The Pensions Regulator

Determinations

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The decision to make a determination

Determinations are made on the basis of the evidence contained within a warning notice, the relevant law and any representations made by the parties involved.

A warning notice is a written statement containing:

• the circumstances of the case and the details of the alleged breach or grounds for the application;
• evidence to support the allegation or application - this may include information gathered during the course of the regulator's investigation that demonstrates the need for a power to be used, or papers submitted that support a request for the regulator to act; and
• details of the specific powers that the regulator asks the determinations panel to considering using.

The determination will also take into account the interests of the members of the scheme and others who are directly affected by the decision.

Having decided to go ahead with a determination, copies of the warning notice will be issued to everyone who will be directly affected by the outcome. This means that all parties concerned see exactly the same information and evidence, including the person making the decision.

The affected parties will usually have at least 14 days to read the warning notice and comment on it. Any comments made should be passed between all other parties involved. If comments are submitted, they will be included with the warning notice and considered at the meeting of the determinations panel.

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