National Insurance (Non-participation—Assurance of Equivalent Pension Benefits) Regulations 1960

Part IV U.K. Consecutive and Concurrent Employments

Conditions for treating two employments as a single continuous employment U.K.

10.—(1) For the purpose of paragraph (b) of subsection (4) of section 9 of the Act of 1959 (which paragraph provides for prescribing the period within which a person, on the coming to an end of service in one non-participating employment, must enter another non-participating employment, if the two employments are to be treated as a single continuous employment as provided by that subsection) the prescribed period shall be until the end of the assurance period relating to the previous employment.

(2) The provisions of the said subsection (4) (which provides that, for the purpose of any liability to make a payment in lieu of contributions, two employments are in certain cases to be treated as a single continuous employment) shall not apply, save in a case where both employments are under the same employer, unless the certificate described in regulation 11 is given and delivered in accordance with that regulation.

(3) Paragraph (c) of the said subsection (4) (which requires that service in the previous employment is service qualifying a person for equivalent pension benefits under the recognised superannuation scheme relating to his new employment) shall not apply in any case where—

(a) the previous employment and the new employment are both employments of any class to which section 12 of the Act of 1959 (which relates to certain statutory superannuation schemes) applies, and are in different such classes; and

(b) the appropriate Minister has in each case by regulations under subsection (1) of the said section 12 directed that elections with a view to the issue, variation, cancellation or surrender of certificates under Part II of the Act of 1959 shall be made and revoked by him instead of by the employer; and

(c) certificates under the said Part II relating to those employments have been issued to the appropriate Ministers and remain in force, and the recognised superannuation schemes by virtue of which those certificates were issued were established by or under the enactments specified in the Second Schedule to the Act of 1959 in the entries relating respectively to the previous employment and the new employment; and

(d) such provision is made by those schemes (including provision by the scheme relating to the new employment for taking into account in any manner the service in the previous employment) that, were they to be treated as together constituting a single recognised superannuation scheme relating to both employments, the provisions of the said paragraph (c) would be satisfied.

(4) Where two or more employments are treated as a single continuous employment by virtue of the foregoing paragraph, the reference in paragraph (1) of regulation 7 to the appropriate recognised superannuation scheme shall include a reference to a recognised superannuation scheme relating to a previous employment making such provision as falls to be taken into account under sub-paragraph (d) of the foregoing paragraph, and the provisions of regulation 7 and the Schedule shall apply subject to the necessary modifications.

Modifications etc. (not altering text)

C1 Reg. 10 modified (6.4.1975) by The National Insurance (Non-participation—Transitional Provisions) Regulations 1974 (S.I. 1974/2057), reg. 1(1), Sch. 3

Certificate to be furnished for the purpose of section 9(4) of the Act of 1959 U.K.

11.—(1) Where in any case the provisions of paragraphs (a), (b), (c) and (d) of subsection (4) of section 9 of the Act of 1959 are satisfied or, if the provisions of paragraph (c) of the said subsection do not apply by virtue of paragraph (3) of regulation 10 of these regulations, the provisions of paragraphs (a), (b) and (d) of the said subsection (4) are satisfied, the certificate described in the following provisions of this regulation shall, save in a case where both employments are under the same employer and the same recognised superannuation scheme relates to both [F1 or where the Minister has given a direction to the contrary under regulation 11A,], be given and delivered in accordance with those provisions.

(2) Subject to the provisions of the next following [F2 regulations], the certificate referred to in the foregoing paragraph shall be given by the responsible paying authority of the recognised superannuation scheme relating to the new employment and shall contain the following particulars—

(a) the period of service in the previous employment (including any earlier employment treated as continuous therewith under subsection (4) of section 9 of the Act of 1959);

(b) the equivalent pension benefits for which the service in the previous employment qualifies the person employed under the recognised superannuation scheme relating to the new employment (or if paragraph (3) of regulation 10 applies, under the recognised superannuation schemes relating to both employments) and the manner in which it so qualifies him, and, where the qualification is contingent on the like assumptions in relation to his new employment as are to be made under subsections (2) and (3) of section 8 of the Act of 1959, what those assumptions are; and

(c) if that scheme is a non-statutory scheme, the manner in which the provisions of paragraph (b) of subsection (4) of section 8 of the Act of 1959 (which contains conditions under which a scheme or arrangement, other than one established by Act of Parliament or of the Parliament of Northern Ireland or other instrument having the force of law, is a recognised superannuation scheme) are satisfied in relation to those benefits.

F3 (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) A certificate as provided in paragraph (1) of this regulation shall be given by the responsible paying authority to the employer in the previous employment not later than the end of the assurance period relating to the previous employment, and that employer shall deliver it to the Minister and a copy thereof to the insured person not later than the end of that period.

Textual Amendments

F1 Words in reg. 11(1) inserted (31.7.1961) by The National Insurance (Non-participation-Assurance of Equivalent Pension Benefits) Amendment Regulations, 1961 (S.I. 1961/1378), regs. 1, 5(2)

F2 Word in reg. 11(2) substituted (31.7.1961) by The National Insurance (Non-participation-Assurance of Equivalent Pension Benefits) Amendment Regulations, 1961 (S.I. 1961/1378), regs. 1, 5(2)

F3 Reg. 11(3) omitted (31.7.1961) by virtue of The National Insurance (Non-participation-Assurance of Equivalent Pension Benefits) Amendment Regulations, 1961 (S.I. 1961/1378), regs. 1, 5(3)

Modifications etc. (not altering text)

C2 Reg. 11 modified (6.4.1975) by The National Insurance (Non-participation—Transitional Provisions) Regulations 1974 (S.I. 1974/2057), reg. 1(1), Sch. 3

[F4 Exemption from duty to give notice of end of employment or certificate under regulation 11 U.K.

11A.   Where, apart from this regulation, a certificate is required to be given and delivered under regulation 11, the Minister may, where either–

(a) the recognised superannuation scheme relating to the new employment is a statutory scheme; or

[F5 (aa) the recognised superannuation scheme relating to the previous employment is a statutory scheme and the provisions of section 9(4)(c) of the Act of 1959 are satisfied by virtue of either-

(i) rules made under section 2 of the Superannuation (Miscellaneous Provisions) Act 1948 (pensions of persons transferring to different employment); or

(ii) regulation 78 of the National Health Service (Superannuation) Regulations 1961 or regulation 76 of the National Health Service (Superannuation) (Scotland) Regulations 1961 (rights on transfer to other employment); or]

(b) both employments are under the same employer, but the same recognised superannuation scheme does not relate to both; or

(c) the same recognised superannuation scheme relates to both employments, but the previous employment and the new employment are under different employers;

by a direction in writing in such cases as he may direct and subject to such conditions as he may impose exempt the employer in the previous employment from his duty to give a notice of the end of that employment under regulation 4 or (whether so exempting that employer or not) dispense with or modify the requirements of regulation 11 concerning the giving and delivery of a certificate thereunder.]

Textual Amendments

F4 Reg. 11A inserted (31.7.1961) by The National Insurance (Non-participation-Assurance of Equivalent Pension Benefits) Amendment Regulations, 1961 (S.I. 1961/1378), regs. 1, 6

F5 Reg. 11A(aa) inserted (6.1.1964) by The National Insurance (Non-participation-Assurance of Equivalent Pension Benefits) Amendment (No.2) Regulations 1963 (S.I. 1963/1988), regs. 1, 7

Modifications etc. (not altering text)

C3 Reg. 11A modified (6.4.1975) by The National Insurance (Non-participation—Transitional Provisions) Regulations 1974 (S.I. 1974/2057), reg. 1(1), Sch. 3

Payments in lieu of contributions in cases of double employment under the same employer U.K.

12.—(1) Notwithstanding that at the end of a person's service in a non-participating employment he is not assured of equivalent pension benefits in respect of it, no payment in lieu of contributions shall be payable in respect of it if at all times during his period of service in that employment he was serving also in some other non-participating employment under the same employer, being an employment in which he continues to serve after the end of that period or in respect of which he is or was at the end of his service in it assured of equivalent pension benefits.

(2) Where on the coming to an end of a person's service in a non-participating employment a payment in lieu of contributions becomes payable in respect of it, but during part of his period of service in that employment he was serving also in some other such non-participating employment as aforesaid under the same employer, then that part of the period shall not be taken into account in fixing the amount of the payment or the graduated contributions attributable to it.

(3) Where under paragraph (2) of this regulation part only of a person's period of service in an employment is to be taken into account in fixing the amount of any payment in lieu of contributions in respect of that service, then that part only of the service shall be taken into account for the purpose of paragraph (c) of subsection (4) of section 9 of the Act of 1959.

(4) Where on the coming to an end of a person's service in a non-participating employment he continues to serve in another non-participating employment under the same employer, subsection (4) of section 9 of the Act of 1959 shall apply as it applies where a person enters a new employment on the coming of an end of his previous employment (the reference in sub-paragraph (c) of that subsection to the new employment being construed for this purpose as referring to the continuing employment).

Payments in lieu of contributions in cases of double employment under different employers U.K.

13.—(1) Where during any period a person serves at the same time in two non-participating employments under different employers, and after the coming to an end of his service in one of the employments a payment in lieu of contributions becomes payable on the coming to an end of his service in the other, then (subject to paragraph (3) of this regulation) subsection (3) of section 7 of the act of 1959 shall apply as respects that payment as if in relation to contribution weeks beginning in that period the reference in paragraphs (a) and (b) to contributions payable by the insured person were omitted (and the graduated contributions he is to be treated under that subsection as having paid shall be reduced accordingly).

(2) Where paragraph (1) of this regulation has effect to reduce a payment in lieu of contributions, then for the purpose of any right of recovery or retainer under section 10 of the Act of 1959 in respect of that payment the period referred to in the said paragraph (1) shall be deemed not to have been taken into account in fixing the amount of the payment.

(3) A payment in lieu of contributions in respect of service in any employment shall not be reduced under this regulation by reference to any period of service in another employment, if paragraph (1) of regulation 12 applies to prevent the making of a payment in lieu of contributions in respect of the service in the other employment, or if paragraph (2) of that regulation applies to prevent that period being taken into account in fixing the amount of such payment.

Application of section 9(4) of the Act of 1959 in cases of double employment U.K.

14.—(1) Where (by reason of a person's serving at the same time in two non-participating employments under different employers) subsection (4) of section 9 of the Act of 1959 may apply so as to treat a previous employment under one of the employers as a single continuous employment with each of those two employments, then the said subsection (4) shall apply so as to treat the previous employment as a single continuous employment only with that one of the said two employments which is under the employer in that previous employment or, if the employers so agree and give the Minister notice of their agreement, only with the other of those two employments.

(2) For the purpose of paragraph (1) of this regulation, where on the coming to an end of a person's service in any employment he enters another employment within the period prescribed for the purpose of the said subsection (4) in paragraph (1) of regulation 10, he shall be treated as having served in the new employment from the coming to an end of the previous employment.

Payment in lieu of contributions where two employments end simultaneously U.K.

15.  Where a person's service in two non-participating employments comes to an end simultaneously, and in respect of his service in one or both he is not assured of equivalent pension benefits, then regulations 12 and 13 of these regulations shall apply as if his service in one had come to an end immediately before that in the other, and—

(a) if he is assured of equivalent pension benefits in respect of his service in one, that service shall be treated as coming to an end the earlier; and

(b) if not, the service to be so treated shall be that which the employer or employers concerned may select or which, in default of such a selection, the Minister may in his discretion think fit.