The National Health Service Pension Scheme Regulations 1995 No. 300

Statutory Instruments

1995 No 300

NATIONAL HEALTH SERVICE, ENGLAND AND WALES

The National Health Service Pension Scheme Regulations 1995

Made

8th February 1995

Laid before Parliament

10th February 1995

Coming into force

6th March 1995

The Secretary of State for Health, in exercise of her powers under sections 10(1), (2) and (3) and 12(1) and (2) of, and Schedule 3 to, the Superannuation Act 1972M1 and of all other powers enabling her in that behalf, after consulting such representatives of persons likely to be affected by these Regulations as appear to her to be appropriateM2 , and with the consent of the TreasuryM3 , hereby makes the following Regulations—

Marginal Citations

M1 1972 c.11. Section 10(1)(a) was amended by Schedule 5 to the National Health Service Reorganisation Act 1973 (c.32)

M2 Seesection 10(4) of the Superannuation Act 1972.

M3 Seesection 10(1) of the Superannuation Act 1972 and article 2 of the Transfer of Functions (Minister for Civil Service and Treasury) Order 1981 (S.I. 1981/1670).

PART A E+W+S Preliminary

Citation and commencement E+W+S

A1.—(1) These Regulations may be cited as the National Health Service Pension Scheme Regulations 1995.

(2) These Regulations come into force on 6th March 1995.

Interpretation E+W+S

A2.  In these Regulations—

• “the previous regulations” means the National Health Service (Superannuation) Regulations 1980 M4 ;

• [F1 “the 1977 Act” means the National Health Service Act 1977;]

• [F2 “the 1993 Act” means the Pension Schemes Act 1993;]

• [F3 “1997 Act” means the National Health Service (Primary Care) Act 1997]

• [F2 “the 1999 Act” means the Welfare Reform and Pensions Act 1999;]

• [F4 “the 2004 Act” means the Finance Act 2004;]

• [F5 “additional services”, with regard to—

  (a)

  a GMS practice—

  (i)

  in relation to England, has the meaning given in regulation 2(1) of the GMS Contracts (England) Regulations (interpretation);

  (ii)

  in relation to Wales, has the meaning given in regulation 2(1) of the GMS Contracts (Wales) Regulations (interpretation), or

  (b)

  any other performer or provider of primary medical services, means services which, if provided by a GMS practice, would be additional services within the meaning given in regulation 2(1) of those Regulations;

• “APMS contract” means arrangements under section 16CC(2)(b) of the 1977 Act (primary medical services) between a Primary Care Trust or Local Health Board and an APMS contractor;

• “APMS contractor” means a person with whom a Primary Care Trust or Local Health Board has made arrangements under section 16CC(2)(b) of the 1977 Act, but only if that person is also a person who has entered into, or would be eligible to enter into, a GMS contract or a PMS agreement for the provision of primary medical services;]

• F6 ...

• F7 ...

• [F5 “bank holiday” means any day that is specified or proclaimed as a bank holiday, pursuant to section 1 of the Banking and Financial Dealings Act 1971;]

• “buy–out policy” means a policy of insurance or annuity contract that is appropriate for the purposes of section 19 of the Pension Schemes Act 1993 M5 (extinguishment of liability of scheme for pensions secured by insurance policies or annuity contracts) and satisfies any requirements of the Inland Revenue and “buy out” shall be construed accordingly;

• [F5 “CCT” means Certificate of Completion of Training awarded under article 8 of the General and Specialist Medical Practice (Education, Training and Qualifications) Order 2003, including any such certificate awarded in pursuance of the competent authority functions of the Postgraduate Medical Education and Training Board specified in article 20(3)(a) of that Order;]

• “cash equivalent” is to be construed in accordance with Chapter IV of Part IV of the Pension Schemes Act 1993;

• [F5 “certification services” means –

  (a)

  in relation to England, services related to the provision of medical certificates listed in Schedule 4 to the GMS Contracts (England) Regulations (list of prescribed medical certificates);

  (b)

  in relation to Wales, services related to the provision of medical certificates listed in Schedule 4 to the GMS Contracts (Wales) Regulations (list of prescribed medical certificates);]

• “contracting–out requirements” means the requirements mentioned in section 9(2) of the Pension Schemes Act 1993;

• [F5 “core hours” means the period beginning at 8am and ending at 6:30pm on any day from Monday to Friday except Good Friday, Christmas Day or bank holidays;]

• F6 ...

• F6 ...

• [F4 “dental performers list” means a list of dental practitioners prepared in accordance with regulations made under section 28X of the 1977 Act (persons performing primary medical and dental services);]

• F6 ...

• F6 ...

• [F4 “dentist performer” means a dental practitioner whose name is included in a dental performers list and who performs primary dental services under—

  (a)

  a GDS contract;

  (b)

  a PDS agreement to which a PDS contractor is a party; or

  (c)

  a contract for services with a Primary Care Trust or a Local Health Board which relates to arrangements under which it provides primary dental services under—

  (i)

  section 16CA(2) of the 1977 Act (primary dental services), or

  (ii)

  a PDS agreement to which a PDS contractor is not a party,

  except that a vocational trainee who is undertaking vocational training and is in the first two months of that training need not have his name included in a dental performers list in order to be a dentist performer;]

• “dependent child” is to be construed in accordance with regulation H1;

• [F5 “dispensing services” means the provision of drugs, medicines or appliances that may be provided as pharmaceutical services by a registered medical practitioner in accordance with arrangements made under regulation 20 of the National Health Service (Pharmaceutical Services) Regulations 1992 (arrangements for the provision of pharmaceutical services by doctors);]

• “employing authority” means—

  (za)

  [F8 a Strategic Health Authority established under section 8 of the National Health Service Act 1977;]

  (a)

  [F9 a Health Authority established under section 8 of the National Health Service Act 1977;

  (aa)

  a Special Health Authority established under section 11 of that Act;]

  (b)

  F10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  (bb)

  [F11 a Primary Care Trust established under section 16A of that Act;]

  (bbb)

  [F12 a Local Health Board established under section 16BA of that Act,]

  (c)

  a National Health Service trust established under section 5 of the National Health Service and Community Care Act 1990 M6 , F13 ...

  (cc)

  [F14 an NHS foundation trust within the meaning of section 1(1) of the Health and Social Care (Community Health and Standards) Act 2003,]

  (d)

  any other body that is constituted under an Act relating to health services and which the Secretary of State agrees to treat as an employing authority for the purposes of the scheme [F15 , F16 ...]

  (e)

  F17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

  (f)

  [F18 a person who is providing piloted services;]

  (g)

  [F19 an OOH provider,

  (h)

  an APMS contractor,

  (i)

  a GMS practice,

  (j)

  a PMS practice;]

• [F5 “enhanced services”, with regard to—

  (a)

  a GMS practice, has the meaning given in regulation 2(1) of the GMS Contracts Regulations, or

  (b)

  any other performer or provider of primary medical services, means services which, if provided by a GMS practice, would be enhanced services within the meaning given in regulation 2(1) of those Regulations,

• “essential services” means the services described in regulation 15(3), (5), (6) and (8) of the GMS Contracts Regulations (whether provided by a GMS practice, a PMS practice or an APMS contractor);]

• “final year’s pensionable pay” has the meaning given in regulation C1(6);

• [F4 “GDS contract” means a general dental services contract under section 28K of the 1977 Act (general dental services contracts: introductory);

• “GDS contractor” means a person who is a party to a GDS contract, other than a Primary Care Trust or a Local Health Board;]

• [F5 “GMS contract” means—

  (a)

  in relation to England, a contract under section 28Q of the 1977 Act or under article 13 of the General Medical Services Transitional and Consequential Provisions Order 2004 (entitlement to a contract under section 176(3) of the 1977 Act);

  (b)

  in relation to Wales, a contract under section 28Q of the 1977 Act or under article 13 of the General Medical Services Transitional and Consequential Provisions (Wales) Order 2004 (entitlement to a contract under section 176(3) of the 1977 Act);

• “the GMS Contracts (England) Regulations” means the National Health Service (General Medical Services Contracts) Regulations 2004;

• “the GMS Contracts (Wales) Regulations” means the National Health Service (General Medical Services Contracts) (Wales) Regulations 2004;

• “GMS practice” means—

  (a)

  a registered medical practitioner,

  (b)

  two or more individuals practising in partnership, or

  (c)

  a company limited by shares,

  with whom a Primary Care Trust or Local Health Board has entered into a GMS contract;

• “GP performer” means a registered medical practitioner, other than a trainee practitioner or a locum practitioner, whose name is included in a medical performers list and who performs essential services, additional services, enhanced services, dispensing services, collaborative services, commissioned services, OOH services or certification services (or a combination thereof)—

  (a)

  under a GMS contract, PMS agreement or APMS contract,

  (b)

  on behalf of an OOH provider, or

  (c)

  under a contract of service or for services with a Primary Care Trust or a Local Health Board which relates to arrangements [F20 under which it provides primary medical] services—

  (i)

  under section 16CC(2)(a) of the 1977 Act (primary medical services),

  (ii)

  under section 28C arrangements made between a Primary Care Trust or a Local Health Board and a Strategic Health Authority;

• “GP provider” means a GP performer who is—

  (a)

  a GMS practice, a PMS practice or an APMS contractor,

  (b)

  a partner in a partnership that is a GMS practice, a PMS practice or an APMS contractor, or

  (c)

  a shareholder in a company limited by shares that is a GMS practice, PMS practice or APMS contractor,

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

• “GP trainer” means a registered medical practitioner who is—

  (a)

  until the coming into force for all purposes of article 4(5)(d) of the General Specialist Medical Practice (Education, Training and Qualifications) Order 2003, approved as a GP Trainer by the Joint Committee on Postgraduate Training for General Practice under regulation 7 of the National Health Service (Vocational Training for General Medical Practice) Regulations 1997, or

  (b)

  from the coming into force for all purposes of that article, approved by the Postgraduate Medical Education and Training Board under article 4(5)(d) of the 2003 Order for the purposes of providing training to a GP Registrar under article 5(1)(c)(i);]

• “guaranteed minimum pension” means guaranteed minimum pension, or accrued rights to guaranteed minimum pension, under section 14 of the Pension Schemes Act 1993;

• [F5 “health care professional” means a person who is a member of a profession regulated by a body mentioned in section 25(3) of the National Health Service Reform and Health Care Professions Act 2002;]

• [F21 “the health service” has the meaning given in section 128(1) of the 1977 Act;]

• “health service scheme” has the meaning given in regulation R8(1);

• [F5 “host Trust or Board”—

  (a)

  in respect of a non-GP provider who is—

  (i)

  a partner in a partnership—

  (aa)

  that is a GMS practice;

  (bb)

  that has entered into a PMS agreement or is an APMS contractor that has entered into an APMS contract for the provision of primary medical services;

  (ii)

  a shareholder in a company limited by shares that is a GMS practice or a PMS practice or an APMS contractor that has entered into a PMS agreement or APMS contract for the provision of primary medical services;

  (iii)

  an individual who is a PMS practice or an APMS contractor,

  means the Primary Care Trust or Local Health Board with which that partnership (in the case of (i)), company (in the case of (ii)) or practice or contractor (in the case of (iii)) has entered into an agreement or contract referred to in those provisions;

  (b)

  in respect of a [F22 registered medical] practitioner, means the Primary Care Trust or Local Health Board on whose medical performers list his name appears;]

• [F23 “locum practitioner” has the meaning given in paragraph 1 of Schedule 2;]

• [F4 “lump sum rule” has the meaning given in section 166 of the 2004 Act;

• “lump sum death benefit rule” has the meaning given in section 168 of the 2004 Act;]

• [F24 “medical performers list” means a list of registered medical practitioners prepared and published by a Primary Care Trust pursuant to regulation 3(1) of the National Health Service (Performers Lists) Regulations 2004 (performers lists) or by a Local Health Board pursuant to regulation 3(1) of the National Health Service (Performers Lists) (Wales) Regulations 2004 (performers lists);]

• F7 ...

• “member”, except where the context otherwise requires, means a person who is in pensionable service under the scheme or a person who has been in such service and in respect of whom benefits under the scheme are, or will become, payable;

• “mental health officer” has the meaning given in regulation R3(14);

• [F25 “NHS dental employee” means an individual who is not a practitioner and who, in connection with the provision of dental health services in the health service, is employed under a contract of service by—

  (a)

  a Strategic Health Authority;

  (b)

  a National Health Service trust;

  (c)

  a NHS foundation trust;

  (d)

  a Primary Care Trust; or

  (e)

  a Local Health Board;]

• [F26 “NHS employee” has the meaning given in section 2(3) of the 1997 Act;]

• “NHS employment” means employment with an employing authority;

• [F5 “non-GP provider” means—

  (a)

  a partner in a partnership that is a GMS practice who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that he assists in the provision of NHS services provided by that practice;

  (b)

  a partner in a partnership—

  (i)

  all of whose members have entered into a PMS agreement for the provision of primary medical services, but

  (ii)

  who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that he assists in the provision of NHS services provided by that partnership;

  (c)

  a partner in a partnership that is an APMS contractor—

  (i)

  that has entered into an APMS contract for the provision of primary medical services, but

  (ii)

  who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that he assists in the provision of NHS services provided by that partnership;

  (d)

  a shareholder in a company limited by shares that is—

  (i)

  a GMS practice, or

  (ii)

  a PMS practice or APMS contractor that has entered into a PMS agreement or APMS contract for the provision of primary medical services,

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

  (e)

  an individual who is a PMS practice or an APMS contractor but who is not a GP provider and who demonstrates to the satisfaction of the Secretary of State that he participates in the provision of NHS services;]

• [F2 “normal benefit age”, in relation to the scheme, means the age of 60;]

• [F4 “normal minimum pension age” has the meaning given in section 279 of the 2004 Act;]

• [F25 “occupational pension scheme” means an occupational pension scheme within the meaning of section 1 of the Pension Schemes Act 1993 which—

  (a)

  in the case of such a scheme established on, or after, the 6th April 2006 is a registered pension scheme for the purposes of the 2004 Act and which the Secretary of State agrees to recognise as a transferring scheme for the purposes of regulations M and N;

  (b)

  in the case of such a scheme established before that date, was—

  (i)

  approved by the Commissioners for Her Majesty’s Revenue and Customs for the purposes of Chapter I of Part XIV of the Income and Corporation Taxes Act 1988 (retirement benefits schemes) or whose application for approval under that Chapter was under consideration,

  (ii)

  a statutory scheme as defined in section 612(1) of the Income and Corporation Taxes Act 1988 (interpretation), or

  (iii)

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

  and on 6th April 2006 became a registered pension scheme for the purposes of the 2004 Act.]

• “officer” means a person [F27 other than a GP performer] employed by an employing authority;

• [F5 “OOH provider” shall be construed in accordance with regulation A3;

• “OOH services” means services which are required to be provided in the out of hours period and which, if provided during core hours by a GMS practice to patients to whom the practice is required by its GMS contract to provide essential services, would be or would be similar to essential services;]

• “opting–out” and related expressions are to be construed in accordance with regulation B4;

• [F5 “out of hours period” means—

  (a)

  the period beginning at 6:30pm on any day from Monday to Thursday and ending at 8am the following day,

  (b)

  the period between 6:30pm on Friday and 8am the following Monday, and

  (c)

  Good Friday, Christmas Day and bank holidays;]

• “pay period” means, in the case of an officer, the period in respect of which each payment of salary or wages is made in accordance with the officer’s contract of employment and, in the case of a practitioner, any period of three months ending on the last day of March, June, September or December;

• [F4 “PDS agreement” means section 28C arrangements under which primary dental services are provided;

• “PDS contractor” means a person who is a party to a PDS agreement who is neither a Primary Care Trust, nor a Strategic Health Authority, nor a Local Health Board;]

• [F2 “pension credit” means a credit under section 29(1)(b) of the 1999 Act and includes a credit under corresponding Northern Ireland legislation;

• “pension credit benefit” has the meaning given by section 101B of the 1993 Act;

• “pension credit member” has the meaning given by section 124(1) of the Pensions Act 1995;

• “pension credit rights” has the meaning given by section 101B of the 1993 Act;

• “pension sharing order or provision” means an order or provision which is mentioned in section 28(1) of the 1999 Act;]

• “pensionable employment” means NHS employment in respect of which the member contributes to the scheme;

• “pensionable pay” has the meaning given in regulation C1;

• “pensionable service” has the meaning given in regulation C2;

• F6 ...

• [F28 “personal medical services” has the meaning given in section 1(8) of the 1997 Act;]

• [F25 “personal pension scheme” means a personal pension scheme which—

  (a)

  in the case of such a scheme established on, or after, 6th April 2006 is a registered pension scheme for the purposes of the 2004 Act and which the Secretary of State agrees to recognise as a transferring scheme for the purposes of regulations M and N;

  (b)

  in the case of a scheme established before that date, was—

  (i)

  approved by the Commissioners for Her Majesty’s Revenue and Customs for the purposes of Chapter IV of Part XIV of the Income and Corporation Taxes Act 1988 (personal pension schemes), and

  (ii)

  on the 6th April 2006 became a registered pension scheme for the purpose of the 2004 Act;]

• F6 ...

• F29 ...

• F6 ...

• [F5 “PMS agreement” means section 28C arrangements under [F30 which primary medical services are provided] or a transitional agreement under Part 4 of the General Medical Services and Personal Medical Services Transitional and Consequential Provisions Order 2004;

• “PMS practice” means—

  (a)

  an individual,

  (b)

  two or more individuals practising in partnership, or

  (c)

  a company limited by shares,

  with whom or with whose members a Primary Care Trust or Local Health Board has entered into a PMS agreement under which primary medical services are provided (otherwise than by the Primary Care Trust or Local Health Board);]

• [F24 “practice staff” means a person (other than [F31 a registered medical practitioner, a trainee practitioner] or a non-GP provider) employed by a GMS practice, a PMS practice, an APMS contractor or an OOH provider to assist in the provision of the services it provides;]

• [F32 “practitioner” means—

  (a)

  [F33 a registered medical practitioner, other than a trainee practitioner, who is a locum practitioner, a GP provider or a GP performer;]

  (b)

  [F34 a dentist performer;]]

• “preservation requirements” means the requirements of Chapter I of Part IV of the Pension Schemes Act 1993 relating to the preservation of benefits under occupational pension schemes;

• F6 ...

• [F4 “protected pension age” means the pension age provided for in Part 3 of Schedule 36 to the 2004 Act for the purposes of that Part (which deals with pre-commencement benefit rights and the right to take benefit before normal minimum pension age) where the conditions specified in that Part are satisfied;]

• “Public Sector Transfer Arrangements” means the arrangements applying to certain public sector and other schemes under which a common basis for transfer payments is applied by the scheme and those other participating schemes;

• “quarter” means a 3 month period ending on the last day of March, June, September or December;

• “qualifying service” has the meaning given in regulation C3;

• F6 ...

• “relevant daily proportion” means 1/365th of the amount that would apply in respect of one year;

• “remuneration” is defined, for the purposes of Tables 1 and 2 of Schedule 1, in regulations Q4(4) and (5) (paying for additional service by single payment) and Q5(4) and (5) (paying for unreduced retirement lump sum by single payment);

• [F2 “safeguarded percentage” has the meaning given by section 68A(3) of the 1993 Act;

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

• “scheme”, except where the context otherwise requires, means the National Health Service Pension Scheme for England and Wales, the rules of which are set out in these Regulations;

• [F5 “section 28C arrangements” means arrangements for the provision of services made under section 28C of the 1977 Act (personal medical or dental services);]

• “special class officer” means a member to whom regulation R2 (special provision for certain nurses, physiotherapists, midwives and health visitors) applies or to whom regulation R3 (special provision for certain mental health officers) applies;

• “specialist” means a consultant [F35 , other than a nurse consultant, or a] senior hospital medical officer or senior hospital dental officer;

• “State pension age” means age 65 for a man and age 60 for a woman;

• “temporary additional session” has the meaning given in regulation R7(3) and (4);

• [F24 “trainee practitioner” means a GP Registrar and “GP Registrar” means a medical practitioner who is being trained in general practice by—

  (a)

  until the coming into force for all purposes of article 4(5)(d) (in relation to England) and article 5 (in relation to Wales) of the General Specialist Medical Practice (Education Training and Qualifications) Order 2003, a general medical practitioner who—

  (i)

  has been approved for that purpose by the Joint Committee on Postgraduate Training for General Practice under regulation 7 of the National Health Service (Vocational Training for General Medical Practice) Regulations 1997, and

  (ii)

  performs primary medical services, and

  (b)

  from the coming into force for all purposes of that article—

  (i)

  in relation to England, a general medical practitioner who is approved under that article for the purpose of providing training under article 5(1)(c)(i) of the 2003 Order, whether as part of training leading to the award of a CCT or otherwise;

  (ii)

  in relation to Wales, a medical practitioner who is being trained in general practice by a GP trainer whether as part of training leading to the award of CCT or otherwise;]

• [F4 “type 1 dental practitioner” means a dentist performer who is not a type 2 dental practitioner;

• “type 1 medical practitioner” means a GP provider who is not a type 2 medical practitioner;

• “type 1 practitioner” means a type 1 dental practitioner or a type 1 medical practitioner;

• “type 2 dental practitioner” means—

  (a)

  a vocational trainee who is employed by a GDS or PDS contractor; or

  (b)

  a dentist performer with a contract for services with a Primary Care Trust or Local Health Board which relates to arrangements under which the Trust or Board provides primary dental services under—

  (i)

  section 16CA(2) of the 1977 Act (primary dental services), or

  (ii)

  a PDS agreement to which a PDS contractor is not a party;

• “type 2 medical practitioner” means a GP performer who—

  (a)

  is not a GP provider, and—

  (i)

  is employed (whether under a contract of service or for services) by a GMS practice, a PMS practice, an APMS contractor, an OOH provider, a Primary Care Trust or a Local Health Board, and

  (ii)

  in that employment is engaged wholly or mainly in assisting his employer in the discharge of the employer’s duties as a GMS practice, a PMS practice, an APMS contractor, an OOH provider, a Primary Care Trust or a Local Health Board; or

  (b)

  is participating in a Doctors' Retainer Scheme;

• “type 2 practitioner” means a type 2 dental practitioner or a type 2 medical practitioner; and]

• [F2 “valuation day” means the day referred to in section 29(7) of the 1999 Act.]

• [F4 “vocational trainee” means a dentist performer who is employed as a vocational trainee as a consequence of a placement arrangement made by a local postgraduate dental dean or a director of postgraduate dental education;]

Textual Amendments

F1 Words in reg. A2 inserted (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 3(1)

F2 Words in reg. A2 inserted (1.5.2001) by The National Health Service (Pension Scheme and Additional Voluntary Contributions) (Pension Sharing) Amendment Regulations 2001 (S.I. 2001/1428), reg. 1, Sch. 1 para. 1

F3 Words in reg. A2 inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 3(a)

F4 Words in reg. A2 inserted (1.4.2006 for specified purposes, 6.4.2006 in so far as not already in force) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(b), 2(3)

F5 Words in reg. A2 inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(b)

F6 Words in reg. A2 omitted (1.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 2(2)

F7 Words in reg. A2 omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(a)

F8 Words in reg. A2 inserted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), reg. 1, Sch. 1 para. 62(2)(a) (with reg. 2(3)(4))

F9 Words in reg. A2 substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 3(b)(i)

F10 Words in reg. A2 omitted (1.4.2000) by virtue of The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 3(b)(ii)

F11 Words in reg. A2 inserted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 3(b)(iii)

F12 Words in reg. A2 inserted (with effect from 10.2.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), regs. 1(1)(2), 3(1)(3)(a)

F13 Word in reg. A2 revoked (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 3(2)(a)

F14 Words in reg. A2 inserted (1.4.2004) by The Health and Social Care (Community Health and Standards) Act 2003 (Supplementary and Consequential Provision) (NHS Foundation Trusts) Order 2004 (S.I. 2004/696), art. 1(1)(b), Sch. 1 para. 16(2)(a)

F15 Word and comma in reg. A2 substituted for semicolon (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 3(2)(b)

F16 Word in reg. A2 revoked (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 3(b)(i)

F17 Words in reg. A2 omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(c)(i)

F18 Words in reg. A2 inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 3(b)(iii)

F19 Words in reg. A2 added (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(c)(ii)

F20 Words in reg. A2 substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 2(4)(a)

F21 Words in reg. A2 inserted (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 3(b)

F22 Words in reg. A2 inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 2(4)(b)

F23 Words in reg. A2 inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 1(b) (with reg. 3)

F24 Words in reg. A2 substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(d)

F25 Words in reg. A2 substituted (1.4.2006 for specified purposes, 6.4.2006 in so far as not already in force) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a)(b), 2(5)

F26 Words in reg. A2 inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 3(d)

F27 Words in reg. A2 inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(e)

F28 Words in reg. A2 inserted (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 3(e)

F29 Words in reg. A2 revoked (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 3(f)

F30 Words in reg. A2 substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 2(4)(c)

F31 Words in reg. A2 substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 2(4)(d)

F32 Words in reg. A2 substituted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 1(a) (with reg. 3)

F33 Words in reg. A2 substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 2(f)

F34 Words in reg. A2 substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 2(4)(e)

F35 Words in reg. A2 inserted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 3(e)

Marginal Citations

M4 S.I. 1980/362 as amended by S.I. 1981/1205, 1982/288, 1765, 1985/39, 1987/2218, 1989/804, 1991/584.

M5 1993 c.48.Seealso section 81 of that Act.

M6 1990 c.19.

[F36 Approved Out of Hours providers E+W+S

A3.— (1) For the purposes of these Regulations, an “OOH provider” is—

(a) a company limited by guarantee (which is not otherwise an employing authority)—

(i) in which all the members of the company are registered medical practitioners, APMS contractors, GMS practices or PMS practices, and the majority of those members are—

(aa) APMS contractors, GMS practices or PMS practices whose APMS contracts, GMS contracts or PMS agreements require them to provide OOH services, or

(bb) registered medical practitioners who are partners or shareholders in an APMS contractor, a GMS practice or a PMS practice which is a partnership or a company limited by shares and which is required to provide OOH services under its GMS contract, PMS agreement or APMS contract,

(ii) which has a contract with a Primary Care Trust, a Local Health Board, an APMS contractor or a GMS or PMS practice for the provision of OOH services, and

(iii) in respect of which a Primary Care Trust or Local Health Board appointed by the Secretary of State or the National Assembly of Wales to act on his or its behalf—

(aa) is satisfied that the provision of OOH services by the company is wholly or mainly a mutual trading activity,

(bb) is satisfied that the company has met all the conditions for being an OOH provider in this regulation; and

(cc) has, pursuant to a written application made by the company to it for that purpose, approved the company as an employing authority; or

(b) some other body corporate (which is not otherwise an employing authority) which—

(i) operates in the interests of those who are the recipients of the primary medical services it provides or of the general public,

(ii) operates on a not-for-profit basis,

(iii) is not an associated company in relation to another person,

(iv) has memorandum or articles or rules that—

(aa) prohibit the payment of dividends to its members,

(bb) require its profits (if any) or other income to be applied to promoting its objects, and

(cc) require all the assets which would otherwise be available to its members generally to be transferred on its winding up either to another body which operates on a not-for-profit basis and whose purpose is to provide health or social care for the benefit of the community or to another body the objects of which are the promotion of charity and anything incidental or conducive thereto,

(v) has at least one member who is—

(aa) an APMS contractor, a GMS practice or a PMS practice,

(bb) a partner in a partnership that is an APMS contractor, a GMS practice or a PMS practice, or

(cc) a shareholder in a company limited by shares that is an APMS contractor, a GMS practice or a PMS practice,

(vi) has a contract with a Primary Care Trust or Local Health Board, an APMS contractor, a GMS practice or a PMS practice, for the provision of OOH services, and

(vii) is approved as an employing authority by a Primary Care Trust or Local Health Board appointed by the Secretary of State to act on his behalf—

(aa) pursuant to a written application made by the body to it for that purpose, and

(bb) that Trust or Board being satisfied that the body has met all the conditions for being an OOH provider in this regulation.

(2) For the purposes of paragraph (1)(b)(iii), a body corporate is to be treated as another person’s “associated company” if that person has control of it, except where that person is an employing authority; and for these purposes a person shall be taken to have control of a body corporate if he exercises, or is able to exercise, or is entitled to acquire, direct or indirect, control over its affairs.

(3) A company limited by guarantee or other body corporate which provides or is to provide OOH services and which wishes to be approved as an employing authority shall make a written application to a Primary Care Trust or Local Health Board appointed by the Secretary of State to act on his behalf (“the appointed Trust or Board”).

(4) An application referred to in paragraph (3) may specify the date from which approval by the appointed Trust or Board (if given) shall have effect (“the nominated date”).

(5) Where, before 30th June 2005—

(a) a company limited by guarantee or other body corporate makes an application which contains a nominated date earlier than the date on which approval is subsequently given (“the approval date”); and

(b) the appointed Trust or Board is satisfied that, throughout the period beginning with the nominated date and ending with the approval date, the company or other body corporate has satisfied the conditions for approval,

that approval shall be treated as having been given on the nominated date.

(6) Where, before 30th June 2005—

(a) a company limited by guarantee or other body corporate makes an application which contains a nominated date later than the approval date; and

(b) the appointed Trust or Board is satisfied that the company or other body corporate will satisfy the conditions for approval at that later date,

that approval shall take effect on the nominated date.

(7) Where, on or after 30th June 2005, a company limited by guarantee or other body corporate makes an application and—

(a) the appointed Trust or Board is satisfied that the company or other body corporate meets the conditions for approval or will do so at any nominated date which is later than the approval date; and

(b) it approves that application,

that approval shall take effect on the later of the nominated date and the approval date.

(8) Where—

(a) paragraph (5) or (6) applies, NHS employment shall be treated as commencing on the nominated date;

(b) paragraph (7) applies, it shall be treated as commencing on the later of the nominated date (if any) and the approval date.

(9) For the purposes of this regulation—

(a) the conditions for approval are those referred to in paragraph (1)(a) or (b) as the case may be; and

(b) the “nominated date” cannot be a date earlier than 1st April 2004.

(10) The appointed Trust or Board may give an OOH provider a notice in writing terminating its participation in the scheme where that provider—

(a) does not have in force a guarantee, indemnity or bond as required by the Secretary of State in accordance with regulation D2(9);

(b) has ceased to satisfy the conditions for approval;

(c) has notified the Trust or Board that any one of the following events has occurred in respect of it—

(i) a proposal for a voluntary arrangement has been made or approved under Part I of the Insolvency Act 1986 (“the 1986 Act”),

(ii) an administration application has been made, or a notice of intention to appoint an administrator has been filed with the court, or an administrator has been appointed under Schedule B1 to the 1986 Act,

(iii) a receiver, manager, or administrative receiver has been appointed under Part III of the 1986 Act,

(iv) a winding-up petition has been presented, a winding-up order has been made or a resolution for voluntary winding-up has been passed under Part IV or Part V of the 1986 Act or an instrument of dissolution has been drawn up in accordance with section 58 of the Industrial and Provident Societies Act 1965, or

(v) notice has been received by it that it may be struck off the register of companies, or an application to strike it off has been made, under Part XX of the Companies Act 1985.

(11) An OOH provider—

(a) shall give the appointed Trust or Board notice in writing upon the occurrence of any of the events referred to in (10)(c) and shall give such notice on the same day as that event;

(b) that wishes to cease to participate in the scheme shall give the appointed Trust or Board and its employees not less than 3 months notice in writing (to commence with the date of the notice) of that fact.

(12) An OOH provider shall cease to participate in the scheme on—

(a) such date as the appointed Trust or Board may specify in a notice under paragraph (10);

(b) the day upon which the period referred to in paragraph (11)(b) expires where a notice under that sub-paragraph (b) has been given.]

Textual Amendments

F36 Reg. A3 inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 3

PART B E+W+S Membership

Membership of the scheme E+W+S

B1.—(1) Subject to regulation B2 (restrictions on membership), the following persons are eligible to join the scheme—

(a) officers; and

(b) medical and dental practitioners and trainee practitioners.

(2) Each eligible person will, on commencing NHS employment, be included in the scheme automatically, unless the person opts not to be included.

(3) A person who, on the coming into force of these Regulations, is not included in the scheme will not be included in the scheme automatically, but, if eligible, may join the scheme by applying on a form provided by the employing authority.

(4) A person who is included in the scheme may opt–out at any time in accordance with regulation B4 (opting–out of the scheme).

Restrictions on membership E+W+S

B2.  The following persons may not join the scheme—

(a) persons under the age of 16 or over the age of 70;

(b) special class officers over the age of 65;

(c) persons eligible to participate in a superannuation scheme established under [F37 section 1 or 9] of the Superannuation Act 1972 M7 ;

(d) persons who hold honorary appointments and do not at the same time hold any other employment which entitles them to join the scheme [F38 ;]

[F39 (e) a person, other than a practitioner, who is employed by a GDS or PDS contractor.]

Textual Amendments

F37 Words in reg. B2(c) substituted (1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2004 (S.I. 2004/665), regs. 1(1), 3(2)

F38 Reg. B2(d): semicolon substituted for full stop (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 4(1)

F39 Reg. B2(e) substituted for reg. B2(e)(f) (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 3

Marginal Citations

M7 1972 c.11.

Restriction on further participation in the scheme E+W+S

B3.—(1) Persons who cease to satisfy the conditions for eligibility for membership specified in regulations B1(1) and B2 may not contribute to or accrue further pensionable service under the scheme.

(2) Persons whose pensions under the scheme are payable may not contribute to or accrue further pensionable service under the scheme, except in the cases referred to in regulation E2(11) (further pensionable employment under the age of 50 after early retirement pension becomes payable on grounds of ill–health) and regulation R4(6) (further pensionable employment where early retirement pension becomes payable in respect of concurrent employment on grounds of redundancy).

Opting–out of the scheme E+W+S

B4.—(1) A person who does not wish to, or who no longer wishes to, participate in the scheme may opt–out of the scheme at any time by giving notice in writing to his employing authority and such person will be treated as having left pensionable employment on the date the notice takes effect.

[F40 (1A) Where, following an application under regulation A3(5) an OOH provider is approved as an employing authority, an employee of such a provider who does not wish to, or who no longer wishes to, participate in the scheme—

(a) may opt-out of it from any day falling within the period specified in paragraph (1B) by giving notice in writing (“an opt-out notice”) to that provider; and

(b) will be treated as having left pensionable employment on the date on which that notice takes effect.

(1B) That period—

(a) starts on the date on which NHS employment is treated as commencing under regulation A3(8); and

(b) ends on the date on which the opt-out notice is received by the OOH provider.

(1C) A notice referred to in paragraph (1A) must be given no later than one month from the end of the pay period in which the date on which approval of an application under regulation A3 falls.

(2) A notice—

(a) referred to in paragraph (1) shall take effect—

(i) from the first day of the pay period immediately following its receipt by the employing authority; or

(ii) where a later date is specified in the notice, from the first day of the day period following the pay period in which the specified date falls;

(b) referred to in paragraph (1A) shall take effect—

(i) from the first day of the pay period immediately following its receipt by the employing authority; or

(ii) where a date not earlier than the date on which NHS employment is treated as commencing under regulation A3(8) is specified in the notice, from that date.

(3) A person—

(a) who opts-out of the scheme under paragraph (1) before the end of the pay period during which the employing authority included that person in the scheme; or

(b) whose opt-out under paragraph (1A) takes effect in respect of that period,

shall be treated as never having been included in the scheme.]

(4) A notice under paragraph (1) will apply to any subsequent employment with the same employing authority.

(5) Subject to paragraph (6), a person who has opted–out of the scheme [F41 in accordance with paragraph (1)] may, if eligible to do so, join or rejoin the scheme by giving notice in writing to the employing authority and on so doing will be included in the scheme on the first day of the first pay period after the notice is received or such later date (which must be the first day of a pay period) as is specified in the notice.

[F42 (5A) Subject to paragraph (6), a person who has previously opted-out of the scheme in accordance with paragraph (1A) may, if eligible to do so, join or rejoin the scheme by giving notice in writing to the employing authority and on so doing shall be included in the scheme on—

(a) the first day of the first pay period after the notice to join or rejoin the scheme is received; or

(b) such other date, being—

(i) the first day of a pay period; and

(ii) no earlier than the first day of the pay period immediately following the pay period in which the opt-out notice referred to in paragraph (1A) (or the latest of them) took effect in accordance with paragraph (2),

as is specified in that notice.]

(6) A person who has opted–out may not join or rejoin the scheme during a period of absence from work for any reason.

(7) A person shall not be treated as having retired from pensionable employment by reason only of having opted–out of the scheme.

Textual Amendments

F40 Reg. B4(1A)-(3) substituted for reg. B4(2)(3) (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 4(2)

F41 Words in reg. B4(5) inserted after the words “opt-out of the scheme” (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 4(3)

F42 Reg. B4(5A) inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 4(4)

[F43 Opting into the scheme: mis-sold pensions E+W+S

B5.— (1) This regulation shall apply to a person who, during any period—

(a) was eligible to be an active member of the scheme;

(b) opted out of the scheme under regulation B4(1) and made contributions to a personal pension scheme; and

(c) has suffered loss as the result of a contravention which is actionable under section 62 of the Financial Services Act 1986 [F44 or section 150 of the Financial Services and Markets Act 2000].

(2) Where, at any time, a person to whom this regulation applies elects to join or rejoin the scheme under regulation B4(5), there shall, if the Secretary of State so determines, be counted as pensionable service in respect of that person a period equal to the aggregate of—

(a) his additional period of pensionable service as approved by the Secretary of State for the purposes of regulation N3A(2)(i); and

(b) his “transferred-out service”, if any, within the meaning of regulation N3A(5),

provided there has been paid to the Secretary of State in respect of that person a transfer payment calculated in accordance with regulation N3A.

(3) Where, at any time, a person to whom this regulation applies elects to join or rejoin the scheme under regulation B4(5) but dies in pensionable employment or becomes entitled to benefits under Part E of these Regulations before the transfer payment referred to in paragraph (2) has been paid to the Secretary of State in respect of him, paragraph (2) shall continue to apply in the case of that person.

(4) In this regulation—

“active member” means a person who is in pensionable employment under the scheme; and

“personal pension scheme” has the meaning given by section 1 of the Pension Schemes Act 1993 and includes—

(i)

a retirement annuity contract approved under Chapter III of Part XIV of the Income and Corporation Taxes Act 1988;

(ii)

a personal pension scheme approved under Chapter IV of Part XIV of the Income and Corporation Taxes Act 1988;

(iii)

a retirement benefits scheme approved under section 591(2)(g) of the Income and Corporation Taxes Act 1988.

(iv)

[F45 a scheme referred to in (i), (ii) or (iii) that obtained relevant approval under the Income and Corporation Taxes Act 1988 before 6th April 2006 and on that date became a registered scheme for the purpose of the 2004 Act;

(v)

a scheme established on, or after, 6th April 2006 as a registered scheme for the purpose of the 2004 Act and which the Secretary of State agrees to recognise as a transferring scheme for the purposes of regulations M and N.]]

Textual Amendments

F43 Reg. B5 added (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 3

F44 Words in reg. B5(1)(c) inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 483(2)

F45 Words in reg. B5(4) added (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 4

PART C E+W+S Pensionable pay, pensionable service and qualifying service

Meaning of “pensionable pay" and “final year’s pensionable pay" E+W+S

C1.— [F46 (1) In these Regulations, “pensionable pay” means, subject to the provisions of this regulation—

(a) all salary, wages, fees and other regular payments made to a member in respect of pensionable employment as an officer, but does not include bonuses, payments made to cover expenses or payments for overtime;

(b) pensionable earnings calculated in accordance with paragraph 3, or as the case may be, paragraph 4 of Schedule 2 in the case of a non-GP provider who does not receive any of the payments referred to above in respect of his pensionable employment as an officer by virtue of the application of these Regulations to him as if he were such an officer under regulation R1.]

(2) Subject to paragraph (3), any amount by which a member’s pensionable pay exceeds the permitted maximum will be ignored when calculating the amount of any contributions or benefits payable under these Regulations.

[F47 (3) In the case of a member who—

(a) joined the scheme before 1st June 1989 and has a break in pensionable employment on or after that date—

(i) any pensionable pay earned preceding the break in that employment in excess of the permitted maximum will not be ignored;

(ii) any pensionable pay earned after the break in that employment in excess of the permitted maximum will be ignored;

(b) joined the scheme before 1st June 1989 and to whom sub-paragraph (a) does not apply, pensionable pay in excess of the permitted maximum will not be ignored.]

[F48 (3A) Where a member who was eligible to be a member before 1st June 1989 joins the scheme on or after that date by virtue of being a person to whom regulation B5 applies, any amount by which that member’s pensionable pay exceeds the permitted maximum will not be ignored when calculating the amount of any contributions or benefits payable under these Regulations except in relation to a period following a break in pensionable employment on or after that date.]

(4) For the purposes of [F49 paragraphs (3) and (3A)], no account shall be taken of a break in pensionable employment if—

(a) the member returns to pensionable employment within 12 months after leaving;

(b) the break is due to the member’s secondment or posting to another employer and, at the time of the secondment or posting, the member has a definite expectation of returning to pensionable employment when the period of secondment or posting ends;

(c) the break is due to the member being engaged in other employment which is approved for this purpose by the Secretary of State;

(d) the break is due to the member’s unpaid absence from work and the member returns to pensionable employment within one month after returning to work; or

(e) the break corresponds to the member’s absence from work wholly or partly because of pregnancy or confinement and the member returns to work after the break in exercise of her right under Section 39(1) of the Employment Protection (Consolidation) Act 1978 M8 and returns to pensionable employment no later than one month after returning to work;

[F50 (f) the break is due to the member opting out of the scheme as the result of a contravention which is actionable under section 62 of the Financial Services Act 1986 [F51 or section 150 of the Financial Services and Markets Act 2000].]

(5) This regulation applies to a member in respect of whom a transfer payment has been accepted from a health service scheme in the same way as if the period of employment that qualified the member for benefits under the health service scheme had been pensionable employment.

(6) In these Regulations, “final year’s pensionable pay" means pensionable pay in respect of the member’s last year of pensionable employment, ending on the date the member ceases to be in such employment, or dies, whichever occurs first, except—

(a) if pensionable pay was greater in either or both of the 2 consecutive years immediately preceding the last year, “final year’s pensionable pay" means pensionable pay in respect of the year immediately preceding the last year or, if greater, pensionable pay in respect of the first of those 2 consecutive years; and

(b) if the member was in pensionable employment for less than 12 months, “final year’s pensionable pay" means—

(7) In this regulation, “the permitted maximum" means the same as in section 590C of the Income and Corporation Taxes Act 1988 (earnings cap) M9 .

Textual Amendments

F46 Reg. C1(1) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 5

F47 Reg. C1(3) substituted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(2)

F48 Reg. C1(3A) inserted (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 4(1)

F49 Words in reg. C1(4) substituted (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 4(2)(a)

F50 Reg. C1(4)(f) added (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 4(2)(b)

F51 Words in reg. C1(4)(f) inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 483(3)

Marginal Citations

M8 1978 c.44. Section 39 was inserted by section 23 of, and Schedule 2 to, the Trade Union Reform and Employment Rights Act 1993 c.19.

M9 1988 c.1. Section 590C was inserted by section 75 of, and Part I of Schedule 6 to, the Finance Act 1989.

Meaning of “pensionable service" E+W+S

C2.—(1) In these Regulations, “pensionable service" is service which counts both for the purpose of ascertaining entitlement to benefits under these Regulations and for the purpose of calculating them and means, subject to paragraph (2), the aggregate of the following—

(a) any period of pensionable employment in respect of which the member contributes to the scheme under regulation D1 (contributions by members);

(b) any period that was reckonable under the previous regulations as a period of contributing service for the purpose of those regulations;

(c) any period of contributing service that is reckonable under regulation 3 of the National Health Service (Superannuation) (War Service etc) Regulations 1977 M10 (reckoning war service as contributing service under the principal regulations);

(d) any period of pensionable service credited to the member under regulation N1(4) (transfers from other pension arrangements) or as a result of a transfer payment to the scheme under the previous regulations; and

(e) any period of additional service which the member has purchased under regulation Q1 or under regulations 25 or 26 of the previous regulations.

(2) A member’s pensionable service does not include—

(a) any period of employment in respect of which the Secretary of State has paid contributions to another occupational pension scheme in respect of the member;

(b) in the case of a member who has become entitled to a pension (including a preserved pension) under the scheme, any period that was taken into account for the purpose of determining whether he was entitled to that pension, or for the purpose of calculating the amount of that pension;

(c) any period of employment in respect of a temporary additional session; or

(d) any period in respect of which the Secretary of State has discharged her liability to provide benefits under regulation K7 (state scheme premiums), L2 (refund of contributions) or M1 (transfers and buy–outs).

(3) The benefits described in these Regulations will be calculated by reference to a maximum of 45 years’ pensionable service of which only 40 years may relate to the period before the member reaches age 60 (age 55 if the member is a special class officer), and, if the member’s pensionable service exceeds these limits, the amount of the excess will be ignored.

(4) Where the member has pensionable service in excess of the limits described in paragraph (3), the Secretary of State shall select the years by reference to which the benefits are to be calculated and the years selected shall be those which produce the most favourable result to the member.

(5) If, when a member leaves pensionable employment or dies, a payment is made in respect of leave not taken—

(a) the member’s pensionable employment will be treated, subject to paragraph (3),as continuing for a period equal to the period of leave for which payment is made; and

(b) the payment will be treated as the member’s pensionable pay for that period.

(6) In order to calculate the length of a member’s pensionable service, all periods of pensionable service will be added and each resulting period of 365 days (disregarding pensionable service on 29th February in a leap year) will be treated as one year.

Marginal Citations

M10 S.I. 1977/1922.

Meaning of “qualifying service" E+W+S

C3.—(1) In these Regulations, “qualifying service" is service which counts for the purpose of ascertaining entitlement to benefits under these Regulations but not for the purpose of calculating them and means the aggregate of the following—

(a) pensionable service under these Regulations, except any period of pensionable service credited to the member under regulation N1(4) (transfers from other pension arrangements) or any period of additional service referred to in regulation Q1 (right to buy additional service);

(b) where a transfer payment has been accepted under regulation N1(4) in respect of the member’s rights under another occupational pension scheme, a personal pension scheme, or a buy–out policy, the period of employment that qualified the member for those rights; and

[F52 (ba) in the case of a person who—

(i) has become a member on the transfer of his employment to a new employer as a result of a transfer of an undertaking to that employer, and

(ii) has rights under another occupational pension scheme to which he was eligible to belong in his former employment in respect of which no transfer payment has been accepted under regulation N1(4) or N4,

the period of employment that qualified the member for those rights;]

(c) any period reckonable as “service" under the previous regulations.

(2) If a member leaves and subsequently returns to pensionable employment, paragraphs (3) and (4) will apply for the purpose of calculating the member’s qualifying service.

(3) If the interval between leaving and rejoining pensionable employment does not exceed one month or is due to a trade dispute, the member’s pensionable service before and after the break will be treated as continuous for the purpose of calculating the member’s qualifying service after the break, (even if the member’s pensionable service before and after the break is otherwise treated separately for the purpose of calculating the member’s benefits) except that the interval will be excluded.

(4) If a member is entitled to a preserved pension under regulation L1 in respect of the earlier period of pensionable service (whether or not the pension has become payable), and the periods of pensionable service before and after the break are not treated as continuous under regulation L4, the period of pensionable service to which that pension relates will be treated as qualifying service in relation to the later period.

[F53 (4A) Where a member who is employed on a casual basis—

(a) ceases to pay contributions because of a break in his pensionable employment of a period not exceeding three months, and

(b) re-enters pensionable employment on the same basis after the break,

for the purposes of these Regulations he is treated as continuing to be in qualifying service (but not pensionable service) during the break, and as not being required to rejoin the scheme when he re-enters pensionable employment.]

(5) If a pension becomes payable to a member under regulation R4(6) (members doing more than one job) and the member has elected to take a benefit only in respect of the employment that has ended, the pensionable service in respect of which that benefit is calculated will be treated as qualifying service in relation to the employment in respect of which rights to benefits continue to accrue.

(6) If the member is a whole–time chaplain, any period of employment as a whole–time chaplain before joining the scheme will be treated as qualifying service.

Textual Amendments

F52 Reg. C3(1)(ba) inserted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 2(a)

F53 Reg. C3(4A) inserted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 2(b)

PART D E+W+S Contributions

Contributions by members E+W+S

D1.—(1) Each member in pensionable employment must contribute to the scheme.

(2) Members whose employment is by way of manual labour must contribute 5 per cent. of their pensionable pay. Other members must contribute 6 per cent of their pensionable pay.

(3) If the member is a special class officer, contributions must be paid until the member reaches age 65, or completes 45 years’ pensionable service and reaches age 60.

(4) If the member is not a special class officer, contributions must be paid until the member reaches age 70, or completes 45 years’ pensionable service and reaches age 65.

(5) The employing authority shall deduct each member’s contributions from the member’s earnings and pay them to the Secretary of State not later than the [F54 19th] day of the month following the month in which the earnings were paid.

[F55 (6) Without prejudice to any other method of recovery, where an employing authority has failed to deduct contributions in accordance with paragraph (5), the Secretary of State may recover any sum that remains due in respect of those contributions by deduction from any payment by way of benefits to, or in respect of, the member entitled to them where—

(a) the member agrees to such a deduction; and

(b) the deduction is to the member’s advantage.]

Textual Amendments

F54 Word in reg. D1(5) substituted (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 5

F55 Reg. D1(6) added (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 6

Contributions by employing authorities E+W+S

D2.—(1) Each employing authority must contribute to the scheme, in respect of each member in pensionable employment with the authority, at such a rate as the Secretary of State specifies from time to time [F56 and when specifying a rate, the Secretary of State shall include the cost of providing any increases in pensions which are payable by virtue of Part I of the Pensions (Increase) Act 1971].

(2) The Secretary of State shall take the advice of the Government Actuary and obtain the Treasury’s consent before specifying the rate at which employing authorities must contribute to the scheme under paragraph (1).

(3) In addition to the contributions payable under paragraph (1), where, on leaving pensionable employment, a pension becomes payable to a member under regulation E3 (early retirement on grounds of redundancy) or E4 (early retirement pension with employer’s consent) the employing authority must, subject to paragraph (8), make additional contributions to the Secretary of State in respect of—

(a) the cost of providing the pension under regulation E3 for the period between the member’s leaving pensionable employment and reaching age 60 or, in the case of a member who is a special class officer, the age of 55;

(b) the cost of providing the pension under regulation E4 for the period between the member’s leaving pensionable employment and reaching age 60;

(c) the cost of providing, under regulation R6 (members entitled to fees for domiciliary consultations), any benefit that supplements the pension referred to in sub–paragraph (a) or (b) above for the period referred to in those sub–paragraphs;

[F57 (d) the cost of providing compensation under regulation 4(1) (payment of compensation), 8(1) (compensation payable to widow, widower [F58 , surviving civil partner] or dependants) or 9 (compensation where lump sum on death becomes payable) of the National Health Service (Compensation for Premature Retirement) Regulations 2002;]

(e) the cost of providing any increase under Part I of the Pensions (Increase) Act 1971 M11 in the rate of the benefits referred to in sub–paragraphs (a) to (d) [F59 which have not been contributed pursuant to paragraph (1)], but in the case of the benefits referred to in sub–paragraphs (a) to (c), only for the periods referred to in those sub–paragraphs; and

(f) the additional cost attributable to early payment of the lump sum on retirement under regulation E6, such cost being determined by the Secretary of State on the advice of the Government Actuary;

and where, on such a pension becoming payable, a pension also becomes payable to the member in respect of pensionable service with one or more other employing authorities, the employing authority in relation to whom the redundancy arose or by whom the consent to early retirement pension was given shall also be responsible for making additional contributions in accordance with this paragraph in respect of that other pension.

(4) Any contributions that are payable under paragraph (1) shall be paid to the Secretary of State on the same day as the member’s contributions under regulation D1(5).

(5) Any additional contributions that are payable to the Secretary of State under paragraph (3)(a), (c), (d), (e) and (f) shall be payable—

(a) quarterly, before the end of the quarter following that in respect of which the costs in question arose; or

(b) if the Secretary of State agrees, by—

(i) a single payment of an amount determined by the Secretary of State, on the advice of the Government Actuary, made within one month of the date on which the pension under regulation E3 became payable, or

(ii) not more than 5 equal annual instalments each of an amount determined by the Secretary of State, on the advice of the Government Actuary, the first of which to be made within one month of the date on which the pension under regulation E3 became payable and the others to be paid by the 31st October in each of the following 4 financial years.

(6) An employing authority making quarterly additional contributions in accordance with paragraph (5)(a) may, if the Secretary of State agrees, discharge its liability under paragraph (3) by making—

(a) a single payment of an amount determined by the Secretary of State, on the advice of the Government Actuary, made within one month of the date on which notice of the Secretary of State’s consent is given to the employing authority, or

(b) not more than 5 equal annual instalments each of an amount determined by the Secretary of State on the advice of the Government Actuary, the first of which to be made within one month of the date on which notice of the Secretary of State’s consent is given to the employing authority and the others to be paid by the 31st October in each of the following 4 financial years.

(7) Any additional contributions that are due to the Secretary of State under paragraph (3)(b), (c), (e) and (f) shall be payable in whichever of the following ways the employing authority chooses—

(a) by a single payment of an amount determined by the Secretary of State, on the advice of the Government Actuary, made within one month of the date on which the pension under regulation E4 became payable, or

(b) by not more than 5 equal annual instalments each of an amount determined by the Secretary of State, on the advice of the Government Actuary, the first of which to be made within one month of the date on which the pension under regulation E4 became payable and the others to be paid by the 31st October in each of the following 4 financial years.

(8) For the purposes of paragraph (3), an employing authority shall not be responsible for meeting any costs in respect of the early payment of benefits to the extent that any such benefits are attributable to a period of additional service purchased by the member.

[F60 (9) Where an employing authority which is—

(a) a GMS practice;

(b) a PMS practice;

(c) an APMS contractor; or

(d) an OOH provider,

fails to pay or remit contributions in accordance with the provisions of this regulation, the Secretary of State may thereafter require that authority to have in force a guarantee, indemnity or bond in a form and amount, and provided by a person, approved by the Secretary of State, which provides for payment to the Secretary of State of all future liabilities of the employing authority under these Regulations or under the National Health Service Pension Scheme (Additional Voluntary Contributions) Regulations 2000 should that authority fail to meet them.]

Textual Amendments

F56 Words in reg. D2(1) added (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 1(a)

F57 Reg. D2(3)(d) substituted (1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2004 (S.I. 2004/665), regs. 1(1), 3(3)

F58 Words in reg. D2(3)(d) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(2)

F59 Words in reg. D2(3)(e) inserted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 1(b)

F60 Reg. D2(9) added (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 7

Marginal Citations

M11 1971 c.56. Part I of the Act has been amended by section 29(1) of, and paragraphs 84 to 86 of Schedule 6 to, the Superannuation Act 1972(c.11), section 3(2) and (3) of the Pension (Increases) Act 1974 (c.9), section 65(3) of, and Schedule 5 to, the Social Security Pensions Act 1975 (c.60) and section 108(1)(b) of, and Part I of Schedule 4 to, the Childrens Act 1975 (c.72), and Article 3 of S.I. 1972/1299.Seealso sections 69 and 59A of the Social Security (Pensions) Act 1975 (c.60) which have effect as if they were contained in Part I of the Act. Section 59A was inserted by the Social Security Act 1979 (c.18) section 11(4).

PART E E+W+S Benefits for members

Normal retirement pension E+W+S

E1.—(1) A member who retires from pensionable employment on or after attaining age 60 shall be entitled to a pension under this regulation.

(2) The pension under this regulation shall be at a yearly rate of 1/80th of final year’s pensionable pay for each complete year of pensionable service, plus the relevant daily proportion of that rate for each additional day of such service.

(3) A member who stays in pensionable employment until age 70 shall be entitled to receive a pension under this regulation at that age even if he does not retire from such employment.

Early retirement pension (ill–health) E+W+S

E2.—(1) A member who retires from pensionable employment because of physical or mental infirmity that makes him permanently incapable of efficiently discharging the duties of that employment shall be entitled to a pension under this regulation if he has at least 2 years’ qualifying service or qualifies for a pension under regulation E1 (normal retirement pension).

(2) Subject to paragraph (3), the pension under this regulation will be calculated as described in regulation E1.

(3) If the member retires from pensionable employment before reaching age 65 and satisfies the requirements of any of paragraphs (4) to (6), the pensionable service upon which the pension is based will, subject to regulation Q1(4) (cases in which additional service is not to count as pensionable service), be increased as described in whichever of those paragraphs is applicable or, if both of paragraphs (5) and (6) apply, as described in whichever of those paragraphs is more favourable to the member.

(4) If the member has at least 5 years’ qualifying service but not more than 10 years’ pensionable service, the pension will be based on the shorter of—

(a) twice the member’s pensionable service; and

(b) the pensionable service the member could have completed if he had stayed in pensionable employment until age 65.

(5) If the member has more than 10 but not more than 20 years’ pensionable service, the pension will be based on the shorter of—

(a) the pensionable service the member could have completed if he had stayed in pensionable employment until age 65; and

(b) 20 years’ pensionable service.

(6) If the member has more than 10 years’ pensionable service and has not reached age 60, the pension will be based on the shortest of—

(a) the member’s actual pensionable service increased by a period of 6 years and 243 days;

(b) the pensionable service the member could have completed if he had stayed in pensionable employment until age 60; and

(c) 40 years’ pensionable service.

[F61 (7) Subject to paragraph (8), where a member becomes entitled to a pension under paragraph (1), the Secretary of State may discharge her liability for that pension by the payment of a lump sum of an amount consistent—

(a) with the contracting-out and preservation requirements of the 1993 Act; and

(b) the lump sum rule.]

(8) A lump sum payment under paragraph (7) may be made only if the Secretary of State is satisfied that it is appropriate in all the circumstances having regard to the life expectancy of the member.

(9) For the purpose of paragraph (8), the Secretary of State may require whatever medical evidence that she considers necessary.

[F62 (10) The amount of the lump sum payable under paragraph (7)—

(a) will be equal to 5 times the yearly rate of the member’s incapacity pension (calculated in accordance with this regulation); and

(b) shall be payable in addition to the lump sum on retirement payable under regulation E6 (which shall not be subject to any reduction under regulation E6(3)).]

(11) The employment of a member to whom a pension is payable under this regulation may be pensionable under the scheme providing that the member is under the age of 50 at the date on which he returns to pensionable employment.

Textual Amendments

F61 Reg. E2(7) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 5(2)

F62 Reg. E2(10) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 5(3)

Early retirement pension (redundancy etc) E+W+S

E3.—(1) A member whose pensionable employment is terminated by his employing authority shall be entitled to a pension if—

(a) he has at least 5 years’ qualifying service and has reached [F63 normal minimum pension age or, where relevant, protected pension age], and

(b) the Secretary of State [F64 certifies—

(i) that the member’s employment is terminated by reason of redundancy, or

(ii) with the agreement of the employing authority, that the member’s employment is terminated in the interests of the efficiency of the service in which he is employed.]

(2) The pension under this regulation will be calculated as described in regulation E1 (normal retirement pension).

[F65 (3) This regulation shall not apply to practice staff.]

F66 (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F63 Words in reg. E3(1)(a) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 6(2)

F64 Words in reg. E3(1) substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 5(1)

F65 Reg. E3(3) inserted (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 4

F66 Reg. E3(4) omitted (1.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 6(3)

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

E4.—(1) A member with at least 2 years’ qualifying service, who retires from pensionable employment at any time after reaching [F67 normal minimum pension age or, where relevant, protected pension age] shall, if the relevant employing authority agrees to meet the cost described in regulation D2(3)(b) (plus any supplement or increase in that cost under regulation D2(3)(c), (e) or (f)), be entitled to a pension under this regulation.

(2) The pension under this regulation will be calculated as described in regulation E1 (normal retirement pension).

[F68 (3) This regulation shall not apply to practice staff.]

F69 (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F67 Words in reg. E4(1) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 7(2)

F68 Reg. E4(3) inserted (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 5

F69 Reg. E4(4) omitted (1.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 7(3)

Early retirement pension (with actuarial reduction) E+W+S

E5.—(1) A member with at least 2 years’ qualifying service, who retires from pensionable employment at any time after reaching [F70 normal minimum pension age or, where relevant, protected pension age], but before reaching age 60, shall be entitled, subject to paragraph (4), to a pension under this regulation.

(2) The pension under this regulation will be calculated as described in regulation E1 (normal retirement pension) but it will then be reduced by such amount as the Secretary of State, after taking the advice of the Government Actuary, may determine.

(3) Where a pension is payable under paragraph (1), any other amount payable under these Regulations which is paid early shall be reduced in like manner as described in paragraph (2).

(4) A member shall not be entitled to a pension under this regulation if the Secretary of State determines, having taken advice from the Government Actuary, that the pension, as reduced under paragraph (2), would be insufficient to meet her liability to provide a guaranteed minimum pension.

Textual Amendments

F70 Words in reg. E5(1) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 8

Lump sum on retirement E+W+S

E6.—(1)  [F71 Subject to paragraph (8),] each member shall, on becoming entitled to a pension under any of regulations E1 to E5, also become entitled to a lump sum.

(2) Subject to paragraphs (3) and (7), the lump sum will be equal to 3 times the yearly rate of the pension.

(3) In the case of a man whose pensionable service started before 25th March 1972 and who is or has been married, the lump sum will be reduced in accordance with whichever of paragraphs (4) to (6) is applicable (except to the extent that the reduction has been offset under regulation Q2 (right to buy unreduced retirement lump sum)).

(4) If the man is married, the reduction will be equal to 2 times the yearly rate of the part of the man’s pension that is based on pensionable service before 25th March 1972.

(5) If the man’s wife died, or the man was divorced from his wife, on or after 25th March 1972, the reduction will be equal to 2 times the yearly rate of the part of the man’s pension that is based on pensionable service before 25th March 1972.

(6) If the man’s wife died, or the man was divorced from his wife, before 25th March 1972, the reduction will be equal to 2 times the yearly rate of the part of the man’s pension that is based on pensionable service up to and including the date of the death or divorce.

(7) In any case where regulation E5 applies (early retirement pension with actuarial reduction)—

(a) the pension referred to in paragraph (2) of this regulation means the pension before any reduction is made under regulation E5(2); and

(b) the lump sum as calculated under paragraph (2) of this regulation will be reduced by such amount as the Secretary of State, after taking advice from the Government Actuary, shall determine.

[F72 (8) Where a member entitled to a lump sum under this regulation has attained the age of 75—

(a) he shall cease to be entitled to a lump sum; and

(b) shall instead be entitled to have his pension increased by such amount as the Secretary of State may, after taking advice from the scheme actuary, determine.]

Textual Amendments

F71 Words in reg. E6(1) inserted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 9(2)

F72 Reg. E6(8) added (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 9(3)

PART F E+W+S Lump sum on death

Member dies in pensionable employment E+W+S

F1.—(1) If a member dies in pensionable employment before reaching age 70, a lump sum on death shall be payable in accordance with regulation F5.

(2) Subject to regulation S4 (benefits on death in pensionable employment after pension becomes payable), the lump sum on death will be equal to twice the member’s final year’s pensionable pay.

Member dies after pension becomes payable E+W+S

F2.—(1) If a member dies after his pension under the scheme becomes payable, a lump sum on death shall be payable in accordance with regulation F5.

(2) Subject to regulation S4, the lump sum on death will be equal to 5 times the yearly rate of the member’s pension (less the amount of pension already paid) provided that the maximum payment under this paragraph shall not exceed an amount equal to twice the member’s final year’s pensionable pay less an amount equal to the member’s retirement lump sum paid under regulation E6 (lump sum on retirement).

[F73 (3) A person who retires from pensionable employment on, or after, 6th April 2006 may give notice to the scheme administrator in accordance with paragraph (3A) below that any lump sum payable under this regulation is to be treated as a pension protection lump sum death benefit in accordance with paragraph 14 of Part 2 of Schedule 29 to the 2004 Act.

(4) Such a notice—

(a) shall be given in writing; and

(b) may be revoked in writing at any time.

(5) A lump sum paid under this regulation in respect of a member who became entitled to a pension under regulations E1 to E5 or L1 before 6th April 2006, shall be treated as a pension protection lump sum death benefit but regulation T2A (11) shall not apply.]

Textual Amendments

F73 Reg. F2(3)-(5) added (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 10

Member dies with preserved pension E+W+S

F3.—(1) If a member leaves pensionable employment with a preserved pension under regulation L1 and dies before his pension under the scheme becomes payable, a lump sum on death shall be payable in accordance with regulation F5.

(2) The lump sum will be equal to 3 times the yearly rate of the member’s preserved pension, calculated as described in regulation L1.

Member dies within 12 months after leaving pensionable employment without pension or preserved pension E+W+S

F4.—(1) This regulation applies if a member leaves pensionable employment without becoming entitled to a pension under any of regulations E1 to E5 or a preserved pension under regulation L1 and dies within 12 months after leaving.

(2) If the member dies before receiving a refund of contributions under regulation L2 or before a transfer payment is made under regulation M5 (early leaver without pension or preserved pension), a lump sum on death shall be payable in accordance with regulation F5.

(3) The lump sum on death will be calculated as described in regulation F3 (member dies with preserved pension) as if, on leaving pensionable employment, the member had become entitled to a preserved pension calculated as described in regulation L1.

Payment of lump sum E+W+S

F5.— [F74 (1) A lump sum under any of regulations F1 to F4 shall be paid in accordance with the following paragraphs.

(2) Unless paragraph (3) or (3A) below applies, the lump sum shall be paid to the member’s personal representative.

(3) Where the member dies and leaves a [F75 widow, widower or surviving civil partner], the lump sum may be paid to the [F75 widow, widower or surviving civil partner], unless–

(a) the member has given notice [F76 in writing] to the Secretary of State F77 ... that the [F75 widow, widower or surviving civil partner] is not to receive the payment, and has not revoked that notice; or

(b) paragraph (3A) below applies.

(3A) Where the member has given notice [F78 in writing] to the Secretary of State F79 ... that the lump sum is to be paid to a person specified in the notice, and has not revoked that notice, the lump sum may be paid to that person unless–

(a) that person has died before the payment can be made; or

[F80 (aa) that person has been convicted of an offence specified in regulation T6(1A) and the Secretary of State has directed, as a consequence of that conviction, that that person’s right to a payment in respect of the member’s death shall be forfeited; or]

(b) payment to that person is not, in the opinion of the Secretary of State, reasonably practicable.

[F81 (3B) Notice given to the Secretary of State for the purpose of paragraph (3) or (3A) may, at any time, be revoked in writing.]

(3C) A notice given for the purpose of paragraph (3A) above shall [F82 only be given by a member who is in pensionable service under the scheme and shall] specify one person, who may be–

(a) an individual;

(b) a body corporate; or

(c) an unincorporated body.]

(4) If the lump sum on death does not exceed the specified amount, the Secretary of State may pay it to any person claiming to be the member’s personal representative or to be entitled to a share of it, without requiring proof of the title of the person concerned.

(5) In paragraph (4), the “specified amount" means £5,000 or any higher amount specified in an order made under section 6(1) of the Administration of Estates (Small Payments) Act 1965 as the amount to be treated as substituted for references to £500 in section 1 of that Act M12 .

Textual Amendments

F74 Reg. F5(1)-(3C) substituted for reg. F5(1)-(3) (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 7 (with reg. 17)

F75 Words in reg. F5(3) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(3)(a)

F76 Words in reg. F5(3)(a) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(a)(i)(aa)

F77 Words in reg. F5(3)(a) omitted (with effect from 1.4.2003) by virtue of The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(a)(i)(bb)

F78 Words in reg. F5(3A) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(b)(i)

F79 Words in reg. F5(3A) omitted (with effect from 1.4.2003) by virtue of The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(b)(ii)

F80 Reg. F5(3A)(aa) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(b)(iii)

F81 Reg. F5(3B) substituted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(c)

F82 Words in reg. F5(3C) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(3)(d)

Marginal Citations

M12 1965 c.32.

PART G E+W+S [F83 Widows, widowers and surviving civil partners]

Textual Amendments

F83 Words in Pt. G heading substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(4)

Widow’s pension E+W+S

G1.—(1) Subject to the following provisions of this regulation, if a male member dies in the circumstances described in any of regulations G2 to G6 and leaves a surviving widow, the widow shall be entitled to a pension as described in whichever of regulations G2 to G6 applies.

(2) Subject to paragraphs (3) to (5)—

(a) no widow’s pension shall be payable in respect of any period during which the widow and a man to whom she is not married are living together as husband and wife; F84 ...

(b) the widow shall cease to be entitled to a widow’s pension if she remarries [F85 ;

(c) no widow’s pension shall be payable in respect of any period during which the widow and a woman who is not her civil partner are living together as if they were civil partners; and

(d) the widow shall cease to be entitled to a widow’s pension if she forms a civil partnership.

(2A) Paragraph (2)(c) and (d) shall not apply where the member dies before 5th December 2005.]

(3) Nothing in paragraph (2) shall affect any entitlement to a widow’s guaranteed minimum pension under the scheme.

(4) The Secretary of State may pay a pension to a widow who has remarried, or who is living together as husband and wife with a man to whom she is not married, if the Secretary of State is satisfied that the widow will otherwise suffer severe financial hardship.

(5) The Secretary of State may pay a pension to a widow who has remarried if the later marriage comes to an end and the Secretary of State is satisfied that the widow will otherwise suffer hardship.

(6) The amount of any pension payable under paragraph (4) or (5) may, at the Secretary of State’s discretion, be equal to, or less than, the original widow’s pension and the Secretary of State may (subject to any widow’s guaranteed minimum pension) vary the amount, or stop paying the pension, at any time.

(7) If a dependent child is born after the member’s death, any entitlement to a widow’s pension under regulation G2 (member dies in pensionable employment) or G3 (member dies after pension becomes payable) will be recalculated as if the child had been born before the member died.

Textual Amendments

F84 Word in reg. G1(2)(a) omitted (5.12.2005) by virtue of The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(5)(a)(i)

F85 Reg. G1(2)(c)(d)(2A) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(5)(a)(ii)

Member dies in pensionable employment E+W+S

G2.—(1) The widow’s pension payable on a member’s death in pensionable employment will be as described in this regulation.

(2) The widow’s pension for the first 3 months after the member’s death (6 months if the member leaves at least one dependent child who is dependent on the widow) will be equal to the rate of the member’s pensionable pay when he died if that amount is greater than the amount of widow’s pension and child allowance that would otherwise be payable under these Regulations.

(3) Except while the widow’s pension is payable at the rate mentioned in paragraph (2), if the member dies with 2 years’ or more qualifying service, the widow’s pension will be equal to one–half of the pension that would have been payable to the member under the scheme if the member had retired through ill–health with a pension under regulation E2 (early retirement pension on grounds of ill–health) on the day he died.

(4) Except while the widow’s pension is payable at the rate mentioned in paragraph (2), if the member dies with less than 2 years’ qualifying service but after reaching age 60, the widow’s pension will be equal to one–half of the pension that would have been payable to the member under the scheme if the member had retired with a pension under regulation E1 (normal retirement pension) on the day he died.

(5) Except while the widow’s pension is payable at the rate mentioned in paragraph (2),if the member dies with less than 2 year’s qualifying service and before reaching age 60, the widow will receive a pension equal to her guaranteed minimum pension under the scheme, unless the Secretary of State discharges her liability to provide such a pension by paying a contributions equivalent premium under section 55(2) of the Pension Schemes Act 1993.

Member dies after pension becomes payable E+W+S

G3.—(1) Subject to regulation G6 (member marries after leaving pensionable employment) and regulation S4 (benefits on death in pensionable employment after pension becomes payable), the widow’s pension payable on a member’s death after a pension under the scheme becomes payable will be as described in this regulation.

(2) Subject to paragraph (3), the widow’s pension for the first 3 months after the member’s death (6 months if the member leaves at least one dependent child who is dependent on the widow) will be equal to the member’s pension if that amount is greater than the amount of widow’s pension and child allowance that would otherwise be payable under these Regulations.

(3) For the purpose of paragraph (2), no account will be taken of any reduction to the member’s pension under regulation S2 (reduction of pension on return to NHS employment).

(4) Except while the widow’s pension is payable at the rate mentioned in paragraph (2), the widow’s pension will be equal to one–half of the member’s pension.

(5) Where the member was in receipt of a pension payable under regulation E5 (early retirement pension with actuarial reduction), the member’s pension referred to in paragraph (4) means the member’s pension calculated without regard to any reduction made under regulation E5(2).

Member dies with preserved pension E+W+S

G4.—(1) Except where regulation G6 applies (member marries after leaving pension– able employment), the widow’s pension payable on the death of a member with a preserved pension under regulation L1 (preserved pension) that had not become payable at the date of death will be as described in this regulation.

(2) If the member dies within 12 months after leaving pensionable employment, the widow’s pension will be equal to one–half of the pension that would have peen payable to the member under the scheme if the member had retired through ill–health with a pension under regulation E2 (early retirement pension on grounds of ill–health) on the day he left pensionable employment.

(3) If the member dies 12 months or more after leaving pensionable employment, the widow’s pension will be equal to one–half of the member’s preserved pension.

Member dies within 12 months after leaving pensionable employment without pension or preserved pension E+W+S

G5.—(1) This regulation applies if a member leaves pensionable employment without becoming entitled to a pension under any of regulations E1 to E5 or a preserved pension under regulation L1 and dies within 12 months after leaving.

(2) If the member dies before receiving a refund of contributions under regulation L2 or before a transfer payment is made to which regulation M5 applies (early leaver without pension or preserved pension), the widow shall be entitled to a widow’s guaranteed minimum pension unless the Secretary of State discharges her liability to provide such a pension by paying a contributions equivalent premium under section 55(2) of the Pension Schemes Act 1993.

Member marries after leaving pensionable employment E+W+S

G6.—(1) This regulation applies where the member and his wife were not married to each other during any period of pensionable employment.

(2) Subject to paragraph (3), the widow’s pension will be equal to one–half of a pension calculated as described in regulation E1 (normal retirement pension) on the basis of the member’s pensionable service after 5th April 1978.

(3) If the member dies after his pension under the scheme becomes payable, the widow’s pension for the first 3 months after the member’s death (6 months if the member dies leaving at least one dependent child dependent on the widow) will be equal to the amount of the pension that would have been payable under regulation G3 (member dies after pension becomes payable).

Widower’s pension E+W+S

G7.—(1) Subject to the following provisions of this regulation, if a female member dies in the circumstances described in any of regulations G2 to G6 and leaves a surviving widower, the widower shall be entitled to a pension as described in this regulation.

(2) Subject to paragraph (3), regulations G1 to G6 (pensions for widows) apply to the calculation and payment of pensions for widowers in like manner as they apply to pensions for widows.

(3) When calculating a widower’s pension, any part of a member’s benefit that is based on pensionable service before the 6th April 1988 will, subject to paragraphs (4) and (5), be disregarded.

(4) Where regulation G2(3) or G4(2) applies to the calculation of the widower’s pension on a member’s death in pensionable employment or with a preserved pension—

(a) the whole of the member’s pensionable service will be taken into account when calculating whether and (if so) to what extent there would have been an increase, by virtue of regulation E2(3), in the pensionable service on which the member’s pension under regulation E2 (early retirement pension on grounds of ill–health) would have been based; and

(b) the whole period (if any) by which the member’s pension would have been increased will be treated as pensionable service after 5th April 1988.

(5) Where regulation G3(2) applies to the calculation of the widower’s pension, so that the widower’s pension is equal to the member’s pension for a limited period, the widower’s pension for that limited period will be equal to the whole of the member’s pension (including any part of the member’s pension that is based on pensionable service before 6th April 1988).

(6) Any reference in these Regulations to regulations G1 to G6 means, in relation to benefits in respect of a female member, those regulations as applicable to the member’s widower (if any).

Dependent widower’s pension E+W+S

G8.—(1) A female member may, by giving notice in writing to the Secretary of State prior to leaving pensionable employment, nominate her husband to receive a dependent widower’s pension on her death.

(2) The Secretary of State shall accept a member’s nomination only if she is satisfied that the member’s husband is permanently incapable of earning a living because of physical or mental infirmity and is wholly or mainly dependent on the member.

(3) If the Secretary of State has accepted a member’s nomination and the member subsequently dies before her husband, the dependent widower shall be entitled to a dependent widower’s pension.

(4) The dependent widower’s pension will be calculated in the same way as a widow’s pension under regulations G1 to G6 (pensions for widows), but based only on the member’s pensionable service before 6th April 1988.

(5) If the Secretary of State has accepted a member’s nomination for a dependent widower’s pension and the member’s pensionable service started before 25th March 1972 any lump sum payable to the member under regulation E6 (lump sum on retirement) will be reduced by an amount equal to 2 times the yearly rate of the part of the member’s pension that is based on pensionable service before 25th March 1972 (except to the extent that any reduction has been off–set under regulation Q2 (right to buy an unreduced retirement lump sum)).

(6) Where regulation E2(10) or regulation L1(8) applies to a female member, any reference in those regulations to a lump sum payable on retirement shall mean, in relation to a member to whom paragraph (5) of this regulation refers, a lump sum which is not reduced as described in that paragraph.

Increased widower’s pension E+W+S

G9.—(1) If a female member elected before 1st July 1989 to buy an increased widower’s pension, the widower’s pension described in regulation G7 will be based on pensionable service after 5th April 1988 plus the period of pensionable service before that date that the member elected to buy for this purpose under regulation 18B of the previous regulations M13 (purchase of increased widower’s pension).

(2) Subject to paragraph (3), any retirement lump sum payable to a member under regulation E6 (lump sum on retirement), in respect of any period of pensionable service that the member elected to buy as described in paragraph (1), will be reduced by 2 times the yearly rate of the part of the member’s pension that is based on pensionable service before 25th March 1972 and by the yearly rate of the part of the member’s pension that is based on pensionable service after 24th March 1972 plus, in each case, the relevant daily proportion of that rate for each additional day.

(3) Where regulation E2(10) or regulation L1(8) applies to a female member, any reference in those regulations to a lump sum payable on retirement shall mean, in relation to a member to whom paragraph (2) of this regulation refers, a lump sum which is not reduced as described in that paragraph.

(4) Where the member elected to buy an unreduced retiring allowance under paragraph 3 of Schedule 7A to the previous regulations M14 , regulations Q2 (right to buy an unreduced retirement lump sum) and Q7 (part payment for additional service or unreduced retirement lump sum) will apply to such election as if it had been made under regulation Q2.

Marginal Citations

M13 Regulation 18B was inserted into the previous regulations by regulation 11(2) of S.I. 1989/804.

M14 Schedule 7A was inserted into the previous regulations by regulation 11(3) of S.I. 1989/804.

[F86 Surviving civil partner’s pension E+W+S

G10.— (1) Subject to the following provisions of this regulation, if a member who is in a civil partnership dies in the circumstances described in any of regulations G2 to G6 and leaves a surviving civil partner, the surviving civil partner shall be entitled to a pension as described in this regulation.

(2) Subject to paragraph (3), regulations G1 to G6 (pensions for widows) apply to the calculation and payment of pensions for surviving civil partners in like manner as they apply to pensions for widows.

(3) When calculating a surviving civil partner’s pension, any part of the member’s benefit that is based on pensionable service before 6th April 1988 will, subject to paragraphs (4) and (5), be disregarded.

(4) Where regulation G2(3) or G4(2) applies to the calculation of the surviving civil partner’s pension on a member’s death in pensionable employment or with a preserved pension—

(a) the whole of the member’s pensionable service will be taken into account when calculating whether and (if so) to what extent there would have been an increase, by virtue of regulation E2(3), in the pensionable service on which the member’s pension under regulation E2 (early retirement pension on grounds of ill-health) would have been based; and

(b) the whole period (if any) by which the member’s pension would have been increased will be treated as pensionable service after 5th April 1988.

(5) Where regulation G3(2) applies to the calculation of the surviving civil partner’s pension, so that the surviving civil partner’s pension is equal to the member’s pension for a limited period, the surviving civil partner’s pension for that limited period will be equal to the whole of the member’s pension (including any part of the member’s pension that is based on pensionable service before 6th April 1988).

(6) Any reference in these Regulations to regulations G1 to G6 means, in relation to benefits in respect of a member who has formed a civil partnership, those regulations as applicable to the member’s surviving civil partner (if any).

Textual Amendments

F86 Regs. G10–G13 added (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(6)

Dependent surviving civil partner’s pension E+W+S

G11.— (1) A member who has formed a civil partnership may, by giving notice in writing to the Secretary of State prior to leaving pensionable employment, nominate the other party to the civil partnership to receive a dependent surviving civil partner’s pension on the member’s death.

(2) The Secretary of State shall accept a member’s nomination only if she is satisfied that the member’s civil partner is permanently incapable of earning a living because of physical or mental infirmity and is wholly or mainly dependent on the member.

(3) If the Secretary of State has accepted a member’s nomination and the member subsequently dies before the other party to the civil partnership, the dependent surviving civil partner shall be entitled to a dependent surviving civil partner’s pension.

(4) The dependent surviving civil partner’s pension shall be calculated in the same way as a widow’s pension under regulations G1 to G6 (pension for widows), but based only on the member’s pensionable service before 6th April 1988.

(5) If the Secretary of State has accepted a member’s nomination for a dependent surviving civil partner’s pension and the member’s pensionable service started before 6th April 1988 any lump sum payable to the member will be reduced by an amount equal to 1.4 times the yearly rate of the part of the member’s pension that is based on pensionable service before 6th April 1988 (except to the extent that any reduction has been off-set under regulation Q2 (right to buy an unreduced retirement lump sum)).

(6) Where regulation E2(10) or regulation L1(8) applies to a member who has formed a civil partnership, any reference in those regulations to a lump sum payable on retirement shall mean, in relation to a member to whom paragraph (5) of this regulation refers, a lump sum which is not reduced as described in that paragraph.

Textual Amendments

F86 Regs. G10–G13 added (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(6)

Purchase of surviving civil partner’s pension in respect of service prior to 6th April 1988 E+W+S

G12.— (1) Subject to the following provisions of this regulation an officer or a practitioner, unless he is a person in respect of whom a pension has already become payable under regulation E2 and to whom E2(11) applies, may, in respect of the whole or any part of his contributing service prior to 6th April 1988, elect to purchase an increase in the amount of any surviving civil partner’s pension which may become payable by virtue of regulation G10.

(2) The purchase of an increase pursuant to paragraph (1) may be made only in respect of complete years of service unless the officer or practitioner wishes to purchase an increase in respect of all of his service before 6th April 1988 in which case the whole of the requisite period may be purchased whether or not it constitutes a multiple of complete years of service.

(3) An election pursuant to paragraph (1)—

(a) shall not be made later than 28th February 2007 by giving notice in writing to the Secretary of State specifying the period in respect of which the election is made;

(b) must be accompanied by a declaration in writing signed by the officer or practitioner that he is of sound health for his age; and

(c) shall be irrevocable.

(4) Schedule 1, tables 2 and 4 multiplied by a factor of 0.7 shall have effect with regard to the cost of providing the increase provided pursuant to paragraph (1).

Textual Amendments

F86 Regs. G10–G13 added (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(6)

Increased surviving civil partner’s pension E+W+S

G13.— (1) If a member who has formed a civil partnership elected on or before 28th February 2007 to buy an increased surviving civil partner’s pension pursuant to regulation G12(1), the surviving civil partner’s pension described in regulation G10 will be based on pensionable service after 5th April 1988 plus the period of pensionable service before that date that the member elected to buy for this purpose under regulation G12(1).

(2) Subject to paragraph (3) any retirement lump sum payable to a member under regulation E6 (lump sum on retirement), in respect of any period of pensionable service that the member elected to buy as described in paragraph (1), will be reduced by 1.4 times the yearly rate of the member’s pension plus the relevant daily proportion of that rate for each additional day (except to the extent that any lump sum reduction has been off-set under regulation Q2 (right to buy an unreduced retirement lump sum)).

(3) Where regulation E2(10) or regulation L1(8) applies to a member who has formed a civil partnership, any reference in those regulations to a lump sum payable on retirement shall mean, in relation to a member to whom paragraph (2) of this regulation refers, a lump sum which is not reduced as described in that paragraph.

(4) Subject to paragraph (5) where by virtue of an election under regulation G12(1) the amount of the retirement lump sum would fall to be reduced by 1.4 times the yearly rate of the member’s pension plus the relevant daily proportion of that rate for each additional day, he may make an election to purchase an unreduced lump sum under regulation Q2 (right to buy an unreduced retirement lump sum) provided that the election is made no later than 28th February 2007.

(5) A member who has purchased additional service in accordance with regulation Q1 (right to buy additional service) by way of a payment under regulation Q6 (paying for additional service or an unreduced retirement lump sum by regular additional contributions) may not make an election under paragraph (4) in respect of the purchase of an unreduced lump sum.]

Textual Amendments

F86 Regs. G10–G13 added (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(6)

PART H E+W+S Child Allowance

Dependent child E+W+S

H1.—(1) Subject to the provisions of this regulation, “dependent child" means any child who is—

(a) a child or grandchild of the member;

(b) a step–child of the member by a marriage entered into [F87 or a civil partnership formed] before the date on which the member leaves pensionable employment or a child legally adopted by the member before that date;

(c) a brother or sister, or a child of a brother or sister, of the member or the member’s spouse [F88 or civil partner] (any half–brother or step–brother being treated as a brother, and any half–sister or step–sister being treated as a sister, for this purpose); or

(d) a child who, immediately before the member left pensionable employment, the member had intended to adopt, or a child who, at that time, had been dependent on the member for 2 years or (if less) half the child’s life;

and who satisfies the requirements of paragraph (2).

(2) The requirements of this paragraph are satisfied by any child described in paragraph (1) who is—

(a) born before the member leaves pensionable employment and who is dependent on the member when the member dies and, if the member dies after leaving pensionable employment, is also dependent on the member when the member leaves pensionable employment; or

(b) born one year or less after the member leaves pensionable employment and who either is dependent on the member both immediately after being born and when the member dies, or would have become dependent on the member if the member had not died before the child was born.

(3) A child is a dependent child for so long as he is—

(a) under age 17; or

(b) aged 17 or over [F89 but has not reached the age of 23] and continuing in full–time education; or

(c) aged 17 or over [F89 but has not reached the age of 23] and participating in full–time training for a trade, profession or vocation, for which he is not receiving remuneration in excess of the allowable maximum; or

(d) aged 17 or over [F89 but has not reached the age of 23] and taking a break in such full–time education or training providing the Secretary of State is satisfied that the child intends to return to some such education or training.

[F90 (e) aged 17 or over but has not reached the age of 23 and is incapable of earning a living because of permanent physical or mental infirmity from which he started to suffer whilst qualifying as a dependent child; but such a person will only be treated as a dependent child for so much of the period commencing with the day on which he attains the age of 17 and ending immediately before the day on which he attains the age of 23, during which he remains incapable of earning a living.]

(4) A child who is aged 17 or over [F91 but has not reached the age of 23] and who has ceased to be a dependent child will be treated as a dependent child if he returns to full–time education, or to full–time training for a trade, profession or vocation for which he is not receiving remuneration in excess of the allowable maximum, before reaching age 21 and within 12 months after ceasing to be a dependent child.

(5) In this regulation, the “allowable maximum" means the amount to which a pension of £1702 a year beginning on 11th April 1994 would have been increased under Part I of the Pensions (Increase) Act 1971 at the date in question (calculated as if the words “for a period of not less than two years" in section 3(3)(d) of that Act were omitted), plus the yearly amount of any expenses necessarily incurred for the purposes of the education or training.

(6) A child who is incapable of earning a living because of permanent physical or mental infirmity from which he was suffering at the time the member died F92 ... will be treated as a dependent child for so long as he remains incapable of earning a living.

[F93 (7) Where—

(a) a dependent child became entitled to a child allowance under regulation H2 before 6th April 2006; or

(b) the dependency of a child born on, or before, 5th April 2007 is to be assessed in respect of a person who became entitled to a pension under regulations E1 to E5 or L1 before 6th April 2006,

paragraphs (3)(b),(c) and (d) and (4) shall be read as if they did not include the words “but has not reached the age of 23”, paragraph (3)(e) shall not apply and paragraph (6) shall be read as if it included the words “or from which he started to suffer whilst qualifying as a dependent child” after the words “member died.]

Textual Amendments

F87 Words in reg. H1(1)(b) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(7)(a)

F88 Words in reg. H1(1)(c) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(7)(b)

F89 Words in reg. H1(3)(b)(c)(d) inserted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 11(2)

F90 Reg. H1(3)(e) added (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 11(3)

F91 Words in reg. H1(4) inserted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 11(2)

F92 Words in reg. H1(6) omitted (6.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 11(4)

F93 Reg. H1(7) added (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 11(5)

Payment of allowance E+W+S

H2.—(1) Subject to the following provisions of this regulation, if a member dies in the circumstances described in any of regulations H3 to H7 and leaves a dependent child, the dependent child shall be entitled to a child’s allowance as described in this regulation and in whichever of regulations H3 to H7 is applicable.

(2) If a dependent child is born after the member’s death, a child allowance shall be payable as if the child had been born before the member died.

(3) The child allowance will be paid to the child or, where the Secretary of State so decides to some other person for the child’s benefit and, where there is more than one dependent child, the allowance will be shared between them in such shares as the Secretary of State may decide from time to time.

(4) Where a child is a dependent child by virtue of regulation H1(3)(d), the child allowance shall cease to be payable after 12 months if the child has not then returned to full–time education, or full–time training for a trade, profession or vocation, but will be reinstated if the child later returns to some such education or training and the Secretary of State is satisfied that the child intended to do so from the start of the break.

(5) No allowance shall be payable to, or for the benefit of, a child who is incapable of earning a living because of permanent physical or mental infirmity for any period exceeding one month during which the child is maintained out of money provided by Parliament in a hospital or other institution.

(6) Where a child is a dependent child in relation to 2 or more members, all of whom die, a child allowance shall be payable in respect of not more than 2 of those members and, if there are more than 2 such members, shall be equal to the sum of the 2 highest allowances.

(7) The child allowance shall cease to be payable when there is no remaining dependent child.

Member dies in pensionable employment E+W+S

H3.—(1) The child allowance payable in the case of a member who dies whilst in pensionable employment will be as described in this regulation.

(2) Subject to paragraph (3), the allowance will be calculated, as described in whichever of paragraphs (4) or (7) apply, as a proportion of the pension that would have been payable to the member under the scheme if the member had retired through ill–health with a pension under regulation E2 (early retirement pension on grounds of ill– health) on the day he died.

(3) If the member dies with less than 5 years’ pensionable service, the allowance will be calculated as if the pension described in paragraph (2) were based on the shorter of—

(a) 10 years’ pensionable service, and

(b) the pensionable service the member could have completed if he had stayed in pensionable employment until age 65.

(4) Subject to paragraphs (5) to (8), if the member dies leaving a dependent child and there is a surviving parent (or spouse [F94 or civil partner] of a parent), the allowance will be equal to one– quarter of the pension described in paragraph (2) if there is only one dependent child and one–half if there are two or more.

(5) If a [F95 widow's, widower’s or surviving civil partner's] pension is payable at the rate mentioned in regulation G2(2), no allowance shall be payable in respect of any dependent child who is dependent on that [F96 widow, widower or surviving civil partner] until the end of the first 6 months after the member’s death.

(6) If a [F97 widow's, widower’s or surviving civil partner's] pension is payable at the rate mentioned in regulation G2(2) but there is a dependent child who is not dependent on that [F98 widow, widower or surviving civil partner], the allowance in respect of that child for the first 3 months after the member’s death will be equal to the rate of the member’s pensionable pay when he died.

(7) If the member dies leaving a dependent child and there is no surviving parent (or spouse [F99 or civil partner] of a parent), the allowance will be equal to one–third of the pension described in paragraph (2) if there is only one dependent child and two–thirds if there are two or more, except that the allowance for the first 6 months after the member’s death will be equal to the rate of the member’s pensionable pay when he died.

(8) If the member dies leaving a dependent child and there is a surviving parent (or spouse [F100 or civil partner] of a parent) but there is no entitlement to a [F101 widow's, widower’s or surviving civil partner's] pension calculated under regulation G2 (member dies in pensionable employment), the allowance will be paid at the rates described in paragraph (7).

Textual Amendments

F94 Words in reg. H3(4) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(a)

F95 Words in reg. H3(5) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(b)

F96 Words in reg. H3(5) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(c)

F97 Words in reg. H3(6) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(b)

F98 Words in reg. H3(6) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(c)

F99 Words in reg. H3(7) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(a)

F100 Words in reg. H3(8) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(a)

F101 Words in reg. H3(8) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(8)(b)

Member dies after pension becomes payable E+W+S

H4.—(1) The child allowance payable in the case of a member who dies after a pension under the scheme becomes payable will be as described in this regulation.

(2) Subject to paragraph (8), the allowance will be calculated, as described in whichever of paragraphs (3) or (4) apply, as a proportion of the amount of the member’s pension or, if greater, the amount that the member’s pension would have been if it had been based on the shorter of—

(a) 10 years’ pensionable service, and

(b) the pensionable service the member could have completed if he had stayed in pensionable employment until age 65.

(3) If the member dies leaving a dependent child and there is a surviving parent (or spouse [F102 or civil partner] of a parent), the allowance will, subject to paragraphs (5) to (7), be equal to one– quarter of the pension described in paragraph (2) if there is only one dependent child and one–half if there are two or more.

(4) If the member dies leaving a dependent child and there is no surviving parent (or spouse [F103 or civil partner] of a parent), the allowance will be equal to one–third of the pension described in paragraph (2) if there is only one dependent child and two–thirds if there are two or more, except that the allowance for the first 6 months after the member’s death will be equal to the member’s pension, calculated without regard to any reduction made under regulation S2 (reduction of pension on return to NHS employment).

(5) If the member dies leaving a dependent child and there is a surviving parent (or spouse [F104 or civil partner] of a parent) but there is no entitlement to a [F105 widow's, widower’s or surviving civil partner's] pension calculated under regulation G3 (member dies after pension becomes payable), the allowance will be paid at the rates described in paragraph (4).

(6) If a [F106 widow's, widower’s or surviving civil partner's] pension is payable at the rate mentioned in regulation G3(2), no allowance shall be payable in respect of any dependent child who is dependent on the [F107 widow, widower or surviving civil partner] until the end of the first 6 months after the member’s death.

(7) If a [F108 widow's, widower’s or surviving civil partner's] pension is payable at the rate mentioned in regulation G3(2) but there is a dependent child who is not dependent on that [F109 widow, widower or surviving civil partner], the allowance in respect of that child for the first 3 months after the member’s death will be equal to the rate of the member’s pension.

(8) Where the member was in receipt of a pension payable under regulation E5 (early retirement pension with actuarial reduction), the member’s pension referred to in paragraph (2) means the member’s pension calculated without regard to the reduction made under regulation E5(2).

Textual Amendments

F102 Words in reg. H4(3) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(a)

F103 Words in reg. H4(4) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(a)

F104 Words in reg. H4(5) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(a)

F105 Words in reg. H4(5) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(b)

F106 Words in reg. H4(6) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(b)

F107 Words in reg. H4(6) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(c)

F108 Words in reg. H4(7) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(b)

F109 Words in reg. H4(7) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(9)(c)

Member dies with preserved pension E+W+S

H5.—(1) The child allowance payable on the death of a member with a preserved pension under regulation L1 that has not become payable will be as described in this regulation.

(2) If the member dies within 12 months after leaving pensionable employment, the allowance will be calculated, as described in whichever of paragraphs (4) or (5) apply, as a proportion of the amount of the pension described in regulation H3(2) and, where applicable, H3(3) as if the member had died on the day he left pensionable employment.

(3) If the member dies 12 months or more after leaving pensionable employment, the allowance will be calculated, as described in whichever of paragraphs (4) or (5) apply, as a proportion of the amount of the member’s preserved pension or, if greater, the amount that the preserved pension would have been if it had been based on the shorter of—

(a) 10 years’ pensionable service, and

(b) the pensionable service the member could have completed if he had stayed in pensionable employment until age 65.

(4) If the member dies leaving a dependent child and there is a surviving parent (or spouse [F110 or civil partner] of a parent), the allowance will be equal to one–quarter of the pension described in paragraph (2) or (3) (whichever is applicable) if there is only one dependent child and one–half if there are two or more.

(5) If the member dies leaving a dependent child and there is no surviving parent (or spouse [F111 or civil partner] of a parent), the allowance will be equal to one–third of the pension described in paragraph (2) or (3) (whichever is applicable) if there is only one dependent child and two–thirds if there are two or more.

(6) If the member dies leaving a dependent child and there is a surviving parent (or spouse [F112 or civil partner] of a parent) but there is no entitlement to a [F113 widow's, widower’s or surviving civil partner's] pension calculated under regulation G4 (member dies with preserved pension), the allowance will be paid at the rate described in paragraph (5).

Textual Amendments

F110 Words in reg. H5(4) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(10)(a)

F111 Words in reg. H5(5) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(10)(a)

F112 Words in reg. H5(6) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(10)(a)

F113 Words in reg. H5(6) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(10)(b)

Member dies within 12 months after leaving pensionable employment without pension or preserved pension. E+W+S

H6.—(1) The child allowance payable in a case where a member leaves pensionable employment, without becoming entitled to a pension under any of regulations E1 to E5 or a preserved pension under regulation L1, and dies within 12 months after leaving and before receiving a refund of contributions under regulation L2, will be as described in this regulation.

(2) The child allowance will be calculated as described in regulation H5 (member dies with preserved pension) as if, on leaving pensionable employment, the member had become entitled to a preserved pension calculated as described in regulation L1.

Dependent child not being maintained by surviving parent or spouse [F114 or civil partner] of a parent E+W+S

H7.—(1) If a member dies leaving a dependent child and there is a surviving parent (or spouse [F115 or civil partner] of a parent) but that dependent child is not being maintained by the surviving parent (or spouse [F115 or civil partner] of a parent), the Secretary of State may increase the amount of the child allowance that would otherwise be payable under these Regulations.

(2) The allowance may, at the Secretary of State’s discretion, be increased up to an amount equal to the amount that would have been payable if there were no surviving parent (or spouse [F116 or civil partner] of a parent).

Textual Amendments

F114 Words in reg. H7 heading inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(11)(a)

F115 Words in reg. H7(1) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(11)(b)

F116 Words in reg. H7(2) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(11)(b)

PART J E+W+S Allocation to a spouse [F117 , civil partner] or dependant

Textual Amendments

F117 Words in Pt. J heading inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(12)

Allocation of pension E+W+S

J1.—(1) Subject to the following provisions of this regulation, a member may elect to allocate part of his pension under the scheme so as to provide, following his death, a pension for a spouse [F118 , civil partner] or a dependant.

(2) Any pension provided for a spouse [F119 or civil partner] under this regulation shall be payable in addition to any other [F120 widow's, widower’s or surviving civil partner's] pension payable under these Regulations.

(3) Any pension provided under this regulation will be calculated in accordance with tables prepared by the Government Actuary.

(4) A member wishing to allocate part of his pension under this regulation may elect to do so—

(a) [F121 before] the date on which a pension becomes payable to him under the scheme; or

(b) if in pensionable employment, at any time after reaching age 60 (55 for special class officers) and completing 40 years’ pensionable service; or

(c) if in pensionable employment, at any time after reaching age 65 (60 for special class officers).

(5) A member wishing to allocate part of his pension as described in this regulation shall do so by giving notice in writing to the employing authority on the form provided, giving such information as the Secretary of State may require.

(6) The Secretary of State shall not accept an election unless satisfied that the member is in good health.

(7) If a member allocates part of his pension as described in this regulation and then dies after the pension becomes payable, the amount of pension already paid to the member under the scheme will be treated, for the purpose of calculating the lump sum on death payable under regulation F2 (member dies after pension becomes payable), as including the amount of the additional pension that would have been paid to the member if the member had not allocated part of his pension.

Textual Amendments

F118 Words in reg. J1(1) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(13)(a)

F119 Words in reg. J1(2) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(13)(b)(i)

F120 Words in reg. J1(2) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(13)(b)(ii)

F121 Word in reg. J1(4) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 12

Limits on allocation of pension E+W+S

J2.—(1) A member may not allocate more than one–third of his pension to provide a pension on his death for a spouse [F122 , a civil partner] or a dependant and must keep a pension at least equal to his guaranteed minimum pension.

(2) A member may not allocate so much pension as to provide a bigger dependent’s pension [F123 , spouse’s pension or civil partner’s pension] under regulation J1 than the pension he has kept for himself.

(3) The part of a member’s pension that is allocated must be an exact number of pounds and must be sufficient to provide a pension for the dependent [F124 , spouse or civil partner] of at least £260 a year or, if greater, of the minimum amount that cannot be treated as trivial for the purposes of regulation T7 (commutation of trivial pensions).

(4) If a member elects to allocate part of his pension in the circumstances described in regulation J1(4)(b) or (c) and then dies before his pension under the scheme becomes payable the member will be treated, for the purposes of paragraphs (1) to (3) above, as entitled to the pension he would have received if he had retired immediately before his death.

Textual Amendments

F122 Words in reg. J2(1) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(14)(a)

F123 Words in reg. J2(2) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(14)(b)

F124 Words in reg. J2(3) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(14)(c)

Date on which allocation has effect E+W+S

J3.—(1) An election to allocate shall have effect, and may not be withdrawn or cancelled, once it has been accepted by the Secretary of State.

(2) The allocation will not take effect if—

(a) the member dies on or before the day on which the Secretary of State accepts the member’s election;

(b) the dependant [F125 , spouse or civil partner] dies before the member is told that the Secretary of State has accepted the election; or

(c) the member withdraws his application before it is accepted by the Secretary of State.

Textual Amendments

F125 Words in reg. J3(2)(b) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(15)

PART K E+W+S Contracting–out

Contracting–out requirements to be overriding E+W+S

K1.—(1) The scheme will be administered in conformity with the contracting–out requirements and regulations K2 to K7 override any inconsistent regulations except regulation T7 (commutation of trivial pensions).

Guaranteed minimum pensions E+W+S

K2.—(1) This regulation applies where the member has a guaranteed minimum, in relation to the pension provided for the member under the scheme, in accordance with section 14 of the Pension Schemes Act 1993 (earner’s guaranteed minimum).

(2) The weekly rate of the member’s pension from State pension age will not be less than the member’s guaranteed minimum, except that—

(a) payment may, at the discretion of the Secretary of State, be postponed for up to 5 years if the member remains in NHS employment, or for any period if the member consents; and

(b) payment may be reduced or suspended under regulation S1 or S2 (members who return to NHS employment after becoming entitled to a pension) if the member returns to NHS employment,

in either of which cases the member’s guaranteed minimum pension will be increased as described in regulation K3 (late retirement).

(3) If the member is a man and dies leaving a widow, the weekly rate of the widow’s pension will not be less than one–half of the member’s guaranteed minimum.

(4) If the member is a woman and dies leaving a widower, the weekly rate of the widower’s pension will not be less than one–half of the part of the member’s guaranteed minimum that is attributable to earnings for the tax year 1988–89 and subsequent tax years.

[F126 (4A) If the member is in a civil partnership and dies leaving a surviving civil partner, the weekly rate of the surviving civil partner’s pension will not be less than one-half of the part of the member’s guaranteed minimum that is attributable to earnings for the tax year 1988—1989 and subsequent tax years.]

(5) The part of any guaranteed minimum pension that is attributable to earnings for the tax year 1988–89 and subsequent tax years will be increased each year by the percentage specified in any order made by the Secretary of State under section 109 of the Pension Schemes Act 1993 (annual increases of guaranteed minimum pensions).

(6) If, on leaving pensionable employment, a member becomes entitled to a refund of contributions under regulation L2 or exercises a right to require a transfer or buy–out in accordance with regulation M1 (member’s right to transfer or buy–out) but, in either case, remains entitled to a guaranteed minimum pension, no benefit will be payable on the member’s death, except for a [F127 widow's, widower’s or surviving civil partner's] pension of the amount described in paragraph (3) or (4) as the case may be.

Textual Amendments

F126 Reg. K2(4A) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(16)(a)

F127 Words in reg. K2(6) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(16)(b)

Late retirement E+W+S

K3.  If a member’s pension is postponed for more than 7 weeks after State pension age, or is reduced or suspended after it becomes payable, the member’s guaranteed minimum pension, as increased under section 109 of the Pension Schemes Act 1993 (annual increases of guaranteed minimum pensions), will be increased by 1/7th per cent. for each complete 7 days of postponement.

Early leavers E+W+S

K4.—(1) Subject to paragraph (2), if a member leaves contracted–out employment under the scheme before State pension age, the member’s guaranteed minimum pension at the date of leaving will be increased, when the member reaches State pension age or dies (if earlier), by the appropriate percentage specified in relation to each relevant year in the last order under section 148 of the Social Security Administration Act 1992 M15 (revaluation of earnings factors) to come into force before the tax year in which the member reaches State pension age or dies (if earlier).

(2) If a guaranteed minimum pension is to be transferred to another scheme, or bought out by a buy–out policy, under which early leavers’ guaranteed minimum pensions are increased by a method other than that described in paragraph (1), the Secretary of State may adopt that other method for the guaranteed minimum pension in question.

(3) If a member returns to contracted–out employment under the scheme within 6 months after leaving, the two periods of contracted–out employment will be treated as continuous, unless the first period is covered by—

(a) a state scheme premium under Chapter III of Part III of the Pension Schemes Act 1993,

(b) a transfer to another occupational pension scheme or to a personal pension scheme, or

(c) any guaranteed minimum pension being bought out under a buy–out policy.

Marginal Citations

M15 1992 c.5.

Guaranteed minimum pensions transferred to the scheme E+W+S

K5.—(1) Where a guaranteed minimum pension has been transferred to the scheme and the member subsequently leaves contracted–out employment under the scheme, the guaranteed minimum pension transferred to the scheme will be increased for each complete tax year after the date on which the member left contracted–out employment under the scheme in which the transferred guaranteed minimum pension accrued, until the member reaches State pension age or dies (if earlier).

(2) If the transfer is from another occupational pension scheme, the guaranteed minimum pension will be increased by the appropriate percentage specified in relation to each relevant year in the last order under section 148 of the Social Security Administration Act 1992 (revaluation of earnings factors) to come into force before the tax year in which the member reaches State pension age or dies (if earlier).

(3) If the transfer is from a buy–out policy, the guaranteed minimum pension will be increased by the same method as was in use under the policy or, if the Secretary of State so determines, by the appropriate percentage specified in relation to each relevant year in the last order under section 148 of the Social Security Administration Act 1992 (revaluation of earnings factors) to come into force before the tax year in which the member reaches State pension age or dies (if earlier).

Protected rights transferred to the scheme E+W+S

K6.—(1) Where protected rights have been transferred to the scheme from another occupational pension scheme or a personal pension scheme, the protected rights will be used to provide guaranteed minimum pensions equal to those to which the member and the member’s spouse [F128 or civil partner] would have been treated as entitled under the transferring scheme had the transfer not been made.

(2) Any guaranteed minimum pensions to which a member and his spouse [F128 or civil partner] are entitled by virtue of paragraph (1) will be revalued as described in regulation K5(2).

Textual Amendments

F128 Words in reg. K6 inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(17)

State scheme premiums E+W+S

K7.—(1) The Secretary of State may discharge her liability to provide any guaranteed minimum pension by paying a state scheme premium under Chapter III of Part III of the Pension Schemes Act 1993.

(2) Where a member, or a member’s [F129 widow, widower or surviving civil partner], is entitled to a pension under the scheme in respect of a period for which a contributions equivalent premium has been paid under section 55(2) of the Pension Schemes Act 1993, the pension will be reduced by the amount of the guaranteed minimum pension that would have been payable under the scheme to the member, [F129 widow, widower or surviving civil partner], as the case may be, if the contributions equivalent premium had not been paid.

Textual Amendments

F129 Words in reg. K7(2) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(18)

PART L E+W+S Early leavers

Preserved pension E+W+S

L1.—(1) Subject to paragraphs (3) and (4), a member who leaves pensionable employment before age 60 without becoming entitled to a pension under any of regulations E1 to E5 shall be entitled to receive a pension and retirement lump sum under this regulation from age 60 if—

(a) the member leaves with at least 2 years’ qualifying service, or

(b) a transfer payment has been made to the scheme in respect of the member’s rights under a personal pension scheme.

[F130 (2) The pension under this regulation will be calculated–

(a) where it becomes payable by virtue of paragraph (3)(d) below, in accordance with paragraphs (2) to (4) of regulation E5, as if it were a pension under that regulation; and

(b) in any other case, as described in regulation E1;

and the retirement lump sum will be calculated as described in regulation E6.]

(3) The member shall be entitled to receive the pension and retirement lump sum before age 60 if—

(a) the member is in NHS employment and the Secretary of State is satisfied that the member is suffering from mental or physical infirmity that makes him permanently incapable of efficiently discharging the duties of that employment;

(b) the Secretary of State is satisfied that the member is suffering from mental or physical infirmity that makes him permanently incapable of engaging in regular employment; or

(c) some other pension becomes payable to the member under any of regulations E1 to E5;

[F131 (d) the member—

(i) left pensionable employment after 30th March 2000,

(ii) has reached the [F132 normal minimum pension age or, where relevant, protected pension age], and

(iii) has applied to the Secretary of State for payment of the pension and retirement lump sum under this regulation.]

(4) [F133 Except in a case to which paragraph (4A) applies,] if the member is in NHS employment (whether with the same or another employing [F134 authority)—

(a) in the case of a member to whom sub-paragraph (d) of paragraph (3) above applies, when he makes the application referred to in head (iii) of that sub-paragraph, or

(b) in any other case, when he reaches the age of 60,

the pension] and lump sum on retirement will not become payable until the member leaves NHS employment or reaches age 70, whichever is the earlier.

[F135 (4A) Paragraph (4) may not apply where the NHS employment which the member is in when he reaches age 60 is employment into which he has been transferred as a result of a transfer of an undertaking to the employer.

(4B) Where a member receives a pension under paragraph (1) while being in the new employment to which paragraph (4A) applies—

(a) his benefits in respect of any pensionable service in that new employment shall be calculated without regard to any pensionable service in any earlier employment;

(b) for the purposes of regulation C2 (meaning of “pensionable service”) and regulation D1(3) and (4) (contributions by members), his service in the earlier employment and in the new employment shall be aggregated.]

(5) Subject to paragraph (6), where on or after the coming into force of these Regulations a member becomes entitled to a pension under paragraph (3)(a) or (b), the Secretary of State may discharge her liability for that pension by the payment of a lump sum.

(6) A lump sum payment under paragraph (5) may be made only if the Secretary of State is satisfied that it is appropriate in all the circumstances having regard to the life expectancy of the member and the member was in pensionable employment on or after the coming into force of these Regulations.

(7) For the purpose of paragraph (6), the Secretary of State may require whatever medical evidence that she considers necessary.

(8) The amount of the lump sum payable under paragraph (5) will be equal to 5 times the difference between the yearly rate of the member’s pension (calculated in accordance with this regulation) and the yearly rate of the member’s guaranteed minimum pension F136 ... and shall be payable in addition to the lump sum on retirement payable under this regulation, which shall not be subject to any reduction such as is described in regulation E6(3).

Textual Amendments

F130 Reg. L1(2) substituted (31.3.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(a), 8(a)

F131 Reg. L1(3)(d) inserted (31.3.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(a), 8(b)

F132 Words in reg. L1(3)(d)(ii) substituted (6.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 13

F133 Words in reg. L1(4) inserted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 2(a)

F134 Words in reg. L1(4) substituted (31.3.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(a), 8(c)

F135 Regs. L1(4A)(4B) inserted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 2(b)

F136 Words in reg. L1(8) omitted (with effect from 1.4.1998) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2004 (S.I. 2004/665), regs. 1(1)(2), 3(4)

Refund of contributions E+W+S

L2.— [F137 (1) A member who leaves pensionable employment without becoming entitled to a pension under regulations E1 to E5 or a preserved pension under regulation L1 shall be entitled to receive a lump sum refund of his contributions, less tax at—

(a) 20 per cent (or at such other rate as applies from time to time) in respect of so much of the lump sum as does not exceed £10,800 (or such other amount as applies from time to time); and

(b) 40 per cent (or at such other rate as applies from time to time) in respect of so much (if any) of it as exceeds that limit.]

(2) A member who wishes to take a refund of contributions must apply in writing to the Secretary of State.

(3) If the member’s employment was contracted–out by reference to the scheme, the member (and the member’s spouse [F138 or civil partner], if any) will remain entitled to a guaranteed minimum pension under the scheme, unless the Secretary of State discharges her liability to provide a guaranteed minimum pension by paying a contributions equivalent premium under section 55(2) of the Pension Schemes Act 1993.

(4) If a contributions equivalent premium is paid, the member’s refund of contributions will be reduced by the amount recoverable under section 61 of the Pensions Schemes Act 1993 (deduction of contributions equivalent premium from refund of contributions).

(5) If a contributions equivalent premium is not paid, the member’s refund of contributions will be reduced by the amount that the Secretary of State estimates would have been recoverable under section 61 of the Pensions Schemes Act 1993 if the premium had been paid.

(6) A member shall not be entitled to a refund of contributions for any period of service in respect of which the Secretary of State has received a transfer payment in respect of his rights under a personal pension scheme.

(7) Where a refund of contributions is made, the Secretary of State shall be discharged from any obligation to provide benefits under the scheme except to any extent provided for under paragraph (3).

Textual Amendments

F137 Reg. L2(1) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 14

F138 Words in reg. L2(3) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(19)

Payment of interest with refund of contributions E+W+S

L3.—(1) Compound interest will be added to a refund of contributions under regulation L2, except where the employment was terminated by reason of misconduct or inefficiency or at the member’s request.

(2) Subject to paragraph (3), where compound interest is added to a refund of contributions, it will be calculated at the rate of 2.5 per cent. per year, for the period starting on the 1st April after the contributions were paid and ending on the day the member leaves pensionable employment.

(3) In the case of any contributions paid under another enactment or scheme and included in a transfer payment to the scheme, interest for the period before the transfer payment was accepted will be calculated as described in the enactment or scheme from which the transfer payment was received.

Early leavers returning to pensionable employment E+W+S

L4.—(1) This regulation applies to any member who leaves pensionable employment without becoming entitled to a pension under any of regulations E1 to E5 and later returns to pensionable employment before becoming entitled to receive a pension under the scheme.

(2) If the member leaves pensionable employment with a preserved pension under regulation L1 and then returns to pensionable employment within 12 months after leaving, the member will cease to be entitled to the preserved pension under regulation L1 and the member’s pensionable service before and after the break in pensionable employment will be treated as continuous.

(3) Subject to paragraph (5), if the member leaves pensionable employment with a preserved pension under regulation L1 and then returns to pensionable employment 12 months or more after leaving—

(a) the member’s pensionable service before and after the break in pensionable employment will be treated separately unless, when the member becomes entitled to receive a pension or the member dies (whichever occurs first), it would be more favourable to the member, or the member’s spouse [F139 or civil partner], to treat the member’s pensionable service before and after the break, and all such other breaks (if any), as continuous; and

(b) if the member becomes entitled to receive a pension under regulation E2 (early retirement pension on grounds of ill–health), the pensionable service upon which that pension is based will be increased as described in paragraphs (4) to (6) of that regulation if the member’s pensionable service before and after the break in pensionable employment is treated as continuous, but there will be no increase to any of the member’s pensionable service if the member’s pensionable service before and after the break is treated separately.

(4) Subject to paragraph (5), if the member leaves pensionable employment without becoming entitled to a preserved pension and then returns to pensionable employment within 12 months after leaving, the member’s pensionable service before and after the break in pensionable employment will be treated as continuous.

(5) Where paragraph (4) applies and the member has received a refund of contributions under regulation L2 in respect of pensionable service before the break in pensionable employment, the member’s pensionable service before and after the break will be treated as continuous only if, within 6 months after rejoining the scheme, the member pays to the Secretary of State an amount equal to the refund of contributions (including any interest added under regulation L3).

(6) If a member leaves pensionable employment with a preserved pension and, after returning, again leaves pensionable employment without becoming entitled to a pension under any of regulations E1 to E5, the member will be entitled to a preserved pension under regulation L1 in respect of the period after the break in pensionable employment whether or not he has 2 years’ qualifying service in respect of that period.

(7) A member whose pensionable service before and after a break in pensionable employment is treated as continuous and who, before the break, was paying for additional benefits by regular additional contributions under regulation Q6 (paying for additional service or unreduced retirement lump sum by regular additional contributions) must continue to pay for those additional benefits after the break.

[F140 (7A) Practice staff who were employed by a registered medical practitioner on both 31st August 1997 and 1st September 1997 and who—

(a) had previously been compulsorily transferred from employment with a body referred to in paragraph (a), (b), (c) or (d) of the definition of “employing authority” in regulation A2, to employment with a registered medical practitioner referred to in paragraph (e) of that definition;

(b) were at the time of the transfer paying for additional benefits by regular additional contributions under regulation Q6; and

(c) rejoined the scheme with effect from 1st September 1997;

may resume payment of those additional contributions at such percentage rate, of current pensionable pay as applied prior to that transfer above, provided that payment of those contributions is resumed with effect from 1st September 1997.]

[F141 (8) If a member’s pensionable employment before and after a break in pensionable employment (the “pre-break period” and the “post-break period” respectively) is treated separately, the member’s benefits in respect of such employment in the pre-break period and the post-break period shall be calculated—

(a) separately; and

(b) by reference to—

(i) the member’s pensionable service comprising that pre-break or post-break period as the case may be; and

(ii) his final year’s pensionable pay in respect of that particular period,

as if that period had been his only period of pensionable employment.]

Textual Amendments

F139 Words in reg. L4(3)(a) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(20)

F140 Reg. L4(7A) inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 7

F141 Reg. L4(8) substituted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(4)

PART M E+W+S Transfers and buy–outs

Member’s right to transfer or buy–out E+W+S

M1.—(1) A member who leaves pensionable employment F142 ... may require the Secretary of State to transfer or buy–out his rights under the scheme as described in this regulation.

[F143 (1A) Paragraph (1) only applies if the member—

(a) leaves pensionable employment with a preserved pension before reaching 60, or

(b) leaves pensionable employment on the transfer of his employment to a new employer as a result of a transfer of an undertaking to that employer.]

(2) Subject to paragraphs (3) and (4), the member may require the Secretary of State to use the cash equivalent of his rights under the scheme—

(a) to purchase one or more buy–out policies from one or more insurance companies chosen by the member; or

(b) to acquire rights under another occupational pension scheme, or under a personal pension scheme, that satisfies the requirements of Chapter IV of Part IV of the Pension Schemes Act 1993 (transfer values); or

(c) in any combination of the ways described in sub–paragraphs (a) and (b);

provided that the right is exercised in relation to each and every portion of the cash equivalent.

(3) A member may require the Secretary of State to use the cash equivalent of his rights under the scheme to purchase one or more buy–out policies or to acquire rights under a personal pension scheme only—

(a) if the member leaves pensionable employment on or after 1st January 1986; and

(b) where those rights are to be transferred to a personal pension scheme, in relation to any period of service of 2 years or more falling before 6th April 1988, if a period of not less than one month has elapsed between the date the member left NHS employment and the date of commencement of any further NHS employment.

(4) A member who leaves pensionable employment with a preserved pension after reaching age 59 may require the Secretary of State to use the cash equivalent only to acquire rights under another occupational pension scheme.

(5) Where a member leaves pensionable employment by opting–out and on so doing becomes entitled to a preserved pension under regulation L1 then, if the member has at least 2 years’ service before 6th April 1988, the member’s right to require a transfer or buy–out will be limited to the cash equivalent of the part of his rights that is attributable to service after 5th April 1988 and the member will acquire a right to the cash equivalent of his remaining rights only if he actually leaves NHS employment before reaching age 60.

(6) A member loses the right referred to in paragraph (1) if any pension under the scheme becomes payable to the member before the member reaches age 60.

(7) Where the Secretary of State has done what is needed to carry out what the member requires under this regulation, the Secretary of State will be discharged from any obligation to provide benefits for or in respect of the member under the scheme, except that the Secretary of State will continue to be liable to provide a guaranteed minimum pension in respect of the member where regulation M3(2) applies (unless the Secretary of State discharges that liability under regulation K7 (State scheme premiums)).

Textual Amendments

F142 Words in reg. M1(1) omitted (5.4.2002) by virtue of The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 3

F143 Reg. M1(1A) inserted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 4

Exercising a right to transfer or buy–out E+W+S

M2.—(1) A member shall exercise the right to require a transfer or buy–out by making an application in writing to the Secretary of State.

(2) A member who requires the cash equivalent to be used to acquire rights under another occupational pension scheme may exercise the right at any time before reaching age 60.

(3) Subject to paragraph (4), a member who requires all or part of the cash equivalent to be used to purchase one or more buy–out policies or to acquire rights under a personal pension scheme may exercise the right at any time before reaching age 59.

(4) A member who leaves pensionable employment less than 6 months before his 59th birthday may exercise the right at any time up to 6 months after leaving.

[F144 (4A) Paragraph (2) does not apply if the member exercises the right to require a transfer on the transfer of his employment to a new employer as a result of a transfer of an undertaking to that employer.]

(5) Subject to paragraph (6), a member may withdraw an application to transfer or buy–out his rights by giving notice in writing to the Secretary of State that he no longer wishes to exercise that right.

(6) The member may not withdraw the application after the Secretary of State, in order to comply with what the member previously required, has entered into an agreement with a third party to use the member’s cash equivalent in a way specified in regulation M1(2).

(7) A member who withdraws an application may make another.

Textual Amendments

F144 Reg. M2(4A) inserted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 5

Amount of member’s cash equivalent E+W+S

M3.—(1) Subject to paragraphs (2) and (3), the member’s cash equivalent will be equal to the capitalised value of all the member’s accrued rights to benefits under the scheme and any associated rights under Part I of the Pensions (Increase) Act 1971, calculated and verified as required by Chapter IV of Part IV of the Pension Schemes Act 1993 (transfer values).

(2) If the member requires the cash equivalent to be used to acquire rights under an occupational pension scheme which is not a contracted–out scheme within the meaning of Chapter I of Part III of the Pension Schemes Act 1993 or under a personal pension scheme which is not an appropriate scheme within the meaning of that Chapter and the trustees or managers of the receiving scheme are unable or unwilling to accept liability for the member’s rights to guaranteed minimum pensions the cash equivalent will be reduced by an amount sufficient for the Secretary of State to meet her liability to provide guaranteed minimum pensions in respect of the member.

(3) If the cash equivalent is not to be used to acquire rights in a scheme that participates in the Public Sector Transfer Arrangements and the Secretary of State fails, without reasonable excuse, to do what is needed to carry out what the member requires within 6 months of the member’s leaving pensionable employment or, if later, exercising the right, the member’s cash equivalent will be increased in accordance with paragraph (4).

(4) The amount of the increase under paragraph (3) will be equal to the greater of—

(a) interest on the cash equivalent at the same rate as that payable for the time being on judgment debts by virtue of section 17 of the Judgment Act 1838 M16 (judgment debts to carry interest), calculated on a daily basis over the period between the date of the member’s leaving pensionable employment or, if later, exercising the right to transfer or buy–out and the date on which the Secretary of State carries out what the member requires; and

(b) the amount (if any) by which the cash equivalent is less than what it would have been if the date of the member’s leaving pensionable employment or, if later, exercising the right, had been the date on which the Secretary of State carries out what the member requires.

(5) Subject to paragraph (7), [F145 except in the case of a transfer payment accepted under regulation N3A,] a member’s cash equivalent will be at least equal to the amount of any transfer payments accepted in respect of the member under regulation N1(4) (transfers from other pension arrangements), plus the amount of the member’s contributions to the scheme.

(6) Subject to paragraph (7), if a member’s cash equivalent is used to acquire rights under another occupational pension scheme, any part of the cash equivalent that relates to service before 29th January 1988 will be calculated as described in the previous Regulations as applicable immediately before that date, if this would be more favourable to the member.

(7) Paragraphs (5) and (6) do not apply where the member requires the cash equivalent to be used to acquire rights under another occupational pension scheme that participates in the Public Sector Transfer Arrangements.

(8) In any case where the Secretary of State has directed, under regulation T6 (loss of rights to benefit), that part of a member’s benefits under these Regulations shall be forfeited, the cash equivalent payable in respect of that member shall be reduced by the capitalised value of that part of those benefits.

Textual Amendments

F145 Words in reg. M3(5) inserted (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 5

Marginal Citations

M16 1 & 2 Vict. c.110. Section 17 is amended by the Civil Procedure Acts Repeal Act 1879 (c.59) Schedule Part 1 and by article 2 of S.I. 1977/141.

Time limit for doing what member requires E+W+S

M4.—(1) Subject to paragraphs (2) and (3), the Secretary of State shall do what is needed to carry out what the member requires under regulation M1 within 12 months after receiving the member’s application.

(2) If the member leaves pensionable employment within 6 months before reaching age 59 and the Secretary of State receives the member’s application after the member reaches age 59 but within 6 months after the member’s leaving, the Secretary of State shall do what is needed to carry out what the member requires under regulation M1 (member’s right to transfer or buy–out) by the date on which the member reaches age 60.

(3) If disciplinary or court proceedings are commenced against the member within 12 months after the member leaves pensionable employment and it appears to the Secretary of State that the proceedings may lead to all or part of the member’s benefits being forfeited under regulation T6 (loss of rights to benefits), the Secretary of State may defer doing what is needed to carry out what the member requires until the date 3 months after the conclusion of those proceedings (including any proceedings on appeal) where that date is later than the date which would otherwise apply under paragraph (1) or (2) above.

Early leaver without pension or preserved pension E+W+S

M5.—(1) Subject to paragraphs (2) and (3), this regulation applies where a member leaves pensionable employment before reaching age 60, without becoming entitled to a pension under any of regulations E1 to E5 or a preserved pension under regulation L1.

(2) In a case where a member has received a refund of contributions under regulation L2, this regulation applies only if, before exercising the right to transfer or buy–out, the member pays to the Secretary of State an amount equal to that refund of contributions (including any interest).

(3) In a case where a member leaves pensionable employment with a pension under regulation E3 (early retirement pension on grounds of redundancy), this regulation applies only if, before exercising the right to transfer or buy–out, the member pays to the Secretary of State an amount equal to the total benefits already paid to the member under the scheme.

(4) Where this regulation applies the member will be treated, for the purposes of regulations M1 to M4, as if he had left pensionable employment with a preserved pension, except that—

(a) a member who requires the cash equivalent to be used to buy one or more buy– out policies must exercise the right to buy–out within 12 months after leaving pensionable employment; and

(b) a member who requires the cash equivalent to be used to acquire rights under another occupational pension scheme or under a personal pension scheme must join that other scheme within 12 months after leaving pensionable employment and exercise the right to transfer within 12 months after joining that other scheme.

(5) A member who pays an amount to the Secretary of State as described in paragraphs (2) or (3) of this regulation will be treated, for the purposes of regulation M1(6), as if the refund of contributions or, as the case may be, the benefits represented by that amount had never become payable to the member.

[F146 Special terms for transfers out (bulk transfers etc.) E+W+S

M6.— (1) If one or more members (“the transferring members”)—

(a) leave pensionable employment,

(b) join another occupational pension scheme, and

(c) exercise a right to transfer to that scheme under regulation M1 (member’s right to transfer or buy-out),

the Secretary of State may, after taking advice from the Government Actuary, make a single transfer payment to that scheme in respect of the transferring members.

(2) The Secretary of State must calculate the amount of any transfer payment paid under this regulation after taking advice from the Government Actuary.]

Textual Amendments

F146 Reg. M6 substituted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 6

Waiver of transfer payment E+W+S

M7.  If an occupational pension scheme waives payment of any cash equivalent or transfer payment that would otherwise be payable to it under regulations M1 to M6, the payment will nevertheless be treated as made for the purposes of these Regulations.

PART N E+W+S Transfers from other pension arrangements

Member’s right to transfer accrued rights to benefits to the scheme E+W+S

N1.— [F147 (1) Within 12 months after joining the scheme, a member in pensionable employment may, in writing, request the Secretary of State to accept a transfer payment in respect of the member’s rights under another occupational pension scheme, a personal pension scheme, or a buy–out policy but not in respect of rights under a free-standing AVC scheme—

(a) established on, or after, the 6th April 2006 as a registered free-standing AVC scheme for the purposes of the 2004 Act; or

(b) which on 6th April 2006 became a registered free-standing AVC scheme for the purposes of that Act and which immediately before that date was approved by the Commissioners for Her Majesty’s Revenue and Customs by virtue of section 591(2)(h) of the Income and Corporation Taxes Act 1988 (free–standing AVC schemes).]

(2) The Secretary of State shall not accept the transfer payment unless—

(a) the transferring scheme or insurance company provides all the information about the member’s rights that the Secretary of State reasonably requires; and

(b) the amount of the transfer payment is at least equal to the yearly rate of the guaranteed minimum pension for which the Secretary of State would be liable as a result of accepting the transfer payment, multiplied by the factor appropriate to the member’s age, as set out in the following table.

member’s age	appropriate factor
29 or under	8
30 — 39	9
40 — 49	10
50 or over	12

(3) [F148 Except in the case of a person to whom regulation B5 applies, the] Secretary of State shall not accept the transfer payment if—

(a) [F149 except where paragraph (3A) applies] the member joins the scheme, or requests the Secretary of State to accept the transfer payment, after reaching age 60, or

(b) the request is made following a notice given under regulation B4(5) (opted–out person rejoining the scheme) in circumstances where the member had a previous opportunity to request the Secretary of State to accept a transfer payment in respect of those same rights but did not take that opportunity.

[F150 (3A) This paragraph applies where the member’s employment is transferred to a new employer on the transfer of his employment to a new employer as a result of a transfer of an undertaking to that employer.]

(4) If the Secretary of State accepts the transfer payment, the member will be credited with an additional period of pensionable service as described in whichever of regulations N2 (transfers made under the Public Sector Transfer Arrangements) [F151 , N3 (transfers that are not made under the Public Sector Transfer Arrangements) and N3A (transfers in respect of members to whom regulation B5 applies who elect to join or rejoin the scheme) is applicable.].

(5) For the purposes of calculating a member’s final year’s pensionable pay, any period of pensionable service with which a member is credited in respect of a transfer payment will be treated as pensionable employment and the pensionable pay by reference to which that service is calculated will be treated as pensionable pay received in respect of that employment.

Textual Amendments

F147 Reg. N1(1) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 15

F148 Words in reg. N1(3) substituted (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 6(1)

F149 Words in reg. N1(3)(a) inserted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 7

F150 Reg. N1(3A) inserted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 8

F151 Words in reg. N1(4) substituted (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 6(2)

Transfers made under the Public Sector transfer Arrangements E+W+S

N2.—(1) Subject to paragraph (2), if the transfer is from another occupational pension scheme that participates in the Public Sector Transfer Arrangements, the additional period of pensionable service to be credited to the member in respect of the transfer payment will be equal to the period that, if used to calculate a cash equivalent under regulation M3 (amount of member’s cash equivalent), would produce an amount equal to the amount of the transfer payment.

(2) Paragraph (1) applies only if the transfer payment—

(a) represents all the member’s rights to benefits under the transferring scheme; and

(b) is calculated in a manner that is consistent with the actuarial methods and assumptions used by the Secretary of State to calculate cash equivalents under regulation M3 in the case of transfers under the Public Sector Transfer Arrangements.

(3) For the purpose of calculating the additional period of pensionable service under paragraph (1), regard shall be had to the member’s age and marital status, and to the yearly rate of pay and any other factor notified to the Secretary of State by the trustees or managers of the transferring scheme as having been taken into account for the purpose of calculating the amount of the transfer payment.

Transfers that are not made under the Public Sector Transfer Arrangements E+W+S

N3.—(1) Except where regulation N2 (transfers made under the Public Sector Transfer Arrangements) applies, the additional period of pensionable service to be credited to the member in respect of the transfer payment will be calculated in a manner that is consistent with the actuarial methods and assumptions used by the Secretary of State to calculate cash equivalents under regulation M3 (amount of member’s cash equivalent), in the case of transfers that are not made under the Public Sector Transfer Arrangements.

(2) When calculating the additional period of pensionable service under paragraph (1), due allowance shall be made for the expected increase in the pensionable pay of all members of the same age as the member in respect of whom the transfer payment is being accepted between the date on which that member joins the scheme (or the date on which the transfer payment is accepted, if that is more than 12 months later) and the date on which the member will reach age 60.

[F152 Transfers in respect of members to whom regulation B5 applies who elect to join or rejoin the scheme E+W+S

N3A.— (1) In the case of a member to whom regulation B5 applies, this regulation shall apply for the purpose of calculating the amount of the transfer payment by reference to which an additional period of pensionable service may be credited by the Secretary of State to that member.

(2) Subject to paragraphs (3) and (4), the transfer payment in respect of which an additional period of pensionable service may be credited by the Secretary of State to a member referred to in paragraph (1) shall be calculated in a manner that is consistent with the actuarial methods and assumptions used by the Secretary of State to calculate cash equivalents under regulation M3 (amount of member’s cash equivalent) in the case of transfers that are not made under the Public Sector Transfer Arrangements and shall be of an amount equal to the total amount of—

(i) an amount which would enable the member to be credited by the scheme with such additional period of pensionable service as the Secretary of State may approve in respect of the period during which he made contributions to a personal pension scheme (“the relevant scheme”);

(ii) the amount of the cash equivalent, if any, which the member transferred to the relevant scheme by exercising a right under regulation M2 (exercising a right to transfer or buy-out) (“the transferred rights”); and

(iii) an amount, to be determined from time to time by the Government Actuary, which represents the income which would have been received on the amount referred to in sub-paragraph (ii) had that amount been invested during the period commencing at the end of the month in which it was paid by the scheme to the relevant scheme and ending at the end of the month in which the transfer payment was paid to the scheme by the relevant scheme.

(3) The amount, if any, payable by virtue of paragraphs (2)(ii) and (iii) shall be at least equal to the amount of the cash equivalent transfer value which would be payable by the scheme in respect of the transferred-out service if the scheme were to pay a cash equivalent transfer value in respect of that service immediately after the time at which the transfer payment is paid to the scheme by the relevant scheme.

(4) In the case of a member to whom regulation B5 applies who has been credited with an additional period of pensionable service calculated as specified in regulation N3 (transfers that are not made under the Public Sector Transfer Arrangements), the Secretary of State may adjust the amount of the transfer payment referred to in paragraph (2) on account of the payment by reference to which that pensionable service was credited.

(5) In this regulation—

“personal pension scheme” has the same meaning as in regulation B5(4);

“transfer payment” means the payment payable to the scheme by the relevant scheme in respect of a member to whom regulation B5 applies who elects to join or rejoin the scheme; and

“transferred-out service” means the period of pensionable service which the member transferred out of the scheme by exercising a right under regulation M2 (exercising a right to transfer or buy-out).]

Textual Amendments

F152 Reg. N3A inserted (12.2.1997) by The National Health Service Pension Scheme and Provision of Information and Administrative Expenses etc. (Amendment) Regulations 1997 (S.I. 1997/80), regs. 1, 6(3)

[F153 Special terms for transfers in (bulk transfers etc.) E+W+S

N4.— (1) This regulation applies where one or more members of another occupational pension scheme (“the transferring members”)—

(a) cease to be in pensionable employment under that scheme,

(b) join this scheme, and

(c) consent in writing to a transfer payment being accepted in respect of them and pensionable service being credited to them as mentioned in paragraphs (2) and (3).

(2) The Secretary of State may, after taking advice from the Government Actuary, accept a single transfer payment in respect of the transferring members.

(3) Where such a transfer payment is accepted, each of the transferring members must be credited with such additional period of pensionable service as the Secretary of State determines to be appropriate after taking advice from the Government Actuary.]

Textual Amendments

F153 Reg. N4 substituted (5.4.2002) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(b), Sch. para. 9

Waiver of transfer payments E+W+S

N5.—(1) The Secretary of State may waive payment of any transfer payment.

(2) If the Secretary of State waives payment of any transfer payment, regulations N1 to N4 will apply as if the transfer payment had been accepted.

PART P E+W+S Members absent from work

Absence because of illness or injury or [F154 certain types of leave] E+W+S

P1.—(1) This regulation applies to members who are absent from work because of illness or injury or who are on maternity leave [F155 , adoption leave or paternity leave].

(2) A period of absence to which this regulation applies will count as pensionable service for so long as the member contributes to the scheme.

(3) If the earnings used to calculate a member’s pensionable pay are reduced during a period of absence to which this regulation applies—

(a) for the purpose of calculating the member’s contributions to the scheme (other than by way of payment for additional service or unreduced retirement lump sum), pensionable pay for the period of absence will be calculated on the basis of the member’s reduced earnings; and

(b) for all other purposes, the member’s pensionable pay for the period of absence will be calculated as if no reduction were being made.

(4) If the earnings used to calculate a member’s pensionable pay cease during a period of absence to which this regulation applies—

(a) subject to sub–paragraph (b), the member will be treated as having left pensionable employment except that no refund of contributions or other benefit will be payable until the member actually leaves pensionable employment;

(b) in the case of a [F156 member on maternity leave, adoption leave or paternity leave] who paid contributions on the basis of reduced earnings in accordance with paragraph 3(a), contributions shall continue to be payable at that rate.

(5) If a member fails to pay any contributions which are required to be paid to the scheme in respect of a period of absence to which this regulation applies, the member will be treated as having left pensionable employment except that no refund of contributions or other benefit shall be payable unless the member actually leaves pensionable employment.

(6) If a member to whom this regulation applies leaves pensionable employment or, by virtue of paragraph (4)(a) or (5), is treated as having left pensionable employment, without becoming entitled to a preserved pension, then if the member later returns to pensionable employment regulation L4(4) (early leavers returning to pensionable employment) will apply as if the reference to 12 months was a reference to 3 years.

(7) The benefits payable on the death of a member whose earnings ceased during a period of absence to which this regulation applies will be calculated as if the member had died in pensionable employment on the day before his earnings ceased.

Textual Amendments

F154 Words in reg. P1 heading substituted (with effect from 6.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(a), 2(5)(a)

F155 Words in reg. P1(1) inserted (with effect from 6.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(a), 2(5)(b)(i)

F156 Words in reg. P1(4)(b) substituted (with effect from 6.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(a), 2(5)(b)(ii)

Other leave of absence E+W+S

P2.—(1) This regulation applies to members who are on leave of absence from work for reasons other than those referred to in regulation P1.

(2) A period of absence to which this regulation applies will count as pensionable service for so long as the member contributes to the scheme.

(3) If the earnings used to calculate the member’s pensionable pay are reduced or cease during a period of absence to which this regulation applies pensionable pay (and, consequently, the member’s contributions and benefits) for the period of absence will be calculated on the basis of the member’s earnings immediately before the absence started.

PART Q E+W+S Right to buy additional service and unreduced retirement lump sum

Right to buy additional service E+W+S

Q1.—(1) Subject to the provisions of this regulation and regulations Q3 (2) and (6) (electing to buy additional service), Q4 (paying by single payment) and Q6 (paying by regular additional contributions), a member in pensionable employment may increase his rights to benefits under the scheme, by buying additional service.

(2) The member may choose to pay for additional service by making a single payment in accordance with regulation Q4 or by making regular additional contributions in accordance with regulation Q6 or partly in one way and partly in the other.

(3) The member must exercise his right to buy additional service within the time limits described in regulation Q4 or, as the case may be, regulation Q6 and before becoming entitled to a pension under regulation E1 (normal retirement pension) or L1 (preserved pension).

(4) Any period of additional service that the member buys will count as pensionable service for all of the purposes of the scheme, except—

(a) for the purpose of calculating whether and, if so, by how much the member’s pensionable service should be (or, where the member dies in pensionable employment, would have been) increased as described in regulation E2 (early retirement pension on grounds of ill–health); and

(b) for the purpose of calculating the member’s qualifying service in accordance with regulation C3 (meaning of qualifying service).

(5) For the purposes of regulation G7 (widower’s pension), if a woman exercised her right to buy additional service before 6th April 1988, the additional service bought as a result of the exercise of that right will be treated as service before 6th April 1988.

[F157 (5A) For the purposes of regulation G10 (surviving civil partner’s pension) if a civil partner exercised his right to buy additional service before 6th April 1988, the additional service bought as a result of the exercise of that right will be treated as service before 6th April 1988.]

(6) Subject to paragraph (7) and regulation C2(3), the maximum period of additional service that the member may buy is the period set out in the following table opposite the number of years of pensionable service that the member could complete if he stayed in pensionable employment until age 60 [F158 or, in the case of a special class officer, age 55]. A member who could not complete at least 9 years pensionable service prior to reaching age 60 [F158 or, in the case of a special class officer, age 55] may not buy any additional service.

Potential years of pensionable service	Maximum period of additional service that member may buy
9	1 year
10	2 years
11	3 years
12	4 years
13	5 years
14	7 years
15	9 years
16	11 years
17	13 years
18	15 years
19	17 years
20 or more	20 years

[F159 (6A) A member who

(i) joined the scheme on or after 17th March 1987;

(ii) has made an application prior to 1st September 1997 to buy additional service; and

(iii) does not commence making payments under regulation Q6 until on or after 1st September 1997,

may, until no later than 31st August 1998, elect that paragraph (6) shall cease to apply to him.

(6B) Paragraph (6) shall cease to apply to a member who

(i) joined the scheme on or after 17th March 1987;

(ii) makes an application on or after 1st September 1997 to buy additional service; and

(iii) commences payments under regulation Q6 on or after 1st September 1997.]

(7) The member’s right to buy additional service is subject to any limits imposed by the Inland Revenue.

(8) Where a special class officer buys a period of additional service, the amount of the benefits attributable to that period of additional service will be those that would be payable in the case of a member who is not a special class officer.

(9) Where a member, following a break in pensionable employment in respect of which he received a refund of contributions which has not been repaid, rejoins the scheme, he may buy all or any part of the previous pensionable service provided that the employment giving rise to that service was not employment to which the contracting–out requirements applied.

Textual Amendments

F157 Reg. Q1(5A) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(21)

F158 Words in reg. Q1(6) inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 8(1)

F159 Reg. Q1(6A)(6B) inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 8(2)

Right to buy an unreduced retirement lump sum E+W+S

Q2.—(1) Subject to the provisions of this regulation and regulations Q3(2) and (6) (electing to buy unreduced retirement lump sum), Q5 (paying by single payment), and Q6 (paying by regular additional contributions), a member in pensionable employment whose pensionable service started before 25th March 1972 and who is, or has been, married [F160 or in a civil partnership], may make payments to the scheme to off–set all or part of any reduction in the lump sum payable to the member under regulation E6 (lump sum on retirement).

(2) The member may choose to pay for an unreduced retirement lump sum by making a single payment in accordance with regulation Q5 or by making regular additional contributions in accordance with regulation Q6 or partly in one way and partly in the other.

(3) The member must exercise the right to buy an unreduced retirement lump sum within the time limits described in regulation Q5 or, as the case may be, regulation Q6 and before the lump sum becomes payable.

Textual Amendments

F160 Words in reg. Q2(1) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(22)

Electing to buy additional service or unreduced retirement lump sum E+W+S

Q3.—(1) A member electing to buy additional service or unreduced retirement lump sum shall do so by giving notice in writing to the employing authority on the form provided, giving such information as may be required.

(2) A member may not exercise a right to buy additional service or unreduced retirement lump sum during a period of absence from work or while his earnings are reduced or have ceased.

(3) For the purposes of these Regulations, the date on which a member elects to buy additional service or unreduced retirement lump sum means the date on which the employing authority receives the member’s completed form exercising that right.

(4) If a member who elects to pay for additional service or unreduced retirement lump sum by a single payment leaves pensionable employment within 3 months after starting that employment, the election will cease to have effect.

(5) For the purposes of paragraph (4), and notwithstanding regulation P1(5) (absence through illness or injury or maternity), a member whose earnings cease during a period of absence from work will not be treated as if he had left pensionable employment.

(6) The Secretary of State shall not accept an election from a member who wishes to pay for additional service or unreduced retirement lump sum by additional regular contributions unless satisfied that the member is in good health and that there is no reason why the member’s health should prevent him from paying the contributions for the whole period for which he has chosen to pay them.

Paying for additional service by single payment E+W+S

Q4.—(1) Subject to paragraph (2), a member who wishes to pay for additional service by a single payment must elect to do so within 12 months of first joining the scheme.

(2) A member who, following a break in pensionable employment, rejoins the scheme, may pay for additional service by a single payment if—

(a) he again becomes a member having become entitled, in respect of earlier pensionable service, to a pension under regulation L1 (preserved pension) which has not become payable,

(b) he again becomes a member having, in respect of earlier pensionable service, received a refund of contributions which has not been repaid, or

(c) he again becomes a member having, in respect of earlier pensionable service, required a transfer of rights to another scheme in circumstances where those other rights are preserved in that other scheme,

and he elects to do so within 12 months of rejoining the scheme.

(3) The amount of a single payment for additional service will be calculated in accordance with Table 1 of Schedule 1.

(4) For the purposes of Table 1 of Schedule 1, “remuneration" means, subject to paragraph (5), the yearly average of a member’s pensionable pay (ignoring any reduction or cessation of earnings as a result of absence or otherwise) in respect of the 3 months’ pensionable employment immediately preceding the date on which the member elects to buy the additional service or unreduced retirement lump sum.

(5) If the member has not been in pensionable employment for 3 months before electing to buy the additional service or unreduced retirement lump sum, “remunera–tion" means the yearly average of the member’s pensionable pay in respect of the first 3 months’ pensionable employment.

(6) The member must make any single payment for additional service within 3 months after electing to do so or, if later, within 6 months after starting pensionable employment.

(7) Where a person elects to buy additional service in the circumstances described in regulation Q1(9), the cost will be calculated as one–half of the cost calculated under paragraph (3).

Paying for unreduced retirement lump sum by single payment E+W+S

Q5.—(1) A man who wishes to pay for an unreduced retirement lump sum by a single payment must elect to do so within 12 months after getting married, or, if he is not then a member, within 12 months of first rejoining the scheme after getting married.

(2) A woman who wishes to pay for an unreduced retirement lump sum by a single payment must elect to do so within 12 months after nominating her husband to receive a dependent widower’s pension under regulation G8 (dependent widower’s pension).

[F161 (2A) A member who has formed a civil partnership who wishes to pay for an unreduced lump sum by a single payment must elect to do so within 12 months after nominating his civil partner to receive a dependent surviving civil partner’s pension under regulation G11 (dependent surviving civil partner’s pension).]

(3) The amount of a single payment for an unreduced retirement lump sum will be calculated in accordance with Table 2 of Schedule 1.

(4) For the purposes of Table 2 of Schedule 1, “remuneration" means, subject to paragraph (5), the same as in regulation Q4(4) and (5) (meaning of remuneration for the purposes of Table 1 of Schedule 1).

(5) In the case of a member who elects to buy an unreduced retirement lump sum but who is no longer required to contribute under regulation D1 )contributions by members) because regulation D1(3) or (4) applies’ “remuneration" means the amount to which a pension equal to the member’s final year’s pensionable pay and beginning on the day on which regulation D1(3) or (4) started to apply would have been increased under Part I of the Pensions (Increase) Act 1971 at the date of the election to buy the unreduced retirement lump sum.

(6) The member must make any single payment for an unreduced retirement lump sum within 3 months after electing to do so or, if later, within 6 months after starting pensionable employment.

Textual Amendments

F161 Reg. Q5(2A) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(23)

Paying for additional service or unreduced retirement lump sum by regular additional contributions E+W+S

Q6.—(1) A member who wishes to pay for additional service or an unreduced retirement lump sum by regular additional contributions must elect to do so before reaching age 63.

(2) Any such regular additional contributions shall be deducted from the members earnings, and paid to the Secretary of State, in like manner as under regulation D1(5) (contributions by members).

(3) Subject to paragraph (4), the member must pay the regular additional contributions from his next birthday following the date on which he elects to buy the additional service or unreduced retirement lump sum until either his 60th or 65th birthday, whichever the member chooses (“the chosen date").

(4) The period for which a member elects to pay regular additional contributions must be at least 2 years.

(5) The regular additional contributions will be calculated as a percentage of the member’s 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).

(6) The member’s total regular contributions to the scheme, including contributions under regulation D1 may not exceed 15 per cent. of pensionable pay, or any other limit specified for the time being by the Inland Revenue.

(7) Where a person elects to buy additional service in the circumstances described in regulation Q1(9), the cost will be calculated as one–half of the cost calculated in accordance with Table 3 of Schedule 1.

(8) If a member who has elected to pay for additional service or unreduced retirement lump sum by regular additional contributions stops paying the contributions before the chosen date under paragraph (3), regulation Q7 (part payment for additional service or unreduced retirement lump sum) will apply.

Part payment for additional service or unreduced retirement sum E+W+S

Q7.—(1) If a member who is paying for additional service or unreduced retirement lump sum by regular additional contributions stops paying before the chosen date under regulation Q6(3), the member’s benefits will be calculated as described in this regulation.

(2) If, within 12 months after starting to pay the additional contributions, the member dies in pensionable employment or makes an application for a pension under regulation E2 (early retirement pension on grounds of ill–health) which subsequently becomes payable, an amount equal to the contributions (less any tax that may be payable) will be returned to the member or the member’s personal representatives.

(3) If, 12 months or more after starting to pay the additional contributions, the member dies in pensionable employment or becomes entitled to a pension under regulation E2 prior to his attaining the age of 60, the additional contributions shall be deemed to have been paid and the member’s benefits will be increased to include the additional service or unreduced retirement lump sum that the member has chosen to buy.

(4) If neither of paragraphs (2) or (3) apply, the member’s benefits will include a proportion of the additional service or unreduced retirement lump sum that the member has chosen to buy, calculated as described in paragraph (5).

(5) Subject to paragraph (6) the proportion will be calculated as—

(6) If the member becomes entitled to receive benefits before the chosen date under regulation Q6(3), the proportion of additional service or unreduced retirement lump sum to be credited to the member will be calculated as described in paragraph (5) but (except in a case where a reduction for early payment falls to be made under regulation E5(2) or E6(7)(b)) will then be reduced on a basis determined by the Government Actuary and consistent with the preservation requirements.

PART R E+W+S Special provisions for certain members

Practitioners and trainee practitioners E+W+S

R1.—(1) These Regulations apply to members who are or have been practitioners as if they were officers employed by the relevant [F162 Local Health Board] [F163 or Primary Care Trust], but with the modifications described in Schedule 2.

(2) These Regulations apply to members who are or have been trainee practitioners as if they were whole–time officers employed by the relevant [F164 [F162 Local Health Board] or Primary Care Trust].

[F165 (3) These Regulations apply from 1^st April 2004 to a non-GP provider as if they were a whole-time officer employed by the relevant Primary Care Trust or Local Health Board.]

Textual Amendments

F162 Words in reg. R1 substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 16

F163 Words in reg. R1(1) inserted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), regs. 1, 8, Sch. 5 (with reg. 2(3)(4))

F164 Words in reg. R1(2) substituted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), regs. 1, 14, Sch. 11 (with reg. 2(3)(4))

F165 Reg. R1(3) added (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 8

Nurses, physiotherapists, midwives and health visitors E+W+S

R2.—(1) Subject to paragraph (2), this regulation applies to a member—

(a) who, at the coming into force of these Regulations—

(i) is in pensionable employment as a nurse, physiotherapist, midwife or health visitor, or

(ii) has accrued rights to benefits under the scheme arising out of a previous period in which she was engaged in such employment and at no time since the last occasion on which she was so engaged has she had a break in pensionable employment for any one period of 5 years or more,

and

(b) who spends the whole of the last 5 years of her pensionable employment as a nurse, physiotherapist, midwife or health visitor.

(2) This regulation shall cease to apply if the member has a break in pensionable employment for any one period of 5 years or more ending after the coming into force of these Regulations.

(3) Where this regulation applies—

(a) regulation E1 (normal retirement pension) will apply to the member as if the reference, in paragraph (1) of that regulation, to age 60, were a reference to age 55;

(b) if the member leaves pensionable employment because of redundancy, but without becoming entitled to a pension under regulation E3 (early retirement pension on grounds of redundancy), regulation L1 (preserved pension) will apply as if the references, in paragraphs (1), (3) and (4) of that regulation, to age 60, were references to age 55.

(4) Where, in accordance with paragraph (3), a member becomes entitled to receive a pension before age 60, the amount payable shall—

(a) in the case of a female member, be calculated by reference to all of her pensionable service under the scheme; and

(b) in the case of a male member, be calculated only by reference to pensionable service on or after 17th May 1990.

(5) Subject to regulation Q6(4), if the member chooses to pay for additional service or unreduced retirement lump sum by regular additional contributions under regulation Q6, contributions may be made from the next birthday following the exercise of the right to do so, until the member’s 55th, 60th or 65th birthday, whichever the member chooses, and that date will be the chosen date under regulation Q6(3).

(6) For the purposes of paragraphs (1) and (2), pensionable employment includes employment that qualified the member for benefit under a health service scheme.

(7) For the purpose of calculating the 5 year period referred to in paragraph (1)(b), “pensionable employment" does not include additional service bought under regulation Q1 or a period in respect of which a refund of contributions has been paid under regulation L2.

Mental health officers E+W+S

R3.—(1) Subject to paragraph (2), this regulation applies to a member who at the coming into force of these Regulations—

(a) is in pensionable employment under the scheme as a mental health officer, or

(b) has accrued rights to benefits under the scheme arising out of a previous period in which he was engaged in such employment and at no time since the last occasion on which he was so engaged has he had a break in pensionable employment for any one period of 5 years or more.

(2) Subject to paragraph (3), this regulation shall cease to apply if the member has a break in pensionable employment for any one period of 5 years or more ending after the coming into force of these Regulations.

(3) Paragraph (2) shall be without prejudice to the operation of paragraph (5)(a) in relation to any period prior to this regulation ceasing to apply.

(4) For the purposes of paragraphs (1) and (2), “pensionable employment" includes employment that qualified the member for benefit under a health service scheme.

(5) Subject to paragraphs (6) and (7), where this regulation applies—

(a) if the member has in excess of 20 years’ pensionable service as a mental health officer, regulation E1 (normal retirement pension) will apply as if the reference, in paragraph (1) of that regulation, to age 60, were a reference to age 55, but only if the member was in pensionable employment as a mental health officer immediately before leaving; and

(b) each complete year of pensionable service as a mental health officer in excess of 20 years will count as 2 years’ pensionable service.

(6) For the purposes of calculating the 20 year period referred to in paragraph (5)—

(a) there shall, in the case of a member who has reached age 50, be taken into account any period before he became a mental health officer in which he was employed on the staff of a hospital used wholly or partly for the treatment of persons suffering from mental disorder and in which he devoted the whole or substantially the whole of his time to the treatment and care of such persons, unless it would be more favourable to the member (or, if the member has died, to the persons entitled to benefits in respect of the member) to disregard any such period;

(b) pensionable service does not include additional service bought under regulation Q1 (right to buy additional service).

(7) Paragraph (5) does not apply—

(a) for the purpose of calculating, under regulations E2 (early retirement pension on grounds of ill–health) and H3, H4 and H5 (child allowance), the pensionable service the member could have completed if he had stayed in pensionable employment until a particular age;

(b) for the purpose of calculating a minimum [F166 widow's, widower’s or surviving civil partner's] pension based on the member’s pensionable service after 5th April 1978 under regulation G6(2) (member marries after leaving pensionable employment); or

(c) for the purpose of calculating a member’s benefits where it would be more favourable to the member or other person entitled to the benefits not to apply that paragraph and to calculate the member’s benefits by reference to the member’s final year’s pensionable pay when the member leaves pensionable employment, completes 45 years’ pensionable service (calculated without regard to paragraph (5)(b)), reaches age 65 or dies, whichever occurs first.

(8) Where, by virtue of paragraph (7)(c), paragraph (5) does not apply, the amount of any contributions that should have been paid by the member under regulation D1 (contributions by members), but which were not deducted from the member’s earnings, will be deducted from the lump sum payable on the member’s retirement or death.

(9) If a member who has in excess of 20 years pensionable service for the purposes of paragraph (5) leaves NHS employment before reaching age 55 because of redundancy, but without becoming entitled to a pension under regulation E3 (early retirement pension on grounds of redundancy), and was in pensionable employment as a mental health officer immediately before leaving, regulation L1 (preserved pension) will apply as if the references in that regulation, to age 60, were to age 55.

(10) Subject to paragraph (12), if any member to whom this regulation applies becomes entitled to a preserved pension under regulation L1 on ceasing to be a mental health officer, the pension will be based on the greater of the member’s basic service and a period of service calculated as—

where— “basic service" means the member’s pensionable service, calculated without regard to paragraph (5);

“potential basic service" means the pensionable service the member could have completed if he had stayed in pensionable employment until age 55, calculated without regard to paragraph (5); and

“potential service" means the pensionable service the member could have completed, taking account of paragraph (5), if he had stayed in pensionable employment as a mental health officer until age 55.

(11) Subject to paragraph (12), if a member with at least 2 years’ qualifying service ceases to be a mental health officer while continuing in pensionable employment, the member’s pension in respect of the period before ceasing to be a mental health officer will, if it would be more favourable to him, be of an amount equal to the preserved pension to which the member would have become entitled in accordance with paragraph (10) if he had left pensionable employment on the day he ceased to be a mental health officer.

(12) Paragraphs (10) and (11) do not apply if the member again becomes a mental health officer within 12 months after the date on which he ceased to be a mental health officer.

(13) Subject to regulation Q6(4), if a member elects to pay for additional service or unreduced retirement lump sum by regular additional contributions under regulation Q6 he may elect to make those contributions from his next birthday following the date on which he elected to buy the additional service or unreduced lump sum until his 55th, 60th or 65th birthday, whichever he chooses, and that date will be the chosen date under regulation Q6(3).

(14) In this regulation, “mental health officer" means—

(a) an officer working whole–time on the medical or nursing staff of a hospital used wholly or partly for the treatment of persons suffering from mental disorder, who devotes all, or almost all, of his time to the treatment or care of persons suffering from mental disorder;

(b) any other officer employed in such a hospital who is within a class or description of officers designated by the Secretary of State as mental health officers for this purpose; and

(c) a [F167 specialist] in part–time NHS employment who devotes all, or almost all, his time to the treatment or care of persons suffering from mental disorder and who satisfies the requirements of paragraph (15).

(15) A member satisfies the requirements of this paragraph if he holds a whole–time specialist post and either—

(a) he receives at least 10/11ths of the pensionable pay that he would have received for whole–time NHS employment, or

(b) he was appointed before 1st January 1980 and retains the right, to which he was entitled on 31st December 1979, to be paid at least 9/11ths of the pensionable pay that he would have received for whole–time NHS employment.

(16) The Secretary of State may agree to treat as a mental health officer any member who, by reason of having transferred to part–time pensionable employment, would otherwise have ceased to be a mental health officer providing that person is engaged in work which had it been whole time, would have qualified that member for mental health officer status and there is no break in pensionable employment between the transfer from whole–time to part–time employment.

(17) Where a member is treated as a mental health officer by virtue of paragraph (15) or (16), each year of part–time pensionable service shall, for the purpose of determining whether the member has in excess of 20 years pensionable service for the purposes of paragraph (5) (but for no other purpose), be treated as if it were a year of whole–time pensionable service.

Textual Amendments

F166 Words in reg. R3(7)(b) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(24)

F167 Word in reg. R3(14)(c) substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 10

Members doing more than one job E+W+S

R4.— [F168 (1) This regulation applies to members in NHS employment—

(a) with more than one employing authority;

(b) who hold, under one employing authority, two or more separate employments; or

(c) to whom paragraph (10A) below applies.]

(2) The member may contribute to the scheme in respect of all or any of his employments with employing authorities, providing that the employments in respect of which he chooses to contribute to the scheme do not in aggregate exceed, as determined by the Secretary of State, a single comparable whole–time employment.

(3) Any amount by which the member’s pensionable pay in respect of concurrent part– time employments exceeds the amount that the Secretary of State determines would have been paid in respect of a single comparable whole–time employment will be ignored.

(4) Any amount by which the member’s pensionable service in respect of concurrent part–time employments, calculated as described in regulation R5 (pensionable service in respect of part–time employment), exceeds the period during which the member carried on those employments, will be ignored.

(5) Subject to paragraph (6), the member shall not become entitled to a pension under any of regulations E1 to E5 or a preserved pension under regulation L1 until the termination of all NHS employments (including employment as a practitioner) or he reaches age 70.

(6) If the member leaves employment with one employing authority and becomes entitled to a pension under regulation E3 (early retirement pension on grounds of redundancy) in relation to the employment that has ended, the member may elect to take benefits only in respect of the employment that has ended and to continue to accrue rights to benefits in respect of any other continuing pensionable employment.

(7) Where the member elects under paragraph (6), paragraph (5) will apply in relation to any employment in respect of which the member continues to accrue rights to benefits.

(8) For the purposes of paragraph (5) the member, on leaving NHS employment, shall be treated as having terminated all NHS employment where any remaining NHS employment amounts to 16 hours per week or less.

(9) Regulation S2 (reduction of pension on return to NHS employment) will apply to any member who becomes entitled to a pension under paragraph (6) while continuing in other NHS employment.

(10) [F169 Subject to paragraph (10A), in calculating] the member’s final year’s pensionable pay there shall be taken into account pensionable pay in respect of any other pensionable employment in that final year except a pensionable employment in respect of which the member continues to accrue benefits in accordance with paragraph (6).

[F170 (10A) A member who becomes entitled to a pension under regulation E3, and has terminated concurrent employment as a practitioner not more than 12 months before the date on which he becomes entitled to that pension, shall not be entitled to receive a pension under regulation E3 in respect of any employment as a practitioner, but shall be entitled only to receive a pension under regulation E1 or E5, or a preserved pension under regulation L1, in respect of such employments.

(10B) Where paragraph (10A) applies, the member may, in respect of any service as an officer which has terminated and to which paragraph 9(1), (6) or (9) of Schedule 2 applies, elect for that paragraph not to apply and instead to receive a pension under regulation E3 in respect of that service.]

(11) The member will not receive a refund of contributions under regulation L2 until he leaves all pensionable employment without becoming entitled to a pension under any of regulations E1 to E5 or a preserved pension under regulation L1.

(12) The member may exercise a right to transfer or buy–out under regulations M1 to M5 (transfers and buy–outs) only if he leaves all pensionable employment before reaching age 60 and before becoming entitled to a pension under the scheme.

Textual Amendments

F168 Reg. R4(1) substituted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 9(a)(i)

F169 Words in reg. R4(10) substituted (1.4.1998) by virtue of The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 9(a)(ii)

F170 Reg. R4(10A)(10B) inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 9(a)(iii)

Part–time employment E+W+S

R5.—(1) Subject to paragraphs (6) and (10), a member’s pensionable service in part– time employment will not count at its full length but will be calculated as described in paragraphs (2) or (3), whichever is applicable, as its whole–time equivalent.

(2) If the member’s part–time employment is expressed as a specified number of half– days or sessions a week, the whole–time equivalent of the member’s pensionable service in respect of that employment will be calculated by multiplying the full length of that service by the following fraction—

(3) In any case where paragraph (2) does not apply, the whole–time equivalent of the member’s pensionable service in respect of part–time employment will be calculated by multiplying the full length of that service by the following fraction—

(4) Subject to paragraph (5), for the purpose of calculating a member’s final year’s pensionable pay in respect of part–time employment, the member’s pensionable pay will be the amount that the Secretary of State determines would have been paid in respect of a single comparable whole–time employment.

[F171 (4A) “A single comparable whole-time employment” in paragraph 4 means the number of hours, half-days or sessions which the Secretary of State determines would constitute a single comparable whole-time pensionable employment.]

(5) Paragraph (4) does not apply to the calculation of final year’s pensionable pay for the purposes of—

(a) regulations F1(2) and F2(2) (lump sum payable on death in pensionable employment or after pension becomes payable);

(b) regulation S2 (reduction of pension on return to NHS employment).

(6) If a member with pensionable service in part–time employment becomes entitled to a pension under regulation E2 (early retirement pension on grounds of ill health) [F172 or regulation E3 (early retirement pension (redundancy, etc.)]—

(a) the member’s pensionable service in part–time employment will count at its full length for the purpose of [F173 calculating—

(i) whether and (if so) to what extent, the pensionable service upon which the pension under regulation E2 is based should be increased under that regulation, or

(ii) the qualifying service for the purposes of regulation E3(1)(a);]

(b) the pension will be based on the whole–time equivalent of the period of part– time employment [F174 and, in the case of a pension under regulation E2, the increase under that regulation] will be limited to such amount as bears the same proportion to the amount that would have been paid had the pensionable service not been part–time as the whole time equivalent bears to comparable whole time employment.

(7) If a member in part–time pensionable employment elects to buy additional service as described in regulation Q1 (right to buy additional service), the period of additional service will be calculated in accordance with Table 1 or Table 3 of Schedule 1 (whichever is applicable) and then reduced by multiplying the full length of that additional service by the following fraction—

where— “part–time pensionable employment" means the number of hours, half–days or sessions that the member was required to work under his contract of employment during the period by reference to which “remuneration" was calculated for the purposes of Table 1 of Schedule 1 or regular additional contributions were paid in accordance with regulation Q6 (paying by regular additional contributions); and

“comparable whole–time pensionable employment" means the number of hours, half–days or sessions that would have constituted comparable whole–time pension– able employment during that period.

(8) If a member in part–time pensionable employment elects to buy an unreduced retirement lump sum as described in regulation Q2 (right to buy an unreduced retirement lump sum), the period referred to in Table 2 or Table 4 of Schedule 1 (whichever is applicable) will be reduced in like manner as described in paragraph (7) above.

(9) Paragraphs (7) and (8) above also apply for the purposes of regulation Q7 (part payment for additional service or unreduced retirement lump sum).

(10) A member’s pensionable service in respect of part–time employment will count at its full length (and concurrent periods of employment will be treated as a single employment) for the purposes of regulations C2(3) (limit on pensionable service that counts for benefits) and C3(1) (qualifying service).

Textual Amendments

F171 Reg. R5(4A) inserted (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 6

F172 Words in reg. R5(6) inserted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 11(a)

F173 Words in reg. R5(6)(a) substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 11(b)

F174 Words in reg. R5(6)(b) substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 11(c)

Members entitled to fees for domiciliary consultations E+W+S

R6.—(1) This regulation applies to members who, as medical or dental officers, have received fees from an employing authority in respect of domiciliary consultations.

(2) Any fees received in respect of domiciliary consultations will be included in the member’s pensionable pay for the purposes of regulation D1 (contributions by members).

(3) Any fees in respect of domiciliary consultations that are included in the member’s pensionable pay for the purposes of regulation D1 will also be included in the member’s pensionable pay for the purpose of deciding the year by reference to which final year’s pensionable pay is to be calculated, but the member’s final year’s pensionable pay will then be reduced by the amount of any fees received in respect of domiciliary consultations during that year.

(4) If the member’s final year’s pensionable pay is reduced as described in paragraph (3), a supplementary benefit shall be payable with each benefit that is payable to, or in respect of, the member under the scheme.

(5) Subject to paragraph (6), each supplementary benefit that is payable in accordance with paragraph (4) will be calculated in the same way as the benefit that it supplements as if the amount of the fees received in respect of domiciliary consultations during the year by reference to which final year’s pensionable pay is calculated were the member’s final year’s pensionable pay.

(6) Any supplementary benefit will be based on the same pensionable service as the benefit that it supplements, except that—

(a) any period of additional service bought as described in regulation Q1 (right to buy additional service) will be ignored;

(b) any additional period of pensionable service credited to the member by virtue of paragraph (5)(b) of regulation R3 (mental health officers) will be ignored;

(c) any period of service calculated as described in regulation 35(7) of the previous regulations (calculation of service in respect of part–time employment before 15th December 1966) will be ignored; and

(d) where that pensionable service consists of or includes part–time employment, regulation R5(1) (part–time employment) will be ignored.

(7) If the member exercises a right to buy additional service under regulation Q1 or unreduced retirement lump sum under regulation Q2, the amount of any fees received from an employing authority in respect of domiciliary consultations will not be included in the member’s pensionable pay for the purpose of calculating the cost of the additional service or unreduced retirement lump sum, except as described in paragraph (8).

(8) If the member exercises a right to buy an unreduced retirement lump sum under regulation Q2—

(a) any fees received during the last financial year ending before the member elects to buy an unreduced retirement lump sum will be included in the member’s remuneration for the purpose of calculating the amount payable under regulation Q5(3) (paying for an unreduced retirement lump sum by a single payment); and

(b) any fees received while the member is paying for an unreduced retirement lump sum by regular additional contributions will be included in the member’s pensionable pay for the purposes of regulation Q6(5) (paying for an unreduced retirement lump sum by regular additional contributions).

(9) If the member returns to NHS employment after becoming entitled to a pension, the member’s final year’s pensionable pay will include, for the purposes of calculating previous pay under regulation S2 (reduction of pension on return to NHS employment), the amount of any fees received in respect of domiciliary consultations during the year by reference to which final year’s pensionable pay is calculated.

Members who work temporary additional sessions E+W+S

R7.—(1) This regulation applies to members who work temporary additional sessions.

(2) Any period of employment in respect of a temporary additional session will be ignored when calculating a member’s pensionable service, and any payment received in respect of that employment will be ignored when calculating the member’s pensionable pay.

(3) In this regulation, “temporary additional session" means a session equivalent to an extra notional half–day which a specialist or an officer appointed to a post in the grade of associate specialist has, in exceptional circumstances, undertaken to work and which does not form part of the member’s normal contractual duties.

(4) In the case of a member who holds a whole–time specialist post and who receives at least 10/11ths of the pensionable pay that he would have received for whole–time pensionable employment, temporary additional session also includes any session in excess of 10 in any one week, regardless of its length.

Former members of health service schemes E+W+S

R8.—(1) For the purposes of these Regulations, “health service scheme" means—

(a) a superannuation scheme provided under regulations made under section 10 of the Superannuation Act 1972 and for the time being in force in relation to Scotland,

(b) a superannuation scheme provided under regulations for the time being in force under Article 12 of the Superannuation (Northern Ireland) Order 1972 or a scheme made under section 2 of the [F175 Superannuation Act 1984], or

(c) any other occupational pension scheme approved for this purpose by the Secretary of State.

(2) A member who leaves employment in respect of which he qualified for benefit under a health service scheme and who joins the scheme may, subject to paragraphs (3) and (4), require the Secretary of State to credit him with a period of pensionable service (together with the rights attaching to that service) under the scheme, calculated as if—

(a) the employment to which the health service scheme applied were NHS employment; and

(b) the member’s contributions to the health service scheme were contributions to the scheme.

(3) The member may exercise this right only if a transfer payment is made from the health service scheme to the scheme.

(4) A member who wishes to exercise this right must do so by making application in writing to the Secretary of State within 1 year after joining the scheme.

(5) A member who leaves employment to which a health service scheme applied without becoming entitled to any benefits other than a return of contributions may buy additional service as described in regulation Q1 (right to buy additional service) and regulations Q4(7) and Q6(8) will apply, as the case may be, as if the previous service under a health service scheme were previous pensionable service under this scheme.

Textual Amendments

F175 Words in reg. R8(1)(b) substituted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 9(b)

Members whose earnings are reduced E+W+S

R9.—(1) A member with at least 2 years’ qualifying service who suffers a reduction in earnings in the circumstances described in paragraph (2) may opt to take a preserved pension under regulation L1 in respect of his pensionable service before his earnings were reduced.

(2) A member acquires the right described in this regulation if the reduction is due to—

(a) the member being transferred to other employment with an employing authority;

(b) the member taking up other employment with an employing authority, in circumstances approved by the Secretary of State; or

(c) a change in the member’s duties, while continuing in the same employment, otherwise than at the member’s request or as a result of something done by the member.

(3) The preserved pension will be calculated and paid as described in regulation L1 (preserved pension), as if the member had left pensionable employment immediately before his earnings were reduced.

(4) A member wishing to exercise the option described in this regulation must make application in writing to the Secretary of State within 3 months after his earnings are reduced.

(5) If a member continues to contribute to the scheme after exercising the option described in this regulation, the member’s pensionable service before and after the member’s earnings are reduced will, subject to paragraph (6), be treated separately unless, when the member becomes entitled to receive a pension, or dies, (whichever occurs first), it would be more favourable to the member to treat the member’s pensionable service before and after the reduction, and all such other reductions (if any), as continuous.

(6) The member’s pensionable service before and after the member’s earnings are reduced—

(a) will be treated as continuous for the purpose of calculating the member’s qualifying service under regulation C3 (meaning of “qualifying service"); and

(b) if the member next leaves pensionable employment with a pension under regulation E2 (early retirement pension on grounds of ill–health), will be treated as continuous for the purpose of calculating whether, and if so to what extent, the pensionable service on which the pension is based should be increased.

(7) If the member leaves pensionable employment with a pension under regulation E2 and the member’s pensionable service falls to be increased as described in paragraphs (4) to (6) of that regulation then, if the member’s pensionable service before and after the break is treated seperately under paragraph (5), the increase will apply only in respect of benefits attributable to the period after the member’s earnings were reduced.

Polygamous marriages E+W+S

R10.—(1) If a member dies without leaving a widow or widower but the member was at the date of death married to a spouse under a law which permits polygamy any benefits that would be payable to the member’s widow or widower shall be payable to that spouse, or where there is more than one, to those spouses in equal shares.

(2) The shares will be calculated as at the date the member dies.

(3) A spouse’s share of a pension will not be increased on the death of any other spouse.

Participators in pilot schemes E+W+S

F176 R11.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F176 Reg. R11 omitted (1.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 17

[F177 Pension sharing on divorce or nullity of marriage [F178 or, dissolution or nullity of civil partnership] E+W+S

R12.— (1) Schedule 2A shall have effect in relation to—

(a) pension credit rights; and

(b) pension credit benefit payable,

under the scheme.

(2) Except as provided for in this regulation and in Schedule 2A, Parts B to V of these Regulations shall not apply to a person entitled to a pension credit or to a pension credit member.]

Textual Amendments

F177 Reg. R12 inserted (1.5.2001) by The National Health Service (Pension Scheme and Additional Voluntary Contributions) (Pension Sharing) Amendment Regulations 2001 (S.I. 2001/1428), reg. 1, Sch. 1 para. 2

F178 Words in reg. R12 heading inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(25)

PART S E+W+S Members who return to NHS employment after pension becomes payable

Suspension of pension on return to NHS employment E+W+S

S1.—(1) This regulation applies where a pension is payable to a member by virtue of regulation E1 (normal retirement pension), E4 (early retirement pension with employer’s consent) or E5 (early retirement pension with actuarial reduction), or a preserved pension is payable to the member in the circumstances described [F179 in L1], and, within one month of the pension becoming payable, the member enters NHS employment in which he is engaged for more than 16 hours per week.

(2) A member to whom this regulation applies must inform his employer, and any other person that the Secretary of State may specify, that his pension under the scheme has become payable.

(3) Where this regulation applies the pension referred to in paragraph (1) shall, subject to paragraph (4), cease to be payable.

(4) The pension referred to in paragraph (1) shall again become payable if the member either ceases to be in any NHS employment (or reduces the number of hours worked to 16 or less) for a period of one month or reaches age 70, whichever occurs first.

(5) For the purposes of this regulation “NHS employment" includes—

(a) employment in respect of which regulations made under section 10 of the Superannuation Act 1972, and having effect in Scotland, apply; employment to which regulations made under Article 12 of the Superannuation (Northern Ireland) Order 1972 apply and employment to which a scheme made under section 2 of the [F180 Superannuation Act 1984.] applies; and

(b) employment with an employer with whom an agreement has been made under section 18 of the National Health Service (Amendment) Act 1949 M17 or section 104 of the National Health Service Act 1977 M18 or in respect of whom a direction has been made under section 7 of the Superannuation (Miscellaneous Provisions) Act 1967 M19 .

Textual Amendments

F179 Words in reg. S1(1) substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 13(1)

F180 Words in reg. S1(5)(a) substituted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 10

Marginal Citations

M17 1949 c.93. Section 118 was repealed by section 129 of and Schedule 16 to the National Health Service Act 1977 c.49.

M18 1977 c.49.

M19 1967 c.28.

Reduction of pension on return to NHS employment E+W+S

S2.—(1)  [F181 Except in a case to which paragraph (1A) applies,] [F182 subject to paragraph (15), this] regulation applies, until he reaches age 60, to a member in respect of whom a pension is payable under any of [F183 regulations E1 to E4 or in accordance with regulation L1(2)(b),], who continues in, or subsequently returns to, NHS employment.

[F184 (1A) This paragraph applies where the member has been transferred into NHS employment as a result of a transfer of an undertaking to the employer.]

(2) A member to whom this regulation applies must inform his employer, and any other person that the Secretary of State may specify, that his pension under the scheme has become payable.

(3) Where this regulation applies, the member’s pension will be reduced to the extent necessary to ensure that the member’s pension plus pay from NHS employment for any financial year after the pension becomes payable does not exceed the member’s previous pay.

(4) A member’s pension will be reduced as described in this regulation whether or not the member is included in the scheme in respect of the employment after his pension becomes payable and regardless of any provision of these Regulations under which a member may be treated as having left NHS employment without actually leaving.

(5) For the purposes of paragraph (3), the amount to be taken as the member’s previous pay shall—

(a) be increased in each financial year by the amount by which a pension beginning on the date on which the member’s pension under the scheme became payable (or, if earlier, the member left pensionable employment) would have been increased under Part I of the Pensions (Increase) Act 1971 at the 6th April falling in that financial year;

(b) in the case of a person who holds a continuing employment (otherwise than as a practitioner), be increased by the annual rate of pay in respect of the continuing employment; and

(c) in the case of a person who is employed as a practitioner in continuing employment, be increased by the average of the annual amounts of uprated earnings in respect of the last 3 financial years prior to the pension referred to in paragraph (1) becoming payable.

(6) For the purpose of calculating the reduction to be made under paragraph (3) in respect of any part of a financial year, the amount of the member’s “previous pay" will be reduced proportionately.

(7) This paragraph applies to a person who held a part–time pensionable employment immediately before the pension described in paragraph (1) became payable and who, within the 12 months preceding the date on which the pension became payable, held a concurrent part–time pensionable employment.

(8) Where paragraph (7) applies and the concurrent part–time pensionable employment terminated before the pension described in paragraph (1) became payable, previous pay shall be increased as described in paragraph (9).

(9) For the purpose of paragraph (8), previous pay shall be increased by the annual rate of pay in respect of the concurrent part–time employment mentioned in that paragraph or, if higher, that part of the pensionable pay for that employment which falls within the 12 month period mentioned in paragraph (7).

(10) This paragraph applies to a person who within the 12 months preceding the date on which the pension described in paragraph (1) became payable, was in pensionable employment as a practitioner.

(11) Where paragraph (10) applies and the pensionable employment as a practitioner terminated before the pension described in paragraph (1) became payable, previous pay shall be increased as described in paragraph (12).

(12) For the purpose of paragraph (11), previous pay shall be increased by the average of the annual amounts of the member’s uprated earnings in respect of the pensionable employment as a practitioner mentioned in that paragraph.

(13) For the purpose of paragraph (11), “uprated earnings" means the same as in paragraph 11(2) of Schedule 2.

(14) For the purposes of this regulation—

“annual rate of pay" means the annual rate of so much of the member’s pensionable pay immediately before his pension became payable as consisted of salary, wages or other regular payments of a fixed nature plus so much of his pensionable pay as consisted of fees and other regular payments not of a fixed nature as was payable during the last year before his pension became payable;

“continuing employment" means a pensionable employment which a person held immediately before he became entitled to a pension under the scheme and which he continues to hold whether it is pensionable or not;

“NHS employment" has the same meaning as in regulation S1(5);

“pension" means the amount of pension paid under the scheme for any financial year, plus any increases to that pension payable under Part I of the Pensions (Increase) Act 1971 for that period;

“pay" means the amount of pensionable pay received by the member during that financial year from NHS employment (or what would have been his pensionable pay had he been in pensionable employment); and

“previous" pay means, the greater of—

(a) final year’s pensionable pay; and

(b) the annual rate of pay for any pensionable employment in respect of which the pension referred to in paragraph (1) became payable and which the member held immediately before becoming entitled to that pension.

[F185 (15) This regulation shall not apply to practice staff in respect of whom a pension is payable under any of regulations E1 to E5 and L1 who were employed by a registered medical practitioner on both 31st August 1997 and 1st September 1997 and who—

(a) were ineligible to rejoin the scheme with effect from 1st September 1997; or

(b) made an election not to rejoin the scheme with effect from that date and who do not cancel that election.]

Textual Amendments

F181 Words in reg. S2(1) inserted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 3(a)

F182 Words in reg. S2(1) substituted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 11(1)

F183 Words in reg. S2(1) substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 13(2)

F184 Reg. S2(1A) inserted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 3(b)

F185 Reg. S2(15) added (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 11(2)

Benefits in respect of pensionable employment after pension becomes payable E+W+S

S3.—(1) This regulation applies to a member in respect of whom a pension is payable under regulation E2 (early retirement pension on grounds of ill–health) and who subsequently returns to pensionable employment.

(2) For the purposes of paragraphs (3) and (5), the member’s “previous service" means the pensionable service in respect of which the member became entitled to receive a pension under regulation E2 and the member’s “later service" means any pensionable service which accrues after becoming so entitled.

(3) Subject to paragraph (5), the member’s benefits in respect of later service shall be calculated without regard to the member’s previous service.

(4) Where the member becomes entitled, under regulation E2 to a pension in respect of later service, regulation E2(3) shall not apply in the calculation of that pension.

(5) For the purposes of regulation C2 (meaning of “pensionable service") and regulation D1(3) and (4) (contributions by members), the member’s previous service and later service shall be aggregated.

Benefits on death in pensionable employment after pension becomes payable E+W+S

S4.—(1) This regulation applies to a member in respect of whom a pension is payable under regulation E2 (early retirement pension on grounds of ill–health) who—

(a) returns to pensionable employment after that pension becomes payable; and

(b) dies in pensionable employment.

(2) In this regulation, “previous service" and “later service" have the same meaning as in regulation S3(2).

(3) Where this regulation applies, the lump sum payable on the member’s death shall be equal to 5 times the amount of the pension that would have been payable to the member had he left NHS employment and become entitled to a pension, based on his later service, under regulation E1 (normal retirement pension) on the date of his death.

(4) Subject to paragraph (5), if a member to whom this regulation applies leaves a surviving spouse [F186 or civil partner], the spouse’s [F187 or civil partner's] pension for the first 3 months after the member’s death (6 months if the member leaves a dependent child who is dependent on the spouse [F186 or civil partner]) shall be equal to the aggregate of the member’s rate of pensionable pay when he died and the amount of the member’s pension (if any) that was payable at that time.

(5) Paragraph (4) shall not apply if the aggregate of the spouse’s [F188 or civil partner's] pension and any child allowance which would otherwise be payable under these Regulations is greater.

(6) Except while the pension is payable at the rate mentioned in paragraph (4), any spouse’s [F189 or civil partner's] pension shall be equal to one–half of the rate of pension mentioned in paragraph (3) that would have been payable to the member and shall be paid in addition to any widow’s (and, where appropriate, widower’s [F190 or surviving civil partner's]) pension payable under regulation G3 (member dies after pension becomes payable) in respect of the member’s previous service.

(7) If a member to whom this regulation applies leaves a dependent child but no surviving spouse [F191 or civil partner], the child allowance, for the first 6 months after the member’s death, shall be equal to the aggregate of the member’s rate of pensionable pay when he died and the amount of the member’s pension (if any) that he was receiving at that time.

(8) Subject to paragraph (9), except where a spouse’s [F192 or civil partner's] pension or a child allowance is payable at the rate mentioned in paragraph (4) or (7) respectively, the child allowance in respect of the member’s later service shall be paid as a proportion of the rate of pension mentioned in paragraph (3) that would have been payable to the member and such proportion shall be determined in accordance with the circumstances as described in regulation H3 (member dies in pensionable employment).

(9) If a member to whom this regulation applies leaves a child who was a dependent child both at the time the member terminated his previous service and when he died, any child allowance payable under these Regulations shall be calculated according to regulation H4 (member dies after pension becomes payable) in respect of the pension already in payment’ and regulation H3 (member dies in pensionable employment) in respect of later pensionable employment. If the aggregate of pensionable service in both calculations is less than 10 years, additional service will be allocated to the later pensionable employment to bring the aggregate up to the shorter of—

(a) 10 years’ pensionable service, and

(b) the pensionable service the member could have completed if he had stayed in the later pensionable employment until age 65.

Textual Amendments

F186 Words in reg. S4(4) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(a)

F187 Words in reg. S4(4) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(b)

F188 Words in reg. S4(5) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(b)

F189 Words in reg. S4(6) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(b)

F190 Words in reg. S4(6) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(c)

F191 Words in reg. S4(7) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(a)

F192 Words in reg. S4(8) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(26)(b)

PART T E+W+S General rules about benefits

Claims for benefits E+W+S

T1.  A person claiming to be entitled to benefits under these Regulations shall make a claim in writing to the Secretary of State and shall provide such evidence of entitlement as the Secretary of State may require.

Deduction of tax E+W+S

T2.  The Secretary of State shall deduct from any payment under the scheme any tax which is required to be paid in respect of it.

[F193 Deduction of tax: further provisions E+W+S

T2A.— (1) For the purposes of these Regulations and the 2004 Act, the scheme administrator shall be the NHS Business Services Authority (Awdurdod Gwasanaethau Busnes y GIG).

(2) Where a person’s entitlement to a benefit under these Regulations—

(a) constitutes a benefit crystallisation event in accordance with section 216 of the 2004 Act; and

(b) a lifetime allowance charge under that Act is payable in respect of that event,

that charge shall be paid by the scheme administrator.

(3) Where a person’s entitlement to a benefit under these Regulations constitutes a relevant benefit accrual he may, at the time he applies for the benefit, notify the scheme administrator in writing that he wishes to waive his right to that part of it that exceeds the appropriate limit.

(4) Where the scheme administrator receives a notification referred to in paragraph (3), he shall issue the person with a “waiver form” to be completed by him and returned to the scheme administrator and which shall, upon receipt by the scheme administrator, be irrevocable.

(5) A valid waiver shall have the effect of reducing the value of benefits payable to, or in respect of, the person below his relevant benefit accrual level as determined in accordance with Schedule 36 of the 2004 Act whether or not the benefit crystallisation event in respect of those benefits occurs before, or after, the receipt of the waiver.

(6) A waiver shall not affect—

(a) a person’s or an employing authority’s liability to pay contributions whether in respect of any period before, or after, the date a person’s waiver is received by the scheme administrator;

(b) the operation of regulations F1, F2, G1 to G12, H1 to H7 and the benefits mentioned in those regulations.

(7) Where a person is entitled to a benefit under these Regulations he shall (whether or not he intends to rely on entitlement to an enhanced lifetime allowance, or to enhanced protection) give to the scheme administrator such information as will enable the scheme administrator to determine—

(a) whether any lifetime allowance is payable in respect of the benefit and, if so,

(b) the amount of that charge.

(8) If a person applying for a benefit under these Regulations intends to rely on entitlement to an enhanced lifetime allowance by virtue of any of the provisions listed in section 256(1) of the 2004 Act (enhanced lifetime allowance regulations), he shall give to the scheme administrator—

(a) the reference number issued by the Commissioners under the Registered Pension Schemes (Enhanced Lifetime Allowance) Regulations 2006 in respect of that entitlement;

(b) the information referred to in paragraph (7).

(9) The information referred to in paragraph (7) or, as the case may be, paragraph (8) shall be given to the scheme administrator—

(a) at the time the person makes a claim for a benefit; or

(b) where that information has not been provided at the time of making the claim, within such time as the scheme administrator specifies in writing.

(10) Where the person fails to provide all, or part of, the information referred to in paragraph (7) or, as the case may be, paragraph (8) within the time limits specified by the scheme administrator where relevant, the scheme administrator may treat the whole of the benefit as a chargeable benefit and pay the charge on that basis.

(11) Subject to regulation F2(4), where—

(a) a member has given notice to the scheme administrator in accordance with regulation F2(1) that a lump sum payable under that regulation is to be treated as a pension protection lump sum death benefit in accordance with paragraph 14 of Schedule 29 to the 2004 Act; and

(b) has not revoked that notice,

the scheme administrator shall deduct tax at 35 per cent (or such other amount as applies from time to time) from the lump sum payable in accordance with section 206 of that Act.

(12) For the purposes of this regulation, “appropriate limit” and “relevant benefit accrual” are to be construed in accordance with Schedule 36 to the 2004 Act.]

Textual Amendments

F193 Reg. T2A inserted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 18

Benefits not assignable E+W+S

T3.—(1) Any assignment of, or charge on, or any agreement to assign or charge, any right to a benefit under the scheme is void.

(2) On the bankruptcy of any person entitled to a benefit under the scheme, no part of the benefit shall be paid to any trustee or other person acting on behalf of the creditors, except as provided for in paragraph (3).

(3) Where, following the bankruptcy of any person entitled to a benefit under the scheme, the court makes an income payments order under section 310 of the Insolvency Act 1986 M20 that requires the Secretary of State to pay all or part of the benefit to the person’s trustee in bankruptcy the Secretary of State shall comply with that order.

Marginal Citations

M20 1986 c.45.

Beneficiary who is incapable E+W+S

T4.—(1) If the Secretary of State considers that a beneficiary is unable to look after his affairs (by reason of illness, mental disorder, minority or otherwise), she may use any amounts due to the beneficiary for his benefit or may pay them to some other person to do so.

(2) Payment under paragraph (1) to a person other than the beneficiary will discharge the Secretary of State from any obligation in respect of the amount concerned.

Offset for crime negligence or fraud E+W+S

T5.—(1) If a loss to public funds occurs as a result of a member’s criminal, negligent or fraudulent act or omission, the Secretary of State may reduce any benefits or other amounts payable to, or in respect of, the member (other than guaranteed minimum pensions and benefits arising out of a transfer payment) by an amount equal to the loss.

(2) If the loss to public funds is equal to or greater than the value of the benefits or other amounts payable to or in respect of the member, a reduction under paragraph (1) may result in the benefits ceasing to be payable.

(3) The Secretary of State shall give the member a certificate specifying the amount of the loss to public funds and of the reduction in benefits.

(4) If the amount of the loss is disputed, no reduction in benefits will be made until the member’s obligation to make good the loss has become enforceable under the order of a court or arbitrator.

(5) Where the loss referred to in paragraph (1) is suffered by an employing authority, the amount of the reduction in benefits will be paid to the employing authority.

Loss of rights to benefits E+W+S

T6.—(1) Subject to paragraph (2), the Secretary of State may direct that all or part of any rights to benefits or other amounts payable to or in respect of a member be forfeited if the member is convicted of any of the following offences, committed before the benefit or other amount becomes payable—

(a) an offence in connection with employment to which the scheme applies which is certified by the Secretary of State either to have been gravely injurious to the State or to be liable to lead to serious loss of confidence in the public service;

(b) an offence of treason;

(c) one or more offences under the Official Secrets Acts 1911 to 1989 M21 for which the member has been sentenced on the same occasion to a term of imprisonment of, or to two or more consecutive terms amounting in the aggregate to, at least 10 years.

[F194 (1A) Subject to paragraph (2), the Secretary of State may also direct that all or part of any rights to benefits or other amounts payable in respect of a member be forfeited where such benefits or amounts are payable to a person who is—

(a) the member’s [F195 widow, widower or surviving civil partner];

(b) a dependant of the member;

(c) a person not coming within sub-paragraph (a) or (b) who is specified in a notice given under regulation F5(3A); or

(d) a person to whom such benefits or amounts are payable under the member’s will or on his intestacy,

and that person is convicted of the offence of murder or manslaughter of that member or of any other offence of which unlawful killing of that member is an element.]

(2) A guaranteed minimum pension may be forfeited only if [F196 paragraph (1)(b) or (c)] applies.

Textual Amendments

F194 Reg. T6(1A) inserted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 4(a)

F195 Words in reg. T6(1A)(a) substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(27)

F196 Words in reg. T6(2) substituted (1.4.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), reg. 1(1), Sch. para. 4(b)

Marginal Citations

M21 1911 c.28; 1920 c.75; 1939 c.121; 1989 c.6.

Commutation of trivial pensions E+W+S

T7.—(1) Where a person has become entitled to a pension of a trivial amount, the Secretary of State may pay to that person a lump sum representing the capital value of that pension and of any benefits that might otherwise have become payable on that person’s death.

(2) Any lump sum payable under this regulation will be calculated by the Secretary of State, after taking advice from the Government Actuary.

[F197 (3) A pension may be treated as trivial only if all benefits payable under the scheme to the person concerned are of an amount consistent with—

(a) the contracting-out and preservation requirements of the 1993 Act; and

(b) the lump sum rule and lump sum death benefit rule.]

F198 (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(5) A payment made under paragraph (1) shall discharge the Secretary of State’s liability in respect of that pension and of any benefits that might otherwise have become payable on that person’s death.

Textual Amendments

F197 Reg. T7(3) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 19(2)

F198 Reg. T7(4) omitted (6.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 19(3)

[F199 Interest on late payment of benefits E+W+S

T8.— (1) Subject to paragraph (2) below, where the whole or any part of a qualifying payment under these Regulations is not paid by the end of the period of one month beginning with the due date, the Secretary of State shall pay interest, calculated in accordance with paragraph (3) below, on the unpaid amount to the person to whom the qualifying payment should have been made.

(2) Interest under paragraph (1) above shall not be payable where the Secretary of State is satisfied that the qualifying payment was not made on the due date by reason of some act or omission on the part of the member or other recipient of the qualifying payment.

(3) The interest referred to in paragraph (1) above shall be calculated at the base rate on a day to day basis from the due date to the date of payment, and shall be compounded with three-monthly rests.

(4) In this regulation–

“base rate” means the rate for the time being quoted by the reference banks as applicable to sterling deposits or, where there is for the time being more than one such rate, the rate which, when the base rate quoted by each reference bank is ranked in a descending sequence, is the first in the sequence;

“due date” means–

(a)

in the case of a lump sum under Part F above, the day immediately following the day of the member’s death, unless the lump sum falls to be paid to the member’s personal representative, in which case it means–

(i)

the date on which probate or letters of administration are produced to the Secretary of State, or

(ii)

the Secretary of State is satisfied that the lump sum may be paid as provided in regulation F5(4), whichever is the earlier;

(b)

in the case of a pension payable on a member’s death, the day immediately following the day of his death;

(c)

in the case of a pension under regulation L1, the day on which the pension becomes payable in accordance with that regulation;

(d)

in the case of a refund of contributions, the day after that on which the Secretary of State receives from the Commissioners of Inland Revenue the information he requires for the purposes of compliance with paragraphs (3) to (5) of regulation L2; and

(e)

in any other case, the day immediately following that of the member’s retirement from pensionable employment;

“qualifying payment” means any amount payable by way of a pension or lump sum, or by way of a refund of contributions, under these Regulations;

[F200 “reference banks” means the four largest persons for the time being who—

(a)

have permission under Part 4 of the Financial Services and Markets Act 2000 to accept deposits;

(b)

are incorporated in the United Kingdom and carrying on there a regulated activity of accepting deposits; and

(c)

quote a base rate applicable to sterling deposits.]

[F201 (5) The definition of “reference banks” in paragraph (4) above must be read with—

(a) section 22 of the Financial Services and Markets Act 2000;

(b) any relevant order under that section; and

(c) Schedule 2 to that Act.]]

Textual Amendments

F199 Reg. T8 inserted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 14

F200 Words in reg. T8(4) substituted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 484(2)

F201 Reg. T8(5) inserted (1.12.2001) by The Financial Services and Markets Act 2000 (Consequential Amendments and Repeals) Order 2001 (S.I. 2001/3649), arts. 1, 484(3)

PART U E+W+S Administrative matters

Extension of time limits E+W+S

U1.  In any particular case, the Secretary of State may extend any time limit mentioned in these Regulations.

[F202 Determinations by medical practitioners E+W+S

U1A.   The Secretary of State may make arrangements for his functions under these Regulations in relation to a decision whether a person is—

(a) permanently incapable of efficiently discharging the duties of his employment because of physical or mental infirmity for the purposes of regulation E2;

(b) incapable of earning a living because of physical or mental infirmity for the purposes of regulation G8(2) [F203 or regulation G11(2)];

(c) incapable of earning a living because of permanent physical or mental infirmity for the purposes of regulation H1(6);

(d) in good health for the purposes of regulation J1(6);

(e) suffering from mental or physical infirmity that makes him permanently incapable of efficiently discharging the duties of employment or suffering from mental or physical infirmity that makes him permanently incapable of engaging in regular employment for the purposes of regulation L1(3)(a) and (b) respectively,

to be discharged by a registered medical practitioner appointed to act on his behalf.]

Textual Amendments

F202 Reg. U1A inserted (1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2004 (S.I. 2004/665), regs. 1(1), 3(5)

F203 Words in reg. U1A(b) inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(28)

Determination of questions E+W+S

U2.  Any question arising under these Regulations as to the rights or liabilities of any person shall be determined by the Secretary of State.

Accounts and actuarial reports E+W+S

U3.—(1) The Secretary of State shall keep accounts of the scheme in a form approved by the Treasury.

(2) The accounts shall be open to examination by the Comptroller and Auditor General.

(3) The Government Actuary shall prepare an actuarial report of the scheme at the [F204 31st March 2008] and at the expiration of every period of [F204 4 years] after that date.

(4) The Government Actuary shall send copies of each actuarial report of the scheme to the Secretary of State and the Treasury.

[F205 (5) Employing authorities shall keep records of all—

(a) contributions deducted from salaries and wages; and

(b) contributions to the scheme made under regulation D2(1)

in a manner approved by the Secretary of State, and, except where the Secretary of State waives such requirement, provide a statement in respect of such matters in respect of all scheme members except [F206 type 1 medical practitioners] and non-GP providers to the Secretary of State within 2 calendar months of the end of each financial year.

(6) In respect of each financial year, employing authorities shall also provide the Secretary of State with the best estimate in writing that can reasonably be made of the total contributions due to the scheme under regulation D1 and D2(1) within 2 months of the end of each such year.]

Textual Amendments

F204 Words in reg. U3(3) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 10(a)

F205 Reg. U3(5)(6) substituted for reg. U3(5) (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 10(b)

F206 Words in reg. U3(5) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 20

PART V E+W+S Miscellaneous and supplementary

Option to members detrimentally affected by these Regulations E+W+S

V1.—(1) This regulation applies in relation to any pension which is payable under these Regulations to or in respect of a person who, having served in an employment or office, service in which qualified persons to participate in the benefits provided under the previous regulations, ceased to serve therein or died before these Regulations came into force.

(2) Where, in a case to which this regulation applies, any provision of these Regulations would operate in relation to any person so as to place that person in a worse position than he would have been if the provision had not applied, that person may elect that the provision shall not so apply by giving notice in accordance with paragraph (3).

(3) A notice given pursuant to paragraph (2) shall be in writing and shall be delivered to the Secretary of State within 6 months of the coming into force of these Regulations.

(4) An election pursuant to paragraph (2) shall have effect in relation to the pension referred to in paragraph (1) only to the extent that such pension has accrued by virtue of contributions made and periods of service rendered prior to the cessation referred to in paragraph (1) (or, if there has been more than one such cessation, the last of them before the coming into force of these Regulations) and in determining entitlement to, and the amount of, the pension to that extent, such person shall be treated as if he had never recommenced pensionable employment at any time after that cessation (or, as the case may be, the last such cessation).

Revocations and savings E+W+S

V2.—(1) The Regulations specified in Column 1 of the Table to Schedule 3 are revoked to the extent specified in Column 2 of that Table.

(2) Anything done under, or by virtue of, any regulation revoked by these Regulations, if it could have been done under or for the purpose of the corresponding provision of these Regulations, shall be deemed to have been done under or by virtue of the corresponding provision of these Regulations and anything begun under, or by virtue of, any such regulation may be continued under these Regulations as if begun under these Regulations.

(3) Where, prior to the coming into force of these Regulations, any of the following provisions of the previous regulations applied in relation to a member, namely—

(a) regulation 11 (additional benefits for certain transferred officers);

(b) regulations 30 to 33 (continuation of previous arrangements in respect of additional contributory payments);

(c) regulation 35(7) (part–time service before 15 December 1966 in respect of certain practitioners);

(d) regulations 40 to 43 (benefits in the case of certain re–employed pensioners);

(e) regulations 44 to 51 (optants and certain other arrangements);

(f) regulations 56 and 57 (modification of benefits and obligations in connection with the National Insurance Acts 1946 and 1965);

(g) regulations 63 to 65 (officers formerly employed in certain hospitals or in the Blood Transfusion Service);

(h) regulation 78 (part–time specialists with service before 15th December 1966);

(i) regulation 79 (continuation of contracts or policies of insurance in certain cases); and

(j) regulation 83 (provisions relating to contributions on a former higher rate of remuneration);

any rights and liabilities relating to that member by virtue of those provisions shall be deemed to continue to apply notwithstanding the revocation of those provisions.

Signed by authority of the Secretary of State for Health

Gerald Malone

Minister of State

Department of Health

8th February 1995

We consent to the making of these Regulations

Derek Conway

Andrew MacKay

Lords Commissioners of Her Majesty’s Treasury

8th February 1995

Regulations Q4 and Q5

SCHEDULE 1 E+W+S PURCHASE OF ADDITIONAL SERVICE AND UNREDUCED RETIREMENT LUMP SUM

(Regulation Q4(3))

Table 1 E+W+S Paying for additional service by a single payment

Member’s age when employing authority receives notice of election (1)	Cost per £100 of remuneration for each year of additional service (2)
	£
20	25.20
21	24.70
22	24.20
23	23.70
24	23.20
25	22.70
26	22.20
27	21.80
28	21.40
29	21.10
30	20.90
31	20.70
32	20.50
33	20.30
34	20.10
35	20.00
36	20.00
37	20.00
38	20.00
39	20.00
40	20.00
41	20.00
42	20.00
43	20.00
44	20.00
45	20.10
46	20.30
47	20.50
48	20.70
49	20.90
50	21.00
51	21.00
52	21.00
53	21.00
54	21.00
55	21.10
56	21.30
57	21.60
58	21.90
59	21.90
60	21.70
61	21.50
62	21.30
63	21.10
64	21.00
65	20.80
66	20.30
67	19.70
68	19.10
69	18.50

(Regulation Q5(3))

Table 2 E+W+S Paying for unreduced retirement lump sum by a single payment

Member’s age when employing authority receives notice of election (1)	Cost per £100 of remuneration for each year of service in respect of which unreduced retirement lump sum is bought (2)
	£
20 & under	2.97
21	2.91
22	2.85
23	2.79
24	2.73
25	2.67
26	2.61
27	2.56
28	2.51
29	2.48
30	2.46
31	2.44
32	2.41
33	2.39
34	2.36
35	2.35
36	2.35
37	2.35
38	2.35
39	2.35
40	2.35
41	2.35
42	2.35
43	2.35
44	2.35
45	2.36
46	2.38
47	2.41
48	2.44
49	2.46
50	2.47
51	2.47
52	2.47
53	2.47
54	2.47
55	2.48
56	2.50
57	2.50
58	2.50
59	2.50
60	2.50
61	2.50
62	2.50
63	2.50
64	2.50
65	2.50
66	2.50
67	2.50
68	2.50
69	2.50

(Regulation Q6(5))

Table 3 E+W+S Paying for additional service by regular additional contributions

Member’s age at next birthday after employing authority receives notice of election	Percentage of pensionable pay for each complete year of additional service Birthday to which member has elected to pay contributions
	55	60	65
20	.61	.50	.36
21	.64	.52	.38
22	.67	.54	.40
23	.70	.56	.42
24	.74	.58	.44
25	.78	.60	.46
26	.82	.62	.48
27	.86	.64	.50
28	.90	.66	.52
29	.94	.68	.54
30	.98	.70	.56
31	1.02	.72	.58
32	1.07	.75	.60
33	1.12	.78	.62
34	1.17	.81	.64
35	1.22	.85	.67
36	1.28	.89	.69
37	1.35	.93	.72
38	1.43	.98	.74
39	1.51	1.03	.77
40	1.60	1.09	.80
41	1.70	1.15	.83
42	1.83	1.22	.87
43	2.00	1.30	.91
44	2.20	1.39	.95
45	2.42	1.48	1.00
46	2.69	1.58	1.06
47	3.02	1.70	1.13
48	3.45	1.85	1.21
49	4.02	2.03	1.29
50	4.80	2.25	1.38
51	6.04	2.53	1.48
52	8.05	2.86	1.60
53	12.18	3.26	1.74
54		3.80	1.90
55		4.58	2.08
56		5.77	2.30
57		7.77	2.56
58		12.06	2.92
59			3.40
60			4.10
61			5.20
62			6.97
63			10.42

(Regulation Q6(5))

Table 4 E+W+S Paying for unreduced retirement lump sum by regular additional contributions

Member’s age at next birthday after employing authority receives notice of election	Percentage of pensionable pay for each complete year of additional service in respect of which unreduced retirement lump sum is bought Birthday to which member has elected to pay contributions
	55	60	65
20 & under	.07	.06	.04
21	.07	.06	.04
22	.08	.06	.05
23	.08	.07	.05
24	.09	.07	.05
25	.09	.07	.05
26	.10	.07	.06
27	.10	.08	.06
28	.11	.08	.06
29	.11	.08	.06
30	.12	.08	.07
31	.12	.08	.07
32	.13	.09	.07
33	.13	.09	.07
34	.14	.10	.08
35	.14	.10	.08
36	.15	.11	.08
37	.16	.11	.08
38	.17	.12	.09
39	.18	.12	.09
40	.19	.13	.09
41	.20	.13	.10
42	.22	.14	.10
43	.24	.15	.11
44	.26	.16	.11
45	.29	.17	.12
46	.32	.19	.12
47	.36	.20	.13
48	.41	.22	.14
49	.47	.24	.15
50	.56	.27	.16
51	.71	.30	.17
52	.95	.34	.19
53	1.43	.38	.20
54		.45	.22
55		.54	.24
56		.68	.27
57		.91	.30
58		1.42	.34
59			.40
60			.48
61			.61
62			.82
63			1.23

Regulation R1

SCHEDULE 2 E+W+S MEDICAL AND DENTAL PRACTITIONERS

Additional definitions used in this Schedule E+W+S

1.  In this Schedule—

• F207 ...

• F208 ...

• [F209 “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, primary medical services or associated management activities or similar duties,

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

• “collaborative services” means primary medical services provided by a GP performer, a GMS practice, a PMS practice, an APMS contractor or an OOH provider under or as a result of an arrangement between—

  (a)

  the Secretary of State, the National Assembly for Wales, a Primary Care Trust or a Local Health Board; and

  (b)

  a local authority,

  under section 26(4) of the 1977 Act, under which the Secretary of State, the National Assembly for Wales, the Primary Care Trust or the Local Health Board is responsible for providing services for purposes related to the provision of health care;

• “commissioned services” means medical services provided under a contract between—

  (a)

  a GP performer, a GMS practice, a PMS practice, an APMS contractor or an OOH provider; and

  (b)

  either—

  (i)

  a Strategic Health Authority or a Special Health Authority, which relates to the provision of health care,

  (ii)

  the Secretary of State, the National Assembly for Wales, a Primary Care Trust or a Local Health Board under section 23 of the 1977 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 paragraph 13 of Schedule 2 to the National Health Service and Community Care Act 1990 (National Health Service trusts – specific powers), or

  (iv)

  a National Health Service foundation trust under section 18(2)(b) of the Health and Social Care (Community Health and Standards) Act 2003,

  which is for the purposes of the health service;]

• F207 ...

• [F210 “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;]

• [F211 “Executive Committee” means the committee of a Primary Care Trust appointed under regulation 9(1) of the Primary Care Trusts (Membership, Procedure and Administration Arrangements) Regulations 2000;]

• [F209 “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;]

• [F212 “Local Health Group” means a committee which—

  (a)

  was appointed under regulation 14(1) of the Health Authorities (Membership and Procedure) Regulations 1996 in accordance with a circular issued by the Secretary of State for Wales in October 1998 entitled “Establishing Local Health Groups”, and

  (b)

  exercises functions in accordance with the National Assembly of Wales' directions of 1st September 2001;

• [F213 “locum practitioner” means a registered medical practitioner (other than a trainee practitioner) 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)

  a Primary Care Trust or Local Health Board,

  to deputise or assist temporarily in the provision of essential services, additional services, enhanced services, dispensing services, OOH services, commissioned services, certification services or collaborative services (or any combination thereof),]

• “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;

• [F214 “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);

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

• [F215 “Primary Care Group” means a committee appointed under regulation 14(1) of the Health Authorities (Membership and Procedure) Regulations 1996 in accordance with the Secretary of State’s directions of 15th October 1998 and exercising functions in accordance with the Secretary of State’s directions of 25th March 1999;]

• F207 ...

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

Textual Amendments

F207 Words in Sch. 2 para. 1 omitted (1.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(2)(a)

F208 Words in Sch. 2 para. 1 omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(2)(a)

F209 Words in Sch. 2 para. 1 inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(2)(c)

F210 Words in Sch. 2 para. 1 inserted (1.9.1997) by The National Health Service Pension Scheme (Amendment) Regulations 1997 (S.I. 1997/1888), regs. 1, 7(2)

F211 Words in Sch. 2 para. 1 inserted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 15(b)(i)

F212 Words in Sch. 2 para. 1 inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(2)(a) (with reg. 3)

F213 Words in Sch. 2 para. 1 substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(2)(b)

F214 Words in Sch. 2 para. 1 inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(2)(b)

F215 Words in Sch. 2 para. 1 inserted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 15(b)(ii)

Application of Regulations with modifications E+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 employed by the relevant [F216 Health Authority] [F217 or Primary Care Trust] [F218 or, in the case of a locum practitioner, the listing Authority F219 ...] and, except where the context otherwise requires, references to an employing authority shall, in relation to a practitioner, be taken as a reference to the relevant [F216 Health Authority] [F217 or Primary Care Trust] [F218 or, in the case of a locum practitioner, the listing Authority F219 ...].

[F220 (1A) In sub-paragraph (1), “listing authority”, in relation to a locum practitioner, means the Primary Care Trust or Local Health Board who prepare and publish the medical performers list on which he is included.]

(2) Notwithstanding any other provision of these Regulations, a practitioner who wishes to contribute to the scheme must do so in respect of all of his work as a practitioner F221 ...

Textual Amendments

F216 Words in Sch. 2 substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 15(a)

F217 Words in Sch. 2 para. 2(1) inserted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), regs. 1, 8, Sch. 5 (with reg. 2(3)(4))

F218 Words in Sch. 2 para. 2(1) inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(3) (with reg. 3)

F219 Words in Sch. 2 para. 2(1) omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(3)(a)

F220 Sch. 2 para. 2(1A) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(3)

F221 Words in Sch. 2 para. 2(2) omitted (with effect from 1.4.2002) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), regs. 1(1)(3), 4(3)(c)

[F222 Membership: locum practitioners E+W+S

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

(2) A locum practitioner may apply to join 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.

(4) If a locum practitioner wishes to apply to join the scheme from a date earlier than 5th April 2002 he must submit an application under paragraph (2)—

(a) in a case where immediately before 5th April 2002 he is engaged under a contract for services with a practitioner, by virtue of which he is a locum practitioner, not later than ten weeks after he ceases to be so engaged, and

(b) in any other case, before 1st January 2003.

(5) Except where sub-paragraph (4) applies, no 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

F222 Sch. 2 para. 2A inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(6) (with reg. 3)

Meaning of “pensionable earnings" E+W+S

3.— [F223 (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 [F224 as regards type 1 medical practitioners]—

[F225 (a) income which accrues to the [F226 type 1 medical] practitioner or the non-GP provider which is derived from—

(i) a GMS contract,

(ii) a PMS agreement,

(iii) an APMS contract,

(iv) payments from, or to, a practitioner who is a GMS practice, a PMS practice or an APMS contractor in respect of the performance of certification services, commissioned services or collaborative services,

(v) his engagement by a Primary Care Trust or a Local Health Board to assist in the provision of primary medical services under section 16CC(2)(a) of the 1977 Act,

(vi) in the case of a [F227 type 1 medical] practitioner, the provision of locum services,

(vii) payments made to a [F228 type 1 medical practitioner] by an OOH provider in respect of the performance of primary medical services, commissioned services, collaborative services and certification services,

(viii) payments made to a [F229 type 1 medical practitioner] by an employing authority in respect of general dental services, general opthalmic services or pharmaceutical services provided by the practitioner,

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

(b) any charges collected from patients in respect of the services mentioned in sub–paragraph (a) which the [F230 type 1 medical] practitioner is authorised by or under any enactment to retain other than charges authorised by regulations made under section 81(b) of the National Health Service Act 1977 M22 (charges for more expensive supplies of dental appliances); and

F231 (c) any sums paid to the practitioner out of a fund determined by reference to the number of beds in a hospital;

[F232 (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.]

[F233 (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 sections 28E or 28N of the 1977 Act (which relate to PDS agreements and payments under GDS contracts), to be set off against payments under the contract or agreement; but

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

(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 Primary Care Trust or Local Health Board that is a party to the contract or agreement)—

(i) monthly seniority payments,

(ii) maternity leave, paternity leave or adoption leave payments,

(iii) sickness leave payments,

(iv) reimbursement of the salary of a vocational trainee,

(v) reimbursement of the national insurance contributions of a vocational 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”.

(2C) Income which accrues to a type 1 dental practitioner which is derived from the following payments under a GDS contract or PDS agreement—

(a) monthly seniority payments;

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

(c) sickness leave payments,

are all 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 vocational trainee;

(b) reimbursement of the national insurance contributions of a vocational 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.

[F234 (4) In sub-paragraph (2)(a), “locum services” shall have the same meaning as for the purposes of paragraph 6.]

Textual Amendments

F223 Sch. 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)

F224 Words 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)

F225 Sch. 2 para. 3(2)(a) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(4)(b)

F226 Words in Sch. 2 para. 3(2)(a) 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)(ii)

F227 Words in Sch. 2 para. 3(2)(a)(vi) 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)(iii)

F228 Words in Sch. 2 para. 3(2)(a)(vii) 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)(b)(iv)

F229 Words in Sch. 2 para. 3(2)(a)(viii) 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)(b)(v)

F230 Words 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)

F231 Sch. 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”

F232 Sch. 2 para. 3(2)(d) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(4)(c)

F233 Sch. 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)

F234 Sch. 2 para. 3(4) added (with effect from 1.4.2002) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), regs. 1(1)(3), 4(4)(b)

Marginal Citations

M22 1977 c.49. Section 81(b) was repealed in part by Schedule 8 to the Health and Social Security Act 1984 (c.48).

[F235 Calculating pensionable earnings of [F236 medical] practitioners in partnership E+W+S

4.— (1) In the case of [F237 type 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 [F238 type 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 the scheme) and, subject to sub-paragraph (2), dividing the total equally by reference to the number of such partners.

(2) Where the [F239 type 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 registered 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 the Local Health Board or Primary Care Trust to which the partners are required to give notice of their election in accordance with paragraph 5.]

Textual Amendments

F235 Sch. 2 para. 4 substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(5)

F236 Word in Sch. 2 para. 4 heading inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(5)

F237 Words in Sch. 2 para. 4(1) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(5)(a)

F238 Words in Sch. 2 para. 4(1) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(5)(a)

F239 Words in Sch. 2 para. 4(2) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(5)(b)

Elections relating to calculation of “pensionable earnings" in [F240 medical] partnerships E+W+S

5.—(1)  [F241 Type 1 medical] practitioners [F242 and 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 [F243 to their host Trust or Board].

F244 (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F245 (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) The notice must be signed by all the [F246 type 1 medical practitioners] [F247 and non-GP providers] in the partnership and must state as a fraction each practitioner’s [F248 and non-GP provider's] share in the partnership profits. In the case of medical practitioners, the notice must state the name of every [F216 Health Authority] [F249 or Primary Care Trust] on whose list the name of any practitioner in the partnership is included.

(5) If medical practitioners wish account to be taken of remuneration received in respect of concurrent employment as officers, the notice must state, in respect of every practitioner in the partnership who is so employed, the name of the employing authority and the pensionable pay received in respect of that employment. The notice must also include an undertaking by the practitioners to give notice in writing to the [F216 Health Authority] [F249 or Primary Care Trust] concerned at the end of each [F250 financial year], stating the pensionable pay received, in that [F250 financial year], in respect of employment as an officer by each practitioner in the partnership who is so employed.

(6) Any notice given under this paragraph will take effect from the date agreed between the practitioners and the [F216 Health Authority] [F249 or Primary Care Trust] 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

F216 Words in Sch. 2 substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 15(a)

F240 Word in Sch. 2 para. 5 heading inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(6)

F241 Words in Sch. 2 para. 5(1) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(6)(a)

F242 Words in Sch. 2 para. 5(1) inserted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(6)(a)(i)

F243 Words in Sch. 2 para. 5(1) inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(6)(a)(ii)

F244 Sch. 2 para. 5(2) omitted (1.4.2006) by virtue of The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(6)(b)

F245 Sch. 2 para. 5(3) omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(6)(c)

F246 Words in Sch. 2 para. 5(4) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(6)(c)

F247 Words in Sch. 2 para. 5(4) inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(6)(b)(i)

F248 Words in Sch. 2 para. 5(4) inserted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(6)(b)(ii)

F249 Words in Sch. 2 para. 5 inserted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), regs. 1, 8, Sch. 5 (with reg. 2(3)(4))

F250 Words in Sch. 2 para. 5(5) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(6)(d)

[F251 Distribution of pensionable earnings between type 1 dental practitioners employed or engaged by the same GDS or PDS contractor E+W+S

5A.— (1) After the end of each financial year, each GDS or PDS contractor must, by a date to be decided by the Secretary of State, send to the employing authority with which he is party to a GDS contract or PDS agreement a notice, in a format approved by the Secretary of State, specifying, in respect of that financial year—

(a) the pensionable earnings ceiling for that contract or agreement; and

(b) the amount of any monthly seniority payments, maternity leave payments, paternity leave payments, adoption leave payments or sickness leave payments paid under that contract or agreement,

and how much of the practitioner income that relates to the contract or agreement each type 1 dental practitioner that performed services under that contract or agreement is to be treated as having earned during that financial year (and those who are partners in, or directors of, the contractor must be identified as such).

(2) An employing authority may, in exceptional circumstances, and with the agreement of the Secretary of State, extend the date decided by the Secretary of State in accordance with paragraph (1) by which notices are to be submitted.

(3) The notice from the GDS or PDS contractor is invalid if—

(a) it contains information that is inaccurate or misleading in a material particular;

(b) it is not received by the due date (although the employing authority may accept replacement notices in appropriate circumstances); or

(c) the total of the amounts specified in the notice in respect of each type 1 dental practitioner that performed services under that contract or agreement is greater than the total of the amounts referred to in sub-paragraph (1)(a) and (b).

(4) Where an employing authority has received a valid notice under this paragraph, the amounts notified to it in respect of each type 1 dental practitioner mentioned in the notice are, for the financial year to which the notice relates, the pensionable earnings for that practitioner under the contract or agreement to which the notice relates.

(5) But the employing authority may revise the amounts notified to it in appropriate circumstances (such as where it receives a valid replacement notice signed by all the type 1 dental practitioners who performed services under the contract or agreement).

(6) If an employing authority does not receive a valid notice under this paragraph from a GDS or PDS contractor with which it is party to a GDS contract or PDS agreement, the pensionable earnings of each type 1 dental practitioner under that contract or agreement for the financial year in respect of which the valid notice was required but not received are to be an equal share of the maximum amount of practitioner income that could be derived from that contract or agreement in that financial year (that is, the total of the amounts referred to in sub-paragraph (1)(a) and (b)), less the difference between—

(a) that maximum amount; and

(b) the total of monthly amounts in respect of which estimated D1 contributions were paid on account during the financial year to which the earnings relate,

but if the total mentioned in paragraph (b) is greater than the maximum amount referred to in paragraph (a), then no amount is to be deducted pursuant to this paragraph.]

Textual Amendments

F251 Sch. 2 para. 5A inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(7)

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

6.— [F252 (1) In the case of an [F253 type 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 or pharmaceutical services; but does not include bonuses or payments made to cover expenses or for overtime;

(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.]

[F254 (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 vocational 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 or for overtime.]

[F255 (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.

[F256 (4) In this paragraph, references to the provision of locum services, in relation to a practitioner, are to primary medical services, commissioned services, collaborative services or pharmaceutical services 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

F252 Sch. 2 para. 6(1) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(7)(a)

F253 Words in Sch. 2 para. 6(1) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(8)(a)

F254 Sch. 2 para. 6(2) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(8)(b)

F255 Sch. 2 para. 6(3)(4) inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(8)(c) (with reg. 3)

F256 Sch. 2 para. 6(4) substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(7)(c)

Exclusions and deductions from pensionable earnings — all practitioners E+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 M23 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

M23 S.I. 1974/455.

Limit on pensionable earnings — dental practitioners E+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.

Period	Upper 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 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 a [F216 Health Authority] [F257 , Primary Care Trust] or the Dental Practice Board that those persons allow him to retain.

Textual Amendments

F216 Words in Sch. 2 substituted (1.4.2000) by The National Health Service (Pension Scheme and Compensation for Premature Retirement) Amendment Regulations 2000 (S.I. 2000/605), regs. 1(1)(b), 15(a)

F257 Words in Sch. 2 para. 8(3) inserted (1.10.2002) by The National Health Service Reform and Health Care Professions Act 2002 (Supplementary, Consequential etc. Provisions) Regulations 2002 (S.I. 2002/2469), regs. 1, 9, Sch. 6 (with reg. 2(3)(4))

Officer service treated as practitioner service E+W+S

9.—(1) Subject to sub–paragraph (3), if a member does not have more than 10 years’ officer service on first becoming a [F258 type 1 practitioner,] principal practitioner [F259 or a practitioner providing piloted services under an agreement between that practitioner and a Health Authority [F260 , Primary Care Trust or Local Health Board]], the member’s officer service before first becoming a [F258 type 1 practitioner,] principal practitioner [F259 or a practitioner providing piloted services under an agreement between that practitioner and a Health Authority [F260 , Primary Care Trust or Local Health Board]] will be treated as practitioner service.

[F261 (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 principal 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

[F262 (aa) the member is a type 1 dental practitioner who is employed by a GDS or PDS contractor but who is neither a partner in, nor a director of, the contractor; or]

(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 principal practitioner [F263 or type 1 practitioner] were treated as practitioner service.

(4) The calculation described in sub–paragraph (3)(b) will be made when the member’s pension under 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 (early retirement pension on grounds of ill–health), and any additional service bought as described in regulation Q1 (right to buy additional service), will be ignored.

[F264 (5A) Where a member has more than 10 years' officer service before first becoming—

(a) a [F265 type 1 practitioner or a] principal practitioner; or

(b) a practitioner providing piloted services under an agreement between that practitioner and a Health Authority, Primary Care Trust or Local Health Board,

• 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.

[F266 (5AA) But sub-paragraph (5A) does not apply to a member who is type 1 dental practitioner who is employed by a GDS or PDS contractor but who is neither a partner in, nor a director of, the contractor.]

(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.]

(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 the scheme becomes payable, that officer service will be treated as practitioner service.

[F267 (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 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) [F268 or (6A)], the member’s pensionable pay in respect of that officer service will be treated as pensionable earnings.

(8) If the member has been a [F269 type 1 practitioner (other than a type 1 dental practitioner who is employed or engaged by a GDS or PDS contractor but who is neither a partner in, nor director of, the contractor),] principal practitioner [F270 or a practitioner providing piloted services under an agreement between that practitioner and a Health Authority or Primary Care Trust], sub–paragraph (1) will be applied before sub–paragraph (6) [F271 or (6A)] and—

(a) [F272 neither sub-paragraph (6) nor (6A) will] apply to any officer service that is treated as practitioner service under sub–paragraph (1) [F273 or (5A)]; and

(b) any officer service that is treated as practitioner service under sub–paragraph (1) [F274 or (5A)] will be ignored for the purpose of deciding whether sub–paragraph (6) [F271 or (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) [F275 , 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 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.

[F276 (12) For the purposes of this paragraph “principal practitioner” and “practitioner providing piloted services” have, in respect of a person’s service prior to 1st April 2006, the meaning that they had under these Regulations as at the date that service was provided.]

Textual Amendments

F258 Words in Sch. 2 para. 9(1) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(a)

F259 Words in Sch. 2 para. 9(1) inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(9) (with reg. 3)

F260 Words in Sch. 2 para. 9(1) substituted (with effect from 10.2.2003) by The National Health Service (Pension Scheme, Injury Benefits and Compensation for Premature Retirement) Amendment Regulations 2003 (S.I. 2003/631), regs. 1(1)(2), 3(5)(b)

F261 Sch. 2 para. 9(2) substituted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(i)

F262 Sch. 2 para. 9(3)(aa) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(b)(i)

F263 Words in Sch. 2 para. 9(3)(b) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(b)(ii)

F264 Sch. 2 para. 9(5A)(5B) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(ii)

F265 Words in Sch. 2 para. 9(5A)(a) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(c)

F266 Sch. 2 para. 9(5AA) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(d)

F267 Sch. 2 para. 9(6A)(6B) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(iii)

F268 Words in Sch. 2 para. 9(7) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(iv)

F269 Words in Sch. 2 para. 9(8) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(e)

F270 Words in Sch. 2 para. 9(8) inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(9) (with reg. 3)

F271 Words in Sch. 2 para. 9(8) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(v)(aa)

F272 Words in Sch. 2 para. 9(8) substituted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(v)(bb)

F273 Words in Sch. 2 para. 9(8)(a) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(v)(cc)

F274 Words in Sch. 2 para. 9(8)(b) inserted (1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2004 (S.I. 2004/665), regs. 1(1), 3(6)

F275 Words in Sch. 2 para. 9(11) inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(a)(vi)

F276 Sch. 2 para. 9(12) added (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(9)(f)

[F277 Locum practitioners: breaks between contracts E+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 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

F277 Sch. 2 para. 9A inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(10) (with reg. 3)

[F278 Contributions to the scheme E+W+S

10.— (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.

(2) The contribution rate for practitioners and non-GP providers is 6 per cent of pensionable earnings.

(3) Contributions must be paid until the member—

(a) reaches age 70 or completes 45 years' pensionable service and reaches age 65, 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.

[F279 (4) Save where sub-paragraph (5) applies, type 1 medical practitioners and non-GP providers shall pay D1 contributions to the host Trust or 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 [F280 type 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 Trust or Board, pay those contributions to that Trust or Board.

(6) Subject to sub-paragraph (7), where a [F281 type 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 Trust or Board.

(7) Where the [F282 type 1 medical practitioner] or non-GP provider 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 the practitioner or non-GP provider or, as the case may be, on the practitioner’s or non-GP provider’s share of the partnership profits, to the host Trust or 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 Trust or Board, that authority shall pay D2(1) contributions to the host Trust or Board;

(b) is the host Trust or Board, that Trust or Board shall pay contributions to the Secretary of State in respect of any pensionable earnings it pays to him.

(9) Where an [F283 type 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) [F283 in the case of a type 2 medical practitioner,] where it is not also the host Trust or Board, pay those contributions to that Trust or Board.

(10) [F284 In 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 Trust or Board, that authority shall pay D2(1) contributions to the host Trust or Board;

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

[F285 (10A) As regards a type 2 dental practitioner who—

(a) is a vocational 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 vocational 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 Trust or Board.

(12) Where a locum practitioner is liable to pay contributions under sub-paragraph (11) in respect of pensionable locum work he does for an employing authority which is not—

(a) the host Trust or Board;

(b) a GMS practice;

(c) a PMS practice; or

(d) an APMS contractor,

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

(13) Where contributions are payable by a locum practitioner under sub-paragraph (11) in respect of pensionable locum work carried out for an employing authority which is—

(a) a host Trust or Board;

(b) a GMS practice;

(c) a PMS practice; or

(d) an APMS contractor,

the host Trust or Board shall pay contributions payable under regulation D2(1) in respect of such a practitioner.

[F286 (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.]

(14) Contributions which are required to be paid to the host Trust or Board in accordance with this paragraph shall be paid to that Trust or Board not later than the 7th day of the month following the month in which the earnings were paid.

(15) Where [F287 , as regards a type 1 or type 2 medical practitioner,] an employing authority—

(a) is not the host Trust or Board, it shall be a function of that employing authority to provide the host Trust or 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 Trust or 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 Trust or 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 [F288 type 1 medical practitioner]; and

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

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

(a) paid to it by a [F289 type 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) Without prejudice to any other method of recovery, where in respect of D1 contributions—

(a) [F290 a type 1 practitioner, type 2 practitioner,] locum practitioner or non-GP provider has failed to pay contributions;

(b) an employing authority has failed to deduct such contributions,

in accordance with this paragraph, the Secretary of State may recover any sum that remains due in respect of those contributions by deduction from any payment by way of benefits to, or in respect of, the member entitled to them where—

(a) the member agrees to such a deduction; and

(b) the deduction is to the member’s advantage.

(18) For the purposes of this paragraph—

(a) “D1 contributions” means contributions payable under regulation D1 by a practitioner under the scheme;

(b) “D2(1) contributions” means contributions payable under regulation D2(1) by an employing authority in respect of a practitioner.]

Textual Amendments

F278 Sch. 2 para. 10 substituted (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(8)

F279 Sch. 2 para. 10(4), (4A) substituted for Sch. 2para. 10(4) (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(a)

F280 Words in Sch. 2 para. 10(5) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(b)

F281 Words in Sch. 2 para. 10(6) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(b)

F282 Words in Sch. 2 para. 10(7) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(b)

F283 Words in Sch. 2 para. 10(9) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(c)

F284 Words in Sch. 2 para. 10(10) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(d)

F285 Sch. 2 para. 10(10A) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(e)

F286 Sch. 2 para. 10(13A)(13B) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(f)

F287 Words in Sch. 2 para. 10(15) inserted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(g)(i)

F288 Words in Sch. 2 para. 10(15)(b)(ii) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(g)(ii)

F289 Words in Sch. 2 para. 10(16) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(h)

F290 Words in Sch. 2 para. 10(17) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(10)(i)

Normal retirement pension E+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.

(2) The member’s uprated earnings are to be calculated by uprating the member’s pensionable earnings in the manner determined by the Secretary of State after consulting such professional organisations as she considers appropriate.

[F291 Practitioners with benefits from both practitioner and officer service E+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 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 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.]

Textual Amendments

F291 Sch. 2 para. 11A inserted (with effect from 1.4.2003) by The National Health Service Pension Scheme (Amendment) Regulations 2003 (S.I. 2003/2322), regs. 1(1)(2)(b), 2(6)(b)

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

12.—(1) In the case of members who are or have been practitioners, regulation E2 (early retirement pension on grounds of ill–health) is 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 that regulation—

(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).

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

13.  A practitioner may not become entitled to a pension under regulation E4 (early retirement pension with employer’s consent) as a result of the termination of pensionable employment as a practitioner.

Lump sum on member’s death in pensionable employment or after pension becomes payable E+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 the yearly average of the member’s uprated earnings at the date of death.

(2) In the case of members who die after a pension under 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 at the date of death.

[F292 Widows, widowers or surviving civil partners] pension on member’s death in pensionable employment E+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

F292 Words in Sch. 2 para. 15 heading substituted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(29)(a)

Increased widower’s pension E+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.

[F293 Increased surviving civil partner’s pension E+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

F293 Sch. 2 para. 16A inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(29)(b)

Child allowance — member dies in pensionable employment E+W+S

17.  In the case of members who die in pensionable employment as practitioners, regulation H3 (child allowance on member’s death in pensionable employment) is modified so that the references, in regulation H3(6) and (7), 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.

Transfers from other pension arrangements E+W+S

18.—(1) In the case of members who are practitioners, regulations N1 (member’s right to transfer accrued rights to benefits to 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 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 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.

Members absent from work E+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) 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) 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.

[F294 (6) For the purposes of these Regulations for the duration of any pilot scheme—

(a) a member who is providing piloted services under a pilot scheme and who is absent from work by reason of illness or injury shall be treated as a practitioner whether or not his name is included on a F295 ... [F296 dental] list prior to the commencement of the pilot scheme; and

(b) a member who is a F295 ... [F297 dental] pilot scheme employee and who is absent from work by reason of illness or injury shall be treated as an officer F298 ....]

[F299 (7) Regulations P1 and P2 and the previous sub-paragraphs do not apply in the case of locum practitioners.]

Textual Amendments

F294 Sch. 2 para. 19(6) inserted (1.4.1998) by The National Health Service Pension Scheme (Amendment) Regulations 1998 (S.I. 1998/666), regs. 1, 12(3)

F295 Words in Sch. 2 para. 19(6) omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(9)(a)

F296 Words in Sch. 2 para. 19(6)(a) inserted (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 9(2)(i)

F297 Words in Sch. 2 para. 19(6)(b) inserted (1.10.1998) by The National Health Service Pension Scheme Amendment (No. 2) Regulations 1998 (S.I. 1998/2216), regs. 1, 9(2)(ii)

F298 Words in Sch. 2 para. 19(6)(b) omitted (with effect from 1.4.2004) by virtue of The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(9)(b)

F299 Sch. 2 para. 19(7) inserted (1.4.2001) by The National Health Service Pension Scheme (Amendment) Regulations 2002 (S.I. 2002/561), reg. 1(1)(a), Sch. para. 10(12) (with reg. 3)

Right to buy additional service and unreduced retirement lump sum E+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 job E+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 the scheme in respect of his employment as a practitioner may, nevertheless, participate in the scheme in respect of concurrent employment as an officer.

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

Reduction of pension on return to NHS employment E+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 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 the scheme 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 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).

[F300 Accounts and actuarial reports E+W+S

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

(2) In respect of each financial year, a [F301 a type 1 medical practitioner] and a non-GP provider shall provide the host Trust or Board with a certificate of their pensionable earnings based on—

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

(b) the return he has made to the Inland Revenue in respect of his earnings for that year,

no later than 1 month from the date on which that return was required to be submitted to the Inland Revenue.

(3) In respect of each financial year, a host Trust or Board shall forward a record of—

(a) all contributions to the scheme made under paragraph 10 in respect of [F302 type 1 medical practitioners] and non-GP providers; and

(b) their pensionable earnings,

to the Secretary of State within 1 month of the end of the financial year immediately following the financial year to which that return relates.]

Textual Amendments

F300 Sch. 2 para. 23 added (with effect from 1.4.2004) by The National Health Service (Pension Scheme and Injury Benefits) Amendment Regulations 2005 (S.I. 2005/661), regs. 1(1), 11(10)

F301 Words in Sch. 2 para. 23(2) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(11)(a)

F302 Words in Sch. 2 para. 23(3)(a) substituted (1.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(a), 21(11)(b)

Regulation R12

[F303 SCHEDULE 2A E+W+S PENSION SHARING ON DIVORCE OR NULLITY OF MARRIAGE [F304 OR, ON THE DISSOLUTION OR NULLITY OF A CIVIL PARTNERSHIP]

Textual Amendments

F303 Sch. 2A inserted (1.5.2001) by The National Health Service (Pension Scheme and Additional Voluntary Contributions) (Pension Sharing) Amendment Regulations 2001 (S.I. 2001/1428), reg. 1, Sch. 1 para. 3

F304 Words in Sch. 2A heading inserted (5.12.2005) by The National Health Service (Pension Scheme, Injury Benefits, Additional Voluntary Contributions and Compensation for Premature Retirement) (Civil Partnership) Amendment Regulations 2005 (S.I. 2005/3074), regs. 1, 2(30)

Discharge of liability in respect of a pension credit following the death of the person entitled to the pension credit E+W+S

1.— (1) The Secretary of State shall, following the death of the person entitled to a pension credit before liability in respect of that credit has been discharged, discharge his liability in respect of that credit by way of the payment of a lump sum in accordance with paragraph (2)(a)(i) of regulation 6 of the Pension Sharing (Implementation and Discharge of Liability) Regulations 2000 (discharge of liability in respect of a pension credit following the death of the person entitled to the pension credit).

(2) The amount of a lump sum payable under this paragraph shall be—

(a) payable in accordance with regulation F5 as modified by paragraph 11 below; and

(b) equal to 3 times the annual rate of the pension credit benefit to which the person entitled to the pension credit would have been entitled had he reached normal benefit age on or before the date of death.

Safeguarded rights E+W+S

2.— (1) Sub-paragraph (a) of section 68A(2) of the 1993 Act (safeguarded rights) applies in relation to the safeguarded rights of a pension credit member.

(2) Safeguarded rights shall be identified in the scheme as being the safeguarded percentage of the pension credit rights.

Pension credit benefit E+W+S

3.— (1) A pension credit member shall be entitled under the scheme to pension credit benefit which shall consist of—

(a) a pension; and

(b) where the member, from whose rights the pension credit member’s pension credit rights are derived, has not received a lump sum on or before the day on which the pension sharing order or provision takes effect, a lump sum.

(2) Subject to paragraph 4, a pension credit member shall be entitled to the payment of the pension credit benefit when he reaches normal benefit age.

(3) Payment of the pension credit benefit to which a pension credit member is entitled shall not be deferred beyond normal benefit age.

(4) A pension payable in accordance with this paragraph shall be payable to the pension credit member for life.

(5) The value of the pension referred to in this paragraph shall be equal to the value of the pension credit rights which have accrued to or in respect of the pension credit member.

(6) The lump sum referred to in this paragraph shall be equal to 3 times the annual rate of the pension.

Commutation of the whole of pension credit benefit before normal benefit age E+W+S

4.— (1) A pension credit member shall be entitled to the commutation of the whole of his pension credit benefit before reaching normal benefit age in the circumstances described in regulation [F305 3(2)(a)] of the Pension Sharing (Pension Credit Benefit) Regulations 2000 (commutation of pension credit benefit).

(2) The pension credit benefit payable in the circumstances described in paragraph 2(a) of regulation 3 of those Regulations shall consist of—

(a) a lump sum equal to 5 times the annual rate of the pension otherwise payable under paragraph 3 of this Schedule had the pension credit member reached normal benefit age on the date when commutation in accordance with this paragraph is applied for; and

(b) where paragraph 3(1)(b) applies, a lump sum equal to 3 times the annual rate of the pension referred to in sub-paragraph (2)(a) above.

Textual Amendments

F305 Word in Sch. 2A para. 4(1) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 22(2)

Commutation of the whole of pension credit benefit at normal benefit age E+W+S

5.— (1) Where—

(a) the pension credit member is suffering from serious ill health at normal benefit age; or

[F306 (b) the total benefits payable to the pension credit member, including any pension credit benefit, is of an amount that complies with the provisions of paragraphs 7 to 9 of Part I of Schedule 29 to the 2004 Act (lump sum rule: trivial commutation lump sum) at normal benefit age.]

the Secretary of State may discharge his liability in respect of the payment of pension credit benefit by the payment of a lump sum to the pension credit member at normal benefit age.

(2) The pension credit benefit payable in the circumstances described in sub-paragraph (1)(a) shall consist of—

(a) a lump sum equal to 5 times the annual rate of the pension otherwise payable under paragraph 3 of this Schedule; and

(b) where paragraph 3(1)(b) applies, a lump sum equal to 3 times the annual rate of the pension.

(3) In this paragraph “serious ill health” means ill health which is such as to give rise to a life expectancy of less than one year from the date on which the payment of the pension credit benefit of the pension credit member is applied for.

Textual Amendments

F306 Sch. 2A para. 5(1)(b) substituted (6.4.2006) by The National Health Service (Pension Scheme, Injury Benefits and Additional Voluntary Contributions) Amendment Regulations 2006 (S.I. 2006/600), regs. 1(2)(b), 22(3)

Pension credit member dies before pension credit benefit becomes payable E+W+S

6.— (1) If a pension credit member dies before his pension under the scheme becomes payable under paragraph 3, a lump sum on death shall be payable in accordance with regulation F5 as modified by paragraph 9 below.

(2) The lump sum shall be equal to 3 times the annual rate of the pension credit member’s pension, to which he would have been entitled had he reached normal benefit age on or before the date of death, calculated in accordance with paragraph 3(5).

Pension credit member dies after pension credit benefit becomes payable E+W+S

7.— (1) If a pension credit member dies within 5 years after his pension under the scheme became payable under paragraph 3 of this Schedule, a lump sum on death shall be payable in accordance with regulation F5 as modified by paragraph 9 below.

(2) Subject to sub-paragraph (3), the lump sum on death shall be equal to 5 times the annual rate of the pension credit member’s pension less the amount of pension already paid.

(3) The maximum payment under this regulation shall not exceed the amount calculated in accordance with sub-paragraph (4), less the amount of any lump sum paid to the pension credit member in accordance with paragraph 3(6).

(4) An amount calculated in accordance with this sub-paragraph is an amount equal to twice the amount on the valuation day of the final year’s pensionable pay of the member from whose rights the pension credit is derived.

Excluded membership E+W+S

8.   Where a pension credit member is also a member of the scheme, any period which may count for any purpose in connection with his pension credit benefit shall not be taken into account for the purpose of ascertaining his entitlement to, or, as the case may be, the calculation of, benefits other than pension credit benefits under the scheme.

Payment of lump sum on death E+W+S

9.   Regulation F5 (payment of lump sum) shall apply in respect of a person entitled to a pension credit or a pension credit member, as the case may be, with the following modifications—

(a) the reference in that regulation to “any of regulations F1 to F4” shall be a reference to “paragraph 1, 6 or 7 of Schedule 2A”;

(b) the reference in paragraph (2) of that regulation to “member’s personal representative” shall be a reference to “personal representative of the person entitled to a pension credit or, as the case may be, the pension credit member”;

(c) the reference in paragraphs (3), (3A) and (3B) of that regulation to “member” shall be references to “person entitled to a pension credit or, as the case may be, pension credit member”;

(d) in paragraph (3B) for sub-paragraph (a) substitute the following sub-paragraph—

“(a) shall be given only by a person entitled to a pension credit or, as the case may be, a pension credit member under the scheme;”.

Transfers E+W+S

10.   The Secretary of State shall not pay or accept a transfer value in respect of any pension credit rights or pension credit benefits.

General rules about benefits E+W+S

11.   Regulations T1 (claims for benefits), T2 (deduction of tax), T3 (benefits not assignable) and T4 (beneficiary who is incapable) of these Regulations shall apply to a pension credit member.

Offset for crime, negligence or fraud E+W+S

12.   Regulation T5 (offset for crime, negligence or fraud) shall apply to a pension credit member with the following modifications wherever the words to be modified appear—

(a) the reference to “member's” or “member” shall be a reference to “pension credit member's” or “pension credit member”, as the case may be; and

(b) the reference to “(other than guaranteed minimum pensions and benefits arising out of a transfer payment)” shall be a reference to “(other than safeguarded rights which are derived from rights to a guaranteed minimum pension)”.

Loss of rights to benefits E+W+S

13.   Regulation T6 (loss of rights to benefits) shall apply to a pension credit member with the following modifications wherever the words to be modified appear—

(a) the reference to “member” shall be a reference to “pension credit member”; and

(b) the reference in paragraph (2) to “A guaranteed minimum pension” shall be a reference to “Safeguarded rights which are derived from rights to a guaranteed minimum pension”.

Interest on late payment of benefits E+W+S

14.   Regulation T8 (interest on late payment of benefits) shall apply in respect of a pension credit member with the following modifications—

(a) in paragraph (2) of that regulation references to “member” or “member's” shall be references to “pension credit member”;

(b) in the definition of “due date”—

(i) in sub-paragraph (a) the reference to “a lump sum under Part F above” shall be a reference to “a lump sum under paragraph 1, 6 or 7 of Schedule 2A”;

(ii) in sub-paragraph (a) the reference to “the member’s death” shall be a reference to “the death of the person entitled to the pension credit or the pension credit member”;

(iii) sub-paragraphs (b), (c) and (d) shall be omitted;

(iv) in sub-paragraph (e) the reference to “of the member’s retirement from pensionable employment” shall be a reference to “when the pension credit member becomes entitled to the payment of pension credit benefit”;

(c) in the definition of “qualifying payment” the reference to “, or by way of a refund of contributions,” shall be omitted.

Administrative matters E+W+S

15.   Regulation U2 (determination of questions) shall apply to a person who is entitled to a pension credit or, as the case may be, a pension credit member.]

Regulation V2

SCHEDULE 3 E+W+S REVOCATIONS

Column 1 Regulations	Column 2 Extent of Revocation
The National Health Service (Superannuation) Regulations 1980 (S.I. 1980/362)	The whole of the Regulations
The National Health Service (Superannuation) Amendment Regulations 1981 (S.I. 1981/1205)	The whole of the Regulations
The Health Services Act 1980 (Consequential Amendments) Order 1982 (S.I. 1982/288)	Schedule 1, paragraph 28
The National Health Service (Superannuation) Amendment Regulations 1982 (S.I. 1982/1765)	The whole of the Regulations
The Family Practitioner Committees (Consequential Modifications) Order 1985 (S.I. 1985/39)	Article 19
The National Health Service (Superannuation) Amendment Regulations 1987 (S.I. 1987/2218)	The whole of the Regulations
The National Health Service (Superannuation) Amendment Regulations 1989 (S.I. 1989/804)	The whole of the Regulations
The National Health Service Superannuation, Premature Retirement and Injury Benefits (Amendment) Regulations 1991 (S.I. 1991/584)	Regulations 2, 3, 4, 5, 6 and 7

Explanatory Note

(This Note is not part of the Regulations)

These regulations consolidate, with amendments, the provisions of the National Health Service (Superannuation) Regulations 1980 to 1991 which provide for the superannuation of persons engaged in the National Health Service.

The main changes are as follows—

—0  provision is made for the payment of a voluntary early retirement pension, where the employing authority agrees to meet the cost, for all members except medical and dental practitioners. Benefits will not be enhanced or reduced (regulation E4); E+W+S

—0  provision is made for the payment of a voluntary early retirement pension, for all members, which will allow retirement between the ages of 50 and 60 with actuarially reduced benefits (regulation E5); E+W+S

—0  provision is made for an increase in the amount of the lump sum benefit payable where a member dies in service to twice the member’s final year’s pensionable pay (regulation F1); E+W+S

—0  the provisions under which female nurses, midwives, physiotherapists and health visitors are currently allowed to retire at age 55 are extended to male nurses etc in relation to pensionable service from 17th May 1990. These provisions are, however, withdrawn in relation to those who first become members of the scheme after the coming into force of these Regulations and in relation to those previous members who have a break in pensionable service of 5 years’ or more ending after that date (regulation R2); E+W+S

—0  mental health officer status will no longer be available in relation to those who first become members of the scheme after the coming into force of these Regulations and for those who have a break of more than 5 years in their pensionable service ending after that date (regulation R3); E+W+S

—0  provision is made for the suspension of pension in relation to members who return to NHS employment within 1 month of their pension becoming payable (regulation S1); E+W+S

—0  abatement of pension for those who continue in or return to NHS employment after their pension becomes payable is to apply only up to age 60. (regulation S2); E+W+S

These Regulations do not impose any costs on business