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This document sets out the broad framework within which the Teaching Regulation Agency (TRA) will operate.

The document does not convey any legal powers or responsibilities but all parties will operate within its terms. It has been signed and dated by the Permanent Secretary at the Department for Education and the Chief Executive of TRA.

1 Framework Document: Teaching Regulation Agency Executive agencies September 2022 2 Contents Introduction and background 4 1. Purpose of document 4 2. Objectives 4 3. Classification 5 Purposes, aims and duties 6 4. Purposes 6 5. Powers and duties 6 6. Aims 7 Governance and accountability 9 7. Governance and accountability 9 Role of the department 11 8. The responsible Minister 11 9. The Principal Accounting Officer 11 10. The role of the sponsorship team 12 11. Resolution of disputes between DfE and TRA 14 12. Freedom of information requests 14 13. Reporting on legal risk and litigation 14 TRA governance structure 15 14. The Chief Executive 15 15. TRA’s Executive Board 17 Management and financial responsibilities and controls 20 16. Delegated authorities 20 17. Spending authority 20 18. Banking and managing cash 21 19. Procurement 21 20. Risk management 22 21. Counter fraud and theft 22 22. TRA staff 23 Business plans, financial reporting and management information 26 23. Corporate and business plans 26 24. Budgeting procedures 26 25. Annual report and accounts 27 3 26. Reporting performance to DfE 27 27. Information sharing 28 Audit 29 28. Internal audit 29 29. External audit 29 Review and winding up arrangements 31 30. Review of TRA’s status 31 31. Arrangements in the event that TRA is wound up 31 Other Matters 32 32. Machinery of Government 32 33. Procedure for public complaints 32 34. Better regulation, consultation, and impact assessments 32 Annex A: Guidance 33 Annex B: Delegated authority letter 37 4 Introduction and background 1. Purpose of document 1.1. This framework document has been agreed between the Department for Education (DfE) and the Teaching Regulation Agency (TRA) in accordance with HM Treasury’s handbook Managing Public Money 1 and has been approved by HM Treasury. 1.2. The framework document sets out the broad governance framework within which TRA and DfE operate. It sets out TRA’s core responsibilities; describes the governance and accountability framework that applies between the roles of DfE and TRA; and sets out how the day-to-day relationship works in practice, including in relation to governance and financial matters. 1.3. The document does not convey any legal powers or responsibilities, but all parties agree to operate within its terms. 1.4. References to TRA include all its subsidiaries and joint ventures that are classified to the public sector and central government for national accounts purposes. If TRA establishes a subsidiary or joint venture, there shall be a document setting out the arrangements between it and TRA agreed with DfE. 1.5. Copies of the document and any subsequent amendments have been placed in the Libraries of both Houses of Parliament and made available to members of the public on GOV.UK. 1.6. This framework document should be reviewed and updated at least every 3 years unless there are exceptional reasons that render this inappropriate that have been agreed with HM Treasury and the Principal Accounting Officer of DfE (DfE’s Permanent Secretary). The latest date for review and updating of this document is June 2025. 2. Objectives 2.1. DfE and TRA share the common objective of regulating the teaching profession. To achieve this TRA and DfE will work together in recognition of each other's roles and areas of expertise, providing an effective environment for TRA to achieve its objectives. This is achieved through the promotion of 1 https://www.gov.uk/government/publications/managing-public-money 5 partnership and trust and ensuring that TRA also supports DfE’s strategic aims and objective and wider government as a whole. 3. Classification 3.1. TRA has been classified as a central government organisation by the ONS/HM Treasury Classifications team. 3.2. It has been administratively classified by the Cabinet Office as an executive agency. 6 Purposes, aims and duties 4. Purposes 4.1. TRA has been established by DfE and as an executive agency, does not have a separate legal personality to DfE. 4.2. TRA’s purpose is set out in Section 141B and 141C of the Education Act 2002. The purpose of TRA is to support employers, schools and headteachers with safeguarding responsibilities. It does this by taking action on receipt of allegations of serious teacher misconduct and by providing employers with the opportunity to complete pre-employment checks to ensure that they are employing teachers who are appropriately qualified for their role. TRA also acts on behalf of the Secretary of State as the competent authority for teaching in England, being responsible for awarding qualified teacher status (QTS) and maintaining records of teachers, trainee teachers and those who have taught but no longer do. 4.3. TRA is responsible for the recognition of the professional status of appr opriately qualified teachers. This includes the award of QTS to fully qualified teachers from the EEA, Gibraltar, Switzerland, Australia, New Zealand, Canada, the USA and teachers trained and recognised within the United Kingdom. Teacher misconduct decisions 4.4. TRA must be allowed to make decisions, on behalf of the Secretary of State and operate at arm’s length from DfE. This is because a specific ministerial viewpoint cannot be allowed to influence any particular decision to prohibit an individual from teaching. TRA will make decisions in accordance with the advice published by DfE. Where a decision taken on behalf of the Secretary of State leads to significant criticism from the Secretary of State, or Minister, TRA will work with the DfE policy team to review the advice. TRA is responsible for ensuring all guidance regarding the prohibition of teachers is kept up to date and relevant to governmental policy. 5. Powers and duties 5.1. TRA’s powers and duties stem from Section 141B and Section 141C of the Education Act 20022. The Teachers’ Disciplinary (England) Regulations 2 https://www.legislation.gov.uk/ukpga/2002/32/part/8/crossheading/teacher-misconduct-etc-england 7 20123 set out the detailed provisions according to which the system should operate and the Teacher Misconduct - D isciplinary Procedures for the teaching profession4 outline the procedures TRA adheres to in relation to regulating the teaching profession. 5.2. TRA’s statutory duties and functions are to: • prohibit individuals from the teaching profession in England (Section 141B of the Education Act 2002) • hold a list of teachers who have been prohibited from teaching (Section 141C of the Education Act 2002) 6. Aims 6.1. On behalf of the Secretary of State, TRA will: • act as the competent authority for teachers in England • award QTS to teachers in England and appropriately qualified teachers from Northern Ireland, Scotland, Wales and overseas where legislation allows • maintain a central record of qualified teachers • consider allegations of serious teacher misconduct from receipt of referrals to carrying out formal investigations when required and convening panels to hear evidence. The panels are responsible for deciding whether the facts and the misconduct have been found proven and, if so whether to recommend that a prohibition order would be appropriate • maintain public confidence in the profession and to assist schools to make effective decisions in relation to a teacher’s suitability by making decisions following a panel recommendation on whether a teacher should be prohibited from teaching, and whether there should be a review period • make decisions whether an interim prohibition order is appropriate whilst an investigation is taking place • make decisions about whether to set aside a prohibition following a panel recommendation where a teacher has been given the right to apply to have a prohibition order set aside and they make such an application 6.2. In addition, TRA will: 3 https://www.legislation.gov.uk/uksi/2012/560/contents/made 4 https://www.gov.uk/government/publications/teacher-misconduct-disciplinary-procedures 8 • enable employers of teachers to undertake mandatory pre-employment checks by providing secure online access to the central record of qualified teachers and the list of teachers prohibited from teaching or holding a sanction from the Secretary of State • respond to all teacher qualification helpdesk enquiries within the agreed service levels • support the policy development for recognition of overseas trained teachers following the end of EU standstill arrangements • support ministers and wider DfE policy with timely and accurate QTS and induction data, providing evidence to help make informed decisions 9 Governance and accountability 7. Governance and accountability 7.1. TRA shall operate corporate governance arrangements that, so far as practicable and in the light of the other provisions of this framework document or as otherwise may be mutually agreed, accord with good corporate governance practice and applicable regulatory requirements and expectations. 7.2. In particular (but without limitation), TRA should: • comply with the principles and provisions of the corporate g overnance in central government departments code of good practice 5 (as amended and updated from time to time) to the extent appropriate and in line with their statutory duties or specify and explain any non-compliance in its annual report • comply with Managing Public Money • in line Managing Public Money have regard to the relevant Functional Standards6 as appropriate and in particular those concerning Finance, Commercial and Counter Fraud • take into account, the codes of good practice and guidance set out in Appendix A of this framework document, as they apply to arm’s length bodies 7.3. In line with Managing Public Money Annex 3.1, TRA shall provide an a