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The Local Government Pension Scheme Regulations 1997

Type Statutory-Instrument

Publication 1997-06-30

State In force

Department Queen's Printer of Acts of Parliament

Source legislation.gov.uk

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(3) An application under regulation 100 may be decided by one or more appointed persons (and references to “the appropriate appointed person”, in relation to any application, are to the appointed person or persons to whom the application in question is referred).

(4) An application must not be referred to a person who has previously been involved in the subject matter of the disagreement.

(5) An appointed person shall hold and vacate office under the terms of his appointment.

(6) But he may resign by notice in writing to the administering authority.

(7) Each administering authority shall determine—

(a) the procedure to be followed by the persons appointed by them when exercising their functions as appointed persons, and

(b) the manner in which those functions are to be exercised.

Right to apply for an appointed person to decide a disagreement

100

(1) Where there is a disagreement about a matter in relation to the Scheme between a member or an alternative applicant and a Scheme employer, the member or, as the case may be, the alternative applicant (“the complainant”) may—

(a) apply directly to the appropriate appointed person to decide the disagreement, or

(b) apply to the appropriate administering authority for them to refer the disagreement to an appointed person for decision.

(2) These persons are alternative applicants—

(a) a widow, widower or surviving dependant of a deceased member or any other person to whom benefits in respect of him may be paid;

(b) a prospective member;

(c) a person who ceased to be a member or to fall within sub-paragraph (a) or (b) during the period of six months ending with the date of the application; and

(d) in the case of a disagreement relating to the question whether a person claiming to be a member or to fall within sub-paragraph (a), (b) or (c) does so, the claimant.

(3) The application for a decision must set out particulars of the disagreement, including a statement as to its nature with sufficient details to show why the applicant is aggrieved.

(4) An application by—

(a) a member or prospective member,

(b) a person who ceased to be such a person during the period of six months ending with the date of the application, or

must set out his full name, address, date of birth, his national insurance number (if any) and the name of his employing authority.

(5) An application by any other person must set out—

(a) his full name, address and date of birth,

(b) his relationship to the member, and

(c) the member's full name, address, date of birth and national insurance number and the name of his employing authority.

(6) The application must be signed by or on behalf of the applicant.

(7) The application must be accompanied by a copy of any written notification issued under regulation 98.

(8) The application must be made before the end of the period of six months beginning with the relevant date or such further period as the appropriate appointed person considers reasonable (but see regulation 105(6)).

(9) Where the disagreeement relates to a decision under regulation 97, the relevant date is the date notification of it is given under regulation 98.

(10) Otherwise, the relevant date is the date of the act or omission which is the cause of the disagreement or, if there is more than one, the last of them.

Notice of decisions by appointed persons under regulation 100

101

(1) A decision on the matters raised by an application under regulation 100 must be issued by the appropriate appointed person—

(a) to the applicant,

(b) to the Scheme employer, and

by notice in writing before the expiry of the period of two months beginning with the date the application was received.

(2) But, if no such notice is issued before the expiry of that period, an interim reply must immediately be sent to those persons, setting out the reasons for the delay and an expected date for issuing the decision.

(3) A notice under paragraph (1) must include—

(a) a statement of the decision;

(b) a reference to any legislation or provisions of the Scheme relied upon;

(c) in a case where the disagreement relates to the exercise of a discretion, a reference to the provisions of the Scheme conferring the discretion; and

(d) a reference to the rights of the applicant and the Scheme employer’s right to refer the disagreement for reconsideration by the Secretary of State under regulation 102, specifying the time within which they may do so.

Reference of disagreement to the Secretary of State

102

(1) Where an application about a disagreement has been made under regulation 100, an application may be made to the Secretary of State to reconsider the disagreement by the person who applied under regulation 100 or the Scheme employer in question.

(2) The application must set out particulars of the grounds on which it is made, including a statement that the applicant under this regulation wishes the disagreement to be reconsidered by the Secretary of State.

(3) An application made by the person who applied under regulation 100 must set out the matters required by paragraph (4) or, as the case may be, paragraph (5) of that regulation to be included in his application.

(4) The application must be accompanied by a copy of any written notification issued under regulation 98.

(5) Where notice of a decision on the application under regulation 100 has been issued, the application under this regulation must state why the applicant is dissatisfied with that decision and be accompanied by a copy of that notice.

(6) The application must be signed by or on behalf of the person making it.

(7) An application for reconsideration may only be made before the expiry of the period of six months beginning with the relevant date.

(8) Where notice of a decision on the matters raised by the application under regulation 100 has been issued, the relevant date is the date of that notice.

(9) Where—

(a) an interim reply has been sent under regulation 101(2), but

(b) no notice of decision has been issued before the expiry of the period of one month beginning with the date specified in the reply as the expected date for issuing the decision,

the relevant date is the date with which that period expires.

(10) Where no notice of decision has been issued or interim reply has been sent before the expiry of the period of three months beginning with the date the application under regulation 100 was made, the relevant date is the date with which that period expires.

Notice of decisions by the Secretary of State under regulation 102

103

(1) The Secretary of State must issue his decision on the matters raised by an application under regulation 102 to the parties to the disagreement by notice in writing before the expiry of the period of two months beginning with the date the application was received (but see paragraph (2)).

(2) If no such notice is issued before the expiry of that period, an interim reply must be sent immediately to those parties, setting out the reasons for the delay and an expected date for issuing the decision.

(3) A notice under paragraph (1) must include—

(a) a statement of the decision;

(b) in a case where there has been a decision made under section 100, an explanation as to whether and, if so, to what extent that decision is confirmed or replaced;

(d) in a case where the disagreement relates to the exercise of a discretion, a reference to the provisions of the Scheme conferring the discretion;

(e) a statement that OPAS (the Pensions Advisory Service) is available to assist members and beneficiaries of the Scheme in connection with difficulties which they have failed to resolve with the Secretary of State and of the address at which it may be contacted; and

(f) a statement that the Pensions Ombudsman may investigate and determine any complaint or dispute of fact or law in relation to the Scheme made or referred in accordance with the Pension Schemes Act 1993[^f00036] and of the address at which he may be contacted.

Rights of representation

104

(1) An application under regulation 100 or 102 may be made or continued on behalf of the applicant by a representative nominated by him.

(2) Where a person who has the right to make or has made such an application dies, the application may be made or continued on his behalf by his personal representative.

(3) Where such a person is a minor or is or becomes otherwise incapable of acting for himself, the application may be made or continued on his behalf by a member of his family or some other person suitable to represent him.

(4) Where a representative is nominated before an application is made, the application must specify his full name and address and whether that is to be used for service on the applicant of any documents in connection with the application.

(5) Where a representative’s address is not to be so used, he must be sent a copy of a notification under 101(1) or 103(1) or an interim reply under 101(2) or 103(2).

Appeals by administering authorities

105

(1) Where—

(a) a Scheme employer has decided or failed to decide any question falling to be decided by that employer under regulation 97 (otherwise than in the exercise of a discretion), and

(b) the Scheme employer is not an administering authority,

the administering authority maintaining the pension fund to which the Scheme employer pays contributions may appeal to the Secretary of State to decide that question.

(2) Such an appeal must be made by notice in writing given before the end of the period of six months beginning with the relevant date or such further period as the Secretary of State considers reasonable.

(3) Where the appeal relates to a decision notified under regulation 98(1), the relevant date is the date of the notification of that decision.

(4) Where the appeal relates to a failure to decide any question, the relevant date is the date of that failure.

(5) For paragraph (4) an employer is to be taken to have failed to decide a question at the expiry of the period of three months beginning with the date on which the administering authority have requested a decision by notice in writing.

(6) Where an appeal has been made under paragraph (1), the period within which an application may be made under regulation 100 may not be extended under regulation 100(8).

(7) The Secretary of State must issue his decision on the appeal by notice in writing to the appellant authority and to any other persons appearing to him to be affected by it.

(8) Where an appeal is made by an authority under this regulation and any other person—

(a) has made an application under regulation 100 or regulation 102 which has not been determined in respect of any of the matters which are the subject of the appeal, or

(b) makes such an application contemporaneously with the appeal or after it and before the appeal is determined,

the appeal shall be stayed pending notification of a decision under regulation 100 or, as the case may be, regulation 102 or until the application is withdrawn.

Information and records

Statements of policy concerning exercise of discretionary functions

106

(1) Each administering authority and Scheme employer must formulate and keep under review their policy concerning the exercise of their functions under regulation 31 (early leavers) and under Part III.

(2) Before formulating that policy an administering authority must consult the authorities who employ active members for whom they are the appropriate administering authority.

(3) Before the expiry of the period of three months beginning with the commencement date—

(a) each Scheme employer shall send each relevant administering authority, and

(b) each administering authority shall send each relevant Scheme employer,

a written statement as to the policy which is being applied by that employer or, as the case may be, authority in the exercise of its functions on or after that date.

(4) Where, as a result of a review under paragraph (1), a Scheme employer or administering authority determine to amend their policy, they must send a copy of the statement of the amended policy to each relevant administering authority or, as the case may be, relevant Scheme employer before the expiry of the period of one month beginning with the date on which they so determine.

(5) A relevant administering authority, in relation to a Scheme employer, are any authority who are an appropriate administering authority for that employer’s employees, and a relevant Scheme employer, in relation to an administering authority, is any Scheme employer for whose employees they are the appropriate administering authority.

(6) In formulating their policy under paragraph (1), an administering authority or Scheme employer must have regard to the extent to which the exercise of the functions could lead to a serious loss of confidence in the public service.

Information to be supplied by employees

107

(1) Before the expiry of the period of three months beginning with the date a person becomes a member, the Scheme employer must ask him in writing for the documents specified in paragraph (2).

(2) Those documents are—

(a) a statement in writing listing all the person’s previous periods of employment, and

(b) copies of all notifications previously given to him under these Regulations or the old regulations.

(3) They must also ask for those documents before the expiry of the period of three months beginning with the occurrence of any change as respects his employment which is material for the Scheme.

(4) A request under paragraph (1) or (3) must include a conspicuous statement that it is important that the member gives full and accurate information, especially for ascertaining his rights under the Scheme.

(5) The Scheme employer need not request any documents if satisfied that they or the appropriate administering authority (if different) already have all material information.

(6) The old regulations are the 1995 regulations, the 1986 regulations, the 1974 regulations, the Local Government Superannuation (Administration) Regulations 1954[^f00037] and the Local Government Superannuation (Administration) Regulations 1938[^f00038].

Exchange of information by authorities

108

(1) A Scheme employer which is not an administering authority must inform the appropriate administering authority of all decisions made by the employer under this Chapter concerning members and give that authority such other information as they require for discharging their functions under the Scheme.

(2) If—

(a) an administering authority make any decision under this Chapter about a person for whom they are not the Scheme employer, and

(b) information about the decision is required by his Scheme employer for discharging that employer’s functions under the Scheme,

that authority must give that employer that information.

CHAPTER V — SPECIAL ADJUSTMENTS

Abatement during new employment

Statements of policy concerning abatement of retirement pensions in new employment

109

(1) Each administering authority must formulate and keep under review their policy concerning abatement (that is, the extent, if any, to which the amount of retirement pension payable to a member from any pension fund maintained by them under the Scheme should be reduced (or whether it should be extinguished) where the member has entered a new employment with a Scheme the employer, other than one in which he is eligible to belong to a teachers scheme).

(2) Before formulating that policy an administering authority must consult with the authorities who employ active members for whom they are the appropriate administering authority.

(3) Before the expiry of the period of three months beginning with the commencement date, each authority shall publish a statement as to the policy which is being applied by them where a member who is so entitled enters such a new employment on or after that date.

(4) Where, as a result of reviewing their policy concerning abatement, an administering authority determine to amend it, they must publish a statement of the amended policy before the expiry of the period of one month beginning with the date they determine to do so.

(5) In formulating their policy concerning abatement, an administering authority must have regard—

(a) to the level of potential financial gain at which they wish abatement to apply,

(b) to the administrative costs which are likely to be incurred as a result of abatement in the different circumstances in which it may occur, and

(c) to the extent to which a policy not to apply abatement could lead to a serious loss of confidence in the public service.

(6) In paragraph (5)(a) the reference to financial gain is a reference to the financial gain which it appears to the administering authority may be obtained by a member as a result of his entitlement both to a pension and to pay under the new employment.

Application of abatement policy in individual cases

110

(1) Where a member who is entitled to the payment of a retirement pension proposes to enter a new employment with a Scheme employer, he must inform the employer about that entitlement.

(2) If such a member enters such a new employment he must immediately notify in writing the body from whom he has become entitled to receive the pension.

(3) Paragraphs (1) and (2) do not apply where the new employment is employment in which the person is eligible to belong to a teachers scheme.

(4) The authority which is the member's appropriate administering authority as respects the retirement pension to which he is entitled—

(a) must apply the policy published by them under regulation 109 to the member, and

(b) they may reduce the annual rate of that pension or, as the case may be, may cease to pay it, during the period while he holds the new employment, in accordance with that policy.

(5) But no reduction under paragraph (4) of the pension of a person who was a member immediately before the commencement date may exceed the reduction which would have applied under the 1995 regulations if those regulations had applied when the member entered his new employment.

Misconduct

111

(1) If a member is convicted of a relevant offence, the Secretary of State may issue a forfeiture certificate.

(2) Where a forfeiture certificate is issued the member's former employing authority may direct that any of the rights in respect of him under these Regulations or the 1995 Regulations as respects his previous membership are forfeited.

(3) A relevant offence is an offence, committed in connection with an employment in which the person convicted is a member, and because of which he has left that employment.

(4) A forfeiture certificate is a certificate that the offence—

(a) was gravely injurious to the State, or

(b) is liable to lead to serious loss of confidence in the public service.

(5) If the former employing authority incurred loss as a direct consequence of the relevant offence, they may only give a direction under paragraph (2) if they are unable to recover their loss under regulation 113 or 115 or otherwise, except after an unreasonable time or at disproportionate cost.

(6) A direction under paragraph (2) may only be given before the expiry of the period of three months beginning with the date of the conviction.

(7) Where a former employing authority apply for a forfeiture certificate, they must at the same time send the convicted person and the appropriate administering authority a copy of the application.

Interim payments directions

112

(1) If—

(a) a person leaves an employment in which he was a member, because of an offence in connection with that employment, and

(b) a forfeiture certificate has been issued under regulation 111(1) in respect of that offence,

his former employing authority may give an interim payments direction to the appropriate administering authority.

(2) But they may not give such a direction if they have—

(a) notified him of a decision under regulation 97 on any question as to entitlement to benefit, or

(b) given any direction under regulation 111(2) (“a forfeiture direction”).

(3) An interim payments direction is a direction to make interim payments to any person who appears to the former employing authority to be a person who would be entitled to receive payment of a benefit under the Scheme if no forfeiture direction were given.

(4) The person to whom payments must be made and the amounts must be specified in the direction.

(5) The amounts must not exceed the amounts which the person specified would be entitled to be paid if no forfeiture direction were given.

(6) An interim payments direction is not a decision under regulation 97 as to any person’s entitlement to a benefit.

(7) Payments in accordance with an interim payments direction shall be deemed to be payments in respect of a benefit to which the recipient was entitled (regardless of any contrary forfeiture direction or decision under regulation 97).

Recovery or retention where former member has misconduct obligation

113

(1) This regulation applies where a person—

(a) has left an employment, in which he was or had at some time been a member, in consequence of a criminal, negligent or fraudulent act or omission on his part in connection with that employment;

(b) has incurred some monetary obligation, arising out of that act or omission, to the body who were his employing authority in that employment; and

(2) The former employing authority may recover or retain out of the appropriate fund—

(a) the amount of the monetary obligation, or

(b) the value at the time of the recovery or retention of all rights in respect of the former employee under the Scheme with respect to his previous membership (as determined by an actuary),

whichever is less.

(3) The rights specified in paragraph (2)(b) do not include rights enjoyed by virtue of the receipt of a transfer value or credited by virtue of regulation 66(5) (including that regulation as it applies by virtue of regulation 72).

(4) The former employing authority must give the former employee—

(a) not less than three months’ notice of the amount to be recovered or retained under paragraph (2); and

(b) a certificate showing the amount recovered or retained, how it is calculated, and the effect on his benefits or prospective benefits.

(5) If there is any dispute over the amount of the monetary obligation specified in paragraph (1)(b), the former employing authority may not recover or retain any amount under paragraph (2) until the obligation is enforceable under an order of a competent court or the award of an arbitrator.

Protection of GMP rights

114

(1) The power—

(a) to give directions under regulation 111(2), or

(b) to recover or retain amounts under regulation 113(2),

may not be exercised so as to deprive a person of his guaranteed minimum pension or any widow’s or widower’s guaranteed minimum pension.

(2) But such a power may be so exercised if the person left his employment—

(a) because of the offence of treason, or

(b) because of one or more offences under the Official Secrets Acts 1911 to 1989 for which the former member has been sentenced on the same occasion—

(i) to a term of imprisonment of at least 10 years, or

(ii) to two or more consecutive terms amounting in the aggregate to at least 10 years.

Transfer of sums from the pension fund to compensate for former member's misconduct

115

(1) This regulation applies where—

(a) a person has left an employment in which he was a member because of—

(i) an offence involving fraud, or

(ii) grave misconduct,

in connection with that employment;

(b) his former employing authority in that employment have suffered direct financial loss by reason of the offence or misconduct, and

(i) the former employee became entitled to benefits under Part II or the 1995 Regulations and a direction has been given under regulation 111(2), or

(ii) he did not become so entitled and on leaving the employment became entitled to a return of contributions under regulation 87 (whether or not he has waived his right).

(2) If the former employing authority are an administering authority, they may transfer an appropriate amount from their pension fund to the appropriate fund or account.

(3) Otherwise, the appropriate administering authority must pay the former employing authority an appropriate amount out of the pension fund, if requested to do so.

(4) But if a payment in lieu of contributions is due or has been made in respect of the former employee, the administering authority may reduce a payment under paragraph (3) by half the amount of the payment in lieu of contributions.

(5) An appropriate amount is an amount not exceeding—

(a) the amount of the direct financial loss, or

(b) the amount of any contributions which could have been returned to the former employee, or paid to his spouse or a dependant, under regulation 88(2) above or regulation C21(4) of the 1995 regulations, less the amount of any which have been so returned or paid,

whichever is the less.

(6) If after making a payment under paragraph (3) the appropriate administering authority are required to make any transfer payment under Chapter IV of Part IV of the Pension Schemes Act 1993[^f00039] or under regulation 119 or to make a payment under regulation 125 for a former employee, the former employing authority must repay it, if requested to do so.

CHAPTER VI — TRANSFERS

Transfers out

Application of Chapter IV of Part IV of the Pension Schemes Act 1993

116

(1) For sections 12C (requirements as to transfer, commutation etc. for contracting-out), 19 (discharge of liability) and 20 (transfer of accrued rights) and Chapter IV of Part IV (transfer values) of the Pension Schemes Act 1993[^f00040] and any regulations made under any of those sections or that Chapter, the managers of the Scheme in relation to a member are the fund authority.

(2) Despite regulation 2 of the Occupational Pension Schemes (Transfer Values) Regulations 1996[^f00041] (pre-1986 leavers), Chapter IV of Part IV of the Pension Schemes Act 1993 shall apply to all members of the Scheme regardless of the date of termination of their pensionable service.

(3) The references in regulation 4 of those regulations to regulation 3 of those regulations include a reference to regulation K7(2) of the 1995 regulations and any corresponding earlier provisions.

(4) Regulation 5 of those regulations (treatment of a number of employments as a single employment) only applies if the employments are treated as a single employment for the purposes of the Scheme.

(5) Sub-paragraph (a) of regulation 10(2) of those regulations (interest on late payment of cash equivalents) does not apply where the member has required the cash equivalent to be paid to a club scheme.

(6) Regulation 18 of those regulations (termination of pensionable service in certain circumstances to be disregarded) only applies if—

(a) in the case of a termination before the commencement date, no election was made under regulation D12(1)(c) of the 1995 regulations (or any corresponding earlier provision) in respect of the service which terminated, and

(b) in any case, no election has been made under regulation 32(1) to have the service which terminated aggregated with later service.

(7) For this regulation and regulation 117, the fund authority, in relation to a member, is the body maintaining the pension fund to which he was contributing immediately before his pensionable service terminated.

(8) But if that fund has been closed, the fund authority is the body which would be liable to pay him his pension for that employment if he had been entitled to receive payment of such a pension when his pensionable service terminated.

Rights to payment out of fund authority’s pension fund

117

(1) The amount of any transfer payment due in respect of a member under Chapter IV of Part IV of the Pension Schemes Act 1993 is payable by the fund authority from their pension fund.

(2) Where such a transfer payment is to be or has been paid from a fund, no other payment or transfer of assets may be made from the fund as respects the accrued rights covered by the transfer payment.

(3) Paragraph (2) overrides anything to the contrary in the former regulations, any local Act scheme, the 1974 regulations, the 1986 regulations, the 1995 regulations or any other provision of these Regulations or the Transitional Regulations.

Contracting-out requirements affecting transfers out

118

(1) There must be deducted from the transfer payment to be made in respect of any person—

(a) the amount of any contributions equivalent premium payable pursuant to section 55 of the Pension Schemes Act 1993[^f00042]; or

(b) an amount sufficient to meet the liability in respect of his contracted-out rights.

(2) But the amount mentioned in paragraph (1)(b) may not be deducted where—

(a) the transfer payment is made to an occupational pension scheme which is contracted-out or an appropriate personal pension scheme, and

(b) that scheme’s trustees or managers undertake to accept liability for his contracted-out rights.

(3) Where the amount mentioned in paragraph (1)(a) is deducted, if the appropriate administering authority think fit, that amount may be used in preserving the liability mentioned in paragraph (2)(b) in the appropriate fund.

(4) Otherwise, it must be used in paying the premium.

(5) Contracted-out rights, in relation to a member, are—

(a) his and his surviving spouse’s rights to guaranteed minimum pensions, and

(b) his section 9(2B) rights (as defined in regulation 1(2) of the Occupational Pension Schemes Contracting-out) Regulations 1996[^f00043]).

Bulk transfer arrangements

Bulk transfers (transfers of undertakings) etc.

119

(1) This paragraph applies where—

(a) two or more members’ active membership ends on their joining an approved non-local government scheme (“the new scheme”),

(b) it is agreed by—

(i) the members’ appropriate administering authority,

(ii) the members’ employing authorities (if different), and

(iii) the trustees or managers of the new scheme,

that a payment should be made under this regulation, and

(c) the members agree in writing that that payment should be made instead of any payment which they otherwise might require to be made under Chapter IV of Part IV of the Pension Schemes Act 1993 and waive any rights they might have under that Chapter by virtue of the cessation of their active membership.

(2) The appropriate administering authority must not give their agreement under paragraph (1)(b) unless they are satisfied that the rights that each of the members will acquire under the new scheme are at least equivalent to those which he would have obtained if a transfer value had been paid to the same scheme under Chapter IV of Part IV of the Pension Schemes Act 1993, as it applies by virtue of regulation 116, (assuming in any case where the member would not be entitled to such a payment that he was).

(3) The appropriate administering authority must provide each member with sufficient information in writing to check that fact before he agrees as mentioned in paragraph (1)(c).

(4) Where paragraph (1) applies, the appropriate administering authority must—

(a) set aside (whether in cash or in assets or both) such part of the appropriate fund (“the transfer payment”) as an actuary appointed by them and an actuary appointed by the scheme managers of the new scheme for the purpose may agree as appropriate for the acquisition of such rights in that scheme as they may so agree, and

(b) pay or transfer it to the trustees or managers of the new scheme for the benefit of the relevant members.

(5) The appropriate administering authority must certify to the new scheme’s trustees or managers the amount included in the transfer payment which represents each member's contributions and interest on them.

(6) Where a transfer payment is to be or has been made under this regulation, no other payment or transfer of assets shall be made from the pension fund by reason of membership covered by the transfer payment.

(7) Paragraph (6) overrides anything to the contrary in the former regulations, any local Act scheme or any provision of the 1974 regulations, the 1986 regulations, the 1995 regulations or these Regulations.

Calculation of amount of transfer payment under regulation 119

120

(1) The amount of the transfer payment to be paid under regulation 119 is the amount determined by an actuary appointed by the members’ appropriate administering authority to be equal to the value at the date they join the new scheme of the actual and potential liabilities payable from their fund which have then accrued in respect of the members and the persons who are or may become entitled to benefits under the Scheme through them.

(2) The actuary may make such adjustments as he thinks fit in calculating that amount and, in particular, as respects the period from that date to the date of actual payment of the transfer value.

(3) He must specify in his valuation the actuarial assumptions he has used in making it.

(4) The employing authority shall bear the costs of determining the appropriate part of the fund and apportioning the fund.

(5) But if there is more than one employing authority involved, each shall bear such part of the costs as the actuary determines to be appropriate.

Transfers in

Inward transfers of pension rights

121

(1) If a person who becomes an active member has relevant pension rights, he may request his fund authority to accept a transfer value for some or all those rights from the relevant transferor.

(2) Relevant pension rights are accrued rights under—

(a) an occupational pension scheme (other than the Scheme),

(b) a personal pension scheme,

(c) a retirement annuity contract approved by the Commissioners of Inland Revenue under section 620 or 621 of the Taxes Act,

(d) a self-employed pension arrangement, or

(e) an additional voluntary contributions scheme (other than a FSAVC scheme or a scheme constituted by virtue of Chapter IV of Part III).

(3) Accrued rights include rights to preserved benefits and rights appropriately secured under section 19 of the Pension Schemes Act 1993[^f00044].

(4) For this regulation and the following regulations of this Chapter the fund authority, in relation to a transferring person, are the body maintaining the pension fund of the Scheme to which he is contributing.

(5) The relevant transferor is the trustees or managers of the scheme, contract or arrangement under which the transferring person’s relevant pension rights arise.

(6) But the relevant transferor for the rights specified in paragraph (3) is the trustees or managers of the scheme, contract or arrangement, or the insurance company, to which a payment in respect of his accrued rights has been made.

(7) A request from a transferring person under paragraph (1) must be made by notice in writing.

(8) That notice must be given before the expiry of the period of 12 months beginning with the date he became an active member (or such longer period as his employer may allow).

(9) Where a request under paragraph (1) is duly made the fund authority may accept the transfer value and credit it to their pension fund.

Right to count credited period

122

(1) Where a transfer value has been accepted under regulation 121, the member may count the credited period as a period of membership for these Regulations (but see Schedule 3).

(2) If the transfer value—

(a) is paid by the trustees or managers of a club scheme,

(b) represents all the rights relating to the member in that scheme,

(i) in a case where Chapter IV of Part IV of the Pension Schemes Act 1993 applies, in accordance with that Chapter, and

(ii) otherwise, in a manner consistent with that prescribed under that Chapter,

the credited period is the period which, if used to calculate a transfer value to be paid by the Scheme, would produce an amount equal to the transfer value received.

(3) If the transfer value is not paid by the trustees or managers of a club scheme, the credited period must be calculated in a manner consistent with that Chapter.

(4) In calculating the credited period under paragraph (3) due allowance must be given for the expected increase in the member's pensionable pay between the date he became a member (or, if more than twelve months later, the date on which the transfer value is received) and his NRD.

(5) If the member is a man, the credited period must be treated as a period after 5th April 1978.

(6) If the member is a woman, the credited period must be treated as a period after 5th April 1988.

(7) The fund authority must give the member a written notice stating the period of membership he may count under paragraph (1).

(8) The notice must contain a statement of the kind required by regulation 98(4).

Rights as to service not matched by credited period

123

(1) Where the member's transferred-in service exceeds the credited period, he may count the excess as a period which counts towards his total membership for the purposes of the provisions mentioned in paragraph (2).

(2) Those provisions are—

(a) regulation 19(1) (general qualification for benefits);

(b) paragraphs (a) and (b) of the definition of “normal retirement date” in regulation 25(4);

(d) regulation 87(1) (return of contributions).

(3) A period which may be counted under paragraph (1) counts as its actual length.

(4) The fund authority must give the member a written notice stating the period of membership he may count under paragraph (1).

(5) The notice must contain a statement of the kind required by regulation 98(4).

(6) The transferred-in service of a transferring member is the service in respect of which he has accrued rights to benefits under his previous occupational pension scheme or appropriate policy (whether or not the transfer value covers all those rights).

(7) The period of that service is the period certified by the trustees or managers of that scheme or issuers of that policy.

Community scheme transferees

124

(1) Community scheme transferees and their surviving spouses, dependants and children are entitled to such rights under the Scheme as are specified in guidance issued by the Government Actuary.

(2) A Community Scheme transferee is a person who became employed by a Community institution after having been employed in local government employment.

Payments between funds and authorities

Changes of fund

125

(1) This regulation applies where—

(a) a pension fund becomes an active member's appropriate fund,

(b) immediately before it does so, another fund was his appropriate fund,

(2) Where the member's appropriate administering authority has also changed, the authority which has ceased to be the member's appropriate administering authority must make such payment to his later appropriate administering authority as is indicated in guidance issued by the Government Actuary for this regulation (but see paragraph (3)).

(3) Where—

(a) paragraph (2) applies as respects two or more members by virtue of a single event, and

(b) the authority by which the payment under that paragraph must be made agree with the authority to which it must be made that it is appropriate for the amount of the payment to be determined by actuaries appointed by those authorities for the purpose,

that amount must be so determined.

(4) Any payment under paragraph (2) must be credited to the new appropriate administering authority’s fund.

(5) Where the member's appropriate administering authority has not changed, they must arrange for a payment such as is indicated in guidance issued by the Government Actuary for this regulation to be made from the member's former appropriate fund to his new appropriate fund.

(6) Paragraph (1) does not apply where a member enters an employment which is concurrent with another in which he is also an active member.

Liability for combined benefits

126

(1) Where—

(a) a benefit under regulation 29 or 48 of these Regulations or Part II or Part IV of Schedule D5 to the 1995 regulations is payable out of a pension fund (“the new fund”), and

(b) by reason of that benefit being payable another benefit ceases to be payable out of another fund,

such payments must be made to the authority maintaining the new fund by the authority maintaining the other fund as are indicated in guidance issued by the Secretary of State for this regulation.

(2) Such payments must be credited to the new fund.

PART V — SPECIAL CASES

CHAPTER I — ELIGIBILITY

Eligibility for active membership: employees etc. of non-Scheme employers

127

(1) A person may be an active member if he is an employee of—

(a) the governors of any voluntary school maintained but not provided by a local education authority, or

(b) the governing body of any polytechnic, technical institute or other similar institution which is for the time being aided by a local education authority under the Education Act 1996[^f00045],

and the local education authority have, with the consent of his employer, by a statutory resolution specified him or a class of employees to which he belongs as being eligible to belong to the Scheme.

(2) A person who immediately before 1st April 1974 was a contributory employee in the employment of any such governors or governing body may be an active member while he continues in employment with them.

(3) A person may be an active member if immediately before that date he was in employment with the London Transport Executive and by virtue of section 18(4) of the Transport (London) Act 1969[^f00046] entitled to participate in the benefits of the superannuation fund maintained under Part I of the Act of 1937 by the Greater London Council or Newham London borough council, if he continued up to 29th June 1984 in employment with the London Transport Executive and continues in employment with London Regional Transport.

(4) But paragraph (3) is subject to any order made by the Secretary of State under section 74 of the Transport Act 1962[^f00047].

(5) A person may be an active member if immediately before 1st April 1974 he—

(a) was a justices’ clerk (inner London area) or other officer employed by the committee of magistrates for the inner London area, and

(b) was by virtue of regulation 2(1) of the Superannuation (Inner London Magistrates’ Courts) Regulations 1965[^f00048] entitled to superannuation rights corresponding with those to which he was entitled in respect of his service before 1st April 1965 as a justices’ clerk in the county of London or an officer employed by the County of London Magistrates’ Courts Committee.

(6) But paragraph (5) does not apply to a person if there has been a period of 12 months or more since 1st April 1974 during which he was not within paragraph (5)(a) nor an officer employed by the magistrates’ court committee for the inner London area.

Supplementary provisions about employees within regulation 127

128

(1) Members within regulation 127(1) are deemed to be in employment with the relevant local education authority.

(2) A member within regulation 127(2) who—

(a) is an employee of the governors of a voluntary school which on 1st April 1974 became maintained by a local education authority for an area outside Greater London, and

(b) is a contributory employee by virtue of his having been such an employee in that employment,

is deemed to be in employment with that authority.

(3) A member within regulation 127(2) who was specified as a contributory employee by a resolution of an education authority under section 3(2)(f) of the Act of 1937 is deemed to be in employment with that authority.

(4) A member within regulation 127(2) who was specified as a contributory employee by a resolution of the Greater London Council under section 53 of the London County Council (General Powers) Act 1929[^f00049] or section 7 of the London County Council (General Powers) Act 1938[^f00050]—

(a) if he was in the employment of any such governors as are mentioned in regulation 127(1)(a), is deemed to be in employment with the London Borough to which the school was transferred by virtue of the Education Reform Act 1988[^f00051] or, as the case may be, the body incorporated under Part III of the Education Act 1996[^f00052], Part II of the Education Act 1993 or Chapter IV of Part I of the Education Reform Act 1988;

(b) if he was in the employment of any such governing body as is mentioned in regulation 127(1)(b), is deemed to be in employment with such of the bodies mentioned in section 121, 122, 122A or 129 of the Education Reform Act 1988 or section 15, 16, 28 or 47 of the Further and Higher Education Act 1992[^f00053] as may in the circumstances be most appropriate.

(5) These Regulations apply to a person within regulation 127(3), as if London Regional Transport were a Scheme employer.

(6) These Regulations apply to a person within regulation 127(5), as if the committee of magistrates for the inner London area were a Scheme employer.

(7) If a person is deemed to be employed by a Scheme employer under this regulation references in these Regulations to employment by or under such an employer and all similar expressions include him.

Miscellaneous transport employees

129

(1) For these Regulations every employee of a subsidiary (other than a public transport company) of a passenger transport executive is deemed to be in employment with that executive.

(2) For these Regulations every employee of a public transport company (“the first company”) in relation to whom a resolution under regulation 4 of the Local Government Superannuation (Miscellaneous Provisions) Regulations 1986[^f00054] has effect is deemed to be in employment with the passenger transport executive or district council which passed the resolution.

(3) If a person in relation to whom such a resolution has continued to have effect becomes an employee of another public transport company (“the second company”), then for these Regulations he is deemed to be in employment—

(a) if the second company’s controlling authority—

(i) is not the body which passed the resolution or a composite authority of which that body was a component council, but

(ii) is an authority which has, or a composite authority each of whose component councils has, passed such a resolution,

with the controlling authority of the second company (or, where that authority is a composite authority, with such one of its component councils as the authority may decide), and

(b) if the second company is a subsidiary of a passenger transport authority and has employees to whom paragraph (2) applies by virtue of such a resolution, with the passenger transport executive or district council which passed the resolution.

(4) If the undertaking of the first company is divided among two or more companies formed under section 61 of the Transport Act 1985[^f00055] by a passenger transport authority, an employee of any one of those companies (“the transferee company”) in relation to whom such a resolution has continued to have effect is deemed for these Regulations to be in employment with the passenger transport executive which passed the resolution.

(5) Paragraphs (3) and (4) do not apply where the person in question becomes an employee covered by an admission agreement.

(6) If a person to whom paragraph (2), (3) or (4) applies becomes an employee of a subsidiary of the first company, the second company or the transferee company, paragraph (2), (3) or (4), as the case may be, continues to apply to him as if he had remained an employee of the parent company.

(7) But those paragraphs cease to apply if the first company, the second company or, as the case may be, the transferee company ceases to be a public transport company.

(8) If a person is deemed to be employed by a Scheme employer under this regulation, references in these Regulations to employment by or under such an employer and all similar expressions include him.

(9) In this regulation—

(a) “controlling authority”, “composite authority” and “component council” have the meanings given in section 72 of the Transport Act 1985[^f00056], and

(b) “subsidiary” has the meaning given in section 137(1) of that Act.

Miscellaneous airport employees

130

(1) For these Regulations every employee of a public airport company (“the first airport company”) in relation to whom a resolution under regulation 2 of the Local Government Superannuation (Miscellaneous Provisions) Regulations 1987[^f00057] has effect is deemed to be in employment with the body which passed the resolution.

(2) If a person in relation to whom such a resolution has continued to have effect becomes an employee of another public airport company (“the second airport company”) whose controlling authority—

(a) is not the body which passed the resolution or a composite authority of which that body was a constituent council, but

(b) is an authority which has, or a composite authority one at least of whose constituent councils has, also passed such a resolution,

then, for these Regulations he is deemed to be in employment with the controlling authority of the second airport company (or, where that authority is a composite authority, with such one of its constituent councils as the authority may decide).

(3) Paragraph (2) does not apply if he becomes an employee covered by an admission agreement.

(4) If a person to whom paragraph (1) or (2) applies becomes an employee of a subsidiary of the first airport company or, as the case may be, the second airport company, paragraph (1) or, as the case may be, paragraph (2) continues to apply to him as if he had remained an employee of the company in question.

(5) But those paragraphs cease to apply if the first airport company or, as the case may be, the second airport company ceases to be a public airport company.

(6) If a person is deemed to be employed by a Scheme employer under this regulation, references in these Regulations to employment by or under such an employer and all similar expressions include him.

(7) In this regulation—

(a) “controlling authority”, “composite authority” and “constituent council” have the meanings given in section 16 of the Airports Act 1986[^f00058]; and

(b) “subsidiary” has the meaning given in section 82(1) of that Act.

Further cases of eligibility: non-employees

131

(1) A person may be an active member if he is an eligible officer.

(2) These are eligible officers—

(a) a registration officer;

(b) a coroner (other than an excepted coroner);

(c) a person who immediately before 1st April 1974 was a member of a passenger transport executive or a director of a subsidiary of a passenger transport executive, who was a contributory employee in that position and continues in it;

(d) a justices’ clerk (outside the inner London area).

(3) These are excepted coroners—

(a) the Queen’s coroner and attorney;

(b) the coroner of the Queen’s household;

(c) a coroner who held office immediately before 6th April 1978 and did not elect in accordance with article 3(b) of the Social Security (Modification of Coroners (Amendment) Act 1926) Order 1978[^f00059], that the provisions of the Coroners (Amendment) Act 1926[^f00060] relating to pensions should not apply to him.

(4) If a registration officer is an active member, he must be treated as being in employment with the local authority who made the scheme under section 14 of the Registration Service Act 1953[^f00061] for the district in or for which he acts.

(5) If a coroner is an active member, he shall be treated—

(a) if appointed by a metropolitan county council or the Greater London Council, as being in employment with the relevant council for the purposes of section 13 of the Local Government Act 1985[^f00062];

(b) if appointed by the Common Council, as being in employment with that Council;

(6) If a person mentioned in paragraph (2)(c) is an active member he must be treated as being in the employment of the passenger transport executive.

(7) If a justices’ clerk is an active member and is not employed under a contract of employment, he must be treated as being in the employment of the magistrates’ courts committee by which he was appointed or is deemed to have been appointed.

(8) A Local Commissioner must be treated as being in employment with the Commission for Local Administration of which he is a member.

(9) A person who has or is deemed to have been appointed as a rent officer in pursuance of a scheme under section 63 of the Rent Act 1977[^f00063] must be treated as being in employment—

(a) where subsection (9) of that section applies (where registration area is a metropolitan county), with the district council designated by the relevant scheme made under that section; and

(b) otherwise, with the local authority for whose area the relevant scheme is made (or has effect as if made) under that section.

(10) A member of a passenger transport executive or a director of a subsidiary of such an executive must be treated as being in employment with the relevant executive.

(11) But as respects such a member the passenger transport authority for which the relevant executive exercises its functions must consent to the relevant resolution mentioned in regulation 4(4).

(12) Regulation 132(1) applies to the persons holding the positions specified in paragraph (10) as it applies to an employee specified in that regulation.

Separate employments etc.

132

(1) Where a person holds separate employments under one Scheme employer, these Regulations apply as if each of them were with a different employer.

(2) This paragraph applies where a whole-time employee of a Scheme employer or a part-time employee with at least 30 contractual hours is also employed—

(a) as a returning officer at local government elections, or

(b) as an acting returning officer (including employment in the duties of a returning officer at an Assembly election which are required by regulations made under paragraph 2 of Schedule 1 to the European Assembly Elections Act 1978[^f00064] to be discharged by an acting returning officer).

(3) Where paragraph (2) applies and the employee was in the whole-time employment or, as the case may be, the part-time employment immediately before 1st April 1974 and had duties in it which included one or both of the additional duties, each additional duty must be treated as a separate variable-time employment with a different Scheme employer from the Scheme employer with whom he is in the whole-time employment.

(4) Where paragraph (2) does and paragraph (3) does not apply, his employment for that duty (or those duties) must be treated as a (single) separate variable-time employment with a different Scheme employer.

(5) A person who—

(a) is a member in any employment, and

(b) is also a medical inspector of immigrants appointed under the Immigration Act 1971[^f00065] who receives his pay in that appointment from a Scheme employer listed in Schedule 2,

is eligible to be an active member in that appointment and shall be deemed to be an officer in the employment of that Scheme employer.

CHAPTER II — MODIFICATIONS FOR CERTAIN EMPLOYEES ETC.

Members who may retire at 70 etc.

Members employed by magistrates’ courts committees

133

(1) These Regulations apply to a justices’ clerk (outside the inner London area) who is employed by a magistrates’ courts committee with the modifications specified in paragraphs (3) to (11).

(2) These Regulations apply to any other person who is employed by a magistrates’ courts committee with the modifications specified in paragraphs (5) to (11).

(3) For regulation 6(3) (latest retirement age) substitute—

(3) A person may not become an active member after— (a) his 70th birthday or, (b) any earlier day after his 65th birthday when his total membership equals his permitted maximum.

(4) In regulation 28(3) (enhanced membership period in cases of ill-health), regulation 52(2)(c) (power of employing authority to increase total membership) and paragraph 8(2)(b) of Schedule 4 (maximum addition under regulations 53 and 55) for “65” substitute “70”.

(5) Where a member who is employed by two or more magistrates’ courts committees does not receive separate pay for one or more of those employments (“the undifferentiated employment”) his pay for the undifferentiated employment is—

(a) if no body pays him pay for more than one employment, that part of his total pay which is paid by the body responsible for meeting the employing committee’s expenses, and

(b) otherwise, so much of his total pay for the employments remunerated by one body as may be agreed by the body and him, or, in default of agreement, determined by the Secretary of State.

(6) If a person is paid by different bodies as respects two or more clerkships under a magistrates’ courts committee, they count for these Regulations as separate employments under separate Scheme employers.

(7) Paragraph (6) applies whether the person holds the clerkships himself or is employed to assist another person in them.

(8) Paragraph (6) does not apply for the purposes of regulation 74 (appropriate funds) or the provisions mentioned in paragraph (1)(a), (b) or (c) of that regulation.

(9) The body paying the person’s pay is to be treated—

(a) as employing him for the purposes of regulation 79 (employer’s contributions), and

(b) as his employing authority for the purposes of regulation 80 (employer’s further payments) and regulation 89 (deduction and recovery of member's contributions).

(10) A magistrates’ courts committee are to report to the body paying the person’s pay any decision made by them under—

(a) regulation 31 (early leavers: deferred retirement benefits and elections for early payment),

(b) regulation 52 (power of employing authority to increase total membership),

(d) regulation 88(2) (direction for return of contributions despite offences etc. in connection with employment),

(e) regulation 111 (forfeiture of pension rights after conviction of employment-related offences), or

(f) regulation 112 (interim payments directions).

(11) Regulation 105 (appeals by administering authorities) has effect as if—

(a) a body receiving such a report were the administering authority maintaining the pension fund to which that body pays employer’s contributions for the purposes of regulation 105(1), and

(b) paragraph (3) of regulation 103 were omitted.

Certain employees of the committee of magistrates for the inner London area

134

(1) These Regulations apply with the modifications in paragraphs (3) to (7) to a person who—

(a) is eligible for membership by reason of regulation 127(5), and

(b) is a justices’ clerk (inner London area).

(2) These Regulations apply to any other person who is so eligible with the modifications in paragraphs (5) to (7).

(3) For regulation 6(3) (latest retirement age) substitute—

(3) A person may not become an active member after— (a) his 70th birthday, or (b) any earlier day after his 65th birthday when his total membership equals his permitted maximum.

(4) In regulation 28(3) (enhanced membership period in cases of ill-health), regulation 52(2)(c) (power of employing authority to increase total membership on redundancy etc.) and paragraph 8(2)(b) of Schedule 4 (maximum addition under regulations 53 and 55) for “65” substitute “70”.

(5) The Receiver for the Metropolitan Police District is to be treated—

(a) as employing the person for the purposes of regulation 79 (employer’s contributions),

(b) as his employing authority for the purposes of regulation 80 (employer’s further payments) and regulation 89 (deduction and recovery of member's contributions).

(6) The committee of magistrates are to report to the Secretary of State any decision made by them under—

(a) regulation 31 (early leavers: deferred retirement benefits and elections for early payment),

(b) regulation 52 (power of employing authority to increase total membership),

(d) regulation 88(2) (direction for return of contributions despite offences etc. in connection with employment),

(e) regulation 111 (forfeiture of pension rights after conviction of employment-related offences), or

(f) regulation 112 (interim payments directions).

(7) Such a decision has no effect until approved by the Secretary of State.

Coroners

135

(1) These Regulations apply with the following modifications to a coroner who is a member by reason of regulation 131(2)(b).

(2) For regulation 6(3) (latest retirement age) substitute—

(3) A person may not become an active member after— (a) his 70th birthday, or (b) any earlier day after his 65th birthday when his total membership equals his permitted maximum.

(3) In regulation 28(3) (enhanced membership period in cases of ill-health), regulation 52(2)(c) (power of employing authority to increase total membership on redundancy etc.) and paragraph 8(2)(b) of Schedule 4 (maximum addition under regulations 53 and 55) for “65” substitute “70”.

Employees of probation committees

136

(1) These Regulations apply to a person employed by a probation committee with the following modifications.

(2) For an employee of the probation committee for the inner London area, the Receiver for the Metropolitan Police District is to be treated—

(a) as employing him for the purposes of regulation 79 (employer’s contributions),

(b) as his employing authority for the purposes of regulation 80 (employer’s further payments) and regulation 89 (deduction and recovery of member's contributions).

(3) The probation committee for the inner London area are to report to the Secretary of State any decision made by them under—

(a) regulation 31 (early leavers: deferred retirement benefits and elections for early payment),

(b) regulation 52 (power of employing authority to increase total membership),

(d) regulation 88(2) (direction for return of contributions despite offences etc. in connection with employment),

(e) regulation 111 (forfeiture of pension rights after conviction of employment-related offences), or

(f) regulation 112 (interim payments directions).

(4) Such a decision has no effect until approved by the Secretary of State.

(5) The probation committee for an area other than the inner London area are to report any such decision made by them to the body or bodies responsible for meeting the committee’s expenses.

(6) Regulation 105 (appeals by administering authorities) has effect as if—

(a) a body receiving such a report were the administering authority maintaining the pension fund to which that body pays employer’s contributions for the purposes of regulation 105(1), and

(b) paragraph (3) of regulation 103 were omitted.

(7) In the application of regulation 11 (length of period of membership) to part-time service as a probation officer, instead of the fraction mentioned in paragraph (4) of that regulation, the appropriate fraction for each year of part-time service is the fraction—

(a) of which the numerator is the pay received by him in the year, and

(b) the denominator is the mean of the annual salary scale applicable to probation officers in respect of that year.

(8) For any year of part-time service before 1st April 1965, paragraph (7) applies as if the mean of the annual salary scale applicable to probation officers in respect of that year were—

(a) in a case where the date on which that year commenced was on or after 1st July 1937 and before 1st July 1944, for male officers £330 and for female officers £290;

(b) in a case where that date was on or after 1st July 1944 and before 1st December 1946, for male officers £375 and for female officers £330;

(c) in a case where that date was on or after 1st December 1946 and before 1st April 1954, for male officers £485 and for female officers £420;

(d) in a case where that date was on or after 1st April 1954, for male officers £620 and for female officers £555.

(9) Separate calculations must be made for each year of part-time service (and the calculation must be adjusted appropriately for periods of part-time service of less than a year).

(10) In the application of regulation 28(5) (enhanced membership periods in cases of ill-health) the appropriate fraction is the fraction specified in paragraph (7).

City of London and other contributory employees

Certain City of London employees and former contributors

137

Schedule 6 (certain City of London employees and other contributory employees) shall have effect.

Local government re-organisation

Transfers under the Local Government Act 1992 etc.

138

(1) Where—

(a) a person leaves an employment in relation to which he is an active member, because he is transferred to another employment in the circumstances set out in paragraph (2), and

(b) apart from this paragraph, he would not be treated for regulation 31 (early leavers) as leaving a local government employment,

he must be so treated for that regulation.

(2) Those circumstances are—

(a) that he leaves that employment as a result of a transfer to another employment which is—

(i) an employment with the same employing authority at lower pay, or

(ii) an employment with a different employing authority; and

(b) that transfer is made by virtue or in consequence of—

(i) an order made under section 17 of the Local Government Act 1992[^f00066],

(ii) the Local Government (Wales) Act 1994[^f00067], or

(iii) the transfer to the Environment Agency under section 3(1)(a)(ii) or (b)(ii) of the Environment Act 1995[^f00068] of the property, rights and liabilities of a waste regulation authority in England or Wales (as defined in section 56 of that Act).

Local government reorganisation

139

(1) The Scheme applies, in relation to a transferred employee, as if his new employment and his former employment had been one continuous employment (but see paragraph (3)).

(2) Transferred employees who are active members immediately before their transfer continue to be active members in their new employment.

(3) Where—

(a) immediately before the transfer of a transferred employee it was the usual practice of the body employing him to exercise any discretionary power exercisable by them by virtue of any enactment relating to pensions so as to pay or increase the payment of allowances or pensions for employees of his description, and

(b) that power or any corresponding one becomes exercisable in relation to him,

the new employing body shall exercise the power in a way which is not less beneficial than the general character of that practice.

(4) Paragraph (3) also applies where it was the usual practice of the Greater London Council or a metropolitan county council to exercise a discretionary power which has become exercisable by another body in consequence of regulation 3(1) of the Local Government Superannuation (Miscellaneous Provisions) Regulations 1986[^f00069] in a way that was beneficial to employees.

(5) A transferred employee is—

(a) a person transferred on or after 1st April 1974—

(i) by or under a relevant statutory order, regulations, agreement or scheme; or

(ii) by the operation of the Public Libraries and Museums Act 1964[^f00070];

(b) any person appointed by a local authority, or the National Water Council or a water authority (as defined in the Water Act 1973[^f00071]) to hold any office or employment before or as from 1st April 1974 who, but for the appointment, would have been transferred on that day under section 255 of the Local Government Act 1972[^f00072]; and

(c) any person who on 1st April 1974 remained in the employment of the same body as immediately before that day but who, in consequence of the Local Government Act 1972, or anything done under that Act, or of the 1974 regulations, became on that day entitled to participate in a superannuation fund maintained under those regulations by a different body from the body which maintained the superannuation fund he was entitled to participate in immediately before that day.

(6) These are relevant statutory orders, regulations, agreements and schemes—

(a) an order made under section 84 of the London Government Act 1963[^f00073] or an agreement made under section 24(7) of that Act;

(b) a scheme made under Part I of the Police Act 1964[^f00074];

(d) an order made under section 46 of the Children and Young Persons Act 1969[^f00076];

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The Local Government Pension Scheme Regulations 1997

Right to apply for an appointed person to decide a disagreement

100

Notice of decisions by appointed persons under regulation 100

101

Reference of disagreement to the Secretary of State

102

Notice of decisions by the Secretary of State under regulation 102

103

Rights of representation

104

Appeals by administering authorities

105

Information and records

Statements of policy concerning exercise of discretionary functions

106

Information to be supplied by employees

107

Exchange of information by authorities

108

CHAPTER V — SPECIAL ADJUSTMENTS

Abatement during new employment

Statements of policy concerning abatement of retirement pensions in new employment

109

Application of abatement policy in individual cases

110

Misconduct

Forfeiture of pension rights after conviction of employment-related offences

111

Interim payments directions

112

Recovery or retention where former member has misconduct obligation

113

Protection of GMP rights

114

Transfer of sums from the pension fund to compensate for former member's misconduct

115

CHAPTER VI — TRANSFERS

Transfers out

Application of Chapter IV of Part IV of the Pension Schemes Act 1993

116

Rights to payment out of fund authority’s pension fund

117

Contracting-out requirements affecting transfers out

118

Bulk transfer arrangements

Bulk transfers (transfers of undertakings) etc.

119

Calculation of amount of transfer payment under regulation 119

120

Transfers in

Inward transfers of pension rights

121

Right to count credited period

122

Rights as to service not matched by credited period

123

Community scheme transferees

Community scheme transferees

124

Payments between funds and authorities

Changes of fund

125

Liability for combined benefits

126

PART V — SPECIAL CASES

CHAPTER I — ELIGIBILITY

Eligibility for active membership: employees etc. of non-Scheme employers

127

Supplementary provisions about employees within regulation 127

128

Miscellaneous transport employees

129

Miscellaneous airport employees

130

Further cases of eligibility: non-employees

131

Separate employments etc.

132

CHAPTER II — MODIFICATIONS FOR CERTAIN EMPLOYEES ETC.