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Statutory Instrument 2004 No. 3131The LEA Budget, Schools Budget and Individual Schools Budget (England) Regulations 2004(The document as of February, 2008) STATUTORY INSTRUMENTS2004 No. 3131EDUCATION, ENGLANDThe LEA Budget, Schools Budget and Individual Schools Budget (England) Regulations 2004
In exercise of the powers conferred on the Secretary of State by sections 45A and 138(7) of the School Standards and Framework Act 1998[1], the Secretary of State for Education and Skills hereby makes the following Regulations: - Citation, commencement, application and interpretation 1. - (1) These Regulations may be cited as the LEA Budget, Schools Budget and Individual Schools Budget (England) Regulations 2004 and shall come into force on 13th January 2005. (2) These Regulations apply in relation to the financial year beginning on 1st April 2005. (3) These Regulations apply only in relation to England. (4) In these Regulations -
(b) "the 1998 Act" means the School Standards and Framework Act 1998; (c) "the 2000 Act" means the Learning and Skills Act 2000[3]; (d) "the 2002 Act" means the Education Act 2002[4]; (e) "the 2003 Regulations" means the LEA Budget, Schools Budget and Individual Schools Budget (England) Regulations 2003[5]; (f) a reference to capital expenditure means expenditure which an authority propose to capitalise in their accounts in accordance with proper practices being those accounting practices -
(ii) which so far as they are consistent with any such enactment, are generally regarded whether by reference to any generally recognised published code or otherwise, as proper accounting practices to be followed in the keeping of the accounts of local authorities, either generally or of the description concerned[6]; (g) a reference to CERA means capital expenditure which an authority expect to charge to a revenue account[7] of the authority;
(ii) all related fees, charges and income, (iii) funding received from the Secretary of State in respect of PFI scheme unitary payments, and (iv) any LPSA grant which the authority propose to apply to an agreed activity or activities in pursuance of targets specified under the relevant Local Public Service Agreement received by the local education authority; (k) a reference to a former grant-maintained or grant-maintained special school is a reference to a school which was such a school within the meaning of the 1996 Act immediately before 1st April 1999;
(ii) any specific grant which is used to support expenditure through the individual schools budget, or (iii) any allocation made to schools from funding deducted from the Schools Budget in accordance with paragraph 32 of Schedule 3 to these Regulations; (x) "standards fund grant" means the sum of money paid under that name to a local education authority by the Secretary of State under section 14 of the 2002 Act. Revocation
(b) expenditure on the education of pupils at independent schools, non-maintained special schools[15], pupil referral units, at home and in hospital, and on any other arrangements for the provision of primary and secondary education for pupils otherwise than at schools maintained by a local education authority; (c) expenditure incurred in borrowing money for the purpose of facilitating the modernisation and rationalisation of the school estate provided the local education authority -
(ii) reasonably believes in incurring the expenditure that the revenue savings that will be achieved are equal to or more than any expenditure that will be incurred in borrowing the money, and (iii) is able to demonstrate to the satisfaction of the Secretary of State how such savings are to be achieved; and (d) all other expenditure incurred in connection with the authority's functions in relation to the provision of primary and secondary education, in so far as such expenditure does not fall within paragraph (a), (b) or (c). LEA Budget
(b) any expenditure which falls within paragraph 1(2) or 2 of Schedule 3. Exceptions
(b) expenditure on capital financing other than expenditure incurred under regulation 3(c); (c) expenditure for the purposes of section 26 of the Road Traffic Regulation Act 1984[16] (arrangements for patrolling school crossings); and (d) expenditure incurred by the local education authority under section 51A of the 1998 Act[17] (expenditure incurred for community purposes). Individual schools budget Expenditure of a class or description referred to in this Schedule includes expenditure on associated administrative costs and overheads. Special educational provision 1.Expenditure on services provided by educational psychologists. 2.Expenditure in connection with the authority's functions under sections 321 to 331 of the 1996 Act (which functions relate to the identification and assessment of children with special educational needs and the making, maintaining and reviewing of statements for such children). 3.Expenditure on monitoring the provision for pupils in schools (whether or not maintained by the authority) for the purposes of disseminating good practice in relation to, and improving the quality of educational provision for, children with special educational needs. 4.Expenditure on collaboration with other statutory and voluntary bodies to provide support for children with special educational needs. 5.Expenditure in connection with -
(b) arrangements made by the authority with a view to avoiding or resolving disagreements with the parents of children with special educational needs. 6.Expenditure incurred in preparing and reviewing a plan which sets out the arrangements made, or proposed to be made, by the authority in connection with the education of children with behavioural difficulties under section 527A of the 1996 Act[19].
(b) expenditure incurred in connection with entering into a contract pursuant to a direction under section 63 of the 2002 Act (contracts to obtain services of an advisory nature in respect of schools with serious weaknesses or schools requiring special measures); (c) expenditure incurred in connection with the exercise of its functions under sections 14 to 17 of the 1998 Act (powers of intervention, of appointment of additional governors and of suspension of delegated budget in schools causing concern); and (d) expenditure on the appointment and remuneration of interim executive members under section 16A of the 1998 Act[27]. Access to education
(b) planning and managing the supply of school places, including the authority's functions -
(ii) in relation to the establishment, alteration or discontinuance of schools pursuant to Chapter II of Part II of the 1998 Act and section 70 of the 2002 Act, or section 113A of, and Schedule 7A to, the 2000 Act; (c) the authority's functions in relation to the exclusion of pupils from schools or pupil referral units, excluding the making of any provision of education to such pupils, but including advice to the parents of an excluded pupil; 12.Expenditure on the Education Welfare Service[30] and other expenditure arising from the authority's functions under Chapter II of Part VI of the 1996 Act (school attendance).
(b) planning for the education service as a whole, including expenditure on any single education plan; (c) functions of the authority under Part I of the Local Government Act 1999[35] (Best Value) and the provision of advice to assist governing bodies in procuring goods and services with a view to securing continuous improvement in the way the functions of those governing bodies are exercised, having regard to a combination of economy, efficiency and effectiveness; (d) revenue budget preparation; the preparation of information on income and expenditure relating to education, for incorporation into the authority's annual statement of accounts; and the external audit of grant claims and returns relating to education; (e) administration of grants to the authority (including preparation of applications), functions imposed by or under Chapter IV of Part II of the 1998 Act and, where it is the authority's duty to do so, ensuring payments are made in respect of taxation, national insurance and superannuation contributions; (f) authorisation and monitoring of -
(ii) expenditure in respect of schools which do not have delegated budgets, and all financial administration relating thereto; 22.Expenditure in pursuance of a binding agreement, where the other party is a local authority, or the other parties include one or more local authorities, in relation to the operation of a facility provided partly but not solely for the use of schools. 1.Subject to paragraphs 2 and 3, the total amount to be deducted from an authority's schools budget (the "central expenditure") in accordance with regulation 6 of these Regulations in order to arrive at their individual schools budget, shall not exceed (A - B) (or 0 if that is greater) + (C × D/E) where -
(b) B is the schools block in the education element of the formula spending share for the authority for the financial year beginning on 1st April 2005 less the schools block in the education element of the formula spending share for the authority for the financial year beginning on 1st April 2004[45]; (c) C is the total amount initially deducted from the authority's schools budget in accordance with regulation 5 of the 2003 Regulations, excepting any amount deducted in accordance with paragraphs 1 to 3 of Schedule 3 to those Regulations; (d) D is the total amount of the individual schools budget as initially determined in accordance with regulation 6 of these Regulations; and (e) E is the total amount of the individual schools budget for the financial year beginning on 1st April 2004 as initially determined in accordance with regulation 5 of the 2003 Regulations, save that any grant paid by the Learning and Skills Council for England to the authority under section 7 of the 2000 Act shall be excluded from all of these calculations.
(b) G is the total budget share of that school for the financial year beginning on 1st April 2004. 3.In calculating the limit on central expenditure imposed by paragraph 1, expenditure deducted in accordance with -
(b) paragraph 26 of Schedule 3 to these Regulations, to the extent that this exceeds expenditure deducted in accordance with paragraph 25 of Schedule 3 to the 2003 Regulations, and (c) paragraph 33 of Schedule 3 to these Regulations, shall be disregarded. Expenditure of a class or description referred to in this Schedule includes expenditure on associated administrative costs and overheads. Expenditure to support grants 1. - (1) Expenditure (other than expenditure incurred in connection with any other paragraph of this Schedule or any paragraph of Schedule 1) which the authority is obliged to incur as a condition of a specific grant paid to the authority and which is taken into account in determining the amount of such specific grant. (2) Any amount which the authority is obliged to make available as a condition of grant paid under section 14 of the 2002 Act and which is taken into account in determining the amount of such grant, decisions regarding the expenditure of which are delegated to the governing body of a maintained school. Excellence in Cities 2.Expenditure pursuant to a partnership agreement (under the Excellence in Cities and Excellence Clusters programmes) made between the authority, the Secretary of State and one or more of the authority's schools. Performance Reward Grant 3.Expenditure, not falling within any other paragraph of this Schedule or any paragraph of Schedule 1, which the authority propose to meet from grant made under section 31 of the Local Government Act 2003 to reward local authorities for improvements in local services. Threshold and Performance Pay Grants 4.Expenditure on school teachers' salaries which the local authority propose to meet from a Threshold and Performance Pay Grant paid under section 14 of the 2002 Act. Special educational provision 5.Subject to paragraphs 6 and 7, expenditure in making the provision specified in a pupil's statement of special educational needs except where the pupil is -
(b) a registered pupil at a primary or secondary school maintained by the authority who occupies one of a number of places at that school which are recognised by the authority as being reserved for children with special educational needs. 6.Where a pupil falls within paragraph 5(a) or (b) and the cost of the provision specified in the pupil's statement of special educational needs is significantly greater than that for the generality of pupils at the special school, or the cost of pupils in places at the primary or secondary school in question, the amount by which the expenditure incurred in making the provision specified in his statement of special educational needs is greater than that incurred in making provision for a pupil who falls within such generality of pupils.
(b) the education of children with special educational needs at primary and secondary schools; and (c) the engagement of children with special educational needs at primary and secondary schools in activities at the school with children who do not have special educational needs (being expenditure that it would be inappropriate to expect to be met from the school's budget share). 10.Expenditure in relation to education otherwise than at school under section 19 of the 1996 Act or in relation to a pupil referral unit as defined in that section.
(b) at an institution outside England and Wales under section 320 of the 1996 Act. 13.Expenditure on payments to another local education authority pursuant to section 493 or 494 of the 1996 Act or section 207 of the 2002 Act (recoupment between authorities).
(b) allow the governing body to determine how such amount should be spent for that purpose. 15.Expenditure incurred in connection with the authority's functions under section 85A of the 1998 Act (the establishment and maintenance of, and consultation with, admission forums).
(b) expenditure in respect of meals at any former grant-maintained primary or special school where the governing body have elected not to receive funding for meals as part of their school's budget share; (c) expenditure in respect of milk at any school which is not a former grant-maintained or grant-maintained special school; (d) expenditure in respect of milk at any former grant-maintained or grant-maintained special school where the provision of that milk attracts a subsidy from the European Union; and (e) expenditure in respect of milk or meals at any pupil referral unit. 17.Expenditure on the repair and maintenance of a school kitchen where expenditure on meals in relation to the school concerned is deducted from the authority's schools budget pursuant to paragraph 16.
(b) taking part in trade union activities under section 170 of the Trade Union and Labour Relations (Consolidation) Act 1992; (c) performing public duties under section 50 of the Employment Rights Act 1996[49]; (d) undertaking jury service; (e) who are safety representatives under the Safety Representatives and Safety Committee Regulations 1977[50]; (f) who are representatives of employee safety under the Health and Safety (Consultation with Employees) Regulations 1996[51]; (g) who are employee representatives for the purposes of Chapter II of Part IV of the Trade Union and Labour Relations (Consolidation) Act 1992 as defined in section 196 of that Act or regulations 10 and 11 of the Transfer of Undertakings (Protection of Employment) Regulations 1981 as defined in regulation 11A of those Regulations[52]; (h) taking time off for ante-natal care under section 55 of the Employment Rights Act 1996; (i) undertaking duties as members of the reserve forces as defined in section 1(2) of the Reserve Forces Act 1996[53]; (j) suspended from working at a school; (k) who are members of the General Teaching Council for England or a committee thereof; or (l) who are appointed learning representatives of trade unions, in order for them to analyse training requirements or to provide or promote training opportunities, and to carry out consultative or preparatory work in connection with such functions. 22.Expenditure on Advanced Skills Teachers undertaking outreach work in schools other than that in which they are normally based.
(b) allow the governing body to determine whether expenditure retained by the authority in respect of their school is to be spent by the authority in providing library services to the school themselves or in procuring that library services are provided to the school by another local authority. 30.Expenditure on licence fees or subscriptions paid on behalf of schools.
(b) its size and unavoidability, it would not be reasonable to expect the governing body to meet from the school's budget share.
(b) make allocations to schools which are either -
(ii) are otherwise in financial difficulty in the years beginning 1st April 2004 or 1st April 2005 provided that no allocations are made under (ii) unless the local education authority believes that it has taken reasonable steps to allocate funds under (i) to the extent required; (2) For the purposes of paragraph (1), a school is in financial difficulty if, in the opinion of the authority, its expenditure has exceeded, or is likely to exceed, the resources available to the governing body. (This note is not part of the Regulations) These Regulations prescribe the expenditure which makes up a local education authority's "LEA budget" and "schools budget" for the financial year beginning on 1st April 2005. The classes or descriptions of planned expenditure which comprise the LEA budget are described in regulation 4 and in Schedule 1. The schools budget is described in regulation 3. Schedule 2 provides for a limit on the expenditure which may be deducted by the authority from the schools budget. Schedule 3 specifies the nature of the planned expenditure which an authority may deduct from the schools budget in order to arrive at their individual schools budget for that financial year. Notes: [1]1998 c. 31. By virtue of the National Assembly for Wales (Transfer of Functions) Order 1999 (S.I. 1999/672) the powers conferred by these provisions are exercisable by the Secretary of State only in relation to England. For the meaning of "prescribed" and "regulations" see section 142(1). Section 45A was inserted by section 41 of the Education Act 2002.back [2]1996 c. 56.back [3]2000 c. 21.back [4]2002 c. 32.back [5]S.I. 2003/3170, as amended by 2004/659 and 2004/804.back [6]"Capital Expenditure" is defined in section 16 of the Local Government Act 2003 (c. 26) and regulations 25 and 26 of the Local Authorities (Capital Finance and Accounting) (England) Regulations 2003 (S.I. 2003/3146). "Proper Practices" are defined in section 2 of that Act and regulation 61 of those Regulations.back [7]"Revenue account" is defined in section 22 of the Local Government Act 2003 (c. 26).back [8]2003 c. 26.back [9]Academies are established under section 482 of the 1996 Act. Section 482 was substituted by section 65 of the 2002 Act.back [10]S.I. 1997/319, as amended by S.I. 1998/371, 1999/1852 and 2003/515. The Local Authorities (Capital Finance) (Consequential, Transitional and Saving Provisions) Order 2004 (S.I. 2004/533) contains savings provisions for regulation 16 of the 1997 Regulations.back [11]Section 113A and Schedule 7A were inserted by section 72 of, and Schedule 9 to, the 2002 Act.back [12]Pupil referral units are established under section 19 of the 1996 Act.back [13]The Learning and Skills Council was established under section 1 of the 2000 Act.back [14]S.I. 2002/3199.back [15]Non-maintained special schools are approved and regulated by regulations made under section 342 of the 1996 Act.back [16]1984 c. 27, amended by the Local Government Act 1985 (c. 51), section 8 and Schedule 5, the Greater London Authority Act 1999 (c. 29) sections 288 and 423 and Schedule 34, and the Transport Act 2000 (c. 38) sections 270 and 274 and Schedule 31.back [17]Section 51A was inserted by section 40 of, and paragraph 4 of Schedule 3 to, the 2002 Act.back [18]Parent partnership services are the services provided for under section 332A of the Education Act 1996 to give advice and information to parents of children with special educational needs.back [19]Section 527A was inserted by section 9 of the Education Act 1997 (c. 44) and amended by paragraph 144 of Schedule 30 to the 1998 Act. It is prospectively repealed by Part 1 of Schedule 5 to the Children Act 2004 (c. 31). Plans made under section 527A are replaced by children and young people's plans made under section 17 of the 2004 Act.back [20]1989 c. 41.back [21]1999 c. 8.back [22]Primary Care Trusts were established under section 16A of the National Health Service Act 1977 (c. 49). Section 16A was inserted by section 2 of the Health Act 1999.back [23]National Health Service Trusts are created by order made under section 5 of the National Health Service and Community Care Act 1990 (c. 19).back [24]NHS foundation trusts are established under the Health and Social Care (Community Health and Standards) Act 2002 (c. 43).back [25]Local Health Boards are established by order made by the National Assembly for Wales under section 16BA of the National Health Service Act 1977 (c. 49) as inserted by section 6(1) of the National Health Service Reform and Health Care Professions Act 2002 (c. 17).back [26]Sections 6 and 7 of the 1998 Act are prospectively repealed by Part 1 of Schedule 5 to the Children Act 2004 (c. 31). Plans made under these sections are replaced by children and young people's plans under section 17 of the 2004 Act.back [27]Section 16A was inserted by section 57 of the 2002 Act.back [28]Sections 509AA, 509AB and 509AC were inserted by section 199 of and Schedule 19 to the 2002 Act.back [29]Section 518 was substituted by section 129 of the 1998 Act.back [30]The functions of the Education Welfare Service and their role in reducing the levels of unauthorised absences from school are set out in DFEE Circular 11/99.back [31]1962 c. 12.back [32]1998 c. 30.back [33]Section 518 was substituted by section 129 of the 1998 Act.back [34]Section 15A was inserted by section 140(1) of and paragraph 63 of Schedule 30 to the 1998 Act, and section 15B by section 149 of and paragraphs 1 and 55 of Schedule 9 to the 2000 Act.back [35]1999 c. 27.back [36]1972 c. 70.back [37]The regulations currently in force under this provision are The Consistent Financial Reporting (England) (Amendment) Regulations 2004, S.I. 2004/393.back [38]1974 c. 37.back [39]Sections 120 and 121 were amended by section 150 of the 2002 Act, and are prospectively repealed by Part 1 of Schedule 5 to the Children Act 2004 (c. 31). Early years and childcare development plans are replaced by children and young people's plans under section 17 of the 2004 Act.back [40]Section 119 was amended by section 150 of the 2002 Act.back [41]S.I. 2001/3458.back [42]The regulations currently in force under this provision are the General Teaching Council for England (Deduction of Fees) Regulations 2001 (S.I. 2001/3993), as amended by S.I. 2003/985.back [43]1995 c. 50.back [44]The regulations currently in force under this provision are the Education (Induction Arrangements for School Teachers) (Consolidation) (England) Regulations 2001 (S.I. 2001/2897), as amended by S.I. 2001/3938, S.I. 2002/2063, S.I. 2003/106 and S.I. 2003/2148.back [45]A formula spending share is calculated for each local education authority in accordance with the Local Government Finance Report (England) 2004/2005 made under section 78A of the Local Government Finance Act 1988 on 29 January 2004. (ISBN.0102927243)back [46]The Special Educational Needs Code of Practice (ISBN 1 84185 5294).back [47]Section 527A is prospectively repealed by Part 1 of Schedule 5 to the Children Act 2004 (c. 31). Plans under this section are replaced by a children and young people's plan under section 17 of the 2004 Act.back [48]1992 c. 52.back [49]1996 c. 18.back [50]S.I. 1977/500, amended by S.I. 1996/1513 and 1999/860.back [51]S.I. 1996/1513.back [52]S.I. 1981/1794; regulation 11A was inserted by S.I. 1995/2587 and amended by S.I. 1999/1925.back [53]1996 c. 14.back [54]Section 47A was inserted by section 43 of the 2002 Act.back [55]S.I. 2004/3130.back ISBN0 11 050995 1 -- Back --
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