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Case Team procedure

Published: 25 October 2022

Summary

This procedure sets out how the case teams of the Pensions Regulator (TPR) operate in practice, and the processes they follow in cases where the decision on whether or not to exercise a regulatory function is made by the Determinations Panel.

Who this document is for

This is for anyone who is or might be involved in enforcement action where the decision on whether or not to exercise a regulatory function is made by the Determinations Panel, or who is otherwise interested in understanding how our case teams operate. This includes trustees, employers, legal advisers and other industry stakeholders.

Legal references

The Case Team procedure is determined under section 93(1) of the Pensions Act 2004.

References in this procedure to the law that applies in Great Britain should be taken to include corresponding legislation in Northern Ireland.

This revised statement is dated 25 October 2022 and is published pursuant to section 94(4) of the Pensions Act 2004. It replaces all previous versions and will remain in force until it is revised.

Unless otherwise stated, where a paragraph number is mentioned in this document it is a reference to this Case Team procedure.

Glossary

Terms in bold type are explained further in the Glossary. Otherwise, terms are defined in the main body of the procedure.

Purpose

  1. This document sets out the procedure used by a TPR case team, which is a team of TPR staff who undertake, and/or make decisions in relation to, regulatory investigations and case preparation (Case Team), in cases which may be considered by the Determinations Panel. The Case Team may depart from this procedure if it considers there is a good reason, and will give adequate notice and an explanation to those affected.
  2. This document should be read alongside the Determinations Panel procedure.

The statutory framework

  1. TPR is established under section 1 of the Pensions Act 2004 (the Act). Any reference to a section unless otherwise stated is to the relevant section of the Act. Any term used in this document which is defined for the purposes of any provision of Part 1 of the Act shall, unless the context otherwise requires, have the meaning used in the Act.
  2. TPR must determine, under section 93(1) of the Act, the procedure it will follow in relation to the exercise of TPR’s reserved regulatory functions set out in Schedule 2 to the Act (Reserved Regulatory Functions) and applications made under section 10(2)(b) of the Act. Under section 93(1) of the Act, TPR determined the procedure to be followed, and has now revised this. This document is a revised statement of the procedure and is published under section 94(4) of the Act.
  3. This document sets out the Standard Procedure and Special Procedure provided for under sections 95 to 98 of the Act.
  4. Where there are other relevant matters which are covered by the Act, statutory provisions have not been repeated in this document unless appropriate.

Reserved Regulatory Functions (excluding Third Party Applications)

  1. Where the Case Team considers it appropriate to carry out an investigation into the facts and circumstances of a case, it will do so. How TPR conducts its investigations is set out in its enforcement policy.
  2. If the Case Team decides to pursue the exercise of one or more of TPR’s Reserved Regulatory Functions, it will follow either the Standard Procedure or the Special Procedure depending on the facts and circumstances of the case.
  3. If the Case Team decides to pursue the exercise of one or more of TPR’s non-reserved regulatory functions, it will follow the staff determinations procedure (PDF, 89KB, 12 pages).

Standard Procedure

  1. If, in accordance with section 95(1)(a) of the Act, the Case Team decides to pursue the exercise of one or more of TPR’s Reserved Regulatory Functions, it will issue a Warning Notice. The Case Team will decide who the Directly Affected Parties identified by the Case Team are and will serve the Warning Notice on them.

Warning Notice

  1. The Warning Notice will usually include:
    1. the circumstances of the case, details of the specific regulatory functions that are under consideration by TPR and the grounds and evidence on which the Warning Notice is based, including, where appropriate, the details of any alleged breach of law.
    2. how long parties have got to provide written representations to the Case Team (at the Case Team’s discretion). The Case Team will allow a time frame that it considers gives the Directly Affected Parties identified by the Case Team a reasonable time to properly respond to the matters raised in the Warning Notice and any accompanying documents. 
    3. details of TPR's ability to publish its consideration of use of powers.
  2. The Warning Notice will be served either in electronic or hardcopy form upon the Directly Affected Parties identified by the Case Team. If the Warning Notice is to be served by email or other electronic means, the Case Team will first get permission from each recipient that they are willing to be served in that way.
  3. The Directly Affected Parties identified by the Case Team can request an extension to the period set out in the Warning Notice for providing representations. If any of the Directly Affected Parties identified by the Case Team become aware that they cannot meet this deadline, the Case Team will expect any request for an extension to be received from that party as soon as reasonably practicable and no later than one month before the original deadline. This request should clearly provide the reasons why the extension is being sought and what steps have been taken to meet the original deadline. In cases where the time frame for representations set out in the Warning Notice is less than two months, the Case Team will expect any requests for an extension to be received no later than two working days before the original deadline.
  4. The Case Team may grant an extension if it considers it is appropriate to do so, taking into account the reasons stated and any other relevant circumstances.

Accompanying evidence

  1. The Warning Notice will usually be accompanied by a bundle of evidence comprising material received or obtained by TPR that might reasonably be considered to support or undermine the case for the exercise of the function(s) (excluding material which is legally privileged or which is otherwise inadmissible). The Case Team may disclose additional material if it considers this to be necessary to ensure fairness.
  2. The Case Team may occasionally decide not to disclose material where there is good reason not to, and TPR is satisfied that there will be no unfairness. In that event, the Case Team would usually inform the Directly Affected Parties identified by the Case Team, although there may be situations where this is not appropriate.
  3. The bundle of evidence will usually be in electronic form and, where it is not provided with the Warning Notice, will follow as soon as possible.

Representations

  1. If any of the Directly Affected Parties identified by the Case Team wish to make representations following service of the Warning Notice, these should be sent to the Case Team within the time frame specified in the Warning Notice, or as varied by agreement with the Case Team in accordance with paragraphs 13 and 14.
  2. Representations received from any of the Directly Affected Parties identified by the Case Team should state whether or not that party accepts the contents of the Warning Notice, and whether they intend to support or oppose the exercise of the function(s) in question.
  3. As well as giving the Directly Affected Parties identified by the Case Team the opportunity to have their say on the matters set out in the Warning Notice, representations are also used by the Case Team to help it consider, in accordance with paragraph 24, whether or not the Case Team should continue to pursue the exercise of the functions and refer the matter to the Determinations Panel.
  4. If the Case Team decides to refer the matter to the Determinations Panel, the representations will be provided to the Determinations Panel. Therefore, each of the Directly Affected Parties identified by the Case Team should include with their representations the evidence they wish to rely on. After a case is referred, submission of any further evidence is at the Determinations Panel’s discretion.

Cases in which a contribution notice is sought under section 38 of the Act

  1. Where a Warning Notice is given to the Directly Affected Parties identified by the Case Team seeking a contribution notice wholly or partly by reference to TPR’s opinion that the material detriment test, the employer insolvency test or the employer resources test, is met:
    1. the Warning Notice will explain the general effect of section 38B, 38D, or 38F of the Act (as the case may be) and
    2. each of the Directly Affected Parties identified by the Case Team may wish to refer in its representations to one of the relevant defences found in sections 38B(2), s38D(2) and (3) or s38F(2) of the Act (as the case may be).

Request to attend the Determination Meeting

  1. If any of the Directly Affected Parties identified by the Case Team wish to attend the Determination Meeting, that party should request this in writing to the Case Team within the time frame for serving representations. If any of the Directly Affected Parties identified by the Case Team wish to request that the Determination Meeting is held in public, that party should also submit this request within the same time frame.

Steps following representations

  1. The Case Team will review and consider any representations served within the time frame set out in the Warning Notice (or a timeframe otherwise agreed with the Case Team), to consider whether it is still of the view that the exercise of the function(s) should be pursued, and may carry out further investigations if it considers this to be appropriate. The Case Team may also send copies of the representations received to any of the other Directly Affected Parties identified by the Case Team where it considers it appropriate. After completion of this review, the Case Team will communicate its conclusion to each of the Directly Affected Parties identified by the Case Team which may be:
    1. that the Case Team will be referring the case to the Determinations Panel for it to make its determination(s). In this event, the Case Team will send the Warning Notice, the bundle of evidence, and all representations received, to the Determinations Panel, together with any communications received in accordance with paragraph 23. The Case Team will also send to the Determinations Panel its own view on whether it and the Directly Affected Parties identified by the Case Team should be allowed to attend the Determination Meeting and, if so, whether this should be held in public. The Case Team will also ensure that all representations received are made available to any of the Directly Affected Parties identified by the Case Team who have not already received them.
    2. that, in light of the issues raised in the representations, or the outcome of any further investigations or evidence received, the Case Team will provide further comments on the representations in the form of a response to representations. If the Case Team decides to issue a response, it will give the Directly Affected Parties identified by the Case Team a reasonable opportunity to reply to the response.
    3. that the Case Team will not be referring the case to the Determinations Panel, either at all, or with respect to part of the case, for example the exercise of a particular function(s), or with respect to one of the Directly Affected Parties identified by the Case Team.
  2. If representations are not received from one of the Directly Affected Parties identified by the Case Team within the time frame set out in the Warning Notice (or a time frame otherwise agreed with the Case Team) the Case Team will take such action as it deems appropriate. This could include referring the case to the Determinations Panel to make some or all of the determinations as set out in the Warning Notice (although if representations have been received from any of the other Directly Affected Parties identified by the Case Team, the Case Team may choose not to refer the case to the Determinations Panel until it has reached a conclusion in accordance with paragraph 24).
  3. If the Case Team receives any additional material after the bundle of evidence has been served, which is disclosable under the principles set out in paragraph 15 above, or if there is any existing material which subsequently becomes disclosable (for example, if new issues emerge after representations are received), the Case Team will disclose this as soon as reasonably practicable to the Directly Affected Parties identified by the Case Team (and the Determinations Panel, if appropriate). If any additional material is disclosed by the Case Team before the referral of the case to the Determinations Panel, the Case Team will give the Directly Affected Parties identified by the Case Team the opportunity to comment.
  4. If any of the Directly Affected Parties identified by the Case Team wish to raise a procedural issue before the Case Team refers the case to the Determinations Panel, it should be raised with the Case Team who will consider it and make a decision. The Case Team may also share details of the issue with any of the other Directly Affected Parties identified by the Case Team where appropriate.

Role of the Case Team after referral to the Determinations Panel

  1. As soon as reasonably practicable after a case has been referred to the Determinations Panel, the Panel Chair will appoint one or more Determinations Panel members to be the Case Panel who will consider the case, and will appoint a Case Chair. The Panel Chair may be a member of the Case Panel, and may also be the Case Chair.
  2. After referring the case to the Determinations Panel, the Case Team will comply with any directions issued by the Determinations Panel’s appointed Case Panel or Panel Chair (including, for example, preparing submissions for any Determination Meeting).

Withdrawal

  1. The Case Team may withdraw its entire case from the Determinations Panel at any time before the Case Panel has sent its Determination Notice to the Case Team and the Directly Affected Parties identified by the Case Panel. This will happen, for example, if the Case Team considers that the exercise of TPR’s function(s) should no longer be pursued or the case settles.
  2. The Case Team may also withdraw part of its case from the Determinations Panel within the same timeframe. This will happen, for example, if the Case Team no longer wishes to pursue the exercise of one of a number of functions or if the Case Team no longer wishes to pursue the exercise of functions against one of a number of the Directly Affected Parties identified by the Case Team.
  3. If withdrawal happens, the Case Team will confirm this to the Determinations Panel. It will also confirm this to the appropriate Directly Affected Parties identified by the Case Team and explain its effect.

Special Procedure

  1. The Special Procedure will be used where the Case Team has decided to pursue the exercise of one or more of TPR’s regulatory functions and it considers that there may be, or is, a need to exercise the function(s) immediately to protect members’ interests or scheme assets. In that event, the Case Team will prepare and send a Special Procedure Request to the Determinations Panel.

Special Procedure Request

  1. The Special Procedure Request will explain why the Case Team considers the Special Procedure applies and will attach a draft of any Order, Notice or Direction requested.

Accompanying evidence

  1. The Special Procedure Request will usually be accompanied by a bundle of evidence comprising material received or obtained by TPR that might reasonably be considered to support or undermine the case for the exercise of the function(s) (excluding material which is legally privileged or which is otherwise inadmissible). The Case Team may disclose additional material if it considers this to be necessary to ensure fairness.
  2. The Case Team may occasionally decide not to disclose material where there is good reason not to, and TPR is satisfied that there will be no unfairness. In that event, the Case Team would usually inform the Directly Affected Parties identified by the Case Panel after the Determinations Panel sends any Determination Notice to them and to the Case Team, although there may be situations where this is not appropriate.
  3. In cases already following the Standard Procedure[1], the Case Team will also send to the Determinations Panel any Warning Notice, accompanying bundle of evidence, representations, responses and replies served up to that point.

Role of the Case Team after referral to the Determinations Panel

  1. No other party will be sent the Special Procedure Request before the Case Panel first considers it. After its consideration of the Special Procedure Request, if the Case Panel determines to exercise the function(s) it will inform the Directly Affected Parties identified by the Case Panel of its determination(s) and the steps to be taken before the Compulsory Review.
  2. The Case Team will comply with any directions issued by the Case Panel or Panel Chair (including, for example, preparing submissions for the Compulsory Review). The Case Team may carry out further investigations before the Compulsory Review, if it considers this to be appropriate. The Determinations Panel procedure contains more detail on how it approaches Special Procedure cases.

Withdrawal

  1. The Case Team may withdraw the entire Special Procedure Request from the Determinations Panel at any time before the Case Panel has sent its Determination Notice to the Case Team and the Directly Affected Parties identified by the Case Panel. This will happen, for example, if the Case Team no longer considers that Special Procedure applies.
  2. The Case Team may also withdraw part of the Special Procedure Request from the Determinations Panel within the same timeframe. This will happen, for example, if the Case Team no longer considers that Special Procedure applies in respect of the exercise of one of a number of functions it is pursuing.
  3. If withdrawal happens, the Case Team will confirm this to the Determinations Panel. Depending on the circumstances, the Case Team may then pursue the case, or the withdrawn parts, under Standard Procedure.

Footnotes for this section

  • [1] Cases falling within section 97(3) and (4) of the Act.

Reserved Regulatory Functions – Third Party Applications

Standard Procedure

  1. If TPR receives an application by a third party asking TPR to exercise a regulatory function listed in section 10(6) of the Act (Third Party Application) and the Case Team considers it has received the information it requires as set out in the Third Party Applications guidance, the Case Team will prepare a Warning Notice which will contain details of the application.

Warning Notice

  1. The Warning Notice will usually include:
    1. a statement from the Case Team on the merits of the application. This statement will include the Case Team’s views on whether the application satisfies any applicable legislative grounds for the exercise of the function. It will also outline whether the Case Team considers it appropriate for the function to be exercised (having regard to the contents of the application and the outcome of any Case Team investigation up to that point).
    2. how long parties have got to provide written representations to the Case Team (at the Case Team’s discretion). The Case Team will allow a timeframe that it considers gives the Directly Affected Parties identified by the Case Team a reasonable time to properly respond to the matters raised in the Warning Notice, such as the Case Team’s statement on the merits of the application, and any accompanying documents.
    3. details of TPR’s ability to publish its consideration of use of powers.
  2. The Warning Notice will be served either in electronic or hardcopy form upon the Directly Affected Parties identified by the Case Team. If the Warning Notice is to be served by email or other electronic means, the Case Team will first get permission from each recipient that they are willing to be served in that way.
  3. The Directly Affected Parties identified by the Case Team can request an extension. If any of the Directly Affected Parties identified by the Case Team become aware that they cannot meet the deadline, the Case Team will expect any request for an extension to be received from that party as soon as reasonably practicable and no later than one month before the original deadline. This request should clearly provide the reasons why the extension is being sought and what steps have been taken to meet the original deadline. In cases where the time frame for representations set out in the Warning Notice is less than two months, the Case Team will expect any requests for extensions to be received no later than two working days before the original deadline.
  4. The Case Team may grant an extension if it considers it appropriate, taking into account the reasons stated and any other relevant circumstances.

Accompanying evidence

  1. The Warning Notice will usually be accompanied by a bundle of evidence comprising material received or obtained by TPR that might reasonably be considered to support or undermine the case for the exercise of the function(s) (excluding material which is legally privileged, or which is otherwise inadmissible). The Case Team may disclose additional material if it considers this to be necessary to ensure fairness.
  2. The Case Team may occasionally decide not to disclose material where there is good reason not to, and TPR is satisfied that there will be no unfairness. In that event the Case Team would usually inform the Directly Affected Parties identified by the Case Team, although there may be situations where this is not appropriate.
  3. The bundle of evidence will usually be in electronic form and, where it is not provided with the Warning Notice, will follow as soon as possible.

Representations

  1. If any of the Directly Affected Parties identified by the Case Team wish to make representations following service of the Warning Notice, these should be sent to the Case Team within the time frame specified in the Warning Notice, or as varied by agreement with the Case Team in accordance with paragraphs 46 and 47.
  2. Representations received from any of the Directly Affected Parties identified by the Case Team should state whether or not that party accepts the contents of the Warning Notice and whether they intend to support or oppose the exercise of the function(s) in question.
  3. As well as giving the Directly Affected Parties identified by the Case Team the opportunity to have their say on the matters set out in the Warning Notice, representations are also used by the Case Team to help it further consider its statement on the merits of the application.
  4. When the Case Team refers the matter to the Determinations Panel, the representations will be provided to the Determinations Panel. Therefore, each of the Directly Affected Parties identified by the Case Team should include with their representations the evidence they wish to rely on. After a case is referred, submission of any further evidence is at the Determinations Panel’s discretion.

Request to attend the Determination Meeting

  1. If any of the Directly Affected Parties identified by the Case Team wish to attend the Determination Meeting, that party should request this in writing to the Case Team within the timeframe for serving representations. If any of the Directly Affected Parties identified by the Case Team wish to request that the Determination Meeting is held in public, that party should also submit this request within the same time frame.

Steps following representations

  1. The Case Team will review and consider any representations served within the time frame set out in the Warning Notice (or a timeframe otherwise agreed with the Case Team) and its statement on the merits of the application. The Case Team may investigate matters raised in the representations. It may also send copies of the representations to any of the other Directly Affected Parties identified by the Case Team where it considers this appropriate. After completing this review, the Case Team will communicate its conclusion to each of the Directly Affected Parties identified by the Case Team, which may be:
    1. that it will be referring the case to the Determinations Panel for it to make its determination(s). In this event, the Case Team will send the Third Party Application, the Warning Notice, the bundle of evidence, and all representations received to the Determinations Panel, together with any communications received in accordance with paragraph 55. The Case Team will also send to the Determinations Panel its own view on whether or not it and the Directly Affected Parties identified by the Case Team should be permitted to attend the Determination Meeting and, if so, whether this should be held in public. The Case Team will also ensure that all representations received are made available to any Directly Affected Parties identified by the Case Team who have not already received them.
    2. that, in light of the issues raised in the representations, or the outcome of any investigation or evidence received, the Case Team will provide further comments on the representations in the form of a response to representations. If the Case Team decides to issue a response, it will give the Directly Affected Parties identified by the Case Team a reasonable opportunity to reply to the response. At the end of this time, the Case Team will refer the case to the Determinations Panel by sending it all the material referred to in paragraph 56i, together with the Case Team’s response, and any replies received from the Directly Affected Parties identified by the Case Team.
  2. If the Case Team receives any additional material after the bundle of evidence has been served which is disclosable under the principles set out in paragraph 48, or if there is any existing material which subsequently becomes disclosable (for example, if new issues emerge after representations are received), the Case Team will disclose this as soon as reasonably practicable to the Directly Affected Parties identified by the Case Team (and the Determinations Panel, if appropriate). If any additional material is disclosed by the Case Team before the referral of the case to the Determinations Panel, the Case Team will give the Directly Affected Parties identified by the Case Team the opportunity to comment on this.
  3. If any of the Directly Affected Parties identified by the Case Team wish to raise a procedural issue before the Case Team refers the case to the Determinations Panel, it should be raised with the Case Team who will consider it and make a decision. The Case Team may share details of the issues among any of the other Directly Affected Parties identified by the Case Team where appropriate.

Role of the Case Team after referral to the Determinations Panel

  1. As soon as reasonably practicable after a case has been referred to the Determinations Panel, the Panel Chair will appoint one or more Determinations Panel members to be the Case Panel who will consider the case, and will appoint a Case Chair. The Panel Chair may be a member of the Case Panel, and may also be the Case Chair.
  2. After referring the case to the Determinations Panel, the Case Team will comply with any directions issued by the Determinations Panel’s appointed Case Panel or Panel Chair (including, for example, preparing submissions for any Determination Meeting).

Withdrawal

  1. A Third-Party Application, or part of it, may be withdrawn by the applicant at any time before the Case Panel has sent its Determination Notice to the Case Team and Directly Affected Parties identified by the Case Panel. If withdrawal happens, the Case Team will confirm this to the Determinations Panel. It will also confirm this to the appropriate Directly Affected Parties identified by the Case Team and explain its effect.

Special Procedure

  1. The Special Procedure will be used if TPR receives a Third-Party Application and the Case Team considers it has the information it requires as set out in the Third Party Applications guidance and that there may be, or is, a need to exercise the function(s) immediately to protect members’ interests or scheme assets. In that event, the Case Team will prepare and send a Special Procedure Request to the Determinations Panel.

Special Procedure Request

  1. The Special Procedure Request will explain why the Case Team considers the Special Procedure applies, and will also include a statement from the Case Team on the merits of the application together with a draft of any Order, Notice or Direction requested.

Accompanying evidence

  1. The Special Procedure Request will usually be accompanied by a bundle of evidence comprising material received or obtained by TPR that might reasonably be considered to support or undermine the case for the exercise of the function(s) (excluding material which is legally privileged or which is otherwise inadmissible). The Case Team may disclose additional material if it considers this to be necessary to ensure fairness.
  2. The Case Team may occasionally decide not to disclose material where there is good reason not to, and TPR is satisfied that there will be no unfairness. In that event, the Case Team would usually inform the Directly Affected Parties identified by the Case Panel after the Determinations Panel sends any Determination Notice to them and to the Case Team, although there may be situations where this is not appropriate.
  3. In cases already following the Standard Procedure[2], the Case Team will also send to the Determinations Panel any Warning Notice, accompanying bundle of evidence, representations, responses and replies served up to that point.

Role of the Case Team after referral to the Determinations Panel

  1. No other party will be sent the Special Procedure Request before the Case Panel first considers it. After its consideration of the Special Procedure Request, if the Case Panel determines to exercise the function(s) it will inform the Directly Affected Parties identified by the Case Panel of its determination(s) and the steps to be taken before the Compulsory Review.
  2. The Case Team will comply with any directions issued by the Case Panel or Panel Chair (including, for example, preparing submissions for the Compulsory Review). The Case Team may carry out further investigations before the Compulsory Review, if it considers it appropriate. The Determinations Panel procedure contains more detail on how it approaches Special Procedure cases.

Withdrawal

  1. A Special Procedure Request, or a part of it, may be withdrawn by the Case Team from the Determinations Panel at any time before the Case Panel has sent its Determination Notice to the Case Team and the Directly Affected Parties identified by the Case Panel if the Case Team no longer considers that the Special Procedure applies. The Case Team will confirm withdrawal to the Determinations Panel and will progress the withdrawn parts using the Standard Procedure.

Footnotes for this section

  • [2] Cases falling within section 97(3) and (4) of the Act.

Publication

  1. Section 89 of the Act gives TPR the power to publish information, including information obtained as part of casework, on cases where TPR has exercised or considered exercising its functions. How TPR publishes information is set out in its publication policy.

Glossary

Case Chair

The member of the Determinations Panel selected by the Panel Chair to chair the consideration of the case (which could be the Panel Chair).

Case Panel

Members of the Determinations Panel selected by the Panel Chair to consider a case (which could include the Panel Chair).

Compulsory Review

The second Case Panel meeting under the Special Procedure, held in person, or virtually using an electronic medium, to consider whether to confirm, vary, revoke, or substitute the determination(s) to exercise the function(s) made following the Initial Decision Meeting, and any documents exercising such function(s).

Determination Meeting

The Case Panel meeting under the Standard Procedure, held in person, or virtually using an electronic medium, to consider whether to exercise the regulatory function(s) requested in the Warning Notice.

Determination Notice

The notice given by the Case Panel setting out its determination(s) in accordance with section 96(2)(d) or section 98(2)(a) of the Pensions Act 2004, as appropriate.

Determinations Panel

The body of people appointed to make decisions in relation to the exercise of some of TPR’s regulatory functions from which a Case Panel is drawn. Its members play no part in Case Team investigations and case preparation and are not employees of TPR.

Directly Affected Parties identified by the Case Team

The parties identified by the Case Team as directly affected in accordance with section 96(2)(a) of the Pensions Act 2004.

Directly Affected Parties identified by the Case Panel

The parties identified by the Case Panel as directly affected in accordance with sections 96(2)(d), 98(2)(a), 99(4) or 99(5) (as the case may be) of the Pensions Act 2004.

Initial Decision Meeting

The initial Case Panel meeting under the Special Procedure, held in person, or virtually using an electronic medium, to consider whether to exercise the regulatory function(s) set out in the Special Procedure Request immediately.

Panel Chair

The Chair of the Determinations Panel, or any Deputy Panel Chair undertaking this role in accordance with the Determinations Panel’s own procedures.

Special Procedure

The procedure set out in section 98 of the Pensions Act 2004 and provided for in this document and in the Determinations Panel procedure. 

Special Procedure Request

A request by the Case Team for the Determinations Panel to exercise one or more regulatory functions listed in section 97(5) of the Pensions Act 2004 under the Special Procedure.

Standard Procedure

The procedure set out in section 96 of the Pensions Act 2004 and provided for in this document and in the Determinations Panel procedure. 

Warning Notice

A notice given by a Case Team under Standard Procedure to Directly Affected Parties identified by the Case Team giving notice that TPR is considering whether to exercise one or more regulatory functions, as set out in section 96(2)(a) of the Pensions Act 2004.

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