SCHEDULE 1INFORMATION TO BE PROVIDED BY APPROPRIATE PERSONS

Regulation 3(3)

1

1

In this Schedule, “notification date” means the day on which the scheme manager notifies the appropriate person that he has determined that a scheme is a qualifying pension scheme.

2

Information to be provided to the scheme manager and members or former members by appropriate persons shall be determined in accordance with the table of information set out below—

Table of information to be provided by appropriate persons

Description of persons to whom information is to be provided

Description of information to be provided

Period during which information is to be provided

The scheme manager.

The identity of those individuals within the appropriate person’s organisation who will have responsibility for providing information to the scheme manager.

The period of 28 days beginning on the notification date.

The scheme manager.

Details of any change in the address or telephone number—

  1. a

    in relation to a qualifying pension scheme which is winding up, of the trustees or managers of the scheme;

  2. b

    in relation to a qualifying pension scheme which has wound up, of the appropriate person who has responsibility for providing information to the scheme manager.

The period of 5 days beginning on the day on which the change took place.

The scheme manager.

Any change in the identity of the individuals who have been notified to the scheme manager as having responsibility for providing information to the scheme manager.

The period of 14 days beginning on the day on which the change took place.

The scheme manager.

In relation to each member or former member of a qualifying pension scheme to whom, or in respect of whom, a payment might be made under the FAS Regulations—

  1. a

    his full name;

  2. b

    his date of birth;

  3. c

    his address and telephone number;

  4. d

    his national insurance number;

  5. e

    where that member has died, the date of his death;

  6. f

    his marital or civil partnership status;

  7. g

    such evidence as is necessary to prove that he was a member of that scheme;

  8. h

    his normal retirement age;

  9. i

    information necessary to determine the amount of pension to which he would have been entitled from the scheme if the scheme’s liabilities to the member had been satisfied in full;

  10. j

    where applicable, the annual rate of annuity which can be purchased for him with the assets available to be used to discharge the liability of the scheme to him, after the liabilities of the scheme have been determined in accordance with section 73 of the Pensions Act 19957 or Article 73 of the Pensions (Northern Ireland) Order 19958 (preferential liabilities on winding up) or, where that section or Article does not apply, the rules of that scheme;

  11. k

    the sum which is available to be used to discharge the liability of the scheme to the member when the scheme is fully wound up; and

  12. l

    where the information referred to in paragraphs (i) to (k) cannot be provided or where that information might be inappropriate or inaccurate in a particular case, such other information from which the amount of his actual pension, expected pension and interim pension for the purposes of Schedule 2 to the FAS Regulations may be derived.

The period of 6 months beginning on the day on which the scheme manager requested the information or during such longer period as the scheme manager may determine for the provision of that information.

All current members of the scheme and all former members of the scheme who are qualifying members.

In relation to a qualifying pension scheme which is winding up, notification that the scheme manager has determined that the scheme is, or is not, a qualifying pension scheme.

The period of 28 days beginning on the notification date.

SCHEDULE 2INFORMATION TO BE PROVIDED BY BENEFICIARIES AND POTENTIAL BENEFICIARIES

Regulation 4(1)

1

Information to be provided by beneficiaries and potential beneficiaries to the scheme manager shall be determined in accordance with the table of information set out below—

Table of information to be provided by beneficiaries and potential beneficiaries

Description of persons by whom information is to be provided

Description of information to be provided

Period during which information is to be provided

Any potential beneficiary relating to a qualifying pension scheme which has fully wound up.

In relation to that potential beneficiary—

  1. a

    such evidence as is necessary to prove that he was either a qualifying member of that scheme or the survivor of such a member;

  2. b

    his name, address, date of birth and national insurance number;

  3. c

    information from which the member’s actual pension, expected pension and interim pension for the purposes of Schedule 2 to the FAS Regulations may be derived.

The period of 6 months beginning on the day on which the scheme manager requested the information or during such longer period as the scheme manager may determine for the provision of that information.

Any beneficiary whose address is changed.

Details of any change in the address of that beneficiary.

a

Except where paragraph (b) applies, the period of 8 weeks beginning four weeks before the day on which the change will take place;

b

Where the beneficiary was not aware of the change at the beginning of the period referred to in paragraph (a), the period of 8 weeks beginning on the day on which he became aware of the change.

Any qualifying member whose marriage ends in divorce.

Notification of the divorce and a copy of the decree of divorce.

The period of 28 days beginning on the day on which the decree became absolute.

Any qualifying member who has married or remarried.

Notification of the marriage and a copy of the marriage certificate.

The period of 28 days beginning on the day of the marriage or remarriage.

Any qualifying member who enters into a civil partnership.

Notification of the civil partnership and a copy of the civil partnership certificate.

The period of 28 days beginning on the day on which the civil partnership was entered into.

Any qualifying member whose civil partnership is dissolved.

Notification of the dissolution of the civil partnership and a copy of the dissolution certificate.

The period of 28 days beginning on the day of the dissolution.

Where the beneficiary or potential beneficiary terminates the appointment of his appointed representative, or where there is any change in the address of an appointed representative, the beneficiary or potential beneficiary who appointed that appointed representative.

Notification of the termination or of the change in the address of the appointed representative and the date on which the termination or change became effective.

The period of 28 days beginning on the day on which the termination or change became effective.