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PART I
INTRODUCTION
Citation, commencement, application and interpretation
1
1
These Regulations may be cited as the Financing of Maintained Schools (England) Regulations 2002 and shall come into force on 15th March 2002.
2
These Regulations shall apply for the purposes of the financing of maintained schools in England in the financial year beginning on 1st April 2002.
3
In these Regulations —
“the 1996 Act ” means the Education Act 1996 ;
“the 1998 Act ” means the School Standards and Framework Act 1998;
“the 1999 Regulations ” means the Financing of Maintained Schools Regulations 1999 ;
“the 2000 Regulations ” means the Financing of Maintained Schools (England) Regulations 2000 ;
“the 2001 Regulations ” means the Financing of Maintained Schools (England) Regulations 2001 .
4
In these Regulations “maintained school” means a community, foundation or voluntary school or a community or foundation special school.
5
In these Regulations a reference to proposals for the establishment of a school is a reference to a proposal for the establishment of the school under section 35, 41 or 339(1) of the 1996 Act or section 28 or 31 of, or paragraph 5 of Schedule 7 to, the 1998 Act.
6
In these Regulations, except in Part IV where the definition in regulation 28 applies, a reference (however framed) to a community, foundation or voluntary school or a community or foundation special school includes a proposed school which on implementation of proposals for the establishment of the school will be such a school and which has a temporary governing body.
7
In these Regulations a reference to a governing body includes the temporary governing body of a proposed school falling within paragraph (6).
8
In these Regulations a reference to a primary or secondary school means a primary or secondary school which is a community, foundation or voluntary school.
9
In these Regulations a reference (however framed) to schools maintained by a local education authority does not include schools which are not maintained schools as defined in paragraph (4).
10
In these Regulations a reference to the permanent exclusion of a pupil is a reference to his permanent exclusion as defined from time to time for the purposes of section 494 of the 1996 Act .
11
In these Regulations references to net expenditure or to a net local schools budget —
a
are references to that expenditure or that local schools budget net of related fees, charges, specific grant or other income received by the local education authority;
b
except that there is not to be deducted in order to arrive at the net local schools budget, any specific grant which is used to support expenditure through the individual schools budget or which is a specific grant only to the extent that it has to be used for supporting any or all of the authority’s expenditure through the local schools budget.
12
In these Regulations 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.
13
In these Regulations a reference to the LSC is a reference to the Learning and Skills Council for England .
14
Unless the context otherwise requires, words or expressions used in these Regulations set out in the first column of the following table shall have the meanings attributed to them by the provisions set out opposite thereto in the second column.
budget share Section 47(1) of the 1998 Act delegated budget Section 49(7) of the 1998 Act expenditure regulation 3(2) of these Regulations (for the purposes of Part II of these Regulations) financial year Section 579(1) of the 1996 Act formula regulation 10 of these Regulations individual schools budget Section 46(2) of the 1998 Act key stage Section 355(1) of the 1996 Act local schools budget Section 46(1) of the 1998 Act maintained school regulation 1(4) of these Regulations maintenance grant sections 244(1) and 250(1) of the 1996 Act nursery school Section 6(1) of the 1996 Act permanent exclusion regulation 1(10) of these Regulations scheme section 48(5) of the 1998 Act school maintained by a local education authority regulation 1(9) of these Regulations school year section 579(1) of the 1996 Act special educational needs section 312(1) of the 1996 Act.
15
Unless the context otherwise requires, a reference in these Regulations to a numbered regulation, Part or Schedule is a reference to the regulation or Part of, or Schedule to, these Regulations so numbered and a reference to a numbered paragraph is a reference to the paragraph so numbered in the regulation or Schedule in which the reference appears.
Revocation of the 2000 Regulations and operation of the 2001 Regulations
2
1
The 2000 Regulations and the Financing of Maintained Schools (England) (No.2) Regulations 2000 shall be revoked on 1st April 2002.
2
A school’s budget share for the financial year beginning on 1st April 2001 may only be redetermined in the financial year beginning on 1st April 2002 in accordance with the provisions of the 2001 Regulations or the Financing of Maintained Schools (England) (Amendment) Regulations 2001 if such redetermination makes provision for —
a
pupils permanently excluded or admitted following a permanent exclusion; or
b
the correction of errors, whether in calculation or data, under any of the provisions of those Regulations.
PART II
LOCAL AND INDIVIDUAL SCHOOLS BUDGET
Local schools budget
3
1
The classes or descriptions of local education authority expenditure specified in sub-paragraphs (a) and (b) below are hereby prescribed for the purposes of section 46(1) of the 1998 Act and the determination of a local education authority’s local schools budget subject to the exceptions in regulation 4 —
a
expenditure incurred in connection with the authority’s functions in relation to the provision of primary and secondary education; and
b
expenditure on items listed in paragraph 27(a), (b), (d) and (r) to (t) of Schedule 1 in so far as such expenditure does not fall within sub-paragraph (a) above.
2
For the purposes of this Part expenditure does not include expenditure defrayed by fees and charges collected by the governing body of a maintained school which are —
a
specifically required or permitted to be collected by any provision of the Education Acts; or
b
in respect of the use of school premises or equipment.
Exceptions
4
A local education authority’s local schools budget shall not include the following classes or descriptions of expenditure —
a
expenditure in connection with nursery schools;
b
expenditure in connection with any provision made for children who have not attained the age of five except where such provision is made at a maintained school or the expenditure is by way of fees paid under section 320 or 348 of the 1996 Act (special provision for children with special educational needs);
c
expenditure on payments to another local education authority pursuant to section 492, 493 or 494 of the 1996 Act (recoupment between authorities);
d
expenditure which the authority propose to capitalise in their accounts in accordance with proper practices being those accounting practices —
i
which the authority are required to follow by virtue of any enactment, or
ii
which, whether by reference to any generally recognised published code or otherwise, are regarded as proper accounting practices to be followed in the keeping of the accounts of local authorities, either generally or of the description concerned,
but in the event of any conflict in any respect between the practices falling within sub-paragraph (i) above and those falling within sub-paragraph (ii) above, only those falling within sub-paragraph (i) above are to be regarded as proper practices ;
e
expenditure expected to be offset by income received from Her Majesty’s Chief Inspector of Schools in England or Her Majesty’s Chief Inspector of Schools in Wales;
f
expenditure for the purposes of section 26 of the Road Traffic Regulation Act 1984 (arrangements for patrolling school crossings); and
g
expenditure on the payment of allowances under section 518 of the 1996 Act to pupils over compulsory school age to the extent that it is expected to be offset by specific grant paid by the Secretary of State or the LSC.
Individual schools budget
5
A local education authority may deduct from their local schools budget any or all of the classes or descriptions of planned expenditure set out in Schedule 1, in whole or in part, in order to arrive at their individual schools budget for the financial year.
PART III
SCHOOLS' BUDGET SHARES: MAIN PROVISIONS
Determination of budget shares
6
This Part and Parts IV and V apply for the purposes of determining the amount which a local education authority may determine as a maintained school’s budget share for the financial year beginning on 1st April 2002.
Allocation of individual schools budget
7
A local education authority shall allocate in the financial year beginning on 1st April 2002 in accordance with this Part and Parts IV and V all of their individual schools budget for that financial year as the budget shares of schools which they maintain.
Timing of determination of budget shares
8
1
The amount of a school’s budget share for the financial year beginning on 1st April 2002 shall be initially determined by the local education authority before the beginning of that financial year.
2
A local education authority may decide not to initially allocate all of their individual schools budget in accordance with this Part in the form of budget shares at the beginning of the financial year and instead to retain an amount for the purpose of redeterminations or the correction of errors but such amount must be used for that purpose or distributed to schools as required by regulation 22(4) before the end of the financial year.
Consultation
9
1
Subject to paragraph (2), a local education authority shall consult the governing body and head teacher of every school which they maintain about any proposed changes in relation to the factors and criteria that were taken into account, or the methods, principles and rules that were adopted, in their formula under the 2001 Regulations in the financial year beginning on 1st April 2001 (including any new factors, criteria, methods, principles or rules).
2
Paragraph (1) shall not apply to changes made pursuant to regulation 8(2), 11(7), 14(2), 17, 21, 22(4) or 23 or by Part IV.
3
Consultation under this regulation shall take place in sufficient time to allow the outcome to be taken into account in the determination of the authority’s formula and in the initial determination of schools' budget shares before the beginning of the financial year.
4
The requirement to consult in paragraph (1) can be satisfied by consultation which takes place during the financial year beginning on 1st April 2001 before the coming into force of these Regulations.
5
A local education authority shall inform all those who were consulted of the outcome of the consultation.
Formula for determination of budget shares
10
1
A local education authority shall determine before the beginning of the financial year beginning on 1st April 2002, and after the consultation referred to in regulation 9, the formula which they will use to determine schools' budget shares in that financial year having regard to the factors, criteria and requirements set out in this Part and in Part IV.
2
A local education authority shall have regard to the desirability of such a formula being simple, objective, measurable and predictable in effect, and clearly expressed.
3
A local education authority may not use factors or criteria in their formula under this Part which make an allowance, in whole or in part, for —
a
any amount included in the school’s budget share by virtue of Part IV; or
b
any education standards grants, received by the authority pursuant to section 484 of the 1996 Act, paid in respect of capital projects, of an amount determined by the Secretary of State by reference to a formula, and decisions about the spending of which the authority are required to delegate to the governing bodies of schools.
4
Subject to regulation 32 (additional arrangements approved by the Secretary of State), a local education authority shall use the formula determined under paragraph (1) in all determinations and redeterminations of budget shares in respect of the financial year.
Pupil numbers
11
1
In determining budget shares for primary and secondary schools, a local education authority shall take into account in their formula the number of registered pupils at those schools on such date or dates as may be determined by the authority in accordance with regulation 12, weighted if the authority consider it appropriate in accordance with paragraph (5).
2
For the purposes of paragraph (1), the number of registered pupils does not include —
a
pupils in places which the authority recognise as reserved for children with special educational needs or (except where the local education authority chooses not to exercise their discretion under regulation 14(1) in respect of children in nursery classes) for children in nursery classes; or
b
in relation to the funding of boarding accommodation only, pupils in boarding accommodation at boarding schools other than special schools; or
c
pupils in respect of whom grant is payable to the authority by the LSC under section 7 of the Learning and Skills Act 2000.
3
An authority may in determining budget shares for special schools, or for primary or secondary schools with places which the authority recognise as reserved for children with special educational needs or for children in nursery classes, take into account in their formula the number of registered pupils at those special schools or the number of pupils in those reserved places at primary or secondary schools on such date or dates as may be determined by the authority, weighted if the authority consider it appropriate in accordance with paragraph (5).
4
If the authority estimate the number of registered pupils at a school they must consult the head teacher of the school.
5
A local education authority may weight pupil numbers according to any or all of the following factors —
a
age, including weighting according to key stage or year group;
b
whether a pupil is provided with nursery education by a school;
c
in the case of pupils aged under five, their exact age when admitted to the school;
d
in the case of pupils aged under five, whether they have been admitted to the school in excess of planned admission limits agreed with the authority;
e
in the case of pupils aged under five, hours of attendance;
f
special educational needs.
6
A local education authority may adjust the number of registered pupils used to determine or redetermine a school’s budget share where it is appropriate to do so in order to take into account, wholly or partly, the permanent exclusion of a pupil from the school or the admission of a pupil following his permanent exclusion from another school maintained by a local education authority.
7
Subject to paragraph (8), a local education authority shall provide in their formula that the average amount per pupil allocated in accordance with regulation 11(1) or (3) in respect of pupils who are —
a
in key stage 1 or 2;
b
in key stage 3 or 4,
shall in each case be at least 2.5 per cent. higher than the average amount per pupil initially determined in each of those cases under the corresponding provisions of the 2001 Regulations.
8
Paragraph (7) shall not apply in relation to any amount allocated in accordance with paragraph (3) weighted in accordance with paragraph (5)(f) (special educational needs).
Dates for ascertaining pupil numbers
12
1
Where the authority determine only one date for the purposes of regulation 11(1) that must be a date which falls —
a
before 1st April 2002; and
b
in the school year in which 1st April 2002 falls.
2
Where the authority determine more than one date for the purposes of regulation 11(1) then —
a
one of those dates must satisfy paragraph (1) above;
b
of the other date or dates —
i
no date may be earlier than the beginning of the school year in which 1st April 2002 falls;
ii
the authority may determine a date or dates which are in the future and estimate the number of registered pupils at the school on that date or those dates.
3
Paragraphs (1) and (2) (restrictions on choice of dates for the purposes of regulation 11(1)) shall not apply in relation to pupils in nursery or reception classes whom the authority take into account under regulation 11(1) (pupils in nursery classes not occupying places which the authority recognise as reserved for such pupils or any pupils in reception classes).
Pupil numbers: Dual registration
13
Where a pupil is, in accordance with regulations made under section 434 of the 1996 Act , a registered pupil at more than one school then that pupil shall be treated as being a full-time pupil at each such school unless the authority expressly provide otherwise in their formula.
Places
14
1
In determining budget shares for —
a
special schools;
b
primary or secondary schools with places which the authority recognise as reserved for children with special educational needs or for children in nursery classes; or
c
schools with boarding accommodation,
the local education authority may take into account in their formula the number of places which they wish to fund at those special schools, the number of places of the kind described above at those primary or secondary schools or the amount of boarding accommodation which they wish to fund and in the case of sub-paragraphs (a) and (b) above may take account of the special educational needs in question.
2
A local education authority shall provide in their formula that any amount allocated in accordance with —
a
paragraph (1)(a); or
b
in so far as it relates to special educational needs, paragraph (1)(b),
in respect of a place at a school shall be at least 2.5 per cent. higher than the amount initially determined in relation to the financial year beginning on 1st April 2001 in respect of a place appropriate to a pupil with the same characteristics at that school under the corresponding provisions of the 2001 Regulations.
Differential funding
15
1
A local education authority shall use factors or criteria which differentiate between different categories or descriptions of schools in so far as the functions of the governing bodies of those schools justify such differentiation but may not otherwise do so except as required or expressly permitted by these Regulations.
2
A local education authority shall use factors or criteria which differentiate between a school and other schools of the same category or description if such differentiation is justified by reference to the choice that that school’s governing body have made as to the inclusion in their school’s budget share of funding in respect of expenditure of the kinds referred to in paragraphs 20(a) and (b), 34 or 41 of Schedule 1 to these Regulations.
3
A local education authority are not required to use factors or criteria in their formula which differentiate between —
a
primary and secondary schools, and special schools;
b
schools whose pupils are in different age ranges,
but they may do so.
4
If a local education authority choose to use a particular factor or criteria to delegate funding to all or some of the schools which they maintain, and a school which it is proposed to discontinue during the financial year did not receive funding in accordance with that factor or criteria in the financial year beginning on 1st April 2001, then this regulation shall not require the local education authority to delegate such funding to that school in accordance with that factor or criteria but they may do so.
Additional factors or criteria
16
1
Subject to regulation 15 (differential funding), a local education authority may, in determining budget shares for schools which they maintain, take into account in their formula, as they consider appropriate, any or all of the factors or criteria set out in Schedule 2.
2
A local education authority shall, in determining budget shares for primary and secondary schools which they maintain, take into account in their formula a factor based on the incidence of social deprivation among pupils registered at those schools.
Sixth form funding
17
1
Subject to paragraph 3, a secondary school’s budget share for the financial year beginning on 1st April 2002 shall include an amount equal to any sum notified to the local education authority by the LSC as being the allocation in respect of that school’s sixth form contained within grant payable to the local education authority under section 7 of the Learning and Skills Act 2000.
2
A local education authority may, in determining budget shares, use a factor which allocates funding in respect of sixth forms.
3
A local education authority may, in determining budget shares for schools with sixth forms, use factors or criteria which have the effect of reducing the amounts to be allocated under paragraph (1) in one or both of the following ways:
a
by deducting a sum representing that element which duplicates amounts payable to the school (using factors other than those permitted or required by regulation 11) under the formula used by the authority to determine schools' budget shares;
b
by reducing the amount referred to in paragraph (1) by an amount not exceeding two-thirds of the difference between that amount and the Real Terms Guarantee amount for the school as notified by the LSC, where the latter amount is lower than the former amount.
4
In this regulation, “Real Terms Guarantee amount” means the amount notified to the local education authority by the LSC as being the finalised real terms guarantee level for the financial year beginning on 1st April 2002 for the school concerned.
Budget share adjustments in relation to the financial year beginning on 1st April 2001: Pupil numbers
18
1
This regulation applies to the extent that a school’s budget share for the financial year beginning on 1st April 2001 was determined pursuant to regulation 11(1) or (3) of the 2001 Regulations other than in cases where pupil numbers were weighted according to special educational needs.
2
Subject to paragraph (3), to the extent that a school’s budget share for the financial year beginning on 1st April 2001 was —
a
determined by reference to an estimate of the number of registered pupils at the school; and
b
differences between the estimated number of pupils on those dates and the actual number of pupils at the school on those dates were not taken into account in a redetermination of the school’s budget share for that financial year,
the local education authority shall determine that school’s budget share for the financial year beginning on 1st April 2002 so as to take into account those differences.
3
A local education authority may determine a school’s budget share so as to make such adjustments which are appropriate to take into account, wholly or partly, any increases in pupil numbers during the course of the financial year beginning on 1st April 2001.
4
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s budget share for the financial year beginning on 1st April 2001 determined in accordance with regulation 20 (transitional funding) of the 2001 Regulations could have been reduced.
5
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 2001 under regulation 20 (transitional funding) of the 2001 Regulations.
Budget share adjustments in relation to the financial year beginning on 1st April 2001: Non-pupil number factors
19
1
This regulation applies to the extent that a school’s budget share for the financial year beginning on 1st April 2001 was determined other than pursuant to regulation 11(1) or (3) of the 2001 Regulations or was so determined in accordance with pupil numbers weighted according to special educational needs.
2
Where —
a
there has been a change in the data on the basis of which that determination was made; and
b
that change was not taken into account in a redetermination of the school’s budget share for the financial year beginning on 1st April 2001,
the local education authority may determine that school’s budget share so as to take into account those changes.
3
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s budget share for the financial year beginning on 1st April 2001 determined in accordance with regulation 20 (transitional funding) of the 2001 Regulations could have been reduced.
4
In so far as a determination under this regulation would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 2001 under regulation 20 (transitional funding) of the 2001 Regulations.
New and reorganised schools
20
1
In the case of —
a
a proposed school referred to in regulation 1(6);
b
a school proposals for the establishment of which have not been fully implemented;
c
a school which is the subject of a significant change of character, a significant enlargement of its premises or a transfer to a new site under the 1996 Act; or
d
a school which is the subject of a prescribed alteration within the meaning of the 1998 Act,
the local education authority shall include factors or criteria in their formula which enable them to determine the school’s budget share so as to take into account the particular needs of the school or proposed school; and in particular may, in any financial year preceding the financial year in which a school first admits pupils, determine the amount of the budget share as zero.
2
For the purposes of these Regulations, proposals for the establishment of a school have been fully implemented when the number of pupils admitted to the school in each age group has, in the opinion of the local education authority, reached —
a
that number of pupils indicated, when proposals for the establishment of the school were published, as the number of pupils to be admitted to each age group when the proposals were fully implemented; or
b
if no such number was indicated, such number as the authority may determine.
Transitional funding
21
1
A local education authority shall determine the budget share of a former grant-maintained or grant-maintained special school so as to include an amount for transitional funding.
2
The amount referred to in paragraph (1) is the amount if any by which the school’s protected level of funding in respect of the financial year beginning on 1st April 2002 determined by the local education authority in accordance with Schedule 3 is greater than the school’s adjusted budget share for that financial year.
3
For the purposes of this regulation, a school’s adjusted budget share is its budget share determined in accordance with this Part and Part V but not taking into account the effect of this regulation and regulations 18 (budget share adjustments: pupil numbers), 19 (budget share adjustments: non-pupil number factors), 23 (excluded pupils), 24, 25 and 26 (additional provisions for redeterminations) and Part IV.
4
The amount of a school’s transitional funding shall not be affected by a net increase during the financial year in that school’s adjusted budget share arising out of changes in the numbers of pupils with statements of special educational needs or changes in the needs of such pupils.
Redetermination of budget shares
22
1
A local education authority shall include factors or criteria in their formula which enable them, if they so wish, to redetermine a school’s budget share during the course of the financial year to take account wholly or partly of —
a
changes during the financial year in the number or estimates of the number of registered pupils (including the substitution of actual numbers for estimates) at the school by reference to which the budget share was determined in accordance with regulation 11(1) or (3) other than in cases where pupil numbers were weighted according to special educational needs;
b
other changes during the financial year in the data by reference to which the budget share was determined; and
c
changes during the financial year in the amount of the authority’s individual schools budget.
2
This regulation is subject to regulation 21 (transitional funding).
3
A local education authority shall set out in their formula the factors or criteria that they will use, in redetermining schools' budget shares in accordance with paragraph (1), to allocate the planned expenditure referred to in paragraph 32 of Schedule 1.
4
Where the local education authority propose to retain part of their individual schools budget pursuant to regulation 8(2) for the purpose of redeterminations or the correction of errors they shall include factors or criteria in their formula which require them to redetermine schools' budget shares before the end of the financial year so as to distribute to schools the unallocated balance of any such retained amount on the basis of pupil numbers in accordance with regulation 11(1) or (3).
5
A local education authority shall include factors or criteria in their formula which enable them to adjust the number of registered pupils used to determine or redetermine a school’s budget share where it is appropriate to do so in order to take into account, wholly or partly —
a
any reduction or increase in the school’s budget share under regulation 23 (pupils permanently excluded or admitted following a permanent exclusion); or
b
any increase in the school’s budget share under this regulation in respect of significant increases in pupil numbers funded by the planned expenditure referred to in paragraph 32 of Schedule 1.
Pupils permanently excluded or admitted following a permanent exclusion
23
1
Where a pupil is permanently excluded from a school maintained by a local education authority, the authority shall redetermine the school’s budget share for that financial year in accordance with paragraph (2).
2
The school’s budget share shall be reduced by the amount A × (B/52) where —
A is the amount, in the financial year in which the permanent exclusion takes effect (as defined from time to time for the purposes of section 494 of the 1996 Act (“the relevant date”)), determined by the authority, in accordance with this Part, to be attributable for the full financial year to a registered pupil of the same age and characteristics as the pupil in question at primary or secondary schools maintained by the authority:
For the purposes of this definition the amount attributable to a registered pupil is the sum of the amounts determined in accordance with the authority’s formula or regulation 32 by reference to pupil numbers rather than by reference to the number of places at the school or any other factor or criteria not dependent on pupil numbers (except that, where the registered pupil in question is a pupil in respect of whom grant is payable to the authority by the LSC, the amount attributable to that pupil shall be £2,600); and
B is the number of complete weeks remaining in the financial year calculated from the relevant date:
EXCEPT that where the permanent exclusion takes effect on or after 1st April in a school year at the end of which pupils of the same age or age group as the pupil in question normally leave that school prior to being admitted to another school with a different pupil age range, B is the number of complete weeks remaining in that school year calculated from the relevant date.
3
Where a pupil is admitted to a school maintained by a local education authority (“the admitting school”) who has been permanently excluded from another maintained school in that financial year the authority shall redetermine the admitting school’s budget share in accordance with paragraph (4).
4
The school’s budget share shall be increased by an amount which may not be less than the amount D × (E/F) where —
D is the amount by which the authority reduce the budget share of the school from which the pupil was permanently excluded or would have reduced it had that school been maintained by the authority;
E is the number of complete weeks remaining in the financial year during which the pupil is a registered pupil at the admitting school;
F is the number of complete weeks remaining in the financial year calculated from the relevant date.
Additional provisions for redeterminations in relation to financial years beginning on or before 1st April 2000: (1) Former grant-maintained or grant-maintained special schools in the period before they became such schools and (2) Schools which were never such schools
24
1
A local education authority may in the circumstances described in paragraph (2) redetermine a school’s budget share for the financial year beginning on 1st April 2002 to take into account changes in that school’s non-domestic rates liability or to correct errors in data supplied by the head teacher or governing body of the school, by reference to which the following were determined —
a
the school’s budget share within the meaning of the 1996 Act for any financial year beginning on or before 1st April 1998; or
b
in the case of a school which is not a former grant-maintained or grant-maintained special school, the school’s budget share within the meaning of the 1998 Act for the financial year beginning on 1st April 1999 or the financial year beginning on 1st April 2000.
2
The circumstances referred to in paragraph (1) are that —
a
such matters have not already been taken into account in any determination or redetermination of that school’s budget share within the meaning of the 1996 Act or the 1998 Act or its maintenance grant (as a former grant-maintained or grant-maintained special school); and
b
such redetermination as is proposed could have been made in relation to the preceding financial year in question under the terms of —
i
the authority’s scheme within the meaning of the 1996 Act in force in that year; or
ii
in the case of the financial year beginning on 1st April 1999, the 1999 Regulations; or
iii
in the case of the financial year beginning on 1st April 2000, the 2000 Regulations or the Financing of Maintained Schools (England) (No 2) Regulations 2000.
Additional provisions for redeterminations in relation to the financial years beginning on 1st April 1999 or 1st April 2000: Former grant-maintained or grant-maintained special schools
25
1
A local education authority may redetermine a former grant-maintained or grant-maintained special school’s budget share for the financial year beginning on 1st April 2002 to take into account changes in that school’s non-domestic rates liability or to correct errors in data supplied by the head teacher or governing body of the school, by reference to which the school’s budget share for the financial year beginning on 1st April 1999 or the financial year beginning on 1st April 2000 was determined if —
a
such matters have not already been taken into account in any determination or redetermination of that school’s budget share for any financial year or financial years;
b
such redetermination as is proposed could have been made in the financial year beginning on 1st April 1999 (or, as the case may be, the financial year beginning on 1st April 2000) in accordance with the 1999 Regulations (or, as the case may be, the 2000 Regulations or the Financing of Maintained Schools (England) (No 2) Regulations 2000).
2
In so far as a determination under paragraph (1) would require the amount that would otherwise be the budget share of the school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s budget share for the financial year beginning on 1st April 1999 (or, as the case may be, the financial year beginning on 1st April 2000) determined in accordance with regulation 18 (transitional funding) of the 1999 Regulations (or, as the case may be, regulation 18 (transitional funding) of the 2000 Regulations) could have been reduced.
3
In so far as a determination under paragraph (1) would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 1999 (or, as the case may be, the financial year beginning on 1st April 2000) under regulation 18 (transitional funding) of the 1999 Regulations (or, as the case may be, regulation 18 (transitional funding) of the 2000 Regulations).
Additional provisions for redeterminations in relation to financial years beginning on or before 1st April 1998: Former grant-maintained or grant-maintained special schools
26
1
A local education authority may in the circumstances described in paragraph (2) redetermine a former grant-maintained or grant-maintained special school’s budget share for the financial year beginning on 1st April 2002 to take into account changes in that school’s non-domestic rates liability or to correct errors in data supplied by the head teacher or governing body of the school, by reference to which the school’s maintenance grant (as a grant-maintained or grant-maintained special school) was determined for any financial year beginning on or before 1st April 1998.
2
The circumstances referred to in paragraph (1) are that —
a
such matters have not already been taken into account in any determination or redetermination of that school’s budget share within the meaning of the 1996 Act or the 1998 Act or its maintenance grant (as a grant-maintained or grant-maintained special school);
b
such redetermination as is proposed could have been made in the preceding financial year in question in relation to a school maintained by the authority under the terms of the authority’s scheme within the meaning of the 1996 Act in force in that year; and
c
any increase or decrease in the amount of the school’s budget share to take into account changes in the school’s non-domestic rates liability does not exceed the change in the school’s net liability in respect of rates.
3
In so far as a determination under paragraph (1), arising from adjustments relating to the financial year beginning on 1st April 1998, would require the amount that would otherwise be the budget share of the school to be reduced, it may not be reduced by an amount greater than the amount by which the school’s maintenance grant for that financial year determined in accordance with regulation 9 (transitional funding) of the Education (Grant-maintained and Grant-maintained Special Schools) (Finance) Regulations 1998 (“the 1998 Regulations ”) could have been reduced.
4
In so far as a determination under paragraph (1), arising from adjustments relating to the financial year beginning on 1st April 1998, would require the amount that would otherwise be the budget share of a former grant-maintained or grant-maintained special school to be increased, there shall be deducted from that increase any amount for transitional funding determined in respect of the school in the financial year beginning on 1st April 1998 under regulation 9 (transitional funding) of the 1998 Regulations.
Percentage of “pupil-led” funding
27
1
In determining and redetermining budget shares for primary and secondary schools a local education authority shall ensure that their formula provides that at least 75 per cent. of the amount which is their individual schools budget, less the amounts referred to in paragraph (2), is allocated in one or more of the following manners —
a
in accordance with regulation 11(1) or (3);
b
in accordance with any other factors or criteria using pupil numbers which provide for the same funding for pupils of the same age irrespective of the nature of the school which they attend but such funding for children with special educational needs who do not have statements of special educational needs shall only count towards the figure of 75 per cent. referred to above to the extent that it does not exceed 5 per cent. of the amount allocated by the authority to primary and secondary schools from their individual schools budget;
c
to places in primary schools which the authority recognise as reserved for children in nursery classes;
d
to places in primary or secondary schools which the authority recognise as reserved for children with special educational needs;
e
for pupils with statements of special educational needs where funding in respect of such pupils forms part of schools' budget shares;
f
to places for pupils in boarding accommodation at boarding schools other than special schools; and
g
in accordance with regulation 17.
2
For the purposes of this regulation the following amounts are to be excluded from the local education authority’s individual schools budget —
a
the budget shares of special schools;
b
any transitional funding determined under regulation 21;
c
any part of the individual schools budget retained pursuant to regulation 8(2) for the purpose of redeterminations or the correction of errors in relation to special schools;
d
any amount determined under Part IV.
PART IV
ADDITIONAL AMOUNT TO BE ADDED TO AMOUNT DETERMINED UNDER PART III
Definition for Part IV
28
In this Part a reference to a maintained school includes a proposed school which, on implementation of the proposals for the establishment of the school, will be a community, foundation or voluntary school or a community or foundation special school in the financial year beginning on 1st April 2002.
Determination of additional amount
29
1
In making the initial determination of a maintained school’s budget share, a local education authority shall, subject to paragraphs (2), (3) and (5) and regulation 32 below, add to the amount determined in accordance with Part III, the amount which is set out in column (2) of the table below, opposite the description of that school in column (1).
(1) (2) Description of school Amount to be added
Primary school with fewer than 100.5 pupils £7,200 Primary school with 100.5 pupils or more but with fewer than 200.5 pupils £13,900 Primary school with 200.5 pupils or more but with fewer than 400.5 pupils £24,700 Primary school with 400.5 pupils or more but with fewer than 600.5 pupils £30,900 Primary school with 600.5 pupils or more £49,400 Secondary school with fewer than 600.5 pupils £59,600 Secondary school with 600.5 pupils or more but with fewer than 1,200.5 pupils £72,000 Secondary school with 1,200.5 pupils or more £84,300 Special school with fewer than 100.5 pupils £20,600 Special school with 100.5 pupils or more £28,800
2
A local education authority shall determine the budget share of a middle deemed primary school which has a year 8 or a year 9 class in accordance with this Part as if that school were a secondary school.
3
Where a proposed school to which this Part applies will not have a budget share on or before 1st April 2002, a local education authority shall determine the budget share of that school in accordance with this Part as soon as it does have a budget share.
4
References in the table to a number of pupils are references to —
a
the number of full-time equivalent pupils registered at the school on 17th January 2002; or
b
in the case of a school which is to open during the financial year or a school proposals for the establishment of which have not been fully implemented, the number of full-time pupils indicated, when proposals for the establishment of the school were published, as the number of such pupils to be admitted to the school when the proposals were fully implemented,
where the “full-time equivalent” is the number of full-time pupils plus half the number of part-time pupils, and a “part-time pupil” is one who attends school other than on the basis that he should attend both morning and afternoon sessions at least 5 days each week.
5
A local education authority shall not determine the budget share of a school in accordance with this Part if proposals to discontinue the school in the financial year beginning on 1st April 2002 have already been approved, unless at a date following 1st April 2002 the closure date is amended to a date on or after 1st April 2003.
6
Where —
a
a school’s budget share is determined in accordance with this Part; and
b
proposals to discontinue the school in the financial year beginning on 1st April 2002 are approved on or after that date; and
c
the local education authority are satisfied that there are successor schools opening on or before 31st March 2003 which will have their budget shares determined in accordance with this Part,
then the budget share of the discontinued school shall be redetermined so as to deduct the amount added in accordance with this Part.
Redeterminations of budget shares under Part III
30
Whenever a local education authority redetermine a school’s budget share in accordance with Part III they shall —
a
first determine an amount in accordance with that Part without taking into account the amount to be added in accordance with this Part; and then
b
add to the amount so determined the amount to be added in accordance with this Part.
PART V
CORRECTION OF ERRORS AND ADDITIONAL ARRANGEMENTS APPROVED BY THE SECRETARY OF STATE
Correction of errors
31
A local education authority may at any time during the financial year redetermine a school’s budget share for the financial year beginning on 1st April 2002 in order to correct an error in a determination or redetermination under these Regulations, whether arising from a mistake as to the number of registered pupils at the school or otherwise.
Additional arrangements approved by the Secretary of State
32
1
The Secretary of State may, where it appears to her to be expedient to do so, authorise a local education authority to determine or redetermine budget shares, to such extent as she may specify, in accordance with arrangements approved by her in place of the arrangements provided for by these Regulations.
2
Authorisations given and arrangements approved by the Secretary of State under the 1999 Regulations, the 2000 Regulations or the 2001 Regulations shall, unless the contrary intention appears in such authorisation or arrangements, continue to apply in relation to the financial year beginning on 1st April 2002.
PART VI
SCHEMES
Required content of schemes
33
A scheme prepared by a local education authority under section 48(1) of the 1998 Act shall deal with the matters connected with the financing of schools maintained by the authority set out in Schedule 4.
Manner of publication
34
For the purposes of paragraph 1(7) of Schedule 14 to the 1998 Act (prescribed manner of publication of schemes) a scheme shall be published by the local education authority concerned on its coming into force and in the circumstances prescribed in regulation 35 by —
a
furnishing a copy to the governing body and a copy to the head teacher of each school maintained by the authority; and
b
making a copy available for reference at all reasonable times and without charge at each school maintained by the authority and at the principal education office of the authority.
Additional occasions when schemes require publication
35
For the purposes of paragraph 1(7)(b) of Schedule 14 to the 1998 Act (prescribed occasions on which publication of schemes is required) a scheme shall be published by the local education authority concerned on the coming into force of any revision of it.
Stephen Timms
Minister of State,
Department for Education and Skills
21st February 2002


type: legislation

jurisdiction: UK

text:
1
This Order may be cited as the Reading College and School of Arts and Design (Dissolution) Order 2003 and shall come into force on 31st December 2003.
2
On 31st December 2003 the corporation shall be dissolved and all of its property, rights and liabilities shall be transferred to Thames Valley University.
3
Section 26(2), (3) and (4) of the Act shall apply to any person employed by the corporation immediately before 31st December 2003 as if the references in that section —
a
to a person to whom that section applies were to a person so employed;
b
to the operative date were to 31st December 2003;
c
to the transferor were to the corporation; and
d
to the corporation were to Thames Valley University.
Alan Johnson
Minister of State,
Department for Education and Skills
12th November 2003


text:
Citation, commencement and application
1
1
These Regulations may be cited as the National Health Service (Out of Hours Provision of Personal Medical Services and Miscellaneous Amendments) (England) Regulations 2003 and shall come into force on 1st February 2003.
2
These Regulations apply to England only.
PART I
OUT OF HOURS PROVISION OF PERSONAL MEDICAL SERVICES
Interpretation
2
1
In this Part —
“accredited service provider” has the same meaning as in the Out of Hours Regulations ;
“normal hours” means the period encompassing the days and times of the day specified in a pilot scheme agreement as being the days on which, and the times at which, a doctor will normally be available to perform personal medical services;
“out of hours arrangement” shall be construed in accordance with regulation 3(1);
“out of hours period” means any period which does not fall within the normal hours;
“Out of Hours Regulations” means the National Health Service (Out of Hours Medical Services) and National Health Service (General Medical Services) Amendment Regulations 2002 ;
“pilot area” means the area specified in a pilot scheme agreement as the area in which piloted services are to be provided;
“pilot scheme” means any agreement under section 1(1) of the National Health Service (Primary Care) Act 1997 (pilot schemes) other than a scheme under which personal dental services are provided;
“pilot scheme agreement” means an agreement which constitutes, or is one of the agreements which together constitute, a pilot scheme;
“piloted services” means services provided in accordance with a pilot scheme;
“relevant body” means —
in the case where a pilot scheme provider is a party to a pilot scheme agreement with a Strategic Health Authority, that Strategic Health Authority; or
in the case where a pilot scheme provider is a party to a pilot scheme agreement with a Primary Care Trust, that Primary Care Trust.
2
In this Part, subject to paragraph (3), “pilot scheme provider” means a person, other than a Primary Care Trust or a Strategic Health Authority, who is a party to a pilot scheme agreement.
3
Where a Primary Care Trust is providing services under a pilot scheme agreement, “pilot scheme provider” means that Primary Care Trust.
Out of hours arrangements
3
1
A pilot scheme provider may, with the approval of the relevant body, make an arrangement under which any of its liabilities and obligations under a pilot scheme are transferred to an accredited service provider during part or all of the out of hours period (“an out of hours arrangement”).
2
An out of hours arrangement shall —
a
terminate if the approval of the accredited service provider is withdrawn under regulation 8 of the Out of Hours Regulations (withdrawal of accreditation); or
b
be suspended if the approval of the accredited service provider is suspended under regulation 9 of the Out of Hours Regulations (suspension of approval),
and in these circumstances, the provisions of regulations 5 and 6 below shall not apply.
3
A pilot scheme provider may —
a
make more than one out of hours arrangement, for example with different accredited service providers and in respect of different patients, different times and different parts of the pilot area;
b
retain responsibility for, or make separate out of hours arrangements in respect of, the provision of maternity medical services, and any separate out of hours arrangements it makes may encompass all or any part of the maternity medical services it provides.
4
Nothing in this regulation prevents a pilot scheme provider from retaining or resuming its obligations in relation to named patients.
Form of applications for approval of out of hours arrangements and determinations of applications
4
1
An application for approval of an out of hours arrangement shall be made by the pilot scheme provider in writing to the relevant body and shall state —
a
the name and address of the accredited service provider;
b
the periods during which the pilot scheme provider’s liabilities and obligations under the pilot scheme are to be transferred to the accredited service provider;
c
how it is proposed that the accredited service provider will meet the pilot scheme provider’s liabilities and obligations during the periods specified under sub-paragraph (b);
d
the arrangements for the transfer of the pilot scheme provider’s liabilities and obligations to and from the accredited service provider at the beginning and end of the periods specified under sub-paragraph (b);
e
whether the proposed out of hours arrangement includes the pilot scheme provider’s liabilities and obligations in respect of maternity medical services, and if so, details of any doctor who will perform maternity medical services during the periods specified under sub-paragraph (b);
f
how long the proposed out of hours arrangement is intended to last and the circumstances in which the pilot scheme provider’s liabilities and obligations during the periods specified under sub-paragraph (b) would revert to it; and
g
what arrangements are proposed to enable patients in respect of whom piloted services are provided to contact the accredited service provider.
2
The relevant body shall determine the application before the end of the period of 28 days beginning with the day on which the relevant body received it.
3
The relevant body shall approve a proposed out of hours arrangement if it is satisfied —
a
having regard to the overall provision of out of hours services in its area, that the arrangement is reasonable and will contribute to the efficient provision of such services in the area;
b
having regard to the interests of the patients in respect of whom piloted services are provided, that the arrangement is reasonable;
c
having regard to all reasonably foreseeable circumstances, that the arrangement is practicable and will work satisfactorily;
d
that the area covered by the proposed out of hours arrangement is within the specified geographical area in respect of which the accredited service provider is approved under regulation 5 of the Out of Hours Regulations (approval);
e
that it will be clear to the patients in respect of whom piloted services are provided how to seek personal medical services outside normal hours;
f
where maternity medical services are to be provided under the out of hours arrangement, that they will be performed by a doctor who has such medical experience and training as are necessary to enable the doctor properly to perform such services; and
g
that if the out of hours arrangement comes to an end, the pilot scheme provider has in place proper arrangements for the immediate resumption of its responsibilities.
4
The relevant body shall inform the pilot scheme provider of its determination as to whether or not to approve the application by a notice in writing, and where it refuses an application, it shall —
a
include in the notice a statement of the reasons for its determination; and
b
inform the pilot scheme provider of its right of appeal under paragraph (5).
5
A pilot scheme provider may, before the end of the period of 30 days beginning with the day on which the notice referred to in paragraph (4) was sent, appeal in writing to the Secretary of State against any refusal of an application under this regulation.
6
The Secretary of State may, when determining an appeal, either confirm the determination of the relevant body or substitute his own determination for that of the relevant body.
7
The Secretary of State shall inform the pilot scheme provider of his determination of the appeal by a notice in writing, and shall include in the notice a written statement of the reasons for the determination.
Review of, and withdrawal of approval of, out of hours arrangements by the relevant body
5
1
Subject to regulation 6, where, in respect of any out of hours arrangement with a pilot scheme provider, it appears to a relevant body that it may no longer be satisfied as to one or more of the matters referred to in regulation 4(3), it may inform the pilot scheme provider by a notice in writing that it proposes to review its approval of the arrangement, and in that notice it shall —
a
explain why it appears to the relevant body that it may no longer be satisfied as to one or more of the matters referred to in regulation 4(3); and
b
inform the pilot scheme provider that it may, within 30 days of the date of the notice, make representations in writing to the relevant body addressing the concerns raised in the notice.
2
After considering any representations made in accordance with paragraph (1)(b), the relevant body may determine either to allow the arrangement to continue or to withdraw its approval.
3
The relevant body shall give notice to the pilot scheme provider of its determination and, where it withdraws approval, it shall —
a
include with the notice a statement in writing of the reasons for its determination; and
b
inform the pilot scheme provider of its right of appeal under paragraph (4).
4
A pilot scheme provider may, before the end of the period of 30 days beginning with the day on which the notice referred to in paragraph (3) was sent, appeal in writing to the Secretary of State against the withdrawal of approval under this regulation, and if it does so, the Secretary of State —
a
may, when determining the appeal, either confirm the determination of the relevant body or substitute his own determination for that of the relevant body; and
b
shall inform the pilot scheme provider of his determination of the appeal by a notice in writing, and shall include in the notice a written statement of the reasons for the determination.
5
Where the relevant body withdraws approval, the withdrawal shall take effect —
a
at the end of the period of two months beginning with the date on which the notice referred to in paragraph (3) was sent; or
b
where there is an appeal and the appeal is dismissed, the date on which the pilot scheme provider receives notice from the Secretary of State under paragraph (4)(b) that the appeal has been dismissed,
whichever is the later.
Withdrawal of approval of out of hours arrangements with immediate effect
6
1
Where, in respect of any out of hours arrangement with a pilot scheme provider, it appears to a relevant body that it is necessary in the interests of the patients in respect of whom piloted services are provided under the arrangement to withdraw its approval of that arrangement with immediate effect, it may withdraw its approval of that arrangement with immediate effect, and in these circumstances it shall inform the pilot scheme provider by a notice in writing —
a
that it is withdrawing its approval with immediate effect, giving the reasons for that determination; and
b
of the pilot scheme provider’s right of appeal under paragraph (2).
2
A pilot scheme provider may, before the end of the period of 30 days beginning with the day on which the notice referred to in paragraph (1) was sent, appeal in writing to the Secretary of State against the withdrawal of approval with immediate effect under this regulation, and if it does so, the Secretary of State —
a
may, when determining the appeal either confirm the determination of the relevant body or substitute his own determination for that of the relevant body; and
b
shall inform the pilot scheme provider of his determination of the appeal by a notice in writing, and shall include in the notice a written statement of the reasons for the determination.
PART II
AMENDMENT OF OTHER REGULATIONS
Amendment of the National Health Service (General Medical Services) Regulations 1992
7
1
The National Health Service (General Medical Services) Regulations 1992 are amended as follows.
2
In paragraph 18A of Schedule 2 (terms of service) —
a
in sub-paragraph (1)(za), for “and “necessary quality standards” have the meaning given to them” substitute “has the meaning given to it”;
b
in sub-paragraph (2), after “to transfer” insert “any of his liabilities and”;
c
in sub-paragraph (2C) for “(2A)(b)” substitute “(2)(b)”;
d
in sub-paragraph (4), after “regulation 31” insert “, and any separate out of hours arrangements he makes may encompass all or any part of the maternity medical services he provides”;
e
sub-paragraph (6) is omitted;
f
in sub-paragraph (9), after paragraph (c) insert the following paragraph —
cc
where maternity medical services are to be provided under the out of hours arrangement, that they will be performed by a doctor who has such medical experience and training as are necessary to enable the doctor properly to perform such services;
.
3
After paragraph 21 of Schedule 2 insert the following paragraph —
21A
1
In this paragraph, “organisation providing deputy doctors” means a person who provides deputies to doctors, and includes a body which —
a
consists only of —
i
doctors whose names are included in the list of a Primary Care Trust and who arrange to act as deputies to each other, or
ii
pilot doctors and doctors whose names are included in the list of a Primary Care Trust who co-operate in such a way that one doctor will cover for another to secure the performance of personal medical services or, as the case may be, the provision of general medical services for their patients; and
b
keeps separate accounts in relation to such arrangements.
2
Before entering into arrangements with an organisation providing deputy doctors for the provision of any deputy, a doctor shall —
a
obtain the written agreement of the organisation that any doctor it provides to him —
i
will not be subject to a declaration under section 46(2)(c) of the Act, or under any corresponding provision in force in Scotland or Northern Ireland, that he is not fit to be engaged in any capacity in the provision of general medical services,
ii
will not be suspended by any direction of the Tribunal, other than in a case falling within section 49B(3) of the Act,
iii
will (unless he is a trainee general practitioner acting in the place of and under the supervision of a doctor responsible for his training) be suitably experienced within the meaning of section 31 of the Act (other than by virtue of being a restricted services principal) or will have the acquired rights specified in regulation 5(1)(d) of the Vocational Training for General Medical Practice (European Requirements) Regulations 1994,
iv
will not be subject to a declaration under paragraph 4(3) of Schedule 1 to the 1997 Act that he is not fit to be engaged in any capacity in the provision of general medical services, and
v
is on a supplementary medical list, medical list or is named as a performer of personal medical services in a pilot scheme; and
b
take all reasonable steps to satisfy himself that the service provided by the organisation (including its monitoring arrangements) will be adequate and appropriate having regard in particular to the interests of the doctor’s patients.
3
A doctor shall notify the Primary Care Trust of any arrangements he makes with an organisation providing deputy doctors.
4
A doctor shall, from time to time and at any time when there are grounds for doing so, take reasonable steps to satisfy himself that an organisation providing deputy doctors with which he has entered into arrangements for the provision of any deputy —
a
continues to comply with the agreement referred to in sub-paragraph (2)(a); and
b
continues to provide a service which is adequate and appropriate as mentioned in sub-paragraph (2)(b).
5
Subject to sub-paragraph (6), if the Primary Care Trust so requests, a doctor shall furnish it with evidence that such an organisation is continuing —
a
to comply with the agreement mentioned in sub-paragraph (2)(a); or
b
to provide a service which is adequate and appropriate as mentioned in sub-paragraph (2)(b) above,
as the case may be.
6
A Primary Care Trust shall not make a request for evidence under sub-paragraph (5)(b) unless —
a
it has reasonable grounds for believing that the organisation providing deputy doctors is not providing a service which is adequate and appropriate as mentioned in sub-paragraph (2)(b); and
b
it has consulted the Local Medical Committee.
7
Subject to sub-paragraph (8), where as a result of evidence provided under sub-paragraph (5)(b), the Primary Care Trust continues to have reasonable grounds for believing that the organisation providing deputy doctors is not providing a service which is adequate and appropriate as mentioned in sub-paragraph (2)(b), it shall give notice (in this paragraph referred to as a “remedial notice”) to the doctor specifying —
a
the grounds for its concern;
b
the remedial action it considers necessary; and
c
the date before which such action must be taken.
8
A Primary Care Trust shall not issue a remedial notice under sub-paragraph (7) without first consulting the Local Medical Committee.
9
Where a Primary Care Trust issues a remedial notice under sub-paragraph (7), it shall also send a copy of that notice to any other doctor who has made arrangements with the same organisation.
10
Where it appears to a Primary Care Trust that —
a
an organisation providing deputy doctors with which a doctor has made arrangements for the provision of a deputy —
i
is not complying with the agreement referred to in sub-paragraph (2)(a), or
ii
has not taken the action specified in a remedial notice issued under sub-paragraph (7) within the time specified in that notice; or
b
a doctor’s arrangement with such an organisation is such that the doctor’s patients are at risk,
it may give notice to the doctor requiring him to bring his arrangement with that organisation to an end either immediately or before such date as is stated in the notice.
.
4
In Schedule 10 (drugs and other substances not to be prescribed for supply under pharmaceutical services), omit the following entries —
Fabrol Granules
Fluimucil Granules
Methylcisteine Tablets 100 mg
Mucodyne Capsules
Mucodyne Syrup
Mucodyne Forte Syrup
Mucodyne Forte Tablets
Mucodyne Paediatric Syrup
Visclair Tablets.
5
In Schedule 11 (drugs to be prescribed under pharmaceutical services only in certain circumstances) —
a
omit “Acetylcysteine Granules” in column 1 and the entries in columns 2 and 3 which relate to that entry;
b
omit “Carbocisteine” in column 1 and the entries in columns 2 and 3 which relate to that entry; and
c
after “Apomorphine Hydrochloride (Uprima)” in columns 1 and 2, insert in each of those columns “, Tadalafil (Cialis)”.
Amendment of the Out of Hours Regulations
8
The National Health Service (Out of Hours Medical Services) and National Health Service (General Medical Services) Amendment Regulations 2002 are amended as follows —
a
in regulation 5(5) (approval), for “At the end” substitute “During or at the end”;
b
in regulation 10(4) (appeal), for “Primary Care Trust” substitute “accrediting authority”; and
c
in regulation 11(2)(c) (notification), for “Primary Care Trust” substitute “accrediting authority”.
Signed by authority of the Secretary of State for Health
John Hutton
Minister of State,
Department of Health
9th January 2003


text:
Citation and application
1
This Order may be cited as the Education (School Admissions Code of Practice and School Admission Appeals Code of Practice) (Appointed Day) (England) Order 2003.
2
This Order applies only in relation to England.
Appointed Day
3
The day appointed for the coming into force of the School Admissions Code of Practice and the School Admission Appeals Code of Practice (copies of a draft of which were laid before Parliament on 15 th November 2002) is 31 st January 2003.
Charles Clarke
Secretary of State for Education and Skills
29th January 2003


text:
Citation and commencement
1
1
These Regulations may be cited as the Accounts and Audit Regulations 2003 and shall come into force on 1st April 2003.
2
These Regulations apply in England only .
Interpretation and application
2
1
In these Regulations —
“the 1972 Act ” means the Local Government Act 1972 ;
“the 1989 Act ” means the Local Government and Housing Act 1989 ;
“the 1996 Regulations ” means the Accounts and Audit Regulations 1996 ;
“the 1998 Act” means the Audit Commission Act 1998;
“notice by advertisement” means a notice published in one or more local newspapers circulating in the area of the relevant body;
“parish meeting” means a parish meeting of a parish not having a separate parish council;
“relevant body” means a body whose accounts are required to be audited in accordance with section 2 of the 1998 Act other than a body specified in section 98(1) of the National Health Service Act 1977 , a local probation board or a Passenger Transport Executive ;
“working day” means any day other than a Saturday or Sunday or a day which is a bank holiday in England; and
“year” means the 12 months ending with 31st March.
2
Any reference in these Regulations to the “responsible financial officer ” means —
a
the person who, by virtue of section 151 of the 1972 Act , is responsible for the administration of the financial affairs of a relevant body or, if no person is so responsible, the person who is responsible for keeping the accounts of such a body, or
b
if the person referred to in paragraph (a) is unable to act owing to absence or illness, such member of his staff as is nominated by him for the purposes of section 114 of the Local Government Finance Act 1988 or, if no nomination is made under that section, the person nominated by him for the purposes of these Regulations.
3
These Regulations shall apply to all relevant bodies.
4
Regulations 11(1), 13 to 16 and 18(1) shall, with all necessary modifications, apply to the accounts of an officer whose accounts are required to be audited by section 26 of the 1998 Act.
Revocation of instruments
3
The following instruments are hereby revoked —
a
the Accounts and Audit Regulations 1996 ; and
b
the Accounts and Audit (Amendment) (England) Regulations 2001 .
Responsibility for financial management
4
1
The relevant body shall be responsible for ensuring that the financial management of the body is adequate and effective and that the body has a sound system of internal control which facilitates the effective exercise of that body’s functions and which includes arrangements for the management of risk.
2
The relevant body shall conduct a review at least once in a year of the effectiveness of its system of internal control and shall include a statement on internal control, prepared in accordance with proper practices, with —
a
any statement of accounts it is obliged to publish in accordance with regulation 11, or
b
any income and expenditure account, statement of balances or record of receipts and payments it is obliged to publish or display in accordance with regulation 12.
Accounting records and control systems
5
1
Subject to paragraphs (3) and (4) and in so far as they are not in conflict with this paragraph or to any instructions given by a relevant body to its responsible financial officer, that officer shall determine on behalf of the body, its —
a
accounting records, including the form of accounts and supporting accounting records; and
b
accounting control systems,
and such an officer shall ensure that the accounting control systems determined by him are observed and that the accounting records of the body are maintained in accordance with proper practices and kept up to date.
2
The accounting records determined by the responsible financial officer on behalf of a relevant body in accordance with paragraph (1)(a) shall be sufficient to show the body’s transactions and to enable the responsible financial officer to ensure that any statement of accounts, income and expenditure account, statement of balances or record of receipts and payments and additional information to be provided by way of notes to the accounts, as the case may be, which are prepared under these Regulations, comply with these Regulations.
3
The accounting records determined by the responsible financial officer on behalf of a relevant body in accordance with paragraph (1)(a) shall in particular contain —
a
entries from day to day of all sums of money received and expended by the body and the matters to which the income and expenditure or receipts and payments account relate;
b
a record of the assets and liabilities of the body; and
c
a record of income and expenditure of the body in relation to claims made, or to be made, by them for contribution, grant or subsidy from any Minister of the Crown, a body to whom such a Minister may pay sums out of moneys provided by Parliament or a Community institution.
4
The accounting control systems determined by the responsible financial officer on behalf of a relevant body in accordance with paragraph (1)(b) shall include —
a
measures to ensure that the financial transactions of the body are recorded as soon as reasonably practicable and as accurately as reasonably possible, measures to enable the prevention and detection of inaccuracies and fraud, and the ability to reconstitute any lost records;
b
identification of the duties of officers dealing with financial transactions and division of responsibilities of those officers in relation to significant transactions;
c
procedures to ensure that uncollectable amounts, including bad debts, are not written off except with the approval of the responsible financial officer, or such member of his staff as is nominated by him for this purpose, and that the approval is shown in the accounting records; and
d
measures to ensure that risk is appropriately managed.
Internal audit
6
A relevant body shall maintain an adequate and effective system of internal audit of its accounting records and of its system of internal control in accordance with the proper internal audit practices, and any officer or member of that body shall, if the body requires —
a
make available such documents of the body which relate to its accounting and other records as appear to that body to be necessary for the purpose of the audit; and
b
supply the body with such information and explanation as that body considers necessary for that purpose.
Statement of accounts
7
1
A body to which paragraphs (3) and (4) apply shall prepare in accordance with proper practices a statement of accounts for each year, which shall include the following —
a
an explanatory foreword;
b
a statement of accounting policies;
c
a statement of responsibilities for the statement of accounts;
d
such of the following accounting statements as are relevant to the functions of the relevant body —
i
consolidated revenue account;
ii
housing revenue account;
iii
collection fund;
iv
consolidated balance sheet;
v
statement of total movements in reserves;
vi
cash flow statement;
vii
group accounts;
viii
any other statements relating to each and every other fund in relation to which the body is required by any statutory provision to keep a separate account;
e
notes to the accounts.
2
The statement required by paragraph (1) above shall be accompanied by a note of the number of employees in the year to which the accounts relate whose remuneration fell in each bracket of a scale in multiples of £10,000 starting with £50,000; and, for such purposes, “remuneration” means all amounts paid to or receivable by an employee, and includes sums due by way of expenses allowance (so far as those sums are chargeable to United Kingdom income tax), and the estimated money value of any other benefits received by an employee otherwise than in cash.
3
This paragraph applies to the following bodies —
a
a London borough council, a county council or a district council in England;
b
a joint authority ;
c
the Greater London Authority;
d
a functional body ;
e
the London Pensions Fund Authority ;
f
a committee of an authority mentioned in sub-paragraph (a), including a joint committee of two or more such authorities;
g
the Council of the Isles of Scilly;
h
the Broads Authority ;
i
a National Park authority ;
j
a police authority ;
k
any fire authority constituted by a combination scheme ; and
l
the Greater London Magistrates' Courts Authority .
4
Where in relation to a parish council or a parish meeting, the gross income or expenditure (whichever is the higher) for the year is, and for each of the two immediately preceding years was, £500,000 or more, the requirements of paragraphs (1) and (2) above shall apply to that council or the chairman of the meeting, as the case may be, in respect of that period.
5
In the case of a local authority which is required by section 74 of the 1989 Act to keep a Housing Revenue Account, the statement of accounts required by paragraph (1) shall include also an account in respect of a reserve for major repairs to property of the authority to which section 74(1) of the 1989 Act for the time being applies (to be called a major repairs reserve), showing in particular both —
a
a debit in respect of expenditure which is —
i
excluded from the obligation in section 41(1) of the 1989 Act because of regulation 12A of the Local Authorities (Capital Finance) Regulations 1997 , and
ii
not carried to the debit of the Housing Revenue Account of the authority under item 2(b) of Part II of Schedule 4 to the 1989 Act ; and
b
a credit of an amount in respect of any charge for depreciation included in the Housing Revenue Account under item 8 of Part II of Schedule 4 to the 1989 Act.
6
The Common Council of the City of London shall in relation to the accounts referred to in paragraph 2 of Schedule 2 to the 1998 Act prepare for each year, in accordance with proper practices, a statement of accounts including —
a
a summarised statement of capital expenditure in relation to each of the funds mentioned in that paragraph, differentiated in respect of different services and showing the sources of finance of the year’s total capital expenditure defrayed in the period;
b
summarised statements of the income and expenditure of each of those funds; and
c
balance sheets in respect of each of those funds,
and in relation to amounts shown in pursuance of sub-paragraphs (b) and (c) shall show any corresponding amounts for the immediately preceding period.
7
This Regulation shall apply to accounts for the year ending with 31st March 2003, as well as subsequent years.
Summary statement of accounts — Greater London Authority
8
The summary statement of accounts which the Greater London Authority (“ the Authority”) is required to prepare by section 134 of the Greater London Authority Act 1999 shall be prepared in accordance with proper practices and shall include —
a
a summary of the income and expenditure of the Authority;
b
a summary of the income and expenditure of each of the functional bodies and the London Pensions Fund Authority;
c
a summary of the capital expenditure of the Authority; and
d
a summary of the capital expenditure of each of the functional bodies and the London Pensions Fund Authority.
Other accounting statements
9
1
A body to which paragraph (2) applies shall prepare in accordance with proper practices an income and expenditure account and a balance sheet of the body for each year.
2
This paragraph applies to the following bodies —
a
any charter trustees constituted under section 246 of the Local Government Act 1972 or under an order or regulations made under sections 17 or 19 of the Local Government Act 1992 ;
b
a port health authority ;
c
a licensing planning committee ; and
d
an internal drainage board .
3
Where in relation to a parish council, or a parish meeting, the gross income or expenditure (whichever is the higher) for the year is, and for each of the two immediately preceding years was less than £500,000 and —
a
was less than £100,000 for the year or for either of the two immediately preceding years, the council or the chairman of the meeting, as the case may be, shall prepare in accordance with and in the form specified in any Annual Return required by proper practices —
i
a record of receipts and payments of the council or meeting in relation to that period; or
ii
an income and expenditure account and a statement of balances of the council or meeting in relation to that period; or
b
was £100,000 or more for the year and for each of the two immediately preceding years, the council or the chairman of the meeting, as the case may be, shall prepare in accordance with and in the form specified in any Annual Return required by proper practices an income and expenditure account and a statement of balances of the council or meeting in relation to that period.
4
This Regulation shall apply in respect of the year ending with 31st March 2003 as well as subsequent years.
Signing and approval of statement of accounts etc
10
1
A relevant body shall ensure that —
a
the statement of accounts, or
b
where no statement of accounts is required to be prepared, the income and expenditure account and the statement of balances, or
c
where no income and expenditure account and statement of balances are required to be prepared, the record of receipts and payments of the body,
is prepared in accordance with these Regulations.
2
Before the approval referred to in paragraphs (3) and (4) is given, the responsible financial officer of a relevant body shall sign and date the statement of accounts, income and expenditure account and statement of balances, or record of receipts and payments, as the case may be, and shall certify that it presents fairly the financial position of the body at the end of the year to which it relates and its income and expenditure or that it properly presents receipts and payments, as the case may be, for that year.
3
Subject to paragraph (5), in respect of all relevant bodies referred to in regulations 7(1) and 7(6) —
a
the statement of accounts as required by regulation 7(1) or regulation 7(6), as the case may be, shall be approved by a resolution of a committee of the relevant body or otherwise by a resolution of the members of the body meeting as a whole, such approval to take place as soon as reasonably practicable and in any event before the 30th June immediately following the end of a year, and
b
following approval in accordance with sub-paragraph (a), the statement of accounts shall be signed and dated by the person presiding at the committee or meeting at which that approval was given.
4
In respect of all relevant bodies referred to in regulation 9(2) and (3) —
a
the income and expenditure account and balance sheet as required by regulation 9(1), the record of receipts and payments or income and expenditure account and statement of balances as required by regulation 9(3)(a) or the income and expenditure account and statement of balances as required by regulation 9(3)(b), as the case may be, shall be approved by a resolution of a committee of the relevant body or otherwise by a resolution of the members of the body meeting as a whole, such approval to take place as soon as reasonably practicable and in any event before the 30th September immediately following the end of a year, and
b
following approval in accordance with sub-paragraph (a), the record of receipts and payments or the income and expenditure account and statement of balances, as the case may be, shall be signed and dated by the person presiding at the committee or meeting at which the approval was given.
5
The reference in paragraph (3)(a) above to “the 30th June” shall be read in respect of the year ending with —
a
31st March 2003 as a reference to “the 30th September”
b
31st March 2004 as a reference to “the 31st August”; and
c
31st March 2005 as a reference to “the 31st July”.
Publication of statement of accounts etc
11
1
Subject to paragraph (3), as soon as reasonably possible after conclusion of an audit, and in any event before the 30th September immediately following the end of a year, a relevant body to which paragraph (2) below applies, or, in the case of a parish meeting, the chairman, shall —
a
publish by means other than merely by reference in the documents of meetings, committees or sub-committees of the body, the statement of accounts prepared in accordance with regulation 7 together with any certificate, opinion, or report issued, given or made by the auditor under sections 9(1)(a) and 19A of the 1998 Act before the date of publication, or, if publication takes place prior to the conclusion of the audit and no such opinion has been given, together with a declaration and explanation of the fact that at the date of publication the auditor has given no opinion, and
b
keep copies available for purchase by any person on payment of a reasonable sum.
2
This paragraph applies to —
a
a relevant body to which regulation 7(3) applies;
b
a relevant body referred to in regulation 7(4) in relation to the accounts for a period referred to in that regulation; and
c
the Common Council of the City of London.
3
The reference in paragraph (1) to “the 30th September” shall be read in respect of the year ending with —
a
31st March 2003 as a reference to “the 31st December”
b
31st March 2004 as a reference to “the 30th November”; and
c
31st March 2005 as a reference to “the 31st October”.
Publication of income and expenditure account and receipts and payments
12
1
As soon as reasonably possible after conclusion of an audit, and in any event before the 31st December immediately following the end of a year, a relevant body to which paragraph (2) applies, or, in the case of a parish meeting, the chairman of that meeting, shall —
a
publish by means other than merely by reference in the documents of meetings, committees or sub-committees of the body, the income and expenditure account and the statement of balances prepared in accordance with regulation 9(3) together with any certificate, opinion, or report issued, given or made by the auditor under sections 9(1)(a) and 19A of the 1998 Act before the date of publication, or, if publication takes place prior to the conclusion of the audit and no such opinion has been given, together with a declaration and explanation of the fact that at the date of publication the auditor has given no opinion; and
b
keep copies available for purchase by any person on payment of a reasonable sum.
2
This paragraph applies to —
a
a relevant body to which regulation 9(2) applies; and
b
a relevant body referred to in regulation 9(3)(b), in relation to the accounts for a period to which that regulation applies.
3
As soon as reasonably possible after the conclusion of an audit, and in any event before the 31st December immediately following the end of a year, a relevant body referred to in regulation 9(3)(a) or, in the case of a parish meeting, the chairman of the meeting, shall, in relation to the accounts for a period referred to in that regulation, display a notice containing the requisite information in a conspicuous place or places in the area of the body for a period of at least 14 days and keep copies available for purchase by any person on payment of a reasonable sum.
4
For the purposes of paragraph (3) “requisite information” means the record of receipts and payments prepared in accordance with regulation 9(3)(a) together with any certificate, opinion, or report issued, given or made by the auditor under sections 9(1)(a) and 19A of the 1998 Act before the date of publication, or, if the notice is displayed prior to the conclusion of the audit and no such opinion has been given, together with a declaration and explanation of the fact that at the date when the notice is first displayed the auditor has given no opinion.
Appointment of date for the exercise of rights of electors
13
The auditor shall, for the purpose of the exercise of rights under section 15(2) and 16(1) of the 1998 Act, appoint a date on or after which those rights may be exercised, and shall notify the relevant body concerned, or in the case of a parish meeting the chairman of the meeting, of that date.
Public inspection of accounts
14
1
Subject to paragraph (2), the relevant body or, as the case may be, the chairman, notified under regulation 13, shall make the accounts and other documents mentioned in section 15 of the 1998 Act available for public inspection for 20 working days before the date appointed by the auditor under that regulation.
2
The council of a parish, or the chairman of a parish meeting of a parish not having a separate council, notified under regulation 13, shall make the accounts and other documents in relation to a period to which regulation 9(3) applies available for public inspection on reasonable notice.
Alteration of accounts
15
Except with the consent of the auditor, accounts and other documents shall not be altered after the date on which they are first made available for inspection in pursuance of regulation 14.
Notice of public rights
16
1
Not later than 14 days before the commencement of the period during which the accounts and other documents are made available in pursuance of regulation 14, a relevant body to which regulation 11(2) applies, or in the case of a parish meeting, the chairman of the meeting, shall give notice by advertisement of the matters set out in paragraph (2).
2
The matters referred to in paragraph (1) are —
a
the period during which the accounts and other documents referred to in paragraph (1) will be available for inspection in accordance with regulation 14;
b
the place at which, and the hours during which, they will be so available;
c
the name and address of the auditor;
d
the provisions contained in section 15 and section 16 of the 1998 Act; and
e
the date appointed under regulation 13.
3
A relevant body to which regulation 12(2) applies or which is referred to in regulation 12(3) or, in the case of a parish meeting, the chairman of the meeting, shall display a notice containing —
a
subject to sub-paragraph (b), the information referred to in paragraph (2) above in a conspicuous place or places in the area of the body for a period of at least 14 days immediately prior to the period during which the accounts and other documents are made available under regulation 14; or
b
instead of the information referred to in paragraph 2(b) above, details of the manner in which notice should be given of an intention to inspect the accounts and other documents.
Written notice of proposed objection
17
1
Any written notice of a proposed objection given in pursuance of section 16(2) of the 1998 Act shall state the facts on which the local government elector proposes to rely, and contain, so far as possible —
a
particulars of any item of account which is alleged to be contrary to law, and
b
particulars of any matter in respect of which it is proposed that the auditor could make a report under section 8 of that Act.
2
In relation to relevant bodies to which Part III of the Local Government Act 2000 applies , paragraph (1) shall apply in respect of matters occurring before such a body first adopted a code of conduct under that Act or such a code was first applied to it, with the addition of particulars of any person from whom it is alleged that the auditor should certify under section 18 of the 1998 Act that a sum or amount of loss or deficiency is due and the sum of that amount.
Notice of conclusion of audit
18
1
As soon as reasonably possible after conclusion of an audit, a body to which regulation 11(2) applies or, in the case of a parish meeting, the chairman of the meeting, shall give notice by advertisement stating that the audit has been concluded and that the statement of accounts is available for inspection by local government electors and including —
a
a statement of the rights conferred on local government electors by section 14 of the 1998 Act; and
b
the address at which and the hours during which those rights may be exercised.
2
As soon as reasonably possible after conclusion of an audit, a body to which regulation 12(2) applies or which is referred to in regulation 12(3) or, in the case of a parish meeting, the chairman of the meeting, shall display a notice in a conspicuous place or places in the area of the body for a period of at least 14 days stating that the audit has been completed and that the income and expenditure account and the statement of balances, or the record of receipts and payments, as the case may be, required by these Regulations is available for inspection by local government electors and including —
a
a statement of the rights conferred on local government electors by section 14 of the 1998 Act; and
b
the address at which and the hours during which those rights may be exercised.
3
Where any notice by advertisement is given or any notice is displayed pursuant to paragraph (1) or (2) above the statement of accounts, income and expenditure account and the statement of balances, or record of receipts and payments, as the case may be, made available for inspection shall —
a
if as a result of the auditor’s report any material amendment is required to them, either be revised as a result of the auditor’s report, or be accompanied by a statement of the amendments required as a result of the auditor’s report;
b
if revised as described in sub-paragraph (a) above, be accompanied by an explanation as to the material respects in which they have been altered as a result of the auditor’s report; and
c
if revised as described in sub-paragraph (a) above, be accompanied by a statement that they have been prepared as at the date of the original document and not as at the date of the revision and accordingly do not deal with events between those dates.
4
If as a result of the auditor’s report any material amendment is required to the statement of accounts, income and expenditure account and statement of balances or record of receipts and payment (“the accounts”), the responsible financial officer shall report such amendment to the relevant body or the committee of that relevant body which approved the accounts pursuant to regulation 10(3) or (4) as soon as reasonably practicable.
Publication of annual audit letter
19
As soon as reasonably possible after it is received, a relevant body shall —
a
publish the annual audit letter received from the auditor; and
b
make copies available for purchase by any person on payment of such sum as the relevant body may reasonably require.
Joint committees etc
20
1
Any joint committee, joint board, combined authority or National Park authority to which these regulations apply shall deposit with each constituent authority —
a
within the period of fourteen days specified by regulation 18(2), a copy of the auditor’s report, and
b
where the committee, board or authority is a body to which regulation 7(3) applies, on giving notice under regulation 18(1), a copy of the statement of accounts.
2
In this regulation —
a
“constituent authority” means any county, district, London borough or parish council for the time being entitled to appoint members of the committee, board or authority in question; and in relation to a National Park authority includes —
i
the Secretary of State; and
ii
the Countryside Agency .
Extraordinary audit
21
Where, under section 25 of the 1998 Act, the Commission directs an auditor to hold an extraordinary audit of accounts of a relevant body, the body, or, in the case of a parish meeting, the chairman of the meeting, shall —
a
in the case of a body to which regulation 11(2) applies, give notice by advertisement, and
b
in the case of a body to which regulation 12(2) applies or which is referred to in regulation 12(3), display a notice in a conspicuous place or places in the area of the body,
concerning the right of any local government elector for the area to which the accounts relate to attend before the auditor and make objections to any of those accounts.
Offences
22
1
It is hereby declared that contravention of any of the provisions specified in paragraph (2) is an offence.
2
The provisions referred to in paragraph (1) are regulations 4, 7, 9, 10, 11, 12, 14, 15, 16, 18, 19, and 21.
Signed by authority of the First Secretary of State
Christopher Leslie
Parliamentary Under Secretary of State
Office of the Deputy Prime Minister
6th March 2003