The Secretary of State, in exercise of the powers conferred on him by sections 7 and 12 of the Superannuation Act 1972[1] and of all other powers enabling him in that behalf, after consultation with such associations of local authorities as appeared to him to be concerned and such representatives of other persons likely to be affected by the Regulations as appeared to him to be appropriate in accordance with section 7(5) of that Act, and not having considered consultation with any individual local authority desirable, hereby makes the following Regulations:

"the 1998 provisions" means the 1998 Regulations, these Regulations and the Investment Regulations;

"the 1998 Regulations" means the Local Government Pension Scheme (Scotland) Regulations 1998;

"the commencement date" means 1st April 1998;

"the common provisions" means regulations 48 and 49 and Part IV of the 1998 Regulations and the Investment Regulations;

"the Investment Regulations" means the Local Government Pension Scheme (Management and Investment of Funds) (Scotland) Regulations 1998; (SI 1998/2888)

"the old provisions" means the 1987 Regulations, the additional regulations specified in Schedule 1 (so far as they relate to the Scheme) and any other regulations relating to the Scheme and made under section 7 or 12 of the Superannuation Act 1972, so far as they continue in effect;

"the replaced provisions" means regulations C1, C12, E11A, E21, E33, E35, M1, R1, R2, R3, R5 and Parts J, N and P of and Schedules 16, 19 and 20 to the 1987 Regulations (but not including the Investment Regulations); (SI 1998/2888)

"the saved provisions" means the old provisions (other than the replaced provisions), in so far as they remain capable of having effect and subject to the provisions of these Regulations and, in particular, the amendments specified in Schedule 3.

    (2) For these Regulations, a member must be treated as remaining an active member throughout-

(a) a period of maternity absence (as defined in regulation C3A(6) of the 1987 Regulations);

(b) any period which is treated as membership by virtue of regulation D1(2)(aa) of those Regulations (absence for illness or injury); and

(c) any period as respects which a notice under regulation C4(3) of those Regulations (trade disputes absence) is served,

whether or not he or she otherwise would be so treated.

    (3) Paragraph (2) shall not apply as respects any part of such a period which falls after a time when the member ceases to be an active member by virtue of regulation B4A of the 1987 Regulations (opting out).

    (4) Subject to the previous provisions of this regulation, expressions used in these Regulations and in the 1998 Regulations have the same meaning as in those Regulations (unless the context indicates otherwise).

(a) by virtue of regulation B4A of the 1987 Regulations (opting out); or

(b) by virtue of leaving local government employment on that date and becoming a pensioner member on the commencement date,

and these Regulations shall apply to any such person as if he had already so ceased immediately before the commencement date.

    (3) If any person has notified his employer under regulation B4A(1) of the 1987 Regulations before the commencement date that he does not wish to be an active member, but would not (apart from this paragraph) have ceased to be an active member immediately before the commencement date-

(a) paragraph (1) shall not apply to him;

(b) he shall cease to be such a member on March 31st 1998; and

(c) these Regulations shall apply to him as if he had already so ceased immediately before the commencement date.

    (4) Where (apart from these Regulations) a person away on relevant reserve forces service would be treated under the 1987 Regulations as an active member on the commencement date, paragraph (1) shall apply to him, unless as a result of a cancelling notice his relevant reserve forces services on and after the commencement date is not to be treated as such service.

    (5) Where such a notice is served, these Regulations shall apply to such a person as if he had already ceased to be an active member immediately before the commencement date.

Deferred members and pensioners: general
     4.  - (1) Except where these Regulations provide otherwise, in relation to the persons specified in paragraph (2)-

(a) the saved provisions shall continue to apply;

(b) the common provisions shall apply; and

(c) Part II (except regulations 48 and 49) and Parts III and V of the 1998 Regulations shall not apply (except in so far as they affect the common provisions).

    (2) Those persons are-

(a) any person who immediately before the commencement date was a deferred member or a pensioner member and does not on or after that date become an active member;

(b) any person who is or may become entitled to any benefit under the Scheme in respect of such a person;

(c) any other person whose entitlement to the payment of any pension or other benefit has arisen before that date or who may become so entitled by virtue of the death of any person who has died before that date.

(d) any person who becomes a deferred member after the commencement date by virtue of an election made under regulation E2A(1) of the 1987 Regulations.

Re-employment of members
     5. Schedule 2 shall have effect for the purpose of making provision concerning cases where members are re-employed and regulations 3(1) and 4 are subject to that Schedule.

(a) was entitled to count a period of membership before 1st April 1972; and

(b) had not made a relevant election as respects that period or had ceased to make payments under it,

for regulation 6 that period of membership or, as the case may be, the unpaid part of it must be reduced to 89 per cent. of its length (but see regulation 10).

    (2) Paragraph (1) applies to a female member only if she duly elected under regulation E12(1)(b) of the 1987 Regulations (election by wife of dependent and permanently incapacitated husband).

    (3) A relevant election is an election wholly or partly in respect of membership before 1st April 1972, made under regulation C8 of the 1987 Regulations (payments to avoid reduction of retiring allowance and death gratuity).

    (4) Where a member to whom paragraph (1) would have applied if he had been married immediately before the commencement date marries on or after that date while he is an active member and before he becomes entitled to benefits under the Scheme, paragraph (1) shall apply to him as if he had been married immediately before that date.

    (5) Despite anything in these Regulations, a relevant election under which payments were being made immediately before the commencement date shall continue to have effect on and after that date to the extent that it relates to a period of membership before 1st April 1972 (subject to the continuation of payments under it at the same rate as they were made before the commencement date) whether or not immediately before the commencement date the election also related to a later period.

    (6) However, if a member to whom paragraph (1) would have applied apart from his continuing to make payments under a relevant election until the commencement date ("a continuing member"), fails after that date to complete the payments due under that election in respect of membership before 1st April 1972 (otherwise than by virtue of his death or his becoming entitled to a retirement pension under regulation 26 of the 1998 Regulations), paragraph (1) shall apply to him as if he had so ceased before the commencement date.

    (7) If a continuing member-

(a) completes the payments due under the election in respect of that membership; or

(b) fails to complete them by virtue of his death or his becoming entitled to a retirement pension under regulation 26 of the 1998 Regulations,

for regulation 8(1)(d) of those Regulations he may count the full period of membership in relation to which he made the election.

    (8) For paragraph (1) the unpaid part of the period is the part of it in respect of which payments (including payments by instalments of a lump sum) have not been made.

    (9) Where paragraph (1) applies by virtue of paragraph (6) any payments made on or after the commencement date must be taken into account for paragraph (8).

Women with membership before 6th April 1988
     9.  - (1) Any election or notice made or given (or having effect as if made or given) by a female member under regulation C8, C8A or E6(6) and (7) of the 1987 Regulations shall, in so far as it relates to membership after 31st March 1972, cease to have effect.

    (2) Where an election made or a notice given by a member to whom regulation 3(1) applies ceases to have effect under paragraph (1), her employing authority must resolve that for regulation 8(1)(d) of the 1998 Regulations she may count the period in respect of which the election was made or the notice given as membership after 5th April 1988.

    (3) Despite anything in these Regulations, an active member who was eligible immediately before the commencement date to make an election under regulation C8 or C8A of the 1987 Regulations or to give notice under regulation E6(6) of those Regulations as respects membership after 31st March 1972 may, with the agreement of her employing authority, make such an election or give such notice on or after the commencement date.

    (4) An election made or a notice given by virtue of paragraph (3) has effect for the purposes of this regulation as if it had been made or given immediately before the commencement date.

    (5) A resolution under paragraph (2) must be passed-

(a) in a case where it is made on the cessation of the effect of an election made or a notice given by virtue of paragraph (3), before the expiry of the period of six months beginning with the day the employing authority agree to the making of the election or giving of notice); and

(b) otherwise, before 1st November 1998.

Certain members with membership before 16th May 1974
     10.  - (1) Regulation 6 does not apply to any person to whom regulation E19 of the 1974 Regulations applied, but who did not make an election under that regulation before the commencement date.

    (2) If such a person continues as an active member of the Scheme by virtue of regulation 3, the period he may count for regulation 8(1)(d) of the 1998 Regulations is such period as his appropriate administering authority determine to be appropriate.

    (3) A period is appropriate only if the rights in respect of that period under the 1998 Regulations will be at least equal in value to those which cease to apply in respect of the member as a result of the old provisions ceasing to apply to him.

    (4) If the appropriate administering authority think fit, they must obtain the advice of an actuary appointed by them before making a determination under paragraph (2) and a statement as to the actuarial basis of that advice.

Rights under old provisions affecting membership periods (extra payments, absences etc.)
     11.  - (1) Any notice given or having effect as if given or deemed to have been given under - 

(a) regulation C3(3) or (4) of the 1987 Regulations (payments in respect of long periods away from work);

(b) regulation C3A(3) of those Regulations (payments in respect of maternity absence);

(c) regulation C4(3) of those Regulations (payments in respect of absence owing to trade dispute);

(d) regulation C6 of those Regulations (payments to increase reckonable service),

by a member to whom regulation 3(1) applies shall cease to have effect (but see regulation 14).

    (2) Where a member to whom paragraph (1) applies has made any payment under regulation C3(3) or, as the case may be, regulation C3A, C4(3) or C6 of the 1987 Regulations in pursuance of the notice, the member's appropriate administering authority must calculate the period as respects which payment has been made.

    (3) That authority must notify the member of that period as soon as practicable after the commencement date.

    (4) The period the member may count for regulation 8(1)(d) of the 1998 Regulations includes the period calculated under paragraph (2).

    (5) Nothing in these Regulations affects-

(a) any right of any person who has ceased to be employed before the commencement date to give a notice under regulation C3(3) or C3A(3) of the 1987 Regulations not later than 30 days after he ceased to be employed;

(b) any right of any person who has ceased to be employed before the commencement date (or his executors) to give a notice under paragraph (3) of regulation C4 of those Regulations within the period mentioned in paragraph (5) of that regulation; or

(c) if such a person as is specified in paragraph (a) or (b) makes a payment in pursuance of the notice, his right to count the period as respects which the payment is made under regulation D1(2)(a) of those Regulations.

    (6) In the case of a notice served under regulation C4(3) of those Regulations where the member has died, references in this regulation to the member shall be taken where appropriate as references to the member's executors.

Rights under regulation C9 of the 1987 Regulations: counting of membership
     12.  - (1) Where any member to whom regulation 3(1) applies has any rights to make any payments which remain payable immediately before the commencement date by virtue of regulation C9(2) of the 1987 Regulations-

(a) those rights shall cease (but see regulation 15);

(b) the member's appropriate administering authority must calculate the period as respects which payment has been made and notify the member of that period as soon as practicable after the commencement date; and

(c) the period the member may count for regulation 8(1)(d) of the 1998 Regulations includes the period so calculated.

    (2) The period mentioned in paragraph (1)(c) is such period as his appropriate administering authority determine to be appropriate.

    (3) A period is appropriate only if the rights in respect of that period under the 1998 Regulations will be at least equal in value to the member's rights in respect of the payments he has made under the old provisions.

    (4) Where the appropriate administering authority think fit, they must obtain the advice of an actuary appointed by them before making a determination under paragraph (2) and a statement as to the actuarial basis of that advice.

(a) in relation to a member who is entitled to count membership by virtue of regulation 6 or 7; or

(b) in relation to a member to whom paragraph 6(6) of Schedule 2 applies as respects a period of membership,

the relevant authority must determine whether his rights under the Scheme in respect of that membership are at least equal in value to the rights to which he was entitled immediately before the commencement date ("his 1987 rights").

    (2) If the relevant authority determine that a member's 1987 rights were of a greater value than his rights under the Scheme in respect of the membership mentioned in paragraph (1), they must resolve to increase the member's total membership for the 1998 Regulations by an additional period so that his rights under the Scheme in respect of the membership mentioned in paragraph (1) are at least equal in value to his 1987 rights.

    (3) However, if that additional period would exceed the period which would be the maximum addition under Schedule 4 to the 1998 Regulations if the resolution were made under regulation 52 of those Regulations-

(a) it must be reduced to the amount of the maximum addition; and

(b) the relevant authority must resolve that the appropriate multiplier for one or both of the purposes mentioned in regulation 19(2) and (3) of those Regulations (calculations of pensions and retirement grants) must be increased accordingly so that (taking the effects of the reduced additional period and the increase in any such multiplier together) his rights under the Scheme in respect of the membership mentioned in paragraph (1) are at least equal in value to his 1987 rights.

    (4) Before-

(a) making a determination under paragraph (1); or

(b) determining the additional period under paragraph (2) or the increase in any appropriate multiplier under paragraph (3)(b),

the authority must consider the advice of an actuary if they consider it appropriate.

    (5) Where the relevant authority have passed a resolution under paragraph (2), the additional period counts as part of the member's total membership for regulation 8(1)(d) of the 1998 Regulations.

    (6) The relevant authority must give notice of the making of such a resolution to the member before the expiry of the period of six months beginning with the relevant date.

    (7) The relevant authority is-

(a) in the case of a member who is an active member when the relevant event occurs, his Scheme employer; and

(b) otherwise, his appropriate administering authority or, if there is more than one, the appropriate administering authority in respect of the employment which he left last.

    (8) A relevant event occurs in relation to a member if-

(a) he becomes immediately entitled to payment of a benefit under the 1998 Regulations or any other person whose entitlement is in respect of him becomes so entitled; or

(b) he applies under section 93A of the Pension Schemes Act 1993[2] for a statement of entitlement; or

(c) he is provided with such information as is mentioned in regulation 119(3) of the 1998 Regulations (bulk transfers etc.).

    (9) The relevant date is-

(a) in the case mentioned in paragraph (8)(a), the date on which the amount of the benefit is determined;

(b) in the case mentioned in paragraph (8)(b) or (c), the date the member's membership ceases.

Special provisions about rights relating to old membership

Continuity of elections within regulation 11(1)
     14.  - (1) The appropriate administering authority of an active member who has given or is deemed to have given a notice which ceases to have effect under regulation 11(1) must inform him in writing that they propose to treat the notice-

(a) as having been given under the corresponding provision of the 1998 Regulations; and

(b) as if the notice related only-


(i) to so much of the amount remaining to be paid in pursuance of the notice as has not been paid before the commencement date, and

(ii) to so much of the period as respects which he gave the notice as he may not count by virtue of regulation 11(4); and



(c) as enabling the member to make additional contributions at the protected rate.

    (2) Where a member is so informed, the notice is to be so treated as from the commencement date unless the member (or, in a case where the member has died, his executor) has informed his appropriate administering authority in writing before the expiry of the period of three months beginning with that date (or such longer period as they may allow) that he does not wish it to be so treated.

    (3) Any election by a member to whom regulation 3(1) applies which-

(a) was made or had effect as if made under regulation C9A of the 1987 Regulations (additional voluntary contributions); and

(b) was in effect immediately before the commencement date,

shall continue to have effect as if it had been under the 1998 Regulations.

    (4) The protected rate is the rate at which the member was making payments by virtue of the notice immediately before the commencement date, expressed as a percentage of his remuneration at that time.

[2] 1993 c.48; section 93A was inserted by the Pensions Act 1995 (c.26), section 153.back