The Local Government Pension Scheme (Transitional Provisions) Regulations 1997

Regulation 2(1).

SCHEDULE 1 ADDITIONAL REGULATIONS WHICH ARE “OLD PROVISIONS”

• The Local Government Pension Scheme (Local Government Reorganisation in Wales) Regulations 1995(1)

• The Local Government Pension Scheme (Pensionable Remuneration Amendment) Regulations 1995(2)

• The Local Government Pension Scheme (Augmentation) Regulations 1995(3)

• The Local Government Pension Scheme (Appropriate Pension Fund) Regulations 1996(4)

• The Local Government Pension Scheme (Environment Agency) Regulations 1996(5)

• The Local Government Pension Scheme (Amendment) Regulations 1996(6)

• The Local Government Pension Scheme (Crown Prosecution Service) (Transfer of Pension Rights) Regulations 1996(7)

• The Local Government Pension Scheme (London Boroughs Children’s Regional Planning Committee) Regulations 1997(8)

• The Local Government Pension Scheme (Internal Dispute Resolution Procedure) Regulations 1997(9)

• The Local Government Pension Scheme (Amendment) Regulations 1997(10)

• The Local Government Pension Scheme (Transfers from National Health Service Pension Scheme for England and Wales) Regulations 1997(11)

Regulation 5.

SCHEDULE 2 RE-EMPLOYMENT OF MEMBERS (SCHEDULE D5 TO THE 1995 REGULATIONS ETC.)

Interpretation

1.  In this Schedule—

“active pensioner” means a person who was a pensioner member and an active member immediately before the commencement date and continues as an active member on that date by virtue of regulation 3;

“rejoining pensioner” means a person who was a pensioner member but not an active member immediately before the commencement date, and becomes an active member again on or after that date (otherwise than in an employment which is a new employment to which paragraph 3(1) applies);

“rejoining deferred member” means any person who—

(a)

immediately before the commencement date was a deferred member (or would have been apart from being a pensioner member) but was not an active member, and

(b)

becomes an active member again on or after that date.

Active and rejoining pensioners: general

2.  Despite regulation 3—

(a) the saved provisions shall continue to apply, and

(b) Part II (except regulations 49 and 50) and Parts III and V of the 1997 regulations shall not apply,

in relation to an active pensioner or a rejoining pensioner in his capacity as a pensioner member as respects his membership before the commencement date, except where the following provisions of this Schedule provide otherwise.

Re-employment and abatement

3.—(1) Where immediately before the commencement date Part I of Schedule D5 to the 1995 regulations (reduction of retirement pensions) applies to any person by virtue of one or more new employments with Scheme employers which continue on that date—

(a) that Part of that Schedule shall cease to apply to him if after that date there is a period of more than one month during which he is not employed by any of those Scheme employers, and

(b) if after such a period the member enters employment with any Scheme employer, regulations 109 and 110 of the 1997 regulations (abatement) shall apply instead as respects that employment.

(2) Regulations 109 and 110 of the 1997 regulations shall apply instead of Part I of Schedule D5 to the 1995 regulations to a rejoining pensioner and a rejoining deferred member.

Combined benefits

4.—(1) An active pensioner or a former active pensioner may not make an election under Part II of Schedule D5 to the 1995 regulations on or after the commencement date, but he may make an election under regulation 29(1) of the 1997 regulations.

(2) A rejoining pensioner or a rejoining deferred member or a former such person may not make an election under Part II of Schedule D5 to the 1995 regulations on or after the date on which he becomes an active member again, but he may make an election under regulation 29(1) of the 1997 regulations.

(3) Where an election has been made under Part II of Schedule D5 to the 1995 regulations on or after the commencement date by a person who later becomes unable to make such an election by virtue of sub-paragraph (2)—

(a) that election shall continue to have effect, and

(b) that Part of that Schedule shall continue to apply,

unless he makes an election under regulation 29(1) of the 1997 regulations affecting the pension in question.

(4) If he does so, regulation 29(1) to (8) of those regulations shall apply and the saved provisions shall cease to apply to him as respects the pension in question.

Separate benefits and dependants' benefits

5.—(1) This paragraph applies where an active pensioner, a rejoining pensioner or rejoining deferred member or a former such person does not make an election under regulation 29(1) of the 1997 regulations.

(2) Regulation 29(9) of those regulations shall apply in relation to him instead of paragraph 17 of Schedule D5 to the 1995 regulations.

(3) When he dies, regulation 48 of the 1997 regulations (dependants of re-employed pensioners) shall apply instead of Part IV of Schedule D5.

(4) But, if he made an election under paragraph 10(1) of Schedule D5 to the 1995 regulations which continues in effect until his death, regulation 48 of the 1997 regulations shall apply as if the single pension to which he became entitled by virtue of that election was an unreduced retirement pension within regulation 48(1) of those regulations.

(5) Regulation 39 (reduction of death grants: re-employed pensioners) of the 1997 regulations shall apply in relation to him, instead of paragraph 18 of Schedule D5 to the 1995 regulations, unless sub-paragraph (6) applies.

(6) This sub-paragraph applies if when he dies, by virtue of regulation 48 of the 1997 regulations, all the benefits payable on his death (except short-term pensions payable under the old provisions or the 1997 regulations) are calculated on the assumption that he has made an election under regulation 29(1)).

Members with preserved rights

6.—(1) Where immediately before the commencement date there is an election in force in respect of a member’s benefits under regulation D12(1)(c) of the 1995 regulations (elections to remain entitled to preserved benefits under regulation D11(1) of those regulations), for these Regulations he shall be treated as a deferred member (and not as an active member) as respects his rights to preserved benefits and the membership in question (but see the following provisions of this paragraph).

(2) Sub-paragraph (1) is without prejudice to regulation 32(5) of the 1997 regulations and applies despite the fact that the member—

(a) continues as an active member by virtue of regulation 3, or

(b) becomes an active member again on or after the commencement date (whether immediately before he does so he is a deferred member or a pensioner member).

(3) Sub-paragraph (1) ceases to apply to a person falling within paragraph (2)(b) as respects any part of his former membership which he elects under regulation 32(1) of the 1997 regulations to aggregate with later membership.

(4) Sub-paragraph (1) also ceases to apply if any person falling within that sub-paragraph makes an election under regulation 29(1) of the 1997 regulations.

(5) Where sub-paragraph (4) applies, the member shall cease to be entitled to count under the saved provisions any period of membership to which he is entitled under the old provisions but as respects which he elected under regulation D12(1)(c) of the 1995 regulations to remain entitled to preserved benefits.

(6) He shall instead be entitled to count that period as a period of membership for the purposes of regulation 9(1)(d) of the 1997 regulations.

(7) But regulations 8 to 12 shall apply as to the adjustment of the length of that period as if it had been a period which he was entitled to count by virtue of regulation 6.

Elections for aggregation: members rejoining immediately before commencement

7.  Where immediately before the commencement date a member was eligible to make an election under regulation D12(1)(c) of the 1995 regulations by reason of having re-entered local government employment in the period of three months ending at that time, but had not done so—

(a) he may make an election under regulation 32(1) of the 1997 regulations at any time whilst he remains an active member in that employment; but

(b) if he does not make such an election before he ceases to be such a member in that employment, he shall be treated for the purposes of these Regulations as if he had made an election under regulation D12(1)(c) of the 1995 regulations immediately before the commencement date as respects all the membership as to which he could have made that election.

Limitations on benefits

8.—(1) Where an active pensioner, a rejoining pensioner or a rejoining deferred member has not made an election under regulation 29(1) of the 1997 regulations—

(a) Part III of Schedule C5 to the 1995 regulations (limitations on benefits) shall continue to apply as respects the benefits derived from his membership before the commencement date, and

(b) Schedule 4 to the 1997 regulations shall only apply as respects his membership after that date.

(2) Sub-paragraph (1) ceases to apply to a rejoining deferred member as respects any part of his former membership which he elects under regulation 32(1) of the 1997 regulations to aggregate with later membership; and accordingly Schedule 4 to the 1997 regulations shall apply as respects all benefits payable to or in respect of him in relation to the membership aggregated.

Continuity of elections by certain rejoining deferred members

9.—(1) This sub-paragraph applies where a rejoining deferred member—

(a) becomes an active member again—

(i) before the expiry of the period of 12 months beginning with the date he ceased to be an active member, and

(ii) before becoming entitled to the immediate payment of benefits under the 1995 regulations,

(b) immediately before ceasing to be an active member was making payments under an election made under regulation C9 or C13 of the 1995 regulations, and

(c) elects under regulation 32(1) of the 1997 regulations.

(2) Where sub-paragraph (1) applies the member may pay his employing authority in the employment in which he is an active member an amount equal to the amount which would have been payable if he had continued to be an active member and to make those payments.

(3) That amount must be paid before the expiry of the period of three months beginning with the date he becomes an active member again.

(4) If he pays them that amount—

(a) that payment shall be treated as having been made under regulation 55 of the 1997 regulations, and

(b) that election shall be treated as having been made under that regulation as respects so much of the period of membership as he may not count by virtue of regulation 7 of these Regulations (and accordingly the amounts of his additional contributions shall be determined under that regulation).

(5) Sub-paragraph (1) does not apply if the member—

(a) has received a return of contributions which includes additional contributions under regulation C9 of the 1995 regulations made under the election mentioned in sub-paragraph (1)(b), or

(b) has requested such a return of contributions.

Regulations 2(1) and 27.

SCHEDULE 3 MINOR AND CONSEQUENTIAL AMENDMENTS

The Local Government Superannuation (Overseas Employment) Regulations 1985

1.  After paragraph (2)(d) of regulation 3 of the Local Government Superannuation (Overseas Employment) Regulations 1985(12) add the words

“and

(e) the Local Government Pension Scheme Regulations 1997 had had effect with the modifications set out in regulation 24 (overseas employment) of the Local Government Pension Scheme (Transitional Provisions) Regulations 1997.”

The Local Government Superannuation (Miscellaneous Provisions) Regulations 1986

2.  In regulation 4(2) of the Local Government Superannuation (Miscellaneous Provisions) Regulations 1986(13) for “1995” substitute “1997”.

The Local Government Superannuation (Miscellaneous Provisions) Regulations 1987

3.  In regulation 2(2) of the Local Government Superannuation (Miscellaneous Provisions) Regulations 1987(14) for “1995” substitute “1997”.

The Local Government Superannuation (South Yorkshire Transport Limited) Regulations 1993

4.  In the Local Government Superannuation (South Yorkshire Transport Limited) Regulations 1993(15)—

(a) in the definition of “the principal Regulations” in regulation 1(2) for “1995” substitute “1997”;

(b) insert at the appropriate place in that regulation the following definition—

““the 1995 Regulations” means the Local Government Pension Scheme Regulations 1995”;

(c) in regulation 2(1) and (2) for the words “regulation L19” substitute the words “regulation 91”;

(d) in regulation 5(1)(b) for the words “regulation B7 of the principal Regulations” substitute the words “regulation B7 of the 1995 Regulations or regulation 5 of the principal Regulations”;

(e) in regulation 5(1), in the words following paragraph (b), for the words “regulations K20 to K22” substitute the words “regulation 125”;

(f) in regulation 5(2), for the words “regulation K21” substitute the words “regulation 125”; and

(g) omit paragraph 5(3).

The Local Government Superannuation (Greater Manchester Buses Limited) Regulations 1994

5.  In the Local Government Superannuation (Greater Manchester Buses Limited) Regula tions 1994(16)—

(a) in regulation 2(1) and (2) for the words “regulation L19 of the Local Government Pension Scheme Regulations 1995” substitute the words “regulation 91 of the Local Government Pension Scheme Regulations 1997”;

(b) in regulation 4 for the words “paragraph 20(2) of Part III of Schedule M4 to the Local Government Pension Scheme Regulations 1995” and “those regulations of 1995” substitute respectively the words “paragraph 6(2) of Schedule 4 to the Local Government Pension Scheme (Transitional Provisions) Regulations 1997” and “the Scheme”.

The Local Government Superannuation (Greater Manchester Buses North Limited) Regulations 1994

6.  In regulation 2 of the Local Government Superannuation (Greater Manchester Buses North Limited) Regulations 1994(17) for the words “regulation 2(3) of the Local Government Superannuation (Membership) Regulations 1993” and “the Local Government Pension Scheme Regulations 1995” substitute respectively the words “paragraph 6(2) of Schedule 4 to the Local Government Pension Scheme (Transitional Provisions) Regulations 1997” and “the Scheme”.

The Local Government (Compensation for Redundancy) Regulations 1994

7.  In regulation 2(1) of the Local Government (Compensation for Redundancy) Regulations 1994(18)—

(a) in paragraph (c) of the definition of “eligible employee” for the words from “the occupational” to “the 1995 Regulations”, in the first place they occur, substitute the words “the Scheme”;

(b) in the definition of “employing body” after the words “1995 Regulations” insert the words “a Scheme employer within the meaning of the 1997 Regulations;”;

(c) after the definition of “the 1995 Regulations” insert—

““the 1997 Regulations” means the Local Government Pension Scheme Regulations 1997;”

(d) in paragraph (a) of the definition of “qualifying employment” for the words “the 1995 Regulations” substitute the words “the 1997 Regulations”;

(e) in the definition of “the Scheme” for the words “the 1995 Regulations” substitute the words “the 1997 Regulations”.

8.  At the end of regulation 9(4)(b) of those regulations add the words “or, by notice under regulation 26(3) of the 1997 regulations, under regulation 26 of those regulations”.

The Local Government Superannuation (Amendment) Regulations 1994

9.  In regulation 10(1) of the Local Government Superannuation (Amendment) Regulations 1994(19) for paragraphs (a) to (c) substitute—

“(a) a body specified in regulation 5(8) of the Local Government Pension Scheme Regulations 1997, which has entered into an admission agreement,

(b) a body employing persons deemed to be in employment by virtue of regulation 129 or 130 of those regulations, or

(c) a body which is a company under the control of a body listed in Schedule 2 to those regulations,”.

The Local Government Pension Scheme Regulations 1995

10.  In regulation D8(5) of the Local Government Pension Scheme Regulations 1995(20) after the words “regulation J3” insert the words “or regulation 97 of the 1997 regulations (first instance decisions)”.

11.  In regulation D12 of those regulations—

(a) in paragraph (1)(a)(i) after the words “regulation C21 of these regulations” insert the words “or regulation 87 of the 1997 regulations”;

(b) in paragraph (1)(a)(ii) for the words “the regulations” substitute the words “these regulations or regulation 121 of the 1997 regulations”.

12.  At the end of regulation D15 of those regulations insert the words “or, as the case may be, the corresponding provisions of the 1997 regulations (in accordance with Schedule 2 to the Transitional Regulations)”.

13.  In regulation D17(9) of those regulations—

(a) after the words “these regulations” insert the words “or the 1997 regulations or the Transitional Regulations”;

(b) in sub-paragraph (a) after the words “Schedule D5” insert the words “to these regulations or regulation 109 or 110 of the 1997 regulations (abatement) or any provision of the Transitional Regulations relating to those provisions”;

(c) in sub-paragraph (b) after the words “regulation H4” insert the words “of these regulations or regulation 111 of the 1997 regulations or regulation 114 of those regulations (so far as it relates to regulation 111)”;

(d) in sub-paragraph (c) after the words “regulation H5” insert the words “of these regulations or regulation 49 of the 1997 regulations”.

14.  In regulation D21 of those regulations—

(a) after the words “Schedule C5 (limitations on contributions and benefits)” insert the words “to those regulations or, as the case may be, the corresponding provisions of the 1997 regulations (in accordance with Schedule 2 to the Transitional Regulations)”;

(b) for the words “Part H” substitute the words “regulations H2 and H8 of these regulations and regulations 49, 50, 94 to 96 and 111 to 115 of the 1997 regulations”.

15.  In regulations E3(1)(b) and (2)(ii) and E4(1)(b) and (3) of those regulations after the words “Schedule D5”, wherever they occur, insert the words “to these regulations or regulation 110 (abatement) of the 1997 regulations”.

16.  In regulation E6 of those regulations—

(a) after the words “Schedule D5” insert the words “to these regulations”; and

(b) at the end add the words “or, as the case may be, the corresponding provisions of the 1997 regulations (in accordance with Schedule 2 to the Transitional Regulations)”.

17.  In regulation F1(2) of those regulations after the words “Schedule D5” insert the words “to these regulations or, as the case may be (in accordance with Schedule 2 to the Transitional Regulations), regulation 48(6) of the 1997 regulations”.

18.  In regulation F2(2) of those regulations after the words “Schedule D5” insert the words “to these regulations or, as the case may be (in accordance with Schedule 2 to the Transitional Regulations), regulation 48 of the 1997 regulations”.

19.  In regulation F4(1)(b) and (2) of those regulations—

(a) after the words “regulation H6” insert the words “of these regulations or, as the case may be, regulation 50 of the 1997 regulations”; and

(b) after the words “Schedule D5” insert the words “to these regulations or, as the case may be, regulation 110 (abatement) of the 1997 regulations”.

20.  In regulation F5 of those regulations—

(a) in paragraphs (2) and (3)(c) after the words “Schedule D5” insert the words “to these regulations or, as the case may be, regulation 110 (abatement) of the 1997 regulations”; and

(b) in paragraph (3)(c) after the words “regulation H6” insert the words “of these regulations or, as the case may be, regulation 50 of the 1997 regulations”.

21.  In regulation F7(1) of those regulations after the words “Except where paragraph (2) applies” insert the words “or the appropriate administering authority determine by resolution that this paragraph shall not apply”.

22.  At the end of regulation F10 of those regulations add the words “or, as the case may be, regulation 48 of the 1997 regulations (in accordance with Schedule 2 to the Transitional Regulations)”.

23.  In regulation F11(3) of those regulations—

(a) after the words “these regulations” insert the words “or the 1997 regulations or the Transitional Regulations”;

(b) in sub-paragraph (b) after the words “regulation H4” insert the words “of these regulations or regulation 111 of the 1997 regulations or regulation 114 of those regulations (so far as it relates to regulation 111)”;

(c) in sub-paragraph (c) after the words “regulation H5” insert the words “of these regulations or regulation 49 of the 1997 regulations”.

24.  In regulation G3(5)(b) of those regulations after the words “Schedule D5” insert the words “to these regulations or, as the case may be, regulation 110 (abatement) of the 1997 regulations”.

25.  In regulations G6(1)(b) and (3) and G7(1)(b) of those regulations—

(a) after the words “regulation H6” insert the words “of these regulations or, as the case may be, regulation 50 of the 1997 regulations”; and

(b) after the words “Schedule D5” insert the words “to these regulations or, as the case may be, regulation 110 (abatement) of the 1997 regulations”.

26.  In regulation G12 of those regulations after the words “Schedule D5” insert the words “to these regulations or, as the case may be, regulation 48 of the 1997 regulations (in accordance with the Transitional Regulations)”.

27.  In Schedule A1 to those regulations—

(a) for the definition of “appropriate pension fund” substitute—

““Appropriate pension fund” means the appropriate fund within the meaning of the 1997 regulations;”;

(b) after the definition of “The 1986 regulations” insert—

““The 1997 regulations” means the Local Government Pension Scheme Regulations 1997;”;

(c) after the definition of “Trade dispute” insert—

““The Transitional Regulations” means the Local Government Pension Scheme (Transitional Provisions) Regulations 1997”.

28.  In paragraph 4 of Schedule B6 to those regulations after the words “Schedule D5”, wherever they occur, insert the words “or, as the case may be, regulation 29(1) to (8) of the 1997 regulations”.

The Local Government Pension Scheme (Local Government Reorganisation in Wales) Regulations 1995

29.  In regulation 1(2) of the Local Government Pension Scheme (Local Government Reorganisation in Wales) Regulations 1995(21) after the definition of “the 1994 Act” insert—

““the 1997 regulations” means the Local Government Pension Scheme Regulations 1997;”.

30.  In regulation 3(6) of those regulations after the words “the principal regulations” insert the words “or, as the case may be, the 1997 regulations”.

31.  In regulation 4 of those regulations—

(a) in paragraph (1) after the words “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) 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 at the end add the words “or, as the case may be, regulation 77 of the 1997 regulations”.

32.  At the end of regulation 5(2) of those regulations add the words “or, as the case may be, regulation 82(4) of the 1997 regulations”.

33.  In regulation 6 of those regulations—

(a) in paragraph (2) for the words “regulation L10 (other than paragraph (1)(a)) of the principal regulations” substitute the words “regulation 77 (except for the reference in paragraph (1) to 1998) of the 1997 regulations”;

(b) in paragraph (3) for the words “regulation L10 of the principal regulations” substitute the words “regulation 77 of the 1997 regulations”;

(c) in paragraph (4) after the words “the principal regulations” insert the words “or, as the case may be, regulation 77(1) and (3) of the 1997 regulations” and for the words “that regulation”, in both places they occur, substitute the words “those regulations”.

The Local Government Pension Scheme (Environment Agency) Regulations 1996

34.  In regulation 1(2) of the Local Government Pension Scheme (Environment Agency) Regulations 1996(22) before the definition of “the Active Fund” insert—

““the 1997 regulations” means the Local Government Pension Scheme 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(23)—

(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(24) 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(25) 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—

“Credited periods for transferring members with mis-sold pension rights

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—

“SCHEDULE 5A”;” 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.

Regulation 28

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—

(a)

left an employment in which he was an active member (whether or not he has subsequently become an active member again); or

(b)

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.

(1)

S.I. 1995/1985.

(2)

S.I. 1995/2249.

(3)

S.I. 1995/2953.

(4)

S.I. 1996/185.

(5)

S.I. 1996/711.

(6)

S.I. 1996/1428.

(7)

S.I. 1996/2180.

(8)

S.I. 1997/218.

(9)

S.I. 1997/329.

(10)

S.I. 1997/578.

(11)

S.I. 1997/598.

(12)

S.I. 1985/1922. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 1.

(13)

S.I. 1986/380. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 5.

(14)

S.I. 1987/293. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 6.

(15)

S.I. 1993/2783. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 10.

(16)

S.I. 1994/948. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 11.

(17)

S.I. 1994/963. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 12.

(18)

S.I. 1994/3025; amended by S.I. 1996/456.

(19)

S.I. 1994/3026. A relevant amending instrument is S.I. 1995/1019, Sch. M6, paragraph 13.

(20)

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

(21)

S.I. 1995/1985.

(22)

S.I. 1996/711.

(23)

S.I. 1996/1680.

(24)

S.I. 1996/1847.

(25)

S.I. 1997/954.