Statutory Instrument 1997 No. 1368

The Education (Individual Pupils' Achievements) (Information) Regulations 1997

(The document as of February, 2008)

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STATUTORY INSTRUMENTS

1997 No. 1368

EDUCATION, ENGLAND AND WALES

The Education (Individual Pupils' Achievements) (Information) Regulations 1997

	Made	29th May 1997
	Laid before Parliament	30th May 1997
	Coming into force	20th June 1997

In exercise of the powers conferred on the Secretary of State by sections 408 and 569(4) and (5) of the Education Act 1996[1], and after consulting with those persons with whom consultation appeared to him to be desirable, the Secretary of State for Education and Employment hereby makes the following Regulations:

Citation, commencement and application
    1. - (1) These Regulations may be cited as the Education (Individual Pupils' Achievements) (Information) Regulations 1997 and shall come into force on 20th June 1997.

    (2) These Regulations apply in relation to pupils and former pupils at maintained schools in England only.

Revocation
    2.The Education (Individual Pupils' Achievements) (Information) Regulations 1993[2], the Education (Individual Pupils' Achievements) (Information) (Amendment) Regulations 1995[3] and the Education (Individual Pupils' Achievements) (Information) (Amendment) Regulations 1996[4] shall be revoked.

Interpretation
    3. - (1) In these Regulations, unless the context otherwise requires -

"the Act" means the Education Act 1996;

"the associated documents" means the documents published by Her Majesty's Stationery Office, setting out any levels of attainment, attainment targets and end of key stage descriptions in relation to the foundation subjects, which documents have effect by virtue of the respective section 356(2)(a) and (b) orders for those subjects for the time being in force[5];

"attendance record" means the record of a pupil's school attendance contained in the attendance register kept in accordance with section 434 of the Act and the Education (Pupil Registration) Regulations 1995[6];

"core subjects" means English, mathematics, and science;

"education welfare officer" means any person who is employed by a local education authority and whose duties include securing the regular attendance at school of pupils of compulsory school age;

"external marking agency" means a body nominated by the School Curriculum and Assessment Authority[7] (or by any successor body to that Authority) and approved by the Secretary of State to mark NC tests;

"foundation subjects" means art, geography, history, a modern foreign language specified in an order by the Secretary of State[8], music, physical education, technology and any core subject;

"GCE 'A' level examinations" and "GCE 'AS' examinations" mean General Certificate of Education advanced level examinations and General Certificate of Education advanced supplementary examinations respectively;

"GCSE" means the General Certificate of Secondary Education;

"IB" means the International Baccalaureate Diploma;

"key stage" means any of the periods set out in paragraphs (a) to (d) respectively of section 355(1) of the Act, and a reference to the first, second, third or fourth key stage is a reference to the periods set out respectively in the said paragraphs (a) to (d);

"maintained school" means -

"NC tasks" means National Curriculum standard tasks administered to pupils pursuant to article 5 of the Education (National Curriculum) (Assessment Arrangements for the Core Subjects) (Key Stage 1) (England) Order 1995[9];

"NC tests" means National Curriculum tests administered to pupils to assess the level of attainment which they have achieved in any core subject being tests laid down in provisions made by the Secretary of State under orders made under section 356(2)(c) of the Act[10] which have been published by Her Majesty's Stationery Office;

"school day" means a day on which the school meets;

"section 356(2)(a) and (b) orders" means orders made under section 356(2)(a) and (b) of the Act specifying attainment targets and programmes of study;

"the statutory arrangements" means assessment arrangements specified by orders made under section 356(2)(c) of the Act;

"teacher assessment" means assessment of a pupil's level of attainment in an attainment target or foundation subject by the pupil's teacher as specified in the statutory arrangements;

"vocational qualification" includes a credit towards such a qualification; and

"the 1995 (Key Stage 1) Order" means the Education (National Curriculum) (Assessment Arrangements for the Core Subjects) (Key Stage 1) Order 1995[11];

"the 1995 (Key Stage 2) Order" means the Education (National Curriculum) (Assessment Arrangements for the Core Subjects) (Key Stage 2) (England) Order 1995[12];

"the 1996 (Key Stage 3) Order" means the Education (National Curriculum) (Key Stage 3 Assessment Arrangements) (England) Order 1996[13];"

references to levels, attainment targets and end of key stage descriptions are references to, respectively, the levels of attainment, attainment targets and end of key stage descriptions set out in the associated documents.

    (2) In these Regulations a reference to an attainment target or foundation subject from which a pupil is exempt is to an attainment target or foundation subject which does not apply to a pupil by virtue of any regulations made under section 363 of the Act[14], provision made pursuant to section 364 of the Act in the pupil's statement of special educational needs made under section 324 of the Act or a direction given by the head teacher pursuant to regulations made under section 365 of the Act[15].

    (3) In these Regulations, unless the context otherwise requires, a reference to a numbered regulation or Schedule is a reference to a regulation in, or a Schedule to, these Regulations so numbered and any reference to a paragraph is to a paragraph of the regulation or Schedule in which the reference is made, and any reference to a sub-paragraph is a reference to a sub-paragraph of the paragraph in which the reference is made.

Head teacher's report to parents and adult pupils
    4. - (1) The head teacher of every maintained school shall each school year make available to the persons specified in paragraph (2) in writing a report containing the information specified in paragraphs (3) to (5).

    (2) The persons are -

(3) The report shall contain the information about the educational achievements of the pupil to whom or to whose parent the report is sent and the other information relating to him specified -

    (4) In the case of the pupils registered at the school in the final year of the first, second or third key stage there shall be included in the report the information relating to the educational achievements of all other pupils in that key stage registered at the school whose achievements were assessed at the same time as the pupil's achievements, and the other information relating to such pupils, specified in Schedule 2.

    (5) In the case of the pupils registered at the school in the final year of the first, second or third key stage there shall be included in the report the information specified in paragraph 1, 2 or 3, as the case may be, of Schedule 3 relating to the educational achievements of all pupils at schools in England who were in the final year of that key stage in the preceding school year and whose achievements were assessed in that preceding school year.

    (6) Nothing in this regulation shall prevent the information specified in paragraphs (3) to (5) being contained in more than one report provided that, subject to paragraph (8), the head teacher shall each school year send such information by post or otherwise before the end of the summer term.

    (7) The period to which a report containing any information specified in paragraph (3) relates shall in all cases begin with the later of -

(8) Where any of the particulars necessary to provide the information specified in paragraph (9) are not received by the head teacher until after the end of the summer term, he shall send such information as soon as practicable and in any event not later than the following 30th September.

(9) The information is -

    (10) Paragraphs (11) and (12) apply where, before the end of the summer term the head teacher has requested, but not received the result of, a review by the external marking agency of the result of any of the NC tests taken by a pupil in the final year of the second or third key stage or pursuant to article 7(1) of the 1995 (Key Stage 1) Order.

    (11) The information specified in paragraph (3)(a) shall indicate that the result which is the subject of the review is provisional.

    (12) Once the review result has been received by the head teacher, he shall send as soon as practicable and in any event not later than the following 30th September after that summer term, information giving the reviewed result of the NC tests, to those persons who earlier received the information pursuant to paragraphs (1) and (11) whether or not it is different from that as originally notified to those persons.

Additional information to be made available
    5. - (1) In the case of a pupil in the final year of a key stage, the head teacher shall, if requested by the pupil's parent, make available to the parent information consisting of his levels in each attainment target in any of the foundation subjects in accordance with the statutory arrangements if any information has not previously been made available pursuant to these Regulations.

    (2) The head teacher shall comply with such a request within fifteen school days of its receipt by him.

School leaver's report
    6. - (1) The head teacher of every maintained school shall make available to any pupil who has ceased to be of compulsory school age and is proposing to leave or has left the school the information referred to in paragraph (2).

    (2) The information consists of -

    (3) The information referred to in paragraph (2) shall be included under the heading "Achievements in Education" in the form specified in Schedule 4, or a form to the like effect.

    (4) The form in which the information referred to in paragraph (2) is made available shall provide for signature by the pupil and by a teacher who is familiar with the pupil and his achievements.

    (5) Such information shall be made available to the pupil not later than 30th September next following the end of the school year during or at the end of which the pupil left the school.

Report when pupil changes school
    7. - (1) Subject to paragraph (4) where a pupil ceases to be a registered pupil at a maintained school (his "old" school) and becomes a registered pupil at another school (his "new" school), the head teacher of the pupil's old school shall at the time referred to in paragraph (3) send to the head teacher of his new school a report about the pupil containing the information referred to in paragraph (2).

    (2) The information is -

(b) in the case of assessments in the final year of the third key stage -

(c) in the case of a pupil of compulsory school age, his teachers' most recent assessments of his achievements in relation to all attainment targets in the core subjects in accordance with the statutory arrangements since the later of his last assessment in accordance with the statutory arrangements and his admission to the old school; and

(d) the results of any public examinations taken and details of vocational qualifications achieved by him (including results of such examinations taken and details of such qualifications achieved, when the pupil was a registered pupil at another maintained school).

    (3) The head teacher of the pupil's old school shall send the report within fifteen school days of the pupil's ceasing to be registered at the school.

    (4) This regulation does not apply where it is not reasonably practicable for the head teacher of the old school to ascertain the pupil's new school or where the pupil was registered at his old school for less than four weeks.

    (5) Notwithstanding paragraph (4) if the head teacher of the pupil's old school receives at any time a request from the head teacher of the pupil's new school for a report about the pupil he shall send one containing the information referred to in paragraph (2) within fifteen school days of receiving the request.

Restrictions on provision of information
    8. - (1) The provisions of paragraph (2) apply to the information required to be provided by regulation 4 consisting of brief particulars of a pupil's skills and abilities and general progress.

    (2) Nothing in regulation 4 shall require the making available of any information -

(b) to the extent that it would reveal, or enable to be deduced, the identity of a person (other than the pupil to whom that information relates or a person mentioned in sub-paragraph (a)) as the source of the information or as a person to whom that information relates.

(3) Nothing in these Regulations shall require the making available of any information -

(4) In this regulation "child abuse" includes physical (other than accidental) injury to, and physical and emotional neglect, ill-treatment or sexual abuse of, a child.

Translation of report
9.If it appears requisite to the head teacher of any school that any information which these Regulations require him to make available should be translated into a language other than English, it shall be so translated and these Regulations shall apply to the translated information as they apply to the original information.

Estelle Morris
Parliamentary Under Secretary of State, Department for Education and Employment

29th May 1997

SCHEDULE 1Regulation 4(3)

INFORMATION ABOUT INDIVIDUAL PUPILS

PART 1
PUPILS IN THE FINAL YEAR OF THE FIRST KEY STAGE
    1. - (1) The information specified in Part 2 of this Schedule.

    (2) Subject to sub-paragraph (4), teacher assessment of the pupil's subject level in mathematics and science, together with the results of any NC tasks in mathematics.

    (3) Subject to sub-paragraph (4), teacher assessment of the pupil's level of attainment in the attainment targets in English entitled "Speaking and Listening", "Reading" and "Writing" and the results of any NC tasks in "Spelling" and in the attainment targets of "Reading" and "Writing".

    (4) Where pursuant to article 7(1) of the 1995 (Key Stage 1) Order, the NC tests for English or mathematics, or both, laid down for the purposes of the 1995 (Key Stage 2) Order are administered to a pupil, the results of any such Key Stage 2 NC tests as recorded pursuant to article 5(4) of the 1995 (Key Stage 2) Order in which the pupil concerned achieved level 4 or above in the levels of attainment for the core subject concerned in place of the results of the NC tasks for that core subject referred to in sub-paragraph (2) or (3), or both, as the case may be.

    (5) A brief account of what the pupil's achievements reported in accordance with the above sub-paragraphs show about the pupil's progress in the core subjects individually and in relation to other children in the same year of the key stage which draws attention to any particular strengths and weaknesses of the pupil.

PUPILS IN THE FINAL YEAR OF THE SECOND KEY STAGE
    2. - (1) The information specified in Part 2 of this Schedule.

    (2) Teacher assessment of the pupil's subject level in each of the core subjects together with the results of any NC tests in such subjects.

    (3) A brief account of what the pupil's achievements reported pursuant to sub-paragraph (2) show about the pupil's progress in the core subjects individually and in relation to other children in the same year of the key stage which draws attention to any particular strengths and weaknesses of the pupil.

PUPILS IN THE FINAL YEAR OF THE THIRD KEY STAGE
    3. - (1) The information specified in Part 2 of this Schedule.

    (2) Teacher assessment of the pupil's subject level in each of the core subjects together with the results of any NC tests in such subjects.

    (3) Teacher assessment of the pupil's subject level in geography, history, a modern foreign language, design and technology and information technology.

    (4) A brief account of what the pupil's achievements reported pursuant to sub-paragraphs (2) and (3) show about the pupil's progress in the core subjects and other subjects referred to individually and in relation to other children in the same year of the key stage which draws attention to any particular strengths and weaknesses of the pupil.

    (5) A brief statement indicating what the pupil has achieved in relation to the end of the key stage descriptions for art, music and physical education as assessed in accordance with statutory arrangements.

PUPILS IN THE FINAL YEAR OF THE FOURTH KEY STAGE
    4. - (1) The information specified in Part 2 of this Schedule.

    (2)

PART 2
PUPILS IN ANY OTHER YEAR OF A KEY STAGE
    5. - (1) The information specified in Part 4 of this Schedule.

    (2) In relation to all foundation subjects, brief particulars of the pupil's achievements in relation to each subject together with a statement, where the particulars include levels, whether or not those levels have been determined in accordance with the statutory arrangements.

    (3) Where the pupil is in the final year of key stage, particulars of any attainment target or subject from which the pupil is exempt.

    (4) A summary of the pupil's attendance record during the period to which information relates showing the number of possible attendances and of those, the percentage of unauthorised absences (meaning any absence from the school for which leave has not been granted by a person authorised in that behalf by the governing body of the school).

PART 3
PUPILS WHO HAVE TAKEN GCE 'A' LEVEL OR GCE 'AS' EXAMINATIONS
    6. - (1) The information specified in Part 4 of this Schedule.

    (2) The name of any subject in which the pupil was entered for GCE 'A' level or GCE 'AS' examinations and the grade achieved.

    (3) The number of points scored by the pupil, calculated on the following basis:

GCE 'A' level: grade A=10 points; grade B=8points; grade C=6 points; grade D=4 points; and grade E=2 points.

GCE 'AS': grade A=5 points; grade B=4 points; grade C=3 points; grade D=2 points; and grade E±=1 point.

PUPILS WHO HAVE OBTAINED A VOCATIONAL QUALIFICATION OR IB
    7. - (1) The information specified in Part 4 of this Schedule.

    (2) The qualification or credit towards such qualification and, where available, the grade achieved.

PART 4
ALL PUPILS
    8. - (1) Brief particulars of the pupil's achievements in any subject or activity not mentioned elsewhere in this Schedule which forms part of the school curriculum and of his skills and abilities and his general progress at school during the period to which the information relates.

    (2) Particulars of the arrangements under which the report may be discussed with the pupil's teacher by his parent or, in the case of a pupil aged 18 or over, the pupil.

    (3) The results of any public examination taken and details of any qualification or credit towards such qualification obtained by the pupil during the period to which the information relates which are not referred to elsewhere in this Schedule.

SCHEDULE 2Regulation 4(4)

INFORMATION ABOUT PUPILS AT THE SCHOOL

PUPILS IN THE FINAL YEAR OF THE FIRST KEY STAGE
    1. - (1) The percentages of registered pupils in the final year of the first key stage at each level in -

    (2) The percentage of registered pupils in the final year of the first key stage who are working towards level 1.

    (3) The percentage of registered pupils in the final year of the first key stage who are exempt from each attainment target referred to in sub-paragraph (1) and the core subject of mathematics.

    (4) The percentages of registered pupils in the final year of the first key stage who were absent from each NC task referred to in sub-paragraph (1).

PUPILS IN THE FINAL YEAR OF THE SECOND KEY STAGE
    2. - (1) The percentages of registered pupils in the final year of the second key stage who achieved each level in each core subject shown both as determined by teacher assessment and by any NC tests.

    (2) The percentage of registered pupils in the final year of the second key stage who are working towards level 1 as shown by teacher assessment.

    (3) The percentages of registered pupils in the final year of the second key stage who are exempt from each core subject.

    (4) The percentages of registered pupils in the final year of the second key stage who were absent from any NC test referred to in sub-paragraph (1).

    (5) The percentage of registered pupils in the final year of the second key stage who were not entered for any NC tests.

PUPILS IN THE FINAL YEAR OF THE THIRD KEY STAGE
    3. - (1) The percentages of registered pupils in the final year of the third key stage who achieved each level in each core subject shown both as determined by teacher assessment and by any NC tests.

    (2) The percentages of registered pupils in the final year of the third key stage who are working towards level 1 as shown by teacher assessment.

    (3) The percentages of registered pupils in the final year of the third key stage who are exempt from each core subject.

    (4) The percentages of registered pupils in the final year of the third key stage who were absent from any NC test referred to in sub-paragraph (1).

    (5) The percentage of registered pupils who were not entered for any NC tests.

SCHEDULE 3Regulation 4(5)

INFORMATION ABOUT PUPILS AT SCHOOLS IN ENGLAND

PUPILS IN THE FINAL YEAR OF THE FIRST KEY STAGE
    1. - (1) The percentages referred to in this paragraph are those that are provided by the Department for Education and Employment in respect of all registered pupils at schools in England in the final year of the first key stage in the preceding school year.

    (2) The percentages of such pupils who achieved each level of attainment in -

    (3) The percentage of such pupils who were working towards level 1.

    (4) The percentages of such pupils who were exempt from each attainment target referred to in sub-paragraph (2).

    (5) The percentages of such pupils who were absent from each NC task referred to in sub-paragraph (2).

PUPILS IN THE FINAL YEAR OF THE SECOND KEY STAGE
    2. - (1) The percentages referred to in this paragraph are those that are provided by the Department for Education and Employment in respect of all registered pupils at schools in England in the final year of the second key stage in the preceding school year.

    (2) The percentage of such pupils who achieved level 2 and below in the levels of attainment in respect of the core subjects shown as determined by NC tests.

    (3) The percentages of such pupils who achieved each level of attainment from level 3 and above in the core subjects shown as determined by NC tests.

    (4) The percentages of such pupils who achieved each level of attainment in the core subjects shown as determined by teacher assessment.

    (5) The percentage of such pupils who were working towards level 1 shown as determined by teacher assessment.

    (6) The percentage of such pupils who were exempt from each core subject.

    (7) The percentage of such pupils who were absent from any NC test referred to in sub-paragraphs (2) and (3).

PUPILS IN THE FINAL YEAR OF THE THIRD KEY STAGE
    3. - (1) The percentages referred to in this paragraph are those that are provided by the Department for Education and Employment in respect of all registered pupils at schools in England in the final year of the third key stage in the preceding school year.

    (2) The percentage of such pupils who achieved level 2 and below in the levels of attainment in respect of mathematics and science shown as determined by NC tests.

    (3) The percentage of such pupils who achieved level 3 and below in the levels of attainment in respect of English shown as determined by NC tests.

    (4) The percentages of such pupils who achieved each level of attainment from level 3 and above in mathematics and science shown as determined by NC tests.

    (5) The percentages of such pupils who achieved each level of attainment from level 4 and above in English shown as determined by NC tests.

    (6) The percentages of such pupils who achieved each level of attainment in the core subjects shown as determined by teacher assessment.

    (7) The percentage of such pupils who were working towards level 1 shown as determined by teacher assessment.

    (8) The percentage of such pupils who were exempt from each core subject.

    (9) The percentage of such pupils who were absent from any NC test referred to in sub-paragraphs (2) to (5).

SCHEDULE 4Regulation 6(3)

" ACHIEVEMENTS IN EDUCATION

EXPLANATORY NOTE

(This note is not part of the Regulations)

These Regulations revoke and replace, with amendments, the Education (Individual Pupils' Achievements) (Information) Regulations 1993, as amended.

These Regulations reflect changes in the assessment arrangements for key stages 2 and 3 introduced by, respectively, the Education (National Curriculum) (Assessment Arrangements for the Core Subjects) (Key Stage 2) (England) (Amendment) Order 1996, (which amended the Education (National Curriculum) (Assessment Arrangements for the Core Subjects) (Key Stage 2) (England) Order 1995), and the Education (National Curriculum) (Key Stage 3 Assessment Arrangements) (England) Order 1996. For key stage 3, teacher assessment is now required to be carried out in respect of all foundation subjects, not just in English, mathematics and science as previously. These changes are reflected in regulation 7(2)(b) and Schedule 1, paragraph 3. For both key stages 2 and 3, national curriculum tasks are no longer required to be administered to pupils for assessment purposes and references to NC tasks at those key stages have been omitted accordingly.

Definitions of "the associated documents", "foundation subjects", "GCSE" and "maintained school" have been added (regulation 3(1)).

The headteacher's report to parents and adult pupils need not be made available to parents in the case of a pupil who is over compulsory school age and who is proposing to leave the school or who has left it. In such a case, the school leaver's report under regulation 6 is, as before, to be made available to the pupil concerned (regulation 4(2)).

Notes:

[1] 1996 c.56; for the meaning of prescribed and regulations see section 579(1).back

[2] S.I. 1993/3182.back

[3] S.I. 1995/924.back

[4] S.I. 1996/1146.back

[5] The relevant orders for the first and second key stages are S.I. 1995/51 (English), 1995/52 (mathematics) and 1995/53 (science) and the relevant orders for the third key stage are those orders and in addition S.I. 1995/54 (history), 1995/55 (geography), 1995/56 (technology), 1995/57 (modern foreign languages), 1995/58 (art), 1995/59 (music) and 1995/60 (physical education).back

[6] S.I. 1995/2089.back

[7] The School Curriculum and Assessment Authority was established under section 244 of the Education Act 1993 (c.35), which Act was repealed by Part I of Schedule 38 to the Education Act 1996. Section 358 of this Act provides for the continued existence of the School Curriculum and Assessment Authority.back

[8] See the Education (National Curriculum) (Modern Foreign Languages) Order 1991, S.I. 1991/2567, amended by S.I. 1994/1818.back

[9] S.I. 1995/2071, as amended by S.I. 1996/2114.back

[10] S.I. 1995/2071, as amended by S.I. 1996/2114 (Key Stage 1), 1995/2072 as amended by S.I. 1996/2115 (Key Stage 2) and 1996/2116 (Key Stage 3).back

[11] S.I. 1995/2071 as amended by S.I. 1996/2114.back

[12] S.I. 1995/2072 as amended by S.I. 1996/2115.back

[13] S.I. 1996/2116.back

[14] See the Education (National Curriculum) (Exceptions) Regulations 1996, (S.I. 1996/2083).back

[15] See the Education (National Curriculum) (Temporary Exceptions for Individual Pupils) Regulations 1989 (S.I. 1989/1181).back

ISBN 0 11 063735 6

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