{
  "url": "https://openlegislation.uk/national-health-service-pension-scheme-regulations-2008/regulation-2.M.3",
  "json_url": "https://openlegislation.uk/national-health-service-pension-scheme-regulations-2008/regulation-2.M.3.json",
  "legislation": "uksi/2008/653",
  "legislation_title": "The National Health Service Pension Scheme Regulations 2008",
  "legislation_url": "https://openlegislation.uk/national-health-service-pension-scheme-regulations-2008",
  "path": "regulation/2.M.3",
  "kind": "regulation",
  "number": "2.M.3",
  "heading": "Approval Applications",
  "text": "(1) An Independent Provider may only make an approval application as an employing authority in respect of a qualifying contract.\n(2) An Independent Provider must apply for approval on either—\n(a) a “closed approval” basis which, if granted, covers an employee—\n(i) who is not otherwise covered by a direction made under section 7 of the Superannuation (Miscellaneous Provisions) Act 1967, and\n(ii) who is performing services pursuant to such a contract and who satisfies the wholly or mainly condition, and\n(iii) who was, within the twelve months preceding the date of entering into employment with the Independent Provider, in an employment in which that employee was entitled to participate in superannuation benefits provided under section 10 of the Superannuation Act 1972 whether or not that employee had actually been a member of this Section of the Scheme pursuant to that entitlement; or\n(b) an “open approval” basis which, if granted, covers any employee performing services pursuant to such a contract who satisfies the wholly or mainly condition and regardless of whether that employee would fall within sub-paragraph (a).\n(3) An approval application must—\n(a) be in writing;\n(b) be in a form that the Secretary of State may from time to time require;\n(c) contain—\n(i) a declaration that an employee of an Independent Provider who is, at the date of that application, already engaged in performing services pursuant to a qualifying contract satisfies the wholly or mainly condition;\n(ii) an undertaking that any person who on or after the date of approval is engaged to perform such services will do so in a way that complies with the wholly or mainly condition;\n(d) contain a declaration that the Independent Provider is not already an employing authority in respect of any employee referred to in paragraph (c);\n(e) provide such details as the Secretary of State may from time to time require of the qualifying contracts to which the Independent Provider is a party;\n(f) confirm that employing authority status is sought on a closed approval basis or, as the case may be, on an open approval basis;\n(g) where the Secretary of State has, prior to the approval of an application, notified the Independent Provider that an IP guarantee is required, contain such details of that guarantee as the Secretary of State may from time to time require;\n(h) provide an estimate, for the Scheme year in respect of which approval (if given) is to take effect, of—\n(i) the gross sums the Independent Provider anticipates receiving from the commissioning party in respect of the clinical services it is to provide under each qualifying contract it is a party to;\n(ii) the number of employees who will be engaged in performing services pursuant to each such qualifying contract and who will satisfy the wholly or mainly condition;\n(iii) the total pensionable pay of those employees referred to in paragraph (ii);\n(iv) the total member contributions payable by those employees pursuant to regulation 2.C.1 (broken down to correspond to the estimated tiers tabulated in regulation 2.C.2), 2.C.8 and 2.C.10;\n(v) the total employer contributions payable in respect of those employees pursuant to regulation 2.C.5 , 2.C.6 and 2.C.11;\n(vi) the total number of employees who would satisfy the wholly or mainly condition and who are engaged in performing services pursuant to each such qualifying contract but who are otherwise not eligible to be members of this Section of the Scheme;\n(vii) the total estimated pay of those employees referred to in paragraph (vi).\n(4) An approval application may nominate a date (“the nominated date”) from which approval by the Secretary of State (if granted) is to have effect.\n(5) Where paragraph (4) applies and—\n(a) the Secretary of State is satisfied that the Independent Provider will satisfy the conditions in paragraph (3) at the nominated date,\n(b) the Secretary of State accepts the nominated date for approval purposes, and\n(c) the nominated date is later than the date on which the Secretary of State approves the application,\napproval takes effect from the nominated date.\n(5A) Where paragraph (4) applies and—\n(a) the Secretary of State is satisfied that the Independent Provider did satisfy the conditions in paragraph (3) at the nominated date,\n(b) the Secretary of State accepts the nominated date for approval purposes,\n(c) the nominated date is earlier than the date on which the Secretary of State approves the application, and\n(d) the Secretary of State has received the contributions referred to in paragraphs (iv) and (v) of paragraph (3),\napproval takes effect from the nominated date.\n(6) Where an approval application—\n(a) does not include a nominated date, or\n(b) does include such a date, but which the Secretary of State does not accept for approval purposes,\napproval takes effect from the date that it is granted by the Secretary of State.\n(7) Where an Independent Provider has been granted employing authority status, any of its employees engaged in performing services pursuant to any qualifying contract in respect of which that approval was granted or extends under paragraph (8) or (9) and who satisfy the wholly or mainly condition, shall become ... officer members of this Section of the Scheme: this applies equally to any such employee who would, if otherwise a member of this Section of the Scheme, be subject to Part 3 of these Regulations.\n(8) Where an Independent Provider has been granted employing authority status in respect of one or more qualifying contracts, that approval and the basis on which it was granted automatically extends to any other qualifying contract to which the Independent provider is, or subsequently becomes, a party: approval in respect of any other qualifying contract takes effect from the date that other qualifying contract was entered into.\n(9) Where an Independent Provider is an associated Independent Provider (“AIP”) in relation to another Independent Provider (“IP1”) and IP1 has been granted employing authority status in respect of one or more qualifying contracts, that approval and the open or closed approval basis on which it was granted automatically extends to any qualifying contract to which—\n(a) AIP is a party: that extension takes effect from the date on which IP1 was granted approval;\n(b) AIP subsequently becomes a party: that extension takes effect from the date that contract is entered into.\nFor these purposes an Independent Provider is another provider’s AIP if that other Independent Provider exercises, or is able to exercise, or is entitled to acquire direct or indirect control over the AIP’s affairs.\n(10) Where an Independent Provider, having been granted employing authority status, subsequently becomes a party to another qualifying contract or that approval extends under paragraph (8) or (9) to another qualifying contract and that contract would have the effect of increasing its estimated contribution liability under regulations 2.C.5, 2.C.6, 2.C.8, 2.C.10 and 2.C.11 by 10% or more on the date on which approval in respect of that contract takes effect, the Secretary of State may require that Independent Provider to take any of the steps referred to in paragraph (11).\n(11) Those steps are to require the Independent Provider to—\n(a) increase the sum already guaranteed by the Independent Provider’s IP guarantee(or guarantees where it has more than one);\n(b) provide one or more further IP guarantees guaranteeing payment of a sum equal to the amount of the increase in the potential contribution liability;\n(c) guarantee, by way of one or more IP guarantees, payment of a sum equal to the total potential contribution liability in respect of both the contract or contracts in respect of which the Independent Provider was originally granted employing authority status and the subsequent qualifying contract where it was not previously required to provide one.",
  "extent": null,
  "status": null,
  "version": "current",
  "annotations": [
    {
      "type": "F",
      "label": "F1",
      "text": "Ch. 2.M inserted (1.4.2014) by The National Health Service Pension Scheme (Amendment) Regulations 2014 (S.I. 2014/570), regs. 1(2), 35 (with reg. 49)"
    },
    {
      "type": "F",
      "label": "F2",
      "text": "Reg. 2.M.3(2)(a)(ii) substituted (1.4.2017) by The National Health Service Pension Scheme and Additional Voluntary Contributions (Amendment) Regulations 2017 (S.I. 2017/275), regs. 1(2)(c), 20(2)"
    },
    {
      "type": "F",
      "label": "F3",
      "text": "Reg. 2.M.3(2)(a)(iii) inserted (1.4.2017) by The National Health Service Pension Scheme and Additional Voluntary Contributions (Amendment) Regulations 2017 (S.I. 2017/275), regs. 1(2)(c), 20(3)"
    },
    {
      "type": "F",
      "label": "F4",
      "text": "Word in reg. 2.M.3(3)(h)(v) inserted (with effect from 1.4.2014) by The National Health Service Pension Scheme (Amendment No.2) Regulations 2014 (S.I. 2014/1607), regs. 1(2), 13(2)(a)"
    },
    {
      "type": "F",
      "label": "F5",
      "text": "Word in reg. 2.M.3(3)(h)(vii) substituted (with effect from 1.4.2014) by The National Health Service Pension Scheme (Amendment No.2) Regulations 2014 (S.I. 2014/1607), regs. 1(2), 13(2)(b)"
    },
    {
      "type": "F",
      "label": "F6",
      "text": "Reg. 2.M.3(4)-(6) substituted (1.4.2016) by The National Health Service Pension Scheme, Injury Benefits and Additional Voluntary Contributions (Amendment) Regulations 2016 (S.I. 2016/245), regs. 1(2), 37 (with reg. 105)"
    },
    {
      "type": "F",
      "label": "F7",
      "text": "Word in reg. 2.M.3(7) omitted (with effect from 1.4.2014) by virtue of The National Health Service Pension Scheme (Amendment No.2) Regulations 2014 (S.I. 2014/1607), regs. 1(2), 13(3)"
    },
    {
      "type": "F",
      "label": "F8",
      "text": "Word in reg. 2.M.3(10) substituted (1.4.2015) by The National Health Service Pension Scheme, Injury Benefits and Additional Voluntary Contributions (Amendment) Regulations 2015 (S.I. 2015/96), regs. 1(2), 35"
    }
  ],
  "outstanding_effects": [],
  "provenance": {
    "source": "legislation.gov.uk",
    "source_url": "https://www.legislation.gov.uk/uksi/2008/653/regulation/2.M.3",
    "retrieved_at": "2026-10-29T03:34:22.381913+00:00"
  },
  "licence": "Open Government Licence v3.0",
  "licence_url": "https://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/",
  "attribution": "Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives."
}