 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”.

(3) In subsection (7) of that section, for “authorised complainants” there is substituted “ actual or potential beneficiaries ”.

(4) In section 147 (death, insolvency etc.), in subsections (1) and (2), for “authorised complainant” there is substituted “ actual or potential beneficiary ” and for “the authorised complainant’s” there is substituted “ his ”.

(5) In subsection (3) of that section, for “an authorised complainant” there is substituted “ a person by whom, or on whose behalf, a complaint or reference has been made under this Part ”.

(6) In section 148 (staying court proceedings), in subsection (5), for paragraphs (a) and (b) there is substituted—

“(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”.

(7) In section 149 (procedure on investigation), in subsection (1)(a), for “the trustees and managers of the scheme concerned” there is substituted “ any person (other than the person by whom, or on whose behalf, the complaint or reference was made) responsible for the management of the scheme to which the complaint or reference relates ”.

(8) In section 150 (investigations: further provisions), in subsection (1)(a), for “any trustee or manager of the scheme concerned” there is substituted “ any person responsible for the management of the scheme to which the complaint or reference relates ”.

(9) In section 151 (determinations of Pensions Ombudsman), for subsection (1)(a) and (b) there is substituted—

“(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”.

(10) In subsection (2) of that section, for “the trustees or managers of the scheme concerned” there is substituted “ any person responsible for the management of the scheme to which the complaint or reference relates ”.

(11) In subsection (3) of that section, for paragraphs (a) to (c) there is substituted—

“(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, and

(c) any person claiming under a person falling within paragraph (a) or (b)”.

(12) In Part I of Schedule 1 to the M2 Tribunals and Inquiries Act 1992 (tribunals under the direct supervision of the Council on Tribunals), in paragraph 35(e), for “section 146(2)” there is substituted “ section 146(1)(c) and (d) ”.

Commencement Information

I1 S. 157 in force at 6.4.1997 in so far as not already in force by S.I. 1997/664, art. 2(3), Sch. Pt. 3

I2 S. 157(2) in force at 1.6.1996 for specified purposes by S.I. 1996/1412, art. 2(2), Sch. Pt. II

Marginal Citations

M1 1993 c. 48.

M2 1992 c. 53.