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This report sets out the expenditure and performance of the Teaching Regulation Agency (TRA) over the period 1 April 2018 to 31 March 2019.

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Chief Executive and Accounting Officer’s introduction and perspective on performance This Annual Report and Accounts report (ARA) covers year ended 31 March 2019 for the TRA, as an executive agency of the Department for Education (the Department or DfE). In November 2017, the Department announced plans that the National College for Teaching and Leadership (NCTL) would be repurposed into the TRA with effect from 1 April 2018. From this date, the majority of NCTL’s functions transferred back into the Department to align policy and operational activities. The remaining functions, as listed below, became the responsibility of the TRA. Statement of purpose and activities As set out in our 2018-21 Corporate Plan1 our purpose is to support employers, schools and headteachers with safeguarding responsibilities by taking action upon receipt of allegations of serious teacher misconduct, and providing employers the opportunity to complete pre-employment checks to ensure that they are employing teachers who are appropriately qualified for their role. We have responsibility, on behalf of the Secretary of State for Education (‘the Secretary of State’), to act as the competent authority for teaching in England; and to operate as the regulatory system for all teacher misconduct as defined by, The Teachers’ Disciplinary (England) Regulations 20122 and the Teacher Misconduct Procedures – Disciplinary procedures for the Teaching Profession3. 1 https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/696833/teaching-regulation- agency-corporate-plan.pdf 2 http://www.legislation.gov.uk/uksi/2012/560/contents/made 3 https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/776859/Disciplinary_ procedures_for_the_teaching__profession.pdf 75$$118$/5(3257$1'$&&28176 3(5)250$1&(5(3257 3DJH_  7KHDJHQF\LVIRUPHGRIWZRRSHUDWLRQDOXQLWVWKH7HDFKHU4XDOLILFDWLRQ8QLW748DQG WKH7HDFKHU0LVFRQGXFW8QLW708 6WUXFWXUHRIWKHDJHQF\    TRA ANNUAL REPORT AND ACCOUNTS 2018-19 PERFORMANCE REPORT Page | 8 Key issues and risks facing the agency The agency faces strategic risks that could cause operational delivery to differ from the desired outcomes. The table below shows three strategic risks, along with a summary of how we managed these in 2018-19. Risk Area Mitigation There is a risk of a successful challenge to the processes of teacher regulation and the TRA’s ability to make decisions on behalf of the Secretary of State, due to an individual’s actions or successful legal challenge. TMU Risks for individual cases are identified and discussed with a nominated Senior Responsible Officer (SRO). Close working relationships with the Department’s Legal Advisors Office and policy colleagues to ensure potential issues are considered at an early stage to support a robust legal position. We work closely with the Department’s Press Office team to manage communications that arise from the reporting of our hearings. The TRA has made significant progress in reviewing its published procedures and, have consulted with relevant stakeholders. There is a risk that the TRA is successfully challenged on its interpretation and application of General Data Protection Regulation (GDPR) by a data subject which could have both a financial and reputational impact on the Department. TRA The TRA has identified staff to lead on GDPR and they have undertaken training to help them to understand the requirements of GDPR and the potential impact on TRA. The TRA has worked closely with the Privacy and Information Rights Advisory Service within the Department to ensure common understanding of the requirements. All privacy notices have been rewritten to comply with GDPR requirements and, communications plans developed to ensure that relevant data subjects are informed of their rights. The TRA has followed advice from the Information Commissioner’s Office (ICO) to further develop plans. There is a risk of a data breach involving sensitive material being misplaced, misused or inadvertently viewed. The impact being that sensitive data including personal details of those involved in the hearing process is shared. TMU TRA staff have received awareness training on this subject. All staff complete mandatory information security training. Panel members on TRA Professional Conduct Panels (PCPs) have received guidance on handling sensitive information. All case papers are given a protective marking and transferred by secure courier. TRA ANNUAL REPORT AND ACCOUNTS 2018-19 PERFORMANCE REPORT Page | 9 Risk Area Mitigation Documents transferred electronically are password protected or transferred via a secure platform. TRA data breach reporting and near miss regular reporting is in place. Embedding lessons learnt from near misses and previous incidents is routinely undertaken. Contracts with firms performing services on behalf of the TRA include strict data security instructions. Our programmes of work have robust governance arrangements in place to ensure the timely resolution of these challenges as well as the delivery of routine work (see page 31). The Department’s estimate and forward plans included provision for the continuation of the TRA (formerly NCTL) into 2019-20. Performance summary The TRA’s work is split between two operational units, they are: • TMU: responsible for formally investigating referals of teacher misconduct that fall within TRA’s jurisdiction and its threshold for serious misconduct, that if proven have the potential to result in a prohibition order • TQU: acts on behalf of the Secretary of State as the competent authority for teaching in England and ensures the delivery of EU Directive 2005/36/EC; awards Qualified Teacher Status (QTS) to teachers in England and mutual recognition for overseas trained teachers (OTTs) for QTS in England. During 2018-19: The Teacher Qualification Unit have: • awarded QTS to 30,806 teachers who have completed a course of initial teacher training (ITT) in England and awarded Early Years Teacher Status (EYTS) to 534 individuals • awarded QTS to 4,633 OTTs who applied for recognition in England • delivered 72,476 QTS and induction certificates to teachers through the teacher self- service portal (TSS) • supported 344,578 pre-employment checks through the online employer access service • recorded 27,285 newly qualified teacher (NQT) induction passes onto the Database of Qualified Teachers (DQT) • issued 37,449 teacher reference numbers (TRN) • answered 31,043 telephone calls and responded to 44,272 email helpdesk queries During 2018-19: The Teacher Misconduct Unit have: TRA ANNUAL REPORT AND ACCOUNTS 2018-19 PERFORMANCE REPORT Page | 10 • received 985 referrals of teacher misconduct • considered 462 cases of alleged serious misconduct at a determination meeting • administered 143 PCPs • imposed 51 Interim Prohibition Orders (IPO) • made decisions on behalf of the Secretary of State for: o 128 cases of teacher misconduct o administered and made a decision for 12 set asides o administered and made a decision for six induction appeals, and • managed four High Court appeals and one Judicial Review.TRA ANNUAL R