Citation, commencement and application

1.—(1) These Regulations may be cited as the Education (Education Standards Grants) (Wales) Regulations 2001 and shall come into force on 1st April 2001.

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

Interpretation

2.—(1) In these Regulations —

• “the 1996 Act”(“Deddf 1996”) means the Education Act 1996;

• “the 1998 Act” (“Deddf 1998”) means the School Standards and Framework Act 1998(3);

• “annual review meeting” (“cyfarfod adolygu blynyddol”) means a meeting to review a statement of special educational needs such as is referred to in regulations 15(5), 16(3) and 17(3) of the Education (Special Educational Needs) Regulations 1994(4);

• “approved expenditure”(“gwariant a gymeradwywyd”) means any expenditure which is approved as provided in regulation 3;

• “baseline assessment scheme” (“cynllun asesu sylfaenol”) has the meaning given to it in section 15 of the Education Act 1997(5);

• “classroom assistant” (“cynorthwyydd ystafell ddosbarth”) means an employee of an education authority or of the governing body of a school who is normally present in a classroom with a teacher and who assists the teacher;

• “determine”(“penderfynu”) means determine by notice in writing;

• “education authority” (“awdurdod addysg”) means a local education authority in Wales;

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

• “financial year” (“blwyddyn ariannol”) means a period of twelve months ending with 31st March;

• “grant” (“grant”) means a grant in pursuance of these Regulations;

• “key stages 1, 2, 3 and 4” (“cyfnodau allweddol 1, 2, 3, a 4”) means the periods specified in paragraphs (a), (b), (c) and (d) respectively of section 355(1) of the 1996 Act;

• “leisure-time facilities” (“cyfleusterau amser hamdden”) means the facilities of a kind which education authorities are under the duty imposed by sections 2(3)(b) and 508(1) of the 1996 Act to secure are provided within their areas;

• “mainstream school” (“ysgol brif-ffrwd”) means a maintained school other than a special school;

• “maintained school” (“ysgol a gynhelir”) means a school maintained by an education authority;

• “member of the Inspectorate” (“aelod o'r Arolygiaeth”) has the meaning given to it in section 46(1) of the School Inspections Act 1996(6);

• “mentor” (“mentor”) means an experienced head teacher giving advice and assistance to support the professional development of an inexperienced head teacher;

• “named person” (“person a enwyd”) means a person whom the education authority are satisfied is able (having regard to any criteria set out in the Code of Practice issued under section 313 of the 1996 Ac(7))) to provide accurate information and sound advice to a parent about his or her child’s special educational needs, and is agreeable to being named as a person from whom the parent may seek such information and advice when the education authority serves a copy of the child’s statement of special educational needs on the parent pursuant to paragraph 6 of Schedule 27 to the 1996 Act;

• “the National Assembly” (“y Cynulliad Cenedlaethol”) means the National Assembly for Wales;

• “National Grid for Learning” (“Grid Cenedlaethol ar gyfer Dysgu”) means the system of inter-connecting networks and education services based on the internet which is designed to support teaching, learning, training and administration in schools, the wider education service, and the community;

• “prescribed expenditure” (“gwariant a ragnodwyd”) means expenditure by an education authority for or in connection with any of the purposes specified in the Schedule;

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

• “qualified teacher” (“athro cymwysedig neu athrawes gymwysedig”) means a person who, by virtue of the regulations(8) relating to the employment of teachers from time to time in force under section 218 of the Education Reform Act 1988(9), is qualified to be employed as a teacher at a school of the kind described in subsection (12) of that section;

• “registered inspector” (“arolygydd cofrestredig”) means a person who is registered as an inspector in accordance with section 7(1) and (2) of the School Inspections Act 1996;

• “registered teacher” (“athro cofrestredig neu athrawes gofrestredig”) means a person to whom an authorisation has been granted in accordance with Part III of Schedule 2 to the Education (Teachers' Qualifications and Health Standards) (Wales) Regulations 1999;

• “school development plan” (“cynllun datblygu ysgol”) means a plan prepared by the governing body of the school in question setting out the goals of the school and the action necessary over the next few years to enable the school to move towards achieving those goals;

• “school site” (“safle ysgol”) has the meaning given to it in paragraph 2(11) of Schedule 3 to the 1998 Act;

• “special educational needs” (“anghenion addysgol arbennig”) has the meaning given to it in section 312(1) of the 1996 Act;

• “special needs assistant” (“cynorthwyydd anghenion arbennig”) means an employee of an education authority or of the governing body of a school who is normally present in a classroom with a teacher and who assists the teacher in relation to children with special educational needs;

• “special school” (“ysgol arbennig”) has the meaning given to it in section 337(1) of the 1996 Ac(10)) ;

• “summer literacy school” (“ysgol haf ar lythrennedd”) means a scheme taking place during the summer holidays which aims to raise standards of literacy in pupils who are about to join secondary school;

• “summer numeracy school” (“ysgol haf ar rifedd”) means a scheme taking place during the summer holidays which aims to raise standards of numeracy in pupils who are about to join secondary school;

• “young person” (“person ifanc”) has the meaning given to it in section 579(1) of the 1996 Act;

• “youth and community worker” (“gweithiwr ieuenctid a chymuned neu weithwraig ieuenctid a chymuned”) means a person employed in connection with leisure-time facilities, other than in a solely administrative, secretarial, clerical or manual capacity.

(2) In these Regulations a reference to a regulation is a reference to a regulation contained herein, a reference in a regulation to a paragraph is a reference to a paragraph of that regulation, and a reference to the Schedule is a reference to the Schedule to these Regulations.

Expenditure in respect of which grants are payable

3.  Grants shall be payable only in respect of prescribed expenditure incurred or to be incurred in a financial year and only to the extent to which that expenditure is approved for that year by the National Assembly for the purposes of these Regulations.

Grants in respect of payments to third parties

4.  Where —

(a)an education authority incurs expenditure in making payments, whether by way of maintenance, assistance or otherwise, to any other body or persons (including another education authority) who incur expenditure for or in connection with educational purposes, and

(b)that expenditure of the recipient of the payments or any part thereof would be prescribed expenditure if it were expenditure of the authority,

such payments shall to that extent be treated as prescribed expenditure for the purposes of these Regulations.

Rate of Grant

5.  Grants in respect of approved expenditure incurred on or after 1st April 2001 of the kind referred to in the paragraphs of the Schedule listed in the left hand column of the table below shall be payable at the percentage rate of such expenditure specified in relation thereto in the right hand column of the table.

Conditions for payment of grant

6.—(1) No payment of grant shall be made except in response to an application in writing from an education authority to the National Assembly, authenticated by the officer of the authority responsible for the administration of their financial affairs or that person’s deputy.

(2) Applications for the payment of grant shall relate to expenditure over one or more of the periods specified in paragraph (3) and shall specify the approved expenditure in respect of which grant is applied for which has been or which it is estimated will be incurred by the education authority during each such period.

(3) The periods referred to in paragraph (2) are —

(a)1st April to 31st July;

(b)1st August to 31st December;

(c)1st January to 31st March.

(4) Where an application relating to approved expenditure which has been or which it is estimated will be incurred during the period 1st January to 31st March in any year is submitted under paragraph (1), such payment as the National Assembly may determine, but not exceeding, save where it determines otherwise, three-quarters of the grant applied for in respect of that expenditure may be made forthwith, but no further payment of grant shall be made in respect of that expenditure until a statement has been submitted in accordance with paragraph (5)(a).

(5) Each education authority which has received or seeks to receive a payment of grant in respect of expenditure incurred during any financial year shall, before 31 October in the following financial year or as soon as practicable after that date —

(a)submit to the National Assembly a statement which shall specify the approved expenditure in respect of which grant has been or is being applied for which has been incurred by the education authority during that year; and

(b)secure the submission to the National Assembly of a certificate signed by the auditor appointed by the Audit Commission for Local Authorities and the National Health Service in England and Wales to audit the accounts of the authority or any auditor qualified for such appointment by virtue of sections 3(5), (6) and (7) of the Audit Commission Act 1998(11) certifying that in his or her opinion the particulars stated in the statement submitted by the authority pursuant to this paragraph are fairly stated and that the expenditure incurred was approved for the purposes of section 484 of the 1996 Ac(12)).

(6) No payment of grant shall be made in respect of expenditure incurred by an education authority in the period 1st August to 31st December in any year or any subsequent period if grant was paid to the authority in respect of expenditure in the previous financial year but the National Assembly has not yet received the auditor’s certificate referred to in paragraph (5)(b) for that year.

(7) Any under-payment or over-payment of grant which remains outstanding following receipt of the auditor’s certificate referred to in paragraph (5)(b) shall, without prejudice to the recovery of any over-payment from any subsequent payment of grant to the education authority, be adjusted by payment between the authority and the National Assembly.

7.  Where at the time of approving expenditure for the purpose of these Regulations, the National Assembly requests information in respect of any purpose listed in the Schedule, payment of grant in respect of that purpose shall be conditional on that information being included in the education authority’s application for payment of grant.

8.—(1) The National Assembly may from time to time determine further conditions on the fulfilment of which the making of any payment in pursuance of these Regulations shall be dependent.

(2) Where conditions have been determined in pursuance of this regulation no grant shall be payable unless such conditions have either been fulfilled or been withdrawn in pursuance of paragraph (3).

(3) The National Assembly may determine to withdraw or, after consulting the education authority, to vary conditions determined in pursuance of this regulation.

Requirements to be complied with

9.  Any education authority to whom a payment of grant has been made shall, if so required by the National Assembly, furnish it with such further information as may be required to enable it to verify that any grant paid has been properly paid under these Regulations.

10.  Any education authority to whom a payment of grant has been made shall comply with such requirements (including requirements as to the repayment of grant or the payment to the National Assembly of other sums related to the value of assets acquired, provided or improved with the aid of grant or interest on sums due to it) as may be determined by the National Assembly in the case in question.

11.—(1) The National Assembly may determine that any education authority must delegate decisions about the spending of—

(a)grant, and

(b)amounts allocated by the authority to meet prescribed expenditure approved in accordance with regulation 3,

to the governing body of a maintained school.

(2) The National Assembly may determine to withdraw or, after consulting the education authority, to vary requirements determined in pursuance of this regulation.

Revocation and saving provisions

12.  The Education (Education Standards Grants) (Wales) Regulations 2000(13) are hereby revoked, but those Regulations shall continue to apply to the payments of grant authorised by those Regulations in respect of expenditure incurred on or before the day these Regulations come into force and to any condition or requirement determined by or in accordance with the Regulations so revoked.

Regulations 2 and 3

SCHEDULEPURPOSES FOR OR IN CONNECTION WITH WHICH GRANTS ARE PAYABLE

1.  The provision of —

(a)support, training, books and equipment to assist schools with the implementation, organisation and delivery of the National Curriculum;

(b)support, training, books and equipment with a view to raising standards of attainment of pupils in the subjects of mathematics, Welsh, science, English, technology, physical education, history, geography, art, music, modern foreign languages and religious education and reducing any difference in such standards of attainment between male and female pupils;

(c)support and training for the implementation in schools of the arrangements for assessing pupils in relation to National Curriculum attainment targets under Chapter II of Part V of the 1996 Ac(15)), or in relation to a baseline assessment scheme;

(d)training for teachers in administering National Curriculum tests, administering and marking National Curriculum tasks and carrying out teacher assessments in respect of key stages 2 and 3 in accordance with the requirements of articles 4 to 9 of the Education (National Curriculum) (Assessment Arrangements for English, Welsh, Mathematics and Science) (Key Stage 2) (Wales) Order 1997(16)and articles 4 to 12 of the Education (National Curriculum) (Key Stage 3 Assessment Arrangements) (Wales) Order 1997(17);

(e)training for teachers in administering and marking standard task assessments and carrying out teacher assessments in respect of key stage 1 in accordance with the requirements of articles 4 to 9 of the Education (National Curriculum) (Assessment Arrangements for English, Welsh, Mathematics and Science) (Key Stage 1) (Wales) Order 1997(18) and the provision of additional staff to assist schools for the period during which teachers are engaged in those activities;

(f)training for careers teachers, and training for other teachers in the provision of vocational and careers education and guidance in schools;

(g)support for activities designed to develop effective programmes of work related education (including training and development for teachers) in accordance with the framework set out in the document published by the Qualifications, Curriculum and Assessment Authority for Wale(19)) in 2000 entitled “ A Framework for Work Related Education for 14 to 19 Year Olds in Wales”(20);

(h)training for teachers with responsibility for providing personal and social education in schools, in accordance with the framework set out in the document published by the Qualifications, Curriculum and Assessment Authority for Wales in 2000 entitled “Personal and Social Education Framework”(21), which includes education on equal opportunities and sex and health education (inluding the misuse of drugs);

(i)training for persons employed at schools which is aimed at equipping (or better equipping) them to conduct, or to assist in conducting, acts of religious worship at such schools in accordance with section 70 of the 1998 Act;

(j)support, training, books and equipment with a view to raising standards of attainment of pupils in General Certificate of Education Advanced Level and Advanced Subsidiary Examinations, particularly in science and technology subjects, and reducing any difference in such standards of attainment between male and female pupils; and

(k)support for schools which offer vocational courses leading to General National Vocational Qualifications, or which are preparing for the introduction of such courses, including the provision of training, books and equipment.

2.—(a) Support for measures to improve the standards attained by pupils in schools which are causing concern and in other schools, including support for measures in an education authority’s education strategic plan and for measures in a school development plan.

(b)Support for teachers at secondary schools in establishing an effective system for reviewing and recording pupils' achievements.

(c)Training for school governors and persons employed in schools in the skills required to enable them to set targets, improve school development plans and to set objectives for enhanced school performance in all the subjects of the curriculum, and to address any weaknesses identified in a report of an inspection carried out by a member of the Inspectorate or a registered inspector.

(d)Support and training for school governors in management and leadership skills.

(e)Training of persons employed as classroom assistants.

(f)Measures to provide classroom assistance and support for qualified teachers in maintained schools, including the employment of classroom assistants.

3.—(a) The improvement of the planning and co-ordination of educational provision for children aged under five, and the development of staff providing education for such children.

(b)A review of educational provision for children aged under five.

4.—(a) Support for schemes to improve the teaching of literacy and numeracy in primary schools with a view to improving pupils' standards of literacy and numeracy in such schools.

(b)Projects to improve levels of literacy of families by encouraging parents to assist their children with learning to read and write.

(c)Support for the setting up and running of summer literacy schools and of summer numeracy schools.

(d)Action to develop and implement strategies to improve standards of literacy in Welsh and English and standards of numeracy in schools.

5.—(a) The training of persons employed as youth and community workers.

(b)Projects to foster the reintegration or progression of young persons into forms of education or training suitable to their needs, abilities and aptitudes.

(c)Measures to provide equality of educational opportunity for all minority ethnic groups, including in particular measures to assist pupils for whom English is an additional language and measures to improve standards of achievement.

(d)Action to improve rates of attendance in, and reduce the numbers of children excluded from, schools and to improve provision for pupils whose behaviour poses difficulties for such schools.

(e)Training for teachers with specific responsibility for child protection in schools and training for other teaching and non-teaching staff at schools and for staff in local education authority support services in action which supports school-based child protection measures.

(f)Action to improve the educational attainments of children who are looked after by local authorities within the meaning of the Children Act 1989(22).

6.—(a) Training for headteachers, teachers and special needs assistants in maintained schools and in special schools which are not maintained schools and for those staff in such schools or in education authority support services with responsibility for children with special educational needs.

(b)The encouragement of partnerships between parents, education authorities, schools and voluntary bodies in order to secure a better education for children with special educational needs, through the use of materials, information technology and additional staff time to strengthen an education authority’s input to annual review meetings.

(c)Measures to encourage the attendance of children with special educational needs at mainstream schools.

(d)Support for the development of links between special schools and mainstream schools.

(e)Support for children with emotional and behavioural difficulties or at risk of developing emotional and behavioural difficulties.

(f)Support and training for governors of maintained schools and for those employed in such schools as teachers and in other capacities, in developing policies for pupils with special educational needs.

(g)Action to promote co-operation for educational purposes between an education authority and other bodies, including support for selected pilot projects to investigate and develop regional planning arrangements for the improvement of services for children with special educational needs.

(h)Action to identify named persons.

7.  The training of teachers to teach, through the medium of Welsh, subjects required to be taught under the National Curriculum.

8.—(a) Support for the continuing, new or increased provision by an education authority of a central music service, including measures to improve the quality of music teaching, to improve equality of access to music services, to promote the development of choirs and instrumental ensembles of all types and to promote co-operative working between education authorities and other bodies.

(b)Support for the setting up and running of out of school hours learning activities for pupils in maintained schools, including motivational, creative and sporting activities and homework and study clubs.

9.—(a) Support to enable maintained schools to secure effective use of the networked educational services made available through the National Grid for Learning.

(b)Information and communications technology and equipment, programmes and data, and training for teachers and other school-based staff in the use of such equipment, programmes and data to enhance teaching and learning in all curriculum subjects.

(c)Measures to promote wider access to information and communications technology.

10.—(a) The training and professional development of head teachers.

(b)Training of head teachers as mentors.

(c) The professional development and training of teachers (other than head teachers), including professional development and training with a view to their taking the National Professional Qualification for Headship.

(d)Training and professional development in management and leadership skills of teachers and those employed in schools as secretaries, bursars and in other administrative capacities.

(e)Support for qualified teachers who are newly qualified.

(f)Training to give advice, assistance and support to persons seeking to become qualified or registered teachers.

(g)The training of persons granted a licence or authorisation to teach under regulations for the time being in force under section 218(3)(23) of the Education Reform Act 1988 to enable them to become qualified teachers.

(h)Support and training for school governors in carrying out reviews of the performance of teachers (including head teachers and deputy head teachers).

11.  The provision of training and advice for persons employed at schools concerning action which could be taken to improve the security of school premises and the personal safety of pupils and persons working at schools.

12.  The improvement of school sites, including —

(a)the provision of security surveillance equipment;

(b)the improvement, renovation or replacement of buildings, furniture and equipment (other than information and communications technology equipment) used for educational purposes;

(c)the provision and installation of cabling for information and communications technology equipment as part of such improvement, renovation or replacement (but not the provision and installation of equipment itself); and

(d)the provision and installation of equipment (including information and communications technology equipment) to enhance the teaching and learning of design and technology at key stages 3 and 4 and above, particularly in relation to control technology and the design and manufacture of products with the aid of information and communications technology and equipment.

13.  Training, for teachers of subjects for which first aid and health and safety have a particular relevance, which is aimed at equipping (or better equipping) them to administer first aid and informing them as to health and safety issues.

14.  The provision of additional staff to assist schools for the periods during which teachers are attending training courses.

Explanatory Note

(This note is not part of the Regulations)

Section 484 of the Education Act 1996 enables the National Assembly for Wales to make regulations providing for the payment of grants in respect of expenditure incurred by local education authorities for or in connection with educational purposes which it appears to the National Assembly those authorities should be encouraged to incur in the interests of education in Wales. These Regulations provide for the payment of such grants. They re-enact, with some changes, the Education (Education Standards Grants) (Wales) Regulations 2000. The provisions of the Regulations, and the changes from the earlier Regulations, are outlined below.

• Regulation 1: provides for citation, commencement and application. The regulations come into force on 1st April 2001 and apply only in relation to Wales.

• Regulation 2: contains definitions.

• Regulation 3: provides for grants to be payable only in respect of expenditure incurred by a local education authority for or in connection with the purposes specified in the Schedule in a financial year, and only to the extent that the expenditure is approved for that year by the National Assembly for the purposes of the Regulations.

• Regulation 4: provides for payment of grants in respect of expenditure incurred by local education authorities in making payments to third parties in respect of expenditure incurred by those third parties which would be eligible for grant if it were expenditure of the authority.

• Regulation 5: provides for the rate at which grants are payable.

• Regulations 6 to 8: set out the conditions which apply in respect of the payment of grants, including audit requirements. The date in regulation 6(5) for submitting a statement and auditor’s certificate to the National Assembly has been changed from 31 July to 31 October.

• Regulation 9: allows the National Assembly to require a local education authority to supply it with information.

• Regulation 10: allows the Assembly to impose additional requirements.

• Regulation 11: allows the Assembly to require local education authorities to delegate spending decisions to school governing bodies.

• Regulation 12: revokes earlier Regulations subject to transitional provisions.

• Schedule: provides for the purposes for or in connection with which grants may be paid. The arrangement of the paragraphs in the Schedule has been altered. The substantial changes to the Schedule are as follows:

  • the removal of the provision relating to the implementation and administration of schemes for financing maintained schools (paragraph 1(a) in the earlier Regulations);

  • an amendment to paragraph 1(h) (paragraph 18 in the earlier Regulations) relating to personal and social education;

  • a new paragraph 3(b) relating to a review of existing educational provision for children aged under five;

  • an amendment to paragraph 5(e) (paragraph 15 in the earlier Regulations) extending training in child protection matters to cover all school staff and local education authority support staff; and

  • a new paragraph 5(f) relating to children looked after by a local education authority.