Occupational Pensions Regulatory Authority (Opra)
Department of Social Security
| K1 | Brief description of the tribunal's business. | Opra is the independent statutory regulator of personal pension schemes in the UK. Opra have two tribunal functions carried out by Boards. One makes a determination as to whether a breach has occurred and what sanction is appropriate. A separate Board, comprising different members hears reviews against determination. |
| K2 |
Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year: |
51 51 51 0 0 |
| K3 | Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. |
Cases normally considered three weeks after received by the Secretariat (to allow time for copying, despatch, and pre-reading).
The decision notice is normally sent out within five days of the meeting.
[Detailed statutory timescales are available.] |
| K4 | For appeal tribunals, the percentage of appeals which succeed. | Four reviews were heard by the Review Board. Two were partially successful, and two upheld the Determining Board's decision. |
| K5 | Managerial structures for the tribunal administration: | Administrative support is provided by the Opra Board Secretariat as part of wider functions. |
| K6 | How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? |
Minutes of all Determination and Review Committee meetings are circulated to all Board members and are available to all staff.
Committees may also ask for details of previous penalties in similar cases.
Operational level: Opra holds meetings of appropriate staff after Committee meetings at which and 'learning points' are discussed. Opra has no formal role in the development of Government policy on private pensions, but is consulted by DSS about policy initiatives. Also regular dialogue with DSS about difficulties and problems with the legislation. |
| K7 | Nature and scope of current ICT systems, and any major plans for improvement. |
Central database with details of all cases, central database of all pension schemes, comprehensive website where regulatory
information, including hearing details, is published.
Network of 200 PCs and file servers. Microsoft software. Examining ways in which to automate document management and workflow processes. Adopting data mining techniques to identify patterns of regulatory problems within the pensions industry. |
| K8 | How the tribunal(s) fit in the department's Modernising Government strategy. |
Review of documentation to ensure plain English is used.
Anonymised summaries of Board decisions published in bi-monthly Bulletin. Developed targets for dealing with cases. Performance published in an annual report. Service charter introduced following consultation. |
| K9 | Numbers and grades of staff engaged on providing administrative support to the tribunal. |
Administration provided by Board Secretariat:
Secretary to the Board; |
| K12 | Performance and user satisfaction measures in the tribunal. | Opra has received no complaints so far about its determination or review procedures. The authority holds an annual 'virtual meeting' following publication of its annual report, at which the public can ask questions via the Internet. Questions and answers are posed on the website. A cost-effective alternative to an AGM. |
| K13 | Arrangements for assistance for users, legal or otherwise (including legal aid). | None at present, but work on legal assistance is in hand. |
| K14 | Arrangements for providing hearings (including their locations). | Parties can agree for a review to be determined without an oral hearing. Oral hearings are normally held at Opra's premises at Invicta House, Brighton, but can be held elsewhere. Dates of oral public hearings are made available on the website. |
| K15 | The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. | Both Opra and DSS have conducted ECHR audits of Opra's determination and review procedures. |
| K16 | Arrangements for appointing tribunal members, both legally and otherwise qualified. |
Appointments are made by the Secretary of State for Social Security.
Consultation with interested organisations to compile list of nominees. Advisory panel (including an independent member with no links to Opra or Government) considers list and makes recommendations to the Secretary of State, based on objective criteria. |
| K17 | Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. |
Opra must have not less than seven members (currently ten), one of whom is chairman, and including:
President is full-time (c£90,000), but successor will be part-time (pro rata salary) Board members attend two days a month (£171 per day) and average one Determination or Review Board sitting a month. |
| K18 | Arrangements for training tribunal members, and the approach to and content of training. | New Board members receive induction training. All have received adjudication training (refresher due in November) and Human Rights training. Training is a mix of theory and practice. |
| K19 | Arrangements for staff training. | Opra has IiP accreditation. Training includes formal courses, in-house training, desk-training, job shadowing, mentoring etc. Topics include: induction, HRA, plain English, pensions law, management, IT, team-working. |
| K20 | Resources expended on: | |
| a | tribunal member salaries and expenses | £165,000 |
| b | staff salaries and expenses | £126,249 |
| c | system administration | Cannot be disaggregated from overall cost of Opra administration. |
| d | accommodation; | Cannot be disaggregated from overall cost of Opra accommodation. |
| e | tribunal member training | Not costed. |
| f | staff training | £2,375 |
| TOTAL: | £293,624 |
The Office of the Pensions Ombudsman
Department of Social Security
| K1 | Brief description of the tribunal's business. | Investigates complaints of injustice caused by maladministration and disputes of fact or law brought by members of occupational pension schemes, their spouses and dependants against trustees, managers, employees of schemes. Able to investigate complaints (not disputes) against administrators. Able to investigate complaints and disputes from employers against trustees or managers in relation to same scheme and vice versa for complaints (not disputes). Able to investigate complaints from trustees or managers of one scheme against trustees or managers of another. |
| K2 |
Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year: |
627 893 649 (including 30 fast track determinations) 244 421 |
| K3 | Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. | Target of 12 months from acceptance for investigation to completion of investigation (seven months from time when investigation begins). |
| K4 | For appeal tribunals, the percentage of appeals which succeed. | Not applicable. |
| K5 | Managerial structures for the tribunal administration: | On the casework side, the Pensions Ombudsman is supported by a casework director, 2 team leaders and 2.6 legal advisers and consultants. In charge of administration is an HEO administrator. No published targets. |
| K6 | How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? | Not applicable. Pensions Ombudsman has no input into departmental decision-making. |
| K7 | Nature and scope of current ICT systems, and any major plans for improvement. | Recently introduced casework management system. Recently commissioned DSS IT agency to design website to contain information leaflets; annual report; determinations; and electronic application form and guidance. Links to other websites. Live 2000. |
| K8 | How the tribunal(s) fit in the department's Modernising Government strategy. | Not applicable. |
| K9 | Numbers and grades of staff engaged on providing administrative support to the tribunal. |
1xHEO Administrator 1xEO Office Supervisor 2XAO 1xPersonal Secretary 1xTypist |
| K12 | Performance and user satisfaction measures in the tribunal. | Initial enquiry letters acknowledged within 48 hours; telephones answered within 5 rings; complaints reviewed monthly; average investigation completed within 7 months: 12 months from acceptance to completion; complainants to be kept informed of progress and likely timescale; correspondence to be in plain English; complaints to be dealt with by senior management. |
| K13 | Arrangements for assistance for users, legal or otherwise (including legal aid). | Complainants expected to use OPAS, the Pensions Advisory Service, which has a network of volunteer advisors. Aim to resolve problems, but will help take cases to Ombudsmen if necessary. |
| K14 | Arrangements for providing hearings (including their locations). | Oral hearings take place in the Pensions Ombudsman's Conference Room in his London offices. Proceedings are recorded but not transcribed. 14 hearings in 1999/2000. |
| K15 | The extent to which practices and procedures have been reviewed for conformity to ECHR requirements. | Literature has been amended and practices reviewed for conformity with ECHR requirements. |
| K16 | Arrangements for appointing tribunal members, both legally and otherwise qualified. | Ombudsman appointed by the Secretary of State for Social Security acting on information and advice provided by officials. |
| K17 | Number of members of the tribunal, by category of appointment and whether full-time or part-time; and rates of pay. | Pensions Ombudsman - full time (£89,450) ( Endnote 1 ) |
| K18 | Arrangements for training tribunal members. | None. |
| K19 | Arrangements for staff training. | Pensions Ombudsman an IiP. Training mainly by formal courses and seminars. Also informal and on-the-job training. Most pensions related or IT based. |
| K20 | Resources expended on: | |
| a | tribunal member salaries and expenses | £118,000 |
| b | staff salaries and expenses | £131,500 for staff listed at K9 |
| c | system administration | Could not be disaggregated from the overall cost of the Pension's Ombudsman's system administration. |
| d | accommodation; | £33,320 ( Endnote 2 ) |
| e | tribunal member training | None. |
| f | staff training | £110 for staff listed at K9 |
| TOTAL: | £282,430 |
Endnotes:
Received additional remuneration as Chairmen of the Pensions Compensation Board.
Apportioned to administration on a pro-rata basis.
Appeal Tribunals
Department of Social Security
| K1 | Brief description of the tribunal's business. | Hears appeals against decisions on social security or child support. Also hears appeals on vaccine damage, tax credits, compensation recovery throughout GB. Hears appeals against decisions under the Road Traffic Act in E+W. Will also hear appeals against housing benefit and Council Tax benefit decisions from July 2001. |
| K2 |
Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year: |
231,642 (year ending December 1999) 327,533 (year ending December 1999) 244,082 (at hearing) (year ending December 1999) 83,451 (without hearing) (year ending December 1999) 70,919 (as at end July 2000) |
| K3 | Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. |
No statutory time limits. Targets for administration of appeals within the Appeals Service agency include:
by March 2001: average time for an appeal to be heard will be no more than 14 weeks from receipt; by March 2001: no more than 10% of cases outstanding for more than 26 weeks. |
| K4 | For appeal tribunals, the percentage of appeals which succeed. | 1999: 35.8% |
| K5 | Managerial structures for the tribunal administration: |
Chief Executive of the Appeals Service supported by two Operational Directors, and five Central Service Directors.
Processing of appeals takes place in nine operational centres across GB, each run by an Operational Manager who reports to one of the two Operational Directors. Within the centres, staff are organised into District Teams which are responsible for handling all appeals assigned to a group of tribunal venues (there are 137 venues). Operational centres are supported by Central Services Directorates responsible for Finance and Estates, Personnel, IT and Business Development. There is also a Central Secretariat in London which supports both the President and the Chief Executive. |
| K6 | How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? |
President of appeal tribunals is required to report annually to the Secretary of State on the standards of decision-making within
the Benefits Agency and the Child Support Agency in cases which come before appeal tribunals. Reports are published, and
enable the agencies to identify errors and trends, and to arrange for revised guidance, and remedial training.
President can also raise matters informally with DSS, or may identify issues in the Appeals Service Annual Report, which will include judicial activities of appeal tribunals. Also an Appeals Service Operational and Policy and Procedures Committee on which DSS is represented, which discusses legislative, policy and operational issues. |
| K7 | Nature and scope of current ICT systems, and any major plans for improvement. | Website providing information and advice to public: internal members-only section. GAPS case storage and tracking system - developing accessibility from different sources, and transferability across service providers. Piloting networking of offices nationally; and the use of IT to produce typed decisions on the day. Looking to pilot submission of forms, and exchange of submissions electronically. Looking to expand use of video-conferencing. End March 2001 all staff to have email. |
| K8 | How the tribunal(s) fit in the department's Modernising Government strategy. |
Changes to decision-making and appeals form a major step in modernising social security and child support delivery as part of
Government commitment to a welfare state which is flexible, efficient and easy to use.
Previous system of five separate tribunals was inflexible and made hearings difficult to arrange, contributed to delays and was sometimes inappropriate. Responsibility for administration has passed from the President to the Secretary of State. President remains judicial head, and tribunals remain independent. |
| K9 | Numbers and grades of staff engaged on providing administrative support to the tribunal. |
1xSCS 1xGrade 6 7xGrade 7 5xSEO 34.9xHEO 115.8xEO 1xSPS 13.9xPS 440.2xAO 1xSGBI 16.9xTypist 111.6xAA 26.4xSGBII |
| K12 | Performance and user satisfaction measures in the tribunal. |
Judicial independence means no performance targets from the Secretary of State for judicial functions. President is committed
to a high standard of conduct and decision-making by appeal tribunal members and has procedures in place to monitor
performance. Areas covered include preparation for hearings, list management, conduct of hearings, standard of decision-
making, clarity of explanations in decision notifications.
Procedure has been put in place for handling complaints about the conduct of tribunal members. |
| K13 | Arrangements for assistance for users, legal or otherwise (including legal aid). |
Hearings intended to be informal and inquisitorial. Appellants able to use information provided in decision notices, explanations
and appeal submissions to prepare and present cases. Appellants can be represented. Appeals Service reimburses travel and
subsistence costs of appellants and voluntary representatives.
Legal aid can be provided in exceptional circumstances. In most child support and some benefit cases, DSS provides a presenting officer whose function includes a role analogous to that of an amicus curiae. Particular assistance for those with language difficulties or disabilities: leaflets available in large print, Braille, audio tape, minority languages. Interpreters, signers provided on request. Type Talk and Minicom available. |
| K14 | Arrangements for providing hearings (including their locations). | Around 140 venues. Many with facilities for the disabled. Exceptionally, domiciliary hearings can be held in appellants' homes. |
| K15 | The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements. | Arrangements reviewed during passage of Social Security Act 1998, and the Child Support, Pensions and Social Security Act 2000. |
| K16 | Arrangements for appointing tribunal members, both legally and otherwise qualified. | Lord Chancellor appoints all panel members, and is required to consult the Chief Medical officers for England, Scotland and Wales before appointing medically qualified panel members. |
| K17 | Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. |
67 full-time panel members - all of whom are legally qualified.
2053 part time panel members (guaranteed, where possible, 15 days per year):
700 legal (£327 per day); |
| K18 | Arrangements for training tribunal members, and the approach to and content of training. |
Two-day induction course for new panel members, covering, eg, introduction to the benefits system, decision-making, tribunal
skills for all; incapacity and disability (for medical members), overpayments and security when sitting alone (for legal members).
Further 1.5 days observing tribunals in action.
Induction followed by monitoring and mentoring by full-time, legally qualified District Chairmen. On-going training programme for 2000/01 includes equal opportunities, HRA implications, substantive legal changes. |
| K19 | Arrangements for staff training. |
Annual admin training plan includes induction; equal treatment; the Human Rights Act, housing/council tax benefit; appeals
processing; tribunal clerking/ effective leadership; and customer care. Annual conferences held.
Training evaluated by: reaction to training; knowledge, skills, behaviours learnt; impact on individual; benefits for organisation; and twice-yearly review by senior management. |
| K20 | Resources expended on: | |
| a | member salaries and expenses | £16,165,000 |
| b | staff salaries and expenses | £20,702,000 |
| c | system administration | £5,639,000 ( Endnote 1 ) |
| d | accommodation; | £11,198,000 |
| e | tribunal member training | £1,195,000 |
| f | staff training | £424,000 |
| TOTAL: | 55,323,000 |
Endnotes:
Includes all costs other than salaries, expenses, training and accommodation.
Independent Review Service
Department of Social Security
| K1 | Brief description of the tribunal's business. | The independent reviewing authority for the social fund in Great Britain. |
| K2 |
Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year: |
31,196 review requests received. 30,688 decisions during the year. |
| K3 | Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. |
Express handling of requests (for example applications for crisis loans for living expenses): decision delivered within 24 hours of
receipt in 98% of cases.
Cases where no additional information required: 93% of budgeting loan cases decisions delivered within 12 working days; 99% within 15 working days. 89% of community care grant and less urgent crisis loans decisions delivered within 12 working days; 97% within 15 working days. Cases where further information was required: 91% of cases cleared within 20 working days. |
| K4 | For appeal tribunals, the percentage of appeals which succeed. |
Best measure of success is percentage in which the Social Fund Inspector (SFI) changes the decision made in the BA. Cases
referred back to the BA might also end up as successful:
Budgeting loan decisions: 9% (negligible number referred back to BA) Crisis loan decisions: 13% (negligible number referred back to BA) Community care grant decisions: 34% (1% referred back to BA) |
| K5 | Managerial structures for the tribunal administration: |
Social Fund Commissioner is head of the IRS but does not make decisions on reviews himself. Responsible for monitoring the
quality of SFI's decisions.
SFIs and support staff work in self-managed "Area Teams". Separate team for newly appointed SFIs, and teams for management, research and development, customer service, business (customer feedback), admin support (HR, finance etc). |
| K6 | How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? |
Instigated contact with DSS Social Fund Policy Branch and with the BA. Areas of law which cause difficulty are fed back to DSS
and BA. Also see and comment on draft changes to the law (an informal arrangement).
Business team lead in providing feedback and sharing best practice to BA and advice organisations. Area teams collect data on SFI decisions. Sent to BA. Administrative problems fed back to BA (eg clarity and accuracy of the notification the applicant receives about the decision made in the BA). IRS publishes Journal (general articles on aspects of the social fund) and Digest of decisions three times a year. 4,000 copies circulated to BA and customer representatives. |
| K7 | Nature and scope of current ICT systems, and any major plans for improvement. |
IRS has independent computer network, which records and monitors progress of cases and produces management information.
SFIs word process their own decisions. Have intranet on which best practice and Commissioner's advice is available. Website. All staff can access Internet. Software upgrade planned. Intention for customers to access information on case progress via Internet. |
| K8 | How the tribunal(s) fit in the department's Modernising Government strategy. | Customer focus consistent with Modernising Government principles. Small team investigating further improvements to service, to offer greater flexibility and choice. |
| K9 | Numbers and grades of staff engaged on providing administrative support to the tribunal. |
44 staff (other than the Inspectors - see K17):
1xGrade 7 |
| K12 | Performance and user satisfaction measures in the tribunal. | Regular customer research in order to establish view on service, and format of decisions. |
| K13 | Arrangements for assistance for users, legal or otherwise (including legal aid). |
Legal or welfare rights assistance not essential. About 11% are represented.
Most customers are eligible for legal aid. Reviews dossier based, usually without oral hearings. Solicitors can work under the Green Form scheme. Lack of legal aid for representation at hearings not an issue. |
| K14 | Arrangements for providing hearings (including their locations). | No oral hearing, but occasional interviews of applicants. Applicants sent copies of case papers on which they have ten days to comment in writing (other than in express cases, where papers are sent with the decision). |
| K15 | The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. | ECHR implications considered. |
| K16 | Arrangements for appointing tribunal members, both legally and otherwise qualified. | Commissioner appoints SFI from within and without the civil service. Advertisements placed in internal civil service bulletins and national press. Candidates interviewed by senior managers, and take a series of written tests. Those successful are recommended to the Commissioner who interviews before deciding whether to appoint. |
| K17 | Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. |
42 full-time SFIs (all SFIs HEO grade, bar 8 who are EO budgeting loan specialists)
27 part-time SFIs 5 other SFIs (work in organisation and support the review) |
| K18 | Arrangements for training tribunal members, and the approach to and content of training. |
Social Fund Commissioner arranges training for SFIs and other staff. All receive induction training (public service ethos,
organisation's values, teamwork etc).
SFIs receive classroom training on the Social Fund law, Directions and guidance, role, powers, evaluation of evidence, judicial review. Then work on practice cases before carrying out live reviews. Each has a mentor, who examines decisions before they are issued, until consistently high standard reached. Existing SFIs receive training on technical and legal issues, and best practice, from R&D team; seminars from, for eg, Probation Service or MIND; Learning Team deliver training to all staff on, for eg, management skills, delivering presentations, mentoring. All staff have Personal Development Plans. IRS an IiP. |
| K19 | Arrangements for staff training. |
Social Fund Commissioner arranges training for SFIs and other staff. All receive induction training (public service ethos,
organisation's values, teamwork etc). Support staff receive job-related training.
Learning Team deliver training to all staff on, for eg, management skills, delivering presentations, mentoring. All staff have Personal Development Plans. IRS an IiP. |
| K20 | Resources expended on: | |
| a | tribunal member salaries and expenses | £2,926,226 (SFIs and other staff combined) |
| b | staff salaries and expenses | see above |
| c | system administration | £271,028 |
| d | accommodation; | £308,374 |
| e | tribunal member training | £209,296 (SFIs and other staff combined) |
| f | staff training | see above |
| TOTAL: | £3,714,924 |
Pensions Compensation Board
Department of Social Security
| K1 | Brief description of the tribunal's business. | Considers applications for compensation relating to occupational pension schemes where there has been a dishonest removal of scheme assets and the employer is insolvent. |
| K2 |
Cases received: Total disposals in the year: disputes resolved: otherwise disposed of: Pending at the end of the year: |
3 2 0 2 1 |
| K3 | Time taken to deal with a case, from first receipt to final disposal, and the time taken to implement the tribunal's decision. | Will vary according to the complexity and how quickly information is provided. |
| K4 | For appeal tribunals, the percentage of appeals which succeed. | Not applicable. |
| K5 | Managerial structures for the tribunal administration: | The Board is supported by a Secretary (who is also an administrator in the Pensions Ombudsman office). |
| K6 | How tribunal outcomes are fed back into departmental/agency decision-making, and used to identify and correct problems with the substantive law, or departmental policies and service delivery? | Not applicable. |
| K7 | Nature and scope of current ICT systems, and any major plans for improvement. | User facilities are provided by the Pensions Ombudsman office. Word processing, spreadsheets and an accounts package are all used. |
| K8 | How the tribunal(s) fit in the department's Modernising Government strategy. | Not applicable. |
| K9 | Numbers and grades of staff engaged on providing administrative support to the tribunal. | One HEO (member of the Pensions Ombudsman staff). |
| K12 | Performance and user satisfaction measures in the tribunal. | Applications are acknowledged within two weeks. |
| K13 | Arrangements for assistance for users, legal or otherwise (including legal aid). | Not applicable. |
| K14 | Arrangements for providing hearings (including their locations). | Oral hearings, when held, will take place in the Pensions Ombudsman's conference room in London. There have been no oral hearings to date. |
| K15 | The extent to which the tribunal's practices and procedures have been reviewed for conformity to ECHR requirements, and any particular concerns which have been identified. | Reviewed during 2000 and considered compliant. |
| K16 | Arrangements for appointing tribunal members, both legally and otherwise qualified. | Appointments are made by the Secretary of State for Social Security. |
| K17 | Number of members of the tribunal, by category of appointment and whether full-time or part-time (in the latter case, with an average number of sitting days each year); and rates of pay. |
Three members. All are part-time.
The Chairman is also the Pensions Ombudsman, and one ninth of his salary is charged to the Pensions Compensation Board. Other members receive £171 per meeting. Two meetings per year at present. |
| K18 | Arrangements for training tribunal members, and the approach to and content of training. | Attended course run by the Civil Service College. |
| K19 | Arrangements for staff training. | Not applicable. |
| K20 | Resources expended on: | |
| a | tribunal member salaries and expenses | £12,550 |
| b | staff salaries and expenses | £12,430 service fee paid to the Pensions Ombudsman for its services (mainly staff) |
| c | system administration | £1,185 |
| d | accommodation; | £7,170 |
| e | tribunal member training | nil |
| f | staff training | nil |
| TOTAL: | £33,335 |
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