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The Health and Social Care Pension Scheme Regulations (Northern Ireland) 2015

Type Ni-Statutory-Rule

Publication 2015-03-06

Last updated 2026-03-02

State In force

Jurisdiction Northern Ireland

Department Government Printer for Northern Ireland

Source legislation.gov.uk

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(1) If an active member, a deferred member or a pensioner member dies leaving a surviving adult dependant, the surviving adult dependant is entitled to a pension payable for life.

(2) In this Part, “surviving adult dependant” means, in relation to a deceased member of former member—

(a) the surviving spouse,

(b) the surviving civil partner, or

(3) For the rate at which the pension is payable, see regulations 114 to 118.

Surviving nominated partner

113

(1) A person (P) is the scheme partner of a member if –

(a) the member and P are living together as if they are husband and wife or civil partners,

(b) the member and P are not prevented from marrying or entering a civil partnership,

(d) neither the member or P is living with a third person as if they are husband and wife or civil partners.

(2) A person is a surviving scheme partner of a member if the Department is satisfied that for a continuous period of at least two years, ending with the member’s death, the person was the scheme partner of that member.

Amount of pension: survivor of active member

114

(1) This regulation applies in relation to the surviving adult dependant of an active member.

(2) Paragraph (4) applies in respect of a pension payable during the initial period if the amount found under that paragraph is greater than the amount payable if this paragraph did not apply.

(3) In any other case, the rate of pension is determined by whichever paragraphs (5), (6) and (8) applies to the member.

(4) The rate of pension payable under regulation 112 is equal to—

(a) if the member was in non-practitioner employment, the rate of the member's pensionable earnings at the time of death;

(b) if the member was a practitioner or non-GP provider, the rate of the members pensionable earnings during the last complete quarter before the member's death,

plus, in either case, if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), 37.5% of the amount of the additional pension to which the member was entitled at the date of death.

(5) If the member dies with more than 2 years of qualifying service, the annual amount of pension payable under regulation 112 is equal to—

(a) if the member has not reached the prospective normal pension age, 33.75% of the notional Tier 2 IHP;

(b) if the member has reached the prospective normal pension age, 33.75% of the notional age retirement pension.

(6) If the member dies with less than 2 years of qualifying service having reached the prospective normal pension age, the annual amount of pension payable under regulation 112 is equal to 33.75% of the notional age retirement pension.

(7) This paragraph applies if—

(a) the member dies with less than 2 year's qualifying service before reaching the prospective normal pension age; and

(b) the surviving adult dependant has a guaranteed minimum pension under section 13 of the 1993 Act in relation to benefits in respect of the deceased member under this scheme.

(8) If paragraph (7) applies—

(a) the annual amount of the pension payable under regulation 112 is equal to the guaranteed minimum pension; but

(b) sub-paragraph (a) does not apply if the Department's liability to provide a guaranteed minimum pension in respect of the surviving adult dependant is discharged by the payment of a contributions equivalent premium under section 51(2) of the 1993 Act .

(9) In this regulation—

“the initial period” is the period of six months starting on the day after the member's death;

“the notional Tier 2 IHP” is the amount of pension the member would have received if, at the date of death, the member had become entitled to a pension under regulation 89(1)(b)—disregarding the amount of any additional pension taken into account for the purposes of regulation 91(1)(c); andif the member had made an additional pension election under regulation 54(3)(b) (self and survivor), adding 37.5% of that amount;

“the notional age retirement pension” is the amount of pension the member would have received if, at the date of death, the member had become entitled to a pension under regulation 72 (ignoring any increase under regulation 74)—disregarding the amount of any additional pension taken into account for the purposes of paragraph (1)(d) of Schedule 11;if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), adding 37.5% of that amount;

“non-practitioner employment” is employment other than as a practitioner or a non-GP provider.

Amount of pension: survivor of pensioner member

115

(1) This regulation applies in relation to the surviving adult dependant of a pensioner member.

(2) Paragraph (3) applies in respect of a pension payable during the initial period if the amount found under that paragraph is greater than the sum of—

(a) the amount payable if this paragraph did not apply; and

(b) the amount of the pensions otherwise payable under Chapter 2.

(3) The rate of pension payable under regulation 112 is equal to the rate of the member's pension in payment at the time of death.

(4) If paragraph (3) does not apply, the rate of pension payable under regulation 112 is equal to the sum of—

(a) 33.75% of the pension to which the member was entitled at the date of death (disregarding any additional pension); and

(b) if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), 37.5% of the amount of the additional pension to which the member was entitled at the date of death.

(5) In calculating the amount of a pension pursuant to paragraph (3) the following must be ignored—

(a) the conversion amount (see paragraph 10 of Schedule 7);

(b) any reduction in the rate of the member's pension under regulation 102.

(6) In calculating the amount of a pension pursuant to paragraph (4) the following must be ignored—

(a) the conversion amount (see paragraph 10 of Schedule 7);

(b) any actuarial adjustment.

(7) The initial period is—

(a) if the member leaves one or more eligible children who are dependent on the surviving adult dependant, the period of six months starting with the day after the member's death;

(b) in any other case, the period of three months starting with that day.

(8) For the purposes of paragraph (7), a child born after the member's death is treated as having been born before it.

(9) Paragraph (10) applies if, pursuant to regulation 94(4), a member who was entitled to an ill health pension at Tier 2 ceases to be entitled to that pension and becomes entitled to an ill-health pension at Tier 1 and the member—

(a) is in further HSC employment and dies before the end of the initial period for the purposes of regulation 94, or

(b) is in further employment that is not HSC employment and dies before the end of a period of one year starting with the day on which the further employment ceased to be an excluded employment for the purposes of that regulation.

(10) The member's pension referred to in paragraph (3) is the original ill-health pension at Tier 2.

Amount of pension: deferred members

116

(1) Paragraph (2) applies in the case of a deferred member—

(a) who left pensionable service less than 12 months before the date of death; and

(b) whose surviving adult dependant would have been the member's surviving adult dependant if the member had died on the member's last day of pensionable service.

(2) The rate of the pension payable to the surviving adult dependant is equal to 33.75% of the member's notional Tier 2 IHP.

(3) In the case of any other deferred member, the rate of pension payable is 33.75% of the amount of pension the member would have received if, at the date of death, the member had become entitled to a pension under regulation 72—

(a) disregarding the amount of any additional pension taken into account for the purposes of paragraph 1(d) of Schedule 11; and

(b) if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), adding 37.5% of that amount.

(4) In paragraph (2), the notional Tier 2 IHP is the amount of pension the member would have received if, on the date the member's pensionable service ceased, the member had become entitled to a pension under regulation 89(1)(b)—

(a) disregarding the amount of any additional pension taken into account for the purposes regulation 91(1)(c); and

(b) if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), adding 37.5% of that amount.

(5) In this regulation, “the notional Tier 2 IHP” has the same meaning as in regulation 114(9).

Recent leavers

117

(1) This regulation applies if—

(a) a recent leaver dies leaving a surviving spouse or civil partner who has a guaranteed minimum pension under section 13 of the 1993 Act in relation to benefits in respect of the recent leaver under this scheme; and

(b) the leaver has died before reaching the normal pension age.

(2) The surviving spouse or civil partner is entitled to a pension payable for life of an amount equal to the recent leaver's guaranteed minimum pension (disregarding any additional pension).

(3) Paragraph (2) does not apply if the Department's liability to provide a guaranteed minimum pension in respect of the surviving spouse or civil partner is discharged by the payment of a contributions equivalent premium under section 51(2) of the 1993 Act.

(4) In this Part, “recent leaver” means a person—

(a) who left pensionable service less than 12 months before the date of death;

(b) who is neither qualified for a retirement pension pursuant to regulation 72 nor is a pensioner member because of rights resulting from that employment; and

Re-employed pensioners: adult survivor pensions in initial period

118

(1) This regulation applies if, apart from this regulation, both regulations 114(4) and 115(3) apply on the death of a member.

(2) If this regulation applies, the rate of pension payable by virtue of these regulations during the initial period (as defined in the respective regulations) is the rate provided in paragraph (3).

(3) For the relevant initial period, the rate of pension payable is equal to the sum of amounts A and B.

(4) Amount A is, in the case of a deceased active member, the rate of the deceased's pensionable earnings at the time of death.

(5) Amount B is the rate of the deceased member's pension payable at the time of death after taking account of—

(a) the conversion amount (see paragraph 10 of Schedule 7);

(b) any reduction in the rate of the member's pension under regulation 102.

(6) Paragraph (4) does not apply if—

(a) the rate of the pension payable to the surviving adult in respect of later service; and

(b) any children's pension that would otherwise be payable in respect of later service under Chapter 2,

would be greater.

Polygamous marriage

119

(1) This regulation applies if—

(a) a member dies without leaving a surviving adult dependant;

(b) at the date of death, the member was married to one or more persons under a law which permits polygamy; and

(2) The benefit mentioned in paragraph (1)(c) is payable—

(a) if there is only one such person mentioned in paragraph (1)(b), to that person;

(b) if there are two or more such persons, to those persons in equal shares.

(3) Such a person's share of a pension does not increase on the death of any other such person.

CHAPTER 2 — Child survivor

Surviving child's pension

120

(1) This regulation applies if—

(a) a member or recent leaver dies leaving an eligible child, or

(b) an eligible child of the member or recent leaver is born after the date of death.

(2) A pension is payable in respect of an eligible child.

(3) A pension ceases to be payable if the child ceases to be an eligible child.

(4) If there are two or more eligible children, the share of the pension to which each of them is entitled is determined in accordance with guidance published by the scheme manager for the purposes of this paragraph.

(5) An amount payable to an eligible child is payable—

(a) to the eligible child, or

(b) if the scheme manager so decides, to another person for the eligible child.

(6) Paragraph (7) applies to an eligible child if—

(a) at the date of death the child is dependent on an adult; and

(b) the adult is entitled to a pension under regulation 112.

(7) For any period in which the surviving adult's pension is payable at the rate specified in regulation 115(3) or 118(5), the eligible child is entitled to payment only of so much of the pension as is attributable to an additional pension.

(8) Paragraph (9) applies if an eligible child—

(a) is incapable for any period of earning a living because of a physical or mental infirmity, and

(b) for a period exceeding one month is maintained out of money appropriated by the Northern Ireland Assembly in a hospital or other institution.

(9) No pension is payable in respect of the child for any part of the period after the first month.

(10) If, apart from this paragraph, multiple pensions would be payable in respect of a person as an eligible child of three or more persons each of whom was a deceased member or recent leaver—

(a) the entitlements to the pensions is treated as entitlement on the death of only two of those persons; and

(b) the amount payable is equal to the sum of the two pensions which are the highest.

Eligible child

121

(1) A person is an eligible child in relation to a deceased member or recent leaver (DMR) if the child—

(a) meets the relationship condition;

(b) meets the age or health dependency condition; and

(2) A person meets the relationship condition if the person is any of the following—

(a) a natural child or grandchild of the DMR;

(b) an adopted child of the DMR who was adopted while the DMR was an active member;

(c) a step-child of the DMR whose natural or adoptive parent is the DMR's surviving spouse or civil partner from a marriage entered into or a civil partnership formed, while the DMR was an active member;

(d) a person whose natural or adoptive parent is the DMR's surviving scheme partner if, at the time the DMR ceased to be an active member, the DMR was living with the partner as mentioned in regulation 113(1)(a) and (d);

(e) a brother or sister, or child of a brother or sister, of—

(i) the DMR, or

(ii) the DMR's spouse, civil partner or surviving scheme partner.

(f) a half-brother or half-sister, or child of a half-brother or half-sister of—

(i) the DMR member, or

(ii) the DMR member's spouse, civil partner or surviving scheme partner;

(g) a person who the scheme manager believes the DMR intended, at the time the DMR ceased to be an active member, to adopt;

(h) a person who at the time the DMR ceased to be an active member had been dependent on the DMR for—

(i) two years, or

(ii) if less, half the person's life.

(3) A person meets the age or health dependency condition if—

(a) the person has not attained the age of 23; or

(b) the scheme manager believes—

(i) that the person was financially dependent on the DMR at the date of death because the person was incapable of earning a living in consequence of physical or mental impairment; and

(ii) that the person continues to be incapable of earning a living in consequence of the impairment.

(4) A person meets the birth and dependency condition if—

(a) the person was born before the DMR ceased to be an active member; and

(i) was dependent on the DMR at the date of death; and

(ii) if the date of death was after the DMR ceased to be an active member, was dependent on the DMR at the time the DMR ceased to be an active member; or

(b) the person was born not more than one year after the DMR ceased to be an active member and—

(i) was dependent on the DMR both at birth and at the date of death, or

(ii) if the person was born after the DMR's death, would have been dependent on the DMR had the DMR not died before the person's birth.

Amount of child pension: deceased active member

122

(1) This regulation applies to determine the annual amount of pension payable under regulation 120 if, at the date of death, the deceased was—

(a) an active member of this scheme; and

(b) not also a pensioner member of this scheme.

(2) The amount, unless paragraph (6) or (7) applies is the appropriate fraction of—

(a) the basic death pension; plus

(b) if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), 75% of the amount of additional pension.

(3) The basic death pension is found by applying the following formula:

$$( F P + A × B C − A ) × 67.5 %$where—FP is the amount of full retirement earned pension which, if at the date of death the deceased had become entitled to an ill-health pension, would be specified in the pensioner member's account;A is the aggregate of the amounts of all of the member's pensions from pensionable service on the day after the member's last day of pensionable service (L+1)—disregarding any additional pension; andincluding any increases applied by virtue of the Pensions (Increase) Act (Northern Ireland) 1971 ;B is the period counted in days which is the greater of—the aggregate of the total period of pensionable service counted in days over which the pensions referred to in A were accrued and 50% of the length of the period starting on L+1 and ending on the day the deceased would have reached prospective normal pension age; and10 years;C is the total period of pensionable service counted in days over which the pensions aggregated to find A were accrued,and for the purposes of B and C, any part of a day is taken to be a whole day.$

(4) The appropriate fraction is shown in Column 3 of the following table against the description of circumstances in Columns 1 and 2 to which it relates.

Column 1	Column 2	Column 3
Surviving adult: pension entitlement and relationship to eligible child	Number of eligible children	Appropriate fraction
A. There is a surviving parent or a surviving spouse or civil partner of a parent and a surviving adult's pension is payable under regulation 112	One eligible child	1/4
A. There is a surviving parent or a surviving spouse or civil partner of a parent and a surviving adult's pension is payable under regulation 112	Two or more eligible children	1/2
B. There is a surviving parent or a surviving spouse or civil partner of a parent but no pension is payable under regulation 112	One eligible child	1/3
B. There is a surviving parent or a surviving spouse or civil partner of a parent but no pension is payable under regulation 112	Two or more eligible children	2/3
C. There is no surviving parent or spouse or civil partner of parent;	One eligible child	1/3
C. There is no surviving parent or spouse or civil partner of parent;	Two or more eligible children	2/3

(5) Paragraph (6) applies if—

(a) a surviving adult dependent's pension is payable under regulation 112; and

(b) there is a eligible child who is not dependent on the person entitled to the pension.

(6) The rate of pension payable in respect of the child for the first three months after the deceased's death is equal to—

(a) if the deceased member was in non-practitioner employment, the rate of the member's pensionable earnings at the time of death;

(b) if the deceased member was a practitioner or non-GP provider, the average rate of the member's pensionable earnings during the last complete quarter before the member's death.

(7) Where entry B or C of column 1 of the table in paragraph (4) applies, the rate of the pension in respect of a eligible child for the period of six months starting with the deceased's death is equal to—

(a) if the deceased member was in non-practitioner employment, the rate of the member's pensionable earnings at the time of death;

(b) if the deceased member was a practitioner or non-GP provider, the average rate of the member's pensionable earnings during the last complete quarter before the member's death.

(8) Non-practitioner employment is employment other than as a practitioner or non-GP provider.

Amount of child pension: deceased pensioner member

123

(1) This regulation determines the annual amount of pension payable under regulation 120 if, at the date of death, the deceased—

(a) was a pensioner member of this scheme; and

(b) was not also an active member.

(2) The amount is the appropriate fraction of—

(a) the basic death pension; plus

(b) if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), 75% of the amount of the additional pension.

(3) The basic death pension is the greater of—

(a) 67.5% of the deceased's annual pension (disregarding any additional pension) ;and

(b) the amount found by applying the following formula:

$$( A C × 3650 ) × 67.5 %$where—A is the deceased's annual pension;C is the total period of pensionable service counted in days over which the pensions aggregated to find A was accrued;and for the purposes of C, any part of a day is taken to be a whole day.$

(4) The appropriate fraction is as determined by regulation 122(4).

(5) Paragraph (6) applies if—

(a) a surviving adult dependent's pension is payable under regulation 112; and

(b) there is a eligible child who is not dependent on the person entitled to the pension.

(6) The rate of pension payable in respect of the child for the first three months after the deceased's death is equal to the rate of the member's pension at the date of death.

(7) Where entry B or C of column 1 of the table in paragraph (4) of regulation 122 applies, the rate of the pension in respect of a eligible child for the period of six months starting with the deceased's death is equal to the greater of—

(a) the rate of the member's pension at the date of death disregarding any reduction under Chapter 7 of Part 5 (Abatement); and

(b) the amount of child pension that would otherwise be payable under these Regulations.

(8) A reference to the deceased's pension for the purposes of paragraph (3)(a) and (b) is a reference to the amount the deceased's pension would have been if it was calculated—

(a) without subtracting the conversion amount (see paragraph 10 of Schedule 7); and

(b) in the case of a pension that was payable to the deceased pursuant to regulation 78, 81 or 83, without the reduction under paragraph 6(1)(b) or 7(1)(b) of Schedule 11.

Amount of child pension: deceased deferred member

124

(1) This regulation determines the annual amount of pension payable under regulation 120 if, at the date of death, the deceased—

(a) was a deferred member of this scheme; and

(b) was not also an active member or a pensioner member.

(2) The amount is the appropriate fraction of—

(a) the basic death pension; plus

(b) if the member had made an additional pension election under regulation 54(3)(b) (self and survivor), 75% of the amount of the additional pension.

(3) The basic death pension is—

(a) if the date of death is before the end of the period 12 months starting on the day after the deceased ceased to be an active member, the amount found by applying the formula in regulation 122(3);

(b) in any other case, the greater of—

(i) 67.5% of the pension which would have been payable if, at the date of death, the deceased had become entitled to a pension under regulation 72, but in calculating that pension under paragraph 1 of Schedule 11 sub-paragraph (c) must be ignored; and

(ii) the amount found by applying the formula in regulation 123(3).

(4) The appropriate fraction is shown in Column 3 of the following table against the description of circumstances in Columns 1 and 2 to which it relates.

Column 1	Column 2	Column 3
Surviving adult: pension entitlement and relationship to eligible child	Number of eligible children	Appropriate fraction
A. There is a surviving parent or a surviving spouse or civil partner of a parent and a surviving adult's pension is payable under regulation 112	One eligible child	1/4
A. There is a surviving parent or a surviving spouse or civil partner of a parent and a surviving adult's pension is payable under regulation 112	Two or more eligible children	1/2
B. In any other case	One eligible child	1/3
B. In any other case	Two or more eligible children	2/3

Amount of child pension: recent leavers

125

(1) This regulation determines the annual amount of pension payable under regulation 120 if, at the date of death, the deceased was a recent leaver (within the meaning of regulation 117(4)).

(2) The amount is the appropriate fraction of the basic death pension.

(3) The basic death pension is the amount found by applying the formula in regulation 122(3).

(4) The appropriate fraction is as determined by regulation 124(4).

Power to increase pension for children not maintained by surviving parent etc.

126

(1) This regulation applies if—

(a) a member dies leaving a eligible child;

(b) there is a surviving parent of the eligible child or a surviving spouse or civil partner of a parent of the dependent child; and

(2) The scheme manager may increase the amount of the pension that would otherwise be payable under this Chapter.

(3) The increased amount must not exceed the amount that would have been payable under this Chapter if there had been no such surviving parent or spouse or partner of a parent.

Amount of child pension: re-employed pensioners

127

(1) This regulation applies to determine the annual amount of pension payable under regulation 120 if, at the date of death, the deceased was—

(a) an active member of this scheme; and

(b) a pensioner member of this scheme.

(2) If there is no surviving adult, in relation to the period of 6 months starting on the day after the date of death, the rate of pension is equal to the sum of—

(a) the rate of the deceased's pensionable earnings at the date of death; and

(b) the rate of the pension being received by the deceased at the date of death.

(3) In paragraph (2), rate of pensionable earnings for a member who was a practitioner or non-GP provider is the rate during the last complete quarter before the member's death.

(4) Apart from paragraph (2), the amount is the appropriate fraction of—

(a) if, at the date of death, the deceased has not reached normal pension age, the amount found by applying the formula in regulation 122(3);

(b) in any other case, 67.5% of the pension to which the deceased would have been entitled under regulation 73 (see paragraph 1 of Schedule 11).

(5) The appropriate fraction is as determined by regulation 122(4).

(6) Paragraph (7) applies if a eligible child was dependent both—

(a) at the time when the pensionable service in respect of which the pension is payable ceased; and

(b) at the date of death.

(7) The amount is the sum of—

(a) the amount payable under regulation 122 in respect of the deceased's new employment—

(i) if paragraph (1)(b) of that regulation did not apply; and

(ii) ignoring paragraph (b) of element B in the formula in paragraph (3) of that regulation; and

(b) the amount found under regulation 123(3)(a) in respect of the deceased's old employment if paragraph (1)(b) of that regulation did not apply.

(8) For the purposes of paragraph (7)—

(a) if the aggregate of the periods of pensionable service taken into account in determining the amounts under sub-paragraphs (a) and (b) is less than 10 years, the period to be taken into account for the purposes of paragraph (a) must be increased by a period equal to the length of the difference;

(b) “new employment” and “old employment” must be construed in accordance with Chapter 7 of Part 5.

Provisional awards of eligible child's pensions: later adjustments

128

(1) This regulation applies where—

(a) an active member, deferred member, recent leaver or pensioner member of this scheme has died;

(b) a pension is paid in respect of one or more persons under this Chapter on the basis that they were eligible children as at the date of the member's death and that there were then no other eligible children; and

(i) a person in respect of whom such a pension has been paid was not an eligible child on the date of death;

(ii) on that date a further person was an eligible child; or

(iii) a child who was born after the member's death is an eligible child.

(2) The scheme manager may adjust the amount of pension payable in respect of each eligible child to take account of the matters referred to in paragraph (1)(c), as applicable.

(3) Paragraph (2) does not affect any right the scheme manager has to recover a payment or an overpayment.

CHAPTER 3 — General

Suspension and recovery of pensions paid under this Part

129

(1) This regulation applies if—

(a) on a member's death a pension has been awarded and paid under this Part; and

(b) it later appears to the scheme manager that the member or the person to whom the pension has been paid knowingly made a false declaration or deliberately suppressed a material fact in connection with the award.

(2) The scheme manager may—

(a) cease paying the pension; and

(b) recover any payment made under the award.

(3) Paragraph (2) does not affect any right the scheme manager has to recover a payment or an overpayment.

PART 7 — Transfers

CHAPTER 1 — Preliminary

Application of Part

130

(1) This Part—

(a) supplements the rights conferred by or under Chapter 4 of Part 4 of the 1993 Act (Transfer values); and

(b) is without prejudice to that Chapter or Chapter 5 of that Part (Early leavers: cash transfer sums and contribution refunds).

(2) This Part applies in the case of a transfer to which the club transfer arrangements apply as it applies in other cases, except to the extent that—

(a) a provision of this Part otherwise requires, or

(b) the arrangements themselves make different provision.

Interpretation of Part

131

In this Part—

“cash equivalent” means an amount calculated in accordance with regulations made under section 93 of the 1993 Act ;

“club scheme” means a registered occupational pension scheme (other than a connected scheme) that has agreed to make and receive transfer value payments under the club transfer arrangements;

“club transfer” means a transfer value payment made pursuant to club transfer arrangements: and “non-club transfer” must be construed accordingly;

“club transfer arrangements” means arrangements approved by the scheme manager as providing reciprocal arrangements between this scheme and other registered occupational pension schemes for making and receiving transfer value payments;

“club transfer earned pension” means the pension attributable to the receipt of a club transfer value;

“club transfer value”, in relation to an amount of accrued earned pension under this scheme or under another club scheme, means an amount calculated by the scheme manager—in accordance with the club transfer arrangements; andby reference to the guidance and tables provided by the Government Actuary for this purpose and that are in use on the date used for the calculation.

“guarantee date” has the meaning given by regulation 134(3);

“guaranteed cash equivalent”, in relation to accrued rights to benefits under this scheme, means the cash equivalent of those accrued rights as at the guarantee date, as specified in a statement of entitlement;

“personal pension scheme” means a personal pension scheme which—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 scheme manager agrees to recognise as a transferring scheme for the purposes of Part 7;in the case of a scheme established before that date, was—approved by the Commissioners for Her Majesty's Revenue and Customs for the purposes of Chapter 4 of Part 14 of the Income and Corporation Taxes Act 1988 (personal pension schemes) ; andon the 6th April 2006 became a registered pension scheme for the purposes of the 2004 Act.

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

“statement of entitlement”, in relation to a member's accrued rights to benefits under this scheme, means a statement by the scheme manager of the amount of the cash equivalent of those rights as at the guarantee date;

“transfer value”, in relation to accrued rights other than accrued earned pension which is the subject of a club transfer means—for accrued rights to benefits under this scheme, an amount equal to the guaranteed cash equivalent of those accrued rights; andfor accrued rights under another pension scheme, an amount—determined by the scheme actuary of that scheme; andspecified in a statement of accrued rights provided by the scheme manager of that scheme;

“transfer value payment” means—the payment of a transfer value or club transfer value under this Part; orthe payment of a transfer value under Chapter 4 of Part 4 of the 1993 Act.

CHAPTER 2 — Transfers values

SECTION 1 — Application of Chapter

Application of Chapter

132

This Chapter applies to the payment and receipt of transfer values.

SECTION 2 — Transfers out

Right to transfer value payment

133

(1) This Section applies to a member (M) unless M is—

(a) an active member;

(b) a pensioner member in respect of the pension to which M has become entitled; or

(2) If Chapter 4 of Part 4 of the 1993 Act (Transfer rights) applies to M (see section 89(1)(a) of the Act) , M is entitled to require the payment of a transfer value in respect of the rights to benefit that have accrued to or in respect of M under this scheme.

(3) If Chapter 5 of that Part applies to M (see section 97AA of that Act ), M is entitled to a cash transfer sum or a contribution refund in accordance with that Chapter.

(4) In any other case, M is entitled to require payment as mentioned in paragraph (2) as if the rights had accrued to or in respect of M by reference to the pensionable service M is entitled to count under this scheme (and references to M's accrued rights or benefits are to be read accordingly).

Application for statement of entitlement

134

(1) A member (M) who requires a transfer value payment to be made must apply in writing to the scheme manager for a statement of entitlement.

(2) M may withdraw the application by notice in writing at any time before the statement of entitlement is provided.

(3) The guarantee date is a date that—

(a) is within the required period;

(b) is chosen by the scheme manager;

(d) is within the period of 10 days ending with the date on which the member is provided with the statement of entitlement.

(4) In paragraph (3), the required period is—

(a) the period of 3 months beginning with the date of M's application for a statement of entitlement, or

(b) such longer period (not exceeding 6 months) beginning with that date as may reasonably be required if, for reasons beyond the control of the scheme manager, the information required to calculate the cash equivalent cannot be obtained.

(5) For the purposes of paragraph (3)(d), Saturdays, Sundays, Christmas Day, New Year's Day and Good Friday must be ignored.

Application for transfer value payment

135

(1) A member (M) who has applied for and received a statement of entitlement may apply in writing to the scheme manager for a transfer value payment to be made.

(2) The application must be made before the end of the period of 3 months starting with the guarantee date.

(3) On making the application M becomes entitled to payment of an amount equal, or amounts equal in aggregate, to—

(a) the amount specified in the statement of entitlement, or

(b) that amount subject to any increase specified in regulation 136(2).

(4) In this Part a payment under paragraph (3) is referred to as “the guaranteed cash equivalent transfer value payment”.

(5) The application—

(a) must specify the pension scheme or other arrangement to which the payment should be applied; and

(b) must meet such other conditions as are required by the scheme manager.

(6) The application may be withdrawn by notice in writing to the scheme manager unless, before the notice is given, an agreement for the application of the whole or part of the guaranteed cash equivalent transfer value payment has been entered into with a third party.

Transfer value payments: time limits

136

(1) The guaranteed cash equivalent transfer value payment must be made not later than—

(a) the end of the period of 6 months after the guarantee date, or

(b) if earlier, the date on which the member attains normal pension age.

(2) If the payment is made after the time specified in paragraph (1)(a), the amount of the payment must be increased by the relevant amount.

(3) The relevant amount is—

(a) if the amount specified in the statement of entitlement (SEA) is less than the amount it would have been if the guarantee date had been the date on which the payment is made, the amount of the difference;

(b) if—

(i) the SEA is greater than the amount it would have been if the guarantee date had been the date on which the payment is made; and

(ii) there was no reasonable excuse for the delay in payment,

interest on the SEA calculated on a daily basis starting on the guarantee date and ending on the date the payment is made at an annual rate of 1% above the base rate.

(4) Paragraph (5) applies if—

(a) disciplinary or court proceedings against M are started before the end of the period of 12 months starting with the date on which M leaves the employment which qualified M for being a member of this scheme; and

(b) it appears to the scheme manager that the proceedings may result in all or part of M's benefits being forfeited under paragraph 12 of Schedule 3.

(5) The scheme manager may defer making a payment under this Section until the end of the period of 3 months starting on the day the proceedings (including any proceedings on appeal) are finally determined.

(6) If a direction is given under paragraph 12 of Schedule 3 for the forfeiture of M's benefits, this regulation applies as if the SEA were reduced by an amount equal to the value of the benefits forfeited, as determined by the scheme actuary.

(7) Paragraph (8) or (9) applies if M is entitled to require payment of a transfer value by virtue of regulation 72.

(8) If M's application specifies that the guaranteed cash equivalent transfer value payment is made to a registered occupational pension scheme or a registered personal pension scheme, the application may be made only if—

(a) M became a member of the other scheme before the end of the period of 12 months starting on the day after the leaving date; and

(b) the application is made not later than—

(i) the end of the period of 12 months starting on the day M became a member of the other scheme, or

(ii) if M became a member of the other scheme on or before the leaving date, the end of the period of 12 months starting on the day after the leaving date.

(9) If paragraph (8) does not apply, M's application may only be made before the end of the period of 12 months starting on the day after the leaving date.

(10) In paragraphs (8) and (9), the leaving date is the day on which M ceased to be in the pensionable service in which the rights accrued.

(11) M may require the scheme manager to make a club transfer value payment only during the period of 12 months starting with the day on which M becomes eligible to be an active member of the scheme to which the payment is to be made.

How transfer value payments may be applied

137

(1) If Chapter 4 of Part 4 of the 1993 Act apples to a member (M), (M) may require the scheme manager to apply the guaranteed cash equivalent value payment only in one or more of the ways permitted under section 91 of the 1993 Act .

(2) In any other case, M may require the scheme manager to apply the guaranteed cash equivalent transfer value payment only in one of the ways permitted under section 97AE of the 1993 Act .

(3) The whole of the guaranteed cash equivalent transfer value payment must be applied, unless paragraph (4) applies.

(4) Benefits attributable to—

(a) M's accrued rights to a guaranteed minimum pension, or

(b) M's accrued rights attributable to service in a contracted-out employment (within the meaning of section 4 of the 1993 Act ) on or after 6th April 1997,

may be excluded from the guaranteed cash equivalent payment if section 92(2) of the 1993 Act applies (trustees or managers of certain receiving schemes or arrangements able and willing to accept a transfer payment only in respect of the members other rights).

(5) A transfer payment may be made only to—

(a) a pension scheme (other than a connected scheme) that is registered under Chapter 2 of Part 4 of the 2004 Act, or

(b) an arrangement that is a qualifying recognised overseas pension scheme for the purposes of that Part (see section 169(2) of that Act) .

Calculating amounts of transfer value or club transfer value

138

(1) The amount of the guaranteed cash equivalent transfer value payment is to be calculated and verified by the scheme manager in accordance with the Occupational Pension Schemes (Transfer Values) Regulations (Northern Ireland) 1996 .

(2) In determining the factors to be used in the calculation of the member's (M's) guaranteed cash equivalent, the scheme manager must take account of—

(a) M's prospective normal pension age;

(b) advice from the scheme actuary.

(3) If the amount calculated in accordance with paragraph (1) or (5) is less than M's minimum transfer value (if any), the amount of the guaranteed cash equivalent transfer value payment is to be equal to that value.

(4) In paragraph (3) “minimum transfer value” means the sum of—

(a) any transfer value payments that have been made to this scheme in respect of M as a result of which M is entitled to count any pensionable service under this scheme by reference to which the accrued rights subject to the transfer are calculated; and

(b) any contributions paid by M under Part 4 as a result of which M is entitled to count such service.

(5) If the transfer is a club transfer, the amount of the transfer value payment is calculated in accordance with the club transfer arrangements rather than paragraph (1).

(6) If a club transfer value is paid later than 6 months after the guarantee date, the amount of the club transfer value as specified in the statement of entitlement must be increased if necessary so that it is equal to the amount it would have been if the guarantee date had been the date on which the payment is made.

Effect of transfer-out

139

If a transfer value payment is made under this Section in respect of a person's rights under the scheme, those rights are extinguished.

SECTION 3 — Transfers in

Right to apply for acceptance transfer value payment

140

(1) An active member (M) may apply for a transfer value payment to be accepted from—

(a) an appropriate registered occupational pension scheme;

(b) a registered personal pension scheme;

(d) a corresponding scheme.

(2) Paragraph (1) does not apply to M's rights—

(a) under a free-standing AVC scheme to which paragraph (3) applies, or

(b) that are directly attributable to a pension credit.

(3) This paragraph applies to—

(a) a scheme which—

(i) immediately before 6th April 2006 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), and

(ii) became a registered scheme for the purposes of the 2004 Act by virtue of Schedule 36 to that Act, or

(b) a scheme established on or after that date as a registered free-standing AVC scheme.

(4) An appropriate registered occupational pension scheme is a registered occupational pension scheme which is not—

(a) a connected scheme,

(b) a corresponding 1995 scheme, or

(5) In paragraph (1), “buy-out policy” means a policy of insurance or annuity contract that is appropriate for the purposes of section 15 of the 1993 Act (extinguishment of liability of scheme for pensions secured by insurance policies or annuity contracts) .

(6) In paragraph (4)—

“a corresponding 1995 scheme” is a superannuation scheme provided under section 10 of the Superannuation Act 1972 and having effect in England and Wales or Scotland, the provisions of which the Department has determined correspond to the provisions of 1995 Regulations;

“a corresponding 2008 scheme” is a superannuation scheme provided under section 10 of the Superannuation Act 1972 and having effect in England and Wales or Scotland, the provisions of which the Department has determined correspond to the provisions of the 2008 Regulations.

Application procedure

141

(1) An application under regulation 140—

(a) must be in writing;

(b) must specify the scheme or arrangement from which the transfer value payment is to be made and the anticipated amount of the payment;

(i) the end of the period of one year starting on the day the member (M) becomes eligible to be an active member of this scheme; and

(ii) M attains normal pension age;

(d) if the scheme manager so requires, may be made only if M has requested a statement of entitlement; and

(e) must meet such other conditions as the scheme manager requires.

(2) If the transfer is not a club transfer, a statement of entitlement—

(a) is a statement of the increase to pensionable earnings and the service M will be entitled to count as a result of the transfer if the payment is accepted;

(b) must specify—

(i) the period within which the payment is to be accepted by the scheme manager; and

(ii) the amount of increase to pensionable earnings calculated in accordance with guidance and tables provided by the scheme actuary for the purpose.

(3) If the transfer is a club transfer, a statement of entitlement—

(a) is a statement of the club transfer earned pension; and

(b) must specify—

(i) the period within which the transfer is to be accepted by the scheme manager; and

(ii) the basis on which the club transfer earned pension will be revalued while M is in pensionable service under this scheme.

Acceptance of transfer value payment

142

(1) The scheme manager may accept an application under regulation 140 from a member (M) unless—

(a) such conditions as the scheme manager requires are not met, or

(b) paragraph (5) applies.

(2) If the transfer is a non-club transfer and the scheme manager accepts the payment, M is entitled—

(a) for the purposes of calculating benefits payable to, or in respect of, M under this scheme, to an increase in M's pensionable earnings calculated in accordance with regulation 143; and

(b) to be credited with the relevant period of pensionable service in this scheme.

(3) If the payment is a club transfer M is entitled—

(a) to the amount of club transfer earned pension specified in the statement of entitlement, and

(b) to be credited with the relevant period of pensionable service in this scheme.

(4) The relevant period is equal to the period of employment that qualified M for the rights in respect of which the transfer is being made.

(5) This paragraph applies to a non-club transfer if—

(a) it would be applied in whole or in part in respect of M's or M's spouse's entitlement to a guaranteed minimum pension; and

(b) it is less than the amount required for that purpose, as calculated in accordance with guidance and tables prepared by the scheme actuary for the purposes of this paragraph.

Calculation of increase to pensionable earnings

143

(1) The increase in pensionable earnings that the member (M) is entitled to count under regulation 142 as a result of the transfer is calculated—

(a) in accordance with guidance and tables provided by the scheme actuary for the purpose; and

(b) by reference to any relevant factors as at the date the transfer payment is received by the scheme manager.

(2) The benefits in respect of the transfer payment must be calculated by increasing M's pensionable earnings for—

(a) the scheme year in which M joined this scheme, or

(b) if the transfer payment is received more than 12 months after the day on which M joined this scheme (the starting day), the scheme year in which the payment is received.

(3) Paragraph (2)(b) does not apply if—

(a) a written statement estimating the increase in pensionable earnings that M would be entitled to count as a result of the transfer was given to M by the scheme manager during the period of 3 months ending 12 months after the starting date; and

(b) the transfer payment is received by the scheme manager before the end of the period of 3 months after the date of the statement.

(4) If the transfer is a club transfer, the club transfer earned pension M is entitled to count is calculated in accordance with the club transfer arrangements.

(5) If the transfer value statement is accepted from a corresponding scheme, the increase in pensionable earnings M is entitled to count is the increase M would be entitled to count if—

(a) M's employment to which that scheme applied were health service employment in respect of which M was a member of this scheme; and

(b) M's contributions to that scheme were contributions to this scheme.

Transfer from the 1995 or 2008 Section

144

(1) This regulation applies to an active member of this scheme (M) who is entitled to require a cash equivalent of M's rights to be used to acquire rights in this scheme pursuant to —

(a) regulation 59A of the 1995 Section , or

(b) regulation 108B or 235B of the 2008 Section.

(2) M may apply to the scheme manager to convert the cash equivalent value into rights under this scheme.

(3) An application under paragraph (2)—

(a) must be in writing in the form provided by the scheme manager for the purpose;

(b) must be made before the end of the period starting with the guarantee date within the meaning of whichever of regulation 59A of the 1995 section, 108B or 235B of the 2008 section applies;

(c) may be made only if M has first been provided with a statement of the pensionable service and increase in pensionable earnings M will be entitled to count under this scheme if the application is accepted;

(d) must meet such other conditions as the scheme manager requires;

(e) is irrevocable.

(4) The statement mentioned in paragraph (3)(c) must inform M of—

(a) the amount of the increase in pensionable earnings that will count under this scheme for the purpose of calculating benefits payable to or in respect M;

(b) the pensionable service that will count under this scheme to determine whether M has 2 years qualifying service for the purposes of regulation 71.

(5) The amount of the increase in pensionable earnings must be calculated in accordance with guidance, tables and other relevant factors provided by the scheme actuary for the purpose.

(6) The pensionable service is equal to the period of employment that qualifies M to the entitlement mentioned in paragraph (1).

(7) If the scheme manager accepts an application under paragraph (2), for the purposes of this scheme—

(a) the period of pensionable service mentioned in paragraph (4)(b) applies for the purpose mentioned in that paragraph;

(b) the amount of the increase in pensionable earnings is credited to M's active member's account in the scheme year in which M's application under paragraph (2) is received.

(8) For the purposes of this regulation, in regulation 140(4), sub-paragraph (a) must be ignored.

Transfers from corresponding 1995 and 2008 schemes

145

(1) This regulation applies to an active member of this scheme (M) if—

(a) M was formerly a member of a corresponding 1995 scheme or a corresponding 2008 scheme; and

(b) the scheme manager considers that on the notional joining date M would be entitled to require a cash equivalent of M's rights in that scheme to be used to acquire rights in a corresponding health service scheme if M became a member of the corresponding health service scheme.

(2) M may apply to the scheme manager to convert the cash equivalent value into rights under this scheme.

(3) An application under paragraph (2) must be in such form, provide such information and be made at such time as the scheme manager requires.

(4) The notional joining date in relation to a relevant corresponding scheme is the date M became a member of this scheme.

(5) References to a corresponding 1995 scheme and a corresponding 2008 scheme must be construed in accordance with regulation 140(6).

SECTION 4 — Bulk transfers

Bulk transfers out

146

(1) This regulation applies if—

(a) the employment of one or more active members (the transferring employees) is transferred without consent to a new employer;

(b) on the transfer the transferring employees cease to be eligible to be members of this scheme;

(c) after the transfer the transferring employees become active members of another occupational pension scheme (the new employer's scheme);

(d) the Department has agreed special terms for the making of transfer value payments in respect of the transferring employees to the new employer's scheme, after consultation with the scheme actuary; and

(e) the transferring employees have consented in writing to their rights being transferred in accordance with those terms.

(2) In the case of the transferring members or the transferred members, the transfer value payment to be paid—

(a) is not calculated in accordance with regulation 135; but

(b) is to be such amount as the Department, after consulting the scheme actuary, determines to be appropriate in accordance with the special terms.

(3) This Part has effect with such modifications as are necessary to give effect to those terms.

(4) If the transfer is directly or indirectly attributable to an enactment, this Part has effect with such modifications as the Department thinks necessary in consequence of the transfer.

Bulk transfers in

147

(1) This regulation applies if—

(a) the employment of one or more persons (the transferred employees) is transferred without their consent to a new employer;

(b) on the transfer the transferred employees cease to be active members of an occupational pension scheme (the former employer's scheme);

(d) the Department, after consulting the scheme actuary, has agreed special terms for the acceptance of transfer value payments in respect of the transferred employees from the former employer's scheme; and

(e) the transferred employees have consented in writing to their rights being transferred in accordance with those terms.

(2) This scheme has effect with such modifications as are necessary to give effect to the terms mentioned in paragraph (1)(d).

(3) If the transfer is directly or indirectly attributable to an enactment, this scheme has effect with such modifications as the Department thinks necessary in consequence of the transfer.

CHAPTER 3 — Miscellaneous transfers

EU and overseas transfers

148

(1) This regulation applies in the case of a member whose transfer is subject to transfer arrangements concluded with—

(a) the Communities Pension Scheme of the Institutions of the European Communities; or

(b) any other scheme for the provision of retirement benefits established outside the United Kingdom.

(2) This scheme applies in relation to the member with any modifications the scheme manager considers necessary to comply with—

(a) the terms of those arrangements;

(b) any applicable provision contained in or made under any enactment; and

PART 8 — General

OOH provider

149

(1) A reference to an OOH provider is a reference to a body within paragraph (2) or (3).

(2) A body is within this paragraph if it is a company limited by guarantee (which is not otherwise an employing authority)—

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

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

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

(b) which has a contract with the Department , an APMS contractor or a GMS practice for the provision of OOH services; and

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

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

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

(3) A body is within this paragraph if it is a body corporate, other than a company limited by guarantee (which is not otherwise an employing authority) which—

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

(b) operates on a not-for-profit basis;

(d) has memorandum or articles or rules that—

(i) prohibit the payment of dividends to its members; and

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

(iii) 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 and 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;

(e) has at least one member who is—

(i) an APMS contractor or a GMS practice; or

(ii) a partner in a partnership that is an APMS contractor or a GMS practice; or

(iii) a shareholder in a company limited by shares that is an APMS contractor or a GMS practice;

(f) has a contract with the Department , an APMS contractor or a GMS practice, for the provision of OOH services, and

(g) is approved as an employing authority by the Department —

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

(ii) that the Department being satisfied that the body has met all the condition for being an OOH provider in this regulation.

(4) For the purposes of paragraph (3)(c)—

(a) a body corporate is another person's associated company if the person—

(i) has control of it; and

(ii) is not an employing authority;

(b) a person is taken to have control of a body corporate if the person—

(i) exercises, or is able to exercise direct or indirect control over its affairs, or

(ii) is entitled to acquire such control.

(5) 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 must make a written application to the Department , appointed by the Department to act on the Department's behalf.

(6) An application referred to in paragraph (5) may specify the date from which approval by the Department (if given) shall have effect (“the nominated date”).

(7) If a company limited by guarantee or other body corporate makes an application and—

(a) the Department is satisfied that the company or other body corporate is within paragraph (2) or (3), as the case may be or will be at a nominated date which is later than the approval date; and

(b) it approves that application, the approval takes effect on the later of the nominated date and the approval date.

(8) If paragraph (7) applies, HSC employment is treated as commencing on the later of the nominated date (if any) and the approval date.

(9) The Department may give an OOH provider a notice in writing terminating its participation in this scheme if the provider—

(a) does not have in force a guarantee, indemnity or bond as required by the Department in accordance with regulation 151.

(b) has ceased to be within paragraph (2) or (3);

(i) a proposal for a voluntary arrangement has been made or approved under Part II of the Insolvency (Northern Ireland) Order 1989 (“the 1989 Order”);

(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 Part III of the 1989 Order;

(iii) a receiver, manager, or administrative receiver has been appointed under Part IV of the 1989 Order;

(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 V of the 1989 Order;

(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 31 of the Companies Act 2006 .

(10) An OOH provider—

(a) must give the Department notice in writing upon the occurrence of any of the events referred to in paragraph (9)(c) and must give the notice on the same day as the event;

(b) that wishes to cease to participate in this scheme must give both the RHSCB and its employees not less than 3 months notice in writing (to commence with the date of the notice) of that fact.

(11) An OOH provider must cease to participate in this scheme on—

(a) the date specified by the Department in a notice under paragraph (9);

(b) the day upon which the period referred to in paragraph (10)(b) expires if a notice under that provision has been given.

Medical Practitioner

150

(1) References to a medical practitioner must be construed in accordance with this regulation.

(2) A medical practitioner is a fully registered person—

(a) whose name is included in a medical performers list; and

(b) to whom any of paragraphs (3) to (7) apply.

(3) This paragraph applies to—

(a) a GMS practice,

(b) an APMS contractor, or

(4) This paragraph applies to a partner in a partnership that is—

(a) a GMS practice, or

(b) an APMS contractor.

(5) This paragraph applies to a shareholder in a company limited by shares that is—

(a) a GMS practice, or

(b) an APMS contractor.

(6) This paragraph applies to an ophthalmic provider.

(7) This paragraph applies to a person—

(a) who is employed by a GMS practice, an APMS contractor or an OOH provider wholly or mainly to assist the employer in the discharge of the employer's duties as a GMS practice, a PMS practice or an OOH provider, or

(b) who participates in a doctors' retainer scheme as provided for by the Department.

if the person performs essential services, additional services, enhanced services, dispensing services, collaborative services, commissioned services, OOH services, certification services, Board and advisory work, pharmaceutical services, general ophthalmic services, primary dental services, practice based services education or training, or organising the education or training of medical students or practitioners (or a combination of those services) as or on behalf of that practice, contractor or provider.

(8) A person who is a GP registrar is not a medical practitioner.

(9) A reference to a fully registered person must be construed in accordance with section 55 of the Medical Act 1983 .

(10) An ophthalmic provider is a principal medical practitioner who is included in an ophthalmic list kept and published by the Department pursuant to regulation 8(1) of the General Ophthalmic Services Regulations (Northern Ireland) 2007 .

Guarantees, bonds and indemnities

151

(1) This regulation applies if—

(a) an employing authority fails or has at any time in the past failed, to pay or to remit contributions in accordance with regulation 30 to 34, 56 or 61; and

(b) the employing authority is—

(i) a GMS practice,

(ii) an APMS contractor, or

(iii) an OOH provider.

(2) The scheme manager may require the employing authority to have in force a guarantee, indemnity or bond which provides for payment to the scheme manager, if that authority fails to meet them, of all future liabilities under—

(a) this scheme, or

(b) the Health and Personal Social Services (Superannuation) (Additional Voluntary Contributions) Regulations (Northern Ireland) 1999 .

(3) The guarantee, indemnity or bond must be in such form, in respect of such amount and provided by such person as the Department approves for the purpose.

Definitions

152

The expressions listed in column 1 of the Table in Schedule 13 have the meaning given by the corresponding entry in column 2 in that table.

SCHEDULE 1 — Pension Board

Composition of the Pension Board

1

(1) The composition of the Pension Board (the Board) is to be determined from time to time by the scheme manager—

(a) having regard to the nature of the matters on which the Board may be required to assist;

(b) having regard to the desirability of securing the effective and efficient governance and administration of—

(i) the scheme, and

(ii) any statutory pension scheme that is connected with it: and

(c) must include representatives of employers and representatives of scheme members (see section 5(7) of the 2014 Act) in equal numbers.

(2) The members of the Board are to be appointed by the scheme manager.

(3) The scheme manager cannot appoint a person to be a member of the Board unless that the person does not have a conflict of interest.

Terms of office of members

2

(1) The duration of the term of office of each member of the Board is to be determined by the scheme manager on appointment.

(2) No person may hold office as a member of the Board for more than an aggregate of nine years during any continuous period of twelve years.

Disqualification from appointment as a member

3

(1) A person is disqualified from appointment as a member of the Board in any of the circumstances set out in sub-paragraph (2).

(2) Those circumstances are if that person—

(a) has a conflict of interest;

(b) has at any time been convicted of an offence involving dishonesty or deception in the United Kingdom and the conviction is not a spent conviction;

(i) the final outcome of the proceedings was a sentence of imprisonment or detention, and

(ii) the conviction is not a spent conviction;

(d) has at any time been removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commission for Northern Ireland or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity—

(i) for which the person was responsible or to which the person was privy, or

(ii) which the person by the person's conduct contributed to or facilitated,

from being concerned with the management or control of any body;

(e) has at any time been removed under—

(i) section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (powers of Court of Session to deal with management of charities), or

(ii) section 34(5)(e) of the Charities and Trustee Investment (Scotland) Act 2005 (powers of the Court of Session),

from being concerned with the management or control of any body;

(f) has at any time been removed from office as chair, member, convenor or director of any public body on the grounds, in terms, that it was not in the interests of, or conducive to the good management of, that body that the person should continue to hold that office;

(g) at any time has been adjudged bankrupt or sequestration of the person's estate has been awarded, and—

(i) the person has not been discharged, or

(ii) the person is subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 2A to the Insolvency (Northern Ireland) Order 1989 (bankruptcy restrictions order and undertaking);

(h) has at any time made a composition or arrangement with, or granted a trust deed for, the person's creditors and the person has not been discharged in respect of it;

(i) is subject to—-

(i) a disqualification order or disqualification undertaking under the Company Directors Disqualification Act 1986 , or

(ii) a disqualification order or disqualification undertaking under the Company Directors Disqualification (Northern Ireland) Order 2002 ;

(j) has at any time been convicted of an offence elsewhere in the United Kingdom and the scheme manager is satisfied that the person's presence on the Pension Board would be liable to undermine public confidence in the governance, management or administration of—

(i) the scheme, or

(ii) any statutory pension scheme that is connected with it.

Appointment, term of office and cessation of office of the chair

4

(1) The scheme manager is to appoint the chair of the Board.

(2) If the person appointed is not already a member of the Board, by virtue of the appointment, the person becomes a member of the Board.

(3) The term of office of a member of the Board as chair is to be determined by the scheme manager on appointment of the member as chair, but it must be for a period that is no longer than the period between the chair's date of appointment as chair and the date on which the chair's term of office as a member is due to expire (irrespective of whether or not they are thereafter reappointed as a member).

(4) A member serving as chair shall cease to be chair—

(a) on ceasing to be a member;

(b) if the member resigns as chair, which the member may do at any time by giving a minimum of six months' notice (or such shorter period as the scheme manager is prepared to accept) in writing to the scheme manager;

Voting and quorum

5

(1) Only the following members of the Board are entitled to vote at meetings of the Board—

(a) members who are representatives of employers;

(b) members who are representatives of scheme members;

(2) The quorum of the Board—

(a) is the lowest whole number of members which is equal to or exceeds two thirds of the total number of members of the Board entitled to vote;

(b) must include the chair.

Conflicts of interest

6

(1) The scheme manager must, from time to time, be satisfied that none of the members of the Board has a conflict of interest.

(2) For the purpose of enabling the scheme manager to be satisfied that a person referred to in sub-paragraph (3) does not have a conflict of interest, that person must provide the scheme manager with such information as the scheme manager reasonably requires.

(3) Those persons are—

(a) a member of the Board;

(b) a person proposed to be appointed by the scheme manager as a member of the Board.

Information

7

(1) The information about the Board required to be published by section 6 of the 2014 Act (Pension board: information) must additionally include a statement in relation to each member of the Board setting out any financial or other interest not being a conflict of interest but which has the potential to constitute a conflict of interest in the future.

(2) The obligation to include a statement mentioned in sub-paragraph (1) may be satisfied in whole or in part by the publication of any information provided to the scheme manager for the purposes of paragraph 6(2).

SCHEDULE 2 — Scheme Advisory Board

Composition of the Scheme Advisory Board

1

(1) The composition of the Scheme Advisory Board (the Board) is to be determined from time to time by the Department having regard to the nature of the advice which the Board may be required to provide.

(2) The members of the Board are to be appointed by the Department.

(3) The Department cannot appoint a person to be a member of the Board unless satisfied that the person does not have a conflict of interest.

Disqualification from appointment as a member

2

(1) A person is disqualified from appointment as a member of the Board in any of the circumstances set out in sub-paragraph (2).

(2) Those circumstances are if that person—

(a) has a conflict of interest;

(b) has at any time been convicted of an offence involving dishonesty or deception in the United Kingdom and the conviction is not a spent conviction;

(i) the final outcome of the proceedings was a sentence of imprisonment or detention, and

(ii) the conviction is not a spent conviction;

(d) has at any time been removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commission for Northern Ireland or the High Court on grounds of any misconduct or mismanagement in the administration of the charity—

(i) for which the person was responsible or to which the person was privy, or

(ii) which the person by the person's conduct contributed to or facilitated,

from being concerned with the management or control of any body;

(e) has at any time been removed under—

(i) section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (powers of Court of Session to deal with management of charities), or

(ii) section 34(5)(e) of the Charities and Trustee Investment (Scotland) Act 2005 (powers of the Court of Session).

from being concerned with the management or control of any body;

(f) has at any time been removed from office as chair, member, convenor or director of any public body on the grounds, in terms, that it was not in the interests of, or conducive to the good management of, that body that the person should continue to hold that office;

(g) at any time has been adjudged bankrupt or sequestration of the person's estate has been awarded, and—

(i) the person has not been discharged, or

(ii) the person is subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 2A to the Insolvency (Northern Ireland) Order 1989 (bankruptcy restrictions order and undertaking);

(h) has at any time made a composition or arrangement with, or granted a trust deed for, the person's creditors and the person has not been discharged in respect of it;

(i) is subject to—

(i) a disqualification order or disqualification undertaking under the Company Directors Disqualification Act 1986, or

(ii) a disqualification order or disqualification undertaking under the Company Directors Disqualification (Northern Ireland) Order 2002;

(j) has at any time been convicted of an offence elsewhere in the united Kingdom and the scheme manager is satisfied that the person's presence on the Board would be liable to undermine public confidence in the regulation management or administration of—

(i) the scheme, or

(ii) any statutory pension scheme that is connected with it.

Appointment, term of office and cessation of office of the chair

3

(1) The Department must appoint two persons as joint chair of the Board.

(2) One of those persons must be a representative of employers and the other must be a representative of scheme members.

(3) The Department may appoint a person—

(a) who is not already a member on the Board; or

(b) who is already a member on the Board.

(4) A member serving as chair shall cease to be chair—

(a) on ceasing to be a member;

(b) if the member resigns as chair, which the member may do at any time by giving a minimum of six months' notice (or such shorter period as the Department is prepared to accept) in writing to the scheme manager;

Quorum of the Board

4

The quorum of the Board is six and must be comprised as follows—

(a) not less than three members who are representatives of employers; and

(b) not less than three members who are representatives of scheme members.

Conflicts of interest

5

(1) The Department must, from time to time, be satisfied that none of the members of the Board has a conflict of interest.

(2) For the purpose of enabling the Department to be satisfied that a person referred to in sub-paragraph (3) does not have a conflict of interest, that person must provide the Department with such information as the Department reasonably requires.

(3) Those persons are—

(a) a member of the Board;

(b) a person proposed to be appointed by the Department as a member of the Board.

SCHEDULE 3 — Administrative matters

PART 1 — Accounts and information

Scheme accounts and actuarial valuations

1

(1) This paragraph applies to—

(a) the scheme, and

(b) any statutory pension scheme that is connected with it,

which in this paragraph are together referred to as “the relevant schemes”.

(2) In addition to any obligations on record keeping imposed on the scheme manager by regulations made pursuant to section 16 of the 2014 Act, the scheme manager must keep accounts of all income and expenditure of the relevant schemes in a form approved by the Department of Finance and Personnel.

(3) The accounts must be open to examination by the Comptroller and Auditor General.

(4) The scheme actuary must prepare a valuation of the relevant schemes in accordance with any Department of Finance and Personnel directions given from time to time pursuant to section 11(2) of the 2014 Act.

(5) The scheme actuary must send a copy of the valuation of the relevant schemes to the scheme manager and to the Department of Finance and Personnel.

Scheme information

2

(1) The scheme manager or Department may publish or provide to the Department of Finance and Personnel scheme information (as defined in section 15 of the 2014 Act) whether or not required to do so by any Department of Finance and Personnel directions given from time to time pursuant to that section.

(2) Nothing in sub-paragraph (1) requires the scheme manager or the Department to publish or provide to the Department of Finance and Personnel any scheme information—

(a) which the scheme manager or the Department is not required by the Department of Finance and Personnel directions to publish or provide to the Department of Finance and Personnel; or

(b) which the scheme manager or the Department, apart from sub-paragraph (1), is prohibited lawfully from publishing or providing.

Benefit information statements

3

(1) The scheme manager must provide a benefit information statement to each active member in accordance with—

(a) section 14 of the 2014 Act (information about benefits); and

(b) any directions given by the Department of Finance and Personnel from time to time pursuant to that section.

(2) Sub-paragraph (1) does not provide a right for an active member to request a benefit information statement.

(3) A benefit information statement provided pursuant to sub-paragraph (1) is to be treated as though it is the information mentioned in regulation 16(2)(a) of the Occupational and Personal Pension Schemes (Disclosure of Information) Regulations (Northern Ireland) 2014 for the purposes of determining whether or not information must be given under regulation 16(1) of those Regulations.

PART 2 — Claims and benefits

Claims for benefits

4

(1) A person claiming to be entitled to benefits under these Regulations (“the claimant”) shall make a claim in writing to the scheme manager.

(2) Pursuant to such a claim, the claimant and, where appropriate, the member's employing authority (including any previous employing authority of the member) must provide such—

(a) evidence of entitlement.

(b) information required in order to deal with the claim, and

(c) authority or permission as may be necessary for the release by third parties of information in their possession relating to the claimant or member,

as the scheme manager may from time to time require for the purposes of these Regulations.

(3) A claim referred to in sub-paragraph (1) may be made by a person or persons other than the claimant where the scheme manager so provides.

(4) Any claim for benefit required in writing under these Regulations, and any evidence, information, authority or permission given in connection with that claim, may be made or given by means of an electronic communication where such method of communication is approved by the scheme manager from time to time.

(5) In this regulation, “electronic communication” has the same meaning as in section 4(1) of the Electronic Communications Act (Northern Ireland) 2001 .

Provision of information: continuing entitlement to benefits

5

(1) The scheme manager may specify a date by which a person who is in receipt of a benefit under this scheme is to provide the scheme manager with all or any of the following material—

(a) evidence of the person's identity;

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