The School and Early Years Finance (England) Regulations 2023

Made: 19th January 2023

Laid before Parliament: 23rd January 2023

Coming into force: 14th February 2023

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PART 1 — Introduction

Citation, commencement, application and interpretation

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Revocation and saving

2

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Amendments

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PART 2 — Action to be taken by a local authority

CHAPTER 1 — Determination of the non-schools education budget, schools budget, individual schools budget, and budget shares

The non-schools education budget

4

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Initial determination of a local authority’s schools budget

5

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The schools budget

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Exceptions

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Determination of the individual schools budget for the funding period and limit on increase in central expenditure

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Consultation

9

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Formulae for determination of budget shares etc. for certain maintained schools and early years providers

10

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Determination of allocation of budget shares etc. for the funding period

11

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CHAPTER 2 — Further deductions and variations to limits authorised by schools forums or the Secretary of State

Applications to the schools forum and the Secretary of State

12

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PART 3 — Determination of budget shares etc.

CHAPTER 1 — Requirements, and factors and criteria taken into account

Pupil numbers

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Places

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Social deprivation for primary and secondary schools

15

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Social deprivation for early years

16

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Lump sums for primary and secondary schools

17

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Low prior attainment factor

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English as an additional language

19

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Mobility factor

20

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The London fringe

21

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The sparsity factor

22

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Special arrangements for pupils in maintained nursery schools and nursery classes and for children receiving relevant early years provision and community early years provision

23

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Early years pupil premium

24

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Disability access fund

25

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Risk protection arrangement

26

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Differential funding

27

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Additional requirements, factors or criteria

28

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Requirements relating to the calculation of the local authority funding formula

29

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Minimum per pupil amount

30

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Minimum funding guarantee

31

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Early years 95 per cent requirement

32

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12 per cent early years discretionary funding cap

33

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Sixth form funding

34

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New schools, merged schools and closing schools

35

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Federated schools

36

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CHAPTER 2 — Adjustments, correction of errors, and alternative arrangements authorised by the Secretary of State

Pupils permanently excluded from, or leaving, maintained schools

37

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Correction of errors and changes in non-domestic rates

38

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Alternative arrangements approved by the Secretary of State

39

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PART 4 — Schemes

Required content of schemes

40

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Approval by the schools forum or the Secretary of State of proposals to revise schemes

41

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Publication of schemes

42

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SCHEDULE 1 — CLASSES OR DESCRIPTIONS OF PLANNED EXPENDITURE PRESCRIBED FOR THE PURPOSES OF THE NON-SCHOOLS EDUCATION BUDGET OF A LOCAL AUTHORITY

Special educational provision

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Access to education

8

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Additional education and training for children, young persons and adults

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14

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Other functions

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SCHEDULE 2 — CLASSES OR DESCRIPTIONS OF PLANNED EXPENDITURE PRESCRIBED FOR THE PURPOSES OF THE SCHOOLS BUDGET OF A LOCAL AUTHORITY WHICH MAY BE DEDUCTED FROM IT TO DETERMINE THE INDIVIDUAL SCHOOLS BUDGET

PART 1 — Historic commitments

1

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PART 2 — Central schools expenditure

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PART 3 — Other central education expenditure

Asset management

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Strategic management

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Other functions

16

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PART 4 — Central early years expenditure

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PART 5 — Children and young people with high needs

28

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PART 6 — Items that may be removed from maintained schools’ budget shares – primary and secondary schools

40

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45

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46

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47

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48

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49

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52

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PART 7 — Items that may be removed from maintained schools’ budget shares – primary, secondary and special schools, and pupil referral units

53

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69

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70

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75

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76

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PART 8 — Deficit from previous funding period

81

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SCHEDULE 3 — ADDITIONAL REQUIREMENTS, OR FACTORS OR CRITERIA WHICH MAY BE TAKEN INTO ACCOUNT, IN A LOCAL AUTHORITY’S FORMULA UNDER REGULATION 28

PART 1 — Applicable only to budget shares for maintained schools (other than special schools, pupil referral units and nursery schools)

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3

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PART 2 — Applicable only to budget shares for, and amounts to be allocated to, providers of funded early years provision

4

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8

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SCHEDULE 4 — MINIMUM FUNDING GUARANTEE

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6

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SCHEDULE 5 — CONTENTS OF SCHEMES

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Signed

Nick Gibb — Minister of State — Department for Education — 19th January 2023

Explanatory note

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Footnotes

[^f00001]: Section 45A was inserted by section 41(1) of the Education Act 2002 (c. 32) (“the 2002 Act”). It was amended by section 101 of, and paragraph 3 of Schedule 16 to, the Education Act 2005 (c. 18) (“the 2005 Act”); by section 202 of the Apprenticeships, Skills, Children and Learning Act 2009 (c. 22) (“the 2009 Act”); by S.I. 2010/1158; and by section 3(2)(a) of the Childcare Act 2016 (c. 5).

[^f00002]: Section 45AA was inserted by section 101 of, and paragraph 4 of Schedule 16 to, the 2005 Act.

[^f00003]: Section 47 was amended by section 101 of, and paragraph 6 of Schedule 16 to, the 2005 Act.

[^f00004]: Section 47ZA was inserted by section 202 of the 2009 Act and amended by section 3(2)(b) of the Childcare Act 2016.

[^f00005]: Section 47A was inserted by section 43 of the 2002 Act and amended by section 101 of, and paragraph 7 of Schedule 16 to, the 2005 Act; section 57 of, and paragraph 2 of Schedule 5 to, the Education and Inspections Act 2006 (c. 40) (“the 2006 Act”; section 165 of the Education and Skills Act 2008 (c. 25); and section 194 of the 2009 Act.

[^f00006]: Section 48 was amended by section 40 of, and paragraph 2 of Schedule 3 to, the 2002 Act; section 117 of, and paragraph 7 of Schedule 18 to, the 2005 Act; and section 57 of, and paragraph 3 of Schedule 5 to, the 2006 Act.

[^f00007]: Subsections (2) and (2A) were substituted for subsections (2) and (3), as originally enacted, by section 57 of, and paragraph 4 of Schedule 5 to, the 2006 Act.

[^f00008]: Paragraph 2B of Schedule 14 was substituted for paragraph 2, as originally enacted, by section 57 of, and paragraph 5 of Schedule 5 to, the 2006 Act.

[^f00009]: 1998 c. 31. For the meanings of “prescribed” and “regulations”, see section 142(1) of the 1998 Act.

[^f00010]: 2002 c. 32. For the meanings of “prescribed” and “regulations”, see section 212(1) of the 2002 Act.

[^f00011]: 1989 c. 41.

[^f00012]: 1996 c. 56.

[^f00013]: 2003 c. 26.

[^f00014]: 2005 c. 18.

[^f00015]: 2006 c. 40.

[^f00016]: 2010 c. 32.

[^f00017]: 2014 c. 6.

[^f00018]: S.I. 2014/2147, amended by S.I. 2016/887, 2018/146 and 2018/383.

[^f00019]: S.I. 2022/27.

[^f00020]: A printed copy of this document may be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00021]: Available at: https://www.gov.uk/government/publications/early-years-foundation-stage-framework--2. A printed copy may be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00022]: A printed copy of this document may be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00023]: S.I. 2003/1038. Relevant amending instruments are: S.I. 2009/1585, 2010/290, 2011/2392, 2013/1513, 2015/900 and 2019/854.

[^f00024]: Availableat: https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/754071/Key_stage_2_assessment_and_reporting_arrangements.pdf. A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00025]: Available at: https://www.gov.uk/government/publications/2022-key-stage-2-assessment-and-reporting-arrangements-ara. A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00026]: Regulations made under this section in relation to England are the Local Authorities (Capital Finance and Accounting) (England) Regulations 2003 (S.I. 2003/3146). Relevant amendments to those Regulations are made by S.I. 2004/534, 2004/3055 and 2007/573.

[^f00027]: For the meaning of “special school”, see section 337 of the Education Act 1996 (c. 56) (“the 1996 Act”).

[^f00028]: For the meaning of “Academy school”, see section 1A of the 2010 Act as inserted by section 53(7) of the Education Act 2011 (c. 21).

[^f00029]: 2006 c. 21.

[^f00030]: Section 512ZB was inserted by section 201(1) of the 2002 Act and amended by section 28 of, and paragraph 16(3) of Schedule 3 to, the Welfare Reform Act 2007 (c. 5), section 26(1)(a) to (e) of the Child Poverty Act 2010 (c. 9) and section 31, and paragraph 39(a) and (b) of Schedule 2 to, the Welfare Reform Act 2012 (c. 5).

[^f00031]: 2008 c. 25.

[^f00032]: 2016 c. 5.

[^f00033]: Availableat: https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/835115/IoD2019_Statistical_Release.pdf. A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00034]: 2006 c. 41. Section 14Z25 was inserted by section 19(2) of the Health and Care Act 2022 (c. 31).

[^f00035]: Sections 85 and 85A were substituted for section 85, as originally enacted, by section 74(1) of the 2006 Act.

[^f00036]: 2006 c. 42.

[^f00037]: 2014 anaw. 4.

[^f00038]: Section 30 was amended by section 159(1) of the Health and Social Care Act 2012 (c. 7).

[^f00039]: 1988 c. 41.

[^f00040]: This definition is taken from section 21 of the Local Government Act 2003 Act and regulation 31 of S.I. 2003/3146.

[^f00041]: S.I. 2013/3110. The Regulations are made under section 18 of the 2006 Act.

[^f00042]: Section 537A was inserted by section 140(1) of, and paragraph 153 of Schedule 30 to, the School Standards and Framework Act 1998 (c. 31) (“the 1998 Act”).

[^f00043]: The schools supplementary grant is paid in accordance with the methodology set out in the document entitled “Schools Supplementary Grant 2022 to 2023: methodology” published in October 2022 available at: www.gov.uk/government/publications/schools-supplementary-grant-2022-to-2023 . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00044]: For the meaning of “school year”, see section 579(1) of the 1996 Act.

[^f00045]: For the meaning of “registered pupil”, see section 434(5) of the 1996 Act.

[^f00046]: S.I. 2021/59.

[^f00047]: S.I. 2012/2261; relevant amending instruments are S.I. 2012/2991, 2017/44, and 2020/540 as amended by S.I. 2021/59 and 2022/27.

[^f00048]: 1984 c. 27. Section 26 was amended by section 8 of, and Schedule 5 to, the Local Government Act 1985 (c. 51), sections 288 and 423 of, and Schedule 34 to, the Greater London Authority Act 1999 (c. 29), sections 270 and 274 of, and Schedule 31 to, the Transport Act 2000 (c. 38), and section 99 of, and Schedule 16 to, the Police Reform and Social Responsibility Act 2011 (c. 13).

[^f00049]: S.I. 1997/319. These Regulations have lapsed but article 11 of S.I. 2004/533 contains a savings provision for regulation 16 of those Regulations.

[^f00050]: Sections 88C and 88D of the 1998 Act were inserted by section 151(1) and (4) of the Education and Skills Act 2008. For the meaning of “admission authority”, see section 88(1) of the 1998 Act.

[^f00051]: Published in July 2022 and available at: https://www.gov.uk/government/publications/pre-16-schools-funding-local-authority-guidance-for-2023-to-2024/schools-operational-guide-2023-to-2024 . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, on request.

[^f00052]: Working tax credits are in certain circumstances, paid for four weeks (“run-on”) following a cessation of employment.

[^f00053]: 2002 c. 38.

[^f00054]: Section 14A was inserted by section 115(1) of the Adoption and Children Act 2002.

[^f00055]: Section 8(1) was amended by section 12 of the 2014 Act.

[^f00056]: S.I. 2010/959. Paragraph 2 of Schedule 1 was amended by S.I. 2013/706 and 2014/1556.

[^f00057]: Section 22(3A) was inserted by section 52 of the Children Act 2004 (c. 31); section 22(3B) was inserted by section 99 of the 2014 Act.

[^f00058]: 2002 c. 21. Section 1 is repealed by Part 1 of Schedule 14 to the Welfare Reform Act 2012 (c. 5) with savings specified in S.I. 2019/167, article 3.

[^f00059]: S.I. 2013/376. Chapter 2 of Part 6 is concerned with earned income for the purposes of calculating an award of universal credit.

[^f00060]: 1995 c. 18. Section 1(4) is repealed by Part 1 of Schedule 14 to the Welfare Reform Act 2012 (c. 5) on different days and for different areas and purposes. See S.I. 2013/983, 1511, 2657, 2846, 2014/209, 1452, 1583, 2321, 3094, 2015/33, 101, 634, 1537 and 2016/33.

[^f00061]: 2007 c. 5.

[^f00062]: 1992 c. 4.

[^f00063]: An assessment period is prescribed by regulation 21(1) of the Universal Credit Regulations 2013 as a period of one month beginning with the first day of entitlement and each subsequent period of one month during which entitlement subsists.

[^f00064]: 2002 c. 16.

[^f00065]: 2012 c. 5.

[^f00066]: 1992 c. 4.

[^f00067]: The national funding formula factor values for the previous funding period can be found in the document entitled “The national funding formulae for schools and high needs 2022 – 23” published in July 2021. The document can be found at https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1003492/2022-23_NFF_Policy_Document.pdf . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT upon request.

[^f00068]: The area cost adjustment (ACA) for 2022 – 23 can be found in the document entitled “Schools block national funding formula: technical note” published in July 2021. The document can be found at https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1003310/2022-23_NFF_schools_block_technical_note.pdf . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT upon request.

[^f00069]: The national funding formula factor values for this funding period can be found in the document entitled “The national funding formulae for schools and high needs 2023 – 24” published in July 2022. The document can be found at https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1091988/2023-24_NFF_Policy_Document_.pdf . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT upon request.

[^f00070]: The area cost adjustment (ACA) for 2023 – 24 can be found in the document entitled “Area cost adjustment for national funding formula: technical note” published in July 2022. The document can be found at https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/1091865/2023-24_NFF_area_cost_adjustment_technical_note_.pdf . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT upon request.

[^f00071]: S.I. 2012/1033. The relevant amending instrument is S.I. 2022/788.

[^f00072]: Paragraph 2A of Schedule 14 to the 1998 Act was inserted by section 57 of, and paragraph 5 of Schedule 5 to, the 2006 Act.

[^f00073]: 1999 c. 8. Section 31 was repealed by section 6 of, and Schedule 4 to, the National Health Service (Consequential Provisions) Act 2006 (c. 43) but section 4 of, and paragraph 1 of Schedule 2 to, that Act contains a savings provision which means that arrangements made under section 31 of the 1999 Act continue to have effect as if made under section 75 of the National Health Service Act 2006.

[^f00074]: 2006 c. 41.

[^f00075]: Sections 508A to 509A were inserted by sections 76 to 78 of the 2006 Act and by section 57 of the 2009 Act. They were amended by section 103(1) of, and paragraph 23 of Schedule 2 to, the Childcare Act 2006 and section 54 of, and paragraphs 9(1) to 9(12) of Schedule 13 to, the Education Act 2011 (c. 21).

[^f00076]: 1962 c. 12. The Education Act 1962 was repealed by the Teaching and Higher Education Act 1998 (c. 30) with transitional savings provisions. The repeal does not affect the continued operation of the provisions that relate to the making of subordinate legislation. Relevant regulations made under section 1(1) of the Education Act 1962 are the Education (Mandatory Awards) Regulations 2003 (S.I. 2003/1994). These regulations describe the designated courses and methodology for calculating grants.

[^f00077]: 1998 c. 30.

[^f00078]: A 16-19 Bursary is financial assistance under section 14 of the 2002 Act paid to, or in respect of, a person who is aged 16 to 19 in connection with undertaking any course or training.

[^f00079]: Sections 15ZA and 15ZC were inserted by section 41 of the 2009 Act. Section 15B was inserted by section 149 of, and Schedule 9 to, the Learning and Skills Act 2000 (c. 21).

[^f00080]: Sections 507A and 507B were inserted by section 6(1) of the 2006 Act.

[^f00081]: S.I. 2012/10.

[^f00082]: Section 18 was amended by article 5(1) of, and paragraph 7 of Schedule 2 to, S.I. 2010/1158.

[^f00083]: 1972 c. 70.

[^f00084]: Section 390 was amended by section 140(1) of, and paragraph 93 of Schedule 20 to, the 1998 Act.

[^f00085]: 1933 c. 12.

[^f00086]: S.I. 2008/ 3093 . Regulation 9A was inserted by S.I. 2017/37.

[^f00087]: S.I. 2010/990, to which there are amendments not relevant to these Regulations.

[^f00088]: S.I. 2014/512, to which there are amendments not relevant to these Regulations.

[^f00089]: For the meaning of “alternative provision Academy”, see section 1C of the 2010 Act as inserted by section 53(7) of the Education Act 2011.

[^f00090]: For the meaning of “16 to 19 Academy”, see section 1B of the 2010 Act as inserted by section 53(7) of the Education Act 2011.

[^f00091]: 1992 c. 52; section 168A was inserted by section 43 of the Employment Act 2002 (c. 22).

[^f00092]: 1996 c. 18.

[^f00093]: S.I. 1977/500, amended by section 1 of the Employment Rights (Dispute Resolution) Act 1998 (c. 8) and S.I. 1996/1513, 1999/860, 1999/2024, 1999/3242, 2005/1541, 2006/594, 2008/960, 2014/469 and 2016/562.

[^f00094]: S.I. 1996/1513, amended by section 1 of the Employment Rights (Dispute Resolution) Act 1998 (c. 8) and S.I. 1999/3242, 2005/1541 and 2014/431.

[^f00095]: S.I. 2006/246, amended by S.I. 2010/93 and 2014/16.

[^f00096]: 1996 c. 14.

[^f00097]: 1999 c. 27.

[^f00098]: The relevant statutory instrument made under section 44 of the 2002 Act is S.I. 2012/674.

[^f00099]: 1974 c. 37.

[^f00100]: 2010 c. 15.

[^f00101]: S.I. 2012/1943.

[^f00102]: S.I. 2012/632.

[^f00103]: Costs in connection with dismissal or premature retirement may be chargeable to a maintained school’s budget share by virtue of section 37 of the 2002 Act.

[^f00104]: S.I. 2006/1751, as amended by S.I. 2007/603, S.I. 2010/1172, S.I. 2011/1625, S.I. 2012/1033, S.I. 2013/756, S.I. 2016/792 and S.I. 2021/852.

[^f00105]: The authority proforma tool is provided to local authorities to enable them to detail their schools’ block funding formulae. The 2023 – 2024 authority proforma tool can be found in a document entitled “Authority Proforma Tool (APT): purpose and process – instructions for local authorities for 2023 to 2024” published in December 2022 at www.gov.uk/government/publications/how-to-complete-the-authority-proforma-tool-apt-2023-to-2024/how-to-complete-the-authority-proforma-tool-apt-instructions-for-local-authorities-for-2023-to-2024 . A printed copy may also be inspected at the Department for Education, Sanctuary Buildings, Great Smith Street, London SW1P 3BT, upon request.

[^f00106]: Section 49(4) was amended by section 215 of, and paragraph 100 of Schedule 21 to, the 2002 Act.

[^f00107]: Section 519 was amended by section 140 of, and paragraph 139 of Schedule 2 to, the 1998 Act.

[^f00108]: 1974 c. 37.

Editorial notes