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The National Health Service Pension Scheme (Scotland) Regulations 2008

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Interpretation of Part 3: general
This section has no associated Executive Note

3.A.1—(1) In this Part–

“the 1978 Act” means the National Health Service (Scotland) Act 1978(1);

“the 1993 Act” means the Pension Schemes Act 1993(2);

“the 1995 Act” means the Pensions Act 1995(3);

“the 1995 Regulations” means the National Health Service Superannuation Scheme (Scotland) Regulations 1995(4);

“the 1997 Act” means the National Health Service (Primary Care) Act 1997(5);

“the 1999 Act” means the Welfare Reform and Pensions Act 1999(6);

“the 2003 Order” means the General and Specialist Medical Practice (Education, Training and Qualifications Order 2003(7);

“the 2004 Act” means the Finance Act 2004(8);

“the 2004 Regulations” means the National Health Service (General Medical Services Contracts) (Scotland) Regulations 2004(9);

“active member” has the meaning given in section 124(1) (interpretation of Part 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)) (partial retirement (members aged at least 55));

“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 (member’s option to pay additional periodical contributions to purchase additional pension), 3.C.8 (member’s option to pay lump sum contribution to purchase additional pension) and 3.C.9 (payment of additional lump sum contributions by employing authority);

“additional services”–

(a)

with regard to a GMS practice, the meaning given in Schedule 1 of the 2004 Regulations (additional services); and

(b)

with regard to 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 Schedule 1 to those Regulations;

“appropriate proportion” means–

“bank holiday” means any day that is specified or proclaimed as a bank holiday, pursuant to section 1 (bank holidays) of the Banking and Financial Dealings Act 1971(10);

“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 (reserve powers) of the Bank of England Act 1998(11) 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 section 17C agreement provider, an HBPMS 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 (extinguishment of liability of scheme for pensions secured by insurance policies or annuity contracts) of the 1993 Act(12) and “buy out” must be read accordingly;

“capped transferred-in service” must be read in accordance with regulation 3.F.12 (meaning of “capped transferred-in service”);

“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 the medical certificates listed in Schedule 3 (list of prescribed medical certificates) to the 2004 Regulations;

“collaborative services” means primary medical services provided by a GP performer, a GMS practice, a section 17C agreement provider, an HBPMS contractor or an OOH provider under or as a result of an arrangement between–

(a)

Scottish Ministers or a Health Board; and

(b)

a local authority,

under section 15(2)(13) of the 1978 Act (supply of goods and services to local authorities, etc.), under which Scottish Ministers or the Health Board is responsible for providing services for purposes related to the provision of health care;

“commissioned services” means services provided under a contract between–

(a)

a GP performer, a GMS practice, a section 17C agreement provider, an HBPMS contractor or an OOH provider; and

(b)

either–

(i)

a Special Health Board, which relates to the provision of health care; or

(ii)

Scottish Ministers or a Health Board under section 16(1) (assistance to voluntary organisations)(14) of the 1978 Act,

which is for the purposes of the health service;

“contracting Health Board” means–

(a)

in the case of a non GP provider who is–

(i)

a partner in a partnership that–

(aa)

is a GMS practice; or

(bb)

is an HBPMS contractor and has entered into a contract for the provision of primary medical services; or

(ii)

an individual who is a GMS practice, section 17C agreement provider or an HBPMS contractor,

the Health Board with which that partnership, company, practice, provider or contractor has entered into a contract or agreement referred to in those provisions;

(b)

in the case of a principal practitioner, the Health Board on whose medical performers list his or her name appears; and

(c)

in the case of an assistant practitioner or locum practitioner, the Health Board engaging the practitioner under a contract of services or for services and on whose medical performers list his or her name appears;

“contracting-out requirements” means the requirements mentioned in section 9(2) (requirements for certification of schemes: general) of the 1993 Act;

“contribution option period” has the meaning given in regulation 3.C.6(8) (restriction on further participation in the scheme);

“corresponding health service scheme” has the meaning given in regulation 3.F.11(7) (calculation of transferred-in pensionable service);

“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) (interpretation of part 1)(15) 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(8));

“dental list” means a list prepared in accordance with regulations made under section 25(2)(a) (arrangements for provision of general dental services) of the 1978 Act;

“dental pilot scheme employee” means an individual who, in connection with the provision of personal dental services in accordance with a pilot scheme, is employed by an individual or body providing those services;

“dental therapist” means a person whose name is registered in the dental care professionals register established under section 36B of the Dentists Act 1984 (the dental care professionals register) under the title of dental therapist;

“dentist” means a registered dental practitioner;

“dependent child” is to be construed in accordance with regulation 3.E.9 (meaning of “dependent child”);

“dispensing services” means the provision of drugs, medicines and such appliances which are included in the list prepared by Scottish Ministers under section 27(1)(16) (arrangements for provision of pharmaceutical services) of the 1978 Act;

“doctors' retainer scheme” has the same meaning as given at section 17 of the Statement published in accordance with regulation 22 of the 2004 Regulations;

“employment” includes an office or appointment (other than an honorary office or appointment) and related expressions are to be read accordingly;

“employing authority” means–

(a)

a Health Board, Special Health Board or NHS National Services Scotland (established under sections 2(17) and 10(18) of the 1978 Act);

(b)

a person who is providing piloted services;

(c)

the Mental Welfare Commission established under section 4 (the Mental Welfare Commission for Scotland) of the Mental Health (Care and Treatment) (Scotland) Act 2003(19);

(d)

an OOH provider;

(e)

an HBPMS contractor;

(f)

a GMS practice;

(g)

a section 17C agreement provider;

(h)

any other body constituted under an Act relating to health services and which the Scottish Ministers agree to treat as an employing authority for the purposes of the scheme; or

(i)

in relation to a person who is subject to a direction made under section 7 (extension of superannuation provisions of National Health Service Acts) of the Superannuation (Miscellaneous Provisions) Act 1967(20) and subject to such modifications to these Regulations as Scottish Ministers may in any particular case direct, any employer of such a person whom Scottish Ministers agree to treat as an employing authority for the purposes of these Regulations;

“enhanced services” with regard to–

(a)

a GMS practice, has the same meaning given in regulation 2(1) (interpretation) of the 2004 Regulations; and

(b)

with regard to 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 the 2004 Regulations;

“essential services” means services required to be provided in accordance with regulation 15 (essential services) of the 2004 Regulations;

“GMS contract” means a contract under section 17J of the 1978 Act(21) (health boards' power to enter into general medical services contract) or under article 13 (provision of immediately necessary treatment) of the General Medical Services and Section 17C Agreements (Transitional and other Ancillary Provisions) (Scotland) Order 2004(22);

“GMS practice” means–

(a)

a registered medical practitioner;

(b)

2 or more individuals practising in a partnership; or

(c)

a company limited by shares,

with whom a 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 any combination of those services)–

(a)

under a GMS contract, section 17C agreement or an HBPMS contract;

(b)

on behalf of an OOH provider; or

(c)

under a contract of service or for services with a Health Board which relates to arrangements by which it is to provide services under section 2C of the 1978 Act(23) (functions of Health Boards: primary medical services);

“GP provider” means a GP performer who is–

(a)

a GMS practice, a section 17C agreement provider or an HBPMS contractor;

(b)

a partner in a partnership that is a GMS practice, a section 17C agreement provider or an HBPMS contractor; or

(c)

a shareholder in a company limited by shares that is a GMS practice, section 17C agreement provider or an HBPMS contractor,

and who performs medical services as or on behalf of that practice, provider or contractor;

“GP registrar” means a practitioner who is being trained in medical practice by–

(a)

until the coming into force for all purposes of article 4(5)(d) (education and training leading to the award of a certificate of completion of training) of the 2003 Order, a general medical practitioner who–

(i)

has been approved for that purpose by the Joint Committee on Postgraduate Training for General Practice under regulation 7 (approval of trainers) of the National Health Service (Vocational Training for General Medical Practice) (Scotland) Regulations 1998(24); and

(ii)

performs primary medical services; and

(b)

from the coming into force for all purposes of that article, a general medical practitioner (minimum requirements for general practice training) who is approved under that article for the purpose of providing training under article 5(1)(c)(i) (minimum requirements for genera; practice training) of the 2003 Order, whether as part of training leading to the award of 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) (application for statements of entitlement);

“guaranteed cash equivalent transfer value payment” has the meaning given in regulation 3.F.3(3) (applications for transfer value payments);

“guaranteed minimum pension” means guaranteed minimum pension, or accrued rights to guaranteed minimum pension, under section 14 (earner’s guaranteed minimum) or 17 (minimum pensions for widows and widowers) of the 1993 Act as the case may be;

“HBPMS contract” means an arrangements for the provision of services in accordance with section 2C(2) (functions of health boards: primary medical services)(25) of the 1978 Act between a Health Board and a HBPMS contractor;

“HBPMS contractor” means a person with whom a Health Board has made arrangement under section 2C(2) of the 1978 Act, but only if that person is also a person who would be eligible to enter into a GMS contract or a section 17C agreement for the provision of primary medical services but has not entered into such a GMS contract or section 17C agreement;

“the health service” has the meaning given in section 108 (interpretation and construction) of the 1978 Act;

“lifetime allowance”, in relation to a person, has the meaning given in section 218 (individuals lifetime allowance and standard lifetime allowance) of the 2004 Act(26);

“local authority” means a council constituted under section 2 of the Local Government etc. (Scotland) Act 1994(27);

“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–

(a)

a GMS practice;

(b)

a section 17C agreement provider;

(c)

an HBPMS contractor;

(d)

an OOH provider; or

(e)

a 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 of those services);

“lower tier ill health pension” must be read in accordance with regulation 3.D.7 (early retirement on ill health (active members));

“lower earnings limit” must be read in accordance with section 5 of the Social Security Contributions and Benefits Act 1992 (earnings limits and thresholds for class 1 contributions)(28)

“lump sum rule” has the meaning given in section 166 (lump sum rule) of the 2004 Act(29);

“lump sum death benefit rule” has the meaning given in section 168 (lump sum death benefit rule) of the 2004 Act(30);

“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 prepared by a Health Board pursuant to regulation 4(1) of the National Health Service (Primary Medical Services Performers List) (Scotland) Regulations 2004(31);

“NHS employment” means employment with an employing authority (otherwise than under a contract for services);

“the NHS superannuation scheme for Scotland 1995” means the scheme set out in the National Health Service Superannuation Scheme (Scotland) Regulations 1995(e)(42);

“non-GP provider” in these Regulations applies as if he or she were a whole time officer and 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 Scottish Ministers that he or she 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 section 17C 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 Scottish Ministers that he or she assists in the provision of NHS services provided by that partnership;

(c)

a partner in a partnership that is an HBPMS contractor that has entered into an HBPMS 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 Scottish Ministers that he or she assists in the provision of NHS services provided by that partnership;

(d)

a shareholder in a company limited by shares that is–

(i)

a GMS practice; or

(ii)

a section 17C provider or an HBPMS contractor that has entered into a section 17C agreement or an HBPMS contract for the provision of primary medical services,

but who is not a GP provider and who demonstrates to the satisfaction of the Scottish Ministers that he or she assists in the provision of NHS services provided by that company; and

(e)

an individual who is a section 17C provider or an HBPMS contractor but who is not a GP provider and who demonstrates to the satisfaction of the Scottish Ministers that he or she participates in the provision of NHS services;

“occupational pension scheme” means an occupational pension scheme within the meaning of section 1 (categories of pension schemes)(32) 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 Scottish Ministers agree to recognise as a transferring scheme for the purposes of Chapter 3.F (transfers); and

(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)(33) of the Income and Corporation Taxes Act 1988 (interpretation); or

(iii)

a scheme to which section 608(34) of the Income and Corporation Taxes Act 1988 applied (superannuation funds approved before 6th April 1980);

“officer” means a person other than a non-GP provider employed by an employing authority;

“officer service” means pensionable service as an officer under Part 2;

“OOH provider” has the meaning given by regulation 3.A.15 (out of hours providers);

“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 to patients to whom the practice is required by its GMS contract 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 (opting out of the scheme);

“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; or

(c)

Christmas Day, New Year’s Day and any other local or public holiday which has been agreed in writing by the Health Board when entering into a GMS contract, and part of an out of hours period means any part of any one or more of the periods described in sub paragraphs (a) to (c);

“pay period” means–

(a)

in relation to a practitioner who receives regular payments for his or her services under a contract of employment, 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 3 months ending on the last day of March, June, September or December;

“pensionable earnings” has the meaning given in regulation 3.A.7 (meaning of “pensionable earnings”) (read with regulation 3.A.8);

“pensionable employment” means employment as a practitioner which is pensionable under this Part;

“pensionable service” has the meaning given by regulations 3.A.3 (meaning of “pensionable service”) and 3.A.4 (pensionable service: breaks in service) (read with regulation 3.A.5);

“pensioner member” has the meaning given in section 124(1) (interpretation of part 1)(35) of the 1995 Act and, except where the context otherwise requires, refers to membership of the scheme (but see regulation 3.A.2 (interpretation: further provisions) and regulation 3.D.5(8) (partial retirement: members aged at least 55));

“pension credit” means a credit under section 29(1)(b) (creation of pension debits and credits) of the 1999 Act and includes a credit under corresponding Northern Ireland legislation;

“pension credit benefit” has the meaning given by section 101B (interpretation) of the 1993 Act(36);

“pension credit member” has the meaning given by section 124(1) (interpretation of part 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) (activation of pension sharing)(37) 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 Scottish Ministers agree to recognise as a transferring scheme for the purposes of Chapter 3.F; and

(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;

“practice staff” means a person (other than an assistant practitioner, principal practitioner, a GP registrar or non GP provider) employed by a GMS practice, a section 17C agreement provider, an HBPMS contractor or an OOH provider to assist in the provision of the services they provide;

“practitioner” means–

(a)

a registered medical practitioner, other than a GP registrar, who is a locum practitioner, a GP provider or a GP performer; or

(b)

a registered dentist,

but excluding a person who is paid wholly by way of salary by a Health Board;

“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 Scottish Ministers 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 (meaning of “qualifying service”) (read with regulation 3.A.6 (qualifying service: disregard of breaks in service));

“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) (recent levers);

“registered” means registered under Chapter 2 of Part 4 of the 2004 Act;

“retail prices index” has the meaning given in section 989 (the definitions) of the Income Tax Act 2007(38);

“safeguarded percentage” has the meaning given by section 68A(3) (safeguarded rights) of the 1993 Act(39);

“safeguarded rights” has the meaning given by section 68A(1) of the 1993 Act;

“salaried dentist” means a dentist employed by a Health Board who undertakes to provide general dental services at a health centre, hospital or from any vehicle or moveable facility;

“the scheme” means the scheme the rules of which are set out in this Part;

“the scheme actuary” means the actuary appointed by the Scottish Ministers 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 17C agreement” means an agreement made under section 17C(40) of the 1978 Act;

“section 17C agreement provider” means any person or body who is providing primary medical services in accordance with a section 17C agreement;

“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;

“trade dispute” has the meaning given in section 35(1) (interpretation) of the Jobseekers Act 1995(41);

“trainee practitioner” means a GP Registrar;

“uprated earnings” is to be construed in accordance with regulation 3.D.1.(4)(b) (normal retirement pension); and

“upper tier ill health pension” must be read in accordance with regulation 3.D.7 (early retirement on ill health (active members)).

(4)

S.I. 1995/365, amended by S.I. 1997/1434 and 1916, 1998/1593, 1999/443, 2001/3649 and 2005/2011 and S.S.I. 2001/437 and 465, 2003/55, 270 and 517, 2005/512 and 554, 2006/307 and 561 and 2008/92.

(7)

S.I. 2003/1250, as amended by S.I. 2007/3101.

(9)

S.S.I. 2004/115 as amended by S.S.I. 2004/215.

(10)

1971 c. 80. There are amendments to section 1 not relevant to these Regulations.

(12)

Section 19 was amended by S.I. 2007/3014, regulation 2(a).

(13)

Section 15 was relevantly amended by the 1997 Act, Schedule 2, paragraph 35 and the Primary Medical Services (Scotland) Act 2004 (asp 1), schedule 1.

(14)

To which there are amendments not relevant to these Regulations.

(15)

To which there are amendments not relevant to these Regulations.

(16)

Section 27(1) was amended by the National Health Service and Community Care Act 1990 (c. 19), section 66 and Schedule 9, paragraph 19.

(17)

Section 2 was amended by the National Health Service and Community Care Act 1990, sections 28, 66 and Schedules 9 and 10; the National Health Service Reform (Scotland) Act 2004 (asp 7), Schedule 2 and the Smoking, Health and Social Care (Scotland) Act 2005 (asp 13) schedule 2.

(18)

Section 10 was amended by the Health Act 1999 (c. 8), section 65 and Schedule 4; the National Health Service Reform (Scotland) Act 2004 (asp 7), schedule 2; and the Smoking, Health and Social Care (Scotland) Act 2005 (asp 13), schedule 2.

(19)

asp 13.

(20)

1967 c. 28. To which there are amendments not relevant to these Regulations.

(21)

Section 17J was inserted by the Primary Medical Services (Scotland) Act 2004 (asp 1), section 4.

(23)

Section 2C was inserted by the Primary Medical Services (Scotland) Act 2004 (asp 1), section 1; and was amended by the National Health Service Reform (Scotland) Act 2004 (asp 7), schedule 1, paragraph 1.

(24)

S.I. 1998/5.

(25)

Section 2C was added by Primary Medical Services (Scotland) Act 2004 (asp 1), section 1 and amended by the National Health Service Reform (Scotland) Act 2004 (asp 7), Schedule 1, paragraph 1(3).

(27)

1994 c. 39. There are amendments to section 2 not relevant to these Regulations.

(28)

1992 c. 4. Section 5 was amended by the Pensions Act 2007 (c. 22) section 7(2).

(29)

Section 166 was amended by the Finance Act 2007 (c. 11) Schedule 20 paragraph 9.

(30)

Section 168 was amended by the Finance Act 2007 (c. 11) Schedule 20 paragraph 9.

(32)

Section 1 was amended by S.I. 2007/3014, regulation 2(6).

(33)

Section 612 was repealed by the 2004 Act, Schedule 42, paragraph 1.

(34)

Section 608 was repealed by the 2004 Act, Schedule 42, paragraph 1.

(35)

To which there are amendments not relevant to these Regulations.

(36)

There are amendments to section 101B not relevant to these Regulations.

(37)

Section 28 was amended by the Civil Partners Act 2004 (c. 33) Schedule 27, paragraph 159.

(38)

2007 c. 3.

(39)

Section 68A was inserted by the Welfare Reform and Pensions Act 1999 (c. 30), section 36 and there have been amendments not relevant to these Regulations.

(40)

Section 17C was inserted by the National Health Service (Primary Care) Act 1997 (c. 46), section 21(2).

(41)

1995 c. 18. There are amendments to section 35 not relevant to these Regulations.

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