The Education Development Plans (Wales) Regulations 1999

PART I GENERAL

Citation, commencement and application

1.—(1) These Regulations may be cited as the Education Development Plans (Wales) Regulations 1999 and shall come into force on 16th June 1999.

(2) These Regulations apply only in relation to local education authorities in Wales.

Interpretation

2.—(1) In these Regulations, unless the context otherwise requires–

“the 1996 Act” means the Education Act 1996(1);

“the 1998 Act” means the School Standards and Framework Act 1998;

“the 1998 Regulations” means the Education (School Performance Targets) (Wales) Regulations 1998(2);

“the 1999 Regulations” means the Financing of Maintained Schools Regulations 1999(3);

“to achieve the Core Subject Indicator” means–

(i)

in relation to second key stage pupils, that those pupils are to be assessed as having achieved level 4 or above in NC tests for that key stage in English or Welsh (other than Welsh second language) and in both mathematics and science,

(ii)

in relation to third key stage pupils, that those pupils are to be assessed as having achieved level 5 or above in NC tests for that key stage in English or Welsh (other than Welsh second language) and in both mathematics and science, and

(iii)

in relation to pupils who will attain the age of 16 years during the school year in question, that those pupils are to have achieved any grade from A* to C in a GCSE examination in English or Welsh (other than Welsh second language) and in both a GCSE examination in mathematics and a GCSE examination in science;

“annexes” means annexes to a statement of proposals comprising part of an education strategic plan;

“the Assembly” means the National Assembly for Wales(4);

“authority” means local education authority;

“CoEA” means Certificate of Educational Achievement;

“the core subjects” has the meaning given to it in section 354(1) of the 1996 Act;

“education strategic plan” means an education development plan prepared by an authority in accordance with section 6(1) of the 1998 Act;

“the first day of the plan” in relation to an education strategic plan means the first day of the period to which that plan relates;

“full plan” means an education strategic plan to be prepared by an education authority dealing with the matters and containing the material specified in Parts II and III of these regulations;

“GCSE” means a General Certificate of Secondary Education, and “GCSE examination” means an examination, the course leading to which is a full GCSE course of study;

“GCSE short course” means a GCSE course designed to cover a proportion only (being not less than half) of the corresponding full GCSE course of study, and to which the same grading standards are applied, and “GCSE short course examination” means an examination, the course leading to which is a GCSE short course;

“GNVQ” means a General National Vocational Qualification;

“interim year” means a school year beginning either one or two years after the expiration of the first school year in the period of a full plan and “first interim year” and “second interim year” shall be construed accordingly;

“key stage 2” and “key stage 3” mean the periods specified in paragraphs (b) and (c) respectively of section 355(1) of the 1996 Act;

“level 4” and “level 5” mean levels 4 and 5 respectively of the National Curriculum level scale as determined by the results of NC tests;

“maintained school” means, in the period ending immediately before 1st September 1999, a county, voluntary or maintained special school or a grant-maintained or grant-maintained special school and, in relation to any time on or after 1st September 1999, means a community, foundation or voluntary school or a community or foundation special school;

“NC tests” means National Curriculum tests administered to pupils for the purpose of assessing the level of attainment which they have achieved in English, Welsh, science or mathematics, being tests laid down in provisions made by the Secretary of State or the Assembly under the appropriate order made under section 356(2) of the 1996 Act in force when those tests are administered(5);

“NVQ” means National Vocational Qualification;

“period of the plan” means the period specified in regulation 3;

“pupil” has the meaning given to it in section 3 of the 1996 Act;

“school year” means a period of one year beginning on 1st September;

“Schools' Census enumeration date” means the date by reference to which the Secretary of State or the Assembly annually requires information to be provided relating to maintained schools in Wales pursuant to section 29(1) of the 1996 Act;

“schools maintained by the authority” do not include schools which are not maintained schools as defined herein;

“second key stage pupils” and “third key stage pupils” mean pupils who are in the second and third key stages respectively;

“special educational needs” has the meaning given to it by section 312(1) of the Education Act 1996;

“supplementary plan” means an education strategic plan dealing with the matters and containing the material specified in Part IV of these regulations; and

“vocational qualification” means–

(a)

a Part One GNVQ,

(b)

an Intermediate GNVQ,

(c)

a Foundation GNVQ,

(d)

a GNVQ Language Unit, or

(e)

an NVQ,

approved under section 400 of the 1996 Act or section 37 of the Education Act 1997(6).

(2) In these Regulations a reference–

(a) to a numbered regulation is to the regulation in these Regulations bearing that number;

(b) in a regulation or Schedule to a numbered paragraph is to the paragraph in that regulation or Schedule bearing that number;

unless the context requires otherwise.

(3) Any reference in these Regulations to a pupil achieving–

(a) a grade in a GCSE examination,

(b) a vocational qualification, or

(c) a grade in a GCSE short course examination,

by the end of a school year, shall be construed as a reference to that pupil achieving that grade or qualification in the school year in which he–

(i) takes that examination, or

(ii) (as the case may be) completes the course leading to the award of that qualification,

and irrespective of whether the decision to award the grade or qualification is made in a later school year.

Period to which the statement of proposals must relate

3.—(1) The statement of proposals in the first full plan must relate to a period of 3 school years beginning on 1st September 1999.

(2) The statement of proposals in a subsequent full plan must relate to a period of 3 school years, beginning at the expiration of the period of the most recent previous full plan.

(3) The statement of proposals in a supplementary plan for the first interim year must relate to a period of 3 school years beginning at the expiration of the first school year in the period of the most recent full plan.

(4) The statement of proposals in a supplementary plan for the second interim year must relate to a period of 3 school years beginning at the expiration of the second school year in the period of the most recent full plan.

Submission of education strategic plans to the Secretary of State or the Assembly

4.—(1) Each authority must–

(a) submit its first full plan to the Secretary of State on or before 30th June 1999; and

(b) submit a subsequent full plan to the Assembly on or before 30th April preceding the first day of that plan.

(2) Each authority must submit a supplementary plan to the Assembly on or before 30th April preceding each interim year.

Publication of the education strategic plan

5.—(1) Each authority must publish a full copy of its approved plan by–

(a) making it available for inspection at the authority’s offices, and

(b) laying it before the Assembly,

on or before the first day of the plan, or as soon as reasonably practicable after the plan has been approved, if later.

(2) Each authority must provide a copy of its approved plan, or a summary version thereof, to–

(a) the head teacher and chair of the governing body of every school maintained by the authority; and

(b) any other person on the written request of that person.

(3) In this regulation “approved plan” means a full, supplementary or modified education strategic plan, in which the statement of proposals has been approved under section 7(2) or 7(8) of the 1998 Act, and “approved” in relation to such a plan shall be construed accordingly.

PART II FULL PLANS—STATEMENT OF PROPOSALS

Priorities for school improvement

6.  The statement of proposals in a full plan shall–

(a) set out the priorities identified by the authority for raising the standards of education provided for children in the authority’s area during the period of the plan and for improving the performance of schools maintained by the authority during that period;

(b) specify in respect of each of the priorities identified in accordance with paragraph (a) the basis on which it was identified and how it will contribute to achieving the targets referred to in regulation 8;

(c) in respect of each of the priorities identified in accordance with paragraph (a) list the activities the authority propose to undertake during the period of the plan to address that priority; and

(d) contain a statement setting out how the authority intend to identify and support schools, the performance of whose pupils is low or is lower than the authority believe should be the case.

Pupils with special educational needs

7.  The statement of proposals in a full plan shall–

(a) set out the authority’s policy on the provision of education to pupils with special educational needs;

(b) set out the authority’s policy for provision of education to such pupils in mainstream schools;

(c) specify the authority’s proposals for providing and improving support for pupils with special educational needs during the period of the plan; and

(d) specify the authority’s proposals for promoting their policy on inclusion of pupils with special educational needs in mainstream schools during the period of the plan.

Final, reviewed and provisional targets

8.—(1) The statement of proposals in a full plan shall specify targets to be set by the authority in connection with the matters referred to in paragraph (2), as follows–

(a) final targets for the first school year in the period of the plan;

(b) reviewed targets for the second school year in the period of the plan; and

(c) provisional targets for the third school year in the period of the plan.

(2) The matters referred to in paragraph (1) are–

(a) the achievements of second key stage pupils as set out in regulation 9;

(b) the achievements of third key stage pupils as set out in regulation 10;

(c) the achievements of pupils who will attain the age of 16 years as set out in regulation 11;

(d) the percentage of pupils not entered for examinations as set out in regulation 12;

(e) the number of permanent exclusions as set out in regulation 13;

(f) where a previous supplementary plan contains targets for fixed term exclusions, the number of fixed term exclusions as set out in regulation 14; and

(g) where a previous supplementary plan contains targets for unauthorised absences, the number of unauthorised absences as set out in regulation 15.

Pupils in the second key stage

9.—(1) The achievements of second key stage pupils referred to in regulation 8 are the achievements set out in paragraph (2) in connection with the performance of the relevant group of such pupils in NC tests to be administered to that group at or near the end of each of the school years in respect of which the target is to be set.

(2) The achievements referred to in paragraph (1) are–

(a) for each of the core subjects, the percentage of pupils to achieve level 4 or above in such tests in that subject;

(b) the percentage of pupils to achieve the core subject indicator in such tests;

(c) the percentage of girls to achieve the core subject indicator in such tests; and

(d) the percentage of boys to achieve the core subject indicator in such tests.

(3) In this regulation, “the relevant group of such pupils”, in relation to a school year, means all persons who the authority estimate will, in that school year–

(a) be registered pupils at a school maintained by the authority, and

(b) be in the final year of the second key stage.

Pupils in the third key stage

10.—(1) The achievements of third key stage pupils referred to in regulation 8 are the achievements set out in paragraph (2) in connection with the performance of the relevant group of such pupils in NC tests to be administered to that group at or near the end of each of the school years in respect of which the target is to be set.

(2) The achievements referred to in paragraph (1) are–

(a) for each of the core subjects, the percentage of pupils to achieve level 5 or above in such tests in that subject;

(b) the percentage of pupils to achieve the core subject indicator in such tests;

(c) the percentage of girls to achieve the core subject indicator in such tests; and

(d) the percentage of boys to achieve the core subject indicator in such tests.

(3) In this regulation, “the relevant group of such pupils”, in relation to a school year, means all persons who the authority estimate will, in that school year–

(a) be registered pupils at a school maintained by the authority, and

(b) be in the final year of the third key stage.

Pupils who will attain the age of 16 years

11.—(1) The achievements of pupils who will attain the age of 16 years referred to in regulation 8 are the achievements referred to in paragraph (2) in connection with the performance of the relevant group of pupils who will attain the age of 16 years in examinations by the end of each of the school years in respect of which the targets are being set.

(2) The achievements referred to in paragraph (1) are–

(a) the percentage of pupils to achieve the core subject indicator;

(b) the percentage of girls to achieve the core subject indicator;

(c) the percentage of boys to achieve the core subject indicator;

(d) the percentage of pupils to achieve any grade from A* to C in five or more subjects in GCSE examinations;

(e) the percentage of pupils to achieve any grade from A* to G in five or more subjects in GCSE examinations; and

(f) the percentage of pupils to leave school without either achieving any grade from A* to G in GCSE examinations or passing any CoEA examinations.

(3) The references to pupils achieving particular grades in GCSE examinations in paragraph (2)(d), (e) and (f) shall be construed for the purpose of those provisions so as to include references to pupils achieving corresponding awards in an equivalent number of vocational qualifications or GCSE short course examinations.

(4) The Schedule shall have effect for determining, for the purposes of this regulation, questions as to–

(a) which vocational qualification award corresponds to which GCSE examination grade;

(b) the equivalency between GCSE examination results and vocational qualifications; and

(c) the equivalency between GCSE examination results and GCSE short course examination results.

(5) In this regulation and in regulation 12, “the relevant group of pupils who will attain the age of 16 years”, in relation to a school year, means all persons who the authority estimate–

(a) will on the Schools' Census enumeration date in that school year be registered pupils at a school maintained by the authority, and

(b) will attain the age of 16 during that school year.

12.  The percentage of pupils not entered for examinations referred to in regulation 8 is the percentage of the relevant group of pupils who will attain the age of 16 years, as defined in regulation 11, in the authority’s area who are not to be entered for any GCSE examination, GCSE short course examination, vocational qualification award or CoEA.

Targets for permanent exclusions

13.—(1) The number of permanent exclusions referred to in regulation 8 is the maximum number of pupils which the authority estimate will be permanently excluded from schools maintained by the authority, other than any school situated in a hospital.

(2) In this regulation and in regulation 14, “excluded” shall be interpreted in accordance with section 64(4) of the 1998 Act(7).

Targets for fixed term exclusions

14.  The fixed term exclusions referred to in regulation 8 are–

(a) the maximum total number of days for which, and

(b) the maximum total number of occasions on which,

the authority estimate that pupils will be excluded for a fixed term from schools maintained by the authority, other than any school situated in a hospital.

Targets for unauthorised absences

15.—(1) The unauthorised absence rate referred to in regulation 8 is the unauthorised absence rate for each of the school years in respect of which the target is being set, in schools maintained by the authority which provide secondary education, other than special schools and any school situated in a hospital.

(2) In this regulation–

(a) “the unauthorised absence rate”, in relation to an authority and to any school year, means the total number of unauthorised absences from schools maintained by the authority in the applicable period during that year, expressed as a percentage of the total number of possible attendances in that period;

(b) “unauthorised absence” means an occasion on which a relevant day pupil is registered as absent from school without authority pursuant to the Education (Pupil Registration) Regulations 1995(8);

(c) “the total number of possible attendances”, in relation to an authority and to any school year, means the number produced by multiplying the number of relevant day pupils at schools maintained by the authority by the number of school sessions in the applicable period in that year;

(d) “relevant day pupil”, in relation to a school and to a school year, means a pupil registered at that school apart from–

(i) a boarder, or

(ii) a pupil who, before the beginning of that school year, either has not attained the age of ten years and six months, or has attained the age of sixteen years;

(e) “the applicable period”, in relation to a school year, means the period starting with the beginning of that year and finishing with the end of the school day falling on the Friday before the last Monday in May in that year; and

(f) “secondary education” has the meaning given to it in section 2(2) of the 1996 Act.

Information used by an authority in the setting of targets

16.  The statement of proposals in a full plan shall–

(a) describe the way in which each of the targets for any year set by the authority by virtue of regulation 8 relate to any corresponding targets for that year set by the governing bodies of schools maintained by that authority by virtue either of the 1998 Regulations or of regulations made under section 63 of the 1998 Act(9);

(b) describe the way in which the authority engages with schools maintained by the authority to assist the governing bodies of such schools to set the targets they are required to set by virtue of the 1998 Regulations, including a description of the information given by the authority to such governing bodies to assist them to set those targets;

(c) describe the way in which each of the targets for any year set by the authority by virtue of regulation 8 relate to any national targets which the Secretary of State or (after 30th June 1999) the Assembly has set for maintained schools in Wales; and

(d) summarise the information used by the authority in setting the targets referred to in regulation 8.

PART III FULL PLAN—ANNEXES

Local education authority context

17.  The annexes in a full plan shall include a statement by the authority giving a description of the key characteristics of the authority which the authority consider relevant to the improvement of, and the raising of standards in, schools in its area.

Resources

18.  The annexes in a full plan shall include the following tables–

(a) a table showing the authority’s planned expenditure, to be deducted from their local schools budget, for the financial year in which the first day of the plan falls, in respect of the priorities set out in the statement of proposals in accordance with regulation 6(a), broken down by reference to expenditure, in the following categories–

(i) the expenditure referred to in paragraphs 1 and 2 of Schedule 2 to the 1999 Regulations (expenditure supported by specific grants),

(ii) the expenditure referred to in paragraphs 3 to 15 of Schedule 2 to the 1999 Regulations (provision of a specialised nature), and

(iii) the expenditure referred to in paragraph 20–23 of Schedule 2 to the 1999 Regulations (school improvement); and

(b) a table showing the amounts of expenditure in the financial year in which the first day of the plan falls, in respect of each of the priorities set out in the statement of proposals in accordance with regulation 6(a), which the authority anticipate will be met from the budget shares allocated under section 47 of the 1998 Act to schools maintained by the authority.

Supplementary information on pupils with special educational needs

19.—(1) The annexes in a full plan shall include a table showing–

(a) the number of statemented pupils for whom the authority were providing education in each of the three school years immediately prior to the period of the plan;

(b) the number of pupils determined in accordance with sub-paragraph (a) expressed as a percentage of total pupils in the same school year;

(c) the number of non-statemented pupils for whom the authority were providing education in the school year ending immediately prior to the period of the plan;

(d) the total number of pupils with special educational needs in the school year ending immediately prior to the period of the plan determined in accordance with sub-paragraphs (a) and (c) expressed as a percentage of total pupils in the same school year;

(e) the number of statemented pupils registered as pupils at mainstream schools maintained by the authority in the school year ending immediately prior to the period of the plan;

(f) the number of statemented pupils determined in accordance with sub-paragraph (e) expressed as a percentage of the total number of pupils with special educational needs in the same school year determined in accordance with sub-paragraphs (a) and (c);

(g) the number of registered pupils in special schools maintained by the authority in the school year ending immediately prior to the period of the plan;

(h) the number of pupils determined in accordance with sub-paragraph (g) expressed as a percentage of total pupils in the same school year; and

(i) the total number of pupils with special educational needs in the school year ending immediately prior to the period of the plan who were registered as pupils–

(i) at schools maintained by other authorities, and

(ii) at independent schools.

(2) In this regulation–

(a) “statemented pupils” means pupils with special educational needs in respect of whom a statement has been made under section 324 of the Education Act 1996 and “non-statemented pupils” means pupils with special educational needs in respect of whom no such statement has been made;

(b) “total pupils” means the total number of pupils for whom the authority provides education; and

(c) in this regulation, all references to a number of pupils in relation to a school year are references to the number of those pupils on the Schools' Census enumeration date in that school year.

20.  The annexes in a full plan shall include a statement describing the authority’s arrangements for monitoring educational standards achieved by pupils with special educational needs.

Monitoring and evaluating

21.  The annexes in a full plan shall include an explanation of the way in which the authority propose to monitor and evaluate–

(a) their activities and achievements in relation to the targets referred to in regulation 8 and the priorities and activities referred to in regulation 6, including the way in which the authority propose to monitor and evaluate the achievements of schools maintained by the authority, including pupil referral units and maintained nursery schools in their area; and

(b) the authority’s use of resources in support of the plan.

Consultation by the authority

22.  The annexes in a full plan shall include a description of the consultation undertaken by the authority in preparing the plan including, in particular–

(a) the number and types of person consulted;

(b) a summary of the consultation responses; and

(c) the ways, if any, in which those responses have been reflected in the plan.

Structure of the authority

23.  The annexes in a full plan shall include a description of–

(a) the authority’s committee structure relevant to the provision of the education service; and

(b) the authority’s organisational structure relevant to provision of the education service and support for school improvement.

PART IV SUPPLEMENTARY PLANS

Final, reviewed and provisional targets

24.—(1) The statement of proposals contained in a supplementary plan shall specify targets to be set by the authority, in connection with the matters referred to in paragraph (2), as follows–

(a) final targets for the first school year in the period of the plan;

(b) reviewed targets for the second school year in the period of the plan; and

(c) provisional targets for the third school year in the period of the plan.

(2) The matters referred to in paragraph (1) are–

(a) the achievements of second key stage pupils as set out in regulation 9,

(b) the achievements of third key stage pupils as set out in regulation 10,

(c) the achievements of pupils who will attain the age of 16 years as set out in regulation 11,

(d) the percentage of pupils not entered for examinations as set out in regulation 12,

(e) the number of permanent exclusions as set out in regulation 13,

(f) the fixed-term exclusions as set out in regulation 14, and

(g) the unauthorised absence rate as set out in regulation 15,

except that in each of the regulations referred to the words “regulation 24” shall be substituted for the words “regulation 8”.

Relationship between unauthorised absence targets set by authorities and schools

25.  Where neither the most recent full plan nor the most recent supplementary plan (if any) contains a description of the way in which the target for any year set by the authority in connection with the unauthorised absence rate, as defined in regulation 15(2), relates to any corresponding target for that year set by the governing bodies of schools maintained by the authority by virtue of regulations made under section 63 of the 1998 Act(10), then the annexes in a supplementary plan shall contain such a description.

Monitoring and evaluation

26.  The annexes in a supplementary plan shall include an assessment by the authority of–

(a) the extent to which actual figures for the most recent year available for those matters in respect of which the authority has set final targets, show that those final targets were met;

(b) the extent to which reviewed and provisional targets for specific years as set in the authority’s most recent education strategic plan (whether a full plan or a supplementary plan) have been modified in the plan in question when appearing as final and reviewed targets respectively for those years; and

(c) the steps it proposes to take in respect of any actual or expected shortcomings in meeting its targets.

Signed by authority of the Secretary of State for Wales

Peter Hain

Parliamentary Under Secretary of State, Welsh Office

19th May 1999