text:
Citation and commencement
1
These Regulations may be cited as the Pension Protection Fund (Tax) Regulations 2006 and shall come into force on 6th April 2006.
Interpretation
2
1
In this regulation —
a
paragraph (2) gives the meaning of the abbreviated references to Acts and instruments used in these Regulations, and
b
paragraph (3) deals with other expressions used in these Regulations.
2
In these Regulations —
“ FA 2004 ” means the Finance Act 2004 ;
“ ICTA ” means the Income and Corporation Taxes Act 1988 ;
“ ITEPA 2003 ” means the Income Tax (Earnings and Pensions) Act 2003 ;
“the Pensions Act ” (without more) means the Pensions Act 2004 ;
“the Pensions Order ” means the Pensions (Northern Ireland) Order 2005 ;
“ TCGA 1992 ” means the Taxation of Chargeable Gains Act 1992 .
3
In these Regulations —
“the Board of the Pension Protection Fund” means the body corporate established under section 107 of the Pensions Act;
“dependant” is to be construed in accordance with paragraph 15 of Schedule 28 to FA 2004 ;
“dependants' scheme pension” is to be construed in accordance with paragraph 16 of Schedule 28 to FA 2004 ;
“the Fraud Compensation Fund” has the meaning given by regulation 3(1);
“fraud compensation payment” —
in England, Wales and Scotland means a fraud compensation payment within the meaning of Part 2 of the Pensions Act (see section 182(1) of that Act), and
in Northern Ireland means a fraud compensation payment within the meaning of Part 3 of the Pensions Order (see Article 165(1) of that Order);
“Part 4” means Part 4 of FA 2004 (pension schemes);
“the pension compensation provisions” —
in England, Wales and Scotland is to be construed in accordance with section 162(2) of the Pensions Act (the pension compensation provisions), and
in Northern Ireland is to be construed in accordance with Article 146(2) of the Pensions Order (the pension compensation provisions);
“the Pension Protection Fund” has the meaning given by regulation 3(1);
“the Pensions Act Funds” has the meaning given by regulation 3(1);
“the Pensions Act levies” means the levies specified in paragraph (2) or (3) of regulation 3, as the case may require;
“periodic compensation” —
in England, Wales and Scotland is to be construed in accordance with Schedule 7 to the Pensions Act (pension compensation provisions), and
in Northern Ireland is to be construed in accordance with Schedule 6 to the Pensions Order (pension compensation provisions);
“registered pension scheme” has the meaning given by section 832(1) of ICTA ;
“Schedule 36” means Schedule 36 to FA 2004 (transitional provisions);
“scheme pension” is to be construed in accordance with paragraph 2 of Schedule 28 to FA 2004 .
Meaning of “the Pension Protection Fund” and other expressions
3
1
In these Regulations —
“the Pension Protection Fund” means the Fund required to be held, managed and applied by the Board of the Pension Protection Fund under section 110(1)(a) of the Pensions Act;
“the Fraud Compensation Fund” means the Fund required to be held, managed and applied by the Board of the Pension Protection Fund under section 110(1)(b) of the Pensions Act;
“the Pensions Act Funds” means the Pension Protection Fund and the Fraud Compensation Fund.
2
In England, Wales and Scotland “the Pensions Act levies” means —
a
the administration levy referred to in section 117(1) of the Pensions Act;
b
the risk-based pension protection levy referred to in section 175(1)(a) of that Act;
c
the scheme-based pension protection levy referred to in section 175(1)(b) of that Act;
d
the fraud compensation levy referred to in section 189(1) of that Act;
e
a levy in respect of eligible schemes imposed by regulations made under section 209(7) of that Act (the Ombudsman for the Board of the Pension Protection Fund).
3
In Northern Ireland “the Pensions Act levies” means —
a
the administration levy referred to in Article 103(1) of the Pensions Order;
b
the risk-based pension protection levy referred to in Article 158(1)(a) of that Order;
c
the scheme-based pension protection levy referred to in Article 158(1)(b) of that Order;
d
the fraud compensation levy referred to in Article 171(1) of that Order;
e
a levy in respect of eligible schemes imposed by regulations made under Article 191(3) of that Order (the PPF Ombudsman).
Application of the Tax Acts: general
4
1
The Tax Acts apply in relation to the Pension Protection Fund in the same way as they apply in relation to a registered pension scheme.
2
The general rule in paragraph (1) is subject to the further provisions contained in these Regulations.
Application of Part 4 of FA 2004: further provisions
5
Section 151 of FA 2004 (meaning of “member”) applies as if, in Part 4, “member” in relation to the Pension Protection Fund, meant —
a
an individual in receipt of compensation from the Pension Protection Fund, or
b
an individual who expects to receive such compensation following the assumption of responsibility, by the Board of the Pension Protection Fund, for a scheme of which that individual was a member.
6
1
Section 152 of FA 2004 (meaning of “arrangement”) applies as if, in Part 4, “arrangement”, in relation to an individual specified in paragraph (2), meant an arrangement specified in paragraph (3).
2
An individual is specified for the purposes of this paragraph if the individual —
a
is in receipt of compensation from the Pension Protection Fund, or
b
expects to receive such compensation following the assumption of responsibility, by the Board of the Pension Protection Fund, for a scheme of which that individual was a member.
3
An arrangement is specified for the purposes of this paragraph if it is an arrangement under which the individual receives (or, as the case may be, expects to receive) —
a
compensation paid under Schedule 7 to the Pensions Act (pension compensation provisions), or
b
compensation paid under Schedule 6 to the Pensions Order (pension compensation provisions).
7
Chapter 2 of Part 4 (registration of pension schemes) does not apply in relation to the Pension Protection Fund.
8
Section 164 of FA 2004 (authorised member payments) applies as if it also provided that the Board of the Pension Protection Fund was authorised to make the following payments to or in respect of a member —
a
payments of an amount falling within section 166(2) of the Pensions Act (duty to pay scheme benefits unpaid at assessment date);
b
payments of an amount falling within Article 150(2) of the Pensions Order (duty to pay scheme benefits unpaid at assessment date).
9
1
For the purposes of Part 4, payment of periodic compensation from the Pension Protection Fund to an individual is treated as payment of a scheme pension to a member of a registered pension scheme (see section 165 of FA 2004: pension rules).
2
The payment of such compensation is treated as meeting the condition specified in paragraph 2(2)(a) of Schedule 28 to FA 2004 (condition relating to payer of scheme pension).
10
1
This regulation applies if —
a
either condition A or B is met, and
b
condition C is met.
2
Condition A is that the Board of the Pension Protection Fund is responsible for securing that compensation is (and has been) paid to an individual in accordance with the pension compensation provisions.
3
Condition B is that the Board of the Pension Protection Fund is required to secure the discharge of liabilities to an individual in respect of benefits transferred to the Board under —
a
Chapter 3 of Part 2 of the Pensions Act (pension protection), or
b
Chapter 3 of Part 3 of the Pensions Order (pension protection).
4
Condition C is that the Board of the Pension Protection Fund provides for the securing of —
a
the payment of compensation in the circumstances specified in condition A, or
b
the discharge of liabilities in the circumstances specified in condition B,
by the entry into an annuity contract or a number of such contracts.
5
For the purposes of Part 4, payment of an annuity under an annuity contract mentioned in paragraph (4) is treated as payment of a scheme pension.
6
If this regulation applies, so much of Pension rule 4 in section 165(1) of FA 2004 (pension rules) as provides that a scheme pension may only be paid if the member had an opportunity to select a lifetime annuity instead is treated as omitted.
11
1
Section 166 of FA 2004 (lump sum rule) and Part 1 of Schedule 29 to that Act (authorised lump sums: lump sum rule) apply with the following modifications to the payment of lump sums by the Pension Protection Fund to an individual.
2
Section 166(2) of FA 2004 (time at which a person becomes entitled to a lump sum) applies as if the person becomes entitled to a lump sum when a person acquires an actual (rather than a prospective) right to receive the lump sum.
3
In Schedule 29 to FA 2004, paragraph 5(1)(a) is treated as omitted.
12
1
For the purposes of Part 4, payment of periodic compensation from the Pension Protection Fund to a dependant of an individual is treated as payment of a dependants' scheme pension in respect of a member of a registered pension scheme (see section 167 of FA 2004: pension death benefit rules).
2
The payment of such compensation is treated as meeting the condition specified in paragraph 16(2)(a) of Schedule 28 to FA 2004 (condition relating to payer of dependants' scheme pension).
13
1
This regulation applies if —
a
either condition A or B is met, and
b
condition C is met.
2
Condition A is that the Board of the Pension Protection Fund is responsible for securing that compensation is (and has been) paid to a dependant of an individual in accordance with the pension compensation provisions.
3
Condition B is that the Board of the Pension Protection Fund is required to secure the discharge of liabilities to a dependant of an individual in respect of benefits transferred to the Board under —
a
Chapter 3 of Part 2 of the Pensions Act (pension protection), or
b
Chapter 3 of Part 3 of the Pensions Order (pension protection).
4
Condition C is that the Board of the Pension Protection Fund provides for the securing of —
a
the payment of compensation in the circumstances specified in condition A, or
b
the discharge of liabilities in the circumstances specified in condition B,
by the entry into an annuity contract or a number of such contracts.
5
For the purposes of Part 4, payment of an annuity under an annuity contract mentioned in paragraph (4) is treated as payment of a dependants' scheme pension.
6
If this regulation applies, so much of Pension death benefit rule 3 in section 167(1) of FA 2004 (pension death benefit rules) as provides that a dependants' scheme pension may only be paid if the member or dependant had an opportunity to select a dependants' annuity instead is treated as omitted.
14
1
Section 168 of FA 2004 (lump sum death benefit rule) and Part 2 of Schedule 29 to that Act (authorised lump sums: lump sum death benefit rule) apply to the payment of lump sums by the Pension Protection Fund to a dependant of a qualifying individual.
2
In paragraph (1) a “qualifying individual” means an individual who was a member of a scheme for which the Board of the Pension Protection Fund has assumed responsibility.
15
Sections 175 to 181 of FA 2004 (authorised and unauthorised employer payments) do not apply in relation to the Pension Protection Fund.
16
Sections 182 to 185 of FA 2004 (borrowing) do not apply in relation to the Pension Protection Fund.
17
1
Section 186 of FA 2004 (exemption from tax on certain types of income) applies in relation to each of the Pensions Act Funds as if in subsection (1) for the reference to income tax there were substituted a reference to corporation tax.
2
The exemption provided by section 186(1) of FA 2004 (as modified by paragraph (1)) in relation to each of the Pensions Act Funds also applies in respect of —
a
any profit, gain or loss on a loan relationship within the meaning of Chapter 2 of Part 4 of the Finance Act 1996 (loan relationships), and
b
any amount received on account of the Pensions Act levies.
18
1
Any amount recovered by an individual’s employer on account of any of the Pensions Act levies is treated in the same way as relievable pension contributions paid during a tax year (see section 188 of FA 2004: relief for contributions).
2
In paragraph (1) “tax year” has the meaning given by section 279(1) of FA 2004.
19
Relief on any amount recovered by an individual’s employer on account of any of the Pensions Act levies may be given in accordance with section 193 of FA 2004 (relief under net pay arrangements).
20
Sections 197 and 198 of FA 2004 (spreading of relief) do not apply in relation to any sum paid by an employer on account of any of the Pensions Act levies.
21
Section 199 of FA 2004 (deemed contributions) applies in relation to any sum paid by an employer on account of any of the Pensions Act levies as it applies in relation to a sum paid by an employer in or towards the discharge of any liability of the employer under the enactments specified in subsection (1) of that section.
22
Section 213 of FA 2004 (surchargeable unauthorised employer payments) does not apply in relation to the Pension Protection Fund.
23
1
For the purposes of benefit crystallisation event 2 (see the Table in section 216(1) of FA 2004) “P” is the amount of the periodic payments which will be payable to the individual in the period of 12 months beginning with the day on which the individual first becomes entitled to a periodic payment (assuming that it remains payable throughout that period at the rate at which it is payable on that day).
2
Benefit crystallisation event 2 does not apply if —
a
an individual becomes entitled to a scheme pension under a relevant pension scheme,
b
the Board of the Pension Protection Fund assumes responsibility for that relevant pension scheme, and
c
the individual receives periodic compensation from the Pension Protection Fund under Schedule 7 to the Pensions Act or Schedule 6 to the Pensions Order (pension compensation provisions) in respect of the scheme pension mentioned in sub-paragraph (a).
3
For the purposes of benefit crystallisation event 5 “DP” is the annual rate of periodic compensation to which the individual would be entitled if, on the date on which the individual reaches 75, the individual acquired an actual (rather than a prospective) right to receive it.
4
Subject to the provisions of this regulation, section 216 of FA 2004 (benefit crystallisation events and amounts crystallised) applies to the payment, by the Board of the Pension Protection Fund, of any amount falling within section 166(2) of the Pensions Act or Article 150(2) of the Pensions Order (duty to pay scheme benefits unpaid at assessment date) in the same way as it would apply if that payment had been made by a registered pension scheme.
5
Schedule 32 to FA 2004 (registered pension schemes: benefit crystallisation events: supplementary) applies to give the meaning of expressions used in this regulation as it applies to give the meaning of expressions used in the Table in section 216(1) of FA 2004 (benefit crystallisation events and amounts crystallised).
24
Section 242 of FA 2004 (de-registration charge) does not apply in relation to the Pension Protection Fund.
25
Chapter 6 of Part 4 (schemes that are not registered pension schemes) does not apply in relation to the Pension Protection Fund.
26
1
References in Part 4 to the scheme administrator, in relation to a pension scheme (see section 270 of FA 2004: meaning of “scheme administrator”), are to be treated as references to the scheme administrator of the Pension Protection Fund.
2
For the purposes of paragraph (1) the “scheme administrator of the Pension Protection Fund” means the person appointed by the Board of the Pension Protection Fund to be responsible for the discharge of the functions conferred or imposed on the scheme administrator of the Pension Protection Fund by and under Part 4.
27
1
If section 272 of FA 2004 (trustees etc. liable as scheme administrator) applies in relation to the Pension Protection Fund, the Board of the Pension Protection Fund assumes liability by reason of that section applying in relation to that Fund.
2
For the purposes of section 272(4) of FA 2004 (specification of persons assuming liability) the Board of the Pension Protection Fund are treated as persons who assume liability by virtue of being specified under Head 2.
28
Section 273 of FA 2004 (members liable as scheme administrator) does not apply in relation to the Pension Protection Fund.
29
1
A lifetime allowance enhancement factor may operate in accordance with paragraph 7 of Schedule 36 (primary protection) in relation to all benefit crystallisation events occurring in relation to an individual in the circumstances specified in paragraph (2).
2
The circumstances are where some or all of the individual’s relevant pre-commencement rights are rights under a pension arrangement relating to that individual under a pension scheme for which the Board of the Pension Protection Fund assumes responsibility in accordance with —
a
Chapter 3 of Part 2 of the Pensions Act (pension protection), or
b
Chapter 3 of Part 3 of the Pensions Order (pension protection).
3
This regulation is to be construed as one with paragraph 7 of Schedule 36.
30
1
This regulation applies if there is a transfer to the Board of the Pension Protection Fund of all sums and assets held for the purposes of, or representing accrued rights under, an arrangement relating to an individual under a registered pension scheme.
2
For the purposes of paragraph 12 of Schedule 36 (enhanced protection) the transfer is treated as a permitted transfer by virtue of sub-paragraph (8)(b) of that paragraph
3
This regulation is to be construed as one with paragraph 12 of Schedule 36.
31
1
For the purposes of Part 3 of Schedule 36 (pre-commencement benefit rights), the transfer of the property, rights and liabilities of a scheme to the Board of the Pension Protection Fund in accordance with a relevant transfer notice is treated as a block transfer within the meaning given by paragraph 22(6) of Schedule 36.
2
But for the purposes of determining the compensation payable where the Board of the Pension Protection Fund assumes responsibility for a scheme in accordance with Chapter 3 of Part 2 of the Pensions Act or Chapter 3 of Part 3 of the Pensions Order (pension protection), paragraph (1) does not affect the application of —
a
Schedule 7 to the Pensions Act (pension compensation provisions) or regulations made under that Schedule, or
b
Schedule 6 to the Pensions Order (pension compensation provisions) or regulations made under that Schedule.
3
In paragraph (1) a “relevant transfer notice” means —
a
a transfer notice given under section 160 of the Pensions Act (transfer notice), or
b
a transfer notice given under Article 144 of the Pensions Order (transfer notice).
32
Paragraphs 35 and 36 of Schedule 36 (winding-up lump sums paid by former approved superannuation funds and right to payment of lump sum death benefit) do not apply in relation to the Pension Protection Fund.
Application of the Inheritance Tax Act 1984: further provisions
33
Section 58 of the Inheritance Tax Act 1984 (relevant property) applies in relation to property which is held for the purposes of the Pension Protection Fund as it applies in relation to property which is held for the purposes of a registered pension scheme.
34
Section 151 of the Inheritance Tax Act 1984 (treatment of pension rights) applies in relation to an interest in or under the Pension Protection Fund as it applies in relation to an interest in or under a registered pension scheme.
Application of ICTA: further provisions
35
1
Section 413(3) of ICTA (group relief: interpretation) applies as if it provided that two companies shall be deemed to be members of a group of companies if —
a
one company is the 75 per cent. subsidiary of the other and neither company is the Board of the Pension Protection Fund, or
b
both companies are 75 per cent. subsidiaries of the Board of the Pension Protection Fund.
2
This regulation is to be construed as one with Chapter 4 of Part 10 of ICTA (group relief).
36
1
If the Board of the Pension Protection Fund acquires more than half the ordinary share capital of a company (so that, accordingly, the condition in paragraph (a) of section 769(1) of ICTA is met), there is no change in the ownership of the company for the purposes of sections 767A to 768E of ICTA (change in ownership of company).
2
This regulation is to be construed as one with sections 767A to 768E of ICTA.
Application of TCGA 1992: further provisions
37
1
For the purposes of section 170 of TCGA 1992 (groups of companies), none of the following may be a member of a group —
a
the Board of the Pension Protection Fund;
b
the Pension Protection Fund;
c
the Fraud Compensation Fund.
2
This regulation is to be construed as one with TCGA 1992.
38
1
For the purposes of TCGA 1992, any gain accruing to the Board of the Pension Protection Fund from its disposal of investments shall not be a chargeable gain if, or to the extent that, at the time of the disposal, those investments were held by the Board, or on its behalf, for the purposes of one of the Pensions Act Funds.
2
In paragraph (1) “investments” includes futures contracts and options contracts.
3
This regulation is to be construed as one with TCGA 1992.
Application of ITEPA 2003: further provisions
39
Step 5 of section 54(1) of ITEPA 2003 (calculation of deemed employment payment under arrangements made by intermediaries) applies in relation to a payment, by the intermediary, of any sum in respect of any of the Pensions Act levies in the same way as it applies in relation to any contributions that may be deducted under that step.
40
Section 307 of ITEPA 2003 (exemption from employment income for death or retirement benefit provision made by employer) applies in relation to the payment of any sum in respect of any of the Pensions Act levies in the same way as it applies in respect of provision made by an employee’s employer for a retirement or death benefit.
41
Section 579A of ITEPA 2003 (pensions) applies in relation to periodic compensation from the Pension Protection Fund as it applies to any pension under a registered pension scheme.
42
A lump sum paid under Schedule 7 to the Pensions Act or Schedule 6 to the Pensions Order (pension compensation provisions) is treated as if it were a lump sum paid under a registered pension scheme to which subsection (1) of section 636A of ITEPA 2003 (exemption for certain lump sums under registered pension schemes) applied.
Application of the Finance Act 2003: further provisions
43
1
Paragraph 8 of Schedule 4 to the Finance Act 2003 (debt as consideration) does not apply in relation to the Pension Protection Fund if —
a
the Board of the Pension Protection Fund acquires a chargeable interest as part of its assumption of responsibility for a scheme in accordance with Chapter 3 of Part 2 of the Pensions Act or Chapter 3 of Part 3 of the Pensions Order (pension protection), and
b
the chargeable interest is held by the Board of the Pension Protection Fund as an investment.
2
Paragraph 1 of Schedule 7 to the Finance Act 2003 (group relief) applies in relation to a group of companies of which the Board of the Pension Protection Fund is a member as if, in the case of each reference to 75%, there were substituted a reference to 50%.
3
For the purposes of paragraph 3(1) of Schedule 7 to the Finance Act 2003 (withdrawal of group relief) there is no withdrawal of group relief if the vendor is the Board of the Pension Protection Fund.
4
This regulation is to be construed as one with Part 4 of the Finance Act 2003 (stamp duty land tax).
Fraud compensation payments and other related payments
44
1
Receipt of a payment to which this regulation applies shall not be regarded as a disposal of an asset for the purposes of capital gains tax or for the purposes of corporation tax on chargeable gains.
2
This regulation applies to —
a
a fraud compensation payment under section 185 of the Pensions Act;
b
an interim payment under section 186 of the Pensions Act;
c
a fraud compensation payment under Article 168 of the Pensions Order;
d
an interim payment under Article 169 of the Pensions Order;
e
a payment made by the Board of the Pension Protection Fund under section 83 of the Pensions Act 1995 ;
f
a payment in anticipation made by the Board of the Pension Protection Fund under section 84 of that Act;
g
a payment made by the Board of the Pension Protection Fund under Article 81 of the Pensions (Northern Ireland) Order 1995 ;
h
a payment in anticipation made by the Board of the Pension Protection Fund under Article 82 of that Order.
Tom Watson
Vernon Coaker
Two of the Lords Commissioners of Her Majesty’s Treasury
9th March 2006


type: legislation

jurisdiction: UK

text:
Citation, commencement, interpretation and application
1
1
These Regulations may be cited as the Private and Voluntary Health Care (England) (Amendment No.2) Regulations 2006 and shall come into force on 1st August 2006.
2
In these Regulations, “the PVH Regulations ” means the Private and Voluntary Health Care (England) Regulations 2001 .
3
These Regulations apply in relation to England only.
Amendment of the PVH Regulations
2
In regulation 2 (interpretation) of the PVH Regulations, in paragraph (1), in the appropriate alphabetical position, insert —
“certificate” means a certificate of registration;
“existing provider” means a person who immediately before 1st August 2006 was registered under Part 2 of the Care Standards Act 2000 as carrying on an independent hospital, an independent clinic or an independent medical agency ;
“ Fees Regulations ” means the Commission for Healthcare Audit and Inspection (Fees and Frequency of Inspections) Regulations 2004 ;
“new provider” means a person who carries on an independent hospital, an independent clinic or an independent medical agency and did so for the first time on or after 1st August 2006.
.
3
After regulation 32A of the PVH Regulations, insert —
Annual fees
32B
The annual fee due under section 16(3) of the Act shall be payable by the registered provider on —
a
in the case of an existing provider whose annual fee became payable under regulation 5 of the Fees Regulations between 1st April 2006 and 31st July 2006 (including on either of those two dates), 1st August 2006 and thereafter on the anniversary of the date on which the annual fee was payable under regulation 5 of those Regulations;
b
in the case of any other existing provider, the anniversary of the date on which the annual fee was payable under regulation 5 of the Fees Regulations; and
c
in the case of a new provider, the date on which the certificate is issued and thereafter on the anniversary of that date.
Revocations
4
The Commission for Healthcare Audit and Inspection (Fees and Frequency of Inspections) Regulations 2004 and the Commission for Healthcare Audit and Inspection (Fees and Frequency of Inspections) (Amendment) Regulations 2005 are revoked.
Signed by authority of the Secretary of State for Health
Andrew Burnham
Minister of State,
Department of Health
28th June 2006


text:
PART 1 General
1
1
These Regulations may be cited as the Education (School Teacher Performance Management) (England) Regulations 2006 and shall come into force on 1 st September 2007.
2
These Regulations shall apply in relation to England.
Interpretation
2
In these Regulations —
“ the Act ” means the Education Act 2002;
“authority”, in relation to a teacher to whom Part 3 applies, means the local education authority by which he is employed;
“appeal”, in relation to a teacher to whom Part 2 applies, means raise a grievance in accordance with the procedure established by the governing body of the school for dealing with such matters and, in relation to a teacher to whom Part 3 applies, means raise a grievance in accordance with the procedure laid down by the authority for dealing with such matters;
“capability procedures” means the procedures established by the governing body pursuant to regulation 7 of the School Staffing (England) Regulations 2003 ;
“classroom” in relation to “classroom observation” means any type of setting where teaching and learning takes place;
“cycle” means the performance management and review cycle referred to in regulations 12 and 26;
“day” means any day in the school year on which a teacher is required to be available for work;
“the Document” means the document referred to in any order made under section 122 of the Act for the time being in force;
“nursery school” means a nursery school maintained by a local education authority;
“pay progression criteria” means the criteria referred to in the Document for determining whether a teacher is eligible for a pay award of one or more scale or spine points;
“performance criteria” means the criteria against which the reviewee’s performance will be judged in relation to the matters referred to in regulations 13(1)(a) to (c) or 27(1)(a) to (c), as the case may be;
“plan” means the plan for managing and reviewing the reviewee’s performance referred to in regulations 14(1) and 28(1);
“qualified teacher” means a person who satisfies requirements specified in regulations made under section 132 of the Act:
“school” means a community, voluntary, foundation, community special or foundation special school or a nursery school;
“school development planning” means the process of putting in place a plan which specifies the actions needed to bring about school improvement as part of the school improvement process;
“school improvement” means the processes put in place by the governing body of the school to improve standards at the school;
“school improvement partner” means any person appointed by the local education authority for the purposes of providing advice to the governing body and head teacher of the school with a view to improving standards at the school and who is for the time being accredited for those purposes by the Secretary of State or by a person authorised by the Secretary of State to accredit persons for those purposes;
“School Improvement Plan” means the strategic plan setting out the objectives to improve the school’s provision and performance;
“school self-evaluation” means the arrangements put in place by the governing body of the school to evaluate the quality of school provision as part of the school improvement process;
“school which has a religious character” means a foundation or voluntary school designated as a school having such a character under section 69(3) of the School Standards and Framework Act 1998 ;
“statement” means the planning and review statement referred to in regulations 14(1) and 28(1);
“teacher” means a school teacher as defined in section 122 of the Act;
“unattached teacher” means —
a teacher not attached to a particular school;
a teacher employed otherwise than at a school; or
a teacher at a pupil referral unit (including a teacher in charge of a unit).
Time limits
3
Failure on the part of any person to discharge any duty within a time limit specified in these Regulations shall not relieve him of that duty.
Revocations and transitional provision
4
1
Subject to paragraph (2), the Education (School Teacher Appraisal) (England) Regulations 2001 (“the 2001 Regulations ”) are revoked.
2
The 2001 Regulations shall apply in relation to the appraisal of the performance of teachers during any part of the school year 2006-2007.
3
Any appraisal statement produced and retained under the 2001 Regulations since 1 st September 2003 shall be retained for a minimum period of 6 years from the date on which the appraisal cycle to which it relates ended and relevant information from those statements may be taken into account in taking decisions and advising those responsible for taking decisions about the use of any discretion in relation to pay.
4
Regulation 9 of the Education (School Government) (Terms of Reference) (England) Regulations 2000 is revoked.
Application
5
1
Subject to paragraph (2), these Regulations apply in relation to any teacher employed for one term or more.
2
These Regulations shall not apply to the performance of —
a
any teacher who is undergoing but who has not satisfactorily completed an induction period in accordance with the Education (Induction Arrangements for School Teachers) (Consolidation) (England) Regulations 2001 ;
b
any teacher whilst he is the subject of capability procedures.
PART 2 Provisions Applying to Teachers Employed at Schools
Application of Part 2
6
Part 2 applies to the performance management and review of any teacher who is employed by —
a
a local education authority in a school; or
b
the governing body of a school.
Performance management policy
7
1
The governing body shall establish a written policy (“the performance management policy”) setting out how the performance of teachers at the school is to be managed and reviewed.
2
The governing body shall formulate the performance management policy or direct the head teacher to formulate the policy.
3
Where the head teacher formulates the policy, the governing body may modify it before adopting it or reject it.
4
Where the governing body rejects the performance management policy formulated by the head teacher, it shall formulate the policy itself.
5
The governing body shall review the performance management policy every school year.
6
Following such review, the governing body shall, if it sees fit, revise the performance management policy.
7
Before establishing or revising the performance management policy, the governing body or, if the governing body so directs, the head teacher shall —
a
consult all teachers at the school; and
b
seek to agree the policy or any revision to it with the recognised trade unions, having regard to the results of the consultation of all teachers.
8
The governing body and the head teacher shall implement the performance management policy.
9
The performance management policy shall —
a
state what results the policy is intended to achieve and how these will be measured;
b
show how the school’s arrangements for school teacher performance management link with those for school improvement, school self-evaluation and school development planning;
c
show how the school will seek to achieve consistency of treatment and fairness between those teachers with similar experience or levels of responsibility;
d
set out the timing of the cycle;
e
include a classroom observation protocol;
f
provide for performance management training to be made available as the need arises;
g
state the arrangements for monitoring and evaluating the policy; and
h
specify any ancillary or supplementary procedures necessary for the operation of performance management of teachers at the school in accordance with these Regulations.
Duty to ensure that teachers’ performance is managed and reviewed
8
1
The governing body of the school shall ensure that the performance of teachers at the school is managed and reviewed in accordance with the performance management policy and this Part.
2
Where a teacher is employed at more than one school, the governing body of each school shall comply with this regulation in relation to that teacher.
Appointment of external advisers in respect of head teachers
9
1
Subject to paragraph (2), the governing body shall appoint an external adviser for the purposes of providing it with advice and support in relation to the management and review of the performance of the head teacher.
2
Where the local education authority has appointed a school improvement partner for that school, paragraph (1) shall not apply and the governing body shall use the school improvement partner for the purposes of providing it with advice and support in relation to the management and review of the performance of the head teacher.
Appointment of reviewers for head teachers
10
1
Subject to the following paragraphs of this regulation, the governing body of the school shall be the reviewer for the head teacher.
2
The governing body may appoint two or three governors to perform the duties imposed upon the reviewer on behalf of the governing body.
3
No governor who is a teacher or other member of staff at the school may be appointed as a reviewer for the head teacher.
4
Where the governing body of a school which has a religious character appoints two or three governors pursuant to paragraph (2), at least one of them shall be a foundation governor of the school.
5
Where, pursuant to paragraph (2), the governing body of a voluntary aided school appoints —
a
two governors, at least one of them shall be a foundation governor of the school; and
b
three governors, not less than two of them shall be foundation governors of the school.
6
Where a head teacher is of the opinion that any of the governors appointed by the governing body under this regulation is unsuitable for professional reasons, he may submit a written request to the governing body for that governor to be replaced, stating those reasons.
7
Where the governing body is persuaded that that governor is unsuitable, it shall terminate that appointment and appoint another governor in accordance with this regulation.
8
Where the governing body is not persuaded that that governor is unsuitable, it shall —
a
notify the head teacher in writing of its decision, stating its reasons; and
b
upon request, attach the head teacher’s request and the notification of its rejection of that request to the statement for that cycle.
9
A reviewee may request that any governor appointed under paragraph (2) be replaced once in any cycle.
10
Where the governing body decides at any time that any of the governors appointed under this regulation is no longer suitable for professional reasons, or is no longer able to perform his duties for any reason, it shall terminate the appointment of that governor and appoint one in accordance with this regulation.
Appointment of reviewers for other teachers
11
1
Subject to the following paragraphs of this regulation, the head teacher shall be the reviewer for all other teachers at the school.
2
In the case where the head teacher is not the teacher’s line manager, the head teacher may delegate the duties imposed upon the reviewer, in their entirety, to the teacher’s line manager.
3
Where the teacher has more than one line manager, the head teacher may delegate the reviewer’s duties, in their entirety, to the line manager whom he considers would be best placed to manage and review the teacher’s performance.
4
Where it becomes apparent that the teacher to whom the head teacher has delegated the reviewer’s duties will be absent for the majority of the cycle, the head teacher may perform those duties himself or delegate those duties, in their entirety, to another teacher for the duration of that absence.
5
Where a teacher is of the opinion that the person to whom the head teacher has delegated the reviewer’s duties is unsuitable for professional reasons, he may submit a written request to the head teacher for that reviewer to be replaced, stating those reasons.
6
Where the head teacher is persuaded that the teacher to whom he has delegated the reviewer’s duties is unsuitable, he may perform those duties himself or delegate them, in their entirety, to another teacher.
7
Where the head teacher is not persuaded that the teacher to whom he has delegated the reviewer’s duties is unsuitable, he shall —
a
notify the teacher in writing of his decision, stating his reasons; and
b
upon request, attach the teacher’s request and the notification of his rejection of that request to the statement for that cycle.
8
A reviewee may request that a person to whom the head teacher has delegated the reviewer’s duties be replaced once in any cycle.
9
Where the head teacher decides at any time that the person to whom he has delegated the reviewer’s duties is no longer suitable for professional reasons, or is no longer able to perform those duties for any reason, he may perform those duties himself or delegate them, in their entirety, to another teacher.
10
Where, pursuant to this regulation, the head teacher delegates the reviewer’s duties to a teacher who is not the teacher’s line manager, the teacher to whom he delegates those duties must have an equivalent or higher status in the staffing structure than the teacher’s line manager.
Performance management and review cycle
12
1
Subject to the following paragraphs of this regulation, the performance of every teacher at the school shall be managed and reviewed on an annual basis (“the performance management and review cycle”).
2
The governing body shall determine the timing of the performance management and review cycle for the head teacher and the head teacher shall determine the timing of the performance management and review cycle for the other teachers at the school.
3
Where a teacher is employed at the school on a fixed term contract of less than one year, his performance shall be managed throughout the life of the contract and reviewed at the end of the contract.
4
Where a teacher is employed at the school part-way through a cycle, the head teacher or, in the case where the teacher is the head teacher, the governing body shall determine the length of the first cycle for that teacher, with a view to bringing his cycle into line with the cycle for other teachers at the school as soon as possible.
5
Where a teacher transfers to a new post within the school, whether on a temporary or permanent basis, part-way through his cycle, the head teacher or, in the case where the teacher is to be the head teacher, the governing body shall determine whether the cycle shall begin again and, if so, whether to change the reviewer or reviewers, as the case may be.
6
A change of reviewer or the appointment of a new external adviser or school improvement partner shall not cause the reviewee’s cycle to begin again.
Planning meetings
13
1
At the beginning of each cycle, the reviewer or, in the case where the reviewee is the head teacher, all the reviewers and the external adviser or school improvement partner, as the case may be, shall arrange a meeting with the reviewee (“the planning meeting”) to consider and determine —
a
the reviewee’s objectives;
b
the arrangements for observing the reviewee’s performance in the classroom, where appropriate;
c
any other evidence which will be taken into account in judging the reviewee’s performance;
d
the performance criteria;
e
the support that will be provided to the reviewee to help him to meet the performance criteria;
f
the timescales for the achievement of the objectives and within which support will be provided, where these differ from the length of the cycle of the reviewee; and
g
the reviewee’s training and development needs and the actions which will be taken to address them.
2
The matters referred to in paragraph (1) shall be determined having regard to —
a
the reviewee’s job description;
b
any relevant pay progression criteria;
c
any relevant whole-school or team objectives specified in the School Improvement Plan;
d
what can be reasonably expected of any teacher in that position given the desirability of the reviewee being able to achieve a satisfactory balance between the time required to discharge his professional duties and the time required to pursue his personal interests outside work;
e
the reviewee’s professional aspirations; and
f
the relevant professional standards.
3
The reviewee’s objectives shall be such that, if they are achieved, they will contribute to improving the progress of pupils at the school.
4
Only persons who have a direct professional knowledge of the reviewee may provide evidence for the purposes of paragraph (1)(c).
5
Where a joint determination cannot be made in relation to any of the matters referred to in paragraph (1), the reviewer shall make the determination.
Recording of plans
14
1
Within 5 days of the planning meeting, the reviewer shall —
a
prepare a planning and review statement in respect of the reviewee in draft, in which he shall record the plan for managing and reviewing the reviewee’s performance, comprising the matters referred to in regulation 13(1)(a) to (f) and, in a separate annex to the statement, (“the Training and Development Annex”), the matters referred to in regulation 13(1)(g); and
b
pass the draft statement to the reviewee, who may add his comments.
2
Within 10 days of the planning meeting, the reviewer shall —
a
prepare and sign a final version of the plan in the statement;
b
make the statement available to the reviewee, who may add his comments;
c
where the reviewee is a teacher and the reviewer is not the head teacher, pass the signed statement to the head teacher or where the reviewee is the head teacher and the review is conducted by individual governors, pass the signed statement to the governing body;
d
provide a copy of the statement to the reviewee; and
e
provide a copy of the Training and Development Annex to the person responsible for planning the training and development of teachers at the school.
3
Subject to the outcome of any appeal, the contents of the plan shall be deemed to reflect the results of the planning meeting.
4
The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or the reviewee is absent from work during those times.
5
The plan shall be recorded in the statement by 31 st October or, where the reviewee is the head teacher, by 31 st December, following completion of the previous cycle.
Quality assurance and moderation of plans
15
1
Where individual governors perform the reviewer’s duties on its behalf, the governing body may review the contents of the plan recorded in the head teacher’s statement within 10 days of it being passed to it pursuant to regulation 14(2)(c).
2
Where, pursuant to paragraph (1), the governing body is of the opinion that the plan —
a
is inconsistent with the school’s improvement priorities; or
b
does not comply with the performance management policy or any relevant requirement in these Regulations,
it shall instruct the reviewers to prepare a new plan and statement.
3
Where the head teacher delegates the reviewer’s duties to another teacher he may review the contents of the plan recorded in the statement within 10 days of it being passed to him pursuant to regulation 14(2)(c).
4
Where, pursuant to paragraph (3), the head teacher is of the opinion that any such plan —
a
is inconsistent with the plans recorded in the statements of other teachers at the school who have similar experience or similar responsibilities; or
b
does not comply with the performance management policy or any relevant requirement in these Regulations,
he shall instruct the reviewer to prepare a new plan and statement.
5
Within 10 days of receiving an instruction pursuant to paragraph (2) or paragraph (4), the reviewer shall —
a
consult the reviewee;
b
prepare a new plan, record it in a new statement and sign the statement;
c
make the statement available to the reviewee, who may add his comments;
d
pass the signed statement to the head teacher, or the governing body, as the case may be;
e
provide a copy of the statement to the reviewee; and
f
provide a copy of the Training and Development Annex to the person responsible for planning the training and development of teachers at the school.
6
The time limit specified in paragraph (5) may be extended if the reviewer or reviewee is absent from work during that time.
Revision of plans
16
1
Where, during the course of any cycle —
a
the reviewee’s circumstances or responsibilities change;
b
evidence emerges which gives rise to concern about the reviewee’s performance but which does not justify the application of capability procedures; or
c
the reviewee is absent for such a period of time that some of the entries in the plan recorded in the statement are no longer appropriate,
the reviewer or the reviewee may request a meeting (a “revision meeting”) and that meeting shall be held within 10 days.
2
Within 10 days of the revision meeting, the reviewer shall —
a
record any changes in the plan agreed at the meeting in the form of an addendum to the original statement or, where there is no agreement, any changes he thinks ought to be made to the plan and sign the addendum;
b
make the revised statement available to the reviewee, who may add his comments to the addendum;
c
where the reviewee is a teacher and the reviewer is not the head teacher, pass the signed revised statement to the head teacher or, where the reviewee is the head teacher and the review is conducted by individual governors, pass the signed statement to the governing body;
d
provide a copy of the revised statement to the reviewee; and
e
where the addendum relates to the training and development of the reviewee, provide a copy of the addendum to the person responsible for planning the training and development of teachers at the school.
3
Subject to the outcome of any appeal, the contents of the addendum shall be deemed to reflect the results of the revision meeting.
4
The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or reviewee is absent from work during that time.
5
The statement shall not be revised unless a revision meeting has been held pursuant to paragraph (1).
Classroom observation
17
1
Classroom observation shall be conducted in accordance with the classroom observation protocol referred to in regulation 7(9)(e).
2
The arrangements for classroom observation recorded in the reviewee’s statement shall —
a
specify the primary purpose of each observation to be undertaken; and
b
subject to paragraph (3), specify any particular aspects of the reviewee’s teaching performance that will be assessed during each observation.
3
Nothing in paragraph (2)(b) shall prevent any other aspect of the reviewee’s teaching performance observed during any classroom observation arranged for the purposes of these Regulations from being assessed and taken into account when the teacher’s performance is reviewed in accordance with regulation 18.
4
Subject to paragraph (5), the total period of classroom observation arranged for any teacher under this Part shall not exceed 3 hours per cycle and shall be determined having regard to the individual circumstances of the teacher.
5
Where evidence emerges which gives rise to concern about the reviewee’s teaching performance, classroom observations may be arranged in addition to those referred to in paragraph (4).
6
Where it is considered appropriate to arrange additional classroom observations pursuant to paragraph (5) the reviewer shall ensure that a revision meeting is held and that details of any such observation are inserted into an addendum to the statement pursuant to regulation 16.
7
Where a teacher’s performance in the classroom is observed for the purposes of these Regulations, the reviewer shall ensure that the teacher receives a written report on his findings within 5 days of the observation, to which he may add his comments.
8
Classroom observation must be conducted by a qualified teacher.
Review of teacher’s performance
18
1
At or near the end of each cycle the reviewer or, in the case where the reviewee is the head teacher, all the reviewers and the external adviser or school improvement partner, as the case may be, shall meet with the reviewee to —
a
review his performance throughout that cycle against the performance criteria specified in the statement; and
b
where the reviewee is eligible for pay progression under the Document, determine the recommendation on pay progression, having regard to the results of the review referred to in sub-paragraph (a).
2
The review meeting shall be combined with the planning meeting for the next cycle, wherever practicable.
3
Within 5 days of the review meeting, the reviewer shall —
a
record in draft in the statement —
i
the results of the review; and
ii
any recommendation on pay progression; and
b
pass the draft statement to the reviewee.
4
Within 10 days of the review meeting, the reviewer shall —
a
prepare and sign a final version of the statement;
b
make it available to the reviewee, who may add his comments;
c
where the reviewee is a teacher and the reviewer is not the head teacher, pass the signed statement to the head teacher or, where the reviewee is the head teacher and the review is conducted by individual governors, pass the signed statement to the governing body; and
d
provide a copy of the statement to the reviewee.
5
Subject to the outcome of any appeal, the contents of the statement shall be deemed to reflect the results of the review meeting.
6
The time limit specified in paragraphs (3) and (4) may be extended if the reviewer or the reviewee is absent from work during those times.
7
The results of the review and any pay recommendation shall be recorded in the statement by 31 st October or, where the reviewee is the head teacher, 31 st December, following completion of the cycle to which it relates.
Appeals
19
The reviewee may appeal against any of the entries made by the reviewer in his statement, following receipt of a copy of it pursuant to regulations 14(2)(d), 15(5)(e), 16(2)(d) and 18(4)(d).
Use and retention of statements
20
1
The head teacher or, in the case where the reviewee is the head teacher, the governing body shall retain the reviewee’s statement for a minimum period of 6 years from the date on which the cycle to which it relates ends.
2
Where the reviewee is a teacher other than a head teacher, the governing body shall have regard to the results of the review recorded in the statement pursuant to regulation 18 when exercising any discretion in relation to his pay.
3
The governing body shall be provided with access to the reviewee’s statement for the purposes of paragraph (2), upon request.
4
Where the reviewee is the head teacher, the governing body or, in the case where the school does not have a delegated budget, the local education authority shall have regard to the results of the review recorded in the statement pursuant to regulation 18 when exercising any discretion in relation to his pay.
5
Where the school does not have a delegated budget, the local education authority shall be provided with access to the reviewee’s statement for the purposes of paragraph (4), upon request.
6
The reviewee’s line manager or, where he has more than one, each of his line managers shall be provided with access to the reviewee’s plan recorded in the statement, upon request, where this is necessary to enable him to discharge his line management responsibilities.
7
Where a reviewee pursues an appeal in relation to the contents of his statement the head teacher or, where the reviewee is the head teacher, the governing body shall provide anyone hearing that appeal with access to that statement.
8
Where a reviewee transfers from one school to another school part-way through his cycle, the head teacher or, where the reviewee is the head teacher, the governing body of the school shall transfer the reviewee’s statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the head teacher or governing body of the new school, as the case may be, upon receipt of a written request from the reviewee.
9
Where a reviewee employed by an authority in a school or a governing body of a school becomes an unattached teacher part-way through his cycle, the head teacher or, where the reviewee was the head teacher, the governing body shall transfer the reviewee’s statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority, upon receipt of a written request from the reviewee.
10
Where a reviewee employed as an unattached teacher becomes employed as a teacher by an authority in a school or by a governing body of a school part-way through his cycle, the authority shall transfer the reviewee’s statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the head teacher or, in the case where the unattached teacher is to become the head teacher of the school, the governing body of the school, upon receipt of a written request from the reviewee.
Head teacher’s report
21
1
The head teacher shall provide the governing body with an annual written report about —
a
the operation of the performance management policy;
b
the effectiveness of the school’s performance management procedures; and
c
the teachers’ training and development needs.
2
The head teacher’s report shall not contain any information which would enable any teacher at the school to be identified.
PART 3 Provisions Applying to Unattached Teachers
Application of Part 3
22
Part 3 applies to the performance management and review of any unattached teacher.
Performance management policy
23
1
The authority shall establish a written policy (“the performance management policy”) setting out how the performance of their unattached teachers is to be managed and reviewed.
2
The authority shall review the performance management policy every school year.
3
Following such review, the authority shall, if they see fit, revise the performance management policy.
4
Before establishing or revising the performance management policy, the authority shall —
a
consult all their unattached teachers; and
b
seek to agree the policy or any revision to it with the recognised trade unions, having regard to the results of the consultation of all unattached teachers.
5
The authority shall implement the performance management policy.
6
The performance management policy shall —
a
state what results the policy is intended to achieve and how these will be measured;
b
show how the authority will seek to achieve consistency of treatment and fairness between those teachers with similar experience or levels of responsibility;
c
set out the timing of the review cycle;
d
include a classroom observation protocol;
e
provide for performance management training to be made available as the need arises;
f
state the arrangements for monitoring and evaluating the policy; and
g
specify any ancillary or supplementary procedures necessary for the operation of performance management of unattached teachers in accordance with these Regulations.
Duty to ensure that teachers’ performance is managed and reviewed
24
1
The authority shall ensure that the performance of unattached teachers is managed and reviewed in accordance with the performance management policy and this Part.
2
Where an unattached teacher is employed by more than one authority, each authority shall comply with this regulation in relation to that teacher.
Appointment of reviewers for teachers
25
1
Subject to the following paragraphs of this regulation, the authority shall be the reviewer for every unattached teacher.
2
The authority may delegate the duties imposed upon the reviewer, in their entirety, to the teacher’s line manager.
3
Where the teacher has more than one line manager, the authority may delegate the reviewer’s duties, in their entirety, to the line manager whom they consider would be best placed to manage and review the teacher’s performance.
4
Where it becomes apparent that the person to whom the authority have delegated the reviewer’s duties will be absent for the majority of the cycle, the authority may perform those duties themselves or delegate those duties, in their entirety, to another person for the duration of that absence.
5
Where a teacher is of the opinion that the person to whom the authority have delegated the reviewer’s duties is unsuitable, for professional reasons, he may submit a written request to the authority for that reviewer to be replaced, stating those reasons.
6
Where the authority are persuaded that the person to whom they have delegated the reviewer’s duties is unsuitable, they may perform those duties themselves or delegate them, in their entirety, to another person.
7
Where the authority are not persuaded that the person to whom they have delegated the reviewer’s duties is unsuitable, they shall —
a
notify the teacher in writing of their decision, stating their reasons; and
b
upon request, attach the teacher’s request and the notification of their rejection of that request to the statement for that cycle.
8
A reviewee may request that a person to whom the authority have delegated the reviewer’s duties be replaced once in any cycle.
9
Where the authority decide at any time that a person to whom they have delegated the reviewer’s duties is no longer suitable for professional reasons, or is no longer able to carry out those duties for any reason, they may perform those duties themselves or delegate them, in their entirety, to another person.
10
Where, pursuant to this regulation, the authority delegates the reviewer’s duties to a person who is not the teacher’s line manager, the person to whom they delegate those duties must have an equivalent or higher status in the authority’s staffing structure than the teacher’s line manager.
Performance management and review cycle
26
1
Subject to the following paragraphs of this regulation, the performance of every unattached teacher shall be managed and reviewed on an annual basis (“the performance management and review cycle”).
2
The authority shall determine the timing of the performance management and review cycle for their unattached teachers.
3
Where an unattached teacher is employed on a fixed term contract of less than one year, his performance shall be managed throughout the life of the contract and reviewed at the end of the contract.
4
Where a teacher is employed by an authority part-way through a cycle, the authority shall determine the length of the first cycle for that teacher.
5
Where a teacher transfers to a new post within the authority, whether on a temporary or permanent basis, part-way through his cycle, the authority shall determine whether the cycle shall begin again and, if so, whether to change the reviewer.
6
A change of reviewer shall not cause the reviewee’s cycle to begin again.
Planning meetings
27
1
At the beginning of each cycle, the reviewer shall arrange a meeting with the reviewee (“the planning meeting”) to consider and determine —
a
the reviewee’s objectives;
b
the arrangements for observing the reviewee’s performance in the classroom, where appropriate;
c
any other evidence which will be taken into account in judging the reviewee’s performance;
d
the performance criteria;
e
the support that will be provided to the reviewee to help him to meet the performance criteria;
f
timescales for the achievement of objectives and within which support will be provided, where these differ from the length of the cycle of the reviewee; and
g
the reviewee’s training and development needs and the actions which will be taken to address them.
2
The matters referred to in paragraph (1) shall be determined having regard to —
a
the reviewee’s job description;
b
any relevant pay progression criteria;
c
any relevant objectives which the authority may have for unattached teachers generally or any relevant whole-school or team objectives specified in the School Improvement Plan for any school in which the teacher will be working;
d
what can be reasonably expected of any teacher in that position given the desirability of the reviewee being able to achieve a satisfactory balance between the time required to discharge his professional duties and the time required to pursue his personal interests outside work;
e
the reviewee’s professional aspirations; and
f
the relevant professional standards.
3
The reviewee’s objectives shall be such that, if they are achieved, they will contribute to improving the progress of the pupils he teaches.
4
Only persons who have a direct professional knowledge of the reviewee may provide evidence for the purposes of paragraph (1)(c).
5
Where a joint determination cannot be made in relation to any of the matters referred to in paragraph (1), the reviewer shall make the determination.
Recording of plans
28
1
Within 5 days of the planning meeting, the reviewer shall —
a
prepare a planning and review statement in respect of the reviewee, in which he shall record the plan for managing and reviewing the reviewee’s performance, comprising the matters referred to in regulation 27(1)(a) to (f) and, in a separate annex to the statement, (“the Training and Development Annex”) the matters referred to in regulation 27(1)(g); and
b
pass the draft statement to the reviewee, who may add his comments.
2
Within 10 days of the planning meeting —
a
the reviewer shall prepare and sign a final version of the plan in the statement;
b
make the statement available to the reviewee, who may add his comments;
c
where the reviewer is not the authority, pass the signed statement to the authority;
d
provide a copy of the statement to the reviewee; and
e
provide a copy of the Training and Development Annex to the person responsible for planning the training and development of that teacher.
3
Subject to the outcome of any appeal, the contents of the statement shall be deemed to reflect the results of the planning meeting.
4
The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or the reviewee is absent from work during those times.
5
The plan shall be recorded in the statement by 31 st October following completion of the previous cycle.
Moderation of plans
29
1
Where the authority delegates the reviewer’s duties to another person, they may review the contents of the plan recorded in the statement within 10 days of it being passed to them pursuant to regulation 28(2)(c).
2
Where, pursuant to paragraph (1), the authority are of the opinion that any such plan —
a
is inconsistent with the plans recorded in the statements of other teachers of similar experience or who have similar responsibilities employed by that authority; or
b
does not comply with any relevant requirement in these Regulations,
they shall instruct the reviewer to prepare a new plan and statement.
3
Within 10 days of receiving an instruction pursuant to paragraph (2), the reviewer shall —
a
consult the reviewee;
b
prepare a new plan, record it in a new statement and sign the new statement;
c
make it available to the reviewee, who may add his comments;
d
pass the signed statement to the authority;
e
provide a copy of the statement to the reviewee; and
f
provide a copy of the Training and Development Annex to the person responsible for planning the training and development of teachers.
4
The time limit specified in paragraph (3) may be extended if the reviewer or reviewee is absent from work during that time.
Revision of plans
30
1
Where, during the course of any cycle —
a
the reviewee’s circumstances or responsibilities change;
b
evidence emerges which gives rise to concern about the reviewee’s performance but which does not justify the application of capability procedures; or
c
the reviewee is absent for such a period of time that some of the entries in the plan recorded in the statement are no longer appropriate,
the reviewer or the reviewee may request a meeting (a “revision meeting”) and that meeting shall be held within 10 days.
2
Within 10 days of the revision meeting, the reviewer shall —
a
record any changes in the plan agreed at the meeting in the form of an addendum to the original statement or, where there is no agreement, any changes he thinks ought to be made to the plan and sign the addendum;
b
make the revised statement available to the reviewee, who may add his comments to the addendum;
c
where the reviewer is not the authority, pass the signed revised statement to the authority;
d
provide a copy of the revised statement to the reviewee; and
e
where the addendum relates to the training and development of the reviewee, provide a copy of the addendum to the person responsible for planning the training and development of that teacher.
3
Subject to the outcome of any appeal, the contents of the addendum shall be deemed to reflect the results of the revision meeting.
4
The time limit specified in paragraphs (1) and (2) may be extended if the reviewer or reviewee is absent from work during that time.
5
The statement shall not be revised unless a revision meeting has been held pursuant to paragraph (1).
Classroom observation
31
1
Classroom observation shall be conducted in accordance with the classroom observation protocol referred to in regulation 23(6)(d).
2
The arrangements for classroom observation recorded in the reviewee’s statement shall —
a
specify the primary purpose of each observation to be undertaken; and
b
subject to paragraph (3), specify any particular aspects of the reviewee’s teaching that will be assessed during each observation.
3
Nothing in paragraph (2)(b) shall prevent any other aspect of the reviewee’s teaching performance observed during any classroom observation arranged for the purposes of these Regulations from being assessed and taken into account when the teacher’s performance is reviewed in accordance with regulation 32.
4
Subject to paragraph (5), the total period of classroom observation arranged for any teacher under this Part shall not exceed 3 hours per cycle and shall be determined having regard to the individual circumstances of the teacher.
5
Where evidence emerges which gives rise to concern about the reviewee’s teaching performance, classroom observations may be arranged in addition to those referred to in paragraph (4).
6
Where it is considered appropriate to arrange additional classroom observations pursuant to paragraph (5), the reviewer shall ensure that a revision meeting is held and that details of any such observation are inserted into an addendum to the statement pursuant to regulation 30.
7
Where a teacher’s performance in the classroom is observed for the purposes of these Regulations, the reviewer shall ensure that the teacher receives a written report on his findings within 5 days of the observation, to which he may add his comments.
8
Classroom observation must be conducted by a qualified teacher.
Review of teacher’s performance
32
1
At or near the end of each cycle, the reviewer shall arrange a meeting with the reviewee (“a review meeting”) to —
a
review his performance throughout that cycle against the performance criteria specified in the statement; and
b
where the reviewee is eligible for pay progression under the Document, determine the recommendation on pay progression, having regard to the results of the review referred to in sub-paragraph (a).
2
The review meeting shall be combined with the planning meeting for the next cycle, wherever practicable.
3
Within 5 days of the review meeting, the reviewer shall —
a
record in draft in the statement —
i
the results of the review; and
ii
any recommendation on pay progression; and
b
pass the draft statement to the reviewee.
4
Within 10 days of the review meeting, the reviewer shall —
a
prepare and sign a final version of the statement;
b
make it available to the reviewee, who may add his comments;
c
where the reviewer is not the authority, pass the signed statement to the authority; and
d
provide a copy of the statement to the reviewee.
5
Subject to the outcome of any appeal, the contents of the statement shall be deemed to reflect the results of the review meeting.
6
The time limit specified in paragraphs (3) and (4) may be extended if the reviewer or the reviewee is absent from work during those times.
7
The results of the review and any pay recommendation shall be recorded in the statement by 31 st October following completion of the cycle to which it relates.
Appeals
33
The reviewee may appeal against any of the entries made by the reviewer in his statement, following receipt of a copy of it pursuant to regulations 28(2)(d), 29(3)(e), 30(2)(d) and 32(4)(d).
Use and retention of statements
34
1
The authority shall retain the reviewee’s statement for a minimum period of 6 years from the date on which the cycle to which it relates ends.
2
The authority shall have regard to the results of the review recorded in the reviewee’s statement pursuant to regulation 32 when exercising any discretion in relation to his pay.
3
The reviewee’s line manager or, where he has more than one, each of his line managers shall be provided with access to the reviewee’s plan recorded in the statement, upon request, where this is necessary to enable him to discharge his line management responsibilities.
4
Where a reviewee pursues an appeal in relation to the contents of his statement, the authority shall provide anyone hearing that appeal with access to that statement.
5
Where a reviewee transfers from one authority to another authority part-way through his cycle, the authority shall transfer the reviewee’s statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority, upon receipt of a written request from the reviewee.
6
Where a reviewee becomes employed by another authority in a school or the governing body of a school part-way through his cycle, the authority shall transfer the reviewee’s statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority or governing body, as the case may be, upon receipt of a written request from the reviewee.
7
Where a reviewee employed by an authority in a school or the governing body of a school becomes an unattached teacher part-way through his cycle, the authority or governing body, as the case may be, shall transfer the reviewee’s statement for that cycle, together with any evidence gathered concerning his performance during that cycle, to the new authority, upon receipt of a written request from the reviewee.
Parmjit Dhanda
Parliamentary Under Secretary of State
Department for Education and Skills
4th October 2006


text:
Citation and commencement
1
This Order may be cited as the Road Traffic (Permitted Parking Area and Special Parking Area) (City of Wolverhampton) Order 2006 and shall come into force on 5th February 2007.
Interpretation
2
In this Order —
“the 1984 Act ” means the Road Traffic Regulation Act 1984 ;
“the 1991 Act ” means the Road Traffic Act 1991; and
“the parking area” means the area designated as a permitted parking area and as a special parking area by article 4 of this Order.
Application
3
This Order applies to the whole of the City of Wolverhampton except the entire length of the A463 within the City, including its on and off slip roads.
Designation of permitted parking area and special parking area
4
The Secretary of State designates the area to which this Order applies as —
a
a permitted parking area; and
b
a special parking area.
Modification and application of Part II of the 1991 Act
5
Sections 66, 69 to 74, 78, 79 and 82 of, and Schedule 6 to, the 1991 Act shall apply in relation to the parking area and as so applied shall have effect subject to the modifications specified in Schedule 1 to this Order.
Modification of other provisions
6
The 1984 Act shall be modified in relation to the parking area as specified in Schedule 2 to this Order.
Signed by authority of the Secretary of State
G. Merron
Parliamentary Under Secretary of State
Department for Transport
19th December 2006


text:
Citation, commencement, and application
1
1
This Order may be cited as the Caravan Sites Act 1968 and Social Landlords (Permissible Additional Purposes) (England) Order 2006 (Definition of Caravan) (Amendment) (England) Order 2006 and shall come into force on 1st October 2006.
2
The amendments made by articles 2 and 3 apply in relation to England only.
Amendment of the definition of caravan for the purposes of Part 1 of the Caravan Sites and Control of Development Act 1960
2
Sub-section (2) of section 13 of the Caravan Sites Act 1968 (twin-unit caravans) shall be amended —
a
in paragraph (a) by the substitution for “60” and “18.288” of “65.616” and “20” respectively”;
b
in paragraph (b) by the substitution for “20” and “6.096” of “22.309” and “6.8” respectively; and
c
in paragraph (c) by the substitution for “10” and “3.048” of “10.006” and “3.05 respectively.
Amendment of the definition of caravan in article 3 of the Social Landlords (Permissible Additional Purposes) (England) Order 2006
3
Paragraph 3 of article 3 of the Social Landlords (Permissible Additional Purposes) (England) Order 2006 (meaning of caravan) shall be amended
a
in paragraph (a) by the substitution for “18.288 metres (60 feet) of “20 metres”;
b
in paragraph (b) by the substitution for “6.096 metres (20 feet)” of “6.8 metres”; and
c
in paragraph (c) by the substitution for “3.048 metres (10 feet)” of “3.05 metres”.
Signed by authority of the Secretary of State
Angela Smith
Parliamentary Under Secretary of State
Department for Communities and Local Government
4th September 2006