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Enforcement procedures: scheme management

  1. Where we decide to begin enforcement action, our teams and the Determinations Panel will follow the relevant policy and applicable procedure for the power we are using as set out below.
    • For reserved functions that require a decision of the Determinations Panel we follow the case team procedure and the Determinations Panel procedure.
    • For non-reserved functions that do not require a decision by the Determinations Panel we follow the staff determinations procedure (PDF, 123kb, 12 pages).
    • These procedures set out information for those who may be the subject of our enforcement action as well as those who we view as being “directly affected” by it.
    • For certain statutory notices (compliance notices, third party compliance notices and penalty notices issued under either:
      • the Occupational Pension Schemes (Charges and Governance) Regulations 2015 or
      • the Occupational Pension Schemes (Climate Change Governance and Reporting) Regulations 2021)
      we follow the procedure set out in the appendices to our monetary penalties policy.
    • For securing compliance with our information-gathering powers, which may include imposing financial penalties, we follow the procedure set out in the investigations section of this policy.
    • For prosecuting a criminal offence, we follow the procedure set out in our prosecution policy.
  2. The published procedures describe, amongst other things, how decisions and determinations on cases are made, and when and how a person can make representations.
  3. We always act in accordance with our legal obligations, including those contained within the Data Protection Act 2018 and the UK General Data Protection Regulation, the Human Rights Act 1998 and our equality duties under the Equality Act 2010.