Part XU.K. Investigations: the Pensions Ombudsman

146 Functions of the Pensions Ombudsman.E+W+S

(1)The Pensions Ombudsman may investigate and determine any complaint made to him in writing by or on behalf of an authorised complainant who alleges that he has sustained injustice in consequence of maladministration in connection with any act or omission of the trustees or managers of an occupational pension scheme or personal pension scheme.

(2)The Pensions Ombudsman may also investigate and determine any dispute of fact or law which arises in relation to such a scheme between—

(a)the trustees or managers of the scheme, and

(b)an authorised complainant,

and which is referred to him in writing by or on behalf of the authorised complainant.

(3)Subsection (2) does not have effect in relation to any scheme constituted under or by virtue of—

(a)the M1Sheriffs’ Pensions (Scotland) Act 1961;

(b)the M2Judicial Pensions Act 1981; or

(c)the M3Judicial Pensions and Retirement Act 1993.

(4)The Secretary of State may by regulations provide that, subject to any modifications or exceptions specified in the regulations, this Part shall apply in relation to—

(a)the employer in relation to any description or category of employment to which an occupational pension scheme relates or has related, or

(b)any prescribed person or body of persons concerned with the financing or administration of, or the provision of benefits under, any occupational or personal pension scheme,

as it applies in relation to the trustees or managers of such a 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—

(a)if before the making of the complaint or the reference of the dispute, proceedings have been begun in any court in respect of the matters which would be the subject of the investigation;

(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 “authorised complainants” in relation to a scheme are—

(a)a member of the scheme,

(b)the widow or widower, or any surviving dependant, of a deceased member of the 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 paragraph (a) or (b) 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—

Commencement Information

I1Ss. 1-187 in force at 7.2.1994 by S.I. 1994/86, art. 2

Marginal Citations