3.A.1 Interpretation of Part 3: general
This section has no associated Explanatory Memorandum
(1) In this Part—
“the 1993 Act” means the Pension Schemes Act 1993();
“the 1995 Act” means the Pensions Act 1995();
“the 1995 Regulations” means the National Health Service Pension Scheme Regulations 1995();
“the 1997 Act” means the National Health Service (Primary Care) Act 1997();
“the 1999 Act” means the Welfare Reform and Pensions Act 1999();
“the 2003 Act” means the Health and Social Care (Community Health and Standards) Act 2003();
“the 2004 Act” means the Finance Act 2004();
“the 2003 Order” means the General and Specialist Medical Practice (Education, Training and Qualifications) Order 2003();
“the 2004 Order” means the General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004();
“the 2006 Act” means the National Health Service Act 2006();
“the 2006 (Wales) Act” means the National Health Service (Wales) Act 2006();
“active member” has the meaning given in section 124(1) of the 1995 Act and, except where the context otherwise requires, refers to membership of the Scheme (but see regulation 3.D.5(9));
“additional pension”, in relation to a member, except where the context otherwise requires, means so much of any pension payable to a member as is payable by virtue of contributions made under regulations 3.C.6, 3.C.8 and 3.C.9;
“additional services” with regard to a—
(a)
GMS practice has the meaning given in regulation 2(1) of the GMS Contracts Regulations; or
(b)
any other performer or provider of primary medical services, means services which, if provided by a GMS practice, would be additional services within the meaning given in regulation 2(1) of those Regulations;
“APMS contract” means arrangements under section 80(2)(b) of the 2006 Act or section 41(2)(b) of the 2006 Wales Act (primary medical services) between a Primary Care Trust or Local Health Board and an APMS contractor;
“APMS contractor” means a person—
(a)
with whom a Primary Care Trust or Local Health Board has made arrangements under section 80(2)(b) of the 2006 Act or section 41(2)(b) of the 2006 Wales Act, and
(b)
who has entered into, or would be eligible to enter into, a GMS contract or a PMS agreement for the provision of primary medical services;
“appropriate proportion” means ;
“bank holiday” means any day that is specified or proclaimed as a bank holiday, pursuant to section 1 of the Banking and Financial Dealings Act 1971();
“base rate” means the Bank of England base rate—
(a)
announced from time to time by the Monetary Policy Committee of the Bank of England as the official dealing rate, being the rate at which the Bank is willing to enter into transactions for providing short term liquidity in the money markets, or
(b)
where an order under section 19 of the Bank of England Act 1998() is in force, any equivalent rate determined by the Treasury under that section;
“Board and advisory work” means—
(a)
work undertaken as a member of the Board of an employing authority which is not a GMS practice, a PMS practice, an APMS contractor or an OOH provider; or
(b)
advisory work commissioned by and undertaken on behalf of such an authority, if it is connected to the authority’s role in performing, or securing the delivery of, primary medical services or associated management activities or similar duties,
but which is not in itself the performance of primary medical services, and payment for which is made by that authority directly to the person carrying out that work;
“buy-out policy” means a policy of insurance or annuity contract that is appropriate for the purposes of section 19 of the 1993 Act and “buy-out” must be read accordingly;
“capped transferred-in service” must be read in accordance with regulation 3.F.12;
“cash equivalent” is to be construed in accordance with Chapter 4 of Part 4 of the 1993 Act;
“CCT” means a Certificate of Completion of Training awarded under article 8 of the 2003 Order, including any such certificate awarded in pursuance of the competent authority functions of the Postgraduate Medical Education and Training Board specified in article 20(3)(a) of that Order;
“certification services” means services related to the provision of medical certificates listed in Schedule 4 to the GMS Contracts Regulations;
“collaborative services” means primary medical services provided by a GP performer, a GMS practice, a PMS practice, an APMS contractor or an OOH provider under or as a result of an arrangement between—
(a)
the Secretary of State, the National Assembly for Wales, a Primary Care Trust or a Local Health Board; and
(b)
a local authority,
under, in the case of England, section 80(6) of the 2006 Act or in the case of Wales, section 38(6) of the 2006 (Wales) Act, under which the Secretary of State, the National Assembly for Wales, the Primary Care Trust or the Local Health Board is responsible for providing services for purposes related to the provision of health care;
“commissioned services” means medical services provided under a contract between—
(a)
a GP performer, a GMS practice, a PMS practice, an APMS contractor or an OOH provider; and
(b)
one of the following bodies—
(i)
a Strategic Health Authority or a Special Health Authority, which relates to the provision of health care; or
(ii)
the Secretary of State, the National Assembly for Wales, a Primary Care Trust or a Local Health Board under, in the case of England, section 12 of the 2006 Act or in the case of Wales, section 10 of the 2006 (Wales) Act; or
(iii)
a National Health Service trust under paragraph 18 of Schedule 4 to the 2006 Act or paragraph 18 of Schedule 3 to the 2006 (Wales) Act; or
(iv)
a National Health Service foundation trust under section 47(2)(b) of the 2006 Act, which is for the purposes of the health service;
“contracting-out requirements” means the requirements mentioned in section 9(2) of the 1993 Act;
“contribution option period” has the meaning given in regulation 3.C.6(8);
“corresponding health service scheme” has the meaning given in regulation 3.F.11(7);
“core hours” means the period beginning at 8am and ending at 6:30pm on any day from Monday to Friday except Good Friday, Christmas Day and a bank holiday;
“deferred member” has the meaning given in section 124(1) of the 1995 Act and, except where the context requires otherwise, refers to membership of the Scheme (but see paragraph (3) and regulation 3.D.5(9));
“dental performers list” means a list of dental practitioners prepared in accordance with regulations made under—
(a)
in the case of England, section 106 of the 2006 Act; or
(b)
in the case of Wales, section 63 of the 2006 (Wales) Act;
“dentist performer” means a dental practitioner—
(a)
whose name is included in a dental performers list or who is a vocational trainee in the first two months of vocational training; and
(b)
who performs primary dental services under—
(ii)
a PDS agreement to which a PDS contractor is a party; or
(iii)
a contract for services with a Primary Care Trust or a Local Health Board which relates to arrangements under which it provides primary dental services under section 99(2) of the 2006 Act or section 56(2) of the 2006 (Wales) Act or a PDS agreement to which a PDS contractor is not a party;
“dependent child” is to be construed in accordance with regulation 3.E.9;
“dispensing services” means the provision of drugs, medicines or appliances that may be provided as pharmaceutical services by a registered medical practitioner in accordance with arrangements made under regulation 20 of the National Health Service (Pharmaceutical Services) Regulations 1992();
“Doctors’ Retainer Scheme” has the same meaning as given at paragraph 39 of the Statement published in accordance with regulation 34 of the National Health Service (General Medical Services) Regulations 1992();
“employing authority” means—
(a)
a Strategic Health Authority established under section 13 of the 2006 Act;
(b)
a Special Health Authority established under section 28 of the 2006 Act or section 22 of the 2006 (Wales) Act 2006;
(c)
a Primary Care Trust established under section 18 of the 2006 Act;
(d)
a Local Health Board established under section 11 of the 2006 (Wales) Act;
(e)
a National Health Service trust established under section 25 of the 2006 Act or section 18 of the 2006 (Wales) Act;
(f)
an NHS foundation trust within the meaning of section 30(1) of the 2006 Act;
(g)
any other body which—
(i)
is constituted under an Act relating to health services; and
(ii)
the Secretary of State agrees to treat as an employing authority for the purposes of the Scheme;
(l)
in relation to a person who is subject to a direction made under section 7 of the Superannuation (Miscellaneous Provisions) Act 1967(), and subject to such modifications to this Part as the Secretary of State may in any particular case direct, any employer of such a person whom the Secretary of State agrees to treat as an employing authority for the purposes of this Part;
(m)
in relation to officers of a hospital of such classes as may be provided in an agreement to participate in benefits under this Part pursuant to section 235 of the 2006 Act (superannuation of officers of certain hospitals), and subject to such modifications to this Part as the Secretary of State may in any particular case direct, any employer of such a person whom the Secretary of State agrees to treat as an employing authority for the purposes of this Part;
(n)
a host Trust or Board;
“employment” includes an office or appointment (other than an honorary office or appointment) and related expressions are to be read accordingly;
“enhanced services” with regard to—
(a)
a GMS practice, has the meaning given in regulation 2(1) of the GMS Contracts Regulations; or
(b)
any other performer or provider of primary medical services, means services which, if provided by a GMS practice, would be enhanced services within the meaning given in regulation 2(1) of those Regulations;
“essential services” means the services described in regulation 15(3), (5), (6) and (8) of the GMS Contracts Regulations, whether provided by a GMS practice, a PMS practice or an APMS contractor;
“Executive Committee” means the committee of a Primary Care Trust appointed under regulation 9(1) of the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000();
“GDS contract” means a general dental services contract under section 100 of the 2006 Act or section 57 of the 2006 (Wales) Act;
“GDS contractor” means a person who is a party to a GDS contract, other than a Primary Care Trust or a Local Health Board;
“GMS contract” means—
(a)
in relation to England, a contract under section 84 of the 2006 Act or under article 13 of the General Medical Services Transitional and Consequential Provisions Order 2004();
(b)
in relation to Wales, a contract under section 42 of the 2006 (Wales) Act or under article 13 of the General Medical Services Transitional and Consequential Provisions (Wales) Order 2004();
“GMS Contracts Regulations” means—
(a)
in relation to England, the National Health Service (General Medical Services Contracts) Regulations 2004();
(b)
in relation to Wales, the National Health Service (General Medical Services Contracts) (Wales) Regulations 2004();
“GMS practice” means—
(a)
a registered medical practitioner; or
(b)
two or more individuals practising in partnership; or
(c)
a company limited by shares,
with whom a Primary Care Trust or Local Health Board has entered into a GMS contract;
“GP performer” means a registered medical practitioner, other than a GP Registrar or a locum practitioner, whose name is included in a medical performers list and who performs essential services, additional services, enhanced services, dispensing services, collaborative services, commissioned services, OOH services or certification services (or a combination of those services)—
(a)
under a GMS contract, PMS agreement or APMS contract;
(b)
on behalf of an OOH provider;
(c)
under a contract of service or for services with a Primary Care Trust or a Local Health Board which relates to arrangements under which it provides primary medical services—
(i)
under section 83(2)(a) of the 2006 Act or 41(2)(a) of the 2006 (Wales) Act; or
(ii)
under an agreement pursuant to section 50 arrangements or section 92 arrangements made between a Primary Care Trust or a Local Health Board and a Strategic Health Authority;
“GP provider” means a GP performer who is—
(a)
a GMS practice, a PMS practice or an APMS contractor;
(b)
a partner in a partnership that is a GMS practice, a PMS practice or an APMS contractor; or
(c)
a shareholder in a company limited by shares that is a GMS practice, PMS practice or APMS contractor,
and who performs medical services as or on behalf of that practice or contractor;
“GP Registrar” means a medical practitioner who is being trained in general practice—
(a)
in England by a general medical practitioner who is approved under article 4(5)(d) for the purpose of providing training under article 5(1)(c)(i) of the 2003 Order, whether as part of training leading to the award of a CCT or otherwise; or
(b)
in Wales by a medical practitioner who is being trained in general practice by a GP trainer whether as part of training leading to the award of a CCT or otherwise;
“GP trainer” means a registered medical practitioner who is approved by the Postgraduate Medical Education and Training Board under article 4(5)(d) of the 2003 Order for the purposes of providing training to a GP Registrar under article 5(1)(c)(i) of that Order;
“the guarantee date” has the meaning given in regulation 3.F.2(2);
“guaranteed cash equivalent transfer value payment” has the meaning given in regulation 3.F.3(3);
“guaranteed minimum pension” means guaranteed minimum pension, or accrued rights to guaranteed minimum pension, under section 14 of the 1993 Act;
“the health service” has the meaning given in section 275 of the 2006 Act;
“host Trust or Board”—
(a)
in respect of a non-GP provider who is—
(i)
a partner in a partnership—
(aa)
that is a GMS practice; or
(bb)
that has entered into a PMS agreement or is an APMS contractor that has entered into an APMS contract for the provision of primary medical services;
(ii)
a shareholder in a company limited by shares that is a GMS practice or a PMS practice or an APMS contractor that has entered into a PMS agreement or APMS contract for the provision of primary medical services;
(iii)
an individual who is a PMS practice or an APMS contractor,
means the Primary Care Trust or Local Health Board with which that partnership (in the case of (i)), company (in the case of (ii)) or practice or contractor (in the case of (iii)) has entered into an agreement or contract referred to in those provisions;
(b)
in respect of a registered medical practitioner, means the Primary Care Trust or Local Health Board on whose medical performers list his name appears and such a person shall be deemed to be employed by the appropriate Trust or Board for the purposes of this Part;
“lifetime allowance”, in relation to a person, has the meaning given in section 218 of the 2004 Act();
“local authority” means—
(a)
any of the bodies listed in section 1 of the Local Authority Social Services Act 1970(); or
(b)
the Council of the Isles of Scilly;
“locum practitioner” means a registered medical practitioner (other than a GP Registrar) whose name is included in a medical performers list and who is engaged, otherwise than in pursuance of a commercial arrangement with an agent, under a contract for services by—
(e)
a Primary Care Trust or Local Health Board,
to deputise or assist temporarily in the provision of essential services, additional services, enhanced services, dispensing services, OOH services, commissioned services, certification services or collaborative services (or any combination thereof);
“lower earnings limit” must be read in accordance with section 5 of the Social Security Contributions and Benefits Act 1992();
“lump sum rule” has the meaning given in section 166 of the 2004 Act;
“lump sum death benefit rule” has the meaning given in section 168 of the 2004 Act;
“member”, except where the context otherwise requires, means an active member, a deferred member, a pensioner member or a pension credit member;
“medical performers list” means a list of registered medical practitioners prepared and published—
(a)
by a Primary Care Trust pursuant to regulation 3(1) of the National Health Service (Performers Lists) Regulations 2004(); or
(b)
by a Local Health Board pursuant to regulation 3(1) of the National Health Service (Performers Lists) (Wales) Regulations 2004();
“NHS employment” means employment with an employing authority;
“the NHS Pension Scheme 1995” means the scheme set out in the National Health Service Pension Scheme Regulations 1995();
“non-GP provider” means—
(a)
a partner in a partnership that is a GMS practice who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that non-GP provider assists in the provision of NHS services provided by that practice;
(b)
a partner in a partnership all of whose members have entered into a PMS agreement for the provision of primary medical services—
(i)
but who is not a GP provider; and
(ii)
who demonstrates to the satisfaction of the Secretary of State that non-GP provider assists in the provision of NHS services provided by that partnership;
(c)
a partner in a partnership that is an APMS contractor that has entered into an APMS contract for the provision of primary medical services—
(i)
but who is not a GP provider; and
(ii)
who demonstrates to the satisfaction of the Secretary of State that non-GP provider assists in the provision of NHS services provided by that partnership;
(d)
a shareholder in a company limited by shares that is—
(ii)
a PMS practice or APMS contractor that has entered into a PMS agreement or APMS contract for the provision of primary medical services,
but who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that non-GP provider assists in the provision of NHS services provided by that company;
(e)
an individual who is a PMS practice or an APMS contractor but who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that non-GP provider participates in the provision of NHS services and these Regulations shall apply as if that non-GP provider were a whole time officer;
“occupational pension scheme” means an occupational pension scheme within the meaning of section 1 of the 1993 Act which—
(a)
in the case of such a scheme established on, or after, the 6th April 2006 is a registered pension scheme for the purposes of the 2004 Act and which the Secretary of State agrees to recognise as a transferring scheme for the purposes of Chapter 3.F;
(b)
in the case of such a scheme established before that date, was—
(i)
approved by the Commissioners for Her Majesty’s Revenue and Customs for the purposes of Chapter I of Part XIV of the Income and Corporation Taxes Act 1988() (retirement benefits schemes) or whose application for approval under that Chapter was under consideration,
(ii)
a statutory scheme as defined in section 612(1) of the Income and Corporation Taxes Act 1988 (interpretation), or
(iii)
a scheme to which section 608 of the Income and Corporation Taxes Act 1988 applied (superannuation funds approved before 6th April 1980),
“officer” means a person (other than a GP performer or dentist performer) employed by an employing authority and includes a GP Registrar and a non-GP provider;
“officer service” means pensionable service as an officer under Part 2;
“OOH provider” has the meaning given by regulation 3.A.16;
“OOH services” means services which are required to be provided in the out of hours period and which, if provided during core hours by a GMS practice or PMS practice to patients to whom the practice is required by its GMS contract or PMS agreement to provide essential services, would be or would be similar to essential services;
“opting-out” and related expressions are to be construed in accordance with regulation 3.B.5;
“out of hours period” means—
(a)
the period beginning at 6:30pm on any day from Monday to Thursday and ending at 8am the following day;
(b)
the period between 6:30pm on Friday and 8am the following Monday;
(c)
Good Friday, Christmas Day and a bank holiday;
“pay period” means—
(a)
in relation to a practitioner who receives regular payments for his service under a contract for services or contract of employment, means the period in respect of which each payment of salary, wages or fees is made in accordance with that contract, and
(b)
in all other cases, any period of three months ending on the last day of March, June, September or December;
“PDS agreement” means an agreement for the provision of primary dental services pursuant to section 64 arrangements or section 107 arrangements;
“PDS contractor” means a person who—
(a)
is a party to a PDS agreement, and
(b)
is neither a Primary Care Trust, nor a Strategic Health Authority, nor a Local Health Board;
“pensionable earnings” has the meaning given in regulation 3.A.7 (read with regulation 3.A.8);
“pensionable earnings ceiling” in relation to a GDS contract or a PDS agreement, is to be construed in accordance with regulation 3.A.7(4);
“pensionable employment” means employment as a practitioner which is pensionable under this Part;
“pensionable service” has the meaning given by regulations 3.A.3 and 3.A.4 (read with regulation 3.A.5);
“pensioner member” has the meaning given in section 124(1) of the 1995 Act and, except where the context otherwise requires, refers to membership of the Scheme (but see regulation 3.A.2 and regulation 3.D.5(9));
“pension credit” means a credit under section 29(1)(b) of the 1999 Act and includes a credit under corresponding Northern Ireland legislation;
“pension credit benefit” has the meaning given by section 101B of the 1993 Act;
“pension credit member” has the meaning given by section 124(1) of the 1995 Act;
“pension credit rights” has the meaning given by section 101B of the 1993 Act;
“pension sharing order or provision” means such an order or provision as is mentioned in section 28(1) of the 1999 Act;
“personal pension scheme” means a personal pension scheme which—
(a)
in the case of such a scheme established on, or after, 6th April 2006 is a registered pension scheme for the purposes of the 2004 Act and which the Secretary of State agrees to recognise as a transferring scheme for the purposes of Chapter 2.F;
(b)
in the case of a scheme established before that date, was—
(i)
approved by the Commissioners for Her Majesty’s Revenue and Customs for the purposes of Chapter IV of Part XIV of the Income and Corporation Taxes Act 1988 (personal pension schemes); and
(ii)
on the 6th April 2006 became a registered pension scheme for the purposes of the 2004 Act;
“PMS agreement” means an agreement for the provision of primary medical services pursuant to—
(a)
section 50 arrangements,
(b)
section 92 arrangements, or
(c)
a transitional agreement under Part 4 of the 2004 Order;
“PMS practice” means—
(b)
two or more individuals practising in partnership, or
(c)
a company limited by shares,
with whom, or with whose members, a Primary Care Trust or Local Health Board has entered into a PMS agreement under which primary medical services are provided (otherwise than by the Primary Care Trust or Local Health Board);
“practice staff” means a person who—
(a)
is not a registered medical practitioner, a GP Registrar or a non-GP provider, and
(b)
is employed by a GMS practice, a PMS practice, an APMS contractor or an OOH provider to assist in the provision of the services it provides;
“practitioner” means—
(a)
a registered medical practitioner who—
(i)
is not a GP Registrar, and
(ii)
is a locum practitioner, a GP provider or a GP performer, or
“practitioner income” has the meaning given in regulation 3.A.7(2) to (8);
“practitioner service” means service as a practitioner which is pensionable under this Part;
“preservation requirements” means the requirements of Chapter 1 of Part 4 of the 1993 Act relating to the preservation of benefits under occupational pension schemes;
“public sector transfer arrangements” means arrangements approved by the Secretary of State as providing reciprocal arrangements for the payment and receipt of transfer values between the Scheme and other occupational pension schemes;
“qualifying service” has the meaning given in regulation 3.A.5 (read with regulation 3.A.6);
“quarter” means a 3 month period ending on the last day of March, June, September or December;
“recent leaver” has the meaning given in regulation 3.E.6(3);
“registered” means registered under Chapter 2 of Part 4 of the 2004 Act;
“retail prices index” has the meaning given in section 989 of the Income Tax Act 2007();
“safeguarded percentage” has the meaning given by section 68A(3) of the 1993 Act;
“safeguarded rights” has the meaning given by section 68A(1) of the 1993 Act;
“the Scheme” means the scheme the rules of which are set out in this Part of the Regulations;
“the Scheme Actuary” means the actuary appointed by the Secretary of State for the time being to provide a consulting service on actuarial matters relevant to the Scheme;
“scheme year” means a period of one year beginning with 1st April and ending with 31st March;
“section 50 arrangements” has the meaning given by the 2006 (Wales) Act;
“section 64 arrangements” has the meaning given by the 2006 (Wales) Act;
“section 92 arrangements” has the meaning given by the 2006 Act;
“section 107 arrangements” has the meaning given by the 2006 Act;
“specialist” means a consultant, other than a nurse consultant, or a senior hospital medical officer or senior hospital dental officer;
“State pension age” means pensionable age, as defined in section 181(1) of the 1993 Act;
“tax year” means a year of assessment for income tax purposes;
“tier 1 ill-health pension” must be read in accordance with regulation 3.D.7;
“tier 2 ill-health pension” must be read in accordance with regulation 3.D.7;
“trade dispute” has the meaning given in section 35(1) of the Jobseekers Act 1995();
“type 1 dental practitioner” means a dentist performer who is not a type 2 dental practitioner;
“type 1 medical practitioner” means a GP provider who is not a type 2 medical practitioner;
“type 1 practitioner” means a type 1 dental practitioner or a type 1 medical practitioner;
“type 2 dental practitioner” means—
(a)
a vocational trainee who is employed by a GDS or PDS contractor; or
(b)
a dentist performer with a contract for services with a Primary Care Trust or Local Health Board which relates to arrangements under which the Trust or Board provides primary dental services under—
(i)
in the case of England, section 99(2) of the 2006 Act or, in the case of Wales, section 56(2) of the 2006 (Wales) Act; or
(ii)
a PDS agreement to which a PDS contractor is not a party;
“type 2 medical practitioner” means a GP performer who—
(a)
is not a GP provider, and—
(i)
is employed (whether under a contract of service or for services) by a GMS practice, a PMS practice, an APMS contractor, an OOH provider, a Primary Care Trust or a Local Health Board, and
(ii)
in that employment is engaged wholly or mainly in assisting his employer in the discharge of the employer’s duties as a GMS practice, a PMS practice, an APMS contractor, an OOH provider, a Primary Care Trust or a Local Health Board; or
(b)
is participating in a Doctors’ Retainer Scheme;
“type 2 practitioner” means a type 2 dental practitioner or a type 2 medical practitioner;
“uprated earnings” is to be construed in accordance with regulation 3.D.1(4)(b);
“vocational trainee” means a dentist performer who is employed as a vocational trainee as a consequence of a placement arrangement made by a local postgraduate dental dean or a director of postgraduate dental education.