Pension Schemes Act 1993 (c. 48)

(The document as of February, 2008)

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to take such steps as are open to them for bringing the rules of the scheme into conformity with those requirements.

133 Advice of the Board as to conformity of schemes with requirements

(1) The Board may at any time, and shall if requested by the persons responsible under section 132 for taking steps to bring a scheme into conformity with the preservation requirements, the equal access requirements or the voluntary contributions requirements, advise whether the rules of a scheme to which those requirements apply do or do not in the Board's opinion conform with any of those requirements.

(2) Where the Board advise that the rules do not conform, they shall indicate what steps they consider should be taken with a view to securing conformity.

(3) The Board may at any time, and shall if requested by the trustees or managers of a scheme, advise on any question whether--

(a) any provision mentioned in subsection (4) does or does not override any provision of a scheme;

(b) any benefit is a money purchase benefit, or an average salary benefit or a flat rate benefit (within the meaning of section 84).

(4) The provisions referred to in subsection (3)(a) are any provision of Chapter II, III or IV of Part IV, section 110(1) or regulations under section 113 or 114.

134 Determination of questions whether schemes conform with requirements

(1) Subject to subsection (2), on an application made to them in respect of a scheme (other than a public service pension scheme) by persons competent to make such an application in respect of it, the Board shall issue a determination on any such question as is mentioned in section 133.

(2) No application may be made under subsection (1) as respects the requirements of Chapter III of Part IV in respect of a money purchase contracted-out scheme.

(3) The Board may at any time of their own motion issue in respect of a scheme which has come to their notice any determination which they could issue in the case of that scheme on application to them under subsection (1) as respects the preservation requirements, the equal access requirements or the voluntary contributions requirements.

(4) At any time when the Board are concerned with a scheme for the purpose of issuing a determination under this section as respects the preservation requirements or the equal access requirements, they may include a determination (whether or not applied for) as to any of the particular matters specified in Chapter I of Part IV or, as the case may be, section 118(1).

(5) If the Board think it expedient to do so, having regard--

(a) to the structure and character of a scheme in relation to which they are issuing a determination under this section; and

(b) to any anomalous or impractical consequences that may be expected to follow from its modification to achieve conformity with any particular provision of Chapter I of Part IV,

they may determine that that provision shall not apply to that scheme or shall apply to it with such modifications as may be specified in the determination.

135 Persons competent to make applications under s. 134

(1) The persons competent to make an application under section 134 in respect of a scheme are--

(a) in any case--

(i) the trustees or managers of the scheme;

(ii) any person other than the trustees or managers who has power to alter any of the rules of the scheme; and

(iii) any member of the scheme;

(b) in any case where the scheme is an occupational pension scheme, any person who is an employer of persons in service in an employment to which the scheme applies;

(c) in any case where the scheme is an occupational pension scheme and in the case of any application in respect of the voluntary contributions requirements, any prospective member of the scheme; and

(d) in any case other than an application in respect of a personal pension scheme in relation to requirements under section 113, such other persons as regulations may specify, in relation to any category of schemes into which the scheme falls, as being proper persons to make an application for the purposes of this section in respect of a scheme of that category.

(2) The reference in paragraph (d) of subsection (1) to other persons shall be construed in relation to any case as including persons other than those mentioned in paragraphs (a) to (c) by whom an application may be made in that case.

Part IX Modification and winding up of schemes

Modification

136 Applications to the Board to modify schemes (other than public service schemes)

(1) On an application made to them in respect of an occupational pension scheme or a personal pension scheme by persons competent to make such an application, the Board may make an order--

(a) authorising the modification of the scheme with a view to achieving--

(i) any one or more of the purposes specified in subsection (2); or

(ii) any one or more of such other purposes as may be prescribed; or

(b) modifying the scheme with a view to achieving any one or more of those purposes.

(2) The purposes referred to in subsection (1)(a)(i) are--

(a) to enable the scheme to provide for the transfer of accrued rights (including any transfer credits allowed under the scheme) to another scheme (whether an occupational or personal pension scheme) with a view to the acquisition, for those whose rights are transferred, of rights under the other scheme in connection with change of employment or otherwise, and for the allowance of transfer credits;

(b) to enable the scheme to be one to which section 163 applies or to have included in or removed from it provisions designed to avoid the effect of the rules of law relating to perpetuities;

(d) to enable the trustees or managers of the scheme, or others concerned with or having rights under it, to enter into alternative arrangements having regard to any provision of this Act, or of any other Act (passed or to be passed) amending or replacing any such provision or making provision for similar purposes; or

(e) in the case of an occupational pension scheme only, to enable the scheme--

(i) to be so treated that an employment to which it applies may be contracted-out employment by reference to it;

(ii) to qualify for the approval of the Inland Revenue for the purposes of Chapter I of Part XIV of the [1988 c. 1.] Income and Corporation Taxes Act 1988 or to provide benefits enhanced up to the limits suitable in a scheme for which such approval is sought;

(iii) to provide for accrued rights to benefit (whether in payment or not), so far as payable out of the resources of the scheme, to be surrendered by beneficiaries (at their option and not otherwise, so long as the scheme remains in force and is not being, or to be, wound up) in exchange for other rights assured by means of one or more policies of insurance or annuity contracts, or by other means; or

(iv) without prejudice to section 139(2), to comply with the preservation requirements or the equal access requirements.

(3) An order under subsection (1)(a)--

(a) shall be framed so as to confer the power of modification on such persons as the Board think proper (who may include persons who were not parties to the application made to the Board); and

(b) shall include such directions as the Board think appropriate, having regard to the purposes of the order, indicating the modifications which they consider to be called for.

137 Persons competent to make applications under s. 136

The persons competent to make an application under section 136(1) in respect of a scheme are--

(a) the trustees or managers of the scheme;

(b) any person other than the trustees or managers who has power to alter any of the rules of the scheme;

(c) in the case of an occupational pension scheme only, any person who is an employer of persons in service in an employment to which the scheme applies; and

(d) such other persons as regulations may specify, in relation to any category of schemes into which the scheme falls, as being proper persons to make such an application in respect of a scheme of that category.

138 Further provisions concerning the Board's powers under s. 136

(1) The Board shall not entertain an application for an order by them under section 136 unless they are satisfied that the purposes of the application--

(a) cannot be achieved otherwise than by means of such an order; or

(b) can only be achieved in accordance with a procedure which--

(i) is liable to be unduly complex or protracted, or

(ii) involves the obtaining of consents which cannot be obtained, or can only be obtained with undue delay or difficulty.

(2) Subject to subsection (1), the Board may on such an application make (with the consent of the applicants) any one or more such orders as are specified in section 136(1) and may exercise any of their powers to make such orders from time to time.

(3) The extent of those powers is not limited, in relation to any purposes for which they are exercisable, to the minimum necessary to achieve those purposes.

(4) The Board shall not make an order under section 136(1) unless they are satisfied that it is reasonable in all the circumstances to make it.

(5) The Board shall not make any such order under that section as would, or might in their opinion, result in any existing or prospective entitlement of a member of the scheme, in respect of a period before the coming into force of the order or of any modification which the order authorises, being diminished or curtailed without his consent, unless they are satisfied that it is in the interests of the generality of members that the order should be made.

(6) In considering whether or not to make an order under that section, the Board shall have regard--

(a) to the structure and character of the scheme and the benefits provided by it;

(b) to the provisions of this Act and Chapter I of Part XIV of the [1988 c. 1.] Income and Corporation Taxes Act 1988; and

(7) Regulations may provide that in prescribed circumstances subsections (4) and (5) shall not apply to occupational pension schemes or shall apply to them with prescribed modifications.

139 Other functions of the Board as respects modification of schemes

(1) If in the case of a scheme to which section 53 applies the Board are not satisfied as to the soundness and adequacy of any investments held for the purposes of the scheme (so far as relevant to the considerations of section 24(1)), they may by order--

(a) modify the scheme's rules, or

(b) direct the scheme's trustees or managers to take such steps as the order may specify,

with a view to ensuring that the guaranteed minimum pensions under the scheme are adequately secured to its beneficiaries, both present and future.

(2) If the Board determine under section 134 that a scheme does not conform with the preservation requirements, the equal access requirements or the voluntary contributions requirements they shall, either at the time of issuing their determination or as soon afterwards as they think expedient--

(a) by order direct the trustees or managers of the scheme or any other persons who have power to alter any of its rules to exercise such powers as they possess for modifying the scheme with a view to bringing it into conformity with those requirements (including in their order such directions as they think appropriate to indicate the modification appearing to them to be called for); or

(b) if there is no person with power to modify the scheme as required by the Board, by order authorise the trustees or managers, or other persons named in the order (and, in particular, in the case of an occupational pension scheme, any employer of persons in service in an employment to which the scheme applies) to make that modification; or

(3) The Board may exercise their powers under subsection (2) in relation to any scheme in respect of which they have issued a determination under section 134, and may exercise the powers together or separately.

140 Effect of orders under ss. 136 and 139

(1) An order under paragraph (a) of section 136(1) may enable those exercising any power conferred by the order to exercise it retrospectively (whether or not the power could otherwise be so exercised) and an order under paragraph (b) of that section may modify a scheme retrospectively.

(2) An order under paragraph (a) of section 139(2) may require persons to exercise a power retrospectively (whether or not the power could otherwise be so exercised), and an order under paragraph (b) or (c) of that section may operate retrospectively.

(3) In this section "retrospectively" means with effect from a date before that on which the power is exercised or, as the case may be, the order is made, but--

(a) in the case of an order under section 136(1), that date shall be such date as may be proposed for the purposes of this subsection by the persons applying for the order; and

(b) in the case of an order under section 139(2), that date shall not be a date earlier than the operative date for the requirements.

(4) In subsection (3)(b) "the operative date for the requirements" means--

(a) in the case of the preservation requirements, 5th September 1973;

(b) in the case of the voluntary contributions requirements--

(i) as respects a personal pension scheme in so far as it is comprised in an annuity contract, 1st July 1988, but otherwise 4th January 1988, and

(ii) as respects an occupational pension scheme, 6th April 1988; and

(5) Any modification of a scheme made in pursuance of an order of the Board under section 136(1) or 139(2)(b) or (c) shall be as effective in law as if it had been made under powers conferred by or under the scheme.

(6) An order under section 136(1) or 139(2)(b) or (c) may be made and complied with in relation to a scheme--

(a) notwithstanding any enactment or rule of law, or any rule of the scheme, which would otherwise operate to prevent the modification being made;

(b) without regard to any such enactment, rule of law or rule of the scheme as would otherwise require, or might otherwise be taken to require, the implementation of any procedure or the obtaining of any consent, with a view to the making of the modification.

141 Modification of public service schemes

(1) Nothing in the previous provisions of this Part applies to public service pension schemes but, subject to the provisions of this section, the appropriate authority shall, in relation to such a scheme, have power to make such provision for the modification of the scheme as could be made by an order of the Board under subsection (1)(b) of section 136 with a view to achieving any of the purposes mentioned in subsection (2) of that section in the case of a scheme other than a public service pension scheme.

(2) In this section "the appropriate authority", in relation to a scheme, means such Minister of the Crown or government department as may be designated by the Treasury as having responsibility for the particular scheme.

(3) The powers of the appropriate authority under this section shall be exercisable by means of an order--

(a) directly modifying the scheme (without regard, in the case of a scheme contained in or made under powers conferred by an enactment, to the terms of the enactment or any of its restrictions); or

(b) modifying an enactment under which the scheme was made or by virtue of which it has effect.

(4) Any such order shall contain such incidental, supplementary and transitional provisions as the appropriate authority considers to be required for the purposes of the order, including provisions adapting, amending or repealing any such enactment as is referred to in paragraph (a) or (b) of subsection (3).

Winding up

142 Powers of the Board to wind up schemes

(1) On an application made to them in respect of an occupational pension scheme or a personal pension scheme by persons competent to make such an application, the Board may make an order directing or authorising the scheme to be wound up on grounds specified in subsection (2).

(2) Those grounds are that, having regard to any provision of this Act, or to any other Act (passed or to be passed) amending or replacing any such provision or making provision for similar purposes, the scheme--

(a) ought to be replaced (in whole or in part) by a different scheme, or

(b) is no longer required.

(3) An order of the Board under subsection (1) authorising a scheme to be wound up shall include such directions with respect to the manner and timing of the winding up as the Board think appropriate having regard to the purposes of the order.

(4) Sections 137 and 138 and subsections (5) and (6) of section 140 shall apply with the necessary modifications in relation to an application or an order under subsection (1) as they apply in relation to an application or, as the case may be, an order under section 136(1), taking references in those subsections to modification as references to winding up.

(5) If in the case of a scheme to which section 53 applies the Board are satisfied that the guaranteed minimum pensions under the scheme are not, and cannot be, adequately secured to its beneficiaries, they may by order--

(a) require the scheme to be wound up in accordance with such directions in that behalf as may be contained in the order; or

(b) direct the trustees or managers to take such steps for the winding up of the scheme as the order may specify.

(6) On a winding up in pursuance of an order under subsection (5) the same powers shall be exercisable by the Board in relation to the scheme's winding-up rules as are exercisable by them under section 53(4) and (5) in relation to other rules.

143 Winding up of public service schemes

(1) Nothing in section 142 applies to public service pension schemes but, subject to the provisions of this section, the appropriate authority shall, in relation to such a scheme, have power to make such provision for the winding up of the scheme as could be made by an order of the Board under subsection (1) of that section in the case of a scheme other than a public service pension scheme.

(2) The powers of the appropriate authority under this section shall be exercisable by means of an order directing that the scheme be wound up and including directions with respect to the manner and timing of the winding up.

(3) Subsections (2) and (4) of section 141 apply to an order under this section as they apply to an order under subsection (1) of that section.

144 Deficiencies in the assets of a scheme on winding up

(1) If, in the case of an occupational pension scheme which is not a money purchase scheme, the value at the applicable time of the scheme's liabilities exceeds the value of its assets, then an amount equal to the excess shall be treated as a debt due from the employer to the trustees of the scheme.

(2) If--

(a) a relevant insolvency event occurs in relation to the employer; and

(b) the debt mentioned in subsection (1) has not been discharged at the time that event occurs,

then, for the purposes of the law relating to winding up, bankruptcy or sequestration as it applies in relation to the employer, that debt shall be taken to arise immediately before that time.

(3) In this section--

"the applicable time" means--

(a) if the scheme is being wound up before a relevant insolvency event occurs in relation to the employer, any time when it is being wound up before such an event occurs; and

(b) otherwise, immediately before the relevant insolvency event occurs; and

"the employer" means the employer of persons of the description or category of employment to which the scheme relates.

(4) For the purposes of this section a relevant insolvency event occurs in relation to the employer--

(a) in England and Wales--

(i) where the employer is a company, when it goes into liquidation, within the meaning of section 247(2) of the [1986 c. 45.] Insolvency Act 1986; or

(ii) where the employer is an individual, at the commencement of his bankruptcy, within the meaning of section 278 of that Act; or

(b) in Scotland--

(i) where the employer is a company, at the commencement of its winding up, within the meaning of section 129 of that Act; or

(ii) where the employer is a debtor within the meaning of the [1985 c. 66.] Bankruptcy (Scotland) Act 1985, on the date of sequestration as defined in section 12(4) of that Act.

(5) The value of a scheme's assets and liabilities for the purposes of subsection (1) shall be determined in accordance with regulations and such regulations may provide that, in calculating the value of the scheme's liabilities, any provision of the scheme which limits the amount of its liabilities by reference to the amount of its assets is to be disregarded.

(6) This section is without prejudice to any other right or remedy which the trustees may have in respect of the deficiency in the scheme's assets.

(7) A debt due by virtue only of this section shall not be regarded--

(a) as a preferential debt for the purposes of the [1986 c. 45.] Insolvency Act 1986, nor

(b) as a preferred debt for the purposes of the [1985 c. 66.] Bankruptcy (Scotland) Act 1985.

(8) The provisions of this section and of any regulations made under section 153(5) modifying this section override any provision of a scheme to the extent that it conflicts with this section or those regulations.

Part X Investigations: the Pensions Ombudsman

145 The Pensions Ombudsman

(1) For the purpose of conducting investigations in accordance with this Part or any corresponding legislation having effect in Northern Ireland there shall be a commissioner to be known as the Pensions Ombudsman.

(2) The Pensions Ombudsman shall be appointed by the Secretary of State and shall hold office upon such terms and conditions as the Secretary of State may think fit.

(3) The Pensions Ombudsman may at any time--

(a) be removed from office by notice in writing given to him by the Secretary of State; or

(b) resign his office by giving such notice to the Secretary of State.

(4) The Secretary of State may make available such staff and other facilities as he thinks fit for the Pensions Ombudsman and any function of the Pensions Ombudsman, other than the determination of complaints made and disputes referred under this Part, may be performed by any member of that staff who is authorised for that purpose by the Pensions Ombudsman.

(5) The Secretary of State may--

(a) pay to or in respect of the Pensions Ombudsman such amounts by way of remuneration, compensation for loss of office, pension, allowances and gratuities, or by way of provision for any such benefits, as the Secretary of State may determine with the approval of the Treasury; and

(b) reimburse him in respect of any expenses incurred by him in the performance of his functions.

(6) The Pensions Ombudsman shall prepare a report on the discharge of his functions for each financial year, and shall submit it to the Secretary of State as soon as practicable afterwards.

(7) The Secretary of State shall arrange for the publication of each report submitted to him under subsection (6).

146 Functions of the Pensions Ombudsman

(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 [1961 c. 42.] Sheriffs' Pensions (Scotland) Act 1961;

(b) the [1981 c. 20.] Judicial Pensions Act 1981; or

(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;

(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--

"employer", in relation to a pension scheme, includes a person--
(a)
who is or has been an employer in relation to the scheme, or
(b)
who is or has been treated under section 181(2) as an employer in relation to the scheme for the purposes of any provision of this Act, or under section 176(2) of the [1993 c. 49.] Pension Schemes (Northern Ireland) Act 1993 as an employer in relation to the scheme for the purposes of any provision of that Act;
"member", in relation to a pension scheme, includes a person--
(a)
who is or has been in pensionable service under the scheme, or
(b)
who is or has been treated under section 181(4) as a member in relation to the scheme for the purposes of any provision of this Act or under section 176(3) of the [1993 c. 00.] Pension Schemes (Northern Ireland) Act 1993 as a member in relation to the scheme for the purposes of any provision of that Act;
"Northern Ireland public service pension scheme" means a public service pension scheme within the meaning of section 176(1) of that Act;
"pensionable service" in this subsection includes pensionable service as defined in section 176(1) of that Act;
"trustees or managers", in relation to a pension scheme which is a public service pension scheme or a Northern Ireland public service pension scheme, includes the scheme's administrators.

147 Death, insolvency or disability of authorised complainant

(1) Where an authorised complainant dies or is a minor or is otherwise unable to act for himself, then, unless subsection (3) applies--

(a) any complaint or dispute (whenever arising) which the authorised complainant might otherwise have made or referred under this Part may be made or referred by the appropriate person, and

(b) anything in the process of being done by or in relation to the authorised complainant under or by virtue of this Part may be continued by or in relation to the appropriate person,

and any reference in this Part, except this section, to an authorised complainant shall be construed as including a reference to the appropriate person.

(2) For the purposes of subsection (1) "the appropriate person" means--

(a) where the authorised complainant has died, his personal representatives; or

(b) in any other case, a member of the authorised complainant's family, or some body or individual suitable to represent him.

(3) Where a person is acting as an insolvency practitioner in relation to an authorised complainant, investigations under this Part shall be regarded for the purposes of the [1986 c. 45.] Insolvency Act 1986 and the [1985 c. 66.] Bankruptcy (Scotland) Act 1985 as legal proceedings.

(4) In this section "acting as an insolvency practitioner" shall be construed in accordance with section 388 of the Insolvency Act 1986, but disregarding subsection (5) of that section (exclusion of official receiver).

148 Staying court proceedings where a complaint is made or a dispute is referred

(1) This section applies where--

(a) a complaint has been made or a dispute referred to the Pensions Ombudsman; and

(b) any party to the investigation subsequently commences any legal proceedings in any court against any other party to the investigation in respect of any of the matters which are the subject of the complaint or dispute.

(2) In England and Wales, where this section applies any party to the legal proceedings may at any time after acknowledgement of service, and before delivering any pleadings or taking any other step in the proceedings, apply to that court to stay the proceedings.

(3) In Scotland, where this section applies any party to the legal proceedings may--

(a) if the proceedings are in the Court of Session, at any time--

(i) after appearance has been entered but before defences have been lodged or any other step in the proceedings has been taken; or

(ii) (in procedure by petition) after intimation and service but before answers have been lodged or any other step in the proceedings has been taken; and

(b) if the proceedings are in the sheriff court, at any time--

(i) after notice has been given of intention to defend but before defences have been lodged or any other step in the proceedings has been taken; or

(ii) (in summary cause procedure) after appearance has been made, or notice of intention to appear has been lodged, but before any defence has been stated or any other step in the proceedings has been taken,

apply to the court for a sist of process.

(4) On an application under subsection (2) or (3) the court may make an order staying or, in Scotland, sisting the proceedings if it is satisfied--

(a) that there is no sufficient reason why the matter should not be investigated by the Pensions Ombudsman; and

(b) that the applicant was at the time when the legal proceedings were commenced and still remains ready and willing to do all things necessary to the proper conduct of the investigation.

(5) For the purposes of this section the parties to an investigation are--

(a) the authorised complainant in question;

(b) the trustees or managers of the scheme in question;

(d) any person claiming under a person falling within paragraphs (a) to (c).

149 Procedure on an investigation

(1) Where the Pensions Ombudsman proposes to conduct an investigation into a complaint made or dispute referred under this Part, he shall give--

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

(b) any other person against whom allegations are made in the complaint or reference,

an opportunity to comment on any allegations contained in the complaint or reference.

(2) The Secretary of State may make rules with respect to the procedure which is to be adopted in connection with the making of complaints, the reference of disputes, and the investigation of complaints made and disputes referred, under this Part.

(3) The rules may include provision--

(a) requiring any oral hearing held in connection with such an investigation to take place in public, except in such cases as may be specified in the rules; and

(b) as to the persons entitled to appear and be heard on behalf of parties to an investigation, as defined in section 148(5).

(4) Subject to any provision made by the rules, the procedure for conducting such an investigation shall be such as the Pensions Ombudsman considers appropriate in the circumstances of the case; and he may, in particular, obtain information from such persons and in such manner, and make such inquiries, as he thinks fit.

150 Investigations: further provisions

(1) For the purposes of an investigation under this Part or under any corresponding legislation having effect in Northern Ireland, the Pensions Ombudsman may require--

(a) any trustee or manager of the scheme concerned, or

(b) any other person who, in his opinion is able to furnish information or produce documents relevant to the investigation,

to furnish any such information or produce any such documents.

(2) For the purposes of any such investigation the Pensions Ombudsman shall have the same powers as the court in respect of the attendance and examination of witnesses (including the administration of oaths and affirmations and the examination of witnesses abroad) and in respect of the production of documents.

(3) No person shall be compelled for the purposes of any such investigation to give any evidence or produce any document which he could not be compelled to give or produce in civil proceedings before the court.

(4) If any person without lawful excuse obstructs the Pensions Ombudsman in the performance of his functions or is guilty of any act or omission in relation to an investigation under this Part which, if that investigation were a proceeding in the court, would constitute contempt of court, the Pensions Ombudsman may certify the offence to the court.

(5) Where an offence is certified under subsection (4) the court may inquire into the matter and, after hearing any witnesses who may be produced against or on behalf of the person charged with the offence and hearing any statement that may be offered in defence, deal with him in any manner in which the court could deal with him if he had committed the like offence in relation to the court.

(6) To assist him in an investigation, the Pensions Ombudsman may obtain advice from any person who in his opinion is qualified to give it and may pay to any such person such fees or allowances as he may with the approval of the Treasury determine.

(7) The Pensions Ombudsman may refer any question of law arising for determination in connection with a complaint or dispute to the High Court or, in Scotland, the Court of Session.

(8) In this section "the court" means--

(a) in England and Wales, a county court;

(b) in Scotland, the sheriff.

(9) Subsections (4) and (5) shall be construed, in their application to Scotland, as if contempt of court were categorised as an offence in Scots law.

151 Determinations of the Pensions Ombudsman

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