This guidance is for you if you want to make an application to us to use our powers.
As a third party applicant, there are a number of powers which you can apply for us to use.
Examples of powers you can apply for us to use
Some examples of powers that applicants can ask us to use include the power to:
- appoint an independent trustee to a scheme
- extend a deadline for a cash equivalent transfer (CETV extension)
- revoke a prohibition order prohibiting a person from acting as a trustee to a specific scheme, a particular description of schemes, or schemes in general
- revoke a suspension order preventing a person from acting as a trustee for a specific period of time
- waive an automatic disqualification of a person from being a trustee
A full list of the powers you can apply for can be found in section 10(6) of the Pension Act 2004.
What you should consider before making an application
When considering making an application, you should be aware of the following.
- Third party applications can be made without legal input, but you may want to consider seeking legal assistance.
- You have the burden (responsibility) of proving in your application that the power should be used.
- You should ensure you include all the information requested in our application form. Failure to provide this will mean we cannot progress your application.
- This guidance is for people who are considering making a third-party application. If you decide to proceed with an application, you should refer to the Case Team procedure and Determinations Panel procedure which explain the process.
- You may need to meet certain criteria, such as being a member or trustee of the scheme, to apply for use of some of the powers. This will depend on the power that you are asking to be used.
Application forms
Please use these application forms to apply for the appointment of a trustee and waiver of a trustee disqualification.
For all other applications, you should contact customersupport@TPR.gov.uk providing details of the power which you are applying for us to use. You should set out your application in full, in writing, including where relevant details of the scheme(s).
Please note that applications for a CETV extension should be received by us at least 10 weeks before the statutory deadline. Failure to do this means there may not be enough time for the application to be progressed and you risk missing the statutory deadline, which could lead to enforcement action.
How to send your application to us
We prefer to receive applications by email to customersupport@tpr.gov.uk but can receive them by post too. Our postal address is:
The Pensions Regulator
Telecom House
125-135 Preston Road
Brighton
BN1 6AF
We will let you know that we’ve received your application and we will then contact you to discuss your application further.
How your application will be progressed
Your application will first be considered by our case team. The case team is a team made up of TPR staff who handle cases before they are passed to our Determinations Panel.
The Determinations Panel functions independently from the case team and makes the final decision on whether the power should be used.
Throughout the process we will contact you to tell you what is happening.
Directly affected parties
In addition to contacting you, we will also update any other parties we consider to be directly affected by the proposed use of powers.
Directly affected parties may include trustees or employers impacted by the outcome of the application and who have legal rights to give their views on whether our powers should be used.
How your application will progress
Broadly, you can expect your application to progress as follows.
- Once we receive your application form, the case team will check that all the information requested has been provided.
- If the required information is not provided, we will contact you to let you know this. We will not progress your application unless all missing information is provided.
- If we decide that the application can progress, we will follow either standard or special procedure.
- Full details of the procedures that will be followed by our case team and the Determinations Panel are set out in the Case Team procedure and Determinations Panel procedure
- The special procedure is used where there are immediate risks that require the application to be considered urgently.
- Most applications are progressed using the standard procedure which is summarised below.
Standard procedure
If standard procedure is followed, the case team will send you and the directly affected parties a Warning Notice.
Warning Notice
The Warning Notice summarises the circumstances of the case and includes the case team’s view on whether the power should be used.
You and the directly affected parties will be given a reasonable opportunity to respond to the Warning Notice. The timeframe for responding is at the discretion of the case team and will depend on the complexity of the case and the number of directly affected parties.
The case team may respond to any representations provided. If that happens you and the other parties will be given the right a reply. The case team will normally share any documents you and the directly affected parties provide with all other parties.
The case will then be submitted to the Determinations Panel.
Determinations Panel
The Determinations Panel (DP) decides whether the power should be used. Once your case has been given to the DP, it will appoint a case panel. The case panel is usually made up of two or three members of the DP. The case panel will decide whether the power should be used.
It is possible that even if we have already asked you for more information in relation to your application, the case panel may ask you or another party for additional information before it makes its decision.
Determination Notice
Once the case panel has reached its decision on whether the power should be used, it will send you a Determination Notice. The Determination Notice sets out the decision and reasons for it.
The Determination Notice will also be sent to anyone else the case panel considers to be directly affected.
Withdrawing your application
You may withdraw your application, or part of it, at any time before the case panel has sent its Determination Notice.
If you withdraw your application in its entirety within this timeframe, we (including the DP) will stop progressing it. If you withdraw only part of your application within this timeframe, we will stop progressing the withdrawn part but continue to progress the remaining parts of the application.
Please note: notwithstanding any withdrawal by you, if the case team considers that the use of our powers is appropriate, it may decide to pursue a case for the use of powers itself.
Challenging the Determinations Panel’s decision
If you are unhappy with the case panel’s decision under standard procedure or its final decision under special procedure, you can refer the case to the Upper Tribunal which will make the decision afresh.
This is called a ‘reference’ and details of how to do this will be included in the Determination Notice and any Final Notice.
How we use and protect information
Under section 89 of the Pensions Act 2004, TPR routinely publishes information relating to cases, including the decisions the Determinations Panel has made. Our policy on how we publish case information can be found in our essential guide to how we publish information.
TPR is a data controller for the purposes of the UK General Data Protection Regulation (UK GDPR) and the Data Protection Act 2018 (DPA 2018). We hold and process personal data in accordance with the principles set out in the UK GDPR and DPA 2018 in carrying out our statutory functions. For information about how we process personal data, please see our privacy notice.
As well as using any information or evidence you provide to TPR to assess your application, we may also use it in connection with any of our wider functions. For example, we may use it to inform our other activities, or in support of the use of our other powers (including criminal and penalty proceedings).
Apart from information which is publicly available, or anonymised, any information or evidence you provide to us that relates to your business or affairs is subject to protections from onward disclosure, however, there are some ‘gateways’ in the legislation that enable us to disclose this ‘restricted information’ to third parties as necessary or appropriate. Such disclosure might happen, for example, to enable or assist us to exercise our other powers in other cases. Further information can be found in sections 81-87 of the Pensions Act 2004.
Please note that if you knowingly or recklessly provide us with false or misleading information you may be liable to a criminal sanction, or a financial penalty, under sections 80 and 80A of the Pensions Act 2004.