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The National Health Service Pension Scheme Regulations 1995

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Regulation R1

SCHEDULE 2E+W+S MEDICAL AND DENTAL PRACTITIONERS

Additional definitions used in this ScheduleE+W+S

1.  In this Schedule—

  • F1...

  • F2...

  • [F3“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, where it is connected to the authority’s role in performing, or securing the delivery of, [F4NHS] services or associated management activities or similar duties,

    but which is not in itself the performance of [F4NHS] services, and payment for which is made by that authority directly to the person carrying out that work;

  • “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)

    F5... the National Assembly for Wales, [F6the National Health Service Commissioning Board, a Clinical Commissioning Group] or a Local Health Board; and

    (b)

    a local authority,

    [F7under, in the case of England, section 80(6A) of the 2006 Act or in the case of Wales, section 38(6) of the 2006 (Wales) Act, under which the Clinical Commissioning Group, the National Assembly for Wales, the National Health Service Commissioning Board 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)

    either—

    (i)

    F8... a Special Health Authority, which relates to the provision of health care,

    (ii)

    [F9the National Assembly for Wales, the National Health Service Commissioning Board or a Local Health Board under, in the case of England, section 12ZA of the 2006 Act or, in the case of Wales, section 10 of the 2006 (Wales) Act (which relates to arrangements made with any person or body, including a voluntary one, for the provision of services under the Act),]

    (iii)

    a National Health Service trust under [F10paragraph 18 of Schedule 4 to the 2006 Act or paragraph 18 of Schedule 3 to the 2006 (Wales) Act], F11...

    (iv)

    a National Health Service foundation trust under [F12section 47(2)(b) of the 2006 Act], [F13or]

    (v)

    [F14a local authority acting under section 2B of the 2006 Act];

    which is for the purposes of the health service;]

  • F1...

  • [F15“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;]

  • F16...

  • [F3“local authority” means—

    (a)

    any of the bodies listed in section 1 of the Local Authority Social Services Act 1970 (local authorities), or

    (b)

    the Council of the Isles of Scilly;]

  • F17...

  • [F18“locum practitioner” means a registered medical practitioner (other than a [F19specialist trainee in general practice]) 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 PMS practice;

    (c)

    an APMS contractor;

    (d)

    an OOH provider; or

    (e)

    F20... [F21a] 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 [F22, Board and advisory work, health related functions exercised under section 75 of the 2006 Act, NHS 111 services] or collaborative services (or any combination thereof),]

  • [F23“NHS 111 services” means services provided as part of the telephone advice line commissioned by a Clinical Commissioning Group or the National Health Service Commissioning Board;]

  • “officer service” means, subject to paragraph 9 (officer service treated as practitioner service), pensionable service as an officer;

  • “pensionable earnings” has the meaning given in paragraphs 3 to 8;

  • [F24“pensionable earnings ceiling”, in relation to a GDS contract or a PDS agreement, is to be construed in accordance with paragraph 3(2B);]

  • “practitioner income” has the meaning given in paragraph 3(2) [F25, or as the case may be, paragraph 3(2A)];

  • “practitioner service” means, subject to paragraph 9 (officer service treated as practitioner service), pensionable service as a practitioner;

  • F17...

  • F1...

  • “uprated earnings” is to be construed in accordance with paragraph 11(2).

Textual Amendments

Application of Regulations with modificationsE+W+S

2.—(1) These Regulations, subject to the modifications described in this Schedule, apply to members who are or have been practitioners as if they were officers [F26employed by the relevant Local Health Board or the National Health Service Commissioning Board] [F27or, in the case of a locum practitioner, the listing Authority F28...] and, except where the context otherwise requires, references to an employing authority shall, in relation to a practitioner, be taken as a [F29reference to the relevant Board] [F27or, in the case of a locum practitioner, the listing Authority F28...].

[F30(1A) In sub-paragraph (1), “listing authority”, in relation to a locum practitioner, means the [F31Board that prepares and publishes] the medical performers list on which he is included.]

(2) Notwithstanding any other provision of these Regulations, a practitioner who wishes to contribute to [F32this Section of] the scheme must do so in respect of all of his work as a practitioner F33... [F34other than any period or periods of work as a locum practitioner [F35: this is subject to sub-paragraph (16) of paragraph 23]].

Textual Amendments

[F36Membership: locum practitionersE+W+S

2A.—(1) Regulation B1(2) (automatic membership of [F37this Section of] the scheme) does not apply to locum practitioners.

(2) A locum practitioner may apply to join [F37this Section of] the scheme by sending an application to the employing authority and submitting such evidence relating to his service as a locum practitioner and the contributions payable in respect of it as are required by the authority.

(3) On receiving such an application, such evidence and such contributions, the employing authority must submit the application to the Secretary of State.

F38(4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) [F39No] application may be made under sub-paragraph (2) in respect of a period of engagement as a locum practitioner ending earlier than ten weeks before the date of the application.]

Textual Amendments

Meaning of “pensionable earnings"E+W+S

3.—[F40(1) In the case of a either a type 1 practitioner or a non-GP provider who is not in receipt of any salary, wages, fees or any other regular payment in respect of his employment by virtue of the application of these Regulations to him as if he were such an officer under regulation R1, “pensionable earnings” means—

(a)in the case of a type 1 medical practitioner or a non-GP provider, practitioner income less any sum on account of practice expenses (for these purposes, D2(1) contributions payable under paragraph 10(6) or (7) are neither practitioner income nor practice expenses); and

(b)in the case of a type 1 dental practitioner, practitioner income (taking into account any relevant pensionable earnings ceiling).]

(2) Subject to sub–paragraph (3), for the purposes of this paragraph, “practitioner income" means [F41as regards type 1 medical practitioners]—

[F42(a)payments made to such a person—

(i)pursuant to a GMS contract, a PMS agreement or an APMS contract, an NHS standard contract or a contract entered into by a local authority pursuant to its functions under the 2006 Act relating to the improvement and protection of public health and which the Secretary of State agrees to treat as a qualifying contract for these purposes;

(ii)in respect of the performance of certification services, commissioned services or collaborative services where the practitioner is a GMS practice, a PMS practice or an APMS contractor: this also applies to such payments received from such a practitioner;

(iii)in respect of the provision of primary medical services under, in the case of England, section 83(2)(a) of the 2006 Act or, in the case of Wales, section 41(2)(a) of the 2006 (Wales) Act where such a person has been engaged by a Local Health Board to assist in the provision of such services;

(iv)in respect of the provision of locum services;

(v)in respect of the performance of primary medical services, commissioned services, collaborative services, NHS 111 services and certification services where those payments are made by an OOH provider or other employing authority providing OOH services;

(vi)in respect of primary dental services, general ophthalmic services or pharmaceutical services;

(vii)in respect of practice-based work carried out in educating or training, or organising the education or training of, medical students or practitioners;

(viii)in respect of the provision of primary medical services where such a person has been engaged by a clinical commissioning group to assist in the provision of such services;]

(b)any charges collected from patients in respect of the services mentioned in sub–paragraph (a) which the [F43type 1 medical] practitioner is authorised by or under any enactment to retain other than charges authorised by regulations made under [F44in the case of England, section 185(1) of the 2006 Act or in the case of Wales, section 133(1) of the 2006 (Wales) Act] (charges for more expensive supplies of dental appliances); and

F45(c)any sums paid to the practitioner out of a fund determined by reference to the number of beds in a hospital;

[F46(d)in the case of a practitioner, allowances and any other sums (but excluding payments made to cover expenses) paid in respect of Board and advisory work;]

[F47(e)health-related functions exercised under section 75 of the 2006 Act.]

[F48(2A) Subject to sub-paragraphs (2B), (2D) and (3), for the purposes of this paragraph, “practitioner income” means, as regards a type 1 dental practitioner, income which accrues to the practitioner which is derived from a GDS contract or a PDS agreement, and—

(a)includes charges collected from patients which are required, by virtue of directions given under [F49, in the case of England, sections 94, 103 or 109 of the 2006 Act or in the case of Wales, sections 52, 60 or 66 of the 2006 (Wales) Act] (which relate to PDS agreements and payments under GDS contracts), to be set off against payments under the contract or agreement; but

[F50(b)does not include—

(i)charges collected from patients which are not required, by virtue of such directions, to be so set off,

(ii)income received by a practitioner to whom regulation B2 (restrictions on membership), regulation B3 (restriction on further participation in this Section of the scheme) or regulation B4 (opting-out of this Section of the scheme) applies, or

(iii)income received on or after 7th November 2011 by a practitioner in respect of the performance of services under a GDS contract or a PDS agreement to which the practitioner’s employer is not a party.]

(2B) As regards each GDS contract or PDS agreement from which practitioner income is derived, the maximum amount of practitioner income which may be derived from that contract in any financial year is, subject to sub-paragraph (2C), the value of that contract in that financial year—

(a)less the value of following payments (where payable in that financial year by the [F51National Health Service Commissioning Board] or Local Health Board that is a party to the contract or agreement)—

(i)monthly seniority payments,

[F52(ii)adoption leave, maternity leave, parental leave or paternity leave payments;]

(iii)sickness leave payments,

(iv)reimbursement of the salary of a [F53foundation trainee],

(v)reimbursement of the national insurance contributions of a [F54foundation trainee], and

(vi)reimbursement of non-domestic rates; then

(b)multiplied by a percentage to be determined by the Secretary of State,

which produces the amount referred to in this Schedule as the “pensionable earnings ceiling”.

[F55(2C) Where the income of a type 1 dental practitioner includes payments made under a GDS contract or a PDS agreement consisting of all or any of—

(a)monthly seniority payments;

[F56(aa)a dental trainers grant;]

(b)maternity leave, paternity leave, parental leave or adoption leave payments; and

(c)sickness leave payments,

those payments are practitioner income for the purposes of this paragraph (that is, they are pensionable earnings notwithstanding that they are not included in the calculation of the pensionable earnings ceiling for a particular GDS contract or PDS agreement).]

(2D) The following payments under a GDS contract or PDS agreement are not to be considered practitioner income for the purposes of this paragraph—

(a)reimbursement of the salary of a [F57foundation trainee];

(b)reimbursement of the national insurance contributions of a [F58foundation trainee]; and

(c)reimbursement of non-domestic rates.

(2E) For the avoidance of doubt, income which accrues to a type 1 dental practitioner while he is engaged as a type 2 practitioner is practitioner income of that type 1 dental practitioner, but unaffected by any pensionable earnings ceiling (although the combined earnings of that practitioner will be subject to the upper limit specified in paragraph 8).]

(3) If the practitioner is in concurrent employment as an officer, or with a local authority or university, or as a civil servant, or in any other employment that the Secretary of State may in any particular case allow, “practitioner income" does not include any amounts for which the practitioner is required to account to the employer as a term or condition of that employment.

[F59(4) In sub-paragraph (2)(a), “locum services” shall have the same meaning as for the purposes of paragraph 6.]

Textual Amendments

F40Sch. 2 para. 3(1) substituted (1.4.2006 but with effect from 1.4.2004 in so far as it relates to a type 1 medical practitioner or a non-GP provider) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(c), 21(4)(a)

F41Words in Sch. 2 para. 3(2) inserted (1.4.2006 but with effect from 1.4.2004 in so far as it relates to a type 1 medical practitioner or a non-GP provider) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(c), 21(4)(b)(i)

F43Words in Sch. 2 para. 3(2)(b) inserted (1.4.2006 but with effect from 1.4.2004 in so far as it relates to a type 1 medical practitioner or a non-GP provider) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(c), 21(4)(b)(vi)

F45Sch. 2 para. 3(2)(c): By The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(c), 21(4)(b)(vii) (1.4.2006 but with effect from 1.4.2004 in so far as it relates to a type 1 medical practitioner or a non-GP provider), it is provided that the words “type 1 medical” are inserted after the words “in the case of a”

F48Sch. 2 para. 3(2A)-(2E) inserted (1.4.2006 but with effect from 1.4.2004 in so far as it relates to a type 1 medical practitioner or a non-GP provider) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(c), 21(4)(c)

[F60Calculating pensionable earnings of [F61medical] practitioners in partnershipE+W+S

4.—(1) In the case of [F62type 1 medical] practitioners practising in partnership (with or without a non-GP provider who is a partner in a partnership), the pensionable earnings of each [F63type 1 medical practitioner] and non-GP provider who is a partner in a partnership shall be calculated by aggregating the pensionable earnings of each (including for this purpose, any amount that would constitute pensionable earnings in the case of any of them who are not included in [F64this Section of] the scheme) and, subject to sub-paragraph (2), dividing the total equally by reference to the number of such partners.

(2) Where the [F65type 1 medical practitioners] and any non-GP providers who are partners in a partnership do not share equally in the partnership profits, they may elect that each partner’s pensionable earnings shall correspond to each partner’s share of the partnership profits.

(3) Where a [F66type 1 medical practitioner] practising in partnership also has earnings in respect of NHS employment otherwise than as a practitioner, the partners may elect that the pensionable earnings of that practitioner, as determined in accordance with sub-paragraph (1) or (2) , shall be reduced by the amount of those earnings and the pensionable earnings of each of them (including that practitioner) be then increased in proportion to their respective shares of the partnership profits.

(4) The calculations described in sub-paragraphs (2) and (3) will be made by [F67the National Health Service Commissioning Board or Local Health Board] to which the partners are required to give notice of their election in accordance with paragraph 5.]

Textual Amendments

Elections relating to calculation of “pensionable earnings" in [F68medical] partnershipsE+W+S

5.—(1) [F69Type 1 medical] practitioners [F70and any non-GP providers who are partners in any partnership] must exercise the elections described in paragraph 4(2) and (3) by giving notice in writing [F71to their host F72... Board].

F73(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F74(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) The notice must be signed by all the [F75type 1 medical practitioners] [F76and non-GP providers] in the partnership and must state as a fraction each practitioner’s [F77and non-GP provider's] share in the partnership profits. In the case of medical practitioners, the notice must state the name of every F78... F79... [F80Local Health Board] [F81or the National Health Service Commissioning Board] on whose list the name of any practitioner in the partnership is included.

F82(5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) Any notice given under this paragraph will take effect from the date agreed between the practitioners and the F83... [F84National Health Service Commissioning Board] [F85or Local Health Board] concerned. If no agreement is reached, the date will be decided by the Secretary of State.

(7) Any notice given under this paragraph may be cancelled or amended by a subsequent notice in writing signed by all the practitioners in the partnership. A notice will continue in effect until cancelled, or (if earlier) there is a change in the partnership.

Textual Amendments

Distribution of pensionable earnings between type 1 dental practitioners employed or engaged by the same GDS or PDS contractorE+W+S

F865A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Meaning of “pensionable earnings" in relation to other practitionersE+W+S

6.—[F87(1) In the case of an [F88type 2 medical practitioner], “pensionable earnings” means—

(a)all salary, wages, fees and other regular payments paid to the practitioner by an employing authority in respect of the performance of essential services, additional services, enhanced services, dispensing services, OOH services, commissioned services, certification services, collaborative services, general dental services [F89, health-related functions exercised under section 75 of the 2006 Act, pharmaceutical services [F90an NHS standard contract or a contract entered into by a local authority pursuant to its functions under the 2006 Act relating to the improvement and protection of public health and which the Secretary of State agrees to treat as a qualifying contract for these purposes] or NHS 111 services]; but does not include bonuses or payments made to cover expenses F91...;

(b)allowances and other sums (but excluding payments made to cover expenses) paid by an employing authority in respect of Board and advisory work; and

(c)practice-based work carried out in educating or training, or organising the education or training of, medical students or practitioners.]

[F92(2) In the case of a type 2 dental practitioner, “pensionable earnings” means all salary, wages, fees and other regular payments paid to the practitioner—

(a)in the case of a [F93foundation trainee], under his contract of employment with a GDS or PDS contractor; or

(b)in all other cases, by an employing authority in respect of the performance of primary dental services,

but does not include bonuses or payments made to cover expenses F94....]

[F95(3) In the case of a locum practitioner, “pensionable earnings” means all fees and other payments made to the locum practitioner in respect of the provision of locum services (but excluding payments made to cover expenses or for overtime), less such expenses as are deductible in accordance with guidance laid down by the Secretary of State.

[F96(4) In this paragraph, references to the provision of locum services, in relation to a practitioner, are to board and advisory work performed for the National Health Service Commissioning Board or a Local Health Board, and—

(a)primary medical services,

(b)commissioned services,

(c)collaborative services,

(d)health-related functions exercised under section 75 of the 2006 Act,

(e)pharmaceutical services,

(f)NHS 111 services,

(g)services pursuant to an NHS standard contract or a contract entered into by a local authority pursuant to its functions under the 2006 Act relating to the improvement and protection of public health and which the Secretary of State agrees to treat as a qualifying contract for these purposes,

(h)performed by a practitioner engaged by an employing authority under a contract for services to deputise for a registered medical practitioner or to temporarily assist in the provision of such services.]]

Textual Amendments

Exclusions and deductions from pensionable earnings — all practitionersE+W+S

7.  Any sum that is withheld or otherwise recovered from a practitioner under the National Health Service (Service Committees and Tribunal) Regulations 1974 M1 will be excluded or deducted from the practitioner’s pensionable earnings in such manner and to such extent as the Secretary of State may approve.

Marginal Citations

Limit on pensionable earnings — dental practitionersE+W+S

8.—(1) A dental practitioner’s pensionable earnings in any financial year ending before 1st April 1995 are subject to the upper limit specified in the following table for the period in which the year falls.

PeriodUpper limit for each year
1st April 1950 to 31st March 1966£3,500
1st April 1966 to 31st March 1972£6,000
1st April 1972 to 31st March 1975£10,000
1st April 1975 to 31st March 1978£15,000
1st April 1978 to 31st March 1982£21,000
1st April 1982 to 31st March 1985£33,000
1st April 1985 to 31st March 1988£40,000
1st April 1988 to 31st March 1989£45,000
1st April 1989 to 31st March 1990£54,000
1st April 1990 to 31st March 1991£58,000
1st April 1991 to 31st March 1992£65,000
1st April 1992 to 31st March 1993£72,000
1st April 1993 to 31st March 1994£73,000
1st April 1994 to 31st March 1995£75,000

(2) A dental practitioner’s pensionable earnings in any financial year starting after the 31st March 1995 [F97and ending before 1st April 2008] are subject to the upper limit specified by the Secretary of State for that year.

(3) In the case of a dental practitioner employed by persons carrying on a deceased practitioner’s dentistry business, pensionable earnings cannot exceed the total of the amount paid to him by those persons, plus any amounts paid to him by [F98the National Health Service Commissioning Board] [F99or Local Health Board] or [F100the Dental Services Division of the National Health Service Business Services Authority] that those persons allow him to retain.

Textual Amendments

Officer service treated as practitioner serviceE+W+S

9.—[F101(1) Subject to sub-paragraph (3), if a member does not have more than 10 years’ officer service on first becoming a F102... practitioner, the member’s officer service before first becoming a F102... practitioner will be treated as practitioner service.]

[F103(2) For the purpose of calculating any benefit in respect of officer service that is treated as practitioner service under sub-paragraph (1), the member’s pensionable pay in respect of that officer service—

(a)may be disregarded and his uprated earnings increased by the same proportion as his practitioner’s service is increased by virtue of the officer service being treated as practitioner service under sub-paragraph (1); or

(b)may be treated as pensionable earnings,

whichever is the more favourable to him.]

(3) Sub–paragraph (1) does not apply where—

(a)the member first became a F104... practitioner before 31st March 1977 and the benefits calculated under the corresponding provision, as it applied immediately before that date, would have been greater; or

F105(aa). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the member’s pension in respect of total officer service would otherwise be greater than the member’s pension in respect of total practitioner service (where “pension" includes, in each case, any increases payable under Part I of the Pensions (Increase) Act 1971) and the member’s total pension would be reduced if the member’s officer service before first becoming a F106... F107... [F108practitioner] were treated as practitioner service.

(4) The calculation described in sub–paragraph (3)(b) will be made when the member’s pension under [F109this Section of] the scheme becomes payable. If the member dies before his pension becomes payable, the calculation will be made at the date of his death and by reference to the pension which would have become payable under regulation E1 (normal retirement pension) or L1 (preserved pension) if he had left pensionable employment immediately before that date.

(5) When calculating the member’s total officer service and total practitioner service for the purposes of sub–paragraph (3)(b), any increase in the member’s service by virtue of regulation E2 [F110or E2A] F111..., and any additional service bought as described in regulation Q1 (right to buy additional service), will be ignored.

[F112(5A) Where a member has more than 10 years' officer service before first becoming—

(a)a F113... [F114practitioner] F115...

F116(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  • the member’s officer service before first becoming such a practitioner may be treated as practitioner service if it would be more favourable to him.

F117(5AA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5B) For the purpose of calculating any benefits in respect of officer service that is treated as practitioner service under sub-paragraph (5A), the member’s pensionable pay in respect of that officer service shall be treated as pensionable earnings.]

[F118(5C) If—

(a)any part of the period of a member’s officer service is treated as practitioner service for the purposes of sub-paragraph (1) or (5A) (“the converted service”) and,

(b)any part of the converted service has been credited to the member as a result of a transfer-in under regulations N2 or N3 (but not regulation R8(2)) (“the converted service credit”),

the amount of pensionable pay deemed to be received in respect of the converted service credit will be calculated in accordance with paragraph 18 of this Schedule.]

(6) Subject to sub–paragraph (8), if a member has, in total, less than one year’s officer service on the last occasion on which he ceases to be a practitioner before his pension under [F109this Section of] the scheme becomes payable, that officer service will be treated as practitioner service.

[F119(6A) Subject to sub-paragraph (8), if a member has in total, 1 year’s officer service or more on the last occasion on which he ceases to be a practitioner before his pension under [F109this Section of] the scheme becomes payable, that officer service may be treated as practitioner service if it would be more favourable to him.

(6B) Any officer service which is treated as practitioner service by virtue of sub-paragraph (6) or (6A) shall include any periods of officer service which are concurrent with periods of practitioner service.]

(7) For the purpose of calculating any benefit in respect of officer service that is treated as practitioner service under sub–paragraph (6) [F120or (6A)], the member’s pensionable pay in respect of that officer service will be treated as pensionable earnings.

(8) If the member has [F121officer service before first becoming a practitioner] F122..., sub–paragraph (1) will be applied before sub–paragraph (6) [F123or (6A)] and—

(a)[F124neither sub-paragraph (6) nor (6A) will] apply to any officer service that is treated as practitioner service under sub–paragraph (1) [F125or (5A)]; and

(b)any officer service that is treated as practitioner service under sub–paragraph (1) [F126or (5A)] will be ignored for the purpose of deciding whether sub–paragraph (6) [F123or (6A)] applies.

(9) If any member with practitioner service works in employment as an officer for less than 1 year after last ceasing to be a practitioner, any officer service that is attributable to that employment will be treated as practitioner service.

(10) For the purpose of calculating any benefit in respect of officer service that is treated as practitioner service under sub–paragraph (9), the member’s pensionable pay in respect of that officer service will be treated as pensionable earnings.

(11) Where the officer service mentioned in sub–paragraph (6) [F127, sub-paragraph (6A)] or sub–paragraph (9) has been credited as a result of a transfer under regulation N1 (member’s right to transfer accrued rights to benefits to [F109this Section of] the scheme), the pensionable pay in respect of it shall be deemed to be the pensionable pay by reference to which the additional period of service was calculated under regulation N2(3) or N3(2), whichever is applicable.

F128(12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F129Locum practitioners: breaks between contractsE+W+S

9A.—(1) Paragraph (4A) of regulation C3 does not apply and this paragraph applies instead where a locum practitioner ceases to be engaged as such a practitioner and so ceases to be treated as being in pensionable employment and is re-engaged as such a practitioner before the expiry of a period not exceeding three months from the day on which he so ceases.

(2) For the purposes of these Regulations—

(a)he is treated as continuing to be in qualifying service during the period whilst he is not so engaged and as not being required to rejoin [F130this Section of] the scheme at the time when he becomes so re-engaged, but

(b)that period does not count as practitioner service (or as a period in pensionable employment).]

Textual Amendments

[F131Contributions to [F132this Section of] the schemeE+W+S

10.—[F133(1) In the case of members who are practitioners or non-GP providers, regulation D1 (contributions by members) and regulation D2 (contributions by employing authorities) are modified as described in the following sub-paragraphs.

[F134(1A) For the purposes of this paragraph, the “relevant table” means—

(a)in respect of the 2013-2014 scheme year, table 1;

(b)in respect of the 2014-2015 scheme year, table 2.

Table 1

Scheme Year 2013-2014

Column 1

Pensionable earnings band

Column 2

Contribution percentage rate

Up to £15,4315%
£15,432 to £21,3875.3%
£21,388 to £26,8236.8%
£26,824 to £49,4729%
£49,473 to £70,63011.3%
£70,631 to £111,37612.3%
£111,377 to any higher amount13.3%

Table 2

Scheme Year 2013-2014

Column 1

Pensionable earnings band

Column 2

Contribution percentage rate

Up to £15,4315%
£15,432 to £21,3875.6%
£21,388 to £26,8237.1%
£26,824 to £49,4729.3%
£49,473 to £70,63012.5%
£70,631 to £111,37613.5%
£111,377 to any higher amount14.5%]

[F135(2) Subject to sub-paragraph (2A), a member whose pensionable earnings fall into a pensionable earnings band specified in column 1 of the relevant table must contribute the percentage of the member’s pensionable earnings specified in column 2 of that table in respect of that amount.

(2A) The Secretary of State shall, with the consent of the Treasury, determine the pensionable earnings bands and contribution percentage rates specified in the relevant table in respect of each scheme year.

[F136(2B) Before determining those pensionable earnings bands or contribution percentage rates, the Secretary of State must consider the advice of the Scheme Actuary.]]

(2C) If, apart from this sub-paragraph, the earnings for a scheme year in respect of a member’s practitioner or non-GP provider service would not be a whole number of pounds, those earnings will be rounded down to the nearest whole pound.

(2D) If a member is in practitioner or non-GP provider service as well as (concurrently) employment other than as a practitioner or non-GP provider in respect of which the member is liable to pay contributions in accordance with regulation D1, the contributions payable in respect of the member’s—

(a)practitioner or non-GP provider service, shall be determined in accordance with the provisions of these regulations that apply to a practitioner or non-GP provider, and

(b)employment as an officer, shall be determined in accordance with the provisions of these regulations that apply to an officer.

(2E) Where a practitioner (other than a dentist performer) or a non-GP provider is also in service as a dentist performer (or vice versa) the practitioner service as a practitioner (other than as a dentist performer) or as a non-GP provider and the practitioner service as a dentist performer will each be treated separately under this paragraph.

[F137(2F) In determining, in accordance with this paragraph, the contributions that are payable pursuant to regulations D1(1) and D2(1), a host Board must take account of all pensionable earnings, including those determined by another host Board, as a—

(a)practitioner, from all practitioner sources;

(b)non-GP provider, from all non-GP provider sources;

(c)dentist performer, from all dentist performer sources.]

(2G) An employing authority that is not a host F138... Board shall, in respect of any pensionable earnings it pays to a practitioner or to a non-GP provider, take advice from the relevant host F138... Board in determining the contributions payable in accordance with sub-paragraph (2) of this regulation.

[F139(2H) A practitioner and a non-GP provider member whose applicable pensionable earnings fall into a pensionable earnings band specified in column 1 of the relevant table in sub-paragraph (1A) must, in respect of a scheme year, contribute the percentage of that person’s pensionable earnings specified in column 2 of that table in respect of that amount: such contributions must be paid in 12 equal monthly instalments throughout that year.

(2I) For the purposes of sub-paragraph (2H), a practitioner and a non-GP provider member’s applicable pensionable earnings are—

(a)the estimated amount of that member’s earnings agreed between the host Board and that member having regard to any estimates of pensionable earnings which have been provided pursuant to paragraph 23(12);

(b)in the absence of an agreement referred to in sub-paragraph (a), whichever of the following the host Board considers the most appropriate in the circumstances—

(i)an estimate of the amount of that member’s earnings that corresponds to that member’s most recent certified pensionable earnings referred to in paragraph 23, or

(ii)the amount of earnings that corresponds to the host Board’s estimate of that member’s pensionable earnings from, as the case may be, all practitioner, or non-GP provider sources for that year.

(2J) Where during the scheme year the host Board and the member agree that the estimated amount of that member’s earnings should be different to that last agreed under paragraph (a) of sub-paragraph (2I) or last determined under paragraph (b) of that sub- paragraph, that member must pay the monthly contributions determined in accordance with sub-paragraph (2K).

(2K) Those contributions are to be determined as follows—

  • Step 1: agree the member’s new estimated pensionable earnings (Amount A)

  • Step 2: find the percentage rate of contributions payable on Amount A applying the relevant table in sub-paragraph (1A)

  • Step 3: find Amount B by dividing Amount A by the percentage rate found at Step 2

  • Step 4: find Amount C by deducting from Amount B the amount of any contributions already paid prior to the new estimate of earnings being agreed

  • Step 5: divide Amount C by the number of whole months of the scheme year remaining to find the amount payable in each such month.

(2L) A member must pay monthly contributions determined in accordance with sub-paragraph (2M), where—

(a)during the scheme year the host Board is satisfied that the member’s pensionable earnings will exceed those last agreed under paragraph (a) of sub-paragraph (2I) or last determined under paragraph (b) of that sub-that paragraph,

(b)an agreement referred to in paragraph (a) of sub-paragraph (2I) cannot be reached, and

(c)the host Board determines what the new estimated amount of earnings is for the purpose of identifying the rate of contributions to be paid by the member.

(2M) Those monthly contributions are to be determined as follows—

  • Step 1: take the new estimated pensionable earnings determined in accordance with sub-paragraph (2L)(c) (Amount D)

  • Step 2: find the percentage rate of contributions payable on Amount D earnings applying the relevant table in sub-paragraph (1A)

  • Step 3: find Amount E by dividing Amount D by the percentage rate found at Step 2

  • Step 4: find Amount F by deducting from Amount E the amount of any contributions already paid prior to the new estimate of earnings being agreed

  • Step 5: divide Amount F by the number of whole months of the scheme year remaining to find the amount payable in each such month.

(2N) A practitioner (other than a dentist performer) and a non-GP provider member must pay contributions determined in accordance with sub-paragraph (2O) where, in respect of a scheme year to which one or more of sub-paragraph (2I), (2J) and (2L) applied throughout that year, that member has—

(a)in accordance with paragraph 23 of this Schedule, certified their pensionable earnings for that year and forwarded it to the host Board, or the host Board has the figure that represents that member’s final pensionable earnings for that scheme year where that member was not required to certify them, and

(b)the amount of earnings referred to in paragraph (a) exceed the amount of earnings used for the purposes of, as the case may be, one or more of sub-paragraphs (2H), (2J) or (2L).

(2O) Those contributions are determined as follows—

  • Step 1: find the member’s aggregate earnings for the scheme year in question (Amount G)

  • Step 2: find the percentage rate of contributions payable on Amount G applying the relevant table in sub-paragraph (1A)

  • Step 3: find Amount H by dividing Amount G by the percentage rate found at Step 2

  • Step 4: find the amount of contributions to be paid by deducting from Amount H the amount of any contributions already paid in respect of that scheme year in accordance with any or all of sub-paragraphs (2H), (2J) or (2L) prior to the certification of earnings in accordance with paragraph 23 of this Schedule.

(2P) For the purposes of sub-paragraph (2O), a member’s aggregate earnings are the aggregate of—

(a)the certified or final pensionable earnings from all practitioner (but not dentist performer) or, as the case may be, non-GP provider sources, and

(b)any additional pensionable earnings the member is treated as having received during an absence from work in accordance with regulation P1 or P2 as modified by paragraph 19 of this Schedule.

(2Q) A dentist performer member must pay contributions determined in accordance with sub-paragraph (2R) where, in respect of a scheme year to which one or more of sub-paragraph (2I), (2J) and (2L) applied throughout that year, that dentist performer has—

(a)in accordance with paragraph 23 of this Schedule, certified their pensionable earnings for that year and forwarded it to the host Board, or

(b)was not required to certify their earnings in accordance with that paragraph but the host Board has the figure that represents that member’s pensionable earnings for that scheme year.

(2R) The contributions are payable at the rate specified in column 2 of the relevant table in sub-paragraph (1A) in respect of the amount of pensionable earnings referred to in column 1 of that table which corresponds to that part of the relevant aggregate which exceeds the amount of pensionable earnings on which contributions have already been paid pursuant to any or all of sub-paragraphs (2H), (2J) or (2L).

(2S) For the purposes of sub-paragraph (2R), the relevant aggregate is the aggregate of—

(a)the certified or final pensionable earnings from all dentist performer sources, uprated according to the formula—

where—

  • PE is the certified or final amount of dentist performer’s pensionable earnings from all dentist performer sources for that year;

  • NDPS is the number of days of dentist performer service from the date the dentist performer service commenced in the scheme year to the end of the scheme year, and

(b)any additional pensionable earnings the dentist performer is treated as having received during an absence from work in accordance with regulation P1 or P2 as modified by paragraph 19 of this Schedule.]

(3) Contributions must be paid until the member—

(a)reaches age [F14075] or completes 45 years' pensionable service F141..., if the member is not a special class officer;

(b)reaches age 65, or completes 45 years' pensionable service and reaches age 60, if the member is a special class officer.

[F142(4) Save where sub-paragraph (5) applies, type 1 medical practitioners and non-GP providers shall pay D1 contributions to the host F143... Board.

(4A) Type 1 dental practitioners shall pay D1 contributions in respect of pensionable earnings that relate to a particular GDS contract or PDS agreement to the employing authority that is a party to that GDS contract or PDS agreement, and that employing authority is liable to pay the D2(1) contributions that are payable in respect of those pensionable earnings.]

(5) Where a [F144type 1 medical practitioner] or a non-GP provider is engaged under a contract of service or for services by an employing authority or is a partner or shareholder in an employing authority that is not an OOH provider, that authority shall—

(a)deduct D1 contributions from any pensionable earnings it pays to him; and

(b)where it is not also the host F145... Board, pay those contributions to that F145... Board.

(6) Subject to sub-paragraph (7), where a [F146type 1 medical practitioner] or a non-GP provider is—

(a)an employing authority which is a GMS practice, a PMS practice or an APMS contractor; or

(b)a shareholder or partner in such an employing authority,

that employing authority shall pay D2(1) contributions to the host F147... Board.

[F148(7) Where—

(a)the type 1 medical practitioner is a shareholder or partner in more than one employing authority referred to in sub-paragraph (6), each such employing authority shall pay D2(1) contributions on any pensionable earnings it pays to that practitioner or, as the case may be, on the practitioner’s share of the partnership profits, to the host Board;

(b)the non-GP provider is a shareholder or partner in more than one employing authority referred to in sub-paragraph (6), that non-GP provider must nominate one of those employing authorities and that nominated authority must pay D2(1) contributions on any pensionable earnings it pays to that non-GP provider or, as the case may be, on the non-GP provider’s share of the partnership profits, to the host Board.]

(8) Where sub-paragraph (5) applies (but sub-paragraph (6) does not) and the employing authority referred to in that sub-paragraph is—

(a)not the host F149... Board, that authority shall pay D2(1) contributions to the host F149... Board;

(b)is the host F149... Board, that F149... Board shall pay [F150D2(1)] contributions to the Secretary of State in respect of any pensionable earnings it pays to him.

(9) [F151Where a] [F152type 2 practitioner] (other than a locum practitioner) is engaged under a contract of service or for services by an employing authority, that authority shall—

(a)deduct D1 contributions from any pensionable earnings it pays to him; and

(b)[F152in the case of a type 2 medical practitioner,] where it is not also the host F153... Board, pay those contributions to that F153... Board.

(10) [F154In the case of a type 2 medical practitioner,] where paragraph (9) applies, and the employing authority referred to in that sub-paragraph—

(a)is not the host F155... Board, that authority shall pay D2(1) contributions to the host F155... Board;

(b)is the host F155... Board, that F155... Board shall pay D1 and D2(1) contributions to the Secretary of State in respect of any pensionable earnings it pays to him.

[F156(10A) As regards a type 2 dental practitioner who—

(a)is a [F157foundation trainee]—

(i)the GDS or PDS contractor who employs him shall deduct D1 contributions from any pensionable earnings the contractor pays to him and shall pay those contributions to the employing authority that is a party to the contractor’s GDS contract or PDS agreement, and

(ii)that employing authority is liable to pay the D2(1) contributions that are payable in respect of those pensionable earnings; or

(b)is not a [F157foundation trainee], the employing authority with which he has a contract for services from which his pensionable earnings are derived is liable to pay the D2(1) contributions that are payable in respect of those pensionable earnings.]

(11) Locum practitioners must pay D1 contributions to the host F158... Board.

(12) [F159Where contributions are payable by a locum practitioner under sub-paragraph (11) in respect of pensionable locum work carried out for an employing authority, that employing authority shall pay contributions under regulation D2(1) in respect of that work.

(13) Where D2(1) contributions are payable in respect of a locum practitioner under sub-paragraph (12), those contributions shall be payable—

(a)to the host Board where the Secretary of State is not that host Board, and

(b)to the Secretary of State if the employing authority is the host Board.]

[F160(13A) D1 contributions that are required to be paid to an employing authority by or in respect of a type 1 or type 2 dental practitioner in accordance with this paragraph shall be paid to that employing authority not later than—

(a)the 7th day of the month following the month to which the earnings relate; or

(b)if the contributions are in respect of earnings derived from a PDS agreement and the monthly payment date in respect of that agreement is not the first working day of the month following the month to which the earnings relate, the 7th day after the date on which the earnings to which those contributions relate were paid.

(13B) It shall be a function of an employing authority—

(a)to which D1 contributions are paid in respect of a type 1 or type 2 dental practitioner in accordance with this paragraph;

(b)which is liable to pay D2(1) contributions in respect of any type 1 or type 2 dental practitioner,

to forward or pay those contributions to the Secretary of State not later than the 12th day after the date on which, by virtue of sub-paragraph (13A), it is due to receive the D1 contributions or, in the case of D2(1) contributions, the related D1 contributions.]

[F161(14) Contributions which are required to be paid to the host Board—

(a)other than pursuant to sub-paragraphs (2N) or (2Q) must be paid to that Board not later than the 7th day of the month following the month in which the earnings were paid;

(b)pursuant to sub-paragraph (2N) or, as the case may be, sub-paragraph (2Q) at the same time as providing that Board with the certificate referred to in the relevant sub-paragraph.]

(15) Where [F162, as regards a type 1 or type 2 medical practitioner,] an employing authority—

(a)is not the host F163... Board, it shall be a function of that employing authority to provide the host F163... Board with a record of any—

(i)pensionable earnings paid by it to a practitioner;

(ii)contributions deducted by it in accordance with sub-paragraph (5) or (9),

not later than the 7th day of the month following the month in which the earnings were paid;

(b)is the host F163... Board that has deducted contributions in accordance with sub-paragraph (5) or (9) and is liable to pay D2(1) contributions in respect of any pensionable earnings it pays to a practitioner, it shall be a function of that F163... Board to maintain a record of—

(i)the matters referred to in paragraph (a)(i) and (ii) above;

(ii)any contributions paid to it by a [F164type 1 medical practitioner]; and

(iii)any contributions paid to it by a locum practitioner.

(16) It shall be a function of the host F165... Board to pay the contributions—

(a)paid to it by a [F166type 1 medical practitioner] or locum practitioner;

(b)paid to it by another employing authority;

(c)it is liable to pay by virtue of sub-paragraphs (8)(b) and (10)(b),

in accordance with the provisions of this paragraph, to the Secretary of State not later than the 19th day of the month following the month in which the earnings were paid.

(17) [F167Sub-paragraph (17A) applies where, despite the provisions of this paragraph—

(a)a type 1 or type 2 practitioner, locum practitioner or non-GP provider has failed to pay [F168contributions payable pursuant to regulations D1, Q4, Q5, Q6, Q8 and Q10];

(b)a type 1 practitioner or non-GP provider has failed to pay D2(1) contributions; or

(c)an employing authority has failed to deduct [F169or pay to the Secretary of State contributions pursuant to regulations D1, Q4, Q5, Q6, Q8 and Q10].

(17A) The Secretary of State may recover the amount of any unpaid contributions referred to in sub-paragraph (17)—

(a)where an employing authority has ceased to exist and paragraph (a) of that sub-paragraph applies, by adding the amount of those unpaid contributions to the amount of D1 contributions the practitioner or non-GP provider in question is due to pay to the host Board: that practitioner or non-GP provider is to record that amount of those unpaid contributions in a certificate referred to in paragraph 23 of this Schedule; or

(b)by deduction from any payment of a benefit to, or in respect of, the member entitled to that benefit: [F170such a deduction may only be made where the Secretary of State has notified the member of an intention to do so].

(17B) The provisions of sub-paragraph (17A) are without prejudice to any other method of recovery the Secretary of State may have.]

[F171(17C) Notwithstanding regulation R1 and regulation D2(1), contributions payable by an employing authority in respect of a GP Provider or non-GP Provider under these Regulations and any administration charge or interest under regulation T9 payable in respect of them, are not payable by the National Health Service Commissioning Board or a relevant Local Health Board but are—

(a)payable by that GP Provider or non-GP Provider where that Provider is a sole Provider, or

(b)payable by the practice where the provider is a GP Provider or non-GP Provider.]

[F172(18) For the purposes of this paragraph—

(a)“D1 contributions” means contributions payable under regulation D1 by a practitioner [F173, a locum practitioner] or, as the case may be, a non-GP provider under this Section of the scheme;

(b)“D2(1) contributions” means contributions payable under regulation D2(1) by an employing authority in respect of a practitioner [F173, a locum practitioner] or, as the case may be, a non-GP provider.]]]

Textual Amendments

Normal retirement pensionE+W+S

11.—(1) In the case of members who are or have been practitioners, regulation E1 (normal retirement pension) is modified so that the yearly rate of a member’s pension—

(a)in respect of officer service, will be equal to 1/80th of final year’s pensionable pay for each complete year of service, plus the relevant daily proportion for each additional day (as described in that regulation); and

(b)in respect of practitioner service will be equal to 1.4 per cent. of the member’s uprated earnings.

[F174(2) In respect of —

(a)any scheme year prior to the 2008-2009 scheme year, the member’s uprated earnings have been uprated in the manner determined by the Secretary of State having consulted such professional organisations as the Secretary of State considered appropriate;

(b)the 2008-2009 scheme year and any later scheme year, the member’s uprated earnings are to be calculated by uprating the member’s pensionable earnings by the amount of the annual increase due under the provisions of the Pensions (Increase) Act 1971 and section 59 of the Social Security Pensions Act 1975, plus 1.5 per cent annually.

(3) Nothing in this paragraph shall be taken to require the Secretary of State to revisit the calculation of uprated earnings referred to in sub-paragraph (2)(a).]

Textual Amendments

[F175Practitioners with benefits from both practitioner and officer serviceE+W+S

11A.—(1) A member—

(a)who has at least two years' qualifying service or in respect of whom a transfer payment has been made to [F176this Section of] the scheme in respect of his rights under a personal pension scheme;

(b)who ceases to be in officer service while continuing in practitioner service; and

(c)whose officer service is not treated as practitioner service under paragraph 9(5A) or (6A),

shall be entitled to receive a separate pension and retirement lump sum in respect of his officer service.

(2) A member—

(a)who has at least two years' qualifying service or in respect of whom a transfer payment has been made to [F176this Section of] the scheme in respect of his rights under a personal pension scheme; and

(b)who ceases, or who ceased before 1st April 2003, to be in practitioner service while continuing in officer service on or after that date,

shall be entitled to receive a separate pension and retirement lump sum in respect of such of his pensionable service as is specified in sub-paragraph (3).

(3) The pensionable service specified for the purposes of sub-paragraph (2) is—

(a)any practitioner service; and

(b)any officer service which falls to be treated as practitioner service under paragraph 9.

(4) Subject to sub-paragraph (5), the amount of any pension or retirement lump sum which a member is entitled to receive under sub-paragraph (1) or (2) shall be the same as the amount of the pension or retirement lump sum which the member would have been entitled to receive under these Regulations if he had left pensionable employment on the day on which he ceased to be in officer service or, as the case may be, ceased to be in practitioner service.

(5) A member who is entitled to a pension and retirement lump sum under sub-paragraph (2) shall, if it would be more favourable to him, be treated as having continued in practitioner service until the last day of his pensionable employment.]

[F177(6) A member who, before commencing the member’s final period of practitioner service, has service as an officer (whether that service as an officer consists of a separate period of such service or two or more such periods), and—

(a)that officer service is preceded by an earlier period of practitioner service, and

(b)some or all of the officer service is not concurrent with practitioner service,

shall, if it would be more favourable, be entitled to receive a separate pension and retirement lump sum for such part of that officer service that is not concurrent with the member’s practitioner service.

(7) The amounts of the pension and retirement lump sum referred to in sub-paragraph (6)—

(a)shall be subject to a 1.5% increase for each whole year or part of a year within the increment period,

(b)that increase shall be applied in like manner and at the same intervals as an increase applied to a pension under the Pensions (Increase) Act 1971, and

(c)that increase shall be effective immediately before the pension and lump sum become payable under these Regulations.

(8) The increment period referred to in sub-paragraph (7) shall—

(a)begin with the day immediately following the day on which the member’s service as an officer referred to in sub-paragraph (6) ceased for the last time, and

(b)end with the day immediately before the pension and retirement lump sum become payable under these Regulations.]

Textual Amendments

Early Retirement Pension (ill–health)E+W+S

12.—(1) In the case of members who are or have been practitioners, [F178regulations E2 and E2A are] modified so that, if the member satisfies the requirements for a pension based on pensionable service that is increased under any of paragraphs (4) to (6) of [F179regulation E2 or paragraphs (4) to (6) of regulation E2A]—

(a)the member’s total pensionable service will be increased as described in whichever of those paragraphs applies;

(b)the length of the member’s officer service and practitioner service will each be increased by the proportion by which the member’s total pensionable service is increased; and

(c)for the purpose of calculating the member’s pension in respect of practitioner service, the member’s uprated earnings will then be increased by the same proportion as the member’s practitioner service is increased under paragraph (b).

(2) For the purposes of sub–paragraph (1), “total pensionable service" includes both officer service and practitioner service but does not include any period of additional service that the member buys under regulation Q1 (right to buy additional service).

[F180(3) Regulation E2A is modified so that the definition of “regular employment of like duration” in paragraph (18) of that regulation means such employment as the Secretary of State considers would involve a similar level of engagement in the member’s current pensionable service as a practitioner.]

Textual Amendments

Early retirement pension (employer’s consent)E+W+S

F18113.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F182Lump sum on member’s death in pensionable employment or after pension becomes payableE+W+S

14.—(1) In the case of members who die in pensionable employment as practitioners, regulation F1 (lump sum payable on member’s death in pensionable employment) is modified so that, in relation to the member’s employment as a practitioner, the reference to final year’s pensionable pay in regulation F1(2) is treated as a reference to—

(a)in the case of a member who is required to pay contributions under regulation D1(4), the yearly average of the member’s uprated earnings at the date of death, or

(b)in the case of a member who is no longer required to pay contributions under regulation D1(4), the yearly average of the member’s uprated earnings on the member’s last day of pensionable service.

(2) In the case of members who die after a pension under [F183this Section of] the scheme in respect of practitioner service becomes payable, regulation F2 (lump sum payable on member’s death after pension becomes payable) is modified so that, in relation to the member’s employment as a practitioner, the reference to final year’s pensionable pay in regulation F2(2) is treated as a reference to the yearly average of the member’s uprated earnings on the member’s last day of pensionable service.]

Textual Amendments

[F184Widows, widowers or surviving civil partners] pension on member’s death in pensionable employmentE+W+S

15.  In the case of members who die in pensionable employment as practitioners, regulation G2 (widow’s pension on member’s death in pensionable employment) is modified so that the reference, in regulation G2(2), to the rate of the member’s pensionable pay when he died is treated, in relation to the member’s employment as a practitioner, as a reference to the average rate of the member’s pensionable earnings during the last complete quarter before the member died.

Textual Amendments

Increased widower’s pensionE+W+S

16.  In the case of female members who made a nomination under regulation G8 (dependent widowers pension) or an elction under regulation G9 (increased widower’s pension), those regulations are modified so that the lump sum payable on the member’s retirement will be reduced by 2.8 per cent. of uprated earnings for each complete year of practioner service before 25th March 1972, and by 1.4 per cent. of uprated earnings for each complete year after 24th March 1972, plus, in each case, the relevant daily proportion for each additional day.

[F185Increased surviving civil partner’s pensionE+W+S

16A.  In the case of a civil partner who made a nomination under regulation G11 (dependent surviving civil partner’s pension) or an election under G13 (increased surviving civil partner’s pension) those regulations are modified so that the lump sum payable on the member’s retirement will be reduced by 1.96 per cent of uprated earnings for each complete year of practitioner service plus the relevant daily proportion for each additional day.]

Textual Amendments

[F186Increased dependent surviving nominated partner’s pensionE+W+S

16B.  In the case of a member who made a nomination under regulation G15 (dependent surviving nominated partner’s pension) that regulation is modified so that the lump sum payable on the member’s retirement will be reduced by 1.96 per cent of uprated earnings for each complete year of practitioner service before 6 April 1988 plus the relevant daily proportion for each additional day.

Textual Amendments

Increased surviving partner pensionE+W+S

16C.  In the case of a member who made an election under regulation G17 (increased surviving partner’s pension) that regulation is modified so that the lump sum payable on the member’s retirement will be reduced by 1.96 per cent of uprated earnings for each complete year of practitioner service before 6 April 1988 plus the relevant daily proportion for each additional day.]

Textual Amendments

[F187Child allowance—member dies in pensionable employmentE+W+S

17.  In the case of members who die in pensionable employment as practitioners—

(a)paragraphs (4C), (4D), (6) and (7) of regulation H3 (member dies in pensionable employment) are modified so that the references to the rate of the member’s pensionable pay when he died is treated, in relation to the member’s employment as a practitioner, as references to the average rate of the member’s pensionable earnings during the last complete quarter before the member died;

(b)paragraphs (10) and (12) of that regulation is modified so that the reference to the member’s final year’s pensionable pay when he died is treated as a reference to the yearly average of the member’s uprated earnings at the date of death.]

Textual Amendments

[F188Preserved pensionE+W+S

17A.  Regulation L1 is modified so that the definition of “regular employment of like duration” in paragraph (14) of that regulation means such employment as the Secretary of State considers would involve a similar level of engagement to the member’s pensionable service as a practitioner immediately before that service ceased.]

Textual Amendments

Transfers from other pension arrangementsE+W+S

18.—(1) In the case of members who are practitioners, regulations N1 (member’s right to transfer accrued rights to benefits to [F189this Section of] the scheme) and N4 (transfers in respect of more than one member) are modified so that, if a transfer payment is accepted in respect of the member’s rights under another occupational pension scheme, a personal pension scheme,or a buy–out policy, the benefits in respect of the transfer payment will be calculated as described in this paragraph.

(2) The benefits in respect of the transfer payment will be calculated by increasing the member’s pensionable earnings for the financial year in which the member joined [F189this Section of] the scheme (or the financial year in which the transfer payment is received, if the payment is received more than 12 months after the member joined [F189this Section of] the scheme).

(3) The amount of the increase referred to in sub–paragraph (2) will be calculated by—

(a)treating the member as entitled to a period of officer service equal to the period of employment that qualified the member for the rights in respect of which the transfer payment is being made;

(b)calculating the final year’s pensionable pay that would have given rise to a cash equivalent, in respect of that officer service under regulation M3 (amount of member’s cash equivalent) equal to the amount of the transfer payment; and

(c)increasing the member’s pensionable earnings by an amount equal to the pensionable pay that the member would have received during that period of officer service if the member’s pensionable pay had been equal to the final year’s pensionable pay mentioned in paragraph (b) throughout that period.

(4) For the purposes of sub–paragraph (3), the final year’s pensionable pay mentioned in paragraph (b) will be calculated in a manner that is consistent with the actuarial methods and assumptions referred to in—

(a)regulation N2 (transfers made under the Public Sector Transfer Arrangements) where the transfer payment is made under the Public Sector Transfer Arrangements; or

(b)regulation N3 (transfers that are not made under the Public Sector Transfer Arrangements) in any other case.

(5) The upper limit on a dental practitioner’s pensionable earnings under paragraph 8 (limit on pensionable earnings — dental practitioners) will not apply to any increase in a member’s pensionable earnings under this paragraph.

Textual Amendments

Members absent from workE+W+S

19.—(1) In the case of members who are practitioners, regulations P1 and P2 (absence from work) are modified so that the references to pensionable pay in regulations P1(3) and P2(3) are treated, in relation to the member’s employment as a practitioner, as references to pensionable earnings.

(2) [F190Subject to sub-paragraph (8), regulation P1] is further modified so that, if a member’s earnings in respect of employment as a practitioner are reduced during a period of absence from work by reason of illness or injury, the member’s pensionable earnings will be calculated as described in sub–paragraphs (4) and (5) below (instead of on the basis of the member’s earnings immediately before the absence started).

(3) [F191Subject to sub-paragraph (8), regulation P1] is further modified so that, if a member’s earnings in respect of employment as a practitioner cease during a period of absence from work by reason of illness or injury, the member will be treated as continuing in pensionable employment for a period of 12 months from the date on which the member’s earnings ceased and the member will not be treated as having left pensionable employment in accordance with regulation P1(4) until the end of that 12 month period. During the 12 month period, the member’s pensionable earnings will be calculated as described in sub–paragraphs (4) and (5) below.

(4) If the member is one of a number of practitioners who have elected as described in paragraph 4(2) above, each practitioner’s pensionable earnings will be calculated as if the partnership’s aggregate pensionable earnings were equal to the amount of the partnership’s aggregate pensionable earnings during the 12 month period ending immediately before the member’s earnings were reduced or ceased.

(5) Except where the member’s pensionable earnings fall to be calculated as described in sub– paragraph (4), the member will be treated as having continued to receive the same average rate of pensionable earnings as during the 12 month period ending immediately before his earnings were reduced or ceased.

F192(6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F193(7) Regulations P1 and P2 and the previous sub-paragraphs do not apply in the case of locum practitioners.]

[F194(8) Before a calculation of a member’s pensionable earnings can be made in accordance with sub-paragraphs (4) and (5), written notice of the length of the absence must be given to the Secretary of State by—

(a)the member, where the member is a type 1 practitioner or a non-GP provider; or

(b)in all other cases, the National Health Service Commissioning Board or relevant Local Health Board.

(9) The notice referred to in sub-paragraph (8) must be provided to the Secretary of State in such form and manner as the Secretary of State may stipulate from time to time.]

Textual Amendments

Right to buy additional service and unreduced retirement lump sumE+W+S

20.—(1) In the case of members who are practitioners, regulations Q1 (right to buy additional service), Q2 (right to buy unreduced retirement lump sum) Q4 and Q5 (paying by single payment) and Q6 (paying by regular additional contributions) are modified so that the cost of buying additional service and unreduced retirement lump sum and the benefits in respect of any additional service bought under regulation Q1 are calculated as described in this paragraph.

(2) Regulation Q1 is modified so that, if the member elects to pay for additional service by a single payment, the benefits in respect of the additional service will be calculated by increasing the member’s pensionable earnings for the financial year in which the member elects to buy the additional service.

(3) The amount of the increase referred to in sub–paragraph (2) will be calculated using the formula—

where— “relevant earnings" means the amount of remuneration by reference to which the amount of the single payment was calculated; and

“additional service bought" means the period of additional service that the member chooses to buy, calculated in complete years with a relevant daily proportion for each additional day.

(4) Regulation Q1 is further modified so that, if the member chooses to pay for additional service by regular additional contributions, the benefits in respect of the additional service will be calculated by increasing the member’s pensionable earnings for the year in which the member stops paying those contributions.

(5) The amount of the increase referred to in sub–paragraph (4) will be calculated using the formula—

where— “relevant uprated earnings" means the yearly average of the part of the member’s uprated earnings that is attributable to the period during which the member paid regular additional contributions; and

“additional service bought" means the period of additional service that the member chooses to buy, calculated in complete years with a relevant daily proportion for each additional day.

(6) Regulation Q4(4) and (5) is modified so that, for the purposes of Table 1 of Schedule 1, “remuneration" means, subject to sub–paragraph (7) below, the yearly average of a member’s uprated earnings in respect of practitioner service before the date on which the employing authority receives notice in writing, on the form provided, exercising the member’s right to buy additional service. For the purpose of this calculation, any officer service that is treated as practitioner service by virtue of paragraph 9 (officer service treated as practitioner service) will be ignored.

(7) If, when the employing authority receives a notice exercising a right to buy additional service, the member has not been in practitioner service for a complete quarter, “remuneration" will be calculated by reference to the member’s uprated earnings at the end of the member’s first complete quarter in practitioner service.

(8) Regulation Q6(5) is modified so that, if the member elects to pay for additional service or unreduced retirement lump sum by regular additional contributions, the contributions will be calculated as a percentage of pensionable earnings (instead of pensionable pay), in accordance with Table 3 of Schedule 1 (if the member is buying additional service) or Table 4 of Schedule 1 (if the member is buying an unreduced retirement lump sum).

(9) The upper limit on a dental practitioner’s pensionable earnings under paragraph 8 (limit on pensionable earnings–dental practitioners) shall not apply to any increase in a member’s pensionable earnings under this paragraph.

Members doing more than one jobE+W+S

21.—(1) In the case of members who are practitioners, Regulation R4 (members doing more than one job) is modified as described in this paragraph in relation to any practitioner who is in concurrent employment as an officer.

(2) A practitioner who opts not to contribute to [F195this Section of] the scheme in respect of his employment as a practitioner may, nevertheless, participate in [F195this Section of] the scheme in respect of concurrent employment as an officer.

(3) Regulation R4(2) is modified so that a practitioner may participate in [F195this Section of] the scheme in respect of concurrent whole–time or part–time employment as an officer, even if he also participates in [F195this Section of] the scheme in respect of employment as a practitioner.

(4) For the purposes of paragraph 12 (early retirement pension on grounds of ill–health), any amount by which a member’s service in respect of concurrent employments exceeds the period during which the member carried on those employments will be ignored for the purpose of calculating the member’s total pensionable service.

(5) If a transfer payment is accepted in respect of a member who is contributing to [F195this Section of] the scheme in respect of employment as a practitioner and concurrent employment as an officer, the member may elect whether the benefits in respect of the transfer payment should be calculated as described in regulations N1 to N3 or as described in paragraph 18 (transfers from other pension arrangements).

Textual Amendments

Reduction of pension on return to NHS employmentE+W+S

22.—(1) In the case of members who are or have been practitioners, regulation S2 (reduction of pension on return to NHS employment) is modified as described in this paragraph.

(2) Regulation S2(14) is modified so that—

(a)“pay" means the amount of pensionable earnings received by the member, for any financial year, from NHS employment (or what would have been his pensionable earnings had he been in pensionable employment);

(b)“previous pay" means the average of the annual amounts of the member’s uprated earnings in respect of practitioner service (or service which is treated as practitioner service).

(3) In the case of a practitioner who becomes entitled to receive, simultaneously, a pension under [F196this Section of] the scheme in respect of both officer service and practitioner service, the member’s previous pay in respect of his practitioner service shall be increased by the amount of his previous pay in respect of his officer service.

(4) In the case of a practitioner who becomes entitled to receive a pension under [F196this Section of] and who holds a continuing employment otherwise than as a practitioner, previous pay will be increased by the annual rate of pay of the continuing employment.

(5) This sub–paragraph applies where a practitioner becomes entitled to receive a pension under [F196this Section of] the scheme and in the 12 months preceding the date on which he became so entitled, held concurrent pensionable employment as an officer.

(6) Where sub–paragraph (5) applies and the concurrent pensionable employment terminated before the pension became payable, previous pay in relation to the practitioner service shall be increased as described in sub–paragraph (7).

(7) For the purposes of sub–paragraph (6), previous pay shall be increased by the annual rate of pay in respect of the concurrent pensionable employment mentioned in that sub–paragraph or, if higher, that part of the pensionable pay for that employment which falls within the 12 months period mentioned in sub–paragraph (5).

Textual Amendments

[F197Benefits on death in pensionable employment after pension becomes payableE+W+S

22A.  The following provisions are modified so that the reference to the member’s rate of pensionable pay when he dies is treated as a reference to the average rate of the member’s pensionable earnings during the last complete quarter before the member died—

(a)paragraphs (7) and (12) of regulation S4 (benefits on death in pensionable employment after pension under regulation E2 becomes payable); and

(b)paragraphs (10) and (15)(a) of regulation S4A (benefits on death in pensionable employment after pension under regulation E2A becomes payable).]

Textual Amendments

[F198Accounts and actuarial reportsE+W+S

23.—(1) In the case of members who are practitioners or non-GP providers, regulation U3 (accounts and actuarial reports) is modified as described in this paragraph.

(2) In respect of each scheme year, a type 1 medical practitioner and a non-GP provider shall provide each relevant host F199... Board with a certificate [F200that correctly records the totality] of their pensionable earnings based on—

(a)the accounts drawn up in accordance with generally accepted accounting practice by the practice of which the member is a member; and

(b)the return that member has made to Her Majesty’s Revenue and Customs in respect of their earnings for that year,

no later than 1 month after the date on which that return was required to be submitted to Her Majesty’s Revenue and Customs.

(3) In respect of each scheme year, a type 2 medical practitioner and a locum practitioner shall provide each relevant host F201... Board with a certificate [F202that correctly records the totality] of their pensionable earnings based on—

(a)the payments they receive from employing authorities for practitioner services, and

(b)the return that member has made to Her Majesty’s Revenue and Customs in respect of their earnings for that year,

no later than 1 month after the date on which that return was required to be submitted to Her Majesty’s Revenue and Customs.

[F203(4) Within 1 month of the end of each financial year, a host F204... Board must give to each—

(a)GDS or PDS contractor with which that host F204... Board is a party to a GDS contract or a PDS agreement, a notice which sets out, in accordance with the host F204... Board’s records, the amount of the pensionable earnings ceiling and the amount of the pensionable earnings the contractor has paid to every type 1 dental practitioner who has performed services under that contract or agreement during that financial year (“an annual reconciliation notice”); and

(b)type 1 dental practitioner referred to in (a), a notice which sets out the amount of pensionable earnings each practitioner has been paid for that financial year as indicated in the host F204... Board’s records (“a performer’s notice”).

(5) Within 3 months of the end of each financial year the GDS or PDS contractor must return the annual reconciliation notice to the host F205... Board stating—

(a)that the amounts referred to in sub-paragraph (4)(a) are correct or, where either or both of those amounts are incorrectly shown in the notice, the correct figure or figures;

(b)in the case of a type 1 dental practitioner whose earnings, during the period covered by the annual reconciliation notice, are not pensionable because they fall within paragraph 3(2A)(b) of this Schedule, the earnings that would otherwise have been pensionable if that paragraph did not apply;

(c)the amount of any monthly seniority payments, maternity leave payments, paternity leave payments, adoption leave payments, parental leave payments or sickness leave payments paid under the contract or agreement during the financial year;

(d)the amount of pensionable earnings the contractor has paid to each type 1 dental practitioner under the contract or agreement during the financial year;

(e)whether each type 1 dental practitioner who performed services under the contract or agreement referred to in sub-paragraph (4)(a) was given the opportunity to verify the pensionable earnings declared for them in the annual reconciliation notice; and

(f)the name and dentist’s reference number of any type 1 dental practitioner who—

(i)failed to verify; or

(ii)disagrees with,

the amounts declared for them in the annual reconciliation notice and, where paragraph (ii) applies, the reason for the disagreement.

(6) Within 3 months of the end of each financial year, each type 1 dental practitioner who performed services under the contract or agreement referred to in sub-paragraph (4)(a) must return the performers’ notice to the host F206... Board, stating—

(a)that they were (or were not, as the case may be) in pensionable employment for the period covered by the performer’s notice;

(b)that they were (or were not, as the case may be) directly employed by the contractor referred to in sub-paragraph (4)(a) during the period covered by the performer’s notice;

(c)in the case of a practitioner, who was in pensionable employment during the period covered by the notice, the pensionable earnings they received under the contract or agreement during that period;

(d)in the case of a practitioner whose earnings, during the period covered by the performer’s notice, fell within paragraph 3(2A)(b) of this Schedule, the earnings that would otherwise have been pensionable if that paragraph did not apply;

(e)the amount of any monthly seniority payments, maternity leave payments, paternity leave payments, adoption leave payments, parental leave payments or sickness leave payments received by the practitioner under the contract or agreement during the financial year; and

(f)whether the practitioner and contractor have together verified that any amounts the practitioner has declared in respect of sub-paragraph (6)(c), (d) or (e) are the same as the equivalent amounts declared in the annual reconciliation notice referred to in sub-paragraph (5).

(7) Within 3 months of the end of each financial year, a type 2 dental practitioner must provide the host F207... Board with whom their employer has entered into a GDS contract or a PDS agreement, with a notice of their pensionable earnings based on—

(a)the payments they have received from their employer for practitioner services provided under that GDS contract or PDS agreement during that financial year; and

(b)the pensionable earnings they have received, as a type 2 dental practitioner, from all other type 2 dental practitioner sources during that financial year.

(8) An employing authority may, in exceptional circumstances, and with the agreement of the Secretary of State, arrange or agree a different time limit for the issue and return of the certificates, notices or statements referred to in sub-paragraphs (2) to (7) and may, if a material particular has changed, accept a replacement.

(9) Subject to sub-paragraph (10), an annual reconciliation notice will be invalid if—

(a)it contains information that the employing authority’s records show is inaccurate or misleading in a material particular;

(b)subject to sub-paragraph (8), it is not received within the specified time limit;

(c)the total of the amounts specified in it in respect of each type 1 dental practitioner that performed services under the contract or agreement referred to in sub-paragraph (4)(a) is greater than the aggregate of the pensionable earnings ceiling referred to in sub-paragraph (4)(a) and the amount referred to in sub-paragraph 5(c);

(d)it is incomplete in any material particular; or

(e)one or more of the practitioners referred to in it did not, for whatever reason, verify the earnings figure the contractor has declared for them.

(10) Where an employing authority has received an annual reconciliation notice which is valid for some or all of the practitioners listed in it, the amounts notified to that employing authority for the financial year to which the notice relates will, subject to sub-paragraphs (16), (17) and (18), be the pensionable earnings for those practitioners.

(11) Where an employing authority has received an annual reconciliation notice which is invalid for some or all of the practitioners listed in it, the pensionable earnings for those practitioners for the financial year to which the notice relates will be—

(a)zero, where the employing authority’s records show that value or the authority is unable to estimate the value of the practitioner’s pensionable earnings; or

(b)the figure that the employing authority estimates will represent that practitioner’s share of the aggregate of the pensionable earnings ceiling referred to in sub-paragraph 4(a) and the amount referred to in sub-paragraph (5)(c) (“the maximum amount”), less the difference between—

(i)that maximum amount, and

(ii)the total of the monthly amounts in respect of which estimated contributions to this Section of the scheme under regulation D1 (contributions by members) were paid on account during the financial year to which the earnings relate,

but if the total mentioned in sub-paragraph (ii) is greater than the maximum amount, then no amount is to be deducted pursuant to this sub-paragraph.

(12) In respect of each scheme year, each employing authority and GDS or PDS contractor shall provide the [F208host Board and the Secretary of State with a statement of estimated contributions due under regulations D1, D2, Q6 and Q8] estimated pensionable earnings in respect of any—

(a)non-GP provider that is a GMS or PMS practice or an APMS contractor who assists in the provision of NHS services provided by that GMS or PMS practice or APMS contractor;

(b)type 1 medical practitioner who performs medical services as, or on behalf of, the practice or contractor;

(c)type 2 medical practitioner employed by the practice or contractor;

(d)type 1 dental practitioner who performs services under a GDS contract or a PDS agreement, or

(e)type 2 dental practitioner employed or engaged to perform services under a GDS contract or a PDS agreement.

(13) In respect of each scheme year, each employing authority and GDS or PDS contractor shall, in respect of type 2 medical or dental practitioners employed or engaged by the practice or contractor, provide the Secretary of State with an end-of-year statement of—

(a)pensionable earnings;

(b)contributions to this Section of the scheme made under regulation D1 (contributions by members) and the modifications to that regulation referred to in paragraph 10 of this Schedule;

(c)contributions to this Section of the scheme made under regulation D2 (contributions by employing authorities) and the modifications to that regulation referred to in paragraph 10 of this Schedule; and

(d)any pensionable earnings deemed in accordance with regulation P1 (absence because of illness or injury or certain types of leave) and the modifications to that regulation referred to in paragraph 19 of this Schedule.

(14) The Secretary of State shall be provided with—

(a)the statement referred to in sub-paragraph (12) at least 1 month before the beginning of that scheme year;

(b)the statement referred to in sub-paragraph (13) no later than 3 months after the end of that scheme year.

[F209(15) No later than 13 months after the end of each scheme year, each employing authority, GDS contractor and PDS contractor must forward to the Secretary of State a copy of the records referred to in regulation U3(3) and (4).]

[F210(16) A member’s pensionable earnings for a scheme year shall be zero and no contributions paid in respect of that scheme year are to be refunded where, in respect of that scheme year, a practitioner or non-GP Provider has failed to comply with the requirements of—

(a)whichever of sub-paragraphs (2), (3), (5), (6) or (7) applies to that member, or

(b)sub-paragraph (2) of paragraph 2.

This is subject to sub-paragraphs (17) and (18).]

(17) If, in respect of a scheme year, the employing authority of a practitioner or non-GP provider member is in possession of a figure representing all or part of that member’s pensionable earnings for that year, the Secretary of State may treat that figure as the amount of that member’s pensionable earnings for that year where—

(a)that member has failed to comply with the requirements of whichever of sub-paragraphs (2), (3), (5), (6) or (7) applies to them, and

(b)a benefit in respect of that member’s service as a practitioner or non-GP provider is payable to, or in respect of them, under these Regulations.

(18) If, in respect of a scheme year, a practitioner or non-GP provider—

(a)dies without complying with the requirements of whichever of sub-paragraphs (2), (3), (5), (6) or (7) applies to them; or

(b)is, in the opinion of the Secretary of State, unable to look after their own affairs by reason of illness or lack of capacity within the meaning of the Mental Capacity Act 2005,

the Secretary of State may require that practitioner’s or non-GP provider’s personal representatives or person (or persons) duly authorised to act on the member’s behalf to provide the relevant certificate, notice or statement within the period specified in sub-paragraph (19).

(19) The period is—

(a)that referred to in whichever of sub-paragraphs (2), (3), (5), (6) or (7) was or is applicable to them; or

(b)such other period as the Secretary of State permits.

(20) The certificates, notices and statements referred to in this paragraph—

(a)shall be in such form as the Secretary of State shall from time to time require;

(b)may be provided to the Secretary of State in such manner as the Secretary of State may from time to time permit.]]

Textual Amendments

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