This is an HTML version of an attachment to the Freedom of Information request 'Blank Free School Application Forms 2010 onwards'.




Free Schools in 
 
 
 
 

2013 
 
 
 

 
 
 
 

How to apply 
 
 

 
 
 

Alternative provision Free 
Schools 

 

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Contents 
   
 
 
 
 
 
 
     Page 
 
1. Things to know before you start 


     Vision 
     What is an alternative provision Free School? 

     Alternative provision Free Schools: law and policy 
 

 
 
2. Getting started 

    Before you start 

     Organising your group 

     Establishing a company 

     Suitability of applicants 

 
 
3. The application process explained 

     What happens when 

 
 
4. How we assess applications 
11 
 
 
5. Preparing your application 
13 
 
 
6. Assessment criteria 
14 
     Section A:   Applicant details and declaration 
14 
     Section B:   Outline of the school 
14 
     Section C:   Education vision 
15 
     Section D:   Education plan 
16 
     Section E:   Evidence of demand and marketing 
20 
     Section F:   Capacity and capability 
26 
     Section G:   Initial costs and financial viability 
30 
     Section H:   Premises 
35 
     Section I:    Due diligence and other checks 
38 
 
 
7. Submitting your application 
39 
     How, where and when to submit your application 
39 
 
 
8. Support for applicants 
40 
Annex A: Types of schools 
42 
Annex B: School funding overview 
44 
Annex C: Glossary of terms 
46 
Annex D: Application checklist 
51 
 
 
 
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1. Things to know before you start 
Vision 
1.1 We want to improve our education system so that children thrive and prosper, 
whatever their background.  We want parents to have a choice of more good 
schools and to have the opportunity to open new schools where they want them. 
1.2 The Free Schools programme is helping us realise this vision. In response to 
local demand, new or existing providers can establish schools – faster than ever 
before – schools that are supported by local parents and offer high standards. By 
introducing increased competition, innovation and parental choice we aim to 
raise standards across the school system.  
1.3 Alternative provision Free Schools are part of the Free Schools programme 
and will widen its reach to some of the most vulnerable children in our society.  
Innovation and high standards of teaching and achievement are key aims of the 
introduction of alternative provision Free Schools.   
1.4 Parents cannot choose to send their child to an alternative provision Free 
School. Instead, local authorities, schools and Academies act as  
‘commissioners’, referring pupils of compulsory school age1 to alternative 
provision. The introduction of alternative provision Free Schools will help to 
ensure that there is more high quality provision available and that commissioners 
have more choice about which alternative provision is suitable for pupils.  
1.5 The whole point of the Free Schools policy is that it should encourage 
innovation and be driven by the vision and passion of those proposing a school.  
There are four main categories of Free School: mainstream, 16–19, special and 
alternative provision.  You can find out more about the characteristics of these 
types of school and how to apply if your vision does not fit precisely with them in 
Annex A
1.6 This guidance is for people who would like to establish an alternative 
provision Free School.  If you are interested in applying to set up a mainstream, 
16-19 or a special Free School, you should refer to the specific guidance 
available here.  You can also find out how to apply to establish a University 
Technical College or Studio School here.  This guidance contains a number of 
technical terms and you may find it useful to refer to the glossary of terms 
provided in Annex C
                                            
1 Pupils who are aged 4-15 at the start of the school year. 
 
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What is an alternative provision Free School? 
1.7 Alternative provision Free Schools are all-ability, state funded schools, 
outside of local authority control. 
1.8 Alternative provision Free Schools will cater principally for children of 
compulsory school age who, by reason of illness, exclusion from school or 
otherwise, may not otherwise receive suitable education.  They may also offer 
alternative provision for 16-19 year olds. Children who are of compulsory school 
age and some 16-19 year old pupils will be referred by local authorities, schools 
and Academies (your ‘commissioners’).  The ways in which they can do this are 
set out on the table on page 21. 
1.9  Your commissioners will then directly pay your Free School a rate per pupil.  
They can also contract with you for a number of places rather than paying on a 
per pupil basis.  Pupils who are 16-19 years old (not compulsory school age) 
may also apply in the same way as they would to mainstream 16-19 provision, 
and your school would receive the same basic per pupil funding as local authority 
(LA) maintained schools for these pupils2.   
1.10 Subject to Parliamentary approval, the Education Bill currently before 
Parliament will establish alternative provision Free Schools. They will be able to 
offer full and/or part time provision and there will be no explicit requirement on 
them to offer a broad and balanced curriculum.   
 
1.11  You should make it clear in your application if you intend to offer part time 
provision or a curriculum that is not broad and balanced.  If you wish to offer part 
time provision each pupil must still receive a full time education; this may be 
provided by several different institutions.  It is the responsibility of the 
commissioner to ensure that a child receives a full time education, but you will 
need to work with them to achieve this.  For pupils of compulsory school age, if 
you wish to offer a curriculum that is not broad and balanced you must offer at 
least the functional elements of English, maths and ICT as appropriate to the 
child’s age and ability.   
 
1.12 In line with the Free School programme’s aim to raise standards by 
encouraging new providers to enter state education, the Department for 
Education is primarily looking for alternative provision applicants to propose new 
schools. 
 
1.13 It is important that you understand the funding mechanisms for alternative 
provision Free Schools. These are set out in Annex B. 
 
                                            
2 The approach to and levels of Free Schools funding are currently being reviewed.  The funding 
that schools will receive from 2012/13 onwards has not yet been agreed.  Please refer to Annex 
B
 for further information. 
 
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Alternative provision Free Schools: law and policy 
1.14 Alternative provision Free Schools are a new type of school.  The legislative 
framework they will operate within has not yet been finalised, and will be subject 
to parliamentary approval in due course.  Mainstream Free Schools are subject 
to the regulatory framework which applies to independent schools.  
Consideration is currently being given to which of these regulations will apply to 
alternative provision Free Schools.  You can find the most recent regulations, the 
Education (Independent School Standards) (England) Regulations 2010, which 
are currently the subject of parliamentary approval here.     
1.15 Each Free School will enter into a contract with the Secretary of State. This 
contract, termed the ‘funding agreement’3, sets out the arrangements and 
standards by which the Free School must be run.  The model documents can be 
found here.  The model funding agreement for alternative provision Free Schools 
will be available on our website in due course. 
1.16 You should be aware of the following key requirements.  Alternative 
provision Free Schools must:    
•  be principally concerned with providing full-time or part-time education for 
children of compulsory school age who, by reason of illness, exclusion 
from school or otherwise, may not otherwise receive suitable education for 
any period (subject to Parliamentary approval of the Education Bill); 
•  admit children of compulsory school age by referral from local authorities, 
schools and Academies using existing referral powers or duties; and 
•  have a majority of pupils who are of compulsory school age.  You may 
also have some 16-19 year old pupils, but they must be fewer than 50% of 
your pupils. Pupils aged 16-19 can either be admitted by referral from 
local authorities, schools and Academies or apply in the same way as they 
would to mainstream 16-19 provision.   
 
1.17 The admissions arrangements for alternative provision Free Schools are set 
out in more detail in Section E
 
1.18 Alternative provision Free Schools cannot be designated with a religious 
character. Applicants may seek to establish a distinct religious ethos which is 
reflected within the vision and values of the school, but will not be able to recruit 
staff or pupils by reference to faith. 
1.19 At the time of publication of this document, the Secretary of State’s 
behaviour adviser, Charlie Taylor, is conducting a review of alternative provision, 
which may lead to certain changes within the sector.  We will publicise any such 
changes through the New Schools Network and our website, and you may wish 
to check both before submitting your application. 
                                            
3 For simplicity we use ‘funding agreement’ throughout the application documents to refer to the 
formal legal agreement between the Academy Trust and the Secretary of State.  In addition to the 
funding agreement the law allows the Secretary of State to fund Academies (including Free 
Schools) by payment of grant. 
 
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2. Getting started 
Before you start 
 
2.1 Alternative provision Free Schools can be set up by any suitable 
organisations or groups, such as parents, teachers or community groups.  
Existing providers are also able to apply to become alternative provision Free 
Schools. Existing state maintained schools, including Academies, can also apply 
to establish a new alternative provision Free School.    
 
2.2 Setting up a school requires a lot of time, commitment and determination.  
Before you start your application, you should think about:  
 
•  the type of school you want to establish, including why this is different to 
existing provision;  
•  the law and policy as they apply to alternative provision Free Schools; 
•  the potential demand in your area for the particular school you want to set 
up; 
•  potential sites for the alternative provision Free School; 
•  the level of involvement you want to have in setting up the school; 
•  the relevant skills and experience you have to set up and run an 
alternative provision Free School; and 
•  whether you need to access any additional expertise and how you might 
secure this.   
 
2.3 The New Schools Network is an independent charity which receives funding 
from the Department for Education to provide free advice and support to groups 
interested in applying to set up Free Schools.  We strongly recommend that you 
contact them before you submit your application.  Click here for a direct link to 
their website.  
 
Organising your group 
 
2.4 Applicant groups will need to look at what needs to be done, both on a short 
term basis (submitting the full application and, if approved, the huge job of 
preparing for the school to open) and long term basis (strategic running of the 
school as well as day-to-day management).  Groups will then want to organise 
themselves based on the skills, experience and time commitment of individual 
members so that the group is deployed and governed in the most effective way. 
 
2.5 Each alternative provision Free School must be underpinned by strong 
governance arrangements and established on a solid legal footing.  Behind any 
Free School is a company, referred to as an Academy Trust, constituted 
specifically for the purpose of establishing and running a school.  This must be 
set up as a company limited by guarantee to protect the individuals who establish 
it by limiting their personal liabilities. 
 
 

 
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Establishing a company 
 
2.6 A company is made up of members and directors.  Neither members nor 
directors are paid for their work in this role.  The members of a company are its 
legal owners and have a strategic role in running the school and ultimate control 
over the company.  When setting up your company you are required to have at 
least three founding members but you can have more.  Your group will need to 
decide who the members of the company will be.  The members appoint the 
directors of the company.  When setting up your company, the members are 
required to appoint at least one director.  This may be one of the members 
themselves.   
 
2.7 Directors will be responsible for the day-to-day management and 
governance of the school.  In other words your directors will be the governors of 
your school and where we refer to governors and governing bodies in this 
guidance, we are talking about your company directors. 
 
2.8 Company members are not always directors, but in some cases will 
undertake both roles.  We would expect most of the directors not to be members 
of the company as well because it is important to have clear lines of 
accountability between the directors and the members. 
 
2.9 You will also need to complete the relevant paperwork to establish your 
company limited by guarantee.  As founding members you need to sign a legal 
document known as the memorandum of association.  You also need to 
complete the articles of association, which set out the purpose of the company 
and the rules that govern it.  Alternative provision Free Schools should use the 
Department for Education’s alternative provision model memorandum and 
articles of association which can be found here.  If your company is formed using 
our model memorandum and articles of association it will also be a charity at the 
point that the articles are adopted. The company’s Directors will then also be its 
trustees4 for charity law purposes. 
 
2.10 You then need to submit these completed documents along with an 
application to register a company and the relevant fee to Companies House.  
Further information on what you need to do to set up a company is available here 
on the Companies House website.  Please note that we may request to see your 
memorandum and articles of association at a later date. 
 
2.11 If you have previously established a company limited by guarantee for the 
purpose of running a school (and the company’s object specifically reflects this) 
you can use this company rather than establish another.  Some amendments 
might be required later to the company’s articles of association bringing them in 
line with our model.  Where you have previously established a company limited 
by guarantee for purposes other than running a school (even if it is for some 
other educational purpose), you need to establish a new company using our 
model documents.  
                                            
4 There is guidance issued by the Charity Commission on the role and duties of charity Trustees: 
http://www.charitycommission.gov.uk/publications/cc3.aspx  
 
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2.12 The individuals behind any alternative provision Free School application are 
crucial to its success.  You will want to consider who forms your group and 
ensure that you are organised in an effective and appropriate way. You should 
have arrangements in place to ensure that any potential conflicts of interest are 
avoided. In the case of Free Schools, conflicts of interest could include members 
of groups being related to each other or principals setting their own salaries (e.g. 
if they are also a director of the Academy Trust) but we encourage you to think 
widely about any possible conflicts of interest that you may face.  It is possible for 
members of groups involved in establishing an alternative provision Free School 
to be employed later at the school.  However, if this is your intention, we would 
expect you to demonstrate how you will avoid a conflict of interest, including 
through fair and transparent recruitment processes. 
 
2.13 Just as every alternative provision Free School application will be different, 
the make up of applicant groups will be different.  There is no right or wrong 
model for the composition of a group. Each group will want to ensure that it has 
the right balance of skills and experience to deliver its vision. The New Schools 
Network will be able to advise you on the implications of each model for you and 
the kinds of skills and expertise required. 
 
Suitability of applicants 
 
2.14 The Secretary of State will seek to ensure that only suitable persons are 
permitted to establish publicly funded alternative provision Free Schools.  He will 
consider each application on its merits, and take into account all matters relevant 
to the application. He will reject any applications put forward by organisations 
which advocate violence or other illegal activities or by individuals associated 
with such organisations.  In order to be approved, applications will need to 
demonstrate that they would support UK democratic values including respect for 
the basis on which UK laws are made and applied; respect for democracy; 
support for individual liberties within the law; and mutual tolerance and respect. 
 
 
 
 
 
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3. The application process explained  
Free School Application Process
November
December
 January
February
March
April
May
June
July August
Assessment
Interview
Application
We assess 
Shortlisted 
application forms 
applicants are 
You complete the Free 
against published 
invited for 
School application form.
Application 
criteria.
interview.
Successful 
New process 
window
applicants
launched
There is help available 
13 – 24 February 
Due diligence 
announced
November
from New Schools 
checks are 
summer 2012
Network to assist you if 
conducted.
you wish.
 
What happens when 
 
Preparing and submitting your application  
 
3.1 This application process is primarily for those wanting to set up a school 
which will open in 2013.  We will only consider 2014 applications on an 
exceptional basis where a strong case is made for the need for an extended lead 
time. 
3.2 Completed applications must be submitted to us between 9.00 am on 13th 
February and 6.00 pm on 24th February.  Please note that any applications 
received outside these times will not be considered. 
3.3 It is important that you read this guidance carefully before starting your 
application to make sure you understand what you need to do and the 
information that you must provide. 
Assessment of your application  
 
3.4 We will assess your application against the requirements and criteria set out 
in this guidance.  You must ensure that you provide all the information that we 
have asked for. 
 
 
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3.5 All applications will: 
•  be judged against the criteria set out in this guidance, other alternative 
provision Free School applications and a range of contextual factors.  
Chapter 4 provides further information about the assessment process; 
and 
•  be subject to due diligence checks.  This means we will use the personal 
information you provide to check your suitability to set up an alternative 
provision Free School.  
Interviews  
 
3.6 If your application is assessed as one of the strongest, we will invite your 
group to an interview. We will provide further information on interview dates in 
due course.  
3.7 If you are an existing provider, we may wish to visit your current provision as 
part of the interview process.  If this is the case, the Department for Education 
will contact you to arrange this. 
Final approval and decisions  
 
3.8 We hope to let everyone know the outcome of their application, successful or 
otherwise, in summer 2012. 
3.9 If the Secretary of State decides your application should progress you will be 
provided with a dedicated project lead from the Department for Education, along 
with support to help secure a site and open your school. 
3.10 There will be a significant amount of work to complete between approving 
your alternative provision Free School application and your alternative provision 
Free School actually opening. You should therefore be clear that members of 
your group are able to commit themselves fully to the time necessary to do this.  
During this period you may have support to hire a principal designate and other 
senior staff, as well as project management support. The key requirement for you 
is to provide the oversight of those people working full-time. 
3.11 Assuming you make good progress after your application is approved, the 
Secretary of State will then decide whether to enter into a funding agreement 
with you. 
Appeals 
3.12 Decisions by the Secretary of State are final and there will be no formal 
appeals process.   
 
 
 

 
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4. How we assess applications 
 
4.1 Your application will be assessed in the following ways: 
 
•  against the criteria set out in Chapter 6 of this guidance;  
•  against other alternative provision Free School applications; and 
•  against a range of contextual factors including value for money. 
 
4.2 Applications will also be subject to due diligence and other checks.  You can 
find out more information about these checks in Chapter 6 of this guidance. 
 
4.3 In assessing all applications, we will take into account a wide set of 
contextual factors, including, but not limited to:  
 
•  the age range of the alternative provision Free School; 
•  overall cost;  
•  value for money;  
•  the Secretary of State’s duty to consider equality issues5 related to the 
proposed alternative provision Free School;  
•  the quality and type of other alternative provision in the local area; 
•  the level of deprivation in the community that it serves;  
•  the need for more alternative provision places in the area; 
•  the type of alternative provision you are proposing; and 
•  the recent track record, including on education and finance, of applicants 
who run existing alternative provision. 
 
4.4 For applications from existing providers wishing to become alternative 
provision Free Schools, we will also consider the following factors: 
 
•  the popularity of the provision as our expectation will be that the provision 
is at or near maximum capacity in terms of pupil numbers; and 
 
•  whether the provision will be expanded and what extra benefits there will 
be for pupils as a consequence of becoming an alternative provision Free 
School. 
 
4.5 In addition, existing providers wishing to become alternative provision Free 
Schools must meet all of the following requirements: 
 
•  strong recommendations from their existing commissioners which confirm 
that the existing provision is of a high quality and focused on the learning 
and achievement of pupils; 
•  registration as an independent school (for existing providers which offer 
full time education for five or more pupils of compulsory school age or one 
or more such pupils with a statement of special educational needs (SEN) 
                                            
5 Section 149 of the Equality Act 2010 
 
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or who is in public care, within the meaning of Section 22 of the Children 
Act 1989).   
Existing providers that are registered as an independent school: 
•  must have no significant outstanding issues on compliance in their most 
recent inspection report; 
 
•  must provide a link to their most recent inspection report with their 
application;   
Schools inspected by Ofsted, the Bridge Schools Inspectorate or the 
School Inspection Service should have achieved a judgement of good or 
better in the following areas: 
o  the quality of education; 
o  safeguarding pupils’ welfare, health and safety; and 
o  promoting the spiritual, moral, social and cultural development of 
pupils. 
 
Schools inspected by the Independent Schools Inspectorate should have 
achieved a judgement of good or better in the following areas: 
o  the quality of academic and other achievements; 
o  the contribution of curricular and extra-curricular provision;  
o  the contribution of teaching; 
o  the quality of the pupils’ personal development; 
o  the contributions of arrangements for welfare, health and safety;  
o  the effectiveness of governance, leadership and management.  
o  the quality of education; 
o  safeguarding pupils’ welfare, health and safety; and 
o  promoting the spiritual, moral, social and cultural development of 
pupils. 
 
and 
 
•  must be able to demonstrate6 that they have a good track record of 
managing their accounts.  
 
                                            
6 See criterion G6 for further details
 
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5. Preparing your application  
5.1 An alternative provision Free School application is made up of nine sections 
as follows: 
 
•  Section A: Applicant details and declaration 
•  Section B: Outline of the school 
•  Section C: Education vision 
•  Section D: Education plan 
•  Section E: Evidence of demand and marketing 
•  Section F: Capacity and capability 
•  Section G: Initial costs and financial viability 
•  Section H: Premises 
•  Section I:  Due diligence and other checks 
 
5.2 In Sections A-H, we are asking you to tell us about you and the school you 
want to establish.  We have provided a form here for you to use. 
 
5.3 Section G also requires you to submit two financial plans.  Both financial 
plans should be filled out using the same template but using different 
assumptions. The first financial plan should be developed on the basis that all the 
pupil places in your school will be filled.  The second financial plan must show 
how you would manage your budget and remain financially viable if you are 
unable to achieve the levels of income you assumed in the first scenario (e.g. if 
you are unable to recruit the number of pupils you expect).   
 
5.4 Section I is about your suitability to run an alternative provision Free School. 
All members of the company must each fill out a copy of the form available here. 
Directors of the company, where they have been appointed, must also fill out this 
form. 
 
5.5 Existing providers which are registered as independent schools must include 
a link to their latest inspection report.  They must also submit their last two years’ 
audited accounts with their application, or supply alternative evidence of financial 
viability where the school has not been open long enough to have two years’ 
worth of audited accounts. 
 
5.6 You need to submit all of this information in order for your application to be 
assessed.  The next chapter provides further information on what we are looking 
for in each section, how you should provide it and the criteria we will use to 
assess your application.  Chapter 7 provides further detail about how, when and 
where to submit your alternative provision Free School application. 
 
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6. Assessment criteria  
 
6.1 You must complete all nine sections of your application in order for it to be 
considered.  We will use the criteria outlined in this chapter to assess your 
application.  Under each criterion we have included a description of what you 
should include in your application.  
 
Section A: Applicant details and declaration 
 
6.2 This section seeks basic information about applicants, including the main 
contact details of the lead applicant and the company limited by guarantee that 
has been formed and registered with Companies House (also referred to as an 
Academy Trust).  It also seeks information on any related organisations that have 
links with the applicant group as well as information from applicants who are 
existing education providers. 
 
6.3 As companies limited by guarantee, certain details will be publicly available 
on the Companies House website.  However, the personal information you 
provide in Section A will be treated in accordance with the Data Protection Act 
1998. 
 
Data protection 
 
The personal data you provide us with will be used to consider your application to 
set up a Free School and will not be used for other purposes.  For the purposes 
of the Data Protection Act, the Department for Education is the data controller for 
this personal information and for ensuring that it is processed in accordance with 
the terms of the Act.  The Department will hold all personal information you 
supply securely and will only make it available to those who need to see it as part 
of the Free School application process.  All personal information supplied in 
these forms will only be retained for as long as it is needed for this process. 
 
 
6.4 There are no assessment criteria for this section. 
 
Section B: Outline of the school 
 
6.5 This section seeks key details on the type of alternative provision Free 
School that is being proposed, including its name, planned yearly intakes and the 
planned number of pupils when the school is at full capacity.   
 
6.6 There are no assessment criteria for this section. 
 
 
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Section C: Education vision 
 
6.7 The education vision should describe why you are setting up this particular 
alternative provision Free School in this area, and its core features and ethos. 
This is your opportunity to tell us in your own words about the overarching vision 
for your school and how it informs your education plan. 
 
6.8 We will be using one criterion to assess this section of your application. 
 
C1: Provide a clearly focused, coherent vision that underpins 
the application with a compelling rationale for establishing the 
school. 
You must: 
•  set out clearly why you are seeking to establish your alternative provision 
Free School. Please explain the key features of your school, including 
the proposed age range, curriculum, location and approach to teaching 
and learning; 
•  identify what will make the school distinctive in its vision and ethos and 
how this has informed the education plan; 
•  set out your aspirations for the educational achievement of individual 
pupils (including their preparedness for everyday adult life), and the 
school as a whole and why these targets are appropriate; 
•  explain how the particular ethos of the school will be reflected in its 
curriculum; and 
•  explain how your group’s religious beliefs and affiliations will be reflected 
in, or influence, the curriculum if you are applying to set up an alternative 
provision Free School with a religious ethos. 
In preparing your application it is important to note that: 
•  creationism, intelligent design and similar ideas must not be taught as 
valid scientific theories.  
 
 
 
 
 
 
 
 

 
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Section D: Education plan 
 
6.9 This is the heart of your application. Your education plan must explain how 
your school will achieve its education vision.  You should note that Section D in 
the application form includes two parts for you to fill out. Part 1 asks you to fill out 
a table showing how your school will grow over time to full capacity. Part 2 is 
where you should provide the information we are seeking in relation to criteria 
below. The education plan should describe the structure of your school and the 
experience that pupils will have there. You should set out your aspirations for 
pupil achievement, how you aim to meet these and how the school will evaluate 
performance, both of individual pupils and the school as a whole. You should set 
out how you will address pupils’ behavioural or other challenges, with a view to 
them successfully returning to mainstream school or to further education, training 
or employment. 
 
6.10 We will be using six criteria to assess this part of your application.  
  
6.11 Strong applications from existing providers will normally set out how they 
will enhance the educational offer for pupils, so that pupil learning and 
achievement improves as a consequence of the provider becoming an alternative 
provision Free School.  
 
 
D1: Set out a viable curriculum plan with appropriate focus on 
core areas of learning. 
You must: 
 
•  describe the curriculum in detail, setting out how it will meet the different 
needs and interests of all pupils including, for secondary students, the range 
of qualifications which might be offered.  You should confirm whether you 
will offer a broad and balanced7 curriculum, why your curriculum is 
appropriate for the children in your provision and how you will meet their 
educational requirements, including how you will prepare pupils to return 
successfully to age appropriate mainstream education or continue in 
education, employment or training; and 
 
•  if applicable, for children who attend your provision part-time, set out how 
you will work with the other provider(s) or school(s) they attend to ensure 
that they receive an appropriate and integrated curriculum. 
 
In preparing your application, it is important to note that: 
 
                                            
7 In order to be considered broadly based and balanced the curriculum must (a) promote the 
spiritual, moral, cultural, mental and physical development of pupils at the school and of society, 
and (b) prepare pupils at the school for the opportunities, responsibilities and experiences of later 
life.  For primary schools, a broad and balanced curriculum should include the core subjects of 
English, mathematics and science and will need to support pupil progression to secondary 
education.  For secondary schools, a broad and balanced curriculum should include, but not be 
limited to, the core subjects of English, mathematics and science; 
 
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•  alternative provision Free Schools do not have to offer a broad and balanced 
curriculum, but you must offer age and ability appropriate functional English, 
maths and ICT as a minimum for children of compulsory school age; 
 
•  good applications will set out a coherent curriculum plan, linked to the 
proposed financial plans, which demonstrates a good understanding of the 
expected pupil population, shows a high level of ambition in meeting its 
needs and is focused on the learning and achievement of those pupils; and   
 
•  good applications will specifically address how the curriculum and its 
delivery will improve pupil outcomes on a range of measures.     
 
 
D2: Provide a coherent and feasible school timetable and 
calendar. 
You must: 
 
  set out expectations around the length of the school day, term and year.  
This should include the number and length of lessons each day and your 
plans for extended hours and should make a clear distinction between 
compulsory and optional activities;  
 
  specify whether pupils will attend full-time or part-time and whether they will 
all have the same school day and week.  If not, set out how you will manage 
the different attendance patterns within the school; 
 
  set out how you will integrate and cater for pupils with varying referral 
lengths: from short placements to longer ones; and 
 
  explain how pupils will be organised, for example through year groups, tutor 
groups or other class structures and how this links with and supports the 
education vision. 
 
 
 
D3: Set out a clear strategy for ensuring that the needs of 
pupils with differing abilities are met. 
You must: 
 
•  demonstrate an awareness of the varying needs of individual pupils and 
have an effective strategy for meeting them, including supporting those who 
need it and stretching the most able (gifted and talented pupils); 
 
•  show how you will use ICT, other agencies and partners’ resources to 
support the learning and achievement of pupils of varying abilities and 
needs; 
 
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•  describe the strategies you will use to overcome barriers to learning and 
achievement such as pupils’ behaviour or other factors that have kept them 
out of mainstream schools; 
 
•  set out how you will prepare pupils to successfully return to mainstream 
schools or to enter further education, training or employment; 
 
•  set out your approach to supporting disabled pupils and pupils with special 
educational needs, who may or may not have a statement; and  
 
•  set out how you will have regard to the Special Educational Needs Code of 
Practice8
 
 
D4: Tell us how your definitions and measures of success will 
deliver your aspirations for pupil achievement. 
 You must: 
 
•  outline the targets that are proposed, why these are suitable to measure the 
delivery of your education vision, and what your strategy will be to achieve 
these;   
•  describe the proposed success measures for individual pupils and the whole 
school and how these will be monitored, reviewed and reported; and 
•  set out plans to develop pupil assessment and tracking systems.       
 
D5: Describe how your approach to behaviour management, 
pupil wellbeing and attendance will improve pupil outcomes. 
 You must: 
•  set out detailed strategies for promoting good behaviour and attendance that 
are appropriate for your pupils; 
•  describe how you will promote pupil wellbeing, including through pastoral 
care and strategies for tackling bullying;  
•  describe how you will ensure that pupils are kept safe and how you will 
comply with the relevant safeguarding requirements9; and 
•  describe how these strategies are informed by your vision and linked to 
raising standards and educational outcomes. 
 
 
                                            

www.education.gov.uk/publications/standard/publicationDetail/Page1/DfES%200581%202001#d
ownloadableparts 

9 https://www.education.gov.uk/publications/standard/publicationdetail/page1/dfes-04217-2006 
 
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D6: Demonstrate your understanding of the local community 
and its needs, and your plans for sharing facilities with other 
schools and the wider community. 
You must: 
 
•  demonstrate a good understanding of the community your pupil intake will 
come from and show how the education plan reflects that while retaining 
high expectations for pupil achievement; 
•  describe any plans you have for working with other schools, educational 
establishments or the wider community; and 
•  set out how you will promote good community relations. 
 
 
 
 
 
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Section E: Evidence of demand and marketing 
 
6.12 In this section we are looking for evidence that commissioners would refer 
children to your school and, if appropriate, that 16-19 year old pupils would apply 
to your school. You should note that Section E in the application form we have 
provided includes two parts for you to fill in.  Part 1 asks you to fill in a table 
showing the number of full-time equivalent pupils you intend to have in each key 
stage and the demand you have established.  Part 2 is where you should provide 
the information we are seeking in relation to referrals, admissions for 16-19 year 
olds and demand for your school from commissioners and students.  The more 
evidence you can provide to show you have demand for the number of pupil 
places you need to fill in the first years of the school being open, the better.  You 
must show that the demand is for your specific school and you must have 
engaged directly with the local authorities, schools, Academies and community 
you will be serving. 
  
6.13 As set out in the Education Bill currently before Parliament, alternative 
provision Free Schools must be principally concerned with providing full-time or 
part-time education for children of compulsory school age who, by reason of 
illness, exclusion from school or otherwise, may not otherwise receive suitable 
education for any period.  This means that the majority of your children (over 
50%) must be of compulsory school age (i.e. 5-16).  You may also have some 
16-19 year old pupils, but they must be fewer than 50% of your pupils.   
 
6.14 Children of compulsory school age can only be admitted to an alternative 
provision Free School by being referred from local authorities, schools and 
Academies using their existing referral powers or duties (please see table on 
page 21 for details).  16-19 year old pupils may also be referred by local 
authorities, schools and Academies in some circumstances but can also apply to 
the alternative provision Free School themselves in the same way as they would 
for mainstream 16-19 provision. 
 
6.15 The table on the next page sets out the powers and duties which local 
authorities, schools and Academies have to refer children to alternative provision. 
 
6.16 We will be using four criteria to assess this part of your application.   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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Circumstances  
Commissioner 
Type of referral 
(responsible for 
referring the 
pupil and paying 
the per pupil fee) 

Child is 
Local authority10  
•  Full-time, unless there are medical 
permanently 
 
reasons why this would not be 
excluded or cannot 
appropriate (full-time provision can be 
attend mainstream 
made up of part-time provision from 
education e.g. 
two or more providers). 
because of illness 
•  Long term or short term - dependent 
on local authority view on whether 
reintegration is appropriate and 
bearing in mind the child’s right to 
suitable and full-time education. 
•  Education must start by the sixth day 
of permanent exclusion but can start 
earlier.   
Child has a fixed 
Academy or 
•  Full-time.  
period exclusion 
school 
•  Short term – child can only be 
excluded on a fixed period basis for a 
maximum of 45 (school) days in an 
academic year.  
•  Education must start by the sixth day 
of a fixed period exclusion but can 
start earlier. 
Child’s behaviour 
Academy11 or 
•  Full-time or part-time (but if part-time, 
needs 
school 
child must still receive full-time 
improvement, for 
education, which can be made up of 
example to prevent 
part-time provision from two or more 
permanent 
providers, one of which may be their 
exclusion 
Academy or school). 
•  Short or mid term – referral cannot 
last beyond the end of the academic 
year in which it is made and must be 
reviewed at least every 30 days by 
the governing body of the referring 
school. 
                                            
10 Except in areas where a new approach to exclusions is being trialled, under which schools take 
responsibility for permanently excluded pupils. Your local authority will be able to confirm if it is 
taking part in this trial. 
11 Academies have the power to refer pupils to off-site provision.  This power comes from their 
general powers to advance education (which comes from the object of the memorandum and 
articles of the Academy Trust).  Though these placements are not covered by the same 
legislative safeguards that apply to pupils referred by maintained schools, best practice would be 
to establish relationships with your referring Academies so that they make referrals on the same 
basis and have regard to the appropriate safeguards (which are set out in brief in the third 
column). 
 
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E1: Clearly state your referral process (for children of 
compulsory school age and, if appropriate, 16-19 year olds), 
setting out how you will effectively manage referrals and 
engagement with your commissioners throughout the 
academic year.  Clearly state your other admissions 
arrangements, if any, for 16-19 year olds.  Describe how both 
processes will ensure that your alternative provision Free 
School is accessed by your target group of pupils. 
You must: 
•  set out how you will manage the referral12 process for those local authorities, 
schools and Academies that will refer children to you to ensure ongoing 
referrals once open and that appropriate pupils access your provision; 
 
•  set out how you will establish and maintain links with your commissioners to 
ensure that you receive information about the pupils’ needs and attainment 
levels before they are referred and how you will then work with each 
commissioner to keep them informed of the pupil’s progress and readiness 
for reintegration; 
•  specify how you will manage a potentially high in-year turnover of pupils; and
•  if appropriate, set out your admissions policy for any 16-19 year old pupils 
which will apply in the same way as they would to mainstream 16-19 
provision (rather than through commissioner referrals). This should include 
the criteria to be used to prioritise places if your school is over subscribed. 
You must describe how your admissions policy will be fair and transparent. 
 
In preparing your application, it is important to note that: 
•  while many children with special educational needs access alternative 
provision, children with statements of special educational needs should not 
normally be educated by such providers on a long-term basis. 
 
                                            
12 The referral powers and duties which Academies, schools and local authorities have, and the 
restrictions on their use, are set out in the table on page 21. These are the only ways in which 
children of compulsory school age (5-16) may be admitted to alternative provision and may also 
be used to refer 16-19 year old pupils 
 
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E2: Provide evidence of demand from commissioners that they 
would make referrals to your alternative provision Free School 
for pupils of compulsory school age and, if appropriate, 
students aged 16-19 and would pay the per pupil rates you 
intend to charge. 
You must: 
•  set out what you consider to be your steady state for pupil numbers over the 
course of an academic year, based on full-time equivalents (FTE). 
Alternative provision Free Schools should reach their steady state for pupil 
numbers by the beginning of their fourth year at the latest.  Steady state for 
alternative provision Free Schools is unlikely to be 100% capacity for the full 
academic year due to the nature of alternative provision;   
•  provide information that clearly shows the level of demand from your 
commissioners (local authorities, schools and Academies).  Evidence should 
include agreements from them that they would be willing to refer children to 
your provision and to pay the costs of that referral (which you can set).  
Please ensure that the evidence you have collected is set out in terms of full-
time equivalent (FTE) places over the academic year.  For example if a 
commissioner anticipates needing to refer 3 children full time for a term 
each, that would count as evidence of 1 FTE referral over the academic 
year; and 
•  consider providing wider demographic data and evidence about local need in 
the area to add context to your evidence from commissioners. 
In preparing your application, it is important to note that: 
•  the more evidence you can provide to show you have demand from 
commissioners for the number of pupil places you need to fill the better. You 
should provide this evidence for at least the first year.  Strong applications 
will be able to demonstrate evidence of demand for future years as well; 
•  demand is critical because a school’s income is dependent on pupil 
numbers. For Section G you will need to fill in a financial template to show 
how you would amend your budget if your school were not completely full;  
•  it is helpful for us to know where in your area the demand for your school is 
coming from.  You can do this by supplying a map or diagram that shows the 
location of your proposed school site; and 
•  we will ask you for updated evidence of demand if we invite you to interview 
so you should continue to engage with your commissioners and collect 
information on an ongoing basis. 
 
 
 
 

 
 
 

 
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E3: For schools providing alternative provision for 16-19 year 
olds, provide evidence of demand from students of the relevant 
age that they would apply to your alternative provision Free 
School in each of your first two years of operation. 
You must: 
•  provide information that clearly shows the number of students that want to 
apply to your particular school.  You must ask students who could 
realistically apply to your school.  You will need to have in mind your stated 
admissions policy, the age range on offer and where your site will be.  
Students must be of the relevant age to fill the year groups on offer when 
your school opens and in its second year of operation.  For example, you will 
need to show evidence of demand from pupils who will be: 
i) 
turning seventeen in the 2013/2014 academic year to fill your Year 
12 class in September 2013; and 
ii) 
turning seventeen in the 2014/15 academic year to fill your Year 
12 class in September 2014. 
•  tell us the exact questions that you asked in your survey and provide a 
summary of responses.  These questions should be specific to your school 
and its proposed curriculum and ethos.  Examples of survey questions that 
demonstrate this include, “Do you support the ethos and objectives of X 
school?” and “Will this school be your first choice for 16-19 provision?”; 
•  provide a template of the survey form you asked prospective students to 
complete; and 
•  tell us how you have engaged directly with the community. This could be 
through public meetings, attendance at community events, discussions with 
local schools, students or parents, handing out leaflets in your local area etc. 
You must not: 
•  send in copies of individually completed survey forms. 
In preparing your application, it is important to note that: 
•  the more evidence you can provide to show you have demand for the 
number of pupil places you need to fill in the first two years, the better; 
•  demand is critical because a school’s income is dependent on pupil 
numbers. For Section G you will need to fill in a financial template to show 
how you would amend your budget if your school were not completely full;  
•  it is helpful for us to know where in your area the demand for your school is 
coming from.  You can do this by supplying a map or diagram that shows the 
location of students who have expressed a preference for the school in 
relation to the school’s proposed site; and 
•  we will ask you for updated evidence of demand if we invite you to interview 
so you should continue to engage with your community and collect 
information on an ongoing basis. 
 
 
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E4: Demonstrate how you intend to engage with the wider 
community, including, where relevant, children from a range of 
backgrounds, faiths and abilities.  Strong applications from 
existing providers will normally include evidence of demand to 
support an expansion in pupil numbers. 
You must: 
•  demonstrate how you have made or plan to make the school known and 
attractive to a number of commissioners and, if applicable, 16-19 year olds;   
•  show clearly how your approach reflects the requirements of specific 
commissioners; 
•  demonstrate a good understanding of the community your pupil intake will 
come from and show how the education plan takes this into account;  
•  set out how your school will work with other partners or the wider 
community, for instance delivering outreach support on behaviour to other 
local Academies and schools; 
•  tell us if you are planning to use the school as a resource for the wider 
community (e.g. hiring out premises) and, if so, how will this be managed; 
and  
•  set out how you will promote good community relations. 
If you are proposing a school with a religious ethos, you should: 
 
•  show how the school will meet the needs of other faiths and none.  You 
should consider uniform, the school meals you will provide and whether 
there will be dietary requirements; and 
•  demonstrate how you have actively engaged with commissioners and, if 
applicable, 16-19 year olds of other faiths and none in establishing demand 
for your school. 
If you are an existing provider, you should; 
 
•  demonstrate the appeal of the alternative provision Free School to 
commissioners who do not currently refer pupils to you;   
•  demonstrate the demand from existing commissioners for additional places; 
and 
•  present separate evidence of demand from current and prospective 
commissioners. 
 
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Section F: Capacity and capability 
 
6.17 You must demonstrate to us that your group has the capacity and capability 
to set up and run an alternative provision Free School. You must have access to 
appropriate educational, financial and other expertise either within your group 
or by procuring additional support. If your application is approved, we will be able 
to support you, if required, to secure additional expertise that you may need in 
the implementation phase, such as project management, human resources, ICT 
and sites and property/construction.   
 
6.18 Before submitting an application for an alternative provision Free School, 
you must have established a company limited by guarantee with members and 
directors appropriately skilled to discharge their duties and willing to do so 
without payment. This is explained in more detail in Chapter 2 of this guidance.  
 
6.19 We will be using six criteria to assess this section of your application.  In 
providing responses to criteria F1F2 and F3 set out below, it is important to note 
that: 
•  expertise could come from within your group or through forming a voluntary 
partnership with an organisation or individual(s) with a successful educational 
track record or by entering into a commercial contract with such an 
organisation or individual(s); 
•  there is no guarantee that your application will be successful.  Therefore you 
must not enter into any contracts in the expectation of government funding.  
In your application you should tell us what contractual arrangements, if any, 
you would like to have in place should your application be approved; and 
•  public procurement regulations apply to expenditure of public money and 
require that commercial contracts must be let competitively. Therefore, there 
can be no guarantee that organisations or individuals offering support in the 
preparation of applications will be offered contracts to continue providing such 
support should the application be approved. 
 
 
F1: Show how you will access appropriate and sufficient 
educational expertise to deliver your vision. 
 You must: 
•  show that you have identified the resources, people and skills that you will 
need to set up and operate a school, including experience or understanding 
of leading and teaching in high quality alternative provision;  
•  confirm time commitments to the project from relevant individuals; and 
•  set out clear and detailed plans for identifying and securing any necessary 
educational expertise currently missing from your group.   
 
 
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F2: Show how you will access appropriate and sufficient 
financial expertise to manage your alternative provision Free 
School budget. 
 You must: 
 
•  show that you have identified the resources, people and skills that you will 
need to set up arrangements for ,and undertake the financial management 
of, a school; 
•  confirm time commitments to the project from relevant individuals; and 
•  set out clear and detailed plans for identifying and securing any necessary 
financial expertise, including an understanding of school budgets, currently 
missing from your group.   
 
 
F3: Show how you will access other relevant expertise to 
manage the opening and operation of your school. 
You must: 
 
•  provide details of your group, including the members of the company, and 
their particular areas of experience and expertise; 
•  show that your group has identified other relevant expertise, such as 
individuals or organisations with successful experience of setting up a new 
organisation or business, school governance, human resources, ICT, 
property/construction, marketing and project management; 
•  set out clear time commitments to the project from the relevant individuals; 
•  explain how work on this school will be balanced against the development of 
others if your group is seeking to establish more than one school; and 
•  set out clear and detailed plans for identifying and securing any necessary 
expertise currently missing from your group.   
 
 
 
 
 
 
 
 
 
 

 
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F4: Show how your staffing structure will deliver the planned 
curriculum.  
You must: 
 
•  set out plans showing an appropriate and phased build-up of staff (where the 
school is increasing in size over time) in line with planned pupil numbers and 
financial resources; 
 
•  describe the final staffing structure and show how it is sufficient, affordable 
and appropriate to deliver the education vision and plan; 
 
•  set out the structure of the senior leadership team, heads of department and 
any other staff, as well as a clear description of their roles and 
responsibilities; 
 
•  reflect both the arrangements for the first term and year, and for the longer 
term as the school builds to full capacity, with clear delineation of roles and 
responsibilities; and 
 
•  ensure the information you provide is consistent with that provided in 
Section G
 
 
 
F5: Provide realistic plans for recruiting a high quality principal 
designate, other staff and governors in accordance with your 
proposed staffing structure and education plans. 
You must: 
 
•  set out plans for recruiting your school’s principal designate (head teacher) 
and the role you envisage him/her playing in the implementation phase; 
 
•  provide the CV of your preferred principal designate, if you have already 
identified one, along with evidence of their ability to deliver your education 
vision and plan and lead your proposed school; 
 
•  set out your plans for recruiting high quality members of staff; 
 
•  tell us about any individuals you have already identified as prospective 
governors and their relevant skills and expertise; and 
 
•  describe how you will identify and appoint committed governors with the 
breadth of skills needed to oversee successfully both the implementation of 
a school and its operation once open. 
In preparing your application, it is important to note that: 
•  where you have already identified a preferred principal designate, we may 
 
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require that person to be assessed to help inform the decision to appoint; 
and 
•  if your application is approved, you will – subject to our agreement – be able 
to appoint a principal designate up to two terms in advance of the school’s 
opening date. 
 
 
F6: Demonstrate a clear understanding and describe the 
respective roles of the company members, governing body and 
principal designate in running your school. 
You must: 
 
•  clearly describe both in writing and in a diagram the structure, lines of 
accountability and methods of escalation between the company members, 
the school’s governing body (the company directors) and the principal; 
 
•  clearly define and set out the respective roles and responsibilities of the 
company members, the governing body and the principal; and 
 
•  have arrangements that seek to ensure that any potential conflicts of interest 
are avoided and that deliver independent challenge to those with executive 
functions.  
 
 
 
 
 
 
 
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Section G: Initial costs and financial viability 
 
6.20 In this section we are looking for evidence that the cost of setting up your 
school and delivering your proposed education plan is affordable and that your 
group is able to plan and manage the financial side of running a publicly funded 
school.  Alternative provision Free Schools must offer value for money. 
 
6.21 We have included in Annex B an explanation of how alternative provision 
Free School funding works and the information you need to know before starting 
this section of your application.  You should read this annex carefully.   
 
Step 1 - You must complete two different financial plans for 
your school. 
 
 
6.22 We want you to create two different financial plans for your school.  You 
must do this by filling out the same template spreadsheet twice, with information 
based on two different scenarios.  The alternative provision Free School 
template spreadsheet is available here. Please ensure that you use the correct 
template13. Instructions for completing the spreadsheet are contained within it.   
 
6.23 The first financial plan needs to show us the income you expect to receive 
and what you intend to spend when your school is full.  You must provide 
financial information up to and including the academic year after the school is 
full, and for a minimum period of five years.  For example, if you are planning for 
your school to reach capacity in two years, then you must cover the period 
2013/14 to 2017/18.  The latest that alternative provision Free Schools should 
be full is from the beginning of the fourth year. 
 
6.24 You should complete the second financial plan to show us how you would 
reduce spending if your income were lower than expected – for example, if you 
recruit fewer pupils than planned.  Please see criterion G3
 
6.25 In both financial plans, your income must always exceed your 
expenditure, taking start-up funding and reserves you have built up in 
prior years into account. 
 
6.26 In preparing your financial plans, you should think carefully about how you 
can make the best use of the money available to you to deliver your school’s 
education plan.  We know that it will not be possible for you to state actual costs 
at this stage but we need you to demonstrate that your particular education 
vision and plan are affordable.  The cost estimates you make need to be 
realistic and based on evidence.  You can do this by looking at what other 
alternative provision schools do and how much they spend each year on 
different things.  When you show income that is not from the Department for 
Education (including your per pupil funding from commissioners), you need to 
explain where it is coming from, how certain you are that you will get it and 
                                            
13 Please use the alternative provision template – other templates are available for mainstream 
Free Schools, special Free Schools, studio schools and university technical colleges. 
 
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provide evidence to support this assumption.  For your per pupil funding from 
commissioners this should include written evidence providing in principle 
commitments that they will refer children to your alternative provision Free 
School and are prepared to pay the per pupil funding level you have set (as 
required under criterion E2). 
 
6.27 In preparing your financial plans it is important for you to ensure that they: 
 
•  are based on clearly stated and evidenced assumptions; 
•  are consistent with the evidence of demand from your commissioners; 
•  demonstrate that your commissioners are willing to pay the per pupil 
funding rates that you have set; 
•  flow directly from the education vision and plan for the alternative 
provision Free School; 
•  show how you have kept costs to the minimum needed to deliver your 
education plan; 
•  refer to established school benchmarks where appropriate; 
•  use best estimates where there are uncertainties; 
•  do not show a deficit in any year; 
•  are not predicated on your school being able to borrow money;  
•  do not carry over excessive balances of money from one year to the 
next; and 
•  show clearly any income you are expecting to receive from sources other 
than the Department for Education and commissioners and provide 
robust evidence to show why this is realistic and achievable. 
 
6.28 Both completed financial plans must be submitted alongside your main 
application as electronic excel files and in hard copy.   
 
Step 2 - In addition, you must include an explanation in your 
application form describing how you developed your financial 
plans and the thinking behind them.   
 
6.29 We expect you to explain how you have kept costs as low as possible, 
evidence that commissioners are willing to pay the per pupil funding rates and 
how your financial plans support your education vision and plan.  You should 
also tell us about the assumptions you have based your plan on, and the 
evidence you have gathered to show these are realistic.  Even once the 
alternative provision Free School has reached steady state, it will still be 
required to respond flexibly to shifting patterns of local need and to manage a 
high pupil turnover in each academic year.  You should set out clearly how your 
financial plan enables the school to remain financially viable in these 
circumstances. 
 
 
 
 
 

 
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link to page 34 link to page 32 link to page 46   
Review of school funding 
 
6.30 School funding for 2012/13 and beyond is not yet decided because of 
wider work going on to reform the school funding system. For the purposes of 
this application you will need to use the interim funding model for 2012/13  
which uses the confirmed 2011/12 funding figures.  However, from 2013 the 
results of the school funding review may mean that a different funding model will 
be used.  This means that the approach to, and levels of, funding suggested by 
the template spreadsheet are indicative only, and do not represent the actual 
funding the school would receive if approved.   
 
6.31 We will be using six criteria to assess applications for initial costs and 
financial viability.  Five of the criteria apply to all alternative provision Free 
School applications.  You should only seek to address criterion G6 if you are an 
existing provider seeking to become an alternative provision Free School. 
 
 
G1: Show how the school will be financially viable and offer 
value for money up to the point where there is a full cohort of 
pupils. 
You must: 
 
•  show in both financial plans that income, including start-up funding, 
would exceed expenditure for each year up to and including the first year 
where you have a full cohort of pupils (the ‘start-up’ period). The latest that 
this can be is the fourth year; and 
 
•  demonstrate you have minimised the need for any start-up funding, 
particularly staffing diseconomy funding14. For example, where the school 
is building-up we would normally expect principals to do some teaching, 
and for support staff to fill multiple roles.   
 
 
 
G2: Show how the school will be financially sustainable once 
there is a full cohort of pupils. 
You must: 
 
•  demonstrate in your first financial plan that income will exceed expenditure 
once the school is no longer eligible for start-up funding. The last year in 
which schools are currently eligible for start-up funding is the first year in 
which they have a full cohort of pupils. The latest that this can be is the 
fourth year; and 
 
•  set out clearly and explain in your application form the supporting 
assumptions for this first financial plan.   
                                            
14 See Annex C for more on staff diseconomy funding. 
 
32

  
 
In preparing your application, it is important to note that: 
 
•  a strong financial plan should also include contingencies and flexibility that 
would allow the school to cope with unexpected financial pressures.  You 
should not do this by building up a large surplus over time.  
 
 
 
G3: Show how the school will be financially resilient to 
reductions in income. 
You must: 
 
•       show in your second financial plan how you would reduce your expenditure 
to spend less than your income if you were not able to achieve the levels of 
income you assumed in your first financial plan.  You must show how you 
would do this whilst still being able to deliver high quality education in line 
with your stated education vision and plan;   
 
•       show in your second financial plan how you would manage if only 80% of 
pupil places were filled in each year;  
 
•      also take into account any other areas that could impact on your school’s 
income.  In particular, where relevant, you should show in your second 
financial plan how you would manage if you did not reach the assumed level 
of income from sources other than grants from the Department for Education 
and your commissioner per pupil funding (e.g. if you are expecting to receive 
any third party contributions); 
 
and 
 
•  set out clearly and explain in your application form the supporting 
assumptions for your second financial plan.   
 
 
 
G4: Provide realistic financial plans that are consistent with 
other aspects of your application.  
You must: 
 
•  be consistent about the information you provide in both financial plans and 
other relevant parts of your application.  This means that the numbers and 
assumptions in your first financial plan must match the numbers and 
assumptions stated elsewhere in the application form and that the numbers 
and assumptions in your second financial plan are clearly explained and 
evidenced in your application form.   
 
In preparing your application, it is important to note that: 
 
33

  
•  examples of areas that will be scrutinised include pupil numbers, staffing 
structure, and whether there are elements of the education vision and plan 
(such as extended provision) that would require financing and how these are 
reflected in your financial plans. 
  
 
 
G5: Provide sound financial plans that are based on realistic 
and evidenced assumptions about income and expenditure. 
You must: 
 
•  complete the template spreadsheets accurately; 
 
•  ensure that all required fields of the template spreadsheets are filled in; 
 
•  clearly state and evidence in your application form all the assumptions you 
have made in putting together your financial plans; 
 
•  clearly state and evidence that commissioners are willing to pay the per 
pupil funding rates you intend to charge; and 
 
•  use, where appropriate, benchmarking data (e.g. school or local authority 
data) to ensure that the figures you have included are realistic. 
 
 
 
G6: For existing providers, show that the existing provider has 
a good track record of financial management and explain any 
existing financial issues which could impact on becoming an 
alternative provision Free School. 
You must: 
 
•  submit the school’s audited financial statements for the last two years with 
your completed application form; or 
  
•  supply alternative evidence of financial viability where the existing provider 
has not been open long enough to have two years’ worth of audited 
accounts. 
 
In preparing your application, it is important to note that: 
 
•  you should tell us about any relevant financial issues and explain how you 
will seek to address them.  You should expect to discuss these in greater 
detail in later stages of the application process.  Examples of financial issues 
which may impact on becoming an alternative provision Free School include 
running at an operating deficit or having outstanding loans, including 
mortgages. 
 
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Section H: Premises 
 
6.32 Finding a suitable site is an essential part of opening an alternative 
provision Free School.  As part of preparing your application you should 
investigate potential sites for your school.  In your application we would like you 
to tell us about the sites you have identified.   
 
6.33 We would like to know where you would prefer your school to be. In your 
application you should include details of up to two preferred sites where your 
proposed school could potentially open.  However, not having a preferred site at 
this stage will not affect your application.  If your application is taken forward to 
the interview stage of the application process, your preferred sites may be 
visited by Partnerships for Schools.  Partnerships for Schools is the organisation 
appointed by the Department for Education to assist in finding and securing 
Free School sites15.  Partnerships for Schools will assess the sites they visit for 
their suitability, availability, and the likely cost and duration of work required.  
 
6.34 We will also make an overall cost and value for money assessment of your 
proposed site options.  You should therefore aim for the lowest possible capital 
costs.  Successful applicants will be provided with help to secure a suitable site 
for their alternative provision Free School.  Advice and guidance on how to find 
potential sites, as part of developing your application, is available from 
Partnerships for Schools by contacting them by e-mail.   
 
6.35 You should make enquiries as to whether your proposed sites are 
available for acquisition or leasehold but you must not enter into any 
negotiations at this or any other stage on the expectation of government 
funding.  If your application is approved, Partnerships for Schools will undertake 
negotiations on our behalf to acquire a site for your school. 
 
6.36 Please note that if, following approval of your application, it proves 
impossible to identify a feasible site, we may not be able to open your school in 
September 2013, simply because of the time required to prepare the site for the 
opening.  If this is the case, Partnerships for Schools will help you with your 
search for a site and we may consider working with you towards opening in 
2014 or beyond. 
6.37 Although this section of your application will not be assessed against any 
specific criteria, you should aim to provide us with the following information: 
 
Possible site options  
 
6.38 Please provide brief details of the steps you have taken to search for 
suitable sites and what sites (if any) are available in the local area. 
 
                                            
15 From April 2012, Partnerships for Schools will become part of the new Education Funding 
Agency. 
 
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Details of your preferred sites  
 
6.39 Please set out for each of your preferred sites, if possible: 
 
•  your reasons for choosing it; 
•  the address and postcode of the proposed site; 
•  the current use of the proposed site; 
•  the current freeholder of the proposed site; 
•  a brief description of the site including size (in square metres) along with 
the pupil numbers you are proposing; 
•  the availability of the site and the nature of the tenure; and 
•  why you think the site is suitable for your school and how it will support 
delivery of your education vision.  
 
Capital investment  
 
6.40 Please detail any sources of funding available to you to support site 
acquisition. 
 
6.41 Existing providers should not normally expect to receive any capital 
funding unless they plan to expand their pupil numbers.  If existing providers are 
planning to expand their pupil numbers as a consequence of becoming an 
alternative provision Free School, they may be eligible for some limited capital 
investment. 
 
Free Schools in public and government buildings  
 
6.42 When looking for potential sites we would encourage you to consider 
surplus or under-utilised government and other public buildings. These have the 
potential to offer cost-effective solutions. A wide range of public buildings could 
provide suitable accommodation for an alternative provision Free School, 
including:  
  
•  offices 
•  courts and police stations 
•  clinics, health centres, day centres and hospitals 
•  care facilities 
•  training centres 
•  Territorial Army facilities and barracks 
•  depots 
•  former churches 
•  ambulance stations 
•  fire Control Centres 
 
6.43 We have carried out detailed assessments including surveys and, where 
appropriate, pre-planning applications of six sites. We welcome applications to 
establish Free Schools on these sites. Information on these sites, including 
location, size and the type of Free School for which each site might be suitable 
 
36

  
can be found here.  They currently include two Department for Education 
buildings, Mowden Hall in Darlington and Castle View House in Runcorn, where 
there is potential to share the sites with us.   
 
6.44 We will provide details of further properties as they become available.  If 
you are interested in any of these properties please email Partnerships for 
Schools
.   
 
6.45 Partnerships for Schools will provide you with further detail about these 
sites and will be able to advise you on how they might match your education 
vision. Furthermore, to assist you with searching for other available government 
and publicly owned sites, Partnerships for Schools has developed an online 
map browser that will allow you to explore potential government and other 
publicly owned buildings by entering your postcode. This can be found here
 
 
 
 
 
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link to page 39 link to page 39   
Section I: Due diligence & other checks 
 
6.46 We will be carrying out a number of checks, as part of the application 
process, on those applying to establish an alternative provision Free School and 
any other person who will be involved in the management or running of a 
school. These checks will include due diligence checks, credit checks, and 
enhanced Criminal Records Bureau checks and may include police and other 
checks that may be necessary to ensure that only those who are suitable to do 
so are able to set up and run an alternative provision Free School. Personal 
information provided as part of the application process, including the information 
requested below, may therefore be passed to third parties for these purposes. 
 
6.47 In order to be able to carry out these checks we require applicants to 
provide certain personal information about themselves. The form is available 
here. 
6.48 We must receive these forms by 6pm on 24 February 2012. When 
completed please send the due diligence forms directly to the Due Diligence 
Team
.  These forms should remain separate from your main application and be 
submitted in hard copy only

 
6.49 For the purposes of the Data Protection Act 1998, the Department for 
Education is the data controller for personal information supplied on these forms 
and for ensuring that this information is processed in accordance with the 
requirements of the Act. Any third parties processing personal information on 
behalf of the Department for Education will be acting as its data processors. The 
Department for Education will hold all personal information you supply securely 
and will only make it available to those who need to see it as part of the 
application process.  All personal information supplied in these forms will be 
destroyed when it is no longer needed for the purpose of the due diligence 
process.  
6.50 Applicants who refuse to provide any of the information requested may be 
asked to withdraw from the process and from any subsequent involvement in 
the Free School in order for the application to be considered. 
 
6.51 It is our policy that where an applicant is judged to be unsuitable to be 
involved in the operation of an alternative provision Free School, he or she may 
be offered the opportunity to withdraw from the application process.  Where an 
applicant declines to withdraw, the application may be refused. 
 
6.52 Where an application is refused on the grounds that an individual is 
deemed unsuitable, the applicants will be informed that it is not assessed to be 
in the interests of the Free Schools programme to progress the application with 
the involvement of that individual. Fuller reasons may not be provided. 
 
 
 

 
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link to page 51 link to page 39   
7. Submitting your application   
 
How, where and when to submit  
 
Sections A-H 
 
7.1 Sections A-H require you to submit written information and two financial 
plans between 13 and 24 February 2012.   Applications received after the 
deadline will not be considered. You need to submit one copy by email to 
xxxxxxxxxxxxxxxxxxxx.xxxxxxxxxxxxxxxxxx@xxxxxxxxx.xxx.xxx.xx and two 
hard copies
 by ‘Recorded Signed For’ post to:  
 
Free Schools Applications Team 
Department for Education 
3rd Floor 
Sanctuary Buildings 
Great Smith Street 
London SW1P 3BT 
 
7.2 It is essential that the hard copies you provide are identical to the electronic 
version you email.  Your application should be formatted for printing on A4 
paper and completed in Arial font with a minimum font size of 12.  Your email 
must be smaller than 20MB in total.  You may wish, therefore, to carefully 
consider how important photographs, images and logos are to your application. 
 
Section I 
 
7.3 For due diligence purposes, you will also need to submit one hard copy of 
the Section A form and as many signed signed hard copies of the due 
diligence form
 as are required (each member and director of the company 
must complete and sign a form).  The lead applicant or main contact should put 
these together in one envelope and return them by ‘Recorded Signed For’ 
post
 to the following address: 
 
Due Diligence Team 
Department for Education 
4th Floor 
Sanctuary Buildings 
Great Smith Street 
London SW1P 3BT 
 
7.4 Please remember that we must receive all of the documents that make up 
your application no earlier than 9am on 13 February and no later than 6pm 
on 24 February 2012 
in order for them to be considered16.  Please use the 
checklist in Annex D of this document to ensure that you have provided all the 
information we need to assess your application. 
                                            
16 Applicants should not submit additional supporting material after this date, although the 
Department for Education reserves the right to request additional information if deemed 
necessary. 
 
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8. Support for applicants 
 
Useful contacts 
 
8.1 Please find below contact details of organisations that are able to offer 
support: 
 
•  For general advice, please contact the New Schools Network here.  The 
New Schools Network is an independent charity which receives funding 
from the Department for Education to provide free advice and guidance 
to Free School applicants. 
•  If you want to explore the best possible location for your alternative 
provision Free School then support is available here from the School Kit 
online tool developed by Partnership for Schools.  
•  Advice and guidance on how to find potential school sites, as part of 
developing your application, is available from Partnerships for Schools by 
contacting them by e-mail.   
•  If you have any technical problems with this guidance, the Department 
for Education website or any of the forms, please contact us by calling 
0370 000 2288 or visiting our website. 
 
Further information and key documents 
 
8.2 There are a range of websites and documents that you may find useful 
when writing your Free School application, including: 
 
Academies Financial Handbook:  http://readingroom.ypla.gov.uk/ypla/ypla-
academies_financial_handbook-gn-nov06.pdf 
 
Behaviour and exclusions guidance: 
https://www.education.gov.uk/publications/eOrderingDownload/DfES%200087%
20200MIG1262.pdf 
 
Charity Commission guidance: 
http://www.charitycommission.gov.uk/publications/cc3.aspx  
 
Companies House: http://www.companieshouse.gov.uk/ 
 
Department for Education Procurement Guidance for Free Schools: 
http://www.education.gov.uk/freeschools/b0073235/procurement-guidance-for-
free-schools/ 
 
Equality Act 2010: http://www.legislation.gov.uk/ukpga/2010/15/contents  
 
Frequently asked questions about Free Schools: 
http://www.education.gov.uk/schools/leadership/typesofschools/freeschools/free
schoolsfaqs 
 
 
40

  
Governance guidancewww.education.gov.uk/schools/leadership/governance 
 
Model Free School funding agreement: 
http://www.education.gov.uk/freeschools/a0074737/free-schools-model-funding-
agreement

 
Model Free School memorandum and articles: 
http://www.education.gov.uk/schools/leadership/typesofschools/freeschools/gui
dance/a0074737/free-schools-model-funding-agreement
.   
 
Information on existing Free School projects: 
http://www.education.gov.uk/schools/leadership/typesofschools/freeschools/b00
66077/free-schools-opening-in-2011  
 
New Schools Network: http://newschoolsnetwork.org/ 
 
Partnerships for Schools: http://www.partnershipsforschools.org.uk . PfS have 
devised a Free Schools Kit  - an online map browser that allows users to 
explore potential sites for their new Free School: This can be accessed here: 
http://fsk.partnershipsforschools.org.uk/default.htm    
 
Schools benchmarking website (for examples of maintained school 
finances):
 https://sfb.teachernet.gov.uk/Login.aspx   
 
Special Educational Needs Code of Practice: 
https://www.education.gov.uk/publications/standard/publicationDetail/Page1/DfE
S%200581%202001#downloadableparts 
 
Special Educational Needs and Disability Green Paper: 
http://www.education.gov.uk/schools/pupilsupport/sen/a0075339/sengreenpape

 
Top tips for 2013 Free School applicants: 
http://www.education.gov.uk/schools/leadership/typesofschools/freeschools/gui
dance/a0074965/how-to-apply-to-open-a-free-school 
 
 
 
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Annex A: Types of Free Schools 
 
One of the aims of the Free Schools programme is to have genuinely new 
provision which helps create a more diverse and innovative school system. 
What is important is that you have a vision for a school that will improve the 
educational outcomes of its pupils and you have the capacity, capability and a 
plan to deliver this along with demonstrable demand. 
 
In most cases the school you propose is likely to fall into one of the following 
four categories: 
 
•  mainstream: an all-ability school, which must cater for children of 
statutory school age, offer a broad and balanced curriculum, and have 
admissions arrangements in line with the School Admissions Code; 
 
•  16-19: a school catering for pupils aged 16-19. The school does not have 
to offer a broad and balanced curriculum or comply with the School 
Admissions Code.  Students can be selected, following an interview if 
desired, on the basis of prior achievement or other criteria; 
 
 
•  special: a school specifically organised to provide for children with 
statements of special educational needs, with a curriculum plan tailored 
to meet individual pupils’ needs. Special Free Schools will be designated 
for a specific type or types of special educational needs such as cognitive 
and learning needs; or 
 
•  alternative provision: a school which caters principally for children of 
compulsory school age who may not otherwise receive suitable 
education. They offer high quality alternative provision for excluded 
children, severely bullied children, school phobics and refusers, early 
intervention for children with behaviour problems and others who require 
alternative provision for a time.  
 
If your proposed Free School does not fit obviously into one of the types 
outlined above, you should apply using the application forms and guidance you 
think are closest to the type of provision you wish to offer. In most cases this will 
be the mainstream application guidance and forms.  
 
For example, if a school wants to have pupils on its roll permanently (as 
opposed to short term placements) then it is not alternative provision (even if it 
wishes to offer an alternative curriculum) and you should follow the mainstream 
forms and guidance. If you want your school to offer a mix of provision which 
includes mainstream education then the mainstream form will normally be the 
most appropriate.   
 
We have provided a grid below to help you pick which route best fits your 
proposed school. The key thing to think about is the type of pupils your school 
wishes to cater for and how you want to admit them.  You should also include a 
short rationale at the beginning of the application under Section C: Education 
 
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link to page 15   
vision. This should set out what it is you wish to do and how you believe this 
will improve educational standards for your pupils. It should also set out which 
pupils you wish to cater for, their needs and how you plan to admit them. 
 
If you submit a strong application which does fit within the current legal 
frameworks, we will still work with you to see what is achievable in terms of 
delivering your vision for a new school. 
 
Type of 
Admissions 
Curriculum 
Funding 
Free 
School 
Mainstream  As for maintained 
Must be broad and  Per pupil funding the 
schools and 
balanced  
same as local authority 
Academies, parents 
maintained school 
apply for a place for 
(including deprivation 
their child. Must 
etc)   
comply with the 
School Admissions 
Code  
16-19 
Must have fair and 
Must meet the 
Per pupil funding the 
transparent 
needs and 
same as local authority 
admissions 
interests of 
maintained 16–19 
arrangements but 
students but does 
school (including 
do not have to 
not have to be 
deprivation etc)   
comply with the 
broad and 
School Admissions 
balanced 
Code 
Special 
Predominantly 
Does not need to 
Per place funding of 
statemented pupils 
be broad and 
£10,000 plus whatever 
placed by local 
balanced but 
the commissioning 
authorities  
curriculum plans 
body will pay to meet 
should be tailored 
costs of provision 
to meet the 
individual needs of 
pupils. 
Alternative 
Referrals from 
Does not need to 
For children of 
Provision  
commissioners 
be broad and 
compulsory school 
(Academies, 
balanced but must  age: per-pupil funding 
schools and local 
cover, at least, age  is entirely from the 
authorities)  
and ability 
commissioner at a 
appropriate 
level negotiated 
functional 
between them and the 
elements of 
alternative provision 
English, maths 
Free School.  Funding 
and ICT   
for 16-19 year olds can 
come from the 
commissioner or at the 
mainstream 16-19 per-
pupil funding rate 
 
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Annex B: School Funding Overview 
 
Review of school funding 
 
The approach to, and levels of, Free Schools funding are currently being 
reviewed.  The funding that schools will receive from 2012/13 onwards therefore 
has not yet been agreed.  The information set out below and in the financial 
template is based on the interim funding model for alternative provision Free 
Schools in 2012/13 which uses the confirmed 2011/12 funding figures in places.  
However, from 2013 the results of the school funding review may mean that a 
different funding model will be used. 
 
The information set out below and in the template should be considered 
illustrative only.  No guarantee can be given at this point about the approach 
that will be used in future years or of the levels of funding that will be received 
from 2012/13 onwards.  For example, it is likely that levels of start-up funding 
will be lowered.   
 
School funding explained 
 
Alternative provision Free School funding is dependent on the admissions 
arrangements for your pupils.  For pupils referred by commissioners (all children 
of compulsory school age and some 16-19 year old pupils) your per pupil 
funding will come from the commissioner.  For 16-19 year old pupils who apply 
under a mainstream admissions process all of your funding will come from the 
Education Funding Agency (EFA) in the same way as for mainstream schools.  
 
In both funding arrangements, the more pupils you have, the more funding you 
get.  This is why having evidence of demand for your school is so important.  If 
your school does not have enough pupils it will be very difficult for you to pay for 
staff and the upkeep of the building. 
 
Existing providers should not normally expect to receive any capital funding 
unless they plan to expand their pupil numbers.  If existing providers are 
planning to expand their pupil numbers as a consequence of becoming an 
alternative provision Free School, they may be eligible for some limited capital 
investment.  Decisions will be made on a case by case basis with strong 
supporting evidence required.  
 
Start-up funding 
 
Start-up funding is intended to bridge the gap between a school opening and 
there being a full cohort of pupils.  Due to the nature of alternative provision 
Free Schools and the ways that children are referred to them, we expect them 
to be full from their fourth year of operation at the latest.  Start-up funding 
should enable a new school to cover essential costs when a school first opens, 
such as employing a principal and buying books and equipment, where these 
costs could not otherwise be met by the per pupil funding.   
 
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There are currently two main types of start-up funding: 
 
•  formulaic funding; and 
•  staffing diseconomy funding.   
 
Formulaic funding is based on a standard formula and will be the same for all 
schools depending on the number of pupils.  This currently includes funding for 
books, materials and equipment, recruitment costs after you have opened and 
some initial senior staff training.  These formulaic elements will automatically 
complete in the financial template once you have entered pupil and teacher 
numbers.   
 
Staffing diseconomy funding is worked out on a school by school basis and is 
designed to help meet the costs of employing senior staff when the school 
opens.  The amount of funding currently depends on the way pupil numbers 
build up and which senior staff are essential for schools to operate.   
 
The staffing diseconomy lines of the spreadsheet are blank for you to complete.  
You will need to estimate how much diseconomy funding your school may need 
while building up pupil numbers.  As a guide, a school which has 100 full-time 
equivalent places (FTE) and anticipates having the equivalent of 20 FTE pupils 
across the academic year will have 20% of its pupils in the first year, so might 
expect diseconomy funding to cover up to 80% of the principal’s salary in the 
first year.   
 
Diseconomy funding should be used to fund only the minimum essential posts.   
 
Please note that existing providers becoming alternative provision Free Schools 
will not normally be eligible for any start-up funding.   
 
Lead-in funding 
 
If your application is approved it is likely that you will be eligible for funding to 
help you get your school ready to open.  This funding is known as lead-in 
funding.  It can currently be used to help develop detailed plans for the school 
including the curriculum, recruiting a principal designate, running a consultation 
on their proposed school, and engaging with commissioners.   
 
This funding is not covered by the financial template, and you do not need to 
include this as part of your application.  We will discuss this with you if you are 
successful.  As with all types of Free Schools funding, applicant groups will 
need to justify any need for funding, keep costs to a minimum and demonstrate 
how they have secured value for money.   
 
 
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Annex C: Glossary of terms  
 
Academies Financial Handbook:
 contains instructions for Academies 
regarding their funding and obligations towards accounting and reporting.  
 
Academy: a publicly funded independent school, free from local authority 
control. Other freedoms include setting their own pay and conditions for staff, 
freedom from following the National Curriculum, and the ability to change the 
lengths of their terms and school days. 
 
Academy Trust: a charitable company limited by guarantee which operates an 
Academy or Free School. See ‘company limited by guarantee’ for further 
information. 
 
Articles of association:
 set out the purpose, composition and operating 
arrangements of the company limited by guarantee (also known as the 
Academy Trust). 
 
Cash flow:
 the pattern of spending in each month and the corresponding 
amount of income required.  
 
Catchment area: the geographical area which you intend your school to serve.  
 
Collective worship: all schools must provide a daily act of collective worship.  
For schools that do not have a religious designation, daily acts of collective 
worship should be of a broadly Christian nature.   
 
Company limited by guarantee: a private company, where the liabilities of its 
members are limited, in the case of Academy Trusts to £10.  This is the type of 
company that will most often be used for non-profit organisations.  As a legal 
entity in its own right, a company limited by guarantee can make agreements 
and let contracts in the name of the company rather than the name of individual 
members.   
 
Devolved formula capital: funding for the maintenance and repairs of school 
buildings.  Free Schools will not receive this funding in their first year.   
 
Directors: appointed by the members of a company to form a governing body 
and oversee the day-to-day management of the school.  All individuals on the 
governing body must be formally appointed as directors of the company and 
registered with Companies House.  It is possible for an individual to be a 
member and a director but we would expect most directors of the company not 
to be members. 
 
Due diligence: an umbrella term for a number of checks that will be made on 
all those applying to establish a Free School.  The checks enable the 
Department for Education to ensure that only suitable individuals are able to set 
up and run a Free School.   
 
 
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Education Funding Agency (EFA): see YPLA 
 
English Baccalaureate: where pupils have secured a C grade or better at 
GCSE in all of English, mathematics, history or geography, the sciences and a 
language 
 
Escalation (methods of): the approach to, and level of responsibility at which 
particular issues will be resolved when setting up and running the school. 
 
Ethos: the distinctive education vision, values and principles that inform the 
way a school is run. 
 
Faith ethos: if you want your school to have a distinct ethos based on a set of 
morals that are aligned with a particular faith and you want to make this explicit, 
you can describe your school as having a faith ethos.  This could then be 
reflected within the vision for the school, the values the school represents and 
the importance placed on particular beliefs.  Religious education and collective 
worship cannot be provided in line with the faith ethos if this is anything other 
than Christian in nature. 
 
Financial viability: whether a school can survive in financial terms in the long-
term.  Free Schools must be able to balance their budgets.  This means 
spending less than their income.  In the start up period, income is currently per 
pupil funding plus an additional start-up grant.  When schools reach steady 
state, their income will be per pupil funding only. 
 
Founding members of the company: the people that establish the company 
and sign the memorandum of association that is submitted (with the company's 
articles of association) when registering the company with Companies House.  
Further members may subsequently be appointed. 
 
Free school meals (FSM): whether children are, or have ever been, eligible for 
free school meals is frequently used as an indicator of deprivation, and is often 
used as a qualifier for calculating funding targeted at deprived students, areas 
and schools.  
 
Full time equivalent (FTE): this represents the total pupil load as if all pupils 
are full-time, counting part-time normally as 0.5.  So for example if the school 
will have 100 full-time pupils and 30 part-time younger pupils the FTE total 
would be 115. 
 
Funding agreement: a legally binding contract between the Academy Trust 
and the Secretary of State that sets out the conditions and requirements upon 
which the Academy Trust is funded. 
 
General annual grant (GAG): otherwise known as ‘per pupil funding’, this is an 
Academy’s annual expected funding.  Schools are expected to cover all their 
running costs out of their GAG.   
 
 
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Governors: see definition of ‘Directors’.  
 
Governing body: the body appointed by the members of the Academy Trust to 
oversee the day-to-day management of the school and hold the senior 
management team to account.  The governing body must be constituted in 
accordance with the Trust’s articles of association. 
 
Grant funding: a method of giving funds for a specific purpose and/or a limited 
amount of time.  
 
Information and communication technology (ICT): this includes telephony, 
computer equipment and operating systems for the running of the school.  It 
also covers the use of ICT in the curriculum as a subject and to support 
teaching and learning. 
 
Indicative funding: gives a school an estimated funding quote for the 
forthcoming academic year.  It is based on the average local authority funding 
for maintained schools and the expected number of pupils on roll at that school 
in the relevant year.  
 
Looked after children (LAC): children who are in the care of the local 
authority.   
 
Lead-in funding: funding provided to help set up the school before it opens.  It 
can currently be used to help develop detailed plans for the school including the 
curriculum, recruiting a principal designate, running a consultation on the 
proposed school, and attracting pupils. 
 
Local Government Pension Scheme (LGPS): a nationwide public sector 
pension scheme administered locally for participating employers through 99 
regional pension funds.  Free Schools must offer this scheme to all their non-
teaching staff. 
Members (of the company): the company’s legal owners.  They play a 
strategic role in running the school, are responsible for appointing directors of 
the Free School (the ‘governing body’) and have ultimate control over the 
company.  
 
Memorandum of association: contains the names of the individuals who are 
forming the company (the company’s founding members).  It indicates their 
willingness to become a member of the company under the Companies Act 
2006. 
 
Pedagogy: 
different styles and approaches to teaching.  
 
Procurement: 
the process of entering into contracts for the acquisition of goods 
and/or services.   
 
Pupil premium: additional funding allocated to schools for children who are 
eligible for free school meals.  Children who had been continuously looked after 
 
48

  
by the local authority for six months at some point in the period up to 31 March 
2010 will also attract the pupil premium.   
 
Qualified Teacher Status (QTS): the accreditation that enables individuals to 
teach in state maintained and special schools in England and Wales.  
 
School action and school action plus: programmes for children with special 
educational needs who do not have a statement of special educational needs.  
 
Special educational needs (SEN): children with a learning difficulty 
which requires additional, or otherwise different, educational provision than is 
offered more generally for children of their age. 
 
Special educational needs coordinator (SENCo): the SENCo plays a key 
role, in collaboration with the headteacher and governing body, in determining 
the strategic development of the SEN policy and provision in the school in order 
to raise the achievement of children with SEN.  The SENCo takes day-to-day 
responsibility for the provision made for individual children with SEN, working 
closely with staff, parents and carers, and other agencies. The SENCo also 
provides related professional guidance to colleagues with the aim of securing 
high quality teaching for children with SEN. 
 
Service children: children whose parents are in the armed forces.  
 
Solvency/insolvency: a company or individual is solvent if the value of its 
assets exceeds the value of any debts it might owe.  Insolvency refers to the 
situation in which a company or individual’s debts exceed their assets or if a 
company or individual has insufficient funds available to meet its debts as they 
fall due. 
 
Start-up period: the period up to and including the first year the school has a 
full cohort of pupils.   
 
Start-up funding: additional funding currently available when schools are first 
set up (and before there is a full cohort of pupils) for essential costs such as 
employing a principal designate (head teacher) and buying books and 
equipment.   
 
Statements of special educational needs: a statement describes a child's 
special educational needs and the special help a child should receive.  The local 
authority will usually make a statement if they decide, following a statutory 
assessment, that all the special help a child needs cannot be provided from 
within the school's resources.  These resources could include money, staff time 
and special equipment. 
 
Statutory assessment of special educational needs: 
a detailed investigation 
to find out exactly what a child's special educational needs are and what special 
help a child needs.  A statutory assessment is only necessary if the school or 
early education setting cannot provide all the help that the child needs.  
 
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Steady state: the first year after you have a full cohort of pupils. 
 
Studio Schools: an innovative new model of 14 to 19 year-old educational 
provision. They are small schools which deliver mainstream qualifications 
through project based learning and work placements. Students work with local 
employers and a personal coach and follow a curriculum designed to give them 
the employability skills and qualifications that they need in the world of work or 
further education. 
 
Teachers’ Pension Scheme (TPS): a contributory scheme administered by 
Teachers' Pensions (TP) on behalf of the Department for Education.  Free 
Schools must offer this scheme to all their teachers, including head teachers. 
 
University Technical Colleges (UTCs): newly-established 14-19 Academies 
that deliver technical education to engage young people and meet the needs of 
modern business.  UTCs are sponsored by a local university and industry 
partner(s). They offer full time courses that combine practical and academic 
studies, and focus on disciplines requiring highly specialised equipment, for 
example, engineering, manufacturing with product design, construction, or 
agriculture. 
 
Value for money (VfM): the term used to assess whether or not an 
organisation has obtained the maximum benefit from the goods and services it 
acquires and/ or provides, within the resources available to it.  It not only 
measures the cost of goods and services, but also takes account of the mix of 
quality, fitness for purpose, timeliness and convenience.  
 
Voluntary contributions:
 a suggested donation sometimes sought by schools 
in order to support their work.   
 
Young People’s Learning Agency / Education Funding Agency 
(YPLA/EFA): 
the YPLA currently funds all Academies (with funding provided by 
the Department for Education) and also funds other training for 16-19s. YPLA 
will be closed under the government’s reorganisation of arms length bodies and 
its functions will be provided by the new Education Funding Agency (an 
executive agency of the Department for Education) from April, 2012. 
 
 
 
 
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link to page 14 link to page 14 link to page 15 link to page 16 link to page 20 link to page 26 link to page 30 link to page 35 link to page 14   
Annex D: Application checklist 
Checklist: Sections A-H of your application 
Yes 
No 
 1.  You have established a company limited by guarantee  
 
 
2.  You have provided information to cover all of the following 
 
 
areas:  
Section A: Applicant details – including signed declaration 
 
 
Section B: Outline of the school 
 
 
Section C: Education vision 
 
 
Section D: Education plan 
 
 
Section E: Evidence of demand and marketing 
 
 
Section F: Capacity and capability 
 
 
 Section G: Initial costs and financial viability   
 
 
Section H: Premises 
 
 
3.  This information is provided in A4 format using Arial font, 
 
 
minimum 12 font size 
4.  You have completed two financial plans using the financial 
 
 
template spreadsheet  
5.  You have provided written evidence from commissioners to 
 
 
support your evidence of demand 
6.  Existing providers which are registered as independent 
schools only: you have provided a link to the most recent 
 
 
inspection report 
7.  Existing providers only: you have provided a copy of the last 
 
 
two years’ audited financial statements or equivalent 
8.  All relevant information relating to Sections A-H of your 
application has been emailed to 
 
 
xxxxxxxxxxxxxxxxxxxx.xxxxxxxxxxxxxxxxxx@xxxxxxxxx.xxx.xx
v.uk
 between 13 February and 24 February 2012 
9.  Two hard copies of the application have been sent by 
‘Recorded Signed For’ post to: Free Schools Applications 
Team, Department for Education, 3rd Floor, Sanctuary 
 
 
Buildings, Great Smith Street, London SW1P 3BT, between 13 
and 24 February 2012 
Checklist: Section I of your application 
 10.  A copy of Section A of the form and as many copies of the 
due diligence form as there are members and directors have 
been sent by ‘Recorded Signed For’ post to: Due Diligence 
 
 
Team, Department for Education, 4th Floor, Sanctuary 
Buildings, Great Smith Street, London SW1P 3BT, between 13 
and 24 February 2012 
 
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