The Local Government Pension Scheme (Transitional Provisions) Regulations 1997

35

In regulation 2(1) of those regulations after the words “the principal Regulations” insert the words “and the 1997 regulations”.

36

In regulation 6 of those regulations—

• (a) in paragraph (1)—

• (i) after the words “these Regulations)” insert the words “or, as the case may be, regulation 22 of the Local Government Pension Scheme (Transitional Provisions) Regulations 1997”; and

• (ii) at the end add the words “or, as the case may be, Chapter IV of Part IV of the Pension Schemes Act 1993”;

• (b) in paragraph (3) after the words “regulation K14(1)(a) of the principal Regulations” and the words “regulation K14(1)(a)” there shall be inserted respectively the words “or, as the case may be, regulation 122(1) of the 1997 regulations” and “or, as the case may be, regulation 122”.

37

In regulation 8 of those regulations—

• (a) in paragraph (1) after the words “regulation L11(1) of the principal Regulations” insert the words “or, as the case may be, regulation 77(1) and (3) of the 1997 regulations”;

• (b) in paragraph (3)—

• (i) after the words “the principal Regulations”, in the first place they occur, insert the words “or, as the case may be, regulation 79 of the 1997 regulations”, and

• (ii) at the end add the words “or, as the case may be, regulation 77 of the 1997 regulations”.

The Local Government (Discretionary Payments) Regulations 1996

38

In regulation 2 of the Local Government (Discretionary Payments) Regulations 1996[^f00039]—

• (a) in paragraph (1)—

• (i) in the definition of “employing authority” for the words “Schedule B1 of the LGPS regulations (LGPS employers)” substitute the words “Schedule 2 of the LGPS Regulations (Scheme employers)”;

• (ii) for the definition of “the LGPS Regulations” substitute—

• “the LGPS Regulations” means the Local Government Pension Scheme Regulations 1997

• (iii) after the definition of “the 1986 Regulations” insert—

• “the 1995 Regulations” means the Local Government Pension Scheme Regulations 1995;
• “the Transitional Regulations” means the Local Government Pension Scheme (Tran sitional Provisions) Regulations 1997;

• (iv) after the definition of “LGPS member” insert—

• “pensionable remuneration” means pay within the meaning of regulation 13 of the LGPS Regulations;

• (b) at the end of regulation 2(2) of those regulations add the words “or, if the expression is not defined in those regulations, in the 1995 Regulations”;

• (c) in regulation 2(3) of those regulations after the words “1986 Regulations” insert the words “or, the 1995 Regulations”.

39

In regulation 5 of those regulations—

• (a) in paragraph (1) in the definition of “occupational pension” after the words “LGPS Regulations”, in both places they occur, insert the words “or the 1995 Regulations”;

• (b) in paragraph (3) for the words “regulation B5(1)” substitute the words “regulation 132(1)”;

• (c) in paragraph (4) for the words “regulation B5(2)” substitute the words “regulation 132(2)”.

40

In regulation 6(1) of those regulations—

• (a) in sub-paragraph (b)(i) for the words “regulation D6(2)(a)” substitute the words “regulation 26(1)(b)”;

• (b) in sub-paragraph (e) for paragraph (ii) substitute—

(ii) any periods of superannuable membership (as defined in regulation 10 of the LGPS Regulations) and any increase in membership under regulation 13 of the Transitional Regulations,

41

In regulation 7 of those regulations—

• (a) in paragraph (1)(d)(ii) after the words “regulation B10” insert the words “of the 1995 Regulations or regulation 7”;

• (b) in paragraph (1)(e) after the words “regulation B12” insert the words “of the 1995 Regulations or regulation 8”;

• (c) in paragraph (2)(c) for the words “the LGPS Regulations”, “paragraph 3 of that Schedule”, “paragraph 4 or 5 of that Schedule” and “paragraph 6(b) of that Schedule” substitute respectively the words “the 1995 Regulations”, “paragraph 3 of Schedule D1 to the 1995 Regulations”, “paragraph 4 or 5 of Schedule D1 to the 1995 Regulations or regulation 22 or 23 of the LGPS Regulations” and “paragraph 6(b) of Schedule D1 to the 1995 Regulations”.

42

In regulation 8(1) of those regulations for the words “to which Part II of Schedule B6 of the LGPS Regulations applies”, “would apply” and “regulation B18” substitute the words “which count as periods of superannuable membership (as defined in regulation 10 of the LGPS Regulations) and any increase in membership under regulation 13 of the Transitional Regulations,”, “would count or, as the case may be, apply or be awarded” and “regulation 52”respectively.

43

In regulations 9(2) and 10(2) of those regulations—

• (a) in paragraph (a) for the words from “D6” to “satisfied” substitute the words “regulation 26”;

• (b) in paragraph (b) for the words “regulation D6(2)(a)” substitute the words “regulation 26(1)(b)”.

44

In regulation 11 of those regulations—

• (a) in paragraph (1)(c)(ii) for the words “regulation D6(2)” substitute the words “regulation 26”;

• (b) in paragraph (2)(a) for the words “Part D” substitute the words “Part II”.

45

In regulation 16 of those regulations—

• (a) in paragraph (3)(a) for the words from “D5” to “D9” and the words from “(including” to the end substitute respectively the words “regulation 25, 26, 27 or 31” and “(including a single pension under regulation 29 of those regulations)”;

• (b) in paragraph (7) for the words from “paragraph 5 of Schedule D5” onwards substitute “no regard shall be had to regulation 110 (abatement) of the LGPS Regulations”.

46

In regulation 17 of those regulations—

• (a) in paragraph (3) for the words “Part D” substitute the words “Part II”;

• (b) in paragraph (4) for the words “paragraph 4(7) of Schedule B6 to” substitute the words “regulation 9(4) of”.

47

In regulation 18(4) of those regulations for the words “regulation D2” substitute the words “regulations 20 and 54”.

48

In regulation 19 of those regulations—

• (a) in paragraphs (1) and (6) for the words “regulation D14” substitute the words “regulation 33”;

• (b) in paragraph (3) for the words “regulation D6(2)(a)” substitute the words “regulation 26”.

49

In regulation 20 of those regulations—

• (a) in paragraph (1) for the words “Part F” substitute the words “regulations 40 to 43”;

• (b) in paragraph (3) for the words from “regulation F6(2)” to “regulation F6(8)” substitute the words “regulation 42”.

50

In regulation 21(2)(b) of those regulations for the words “regulation D7(1)(b)” substitute the words “regulation 27(1)”.

51

In regulation 22(1)(a) and (2)(a) of those regulations for the words “regulation G4 or G7”substitute the words “regulation 45”.

52

In regulation 24(1)(a) and (2)(a) of those regulations for the words “regulation G3, G5 or G6” substitute the words “regulation 46”.

53

In regulation 25 of those regulations—

• (a) in paragraph (3)(b) for the words “regulation D7(1)(b)” substitute the words “regulation 27(1)”;

• (b) in paragraph (5)(i) for the words “regulation G10(1)” substitute the words “regulation 46(9)”.

54

In regulation 26(1) and (2) of those regulations for the words “regulation G11” substitute the words “regulation 47”.

55

In regulation 33(1)(b) of those regulations for the words “regulation B7” substitute the words “regulation 5”.

56

In regulation 36 of those regulations—

• (a) in paragraph (1)(b) for the words “Part D” and “paragraph 4(1) of Schedule D1 to”substitute respectively the words “Part II” and “regulation 23 of”;

• (b) in paragraph (1)(c) for the words “relevant period for the purposes of regulation D1 of”substitute the words “final pay period for”.

57

In regulation 39(3)(d) of those regulations for the words “regulation B10(1)” and “regulation B10(2) or B12” substitute respectively the words “regulation 7” and “regulation 7(5) or 8”.

58

In regulation 40 of those regulations—

• (a) in paragraph (5) for the words “regulation K21(5) and (6)” substitute the words “regulations 21 to 23”;

• (b) in paragraph (7)(b)(ii) for the words “regulation B12” substitute the words “regulation 8”.

59

IN regulation 42(1)(c)(i) of those regulations for the words “regulation D6(2)(a)”substitute the words “regulation 26(1)(b)”.

60

In paragraph 9 of Schedule 3 to those regulations—

• (a) omit the words “Parts D, F and G of”; and

• (b) for the words “paragraphs 2 and 3 of Schedule F1 to those Regulations” substitute the words “the provisions of regulation 9 of the Transitional Regulations, by virtue of which her membership is treated as membership after 5th April 1988”.

The Occupational Pension Schemes (Transfer Values) Regulations 1996

61

In the definition of “base rate” in regulation 1(2) of the Occupational Pension Schemes (Transfer Values) Regulations 1996[^f00040] for the word “1995” substitute the word “1997”.

The Local Government Pension Scheme (Provision of Information, Administrative Expenses and Restitution) Regulations 1997

62

• (1) The Local Government Pension Scheme (Provision of Information, Administrative Expenses and Restitution) Regulations 1997[^f00041] apply as respects the 1997 regulations with the following modifications.

• (2) For regulation 3 substitute—

(3) At the end of regulation 8(9) of the Local Government Pension Scheme Regulations 1997 add the words or (c) he is a person about whom information may be given under section 172(1) of the Pensions Act 1995, as it has effect in the case of the Scheme (see regulation 108A)

• (3) In regulation 4 for the words from the beginning to the end of paragraph (b) substitute—

(4) (1) After regulation 122 of the Local Government Pension Scheme Regulations 1997 insert— (122A) (1) Regulation 122(3) does not apply where— (a) the transferring person is a person about whom information may be given under section 172(1) of the Pensions Act 1995 (mis-sold personal pensions), as it has effect in the case of the Scheme (see regulation 108A), and (b) the transfer value satisfies the conditions specified in paragraph (2). (2) Those conditions are— (a) that it is paid by the trustees or managers of the personal pension scheme mentioned in section 172(1)(a)(ii), (b) that it represents all the rights relating to the member in that scheme, (c) that it is paid on an application made to the appropriate administering authority before the expiry of the period of 12 months beginning with the date the transferring person becomes an active member (or such longer period as they may allow); and (d) that in the opinion of the appropriate administering authority it is not less than the restitution amount. (3) Where paragraph (1) applies, the credited period is the period of membership the transferring person could have counted if he had been an active member throughout the personal pension period. (4) The restitution amount is the aggregate— (a) of the capitalised value (as at the date on which the request for the calculation of the restitution amount is made) of the rights which would have accrued to the transferring person under the Scheme if he had been an active member of the Scheme throughout the personal pension period (including rights under the Pensions (Increase) Act 1971 and the Pensions (Increase) Act 1974), (b) of the transfer value paid out of the Scheme to the personal pension scheme, and (c) of interest on any such transfer value at such rate as is approved for the time being by the Government Actuary, calculated on a daily basis over the period from the date on which that transfer value was paid out of the Scheme to the date as at which the transfer value is taken to be paid to the Scheme. (5) The appropriate administering authority must determine the value mentioned in paragraph (4)(a) in such manner as is for the time being indicated in guidance issued by the Government Actuary. (6) The personal pension period is the period for which the transferring person was eligible to be an active member but in respect of which he made contributions to the personal pension scheme instead.

• (4) In paragraph (c) of regulation 4 of those regulations—

• (a) for the words from the beginning to the words “regulation K28” substitute—

(2) After regulation 108 of the Local Government Pension Scheme Regulations 1997 insert—

• (b) in the regulation inserted by that provision—

• (i) for “K29” substitute “108A”;

• (ii) for the words “Schedule K2” and “regulation K15A”, wherever they occur (except in the words replaced by paragraph (iii) below), substitute the words “Schedule 5A” and “regulation 122A” respectively; and

• (iii) in paragraph 5 for the words “paragraphs 3 to 5 of Schedule K2” substitute the words “regulation 122A”.

• (5) In regulation 5 of those regulations for the words “Schedule C5 to the principal Regulations”, “paragraph 1(5)”, “(5A)”, “K15A”, “the conditions mentioned in sub-paragraph (6)” and “paragraph 1(6)” substitute the words “Paragraph 1 of Schedule 4 to the Local Government Pension Scheme Regulations 1997”, “sub-paragraph (1)”, “(1A)”, “122A”, “the continuity conditions” and the definition of “the continuity conditions” respectively.

• (6) In regulation 6 of those regulations—

• (a) for the words from the beginning to “Schedule K2” substitute the words—

(6) After Schedule 5 to the Local Government Pension Scheme Regulations 1997 insert—

and

• (b) in the Schedule inserted by that regulation—

• (i) in paragraphs 1 and 2 for the words “regulation K29(2)” and “regulation K29(3)” substitute the words “regulation 108A(2)” and “regulation 108A(3)” respectively; and

• (ii) omit paragraphs 3 to 5.

SCHEDULE 4 — TRANSITIONAL AND TRANSITORY PROVISIONS AND SAVINGS

1

In this Schedule—

• (a) “the former provisions” means any provisions which by virtue of these Regulations cease to apply to any person at any time, and

• (b) references to the revocation of any provision shall be taken to include its ceasing to apply to any person or in any situation (and related expressions shall be construed accordingly).

2

• (1) The substitution of the 1997 provisions for the former provisions does not affect the continuity of the law.

• (2) Anything done or having effect as if done under or for the purposes of any of the former provisions has effect, if it could have been done under or for the purposes of the corresponding provision of the 1997 provisions, as if done also under or for the purposes of that corresponding provision.

• (3) Any reference, whether express or implied, in the 1997 provisions or any other instrument or document to a provision of the 1997 provisions shall, so far as the context permits, be construed as including, in relation to the times, circumstances and purposes in relation to which the corresponding provision of the former provisions has effect, a reference to that corresponding provision.

• (4) Any reference, whether express or implied, in any provision of the former provisions or in any other instrument or document to a provision of the former provisions shall be construed, so far as is required for continuing its effect, as including a reference to the corresponding provision of the 1997 provisions.

• (5) Any document made, served or issued after the 1997 provisions come into force in relation to any person which contains a reference to any of the former provisions shall be construed, except so far as a contrary intention appears, as referring or, as the context may require, including a reference to the corresponding provision of the 1997 provisions.

• (6) Where any provision of the former provisions (“the re-enacting provision”) re-enacted, with or without modification, a previous provision revoked by the 1995 regulations or any other former provision, then, so far as is necessary to prevent the continuity of the law from being affected, any reference in the 1997 provisions or in any other instrument or document to the re-enacting provision shall, so far as the context permits, be construed as including a reference to that previous provision.

• (7) Where by virtue of paragraph 2(6) of Schedule M4 to the 1995 regulations any reference to such a previous provision includes a reference to any earlier provision, sub-paragraph (6) applies so as to include a reference to that earlier provision too.

3

• (1) Where—

• (a) any provision continues to have effect in relation to any person by virtue of these Regulations, and

• (b) immediately before the commencement date it has effect in relation to him subject to any saving, transitional provision or modification,

nothing in these Regulations affects the operation of that saving, transitional provision or modification.

• (2) The revocation by these Regulations of any provision previously revoked subject to savings does not affect the continued operation of those savings, in so far as they remain capable of having effect.

4

• (1) Without prejudice to the generality of the previous provisions of this Schedule, nothing in the 1997 provisions affects the operation of paragraph 12 of Schedule M4 to the 1995 regulations (continuation of savings for gratuities and policy schemes affected by local government reorganisation etc.), so far as it remains capable of having effect.

• (2) But nothing in sub-paragraph (1) affects any transfer of responsibilities or anything else which has affected the matters mentioned in that paragraph since it came into force.

5

Where any person is treated by paragraph 15 of Schedule M4 to the 1995 regulations as having elected under regulation D12(1)(c) of those regulations to remain entitled to preserved benefits, he shall be so treated for the purposes of the 1997 provisions also.

6

• (1) Nothing in the 1997 provisions affects any agreement made under regulation B3 of the 1986 regulations which immediately before the commencement date was treated as an admission agreement under paragraph 20 of Schedule M4 to the 1995 regulations.

• (2) But where—

• (a) immediately before 1st January 1994 the employing body was a company under the control of a body listed in Schedule 2 to the 1997 regulations, and

• (b) that body ceases to be such a company,

then—

• (i) the admission agreement shall cease to have effect when the body so ceases, and

• (ii) any employee of the employing body shall no longer be eligible to be an active member.

7

These Regulations do not affect the time before or after which any period of membership is to be treated as falling, except as provided in regulation 9(3).

8

Despite regulation 4, regulation 93 of the 1997 regulations shall not apply to any pension payable to any person under the saved provisions.

9

• (1) If any person to whom a relevant benefit is or may become payable would, apart from this paragraph, be placed in a worse position in relation to that benefit than that he would have been in had these Regulations not been made and makes an election under this paragraph, these Regulations shall have effect, in relation to him and to that benefit, as if they had provided for his position to continue without amendment (but see paragraph (4)).

• (2) An election under paragraph (1) must be made by notice in writing given to the appropriate administering authority before the expiry of the period of six months beginning with the commencement date.

• (3) In this regulation—

• “relevant benefit” means a benefit payable to, or in respect of, a person who before the commencement date— left an employment in which he was an active member (whether or not he has subsequently become an active member again); or died while in such employment; and

• “benefit” includes a return of contributions and any pension payable to a widow, widower or any dependant by virtue of a surrender.

• (4) If an election under paragraph (1) is made in relation to a benefit in respect of a person who is an active member, or subsequently becomes an active member again—

• (a) the election shall have effect in relation to the benefit only to the extent that it accrues or has accrued by virtue—

• (i) of periods of membership before he left the employment referred to in paragraph (3)(a) (or, if he left such an employment more than once, the last time he left before the commencement date); or

• (ii) of contributions paid in respect of such periods of membership; and

• (b) in determining entitlement to, or the amount of, the benefit to that extent, he shall be treated as if he had never become an active member again at any time after he so left (but without prejudice to the application of this paragraph);

and these Regulations shall have effect accordingly.

Signed

Signed by authority of the Secretary of State

Hilary J Armstrong — Minister of State, — Department of the Environment — 30th June 1997

Explanatory note

(This note is not part of the Regulations)

These Regulations are supplemental to the Local Government Pension Scheme Regulations 1997 (S.I. 1997/1612) (“the 1997 Regulations”) which set out the pension arrangements of the Local Government Pension Scheme (“the Scheme”) from 1st April 1998 (“the commencement date”). These Regulations make provision for the transition from the arrangements for the Scheme set out in the Local Government Pension Scheme Regulations 1995 (“the 1995 Regulations”), and the other regulations specified in Schedule 1 to these Regulations, to those set out in the 1997 Regulations. They revoke provisions of the 1995 Regulations relating to administration of the Scheme (which are replaced by provisions in Part IV of the 1997 Regulations) for all members of the Scheme and revoke the other provisions for those who are members in their employment on that date (“active members”). But they provide for the continuation of certain provisions of the 1995 Regulations for members who are not then active members.

Regulation 3 transfers the active members from the arrangements under the 1995 Regulations to those under the 1997 Regulations.

Regulation 4 provides that the 1995 Regulations continue to apply to deferred and pensioner members who do not become active members again, except for provisions about administration, which are replaced by provisions in the 1997 Regulations.

Regulation 5 and Schedule 2 make provision about the treatment of deferred and pensioner members who are re-employed.

Regulations 6 and 7 provide for active members and re-employed members to be able to count for the 1997 Regulations Scheme membership from before the commencement date.

Regulations 8 and 9 modify the arrangements under the 1995 Regulations for counting certain earlier membership for the purposes of calculating benefits for surviving spouses of members.

Regulation 10 makes provision as to certain members with unexercised rights under previous regulations affecting the Scheme.

Regulations 11 and 12 make provision for the cessation of certain existing rights to make additional payments under the Scheme, subject to regulations 14 to 16.

Regulation 13 obliges employers to augment members' membership, where their rights under the 1997 Regulations are less valuable than under the 1995 Regulations.

Regulations 14 to 16 enable the rights to make payments, which otherwise cease to have effect under regulations 11 and 12, to continue where the member wishes. Regulation 17 enables a member to repay a former return of contributions in some circumstances and thereby to count the relevant membership, and regulation 18 makes provision as to equivalent pension benefits under the National Insurance Acts.

Regulation 19 provides for continuity of funds and authorities for the Scheme. Regulations 20 and 21 provide for certain authorities to continue to be liable for certain payments as respects employees who are members.

Regulations 22 to 25 continue the special position of certain groups of members as to whom the Scheme has effect with particular modifications.

Regulations 26 to 29 contain supplemental provisions.

Schedule 3 contains minor and consequential amendments connected with the transition between the old provisions governing the Scheme and the new ones.

Schedule 4 provides for the continuity of the application of the Scheme provisions and contains general savings and transitional provisions.

Footnotes

[^f00001]: 1972 c. 11; section 12 was amended by section 10 of the Pensions (Miscellaneous Provisions) Act 1990 (c. 7).

[^f00002]: S.I. 1997/1612.

[^f00003]: 1965 c. 51; section 56(1) was repealed by the Social Security Act 1973 (c. 38), section 100(2)(b), Schedule 28.

[^f00004]: S.I. 1960/1103.

[^f00005]: S.I. 1974/2057.

[^f00006]: S.I. 1973/1260.

[^f00007]: S.I. 1974/73.

[^f00008]: S.I. 1981/1794; the definition of “undertaking” was amended by the Trade Union Reform and Employment Rights Act 1993 (c. 19), section 33.

[^f00009]: S.I. 1980/362 as amended by S.I. 1981/1205, 1982/288, 1765, 1985/39, 1987/2218, 1989/804, 1991/584.

[^f00010]: S.I. 1995/300.

[^f00011]: S.I. 1985/1922.

[^f00012]: S.I. 1969/975; amended by the Local Government Superannuation (Overseas Employment) Regulations 1985 (S.I. 1985/1922) in relation to certain employees.

[^f00013]: 1971 c. 56.

[^f00014]: 1974 c. 9.

[^f00015]: 1993 c. 48.

[^f00016]: 1978 c. 30.

[^f00017]: S.I. 1995/1985.

[^f00018]: S.I. 1995/2249.

[^f00019]: S.I. 1995/2953.

[^f00020]: S.I. 1996/185.

[^f00021]: S.I. 1996/711.

[^f00022]: S.I. 1996/1428.

[^f00023]: S.I. 1996/2180.

[^f00024]: S.I. 1997/218.

[^f00025]: S.I. 1997/329.

[^f00026]: S.I. 1997/578.

[^f00027]: S.I. 1997/598.

[^f00028]: S.I. 1985/1922. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 1.

[^f00029]: S.I. 1986/380. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 5.

[^f00030]: S.I. 1987/293. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 6.

[^f00031]: S.I. 1993/2783. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 10.

[^f00032]: S.I. 1994/948. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 11.

[^f00033]: S.I. 1994/963. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 12.

[^f00034]: S.I. 1994/3025; amended by S.I. 1996/456.

[^f00035]: S.I. 1994/3026. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 13.

[^f00036]: S.I. 1995/1019; amended by S.I. 1995/1985, 2249, 2953, 1996/185, 711, 1428, 2180, 1997/218, 329, 578, 598, 954.

[^f00037]: S.I. 1995/1985.

[^f00038]: S.I. 1996/711.

[^f00039]: S.I. 1996/1680.

[^f00040]: S.I. 1996/1847.

[^f00041]: S.I. 1997/954.