Administering Authority Discretions Policy
|
Regulation |
Description |
Existing policy |
|
30(8) LGPS Regulations 2013 |
Whether to waive, in whole or in part, actuarial reduction on benefits accrued from 1 April 2014 only when a member voluntarily draws them before normal pension age in the event that the member’s former employer is no longer a scheme employer.
Whether to waive, in whole or in part, actuarial reduction on benefits which a member draws on flexible retirement |
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |
|
55 LGPS Regulations 2013 |
To publish Governance Compliance Statement |
Governance and compliance statement published following June Pension Board/Committee meetings |
|
58 LGPS Regulations 2013 |
Decide on funding strategy for inclusion in funding strategy statement |
Published on Fund website |
|
61 LGPS Regulations 2013 |
To publish a Communication Policy in accordance with this regulation |
Published on Fund website |
|
3 (13) LGPS (Transitional Provisions and Savings) Regs 2014
70(1) and (71(4)(c ) LGPS (Administration) Regulations 2008
109 and 110 (4)(b) LGPS Regs 1997
|
Decide policy on abatement of pre 1 April 2014 element of pensions in payment following re-employment |
Abatement policy published on Fund website |
|
Sch 2 para 1 LGPS (Transitional Provisions and Savings) Regs 2014 |
Whether to “switch on” the 85 year rule for a member voluntarily drawing benefits on or after age 55 and before age of 60 where the employer no longer exists. This applies under the Local Government Pension Scheme Regulations 2013 only (i.e. currently does not apply to the early payment of deferred benefits payable under earlier regulations).
|
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |
|
30(2) and 30A(3) LGPS (Benefits, Membership and Contributions) Regs 2007
|
Consenting to the immediate payment of benefits for members aged between 55 and 60 where the member’s former employer is no longer a scheme employer |
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |
|
30(5) and 30A(5) LGPS (Benefits, Membership and Contributions) Regs 2007
|
To waive actuarial reduction where former employer is no longer a scheme employer |
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |
|
4(2)(b) LGPS Regs 2013 |
No policy – Care Quality Commission already admitted |
|
|
3(5) and Sch 2, Part 3, Para 1 LGPS Regs 2013
|
Whether to agree to an admission agreement with a body applying to be an admission body |
Under delegation of powers with CFO |
|
Sch 2, Part 3, Para 14 LGPS Regs 2013 |
Whether to agree that an admission agreement may take effect on a date before the date on which it is executed |
Admission agreements will generally take effect from the time employees gain an entitlement to join the LGPS |
|
Sch 2, Part 3, Para 12(a) LGPS Regs 2013
|
Define what is meant by employed in connection with the provision of service or assets |
No policy |
|
Sch 2, Part 3, Para 9(d) LGPS Regs 2013
|
Whether to terminate a transferee admission agreement in the event of:
· Insolvency, winding up or liquidation of the body · Breach by that body of its obligations under the admission agreement · Failure by that body to pay over sums due to the Fund within a reasonable period of being requested to do so
|
Covered in Funding Strategy Statement (FSS) |
|
16(1) LGPS Regs 2013 |
Whether to turn down a request by a member to pay and Additional Pension Contribution or Shared Cost Additional Pension Contribution over a period of time where it would be impractical to allow such a request (eg were the sum being paid is very small and could be paid as a single payment)
|
No policy |
|
16(10) LGPS Regs 2013 |
Whether to require a satisfactory medical before agreeing to an application to pay an Additional Pension Contribution or Shared Cost Annual Pension Contribution and whether to turn down application if not in good health.
|
No policy |
|
17(12) LGPS Regs 2013 |
Decide to whom any AVC/Shared Cost AVC monies (including life assurance policies) are to be paid on death of the member
|
No specific policy – Death Payment Policy contains decision making methodology |
|
40(2), 43(2) and 46(2) LGPS Regs 2013
17(5) to (8) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
23(2), 32(2), 35(2) LGPS (Benefits, Membership and Contributions) Regulations 2007
38(1) & 155(4) LGPS Regulations 1997
E8 LGPS Regulations 1995
|
Decide to whom a death should be paid |
Death Payment Policy covers decision making process |
|
32(7) LGPS Regs 2013 |
Whether to extend the time limits which a member must give notice of the wish to draw benefits before Normal Pension Age or upon flexible retirement
|
No policy |
|
34(1) LGPS Regs 2013
39 LGPS (Benefits, Membership and Contributions) Regs 2007
49 and 156 LGPS Regs 1997
|
Decide whether to commute small pension |
No policy |
|
36(3) LGPS Regulations 2013
56(2) LGPS (Administration) Regs 2008
97(10) LGPS Regs 1997
|
Approve medical advisors used by employers (for ill health benefits) |
Independent Registered Medical Professional (IRMP) Policy published on Fund website |
|
38(3) LGPS Regs 2013
31(4) LGPS (Benefit, Membership and Contributions) Regs 2007
|
Decide whether a deferred beneficiary meets the criteria required to qualify for ill-health retirement in cases where the member’s former employer is no longer a scheme employer. |
East Sussex CC IRMP would be used with the Administering Authority arranging the appointment. Covered in ill health policy. |
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38(5) LGPS Regs 2013
31(7) LGPS (Benefit, Membership and Contributions) Regs 2007
|
Decide whether a suspended ill-health tier 3 member is unlikely to be capable on undertaking gainful employment before normal pension age because of ill health (where Employer has become defunct)
|
East Sussex CC IRMP would be used as appropriate with the Administering Authority arranging the appointment |
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49(1)(c) LGPS Regs 2013
42(1)(c) LGPS (Benefits, Membership and Contributions) Regs 2007
|
Decide, in the absence of an election from the member, which benefit is to be paid where the member would be entitled to a benefit under 2 or more regulations in respect of the same period of Scheme membership |
No policy |
|
54(1) LGPS Regs 2013
|
Whether to set up a separate admission agreement fund |
No policy |
|
59(1) and (2) LGPS Regs 2013 |
Whether to have a Pension Administration Strategy and, if so, the matters it should include.
|
Pension Administration Strategy (PAS) is published of Fund website |
|
22(3)(c) LGPS Regs 2013 |
Member pension accounts may be kept in such form as is considered appropriate.
|
Pension accounts will be kept in most appropriate form |
|
64 (2A) LGPS Regs 2013 |
Whether to suspend, for up to 3 years, an employer’s obligation to pay an exit payment where the employer is again likely to have active members within the specified period of suspension
|
Contained in cessation policy |
|
64(4) LGPS Regs 2013 |
Whether to obtain revision of employer’s contribution rate if there are circumstances which make it likely a scheme employer will become an exiting employer
|
Contained in FSS |
|
68(2) LGPS Regulations 2013
80(5) LGPS Regs 1997
|
Whether to require employers to pay for pension strain when benefits are drawn early or with a reduced deduction |
Contained in FSS |
|
69(1) LGPS Regs 2013 |
Decide frequency of payments to be made over to Fund by employers and whether to make an administration charge
|
Contained in PAS |
|
69(4) LGPS Regs 2013 |
Decide form and frequency of information to accompany payments to the Fund
|
Determined by I-Connect process |
|
70 LGPS Regs 2013
22(2) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
|
Whether to issue employer with notice to recover additional costs incurred as a result of the employer’s level of performance |
Contained in PAS |
|
71(1) LGPS Regs 2013 |
Whether to charge interest of payments by employers which are overdue
|
Contained in PAS |
|
74(4) LGPS Regs 2013 |
Whether to increase the amount of time to make an application to the Internal Dispute Resolution Procedure (IDRP)
|
IDRP Published on Fund website |
|
74(6) LGPS Regs 2013 |
Decide procedure to be followed by the Adjudicator when exercising Stage One functions and decide the manner in which those functions are to be exercised
|
IDRP Published on Fund website |
|
76(4) LGPS Regs 2013
60(8) LGPS (Administration) Regs 2008
99 LGPS Regs 1997
|
Decide procedure to be followed by admin authority when exercising its stage 2 IDRP functions and decide the manner in which those functions are to be exercised |
IDRP published on Fund website |
|
79(2) LGPS Regs 2013
63(2) LGPS (Administration) Regs 2008
105(1) LGPS Regs 1997
|
Whether Admin Authority should appeal against employer decision (or lack of decision) |
No policy |
|
80 (1)(b) LGPS Regs 2013
22(1) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
64(1)(b) LGPS (Administration) Regs 2008
|
Specify information to be supplied by employers to enable admin authority to discharge its functions |
Combined with PAS |
|
31(2) LGPS Regs 2013 |
Determine whether to pay annual compensation on behalf of an employer and recharge the payment to an employment
|
Would not normally agree |
|
91(6) LGPS Regs 2013 |
Timing of pension increase payments by employers to the administering authority
|
No policy |
|
64(2ZA) LGPS Regs 2013 |
Whether to extend the period beyond 3 months from the date an Employer ceases to be a Scheme Employer, by which to pay an exit credit
|
To be determined on case by case basis |
|
82(2) LGPS Regs 2013
52(2) LGPS (Administration) Regs 2008
95 LGPS Regs 1997
|
Whether to pay Death Grant due to personal representatives or anyone appearing to be beneficially entitled to the estate without need for grant of probate/letters of administration where payment is less than the amount specified in s6 Administration of Estates (Small Payments) Act 1965 |
General decision-making process defined in Death Payment Policy |
|
83 LGPS Regs 2013
52A LGPS (Administration) Regs 2008
|
Whether, where a person (other than eligible child) is incapable of managing their affairs, to pay the whole or part of that person’s pension benefits to another person for their benefit |
No policy |
|
98(1)(b) LGPS Regs 2013
|
Agree to bulk transfer payment |
Included in FSS |
|
98(4)(a) LGPS Regs 2013 |
Whether to agree to set aside bulk transfer assets
|
No policy |
|
99 (1) & (2) LGPS Regs 2013 |
Determine the amount of, and adjustments to, bulk transfer process
|
Decided on case by case basis |
|
99(5) LGPS Regs 2013 |
For bulk transfers, to determine who should bear the actuarial costs (where more than one employer is involved
|
Decided on case by case basis |
|
100(6) LGPS Regs 2013 |
Extend normal timeframe for acceptance of a transfer value beyond 12 months from joining the LGPS (in agreement with the employer)
|
No policy |
|
100(7) LGPS Regs 2013 |
Allow transfer of non-club pension rights into Fund
|
Implied in FSS |
|
105(2) LGPS Regs 2013 |
Decide whether to delegate any administering authority functions under the Regulations
|
Table 5, part 3 of ESCC Constitution |
|
106(3) LGPS Regs 2013 |
Decide whether to establish a Joint Pension Board (where permission granted by the Secretary of State)
|
No ambition to create Joint Local Pension Board |
|
106(6) LGPS Regs 2013 |
Establish procedures applicable to the Pension Board, including the establishment of sub-committees, formation of joint committees and payment of expenses
|
Terms of reference published on ESCC website |
|
107(1) LGPS Regs 2013 |
Determine the membership of the Local Pension Board, appointment method and terms of membership
|
Terms of reference published on ESCC website |
|
2 The Registered Pension Schemes (Modification of Scheme Rules) Regulations 2011 |
To decide whether to offer voluntary scheme pays facility to members who have an annual allowance tax charge; and, if so, decide the circumstances upon which it would do so
|
No formal policy – reviewed on case by case basis |
|
Schedule 1 LGPS Regs 2013
17(9) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
|
Decide to treat a child as being in continuous education or vocational training despite a break |
No policy |
|
Schedule 1 LGPS Regs 2013
17(9)(b) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
25 LGPS (Benefits, Membership and Contributions) Regs 2007
|
Decide evidence required to determine financial dependence of cohabiting partner on scheme member or financial interdependence of cohabiting partner and scheme member |
No policy |
|
3(1) and Sch.2 LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
|
In the event that a deferred member is drawing benefits early and that member’s former employer is no longer a scheme employer to determine whether:
To waive any reductions that would apply to the member’s service which is fully protected for the rule of 85 on compassionate grounds
To waive any reductions that would apply to a member’s service which is not fully protected for the rule of 85 on any grounds whatsoever
|
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |
|
Sch.2 Para 2(3) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014 |
Whether to require any strain on Fund costs to be paid “up front” by employing authority if the employing authority “switches on” the 85 year rule for a member voluntarily retiring (other than in flexible retirement) prior to age , or waives an actuarial reduction.
|
No policy |
|
3(6), 4(6)(c ), 8(4), 10(2)(a), 17(2)(b) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
10 LGPS (Benefits, Membership and Contributions) Regs 2007
Sch. 1 LGPS (Transitional Provisions) Regs 2008
23(9) LGPS Regs 1997
|
Where a member to whom Reg 10 of the LGPS (Benefits, Membership and Contributions) Regs 2007 applies (use average of 3 years pay for final pay purposes) dies before making an election, whether to make that election on behalf of the dead member. Or, where a member has a certificate of protection in place in respect of a pay cut or restriction prior to April 2008 and dies before making an election, to make an election on behalf of the member |
No policy |
|
10(9) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014 |
Decide, in the absence of an election from the member within 12 months of ceasing a concurrent employment, which ongoing employment benefits from the concurrent employment which has ceased should be aggregated (where there is more than one ongoing employment).
|
No policy |
|
15(1)(b) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
66(9)(b) LGPS Regs 1997
|
Allow late application to convert scheme AVCs into membership credit i.e. allow application more than 30 days after cessation of active membership (where arrangement was entered into before 13 November 2001) |
No policy |
|
15(1)(c) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
Sch. 1 LGPS (Transitional Provisions) Regs 2008
83(5) LGPS Regs 1997 |
Extend time for capitalisation of added years contract |
No policy |
|
15(1)(d) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
28(2) LGPS (Administration) Regs 2008
|
Whether to charge member for provision of estimate of additional pension that would be provided by the Scheme in return for transfer of in-house AVC/SCAVC funds (where AVC/SCAVC arrangement was entered into before 1/4/14) |
No policy |
|
27(5) LGPS (Benefits, Membership and Contributions) Regs 2007
47 LGPS Regs 1997
G11(2) LGPS Regs 1995
|
Payment of a child’s pension to another person |
No policy |
|
45(3) LGPS (Administration) Regs 2008
89(3) LGPS Regs 1997
|
Outstanding employee contributions can be recovered as a simple debt or deduction from benefits |
No policy |
|
106A(5) LGPS Regs 2013 |
Date to which benefits shown on an annual deferred benefit statement are calculated. |
Benefit calculations based on 31 March data |
|
47(1) LGPS Regs 1997
G11(1) LGPS Regs 1995
|
Apportionment of children’s pensions |
No policy |
|
50 and 157 LGPS Regs 1997
|
Commute benefits due to exceptional ill health |
No policy |
|
118 LGPS Regs 1997 |
Retention of Contribution Equivalent Premium where member transfers out for pre 1 April 2008 leavers
|
No policy |
|
147 LGPS Regs 1997 |
Discharge Pension Credit liability (in respect of Pension Sharing Orders for pre 1 April 2008 leavers)
|
No policy |
|
F7(1) LGPS Regs 1995 |
Suspension of spouses’ pensions during remarriage or cohabitation |
No policy |
|
31(5) LGPS Regs 2013
Sch 2, paragraph 2(1) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014 |
Waive, on compassionate grounds, the actuarial reduction applied to deferred benefits paid early |
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |
|
3(5A) LGPS (Transitional Provisions, Savings and Amendments) Regulations 2014
4 The Local Government Pension Scheme (Transitional Provisions) Regulations 1997
106 The Local Government Pension Scheme Regulations 1997 |
Grant application for early payment of deferred benefits on or after age 50 on compassionate grounds |
Decided on a case by case basis by reference to employer policy (it is mandatory for the Employer to have a policy) |