The Education (Individual Pupils’ Achievements) (Information) (Wales) Regulations 1997

Made: 28th February 1997

Laid before Parliament: 10th March 1997

Coming into force: 1st April 1997

In exercise of the powers conferred on the Secretary of State by sections 408 and 569(4) and (5) of the Education Act 1996[^f00001], and after consulting with those persons with whom consultation appeared to him to be desirable, the Secretary of State for Wales hereby makes the following Regulations:

Citation, commencement, extent and revocation

1

• (1) These Regulations may be cited as the Education (Individual Pupils’ Achievements) (Information) (Wales) Regulations 1997 and shall come into force on 1st April 1997.

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

• (3) The Education (Individual Pupils’ Achievements) (Information) (Wales) Regulations 1996[^f00002] are revoked.

Interpretation

2

• (1) In these Regulations—

• “the Act” means the Education Act 1996;

• “attainment target” has the meaning given to it by section 353(a) of the Act;

• “attendance record” means the record of a pupil’s school attendance contained in the Attendance Register kept in accordance with section 434 of the Act[^f00003] and the Education (Pupil Registration) Regulations 1995[^f00004];

• “external marking agency” means a body nominated by Awdurdod Cwricwlwm Ac Asesu Cymru or the Curriculum and Assessment Authority for Wales[^f00005] and approved by the Secretary of State to mark NC tests;

• “GCE ‘A’ level” and “GCE ‘AS’” mean General Certificate of Education advanced level and advanced supplementary respectively;

• “GCSE” means General Certificate of Secondary Education;

• “IB” means International Baccalaureate Diploma;

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

• “levels” means the levels of attainment set out in any document of a kind referred to in section 356(4) of the Act the provisions of which have effect, by virtue of any Order made under section 356(2)(a) or (b) of the Act and, unless the context otherwise requires, means such levels as determined and recorded in accordance with the statutory arrangements;

• “maintained school” means— any county or voluntary school; any maintained or grant-maintained special school (other than one established in a hospital); and any grant-maintained school;

• “NC tests”, in the case of pupils in the final year of the first key stage, means standard task assessments administered to pupils in accordance with the statutory arrangements and, in relation to pupils in the final year of the second or third key stage, ‘NC tests’ and ‘NC tasks’ means respectively National Curriculum tests and National Curriculum tasks administered to pupils in accordance with those arrangements;

• “relevant subjects” means— in relation to teacher assessment and any key stage, all those subjects in respect of which the pupil or pupils concerned are required to be assessed by teacher assessment; in relation to National Curriculum tests and any key stage, all those subjects in respect of which the pupil or pupils concerned are required to be assessed by the administration of such tests; and in relation to NC tasks and any key stage, all those subjects in respect of which such tasks are required to be administered to the pupil or pupils concerned, in that key stage in accordance with the statutory arrangements;

• “result” in relation to any assessment under the statutory arrangements means (subject to regulation 3(11) to (13)) the result of the assessment as determined and recorded in accordance with those arrangements;

• “school day” means a day on which the school meets;

• “teacher assessment” means assessment by a teacher in accordance with the statutory arrangements;

• “the statutory arrangements” means assessment arrangements specified by orders made under section 356(2)(c) of the Act[^f00006]; and

• “vocational qualification” includes a credit towards such a qualification.

• (2) In these Regulations a reference to an attainment target or subject from which a pupil is exempt is, respectively, to an attainment target which, or to a subject the National Curriculum for which, does not apply to the pupil by virtue of regulations made under section 363 of the Act, provision made pursuant to section 364 of the Act in the pupil’s statement of special educational needs or a direction given by the head teacher pursuant to regulations made under section 365 of the Act[^f00007].

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

Head teacher’s report to parents and adult pupils

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• (1) The head teacher of every maintained school shall make available, each school year, in accordance with this regulation in writing a report containing the information specified in this regulation.

• (2) The persons to whom the report shall be made available are—

• (a) in the case of pupils registered at the school aged 18 or over at the time a report is made available and who are not proposing to leave the school by the end of the school year to which the report relates, each such pupil and, if the head teacher considers there to be special circumstances which make it appropriate, the parent of each such pupil; or

• (b) in the case of all other pupils registered at the school, the parent of each such pupil.

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

• (a) as respects pupils in the final year of, respectively, the first, second, third and fourth key stages, in, respectively, paragraphs 1, 2, 3 and 4, of Part 1 of Schedule 1 hereto;

• (b) as respects pupils in any year of any key stage (including those referred to in sub-paragraph (a)), in Part 2 of that Schedule;

• (c) as respects pupils who were entered for any GCE ‘A’ level or GCE ‘AS’ examination, IB or vocational examination, in Part 3 of that Schedule; and

• (d) as respects all pupils registered at the school (including those referred to in sub-paragraphs (a) to (c) above), in Part 4 of that Schedule.

• (4) In the case of the pupils registered at the school in, respectively, the final year of the first, second and third key stages there shall be included in the report the information relating to the educational achievements of all other such pupils registered at the school in the final year of that key stage whose achievements were assessed under the statutory arrangements at the same time as the pupil’s achievements, and the other information relating to such pupils, specified in paragraphs 1, 2 and 3, respectively, of Schedule 2 to these Regulations.

• (5) In the case of the pupils registered at the school in the final year of the first key stage there shall be included in the report the information specified in paragraph 1 of Schedule 3 relating to the educational achievements of all pupils at schools in Wales who were in the final year of that key stage in the preceding school year and whose achievements were assessed under the statutory arrangements in that preceding school year.

• (6) In the case of the pupils registered at the school in the final year of, respectively, the second and third key stages there shall be included in the report the information specified in paragraph 2 of Schedule 3 relating to the educational achievements of all pupils at schools in Wales who were in the final year of that key stage in the preceding school year and whose achievements were assessed under the statutory arrangements in that preceding school year.

• (7) Nothing in this regulation shall prevent the information specified in paragraphs (3) to (6) being contained in more than one report provided that, subject to paragraph (9), the head teacher shall each school year send such information by post or otherwise before the end of the summer term.

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

• (a) the pupil’s admission to the school; or

• (b) the end of the period to which the last report on such matters made pursuant to these Regulations or as the case may be the Regulations revoked by regulation 1 related.

• (9) Where any of the particulars necessary to provide the information specified in paragraph (10) are not received by the head teacher until after the end of the summer term, he shall make available such information as soon as practicable and in any event not later than the following 30th September.

• (10) The information is—

• (a) the results of public examinations taken or details of vocational qualifications achieved by a pupil;

• (b) the results of NC tests taken by a pupil at the end of the second or third key stage;

• (c) the information referred to in paragraph 1(4) of Schedule 1 insofar as it relates to NC tests; and

• (d) the information referred to in paragraphs 2(2) and 3(3) of Schedule 1 and paragraphs 2 and 3 of Schedule 2.

• (11) Paragraphs (12) and (13) apply where the head teacher has requested but not received before the end of the summer term a review by the external marking agency of the result of any of the NC tests taken by a pupil in the final year of the first, second or third key stage.

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

• (13) Once the reviewed result has been received by the head teacher, he shall make available as soon as possible and in any event not later than the following 30th September after the summer term, information giving the reviewed result of the NC tests, to those persons who earlier received the information that the result of the NC tests was provisional.

Additional information to be made available

4

• (1) Subject to paragraph (3), in the case of a registered pupil at a maintained school in the final year of any key stage, the head teacher shall if requested by the pupil’s parent make available to the parent, in accordance with this regulation, the pupil’s levels in each attainment target in any relevant subject.

• (2) The head teacher shall comply with such a request within 15 school days of its receipt by him.

• (3) Paragraph (1) does not apply if the information referred to in that paragraph has previously been made available to the pupil’s parent pursuant to these Regulations.

School leaver’s report

5

• (1) The head teacher of every maintained school shall make available to any pupil who has ceased to be of compulsory school age and is proposing to leave or has left the school the information referred to in paragraph (2) in accordance with paragraphs (3) to (5).

• (2) The information consists of—

• (a) the pupil’s name;

• (b) the pupil’s school;

• (c) the results of any public examination taken by the pupil and any qualification and credits towards a qualification awarded to him; and

• (d) brief particulars of the pupil’s progress and achievements in subjects (other than those in which the pupil has taken any public examination) and in any activities forming part of the school curriculum, in the school year during or at the end of which the pupil left the school.

• (3) The information referred to in sub-paragraphs (a), (b) and (d) of paragraph (2) shall be included under the heading “Achievements in Education” in the form specified in Schedule 4, or a form to the like effect, and the information referred to in sub-paragraphs (a) and (c) of paragraph (2) shall be so included under the heading “Qualifications and Credits”.

• (4) The part of the form in which the information referred to in sub-paragraphs (a), (b) and (d) of paragraph (2) is made available shall provide for signature by the pupil, and that part of the form and the part of the form in which the information referred to in sub-paragraphs (a) and (c) of paragraph (2) is made available shall both provide for signature by a teacher who is familiar with the pupil and his achievements.

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

Report when pupil changes school

6

• (1) Subject to paragraphs (4) and (5) where a pupil ceases to be a registered pupil at a maintained school (his “old” school) and becomes a registered pupil at another school (his “new” school), the head teacher of the pupil’s old school shall at the time referred to in paragraph (3) send to the head teacher of his new school a report about the pupil containing the information referred to in paragraph (2).

• (2) The information is—

• (a) subject to paragraph (6), the subject and attainment target levels achieved by the pupil in each of the relevant subjects (other than art, music and physical education) shown by his most recent and all previous assessments (where available) specifying teacher, NC test and NC task assessed levels;

• (b) Where the pupil has been assessed under the statutory arrangements in the final year of the third key stage, the result of teacher assessment of the pupil’s achievements in relation to the end of key stage descriptions specified for the attainment target or targets in relation to art, music and physical education; and

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

• (3) The head teacher of the pupil’s old school shall send the report within 15 school days of the pupil’s ceasing to be registered at the school.

• (4) This regulation does not apply where it is not reasonably practicable for the head teacher of the old school to ascertain the pupil’s new school, nor where the pupil was registered at his old school for less than four weeks.

• (5) Notwithstanding paragraph (4) if the head teacher of the pupil’s old school receives at any time a request from the head teacher of the pupil’s new school for a report about the pupil he shall send one containing the information referred to in paragraph (2) within 15 school days of receiving the request.

• (6) In the case of technology in the third key stage, the reference in paragraph (2)(a) above to the pupil’s subject level shall be read as a reference to the overall level achieved by the pupil in “Design and Technology”.

Restrictions on provision of information

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• (1) The provisions of paragraph (2) apply to the information specified in paragraph 8(1) of Schedule 1.

• (2) Nothing in regulation 3 shall require the making available of any information—

• (a) originating from or supplied by or on behalf of any person other than—

• (i) an employee of the local education authority which maintains the school;

• (ii) in the case of a grant-maintained school, a grant-maintained special school or a voluntary aided school, a teacher or other employee at the school (including an educational psychologist engaged by the governing body under a contract for services);

• (iii) an education welfare officer;

• (iv) the person requesting disclosure; or

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

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

• (a) to the extent that disclosure would in the opinion of the head teacher be likely to cause serious harm to the physical or mental health or emotional condition of the pupil to whom the information relates or of any other person;

• (b) to the extent that in the opinion of the head teacher it is relevant to the question whether the pupil to which it relates is or has been the subject of or may be at risk of child abuse; or

• (c) so as to disclose the levels in any attainment target or subject of any other pupil.

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

Translation of report

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• (1) If any information required to be made available under these Regulations is provided in Welsh, then if it appears requisite to the head teacher of any school that the information should be translated into English, it shall be so translated and these Regulations shall apply to the information so translated as they apply to the original information.

• (2) If any information required to be made available under these Regulations is provided in English, then if it appears requisite to the head teacher of any school that the information should be translated into Welsh it shall be so translated and these Regulations shall apply to the information so translated as they apply to the original information.

• (3) If it appears requisite to the head teacher of any school that any information required to be made available under these Regulations should be translated into a language other than English or Welsh, it shall be so translated and these Regulations shall apply to the translated information as they apply to the original information.

• (4) No charge shall be made for a copy of any information translated in accordance with paragraphs (1), (2) or (3).

SCHEDULE 1 — INFORMATION ABOUT INDIVIDUAL PUPILS

PART 1 — PUPILS IN THE FINAL YEAR OF THE FIRST KEY STAGE

1

• (1) The results of teacher assessment of the pupil’s subject level in each of the relevant subjects.

• (2) The results of teacher assessment of the pupil’s level in the attainment targets in English entitled “Speaking and Listening”, “Reading” and “Writing” and in the attainment targets in Welsh entitled “Oral (Speaking, Viewing and Listening)”, “Reading” and “Writing”; together with the results of any NC tests in such attainment targets and in the subjects of Welsh and mathematics.

• (3) A brief account of what the pupil’s achievements reported pursuant to sub-pargraphs (1) and (2) show about the pupil’s progress in the relevant subjects individually and in relation to other children in the same year of the key stage which draws attention to any particular strengths and weaknesses of the pupil.

• (4) Where pursuant to the statutory arrangements for the first key stage, the NC tests for English, Welsh or mathematics specified in the statutory arrangements for the second key stage are administered to a pupil, the results of any such NC tests in which the pupil’s level of attainment is level 4 or above together with the results of teacher assessment of the pupil’s subject level in the subject or subjects in respect of which those NC tests are administered.

PUPILS IN THE FINAL YEAR OF THE SECOND KEY STAGE

2

• (1) The results of teacher assessment of the pupil’s subject level in each of the relevant subjects together with the results of NC tests and NC tasks (where applicable) in those subjects.

• (2) A brief account of what the pupil’s achievements reported pursuant to sub-paragraph (1) show about the pupil’s progress in the relevant subjects individually and in relation to other children in the same year of the key stage which draws attention to any particular strengths and weaknesses of the pupil.

PUPILS IN THE FINAL YEAR OF THE THIRD KEY STAGE

3

• (1) Subject to paragraph (4), the results of teacher assessment of the pupil’s subject level in each of the relevant subjects (other than art, music and physical education) together with the results of NC tests and NC tasks (where applicable) in such subjects.

• (2) The results of teacher assessment of the pupil’s achievements in, respectively, art, music and physical education in relation to the end of key stage descriptions specified for the attainment target or targets in relation to the subject.

• (3) A brief account of what the pupil’s achievements reported pursuant to sub-paragraph (1) and (2) show about the pupil’s progress in the relevant subjects individually and in relation to other children in the same year of the key stage which draws attention to any particular strengths and weaknesses of the pupil.

• (4) The reference in paragraph (1) above to the pupil’s subject level shall, in relation to technology, be read as a reference to both the overall level achieved by the pupil in “Design and Technology” and the level achieved by the pupil in the attainment target for “Information Technology”.

PUPILS IN THE FINAL YEAR OF THE FOURTH KEY STAGE

4

• (1) The name of any subject in which the pupil was entered for the GCSE and the grade achieved.

• (2) Any other qualification or unit towards such qualification and where available the grade achieved.

PART 2 — PUPILS IN ANY YEAR OF A KEY STAGE

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• (1) In relation to all foundation subjects, brief particulars of the pupil’s achievements in relation to each subject drawing attention to any particular strengths and weaknesses, together with, where the particulars include levels, a statement indicating whether or not those levels have been determined in accordance with the statutory arrangements.

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

• (3) A summary of the pupil’s attendance record during the period to which information relates showing the number of unauthorised absences (within the meaning of the Education (Pupil Registration) Regulations 1995) and the number of possible attendances.

PART 3 — PUPILS ENTERED FOR GCE ‘A’ LEVEL OR GCE ‘AS’ EXAMINATIONS

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• (1) The name of any subject in which the pupil was entered for GCE ‘A’ level or GCE ‘AS’ examinations and the grade (if any) achieved.

• (2) The total number of points scored by the pupil in such subject examinations entered by the pupil, the following grades equating to the following points:—

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

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

PUPILS ENTERED FOR A VOCATIONAL QUALIFICATION OR IB

7

The name of any subject in which the pupil was entered for a vocational qualification or IB and the qualification or credit (if any) towards such qualification and, where available, the grade (if any) achieved.

PART 4 — ALL PUPILS

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• (1) Brief particulars of the pupil’s achievements in any subject or activity not mentioned elsewhere in this Schedule which forms part of the school curriculum and of his skills and abilities and about his general progress at school during the period to which the information relates.

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

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

SCHEDULE 2 — INFORMATION ABOUT PUPILS AT THE SCHOOL

Pupils in the Final Year of the first key stage

1

• (1) For the purposes of this paragraph references to registered pupils are to pupils registered at the school on the day which is two weeks before the last school day of the summer term.

• (2) The percentages of registered pupils in the final year of the first key stage who achieved each level in the attainment targets in English, entitled “Reading” and “Writing”, in the attainment targets in Welsh entitled “Oral (Speaking, Viewing and Listening)”, “Reading” and “Writing” and in the subjects of Welsh and mathematics, in each case both as determined by teacher assessment and by NC tests.

• (3) The percentages of registered pupils in the final year of the first key stage who are working towards level 1 in each of the those attainment targets and subjects as so determined.

• (4) The percentages of registered pupils in the final year of the first key stage who are exempt from each attainment target and subject referred to in sub-paragraph (2).

• (5) The percentages of registered pupils in the final year of the first key stage who were absent from each NC test referred to in sub-paragraph (2).

Pupils in the Final Year of the second key stage

2

• (1) For the purposes of this paragraph references to registered pupils are to registered pupils at the school on the date which is two weeks before the last school day of the summer term.

• (2) The percentages of registered pupils in the final year of the second key stage who achieved each level in each relevant subject shown both as determined by teacher assessment and by NC tests and NC tasks (where applicable).

• (3) The percentages of registered pupils in the final year of the second key stage who are working towards level 1 in each relevant subject as so determined.

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

• (5) The percentages of registered pupils in the final year of the second key stage who were absent from each NC test referred to in sub-paragraph (2).

Pupils in the Final Year of the third key stage

3

• (1) For the purposes of this paragraph references to registered pupils are to registered pupils at the school on the day which is two weeks before the last school day of the summer term.

• (2) Subject to paragraph (6), the percentages of registered pupils in the final year of the third key stage who achieved each level in each relevant subject (other than art, music and physical education) shown both as determined by teacher assessment and by NC tests and NC tasks (where applicable).

• (3) The percentages of registered pupils in the final year of the third key stage who are working towards level 1 in each such relevant subject as so determined.

• (4) The percentages of registered pupils in the final year of the third key stage who are exempt from each such relevant subject.

• (5) The percentages of registered pupils in the final year of the third key stage who were absent from each NC test referred to in sub-paragraph (2).

• (6) The reference in paragraph (2) above to pupils’ subject levels shall, in relation to technology, be read as references to both pupils’ overall levels in “Design and Technology” and pupils’ levels in the attainment target for “Information Technology”.

SCHEDULE 3 — INFORMATION ABOUT PUPILS AT SCHOOLS IN WALES

Pupils in the final year of the first key stage

1

• (1) The percentages referred to in this paragraph are those that are provided by the Welsh Office in respect of all registered pupils at schools in Wales in the final year of the first key stage in the preceding school year.

• (2) The percentages of such pupils who achieved each level in the attainment targets in English entitled “Reading” and “Writing” in the attainment targets in Welsh entitled “Oral (Speaking, Viewing and Listening)”, “Reading” and “Writing” and in the subjects of Welsh and mathematics, shown (in every case) both as determined by teacher assessment and by NC tests and NC tasks (where applicable).

• (3) The percentages of such pupils who were working towards level 1 in each of those attainment targets and subjects as so determined.

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

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

Pupils in the final year of the second key stage and in the final year of the third key stage

2

• (1) The percentages referred to in this paragraph are those that are provided by the Welsh Office in respect of all registered pupils at schools in Wales in the final year of the second or, as the case may be, third key stage in the preceding school year.

• (2) The percentages of such pupils who achieved each subject level in English, Welsh, mathematics and science shown both as determined by teacher assessment and by NC tests and NC tasks (where applicable).

• (3) The percentages of such pupils who were working towards level 1 in each of those subjects as so determined.

• (4) The percentages of such pupils who were exempt from each of those subjects.

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

SCHEDULE 4

Signed

William Hague — Secretary of State for Wales — 28th February 1997

Explanatory note

(This note is not part of the Regulations)

These Regulations replace with some changes the Education (Individual Pupils’ Achievements) (Information) (Wales) Regulations 1996, which are revoked.

Apart from drafting and other minor changes, changes from the earlier Regulations reflect changes in the assessment arrangements for key stage 3 introduced last year by the Education (National Curriculum) (Key Stage 3 Assessment Arrangements) (Wales) Order 1996 which require teacher assessment at key stage 3 to be carried out in respect of all foundation subjects, not just in English, Welsh, mathematics and science as previously.

These changes in the key stage 3 assessment arrangements have been reflected in revisions and additions to regulation 6(2) and (6), Schedule 1, paragraph 3 and Schedule 2, paragraph 3. Consequential amendments have been made to the definitions of “levels”, “relevant subjects” and “teacher assessment”, and definitions of “attainment target” and “result” have been added—see regulation 2(1).

Footnotes

[^f00001]: 1996 c. 56. Section 408 is applied in relation to grant-maintained special schools by S.I. 1994/653.

[^f00002]: S.I. 1996/382.

[^f00003]: For the meaning of “prescribed” and “regulations” see section 579(1).

[^f00004]: S.I. 1995/2089.

[^f00005]: See section 360 of the Education Act 1996.

[^f00006]: The current Orders are the Education (National Curriculum) (Assessment Arrangements for English, Welsh, Mathematics and Science) (Key Stage 1) (Wales) Order 1995 (S.I. 1995/2207), the Education (National Curriculum) (Assessment Arrangements for English, Welsh, Mathematics and Science) (Key Stage 2) (Wales) Order 1995 (S.I. 1995/2208) and the Education (National Curriculum) (Key Stage 3 Assessment Arrangements) (Wales) Order 1996 (S.I. 1996/2337).

[^f00007]: The current regulations are the Education (National Curriculum) (Temporary Exceptions for Individual Pupils) Regulations 1989 (S.I. 1989/1181).