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1. In this Schedule—
“CA 2006” means the Companies Act 2006 M1;
“EA 1996” means the Education Act 1996 M2;
“IA 1986” means the Insolvency Act 1986 M3;
“NHSA 2006” means the National Health Service Act 2006 M4;
“NHSWA 2006” means the National Health Service (Wales) Act 2006 M5;
“TPR 2010” means the Teachers' Pensions Regulations 2010 M6;
“TSAVCR 1994” means the Teachers' Superannuation (Additional Voluntary Contributions) Regulations 1994 M7;
“Academy”[F1, “Academy school”, “16 to 19 Academy” and “alternative provision Academy”] must be construed in accordance with section 579 of EA 1996;
“best value arrangement” means a contract or other arrangement made with a local authority for the provision of, or the making available of, services for the purposes of, or in connection with, the exercise of an education function of that local authority;
F2...
“education functions” must be construed in accordance with section 579 of EA 1996;
“European School” means an establishment satisfying article 2 of the European Communities (European Schools) Order 1972 M8;
“function provider” means a body corporate other than a local authority which—
is specified in a direction under section 497A(4) of EA 1996,
is nominated under section 497A(4A) of EA 1996 or section 15 of the Local Government Act 1999 M9, or
provides or makes available services under a best value arrangement;
“further education” has the meaning given in section 2(3) of EA 1996;
“guarantee [F3type A]” means—
in paragraph 2, a bond, guarantee or indemnity in a form and amount, and provided by a person, approved by the scheme manager in respect of sums due, under these Regulations and TSAVCR 1994, from the proprietor and from any other person by whom teachers are employed at the establishment;
in paragraph 3, a bond, guarantee or indemnity in a form and amount, and provided by a person, approved by the scheme manager in respect of sums due from the function provider under these Regulations and TSAVCR 1994;
“higher education” has the meaning given in section 120(1) of the Education Reform Act 1988 M10;
“non-profit-making body” means a body, the constitution of which—
requires any surplus income or gains to be invested,
prohibits the distribution of the assets of the body, in cash or kind, by way of dividend, bonus or otherwise by way of profit to any member of the body or to a third party (other than for charitable purposes), and
provides for any net assets on the dissolution of the body to be applied for charitable purposes or for the purposes for which the body existed before its dissolution;
“organiser” means a person who performs duties in connection with the provision of education or services ancillary to education other than administrative services;
“proprietor”, in relation to a school or other establishment, means the person or body of persons responsible for the management of the school or other establishment;
“special school” has the meaning given in section 337 of EA 1996; and
“supervisor” means a person employed in a capacity connected with education which to a substantial extent involves the control or supervision of teachers.
Textual Amendments
F1Words in Sch. 1 para. 1 inserted (1.4.2015) by The Teachers Pension Scheme (Amendment) Regulations 2014 (S.I. 2014/2652), regs. 1, 29(a)
F2Words in Sch. 1 para. 1 omitted (31.12.2020) by virtue of The Teachers' Pensions Schemes (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/502), regs. 1(1), 3(2)(a) (with reg. 5); 2020 c. 1, Sch. 5 para. 1(1)
F3Words in Sch. 1 para. 1 inserted (1.8.2021) by The Teachers’ Pensions (Miscellaneous Provisions) (Amendment) Regulations 2021 (S.I. 2021/805), regs. 1, 18(2)
Marginal Citations
M6S.I. 2010/990; relevant amending instruments are S.I. 2011/614, S.I. 2012/673, S.I. 2012/979, S.I. 2012/2270, S.I. 2013/275 and S.I. 2014/424.
M7S.I. 1994/2924; as amended by S.I. 1997/3001, S.I. 2000/666, S.I. 2000/3028, S.I. 2001/3649, S.I. 2005/2198, S.I. 2006/736, S.I. 2006/2214, S.I. 2006/3122, S.I. 2008/541, S.I. 2010/990 and S.I. 2011/614.
2.—(1) An establishment is an accepted school if—
(a)immediately before 1st April 2015 it was an accepted school under regulation 13 of TPR 2010; or
(b)the scheme manager accepts it for the purpose of this paragraph by giving its proprietor a written notice specifying the date on which it becomes an accepted school.
(2) An establishment may be accepted only if—
(a)it is an establishment mentioned in sub-paragraph (3);
(b)its proprietor applies in writing to the scheme manager; and
(c)a guarantee [F4type A] is provided to the scheme manager.
(3) The establishments are—
(a)an independent school (in England) registered under section 99 of the Education and Skills Act 2008 M11 or (in Wales) registered under section 161 of EA 2002;
(b)an establishment providing further education constituted by an amalgamation of establishments—
(i)which provided further education before the amalgamation; and
(ii)of which at least one was an accepted school;
F5(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(d)the establishment which, when teachers were employed there for the purpose of the Ministry of Defence, was known as Welbeck, the Defence Sixth Form College.
(4) The date on which an establishment becomes an accepted school is a date agreed by the scheme manager and the proprietor as follows—
(a)for an establishment mentioned in sub-paragraph (3)(a), (c) or (d), the first day of a month after the month in which the establishment applies to be an accepted school; or
(b)for an establishment mentioned in sub-paragraph (3)(b), the date of the amalgamation.
(5) An establishment accepted by the scheme manager ceases to be an accepted school from the date specified in a written notice given to its proprietor by the scheme manager.
(6) A notice under sub-paragraph (5) may be given if—
(a)the proprietor of the establishment makes a written application to the scheme manager;
(b)the proprietor fails to comply with any provision of these Regulations or of TSAVCR 1994;
(c)the establishment ceases to be an establishment mentioned in sub-paragraph (3);
(d)where a guarantee [F6type A] was previously provided to the scheme manager, either the guarantee [F7type A] lapses, or because of a change in circumstances, the scheme manager considers that the guarantee [F8type A] is insufficient;
(e)where the proprietor of the establishment is an individual or a number of individuals, that individual or one of those individuals is an undischarged bankrupt or is the subject of a bankruptcy restrictions order or an interim order under Schedule 4A to IA 1986 M12; or
(f)where the proprietor of the establishment is a company—
(i)a proposal for a voluntary arrangement has been made or approved in relation to the company under Part 1 of IA 1986;
(ii)an administration application has been made or a notice of intention to appoint an administrator has been filed with the court or an administrator has been appointed for the company under Schedule B1 to IA 1986 M13;
(iii)a receiver, manager or administrative receiver has been appointed for the company under Part 3 of IA 1986;
(iv)a winding-up petition has been presented, a winding-up order has been made or a resolution for voluntary winding-up has been passed in relation to the company under Part 4 or 5 of IA 1986; or
(v)notice has been received that the company may be struck off the register of companies or an application to strike it off has been made under Part 31 of CA 2006.
(7) The proprietor of an accepted school must immediately give written notice to the scheme manager if—
(a)there is a change of proprietor; or
(b)any of the events mentioned in sub-paragraph (6)(e) or (f) occurs.
[F9(8) In addition, where acceptance of an establishment as an accepted phased withdrawal school takes effect on an agreed date under paragraph 2A, the establishment ceases to be an accepted school on that date.]
Textual Amendments
F4Words in Sch. 1 para. 2(2)(c) inserted (1.8.2021) by The Teachers’ Pensions (Miscellaneous Provisions) (Amendment) Regulations 2021 (S.I. 2021/805), regs. 1, 18(3)
F5Sch. 1 para. 2(3)(c) omitted (31.12.2020) by virtue of The Teachers' Pensions Schemes (Amendment) (EU Exit) Regulations 2019 (S.I. 2019/502), regs. 1(1), 3(2)(b) (with reg. 5); 2020 c. 1, Sch. 5 para. 1(1)
F6Words in Sch. 1 para. 2(6)(d) inserted (1.8.2021) by The Teachers’ Pensions (Miscellaneous Provisions) (Amendment) Regulations 2021 (S.I. 2021/805), regs. 1, 18(4)(a)
F7Words in Sch. 1 para. 2(6)(d) inserted (1.8.2021) by The Teachers’ Pensions (Miscellaneous Provisions) (Amendment) Regulations 2021 (S.I. 2021/805), regs. 1, 18(4)(b)
F8Words in Sch. 1 para. 2(6)(d) inserted (1.8.2021) by The Teachers’ Pensions (Miscellaneous Provisions) (Amendment) Regulations 2021 (S.I. 2021/805), regs. 1, 18(4)(c)
F9Sch. 1 para. 2(8) inserted (1.8.2021) by The Teachers’ Pensions (Miscellaneous Provisions) (Amendment) Regulations 2021 (S.I. 2021/805), regs. 1, 18(5)
Marginal Citations
M12Schedule 4A was inserted by the Enterprise Act 2002 (c.40), Schedule 20.
M13Schedule B1 was inserted by the Enterprise Act 2002 (c.40), Schedule 16.
2A.—(1) An establishment is an accepted phased withdrawal school if the Secretary of State accepts it for the purpose of this paragraph by giving its proprietor a written notice specifying the date on which it becomes an accepted phased withdrawal school.
(2) An establishment may be so accepted only if—
(a)it is an accepted school,
(b)its proprietor makes a written application to the Secretary of State, and
(c)if the school is an accepted school accepted under paragraph 2(1)(b), a guarantee type B is provided to the Secretary of State.
(3) An establishment, if so accepted by the Secretary of State, becomes an accepted phased withdrawal school from the date agreed between the Secretary of State and its proprietor, which must be the first day of a month after the month in which the application under sub-paragraph (2)(b) is made.
(4) An establishment so accepted by the Secretary of State ceases to be an accepted phased withdrawal school from the date specified in a written notice given to its proprietor by the Secretary of State.
(5) A notice under sub-paragraph (4) may be given if—
(a)the proprietor of the establishment makes a written application to the Secretary of State,
(b)the proprietor fails to comply with any provision of these Regulations or of TSAVCR 1994,
(c)where a guarantee type B was previously provided to the Secretary of State, either the guarantee type B lapses or, because of a change in circumstances, the Secretary of State considers that the guarantee type B is insufficient,
(d)if, where the proprietor of the establishment is an individual or a number of individuals, that individual or one of those individuals is an undischarged bankrupt or is the subject of a bankruptcy restrictions order or an interim order under Schedule 4A to IA 1986, or
(e)if, where the proprietor of the establishment is a company—
(i)a proposal for a voluntary arrangement has been made or approved in relation to the company under Part 1 of IA 1986,
(ii)an administration application has been made or a notice of intention to appoint an administrator has been filed with the court or an administrator has been appointed for the company under Schedule B1 to IA 1986,
(iii)a receiver, manager or administrative receiver has been appointed for the company under Part 3 of IA 1986,
(iv)a winding-up petition has been presented, a winding-up order has been made or a resolution for voluntary winding-up has been passed in relation to the company under Part 4 or 5 of IA 1986, or
(v)notice has been received that the company may be struck off the register of companies or an application to strike it off has been made under Part 31 of CA 2006.
(6) The proprietor of an accepted phased withdrawal school must immediately give written notice to the Secretary of State if—
(a)there is a change of proprietor; or
(b)any of the events mentioned in sub-paragraph (5)(d) or (e) occurs.
(7) Where an establishment ceases to be an accepted phased withdrawal school—
(a)it does not in consequence become an accepted school, but
(b)paragraph (a) does not prevent a separate application being made for the establishment to be an accepted school under paragraph 2.
(8) For the purposes of this paragraph a guarantee type B may be provided anew or may be provided by the continuation or variation of a guarantee type A under paragraph 2.
(9) In this paragraph—
“accepted phased withdrawal member” means—
as from the date agreed under paragraph (3), a person who, immediately before that date, is in pensionable service at the establishment and is entitled to salary paid in full as indicated in regulation 23(1)(a),
as from the date immediately after the end of a period of leave, which—
falls within regulation 23(1)(b) or (c), and
has a continuous duration no longer than five years,
a person who, immediately before the date agreed under paragraph (3), is in pensionable service at the establishment but, because of that leave, is not so entitled,
as from the date immediately after the ending of a period of family leave or sick leave which—
falls within regulation 23(2), and
has a continuous duration no longer than five years,
a person who, immediately before the date agreed under paragraph (3), is not in pensionable service at the establishment but only because of the application of regulation 23(2) to that person,
as from the date immediately after the ending of the period of effect of an opt-out under regulation 28, subject to an opt-out notice received by the scheme manager under that regulation before the date agreed under paragraph (3), a person who is not in pensionable employment at the establishment but only because of the application of regulation 28 to that person, and
as from the date immediately after the ending of the period of effect of an opt-out under regulation 31, subject to an opt-out notice received by the scheme manager under that regulation before the date agreed under paragraph (3), a person who is not in pensionable employment at the establishment but only because of the application of regulation 31 to that person;
“guarantee type B” means a bond, guarantee or indemnity in a form and amount, and provided by a person, approved by the scheme manager in respect of sums due, under these Regulations and TSAVCR 1994, from the proprietor and from any other person responsible for employment at the establishment of accepted phased withdrawal members, in relation to pensions—
already payable by the establishment under these Regulations; and
payable in respect of the pensionable service of each accepted phased withdrawal member at the establishment.]
Textual Amendments
3.—(1) A function provider is accepted under this paragraph in respect of a function or service if the scheme manager gives it a written notice specifying—
(a)that function or service, and the local authority to which the function or service relates; and
(b)the date on which it becomes accepted in respect of that function or service, which must be a date agreed between the scheme manager and the function provider.
(2) A function provider may be accepted only if—
(a)it makes a written application to the scheme manager specifying the function or service in respect of which it wishes to be accepted; and
(b)a guarantee is provided to the scheme manager.
(3) The functions or services in respect of which a function provider may be accepted are—
(a)a function which it performs on behalf of a local authority in accordance with a direction under section 497A(4) M14 of EA 1996;
(b)an education function of a local authority which it is nominated to exercise under section 497A(4A) M15 of EA 1996 or section 15(6) of the Local Government Act 1999 M16;
(c)a service which it provides or makes available under a best value arrangement for the purposes of, or in connection with, the exercise of an education function of a local authority.
(4) A function provider who immediately before 1st April 2015 was accepted under regulation 14 of TPR 2010 in respect of a function or service is treated as accepted under this paragraph in respect of that function or service.
(5) A function provider accepted under this paragraph ceases to be so accepted in respect of such functions and services, and from such date, as the scheme manager may specify in a written notice given to the function provider by the scheme manager.
(6) A notice under sub-paragraph (5) may be given if—
(a)the function provider makes a written application to the scheme manager;
(b)the function provider fails to comply with any provision of these Regulations or TSAVCR 1994;
(c)where a guarantee was previously provided to the scheme manager, either the guarantee lapses or because of a change in circumstances the scheme manager considers that the guarantee is insufficient;
(d)a proposal for a voluntary arrangement has been made or approved in relation to the function provider under Part 1 of IA 1986;
(e)an administration application has been made, a notice of intention to appoint an administrator has been filed with the court or an administrator has been appointed for the function provider under Schedule B1 to IA 1986;
(f)a receiver, manager or administrative receiver has been appointed for the function provider under Part 3 of IA 1986;
(g)a winding-up petition has been presented, a winding-up order has been made or a resolution for voluntary winding-up has been passed in relation to the function provider under Part 4 or 5 of IA 1986; or
(h)notice has been received that the function provider may be struck off the register of companies or an application to strike it off has been made under Part 31 of CA 2006.
(7) A function provider accepted under this paragraph must give written notice to the scheme manager immediately if any of the events mentioned in sub-paragraph (6)(d) to (h) occurs.
Marginal Citations
M14Section 497A was inserted by the School Standards and Framework Act 1998 (c.31), section 8.
M15Subsection (4A) was inserted by the Education Act 2002 (c.32), section 60.
4. In this Chapter—
“contracting scheme employer” means an employer mentioned in paragraph 9(c) (governing body of a school maintained by a local authority), 10 (Academy) or 13 (special school not maintained by a local authority) who is a party to a Participation Agreement;
“Fair Deal transfer” means a TUPE transfer of employment described in a Participation Agreement;
“Fair Deal transfer date” means the date on which a Fair Deal transfer has effect;
“guarantee” means a bond, guarantee or indemnity in a form and amount, and provided by a person, approved by the scheme manager in respect of sums due from an accepted employer under these Regulations and TSAVCR 1994;
“Participation Agreement” means a contractual agreement between the scheme manager, a contracting scheme employer and an accepted employer relating to participation in this scheme; and
“transferred services” means services specified in the description of employment in the Participation Agreement.
5.—(1) A person (P) is an accepted member of this scheme if sub-paragraphs (2), (3) and (4) apply.
(2) Immediately before the Fair Deal transfer date P was employed—
(a)under a contract of employment and subject to existing Fair Deal arrangements; or
(b)by a contracting scheme employer to undertake eligible employment.
(3) Immediately before and on the Fair Deal transfer date P is employed to undertake the same employment described in a Participation Agreement.
(4) After the Fair Deal transfer date P is employed to undertake employment described in that Participation Agreement.
(5) P ceases to be an accepted member from the date P ceases to satisfy [F11sub-paragraph (4)].
Textual Amendments
F11Words in Sch. 1 para. 5(5) substituted (1.4.2015) by The Teachers Pension Scheme (Amendment) Regulations 2014 (S.I. 2014/2652), regs. 1, 29(b)
6. An accepted employer in respect of transferred services is an employer other than an employer mentioned in section 1 of the Local Government Act 1999 M17 who—
(a)is a party to a contract for services with a contracting scheme employer under which at least one employee, on and after the fair deal transfer date, is an accepted member;
(b)is a party to a Participation Agreement; and
(c)is not the subject of a written notice of cessation as an accepted employer under paragraph 8(1).
7. An accepted employer must—
(a)provide the scheme manager with a guarantee if requested by the scheme manager;
(b)give written notice to the scheme manager immediately if any of the events in paragraph 8(2)(c) to (g) occurs.
8.—(1) An employer (E) ceases to be an accepted employer on the date specified in a written notice given by the [F12scheme manager] under this paragraph.
(2) A notice may be given if—
(a)E fails to comply with any provision of these Regulations or TSAVCR 1994;
(b)the scheme manager considers that a guarantee provided under this Chapter is insufficient because—
(i)the guarantee lapses, or
(ii)there is a change in circumstances;
(c)a proposal for a voluntary arrangement has been made or approved in relation to E under Part 1 of IA 1986;
(d)an administration application has been made, a notice of intention to appoint an administrator has been filed with the court or an administrator has been appointed for E under Schedule B1 to IA 1986 M18;
(e)a receiver, manager or administrative receiver has been appointed for E under Part 3 of IA 1986;
(f)a winding-up petition has been presented, a winding-up order has been made or a resolution for voluntary winding-up has been passed in relation to E under Part 4 or 5 of IA 1986; or
(g)notice has been received that E may be struck off the register of companies or an application to strike it off has been made under Part 31 of CA 2006.
(3) The Secretary of State may by further written notice to E determine that E resumes accepted employer status with effect from a future date stated in the notice.
Textual Amendments
F12Words in Sch. 1 para. 8(1) substituted (30.11.2017) by The Teachers Pensions Schemes (Miscellaneous Amendments) Regulations 2017 (S.I. 2017/1084), regs. 1, 19
Marginal Citations
M18Schedule B1 was inserted by the Enterprise Act 2002 (c.40), Schedule 16.