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Correspondence between TPR and Carillion PLC and scheme trustees

FOI reference - FOI 2018-05-08
Date - 08/05/2018


Please provide all correspondence between The Pensions Regulator (TPR) and Carillion and / or Carillion pension scheme trustees in 2017.


To be clear, the request above has been interpreted as a request for the following:

1. Correspondence between TPR and Carillion PLC in the year 2017


2. Correspondence between TPR and the trustees of Carillion pension schemes – where the correspondence is to or from a trustee and relates to a scheme where Carillion is listed as an employer – in the year 2017.

Based on the above, it is important to note we have excluded correspondence between TPR and the trustees in the year 2017 which does not relate to schemes linked to Carillion.

We have interpreted correspondence in this case to be in the form of letters and emails. This interpretation has ensured that the request does not engage section 12 (appropriate cost limit) of the Freedom of Information Act (FoIA).

Information we are able to supply

I can confirm that we hold information falling within scope of your request. However, we are unable to supply some of the information requested for the reasons set out below.

Please see this attachment (PDF, 4.3mb, 556 pages) for the information you have requested and which we are able to supply. Please use the bookmark link, which can be accessed by selecting ‘bookmarks’ on the left hand side of the attached PDF, to view this information in a chronological order.

Information we are not able to supply

Section 40 – Personal information

Some of the information contained within the emails disclosed in the attachment is classed as personal data, as defined in the Data Protection Act 1998 (DPA), and is therefore exempt from disclosure under section 40 (personal information) of the FoIA. This is because disclose would not comply with the data protection principles set out in the DPA, in particular the requirement for processing to be fair and lawful and to comply with one of the conditions of processing in Schedule 2. This information has been redacted from the correspondence included in the PDF.

Section 44(1)(a) – restricted information under section 82 PA04

As we have been given strong powers to demand documents and other information from trustees, employers and others, those powers are also balanced by restrictions on how we disclose the information provided to us.

Some of the correspondence which you have requested is classed as ‘restricted information’. This correspondence has therefore not been disclosed in the PDF. Restricted information is defined at section 82(4) of the Pensions Act 2004 (PA04) as ‘information obtained by the Regulator in the exercise of its functions which relates to the business or other affairs of any person’.

Under section 82(5) of the PA04 it is a criminal offence to disclose such information except as permitted under that Act.

Whilst the FoIA is based on the presumption of releasing information, section 44(1)(a) of the FoIA provides an absolute exemption to the requirement to disclose any information if its disclosure is prohibited by or under any enactment. In this case, section 82 of the PA04 prohibits disclosure and we are unable to disclose the requested information. This exemption is absolute and does not require a public interest assessment be undertaken.