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Surrenders

Allocation of part of annual compensation

19.  - (1) Where an eligible person who has been granted a credited period under regulation 8 has been allowed, in accordance with regulation E20 of and Schedule 13 to the Superannuation Regulations regulation 32 of the LGPS Regulations (SI1998/364) , to surrender a part of the retirement pension to which he would otherwise be entitled on ceasing to hold his former employment ("the surrendered part"), he may give notice to his employing authority that he wishes this regulation to apply to him.

(2) Notice under paragraph (1) must be given by a person before the expiry of the period of one month beginning-

(a) in the case of a person who has not entered a new employment, with-


(i) the date on which he is given notification under regulation 27(a) of the grant of the credited period; or

(ii) his attaining pensionable age,



whichever is the later;

(b) if he has entered new employment, with-



(i) the date on which that employment ceases;

(ii) the date on which he is given notification under regulation 27(c) of any adjustment made by reason of that cessation; or

(iii) his attaining pensionable age,



whichever is the latest.

(3) A person who duly gives notice under this regulation may surrender any part of his annual compensation (not exceeding the surrendered pension percentage), on the like terms and conditions and for the like consideration as if his annual compensation were a retirement pension to which he had become entitled by virtue of regulation E2(1)(b)(iii) and (3)(a) of the Superannuation Regulations regulation 25 of the LGPS Regulations (SI1998/364) (early retirement on redundancy etc.).

(4) In paragraph (3) "the surrendered pension percentage", in relation to any person, means the same percentage as the surrendered part of the retirement pension is of the retirement pension to which he would be entitled apart from the surrender.

(5) In this regulation "annual compensation", in relation to any person, means the compensation payable under regulation 10, adjusted as may be necessary-

(a) in accordance with regulation 12;

(b) if he is a person to whom such an allowance for life as is mentioned in paragraph (2) of regulation 14 has been granted, in accordance with that regulation; and

(c) in accordance with regulation 18 (but disregarding any reduction under regulation 17(3)).

(6) In the case of a person to whom regulation E20 of the Superannuation Regulations regulation 32 of the LGPS Regulations (SI1998/364) does not apply because of a relevant disqualification-

(a) paragraph (1) shall have effect as if he had been allowed to surrender as mentioned in that paragraph; and

(b) the annual compensation which he is entitled to surrender in accordance with paragraph (3) shall be such part as he may specify in the notice required under paragraph (1).

Awards to surviving spouses Awards to surviving spouses or civil partners (SI2005/554)

Entitlement to surviving spouse's or civil partner's (SI2005/554) short-term and long-term compensation
20.  - (1) This regulation applies on the death of an eligible person who has been granted (whether before or after his death) a credited period under regulation 8 and is survived by a spouse, spouses or a civil partner. (SI2005/554)

(a) who is or, as the case may be, who are jointly entitled to receive a pension under regulation E5 of the Superannuation Regulations regulations 39 to 42 of the LGPS Regulations (SI1998/364) (surviving spouses' or civil partners' pensions (SI2005/554)) or regulations 24, 33 and 36 of the Benefits Regulations (SSI 2009/187) in relation to the deceased's former employment; or

(b) who would be so entitled apart from-


(i) a relevant disqualification with respect to the deceased (and on the relevant assumptions); or

(ii) the transfer of benefits to another pension scheme.

(2) Where this regulation applies the surviving spouse or civil partner (SI2005/554) is or, as the case may be, the surviving spouses are jointly entitled to receive-

(a) surviving spouse's or civil partner's (SI2005/554) short-term compensation-


(i) in the case of a surviving spouse or civil partner (SI2005/554) who has (or one of whose spouse's other surviving spouses has) one or more eligible children in his care, for the period of six months after the date of the death; and

(ii) otherwise, for the period of three months after that date; and



(b) after that period, surviving spouse's or civil partner's (SI2005/554) long-term compensation;

and where surviving spouses are jointly entitled to compensation under this regulation, the employment authority may decide how it shall be apportioned between them.

(3) If the marriage or formation of the civil partnership (SI2005/554) with the deceased took place after the material date, a surviving spouse or civil partner (SI2005/554) is only entitled to receive surviving spouse's or civil partner's (SI2005/554) short-term or long-term compensation if he is entitled to a surviving spouse's or “civil partner's (SI2005/554) pension under the Superannuation Regulations the LGPS Regulations (SI1998/364) or the Benefits Regulations (SSI 2009/187) (or would be so entitled apart from the matters mentioned in paragraph (1)(b)).

(4) Except where paragraph (5) applies, a surviving spouse or civil partner (SI2005/554) who is entitled to short-term or long-term compensation by virtue of this regulation and who is the surviving spouse or civil partner (SI2005/554) of an eligible person who ceased employment before 1st April 1998 (SI2000/77) -

(a) is not so entitled during any subsequent marriage or civil partnership (SI2005/554)or any period of cohabitation outside marriage or civil partnership (SI2005/554) ; and

(b) is entitled to surviving spouse's or civil partner's (SI2005/554) long-term compensation from the end of any such marriage, civil partnership (SI2005/554) or period only if the employing authority in their discretion so decide.

(5) Where a widower and a widow each of whom is entitled to short-term or long-term compensation under this regulation and is the surviving spouse of an eligible person who ceased employment before 1st April 1998 (SI2000/77) marry each other or cohabit with each other outside marriage- (SI2005/554)

(5) Where two persons referred to in paragraph (5A), each of whom is entitled to short-term or long-term compensation under this regulation, marry each other, form a civil partnership or begin to live with each other as if they were husband and wife or as if they were civil partners–

(a) only such one of them as they may determine shall be so entitled; and

(b) the other shall cease to be so entitled until the end of the marriage, civil partnership or period of cohabitation.
(SI2005/554)

(5A) Those persons are–

(a) a widower,

(b) a widow, or

(c) a surviving civil partner

of any eligible person who ceased employment before 1st April 1998. (SI2005/554)

(5B) For the purposes of this regulation, two people of the same sex are to be regarded as living together as if they were civil partners if they would be regarded as living together as husband and wife if they were not of the same sex.

(a) only such one of them as they may determine shall be so entitled; and

(b) the other shall cease to be so entitled until the end of the marriage or cohabitation.

(SI2005/554)

(6) The employing authority may determine by resolution in any case that paragraph (4) or (5), as appropriate, shall not apply. (SI2000/77)

Amount of surviving spouse's or civil partner's (SI2005/554) short-term and long-term compensation
21.  - (1) Surviving spouse's or civil partner's (SI2005/554) short-term compensation is payable at an annual rate equal to the rate at which any annual compensation would have been payable to the deceased in accordance with these Regulations immediately before his death if there were disregarded any adjustment in accordance with regulation 13, 14 or 18(3).

(2) Surviving spouse's or civil partner's (SI2005/554) long-term compensation is the relevant fraction of any annual compensation which would have been payable to the deceased in accordance with these Regulations immediately before his death-

(a) if there were disregarded-


(i) any adjustment in accordance with regulation 12, 13, 14, 18(3) or 19;

(ii) in a case where at the time of the deceased's death, the deceased was in a new employment in which he was not a pensionable employee LGPS member (SI1998/364), any adjustment in accordance with regulations 15 and 16; and



(b) in a case where at the date of death the deceased was in a new employment in which he was a pensionable employee LGPS member (SI1998/364), if that annual compensation were reduced in accordance with regulation 18 on the assumption that the effective service referred to in regulation 18(5)(b)(ii) were the service which the deceased would have been entitled to count as reckonable service on the relevant assumptions if at the date of death the deceased had been such a person as is mentioned in regulation E2(1)(b)(i) of the Superannuation Regulations regulation 26(1) of the LGPS Regulations (SI1998/364). (SSI 2009/187)

(b) in a case where at the date of death the deceased was in a new employment in which he was a LGPS member, if that annual compensation were reduced in accordance with regulation 18 (reduction of annual compensation on cessation of new employment) on the assumption that the effective service referred to in regulation 18(5)(b)(ii) were the service which the deceased would have been entitled to count as–

(i) reckonable service on the relevant assumptions if at the date of death the deceased had been such a person as is mentioned in
regulation 26(1) of the LGPS Regulations (ill-health); or
(ii) total membership on the relevant assumptions if he had been, at the time of his death, a person such as is mentioned in regulation 20 of the Benefits Regulations (early leavers: ill-health).

(SSI 2009/187)

(3) In paragraph (2) "the relevant fraction" means-

(a) if the deceased was entitled to receive compensation under regulation 9, one half; and

(b) otherwise, three eighths.

(4) Where a surviving spouse or civil partner (SI2005/554) receives periodic payments in respect of any period, surviving spouse's or civil partner's (SI2005/554) short-term or long-term compensation is only payable in respect of that period if, and to the extent that, it exceeds the amount of the aggregate of those periodic payments.

(5) In paragraph (4) "periodic payment" means an instalment of an allowance for life or other period (other than annual compensation under these Regulations) granted to the surviving spouse or civil partner (SI2005/554) by the deceased's employing authority, in consequence of or as compensation for the loss of the deceased's former employment, under an enactment, or a contract or arrangement with that authority (excluding a payment which is an excepted payment in relation to that employment).

(a) who is or are entitled to receive a children's short-term pension under regulation E8 of the Superannuation Regulations regulation 44 of the LGPS Regulations (SI1998/364) in relation to the deceased's former employment; or

(b) who would be so entitled apart from-


(i) a relevant disqualification with respect to the deceased (and on the relevant assumptions); or

(ii) the transfer of benefits to another pension scheme.

(2) Where this regulation applies, children's short-term compensation is payable to or for the benefit of such eligible child or eligible children as are mentioned in paragraph (1)-

(a) if a children's short-term pension under regulation E8 of the Superannuation Regulations regulation 44 of the LGPS Regulations (SI1998/364) is payable for the period of 3 months beginning with the date of the death, for that period; and

(b) otherwise, for the period of 6 months beginning with that date.

(3) Children's short-term compensation is not payable in respect of a period for which surviving spouse's or civil partner's (SI2005/554) short-term compensation is payable to the surviving spouse or civil partner (SI2005/554) of the deceased.

Amount of children's short-term compensation
23.  - (1) Children's short-term compensation is payable at an annual rate equal to the rate at which any annual compensation would have been payable to the deceased in accordance with these Regulations immediately before his death, disregarding any adjustment in accordance with regulation 13, 14 or 18(3).

(2) Where periodic payments are received in respect of a child in respect of any period, children's short-term compensation is only payable in respect of that child and that period if, and to the extent that, it exceeds the amount of the aggregate of those periodic payments.

(3) In paragraph (2) "periodic payment" means an instalment of an allowance for life or other period (other than annual compensation under these Regulations) granted to or in respect of the child by the deceased's employing authority, in consequence of or as compensation for the loss of the deceased's former employment, under an enactment, or a contract or arrangement with that authority (excluding a payment which is an excepted payment in relation to that employment).

Entitlement to children's long-term compensation
24.  - (1) This regulation applies on the death of an eligible person who has been granted (whether before or after his death) a credited period under regulation 8 and is survived by an eligible child or children-

(a) in respect of whom there is an entitlement to receive a children's long-term pension under regulation E8 of the Superannuation Regulations regulation 45 of the LGPS Regulations (SI1998/364) or a children�s pension under regulation 28, 34 or 37 of the Benefits Regulations (SSI 2009/187) in relation to the deceased's former employment; or

(b) in respect of whom there would be such an entitlement apart from-


(i) a relevant disqualification with respect to the deceased (and on the relevant assumptions); or

(ii) the transfer of benefits to another pension scheme.

(2) Where this regulation applies, children's long-term compensation is payable to or for the benefit of such eligible child or eligible children-

(a) if a children's long-term pension under regulation E8 of the Superannuation Regulations regulation 45 of the LGPS Regulations (SI1998/364) is payable following the expiry of the period of 3 months beginning with the date of death, from the day following the expiration of that period; or

(b) otherwise, from the day following the expiry of the period of 6 months beginning with the date of death.

Amount of children's long-term compensation
25.  - (1) Children's long-term compensation is payable at an annual rate equal to the appropriate fraction of the deceased's annual compensation.

    (2) In paragraph (1) "the appropriate fraction" means-

(a) where there is a surviving spouse or civil partner (SI2005/554) to whom surviving spouse's or civil partner's (SI2005/554) short-term compensation or long-term compensation is payable (or would be payable apart from regulation 20(4))-


(i) if there is one eligible child, one quarter; and

(ii) if there are two or more eligible children one half;



(b) where there is no such surviving spouse or civil partner (SI2005/554) or in respect of any period after the death of such a surviving spouse or civil partner (SI2005/554)-



(i) if there is one eligible child, one third; and

(ii) if there are two or more eligible children, two thirds.

(3) For the purposes of paragraph (1), "the deceased's annual compensation" means any annual compensation which would have been payable to the deceased in accordance with these Regulations immediately before his death-

(a) if there were disregarded-


(i) any adjustment in accordance with regulation 12, 13, 14, 18(3) or 19; and

(ii) in a case where at the time of the deceased's death, the deceased was in a new employment in which he was not a pensionable employee LGPS member (SI1998/364), any adjustment in accordance with regulation 15 and 16; and



(b) in a case where at the time of the deceased's death, the deceased was in a new employment in which he was a pensionable employee LGPS member (SI1998/364), if that annual compensation were reduced in accordance with regulation 18, on the assumption that the effective service referred to in regulation 18(5)(b)(ii) were the service which he would have been entitled to reckon as reckonable service on the relevant assumptions if he had been, at the time of his death, a person such as is mentioned in regulation E2(1)(b)(i) of the Superannuation Regulations regulation 26(1) of the LGPS Regulations (SI1998/364). (SSI 2009/187)

(b) in a case where at the time of the deceased’s death, the deceased was in a new employment in which he was a LGPS member, if that annual compensation were reduced in accordance with regulation 18 (reduction of annual compensation on cessation of new employment), on the assumption that the effective service referred to in regulation 18(5)(b)(ii) were the service he would be entitled to count as–

(i) reckonable service on the relevant assumptions if he had been, at the time of his death, a person such as is mentioned in regulation 26(1) of the LGPS Regulations (ill-health); or
(ii) total membership on the relevant assumptions if he had been, at the time of his death, a person such as is mentioned in regulation 20 of the Benefits Regulations (early leavers: ill-health).

(SSI 2009/187)

(4) Where periodic payments (as defined in regulation 23(3)) are received in respect of a child in respect of any period, children's long-term compensation is only payable in respect of that child and that period if, and to the extent that, it exceeds the amount of the aggregate of those periodic payments.

(5) If an eligible child to whom, or for whose benefit, children's long-term compensation is payable-

(a) has attained the age of 17; and

(b) is in receipt of remuneration in respect of full-time training for a trade, profession or calling at an annual rate in excess of the indexed training rate,

then-

(i) the annual rate of the children's long-term compensation shall be reduced by an amount equal to the amount of that excess (less any reduction made in the children's long-term pension in respect of that excess under regulation E9(5) of the Superannuation Regulations regulation 45(9) of the LGPS Regulations (SI1998/364)); or

(ii) if it would result in a smaller reduction of the children's long-term compensation, that child shall be disregarded for the purpose of calculating the amount of that compensation.

(6) In paragraph (5)(b) "the indexed training rate" means the annual rate at which an official pension would for the time being be payable if it had begun on 1st April 1994 and had then been payable at an annual rate of �1,450.

Payment of children's compensation
26.  - (1) In a case where children's compensation is payable in respect of children in relation to whom children's short-term pension or children's long-term pension is paid under regulation E9(7) of the Superannuation Regulations regulation 46 of the LGPS Regulations (SI1998/364) (discretion as to payment of children's pensions), children's compensation-

(a) is payable to the same person; and

(b) is payable for the benefit of the eligible children in the same proportions,

as the children's pension is payable.

(2) If children's short-term pension or children's long-term pension is not paid under regulation E9(7) of the Superannuation Regulations regulation 46 of the LGPS Regulations (SI1998/364) because-

(a) of a relevant disqualification with respect to the deceased; or

(b) of the transfer of benefits to another pension scheme,

but otherwise (and on the relevant assumptions) it would be so payable, the employing authority shall decide to whom the children's compensation is payable and in what shares it is to be apportioned amongst the eligible children.

(a) the grant of a credited period to any person under regulation 8;

(b) the death of a person to whom such an award has been made; or

(c) the making of any adjustment affecting the compensation payable to a person in accordance with this Part,

the employing authority shall give that person, or any other person to whom compensation is payable in accordance with this Part, written notification of the compensation payable or, as the case may be, of the adjustment, giving details of the calculation in question.

Information
28.  - (1) Where a person who has been granted a credited period under regulation 8 enters or ceases to hold a new employment, before the expiry of the period of one month beginning with the date on which he does so he shall give his employing authority written notification of that fact.

(2) A person to whom compensation is payable in accordance with this Part shall-

(a) furnish all such information as the employing authority may at any time reasonably require; and

(b) verify that information in such manner, including by the production of documents in his possession or control, as may be reasonably so required.

Payment of compensation
29.  - (1) Compensation (other than lump sum compensation) which is payable to a person under this Part shall be payable at intervals equivalent to those at which his pension is payable under the Superannuation Regulations the LGPS Regulations (SI1998/364) or the Benefits Regulations (SSI 2009/187) (or would have been so payable but for a relevant disqualification and on the relevant assumptions or, as the case may be, the transfer of benefits to another pension scheme), or at such other intervals as may be agreed between him and the paying authority.

(2) Any compensation payable under this Part-

(a) shall be payable to or in trust for the person entitled to receive the compensation; and

(b) shall not be assignable or chargeable with his debts or other liabilities.

(3) Where any compensation under this Part is paid in error to any person (including an overpayment)-

(a) he shall as soon as practicable repay it to the paying authority; and

(b) the paying authority may recover it from him (including, but without prejudice to any other means of recovery, by deducting it from any compensation payable to or in respect of him under this Part).

(4) In this regulation "the paying authority" means the authority who, in accordance with regulation 31, pay the compensation.

Interest on sums due under Part III
30.  - (1) Where all or part of any sum due under this Part by way of compensation is not paid before the expiry of the relevant period after the date on which it becomes payable, the paying authority shall pay the person to whom the sum is payable interest on the amount remaining unpaid, calculated at one per cent above base rate on a day to day basis from that date to the date of payment, and compounded with three-monthly rests.

(2) In paragraph (1) "the relevant period" means-

(a) in the case of compensation payable in the form of a lump sum, one month; and

(b) in the case of other compensation, one year.

Paying authority - general
31.  - (1) Compensation payable under these Regulations shall, subject to paragraphs (2) to (4) and regulation 32, be paid by the employing authority.

(2) The appropriate authority in relation to any person who is entitled to any compensation under this Part may agree with the employing authority to pay any compensation arising in respect of that person on their behalf and to recover the amount from them within such period (subject to paragraph (4)) and on such terms as the appropriate authority may determine. (SI2000/77)

(3) Compensation payable in the form of a lump sum may not be paid from the superannuation fund pension fund (SI1998/364) maintained by the appropriate authority under the Superannuation Regulations the LGPS Regulations (SI1998/364) or the Administration Regulations (SSI 2009/187).

(4) The amount of any other compensation paid by an appropriate authority on behalf of the employing authority from that superannuation fund pension fund (SI1998/364) shall be recovered from the employing authority within a period of two months from the payment.

(5) In this regulation any reference to the appropriate authority, in relation to any person, is a reference to the authority who are the administering authority in relation to him for the purposes of the Superannuation Regulations the LGPS Regulations (SI1998/364) or the Administration Regulations (SSI 2009/187) or who would be that authority in relation to him but for a relevant disqualification and on the relevant assumptions.

Paying authority on closure of certain educational establishments
32.  - (1) Where an eligible person was formerly employed in one of the educational establishments listed in paragraphs 6 and 7 of Schedule 3 to the Superannuation Regulations the LGPS Regulations (SI1998/364), the Secretary of State shall, on closure of that establishment, become liable to meet the cost of compensation, except where-

(a) the board of management of an educational establishment referred to in paragraph 6 of that Schedule is dissolved by an order made under section 25 of the Further and Higher Education (Scotland) Act 1992; and

(b) the order provides for transfer to any person or body of the liability to pay the compensation.

(2) For the purposes of paragraph (1) the date of closure-

(a) of an educational establishment referred to in paragraph 6 of that Schedule shall be the date with effect from which the board of management of the establishment is dissolved by an order made under section 25 of the Further and Higher Education (Scotland) Act 1992;

(b) of an educational establishment referred to in paragraph 7 of that Schedule shall be the date on which the board of management ceases to manage the school and the Secretary of State's duty to maintain the school ceases in accordance with section 31 of the Self-Governing Schools etc. (Scotland) Act 1989 or, if earlier, the date on which the Secretary of State ceases to maintain the school in accordance with section 33 of that Act.

Retrospective effect in certain cases
33. If the material date in respect of any person is before the date when these Regulations come into force and the person is credited with an additional period of service under regulation 8, regulations 9 to 32 and, so far as relevant, Parts I and VII shall have effect in respect of that person from the material date:

Provided that regulation 20(3) shall not have effect from a date earlier than 25th July 1996.