Scottish Statutory Instrument 2001 No. 437

The National Health Service (Superannuation Scheme, Injury Benefits and Compensation for Premature Retirement) (Scotland) Amendment Regulations 2001

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"the Compensation Regulations" means the National Health Service (Compensation for Premature Retirement) (Scotland) Regulations 1981[3];

"the Injury Benefits Regulations" means the National Health Service (Scotland) (Injury Benefits) Regulations 1998[4]; and

"the Superannuation Scheme Regulations" means the National Health Service Superannuation Scheme (Scotland) Regulations 1995[5].

Amendment of the National Health Service Superannuation Scheme (Scotland) Regulations 1995
     2. The Superannuation Scheme Regulations shall be amended in accordance with regulations 5 to 18 below.

Amendment of the National Health Service (Compensation for Premature Retirement) (Scotland) Regulations 1981
     3. The Compensation Regulations shall be amended in accordance with regulation 19 below.

Amendment of the National Health Service (Scotland) (Injury Benefits) Regulations 1998
     4. The Injury Benefits Regulations shall be amended in accordance with regulations 20 to 22 below.

Interpretation
     5. In regulation A2 (interpretation)-

(a) in the definition of "employing authority" after paragraph (b) there shall be inserted-


" (bb) a Primary Care NHS Trust to which certain functions referred to in section 12AA of the National Health Service (Scotland) Act 1978[6] are delegated by the Health Board;";



(b) in the definition of "NHS dental employee"[7] after "a Health Board" in paragraph (b) there shall be inserted "or Primary Care NHS Trust";

(c) in the definition of "practitioner" after "Health Board" there shall be inserted "or Primary Care NHS Trust"; and

(d) in the definition of "specialist" after "consultant" there shall be inserted ", other than a nurse consultant, or a".

Age limits and restrictions on membership
     6. In regulation B2(e)[8] after "Trust" there shall be inserted "or a Primary Care NHS Trust".

Pensionable service in respect of part-time employment
     7. In regulation C4 (6)-

(a) after "ill-health))" there shall be inserted "or a pension under regulation E3 (early retirement pension (redundancy etc.))";

(b) in sub-paragraph (a) for the words from "calculating" to the end of the sub-paragraph there shall be substituted the following-


     " calculating-


(i) whether and (if so) to what extent, the pensionable service upon which the pension under regulation E2 is based should be increased under that regulation, or

(ii) the qualifying service for the purposes of regulation E3(1)(a);"; and



(c) in sub-paragraph (b) for "and the increase under regulation E2" there shall be substituted "and, in the case of a pension under regulation E2, the increase under that regulation".

Early retirement pensions (redundancy etc.)
     8. In regulation E3(4)(d)[9] after "Trust" there shall be inserted "or a Primary Care NHS Trust".

Early retirement pension (employer's consent)
     9. In regulation E4(3)(d)[10] after "Trust" there shall be inserted "or a Primary Care NHS Trust".

Preserved pension
     10. In regulation E6-

(a) for paragraph (2) there shall be substituted-

    " (2) The pension under this regulation will be calculated-


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

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



and the retirement lump sum will be calculated as described in regulation E7.";

(b) in paragraph (3) after sub-paragraph (c) there shall be inserted-


" (d) the member-


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

(ii) has reached the age of 50; and

(iii) has applied to the Scottish Ministers for payment of the pension and retirement lump sum under this regulation.";



(c) in paragraph (4) for the words from "authority)" to "the pension" there shall be substituted-

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

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



the pension".

Payment of lump sum on death
     11. For paragraphs (1) to (3) of regulation F5 there shall be substituted-

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

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

    (3) Where the member dies and leaves a widow or widower, the lump sum may be paid to the widow or widower, unless-


(a) the member has given notice to the Scottish Ministers in accordance with paragraph (3B) below that the widow or widower is not to receive the payment, and has not revoked that notice; or

(b) paragraph (3A) below applies.



    (3A) Where the member has given notice to the Scottish Ministers in accordance with paragraphs (3B) and (3C) below that the lump sum is to be paid to a person specified in the notice, and has not revoked that notice, the lump sum may be paid to that person unless-



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

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



    (3B) Notice to the Scottish Ministers for the purpose of paragraph (3) or (3A) above-



(a) shall be given only by a member who is in pensionable service under the scheme;

(b) shall be given in writing; and

(c) may at any time be revoked in writing;



and, subject to sub-paragraph (a) above, a member who revokes such a notice may give further notice for the purpose of one of those paragraphs.

    (3C) A notice given for the purpose of paragraph (3A) above shall specify one person, who may be-



(a) an individual;

(b) a body corporate; or

(c) an unincorporated body.".

Medical and dental practitioners and trainee practitioners
     12. In regulation R1 after the words "Health Board" in both places where they occur there shall be inserted "or Primary Care NHS Trust".

Mental Health Officers
     13. In regulation R3-

(a) in paragraph (6) delete the words from "or service credited" to the end; and

(b) in paragraph (16)(c) for "a consultant" there shall be substituted "a specialist".

Participators in pilot schemes
     14. In regulation R13[11]-

(a) In paragraph (1)-


(i) in sub-paragraphs (a), (b)(i), (c) and (d) after "Health Board" there shall be inserted "or Primary Care NHS Trust";

(ii) in sub-paragraphs (e) and (f)(i) after the word "Trust" there shall be inserted the words "or Primary Care NHS Trust";

(iii) in sub-paragraph (f)(ii) after the word "Trust" there shall be inserted the words ", by a Primary Care NHS Trust"; and



(b) for paragraph (2) there shall be substituted-

    " (2) In paragraph (1) above, "relevant Health Board or Primary Care NHS Trust" means the Health Board or, as the case may be, the Primary Care NHS Trust with which agreement or agreements constituting the pilot scheme in question has or have been made.".

Suspension of pension on return to NHS employment
     15. In regulation S1-

(a) in paragraph (1) after "consent))" delete "or" and insert ","; and

(b) in paragraph (1), after "(with actuarial reduction))" there shall be inserted "or a preserved pension is payable to the member in the circumstances described in E6,".

Reduction of pension on return to NHS employment
     16. In regulation S2(1) for "regulations E1 to E6"[12] there shall be substituted "regulations E1 to E4 or in accordance with regulation E6(2)(b)[13],".

Interest on late payment of benefit
     17. After regulation T8 there shall be inserted-

" Interest on late payment of benefits
     T9.  - (1) Subject to paragraph (2) below, where the whole or any part of a qualifying payment under these Regulations is not paid by the end of the period of one month beginning with the due date, the Scottish Ministers shall pay interest, calculated in accordance with paragraph (3) below, on the unpaid amount to the person to whom the qualifying payment should have been made.

    (2) Interest under paragraph (1) above shall not be payable where the Scottish Ministers are satisfied that the qualifying payment was not made on the due date by reason of some act or omission on the part of the member or other recipient of the qualifying payment.

    (3) The interest referred to in paragraph (1) above shall be calculated at the base rate on a day to day basis from the due date to the date of payment, and shall be compounded with three-monthly rests.

    (4) In this regulation-


"base rate" means the rate for the time being quoted by the reference banks as applicable to sterling deposits or, where there is for the time being more than one such rate, the rate which, when the base rate quoted by each reference bank is ranked in a descending sequence, is the first in the sequence;
"due date" means-
(a) in the case of a lump sum under Part F above, the day immediately following the day of the member's death, unless the lump sum falls to be paid to the member's personal representative, in which case it means-


(i) the date on which probate or letters of administration are produced to the Scottish Ministers; or

(ii) the Scottish Ministers are satisfied that the lump sum may be paid as provided in regulation F5(4),



whichever is the earlier;

(b) in the case of a pension payable on a member's death, the day immediately following the day of his death;

(c) in the case of a pension under regulation E6, the day on which the pension becomes payable in accordance with that regulation;

(d) in the case of a refund of contributions, the day after that on which the Scottish Ministers receive from the Commissioners of Inland Revenue the information they require for the purposes of compliance with paragraphs (2) to (4) of regulation E9; and

(e) in any other case, the day immediately following that of the member's retirement from pensionable employment;



"qualifying payment" means any amount payable by way of a pension or lump sum, or by way of a refund of contributions, under these Regulations;
"reference banks" means the four largest institutions for the time being which-
(a) are authorised by the Financial Services Authority under the Banking Act 1987[14];

(b) are incorporated in the United Kingdom and carrying on within it a deposit-taking business (as defined in section 6, but subject to any order under section 7 of that Act); and

(c) quote a base rate applicable to sterling deposits.".

Medical and dental practitioners
     18. In Schedule 1-

(a) in paragraph 2 (application of Regulations with modifications) after the words "Health Board" in both places they occur, insert "or Primary Care NHS Trust";

(b) in paragraph 3(2) (meaning of "practitioner income") after paragraph (c) there shall be inserted-


" (d) personal allowances (but excluding payment made to cover expenses) paid in respect of participation in a Local Health Care Co-operative.";



(c) before paragraph 5 there shall be inserted the heading "Election relating to calculation of "pensionable earnings" in partnerships";

(d) in paragraph 5 after the words "Health Board" in each place where they occur, there shall be inserted "or Primary Care NHS Trust" and in sub-paragraph (3) after "Board" in both places where it occurs insert "or Trust";

(e) in paragraph 6(1) (meaning of "pensionable earnings" - other practitioners)[15] for the words from "means" to the end of the sub-paragraph there shall be substituted-

" means-
(a) all salary, wages, fees and other regular payments paid to the practitioner in respect of his employment as a practitioner, but does not include bonuses or payments made to cover expenses or for overtime; and

(b) personal allowances (but excluding payments made to cover expenses) paid in respect of participation in a Local Health Care Co-operative.".

Amendment of the Compensation Regulations
     19. In regulation 5 of the Compensation Regulations (crediting of additional period of service) after paragraph (13) there shall be inserted-

    " (14) For the purposes of paragraph (7)(a) above, where any part of the pensionable service of an entitled officer to whom there is payable a pension under regulation E3 of the National Health Service Superannuation Scheme (Scotland) Regulations 1995 is service in part-time employment, the compensation payable in respect of the service credited under this Regulation shall not exceed the relevant amount.

    (15) In this regulation-


"the relevant amount" means the amount which bears the same proportion to the amount which would have been payable had the service not been part-time as the whole-time equivalent bears to comparable whole-time employment; and
"the whole-time equivalent" has the same meaning as in regulation C4 of the National Health Service Superannuation Scheme (Scotland) Regulations 1995.".

Amendment of the Injury Benefits Regulations
Interpretation
     20. In regulation 2-

(a) in the definition of "assistant practitioner" after the words "Health Board" in both places where they occur there shall be inserted "or Primary Care NHS Trust";

(b) in the definition of "employing Authority" after sub-paragraph (c) there shall be inserted-


" (cc) a Primary Care NHS Trust to which certain functions referred to in section 12AA of the 1978 Act[16] are delegated by the Health Board;";



(c) in the definition of "NHS dental employee[17]" after the words "Health Board" there shall be inserted "or Primary Care NHS Trust";

(d) after the definition of "NHS dental Employee" there shall be inserted-

" "NHS employment" has the same meaning as in the National Health Service Superannuation Scheme (Scotland) Regulations 1995[18];" and

(e) in the definition of "practitioner" there shall be inserted "or Primary Care NHS Trust" after the words "Health Board" in each place where it occurs.

Persons to whom the Regulations apply
     21. In regulation 3(1)-

(a) in sub-paragraph (f)[19] after "Health Board" there shall be inserted "or Primary Care Trust"; and

(b) in sub-paragraph (j)(i)[20] after "Trust" there shall be inserted "or Primary Care NHS Trust".

Recovery of costs
     22. In regulation 4A(4)[21]-

(a) in sub-paragraph (e) after "National Health Service Trust" there shall be inserted "or Primary Care NHS Trust"; and

(b) after the words "Health Board" in both places where it occurs there shall be inserted "or Primary Care Trust".

Transitional provision
     23. Any notice given before 1st April 2000 under paragraph (1) of regulation F5 of the Superannuation Scheme Regulations (payment of lump sum) as then in force shall be treated on and after that date as if it were a notice given for the purpose of paragraph (3) of that regulation as amended by regulation 11 of these Regulations.


ANGUS MacKAY
A member of the Scottish Executive

St Andrew's House, Edinburgh
17th November 2001



We consent,


NICK AINGER

ANNE McGUIRE
Two of the Lords Commissioners of Her Majesty's Treasury

21st November 2001

[2] See the Superannuation Act 1972, section 10(1) and the Transfer of Functions (Minister for the Civil Service and Treasury) Order 1981 (S.I. 1981/1670), article 2.back

[3] S.I. 1981/1785, amended by S.I. 1985/2036 and 1992/3046.back

[4] S.I. 1998/1594, amended by S.I. 1999/444 and S.S.I. 1999/195.back

[5] S.I. 1995/365, amended by S.I. 1997/1434, 1997/1916, 1998/1593 and 1999/443.back

[6] 1978 c.29; section 12AA was inserted by section 47 of the Health Act 1999 (c.8).back

[7] This definition was inserted by S.I. 1999/443.back

[8] Regulation B2(e) was inserted by S.I. 1999/443.back

[9] Inserted by S.I. 1997/1916 and amended by S.I. 1998/1593 and S.I. 1999/443.back

[10] Inserted by S.I. 1997/1916 and amended by S.I. 1998/1593 and S.I. 1999/443.back

[11] Regulation R13 was inserted by S.I. 1998/1593 and substituted by 1999/443.back

[12] Regulation S2(1) was amended by S.I. 1997/1434.back

[13] Regulation E6(2)(b) is inserted by regulation 10(a) of these Regulations.back

[14] 1987 c.22, as amended by the Bank of England Act 1998 (c.11).back

[15] Paragraph 6 was amended by S.I. 1998/1593 and 1999/443.back

[16] 1978 (c.29); section 12AA was inserted by section 47 of the Health Act 1999 (c.8).back

[17] This definition was inserted by S.I. 1999/444.back

[18] S.I. 1995/365; amended by S.I. 1997/1434, 1997/1916, 1998/1593 and 1999/443.back

[19] Sub-paragraph (f) was amended by S.I. 1999/444.back

[20] Sub-paragraph (j)(i) was inserted by S.I. 1999/444.back

[21] Regulation 4A was inserted by S.I. 1999/195.back