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The Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014

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Regulation 31

SCHEDULE 9N.I.Consequential amendments

This schedule has no associated Explanatory Memorandum

1.  In the Occupational Pension Schemes (Preservation of Benefit) Regulations (Northern Ireland) 1991(1)—N.I.

(a)in regulation 1 (interpretation) after paragraph (3)(2) add—

(4) Any information or documents required to be furnished under these Regulations to a person, may be given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents).;

(b)in regulation 9(6)(c)(3) (bought out benefits) for the words from “and the notice” to “his last known address” substitute “(the notice being sent to the member in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)”.

Commencement Information

I1Sch. 9 para. 1 in operation at 6.4.2014, see reg. 1(1)

2.  In regulation 3(3) of the Occupational Pension Schemes (Contracting-out) Regulations (Northern Ireland) 1996(4) (notices by employers of intended election)—N.I.

(a)in sub-paragraph (a) for head (i) substitute—

(i)sending it to the earner in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents);

(ia)delivering it to the earner, or;

(b)for sub-paragraph (b) substitute—

(b)to any other person, by—

(i)sending it to that person in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents), or

(ii)delivering it to that person..

Commencement Information

I2Sch. 9 para. 2 in operation at 6.4.2014, see reg. 1(1)

3.  In regulation 11 of the Occupational Pension Schemes (Transfer Values) Regulations (Northern Ireland) 1996(5) (disclosure) after paragraph (6) add—N.I.

(7) The trustees may provide any information or notification under this regulation in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)..

Commencement Information

I3Sch. 9 para. 3 in operation at 6.4.2014, see reg. 1(1)

4.  In the Occupational Pension Schemes (Winding Up) Regulations (Northern Ireland) 1996(6)—N.I.

(a)in regulation 7 (requirements applicable to notices of discharge under regulation 6) after paragraph (10) add—

(11) A discharge notice and any notice under paragraph (3) may be given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents).;

(b)in regulation 11(2) (records and information) after “in writing” insert “in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)”.

Commencement Information

I4Sch. 9 para. 4 in operation at 6.4.2014, see reg. 1(1)

5.  In the Occupational Pension Schemes (Requirement to obtain Audited Accounts and a Statement from the Auditor) Regulations (Northern Ireland) 1997(7)—N.I.

(a)in regulation 2 (requirement of trustees or managers to obtain documents) after paragraph (2)(8) insert—

(2AA) Information may be made available under paragraph (2) in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents).;

F1(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.  In regulation 6(5)(b)(ii) of the Occupational Pension Schemes (Discharge of Liability) Regulations (Northern Ireland) 1997(9) (further conditions on which liability may be discharged) for the words from “the notice,” to “last known address” substitute “the notice to the widow, widower or surviving civil partner in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)”.N.I.

Commencement Information

I6Sch. 9 para. 6 in operation at 6.4.2014, see reg. 1(1)

7.  After regulation 10 of the Pensions on Divorce etc. (Provision of Information) Regulations (Northern Ireland) 2000(10) (provision of information after receipt of an earmarking order) add—N.I.

Provision of information – general

11.(1) Subject to paragraph (2), a person required to provide information under regulation 2, 4, 6, 7, 8 or 10 must provide that information in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents).

(2) Information may be provided to the court by means of an electronic communication only where the court has given its permission.

(3) In this regulation “electronic communication” has the meaning given by section 4(1) of the Electronic Communications Act (Northern Ireland) 2001(11)..

Commencement Information

I7Sch. 9 para. 7 in operation at 6.4.2014, see reg. 1(1)

8.  In the Pension Sharing (Pension Credit Benefit) Regulations (Northern Ireland) 2000(12)—N.I.

(a)in regulation 1(5) for “Without” substitute “Subject to the following provisions of these Regulations, without”;

(b)in regulation 8(6)(a) (bought out benefits) for “sent to that person at his last known address” substitute “given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)”;

(c)in regulation 10(5)(a) (transfer of a person’s pension credit rights without consent) for “sent to that person at his last known address” substitute “given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)”;

(d)in regulation 15(5)(b) (further conditions on which liability may be discharged) for “sent to that person at his last known address” substitute “given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations 2014 (giving information and documents)”.

Commencement Information

I8Sch. 9 para. 8 in operation at 6.4.2014, see reg. 1(1)

9.  In the Stakeholder Pension Schemes Regulations (Northern Ireland) 2000(13)—N.I.

(a)in regulation 1(3) (interpretation)—

(i)in the definition of “non-contributing member”(14)—

(aa)omit paragraph (a);

(bb)in paragraph (b) omit “in relation to a personal pension scheme,”;

(ii)for the definition of “the relevant guidance”(15) substitute—

“relevant guidance” means the document entitled “AS TM1: Statutory Money Purchase Illustrations” that is adopted or prepared, and from time to time revised, by the Financial Reporting Council Limited(16);;

(b)in regulation 18(7)(17) (disclosure of information to members)—

(i)in sub-paragraph (a) for “manager;” substitute “manager, and”;

(ii)in sub-paragraph (b)(ii) for “delivered, and” substitute “delivered.”;

(iii)omit sub-paragraph (c);

(c)in regulation 18A—

(i)in paragraph (1) for “Where a” substitute “Subject to paragraph (1A), where a”;

(ii)after paragraph (1) insert—

(1A) The information mentioned in paragraph (1) need not but may, nevertheless, be given in respect of a statement year where—

(a)the statement year is the first to end on or after the date the person became a member of the scheme, and

(b)the end of that statement year falls at a time when—

(i)no contributions have been credited to the scheme in respect of the person, or

(ii)the person has the right to opt out of the scheme under section 8 of the Pensions (No. 2) Act (Northern Ireland) 2008(18) (jobholder’s right to opt out).

(1B) Where—

(a)the information is not provided to the person by virtue of paragraph (1A), and

(b)contributions have been credited in respect of the member in respect of the statement year mentioned in paragraph (1A)(a),

it must be provided no later than the information that relates to the next following statement year.;

(iii)after paragraph (2) insert—

(2A) For the purposes of paragraph (2), the calculation of the amount of the pension mentioned in that paragraph may take account of a lump sum.;

(iv)in paragraph (4)—

(aa)in sub-paragraph (c)(iii) for “behalf;” substitute “behalf, or”;

(bb)in sub-paragraph (d)(iii) for “date, or” substitute “date.”;

(cc)omit sub-paragraph (e);

(d)in regulation 18B(19)—

(i)in paragraph (1)(b) omit the words from “and about annuities” to “relevant guidance”;

(ii)omit paragraphs (3) and (4);

(e)in regulation 18C (service of information by a scheme) for paragraph (4) substitute—

(4) Where—

(a)a member or beneficiary was a member or beneficiary of the scheme on 1st December 2010, and

(b)relevant information was not given by the trustees or manager of the scheme before that date by the methods described in paragraph (1)(b),

relevant information may not be furnished or given to the member or beneficiary in accordance with paragraph (1)(b) unless the trustees or manager of the scheme have given that member or beneficiary the written notice referred to in paragraph (5).

(4A) The written notice mentioned in paragraph (4) must not be given by the methods mentioned in paragraph (1)(b).;

(f)in regulation 18E (provision of information on a website)—

(i)in paragraph (1) for “This regulation sets” substitute “This regulation and regulation 18F set”;

(ii)for paragraph (2) substitute—

(2) When a website is used for the first time to make available relevant information, a notification must be given to the recipient.;

(iii)for paragraph (4) substitute—

(4) Subject to regulation 18F, each time a website is used at a subsequent time to make available information or documents, a notification must be given to the recipient.

(4A) The notification referred to in paragraph (4) must state that the information or document is available on the website.

(4B) The notifications mentioned in paragraphs (2) and (4) must not be given by making them available on a website.;

(iv)omit paragraph (6);

(v)in paragraph (7) after “this regulation” insert “and regulation 18F”;

(g)after regulation 18E insert—

Provision of information on a website: supplemental

18F.(1) The notification mentioned in regulation 18E(4) need not be given where paragraphs (2) to (4) of this regulation are satisfied.

(2) This paragraph is satisfied where—

(a)the trustees or manager of the scheme have given the recipient at least 2 documents by either of the following methods—

(i)given by hand, or

(ii)sent to the recipient’s last known postal address, and

(b)each of those documents—

(i)asks the recipient to give that recipient’s electronic address to the trustees or manager of the scheme except where the trustees or manager of the scheme do not have the facility for sending information or documents to that address, and

(ii)states that the recipient may request in writing that information or documents are not given by means of an electronic communication.

(3) This paragraph is satisfied where—

(a)paragraph (2) is satisfied, and

(b)the trustees or manager of the scheme have given the recipient, by either of the methods mentioned in paragraph (2)(a), a further document that—

(i)meets the requirements of paragraph (2)(b), and

(ii)states that further information and documents will be available to read on the website and that no further notifications will be sent to the recipient.

(4) This paragraph is satisfied where—

(a)paragraphs (2) and (3) are satisfied, and

(b)the trustees or manager of the scheme—

(i)do not know the recipient’s electronic address or do not have the facility for sending information or documents to that address, and

(ii)have not received a written request that information or documents are not given to the recipient by means of an electronic communication.

(5) Where the information to be made available is that required by regulation 18A(1), the notification referred to in regulation 18E(4) need only be given as required by regulation 18A(1).,

(h)in paragraph 6 of Schedule 3(20) (information for members)—

(i)in sub-paragraph (c) for “scheme, and” substitute “scheme;”;

(ii)for sub-paragraph (d) substitute—

(d)a statement of any assumptions made relating to the lump sum, the level of increases in the pension and the pension payable to the spouse or civil partner, and

(e)a statement of any changes to the assumptions mentioned in sub-paragraph (d) that were used for the previous information given under regulation 18A(2)..

Commencement Information

I9Sch. 9 para. 9 in operation at 6.4.2014, see reg. 1(1)

10.  In regulation 5A of the Personal Pension Schemes (Payments by Employers) Regulations (Northern Ireland) 2000(21) (the issue of payment statements to an employee) after paragraph (5) add—N.I.

(6) A statement referred to in paragraph (1) may be issued in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)..

Commencement Information

I10Sch. 9 para. 10 in operation at 6.4.2014, see reg. 1(1)

11.  In regulation 7 of the Occupational Pension Schemes (Winding Up Notices and Reports, etc.) Regulations (Northern Ireland) 2002(22) (applications to the Authority to modify schemes to secure winding up)—N.I.

(a)in paragraph (3) for sub-paragraph (a) substitute—

(a)to all members of the scheme (except a member mentioned in paragraph (3A)) in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents), and;

(b)after paragraph (3) insert—

(3A) A member referred to in paragraph (3)(a) is a member—

(a)whose present postal address and electronic address are not known to the trustees or managers of the scheme, and

(b)in respect of whom the trustees or managers of the scheme have sent correspondence to that member’s last known—

(i)postal address and that correspondence has been returned, or

(ii)electronic address and the trustees or managers of the scheme are satisfied that that correspondence has not been delivered..

Commencement Information

I11Sch. 9 para. 11 in operation at 6.4.2014, see reg. 1(1)

12.  In regulation 13 of the Occupational Pension Schemes (Independent Trustee) Regulations (Northern Ireland) 2005(23) (disclosure requirements and penalty) after paragraph (8) add—N.I.

(9) The appointed trustee may give any information under this regulation in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)..

Commencement Information

I12Sch. 9 para. 12 in operation at 6.4.2014, see reg. 1(1)

13.  In the Occupational Pension Schemes (Winding up, etc.) Regulations (Northern Ireland) 2005(24)—N.I.

(a)in regulation 6(6) (adjustments to discretionary awards) for “given by post” substitute “given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)”;

(b)in regulation 7(6) (adjustments to survivors’ benefits) for “given by post” substitute “given in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents).”.

Commencement Information

I13Sch. 9 para. 13 in operation at 6.4.2014, see reg. 1(1)

14.  In regulation 11 of the Occupational and Personal Pension Schemes (Consultation by Employers) Regulations (Northern Ireland) 2006(25) (requirement to provide information) after paragraph (2) add—N.I.

(3) Information provided under this regulation may be provided in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)..

Commencement Information

I14Sch. 9 para. 14 in operation at 6.4.2014, see reg. 1(1)

15.  In the Occupational Pension Schemes (Payments to Employer) Regulations (Northern Ireland) 2006(26)—N.I.

(a)in regulation 10 (notification to members) after paragraph (3) add—

(4) The trustees of the scheme may give the notice mentioned in paragraph (1) and provide a copy of the relevant valuation certificate mentioned in paragraph (2) in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents).;

(b)in regulation 15 (notice of proposal to distribute excess assets to the employer) after paragraph (5) add—

(6) A notice under this regulation may be sent in accordance with regulations 26 to 28 of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 (giving information and documents)..

Commencement Information

I15Sch. 9 para. 15 in operation at 6.4.2014, see reg. 1(1)

16.  In regulation 20 of the Pensions (2008 Act) (Abolition of Contracting-out for Defined Contribution Pension Schemes) (Consequential Provisions) Regulations (Northern Ireland) 2012(27) for paragraph (4) (amendment of the Stakeholder Pension Schemes Regulations) substitute—N.I.

(4) In Schedule 3 (information for members)—

(a)in paragraph 1 omit sub-paragraph (d);

(b)in paragraph 2 omit sub-paragraphs (e), (f) and (g)..

Commencement Information

I16Sch. 9 para. 16 in operation at 6.4.2014, see reg. 1(1)

(1)

S.R. 1991 No. 37; relevant amending provisions are S.R. 1994 No. 300 and S.R. 2012 No. 124

(2)

Paragraph (3) was substituted by paragraph 26(3) of Schedule 2 to S.R. 1994 No. 300

(3)

Regulation 9(6) was amended by paragraph 26(12) of Schedule 2 to S.R. 1994 No. 300 and Article 11 of S.R. 2012 No. 124

(4)

S.R. 1996 No. 493 to which there are amendments not relevant to these Regulations

(5)

S.R. 1996 No. 619; regulation 11(6) was amended by regulation 6 of S.R. 2009 No. 115

(6)

S.R. 1996 No. 621 to which there are amendments not relevant to these Regulations

(7)

S.R. 1997 No. 40; relevant amending Regulations are S.R. 1997 No. 544, S.R. 2005 No. 421 and S.R. 2006 No. 141

(8)

Paragraph (2) was substituted by regulation 2(3)(b) of S.R. 2005 No. 421

(9)

S.R. 1997 No. 159; regulation 6 was amended by paragraph 42 of Schedule 2 to S.R. 2005 No. 433

(10)

S.R. 2000 No. 142 to which there are amendments not relevant to these Regulations

(11)

2001 c. 9 (N.I.); the definition of “electronic communication” in section 4(1) was amended by paragraph 170 of Schedule 17 to the Communications Act 2003 (c. 21)

(12)

S.R. 2000 No. 146 to which there are amendments not relevant to these Regulations

(13)

S.R. 2000 No. 262; relevant amending provisions are S.R. 2002 No. 410, S.R. 2008 No. 365, S.R. 2010 No. 373 and S.R. 2012 Nos. 120 and 294

(14)

The definition of “non-contributing member” was inserted by regulation 4(2)(c) of S.R. 2002 No. 410

(15)

The definition of “relevant guidance” was substituted by paragraph 1 of the Schedule to S.R. 2008 No. 365 and amended by paragraph 7(b) of the Schedule to S.R. 2012 No. 294

(16)

The Financial Reporting Council can be contacted at 5th Floor, Aldwych House, 71-91 Aldwych, London WC2B 4HN and at www.frc.org.uk

(17)

Regulations 18 to 18E were substituted for regulation 18 by regulation 4(6) of S.R. 2010 No. 373

(19)

Regulation 18B was amended by regulation 13(3) of S.R. 2012 No. 120

(20)

Schedule 3 was added by Schedule 1 to S.R. 2010 No. 373 and paragraph 6 was amended by regulation 13(4) of S.R. 2012 No. 120

(21)

S.R. 2000 No. 349; regulation 5A was inserted by regulation 6 of S.R. 2006 No. 141

(22)

S.R. 2002 No. 74 to which there are amendments not relevant to these Regulations

(23)

S.R. 2005 No. 169; regulation 13 was amended by regulation 15 of S.R. 2009 No. 115

(24)

S.R. 2005 No. 171 to which there are amendments not relevant to these Regulations

(25)

S.R. 2006 No. 48 to which there are amendments not relevant to these Regulations

(26)

S.R. 2006 No. 161 to which there are amendments not relevant to these Regulations

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