Guidance

How to complete the authority proforma tool (APT): instructions for local authorities

Published 16 December 2021

This guidance was withdrawn on 20 December 2022

This page has been withdrawn as it is out of date. Please see our latest guidance on the authority proforma tool (APT).

Applies to England

1. Introduction

Each year, local authorities are required to detail their schools block funding formulae in accordance with the arrangements set out by the Secretary of State (SoS) for Education.

The Education and Skills Funding Agency (ESFA) has developed the authority proforma tool (APT) to assist local authorities to model, and then confirm, how they plan to do this for the funding year. The current APT is an updated version of last year’s APT.

This guidance is designed to be used in tandem with ‘Authority proforma tool (APT): purpose and process - instructions for local authorities’.

1.1 APT changes

The main changes to the 2022 to 2023 APT are:

• an optional distance taper has been added to the calculation of sparsity funding. Where selected this taper entitles schools within 20% of the sparsity distance threshold to a proportion of the sparsity lump sum
• the teachers’ pay grant (TPG) and teachers’ pension employer contribution grants (TPECG) are now included in schools’ baselines. The submitted baselines and final baselines worksheets no longer require this information entering
• following the cancellation of the 2020 and 2021 primary school assessments and KS2 tests due to coronavirus (COVID-19) the low prior attainment (LPA) ratios for years 1, 2, 7 and 8 for each school will be updated using the corresponding school’s ratio for pupils in years 3 or 9 where available or, for new schools, the local authority average for years 3 or 9
• free school meals ever 6 (FSM6) eligibility is now calculated from the October 2021 census in line with the pupil premium
• from 2022 to 2023 national non-domestic rates (NNDR) will be paid by ESFA directly to billing authorities. Business rates will remain part of national funding formula (NFF) allocations to preserve funding for schools. However, as ESFA will be making business rates payments directly to billing authorities, less cash will need to be moved to schools. Both the local authorities’ and the local authority maintained schools’ budgets would continue to include the rates funding, even though ESFA would no longer pay over physical cash. It is important to note that the proposed change does not represent a change in funding levels but, instead, represents a more streamlined system which restructures the payment process of existing funding. You can read about the changes to the NNDR process in the changes to the payment process of schools’ business rates document
• local authorities are required to enter 2022 to 2023 NFF NNDR values taken from their 2021 to 2022 APT (total NNDR figures and used in the 2022 to 2023 NFF modelling) on the ‘Local Factors’ worksheet. Schools individual school budget (ISB) will include this indicative NFF NNDR figure, but the APT will also show the cash position i.e., the total dedicated schools grant (DSG) schools block (SB) allocation after the deduction of the 2022 to 2023 NFF NNDR figure
• local authorities also need to provide estimates of their 2022 to 2023 rates figures (on the new ’LA estimate of NNDR 22-23’ worksheet). This information will be used to aid the new process by providing useful estimates for comparisons for future years and does not affect 2022 to 2023 funding. This is just a transitional arrangement for 2022 to 2023 and these details will not need to be added in future years

1.2 How to complete the APT

This guidance is designed to support you to complete the APT on a step-by-step basis, with the option of following either a detailed or high level overview of these steps (depending on experience).

Please note that the APT has been created using Microsoft Excel to make it as user friendly and wide reaching (software wise) as possible.

2. High level overview

The following is a high level overview of how to complete and use the APT, designed as a reference guide for experienced users.

Please use the following alongside the individual worksheet descriptors in the Authority proforma tool (APT): purpose and process - instructions for local authorities publication.

Step 1 On receipt of the APT, you should initially review these 5 pre-populated worksheets:

• ‘Schools Block Data’
• ‘21-22 submitted baselines’
• ‘21-22 HN places’
• ‘Proposed Free Schools’
• ‘IndicativeNFF NNDR PaidBy ESFA’

The list of schools shown in the first 2 worksheets reflect, respectively, the maintained schools and academies in the local authority as at the date of the October school census, and the maintained schools and academies that were listed on the final local authority 2021 to 2022 APT return.

You should review the list of maintained schools and academies to be funded in the 2022 to 2023 financial year, as it may have changed since this data was compiled.

The ‘21-22 HN places’ worksheet shows the planned pre-16 high needs places submitted to ESFA as at March 2021. This data is for information purposes only and does not feed into any calculations in the APT.

The ‘Proposed Free Schools’ worksheet contains details of any free schools proposed to open after the October census date, but before the end of the 2022 to 2023 academic year.

The ‘IndicativeNFF NNDR PaidBy ESFA’ worksheet shows the rates figure entered on the 2021 to 2022 APT (see step 8).

Step 2

Next, you should use the ‘Inputs & Adjustments’ worksheet to record changes to the list of schools shown in the ‘Schools Block Data’ worksheet, where this data does not reflect the maintained schools and academies to be funded from the schools block in 2022 to 2023. The following should be recorded in the ‘Inputs & Adjustments’ worksheet:

• new schools to be added to the list
• closed schools to be removed from the list
• schools which have amalgamated or will amalgamate
• new academy conversions
• any schools listed on the ‘Proposed free schools’ worksheet

You can also use this worksheet to record where a school’s number on roll (NOR) data, or proportion of pupils to which the per pupil formula factors apply in the ‘Schools Block Data’ worksheet, are unrepresentative of the situation of the school in 2022 to 2023.

Step 3

Changes recorded in the ‘Inputs & Adjustments’ worksheet will automatically be reflected in the schools list shown down the left-hand side of the ‘Local Factors’ worksheet.

This schools list is also automatically replicated on all the other worksheets of the APT, so it is important that you review the list shown in the ‘Local Factors’ worksheet to ensure that it reflects the maintained schools and academies expected to be funded in 2022 to 2023. In many cases, entries on the ‘Inputs & Adjustments’ worksheet will change the order of the schools list on subsequent worksheets. If this is not updated first it can mean subsequent changes reorder the schools list and entries made against particular schools are no longer correct.

If the list is incorrect, you should record any changes in the ‘Inputs & Adjustments’ worksheet before entering any data in the ‘Local Factors’ worksheet.

The list of schools shown here is now referred to in this section as the ‘2022 to 2023 list’.

Step 4

You will need to populate the blue user input cells of the ‘Local Factors’ worksheet and you will also need to enter additional information relevant to each school, such as rates or agreed exclusions.

The above should be undertaken once all the required entries on the ‘Inputs & Adjustments’ worksheet have been completed.

The ‘Adjusted Factors’ worksheet will automatically display the numbers on roll and number of pupils eligible for each permitted pupil-led factor, based on information contained in the ‘Schools Block Data’, ‘Inputs & Adjustments’ and ‘Local Factors’ worksheets. No data entry is required here, but you may wish to review this worksheet when modelling different options.

Step 5

Next, review the ‘21-22 final baselines’ worksheet. Schools in the 2022 to 2023 list that are also shown in the pre-populated ‘21-22 final baselines’ worksheet are automatically populated with the 2021 to 2022 baseline data.

Step 6

In the blue user input cells, you will need to enter information relating to baselines for new schools that were entered on the ‘Inputs & Adjustments’ worksheet and also any amendments required from reviewing the ‘21-22 submitted baselines’ worksheet.

You have now entered all of the raw input data necessary to set the APT up for modelling different funding formula options.

Navigate to the ‘Proforma’ worksheet and enter your local authority’s schools block funding formula, including:

• the unit funding values, such as age-weighted pupil units (AWPUs)
• the indicators used to calculate factors, such as deprivation
• the lump sums

Step 7

Next, undertake the following:

• in the ‘De Delegation’ worksheet, enter the de-delegation unit values
• in the ‘Education Functions’ worksheet, enter the unit value for the education functions for maintained schools

Step 8

Navigate to the ‘New ISB’ worksheet which will display the resultant allocations for the individual schools in the local authority’s 2022 to 2023 list, including minimum funding guarantee (MFG) funding and capping/scaling.

New columns have been added for 2022 to 2023 to show the NFF NNDR allocation and the total funding for each school after this has been deducted.

Step 9

Review the ‘Validation’ worksheet and check that the current funding formula has passed the various data checks. Ensure that nothing has been entered in error or missed out.

The elements of this page which highlight whether you have failed to provide some required commentary can be ignored for modelling purposes.

Step 10

We anticipate that users will use and refer primarily to the ‘Local Factors’, ‘Proforma’, ‘De Delegation’, ‘New ISB’ and ‘Validation’ worksheets to explore and analyse different options for their 2022 to 2023 funding formulae.

Step 11

The ‘Commentary’, ‘School level SB’ and ‘Recoupment’ worksheets do not need to be used for modelling different funding formulae options for 2022 to 2023, although you may find them helpful.

The ‘Recoupment’ worksheet displays all the academies in the 2022 to 2023 list and allows you to estimate the amount of DSG funding that will be recouped by ESFA. The worksheet is predominantly populated (automatically) from data entered elsewhere in the APT, although you are still required to enter details of growth funding adjustments for the period April to August.

Step 12

When the modelling is complete, you should ensure that all applicable blue user input cells have been filled in. You should also ensure that you have completed the contact details in rows 5 to 7 of the ‘Cover’ worksheet and that all the checks in the ‘Validation’ worksheet have been passed.

For all validation checks to pass, you must include an explanation in the ‘Commentary’ worksheet, ‘Inputs & Adjustments’ worksheet and elsewhere, if you have included any additional factors.

Please also ensure that you delete any extra worksheets you may have added to the APT (for modelling purposes) and remove any macros you may have added (the data collection portal will not allow you to upload a macro enabled workbook). If you wish to provide further information then the files should be embedded on the ‘Commentary’ worksheet (see Annex E). You must also remove any links to external files before uploading the completed APT. If these actions are not carried out, a resubmission will be required.

Step 13

The ‘School level SB’ worksheet allows users to display the funding that an individual school will receive under the formula entered in the APT. There is also space for local authorities to include their logo or crest on this page and you may find it helpful for generating a summary of 2022 to 2023 funding, which you can then send to schools in your area.

For further details of the 2022 to 2023 funding arrangements, please refer to the Schools operational guide 2022 to 2023.

3. Detailed overview

The following is the detailed overview of how to complete and use the APT, designed as a reference guide for inexperienced users.

On receipt of the APT, it is recommended that you save a copy of this locally before you start to edit. This is so you have a backup of an unedited copy, should any corruptions occur. In addition, continue to save the workbook often so that you do not lose any edits you make along the way.

Once saved, open up the workbook and you will notice workbook ‘tabs’ along the bottom of the screen. Each worksheet has a colour which represents the following:

• yellow – non-editable/pre-populated
• blue – editable (this is where you will need to enter your data)
• purple – automatic calculation outputs/non-editable

Worksheets coloured blue or purple can contain both editable and non-editable cells and these will follow the same colour scheme listed above.

3.1 ‘Cover’ worksheet

This worksheet contains a lot of reference material and information on the rest of the workbook; however, you will observe that there are a number of blue cells between rows 2 and 17, some of which require your input.

In cell C5 enter your name (you can enter additional contact names in cells E5 and I5 as well).

In cell C6 enter your email address (if you have entered additional contact names, you should enter their email addresses in cells E6 and I6 as well).

In cell C7 enter your contact telephone number (if you have entered additional contact names, you should enter their contact telephone numbers in cells E7 and I7 as well).

You are now required to ‘select’ whether ‘political ratification’ has been completed in cell B12 – do this by checking the box next to the statement that reads, ‘By submitting this APT, I confirm that the appropriate political ratification has been completed’. If it has not been completed, you must enter a date when it will be done in cell C14.

In cell C14 please enter the date that political ratification will be completed if it has not already been done.

In cells C17 to E24 please enter contact details for each of the NNDR billing authorities within your local authority.

3.2 Pre-populated (reference) worksheet review

There are 5 pre-populated worksheets that require initial review, as the data inside will dictate your next actions. These worksheets cannot be edited. They are:

• ‘Schools Block Data’
• ‘21-22 submitted baselines’
• ‘21-22 HN places’
• ‘Proposed Free Schools’
• ’IndicativeNFF NNDR PaidBy ESFA’

You will need to review the lists of maintained schools and academies to be funded in the 2022 to 2023 financial year, found in each of these worksheets, as it may have changed since this data was compiled (from the October census).

3.3 ‘Schools Block Data’ worksheet

The list of schools and their associated values, as shown in the ‘Schools Block Data’ worksheet, denote both maintained schools and academies in the local authority area, as of the October 2021 school census.

3.4 ‘21-22 submitted baselines’ worksheet

In this worksheet, you’ll find the complete list of schools which were submitted by the local authority in last year’s APT return, and a snapshot of the final budget figures.

3.5 ‘21-22 HN places’ worksheet

This worksheet shows the planned pre-16 high needs places submitted to ESFA at March 2021. For maintained schools the data has been updated using the section 251 budget data for 2021 to 2022.

Note – this data is for information purposes only and does not feed into any calculations in the APT.

3.6 ‘Proposed free schools’ worksheet

This worksheet contains the details of any free schools proposed to open after the October census date, but before the end of the 2022 to 2023 academic year.

Dummy reference numbers have been included for each of the schools. If the actual reference number is known at the point the APT is completed use this instead when entering the school on the ‘Inputs & Adjustments’ worksheet.

3.7 ‘IndicativeNFF NNDR PaidBy ESFA’ worksheet

This worksheet contains details of the rates figures for each school taken from the 2021 to 2022 APT (and used in the 2022 to 2023 NFF calculations). The information should be used to complete column X of the Local Factors worksheet.

Please note that this is a locked worksheet and you cannot amend it.

3.8 ‘Inputs & Adjustments’ worksheet

Following review of the pre-populated worksheets and identification of where edits/additions need to be made, you will need to move onto entering data into the ‘Inputs & Adjustments’ worksheet.

You should use this worksheet to record changes to the list of schools shown in the ‘Schools Block Data’ worksheet if this list does not accurately reflect the maintained schools and academies to be funded in 2022 to 2023.

Note: the NOR figures for a school contained in the pre-populated ‘Schools Block Data’ worksheet are a direct headcount of pupils in reception ‘R’ to year 11, taken from the October school census. They will, therefore, include pupils in a high needs unit or resourced provision at the school. Similarly, the NOR figures for any school entered by users into the ‘Inputs & Adjustments’ worksheet, should include all pupils in years R to 11, including those who will be educated exclusively through a high needs place at the school.

The scenarios that can be selected from the dropdown list of column A in the ‘Inputs & Adjustments’ worksheet are:

• school closed prior to 1 April 2022
• new school opening prior to 1 April 2022
• new school opening on or after 1 April 2022
• new academy/free school
• amalgamation of schools by 1 April 2022
• conversion to academy status prior to 4 January 2022
• change in pupil numbers/factors
• other

Note that when you select an option from the dropdown list, one or more cells on that row will automatically change from greyed out to blue. This denotes that, as you have selected this particular reason, you may now need to complete the other blue cells on that row. If you omit any information, the calculations in the subsequent worksheets may be incomplete. This is not applicable for the ‘change in pupil numbers/factors’ selection where only changes should be recorded.

Points to note when completing

a) The instructions below have been written assuming you are starting at the first input for each scenario; therefore, if this is not the case, please use the next available blank row.

b) Subsequent worksheets in the APT are using the ‘LAEstab’ as a lookup reference, so you must ensure that you input those correctly. The ‘LAEstab’ must be 7 digits long.

c) If you need to create a temporary ‘LAEstab’ for a new school the first 3 digits must be the local authority number and the last 4 digits must be numeric. We would recommend the last 4 digits are 2 sequential digits followed by the final two digits of the funding year (if the local authority reference is 999 then 9990123 for the first new school and 9990223 for the second). Dummy references have been provided on the ‘FreeSchools’ worksheet where the actual is not known. You must avoid using valid reference numbers when entering dummy references.

d) When entering the ‘URN’ for a school, this must be 6 digits long.

e) If you need to create a temporary URN for a new school the first 3 digits must be the local authority number and we would recommend the last 3 digits are a single sequential digit followed by the final two digits of the funding year (if the local authority reference is 999 then 999123 for the first new school and 999223 for the second). Dummy references have been provided on the ‘FreeSchools’ worksheet where the actual is not known.

f) When entering updates to the number of pupils on roll, you must complete all of the columns ‘R’ to ‘AC.’ If there are no pupils in a category you must enter ‘0’. Do not leave cells blank. If you enter a change to pupil numbers which is a result of an additional year group being added or one being removed you must enter the number of year groups.

g) When entering an increase to the number of pupils at a school the number should be apportioned to reflect the proportion of the year the pupils will be at the school. The only exception to this is for a new school where the actual number of pupils should be entered on the ‘Inputs & Adjustments’ worksheet and the proportion of the year the school will be open for should be entered on the ‘Local Factors’ worksheet.

School closed (or that will close) prior to 1 April 2022

In cell A6, please select ‘school closed prior to 1 April 2022’ from the dropdown list.

Only select this option if a school appears in the ‘Schools Block Data’ worksheet but has since closed, or is due to close, prior to the start of the financial year 2022 to 2023 (prior to 1 April).

For schools closing during the 2022 to 2023 financial year (post-1 April) you should not record the closure in this worksheet and should instead adjust the opening/closing proportion for the school as appropriate in column O’ of the ‘Local Factors’ worksheet.

In cell G6, please enter the local authority establishment (LAEstab) number of the school.

In cell BO6, please provide a narrative to explain the changes.

No other entries are required.

New school opening prior to 1 April 2022

In cell A6, please select ‘New school opening prior to 1 April 2022’ from the dropdown list.

Only select the option for brand new maintained schools or for a school converting from the private sector. Do not select this option to record a new academy or free school.

In cell F6, please enter the Unique Reference Number (URN) of the new school (if this is not known, please create a temporary one).

In cell G6, please enter the local authority establishment number (LAEstab) of the new school (if this is not known, please create a temporary one).

In cell H6, please provide the new school’s name.

In cell I6, please select the new school’s phase.

In cell J6, please select the academy type.

You now need to enter details for all relevant pupil numbers and demographic information (see the Additional entries section).

New school opening on or after 1 April 2022

In cell A6, please select New school opening on or after 1 April 2022’ from the dropdown list.

Only select the option for brand new maintained schools or for a school converting from the private sector. Do not select this option to record a new academy or free school.

In cell F6, please enter the URN of the new school (if this is not known, please create a temporary one).

In cell G6, please enter the LAEstab of the new school (if this is not known, please create a temporary one).

In cell H6, please provide the new school’s name.

In cell I6, please select the new school’s phase.

In cell J6, please select the academy type.

You now need to enter details for all relevant pupil numbers and demographic information in cells K6 to BU6 (see the Additional entries section).

New academy or free school opening

In cell A6, please select ‘New academy/free school’ from the dropdown menu.

Please select this option if a new academy or free school (including a free school not opening in accordance with Section 6a of the Education and Inspections Act 2006 is planned to open.

In cell F6, please enter the URN of the new academy/free school (if this is not known, please create a temporary one).

In cell G6, please enter the LAEstab number of the new academy/free school (if this is not known, please create a temporary one).

In cell H6, please provide the new academy/free school’s name.

In cell I6, please select the new academy/free school’s phase.

In cell J6, please select the academy type.

You now need to enter details for all relevant pupil numbers and demographic information in cells K6 to BU6 (see the Additional entries section).

Amalgamation of schools by 1 April 2022

In cell A6, please select ‘amalgamation of schools by 1 April 2022’ from the dropdown menu.

This category should be selected if 2 or more academies have been amalgamated before or on 1 April 2022. This option should also be used where 2 or more maintained schools have been amalgamated into a single maintained school before or on 1 April 2022.

In cell B6, please enter the first predecessor school’s LAEstab. It is essential that the predecessor LAEstab is entered and is correct, so that the duplicate school does not appear in the lists in the subsequent worksheets of the APT.

In cell C6, please enter the second predecessor school’s LAEstab.

In cell D6, please enter the third predecessor school’s LAEstab where applicable.

In cell E6, please enter the fourth predecessor school’s LAEstab where applicable.

In cell F6, please enter the URN of the resulting school, even if the resulting school is keeping the URN of one of the existing schools (or enter a temporary number).

In cell G6, please enter the LAEstab of the resulting school, even if the resulting school is keeping the LAEstab of one of the existing schools (if this is not known, please create a temporary one.

In cell H6, please provide the new school’s name.

In cell I6, please select the new school’s phase from the dropdown list.

In cell J6, please select the academy type.

You now need to enter details for all relevant pupil numbers and demographic information in cells K6 to BU6 (see the Additional entries section).

Note: when inputting the data into columns K to BK for the resulting school, it is important that none of the cells are left blank. This is to ensure that the APT’s calculations of the school’s allocations are based on all relevant data. This is particularly critical if the resulting school has kept the LAEstab of one of its predecessors, as if there are any blank cells in columns K to BK, the APT will use the predecessor’s data from the ‘Schools Block Data’ worksheet.

For resulting schools with new LAEstabs, blank cells will be treated as zero.

Conversion to academy status prior to 4 January 2022

In cell A6, please select either ‘conversion to academy status prior to 4 January 2022’ from the dropdown menu.

This category should be selected to record a school that has converted to academy status prior to 4 January 2022, the merger of 2 or more maintained schools into an academy or the merger of an academy and a maintained school

All academies converting from 4 January 2022 onwards should not be recorded as such in the ‘Inputs & Adjustments’ worksheet and must be shown throughout the worksheet as the predecessor school.

In cell B6, please enter the first predecessor school’s LAEstab number. It is essential that the predecessor LAEstab is entered and is correct, so that the duplicate school does not appear in the lists in the subsequent worksheets of the APT. This is also true if the successor school will have the same reference as one of the predecessor schools.

In cell C6, please enter the second predecessor school’s LAEstab.

In cell D6, please enter the third predecessor school’s LAEstab.

In cell E6, please enter the fourth predecessor school’s LAEstab.

In cell F6, please enter the URN of the resulting school, even if the resulting school is keeping the URN of one of the existing schools (or enter a temporary number).

In cell G6, please enter the LAEstab of the resulting school, even if the resulting school is keeping the LAEstab of one of the existing schools (if this is not known, please create a temporary one.

In cell H6, please provide the new school’s name.

In cell I6, please select the new school’s phase from the dropdown list.

In cell J6, please select the resulting academy type.

You now need to enter details for all relevant pupil numbers and demographic information in cells K6 to BU6 (see the Additional entries section).

Note: when inputting the data into columns K to BK for the resulting school, it is important that none of the cells are left blank. This is to ensure that the APT’s calculations of the school’s allocations are based on all relevant data. This is particularly critical if the resulting school has kept the LAEstab of one of its predecessors, as if there are any blank cells in columns K to BK, the APT will use the predecessor’s data from the ‘Schools Block Data’ worksheet.

For schools with new LAEstabs, blank cells will be treated as containing the value of 0.

Change in pupil numbers/factors

In cell A6, please select ‘change in pupil numbers/factors’ from the dropdown menu.

Please select this option where a school is shown in the ‘Schools block data’ worksheet that is due to be funded for all or part of 2022 to 2023, but either:

• the NOR has changed since the October census
• the proportion for one or more of the indicators have changed since the October census, compared to the pre-populated data.

Note that ESFA approval is required for any variations in the NOR except for:

• new and growing schools, where estimated numbers are required by regulations
• when a local authority wishes to increase the numbers for a school whose admission limit has increased or where there has been a reorganisation

Further guidance on the circumstances under which local authorities can amend the pupil numbers or factor data for a school is given in Annex D.

Note: (with the exception of London fringe) although a number of cells turn blue to denote an entry is required, input is only required if a change is to be recorded. The APT’s formulae in the subsequent worksheets will automatically pick up the relevant data from the ‘Schools Block Data’ worksheet if no entry is made.

In cell F6, please enter the URN of the affected school.

In cell G6, please enter the LAEstab of the affected school.

In cell H6, please provide the affected school’s name.

In cell I6, please select the affected school’s phase.

In cell J6, please select the resulting academy type.

You now need to enter amended details for all relevant pupil numbers and demographic information in cells K6 to BU6 (see the Additional entries section).

Other

In cell A6, please select ‘Other’ from the dropdown menu.

Please select this option for any other reasons, which are not covered by the other selections.

When completing the details for this selection, please consult the guidance which best applies to the circumstances and also the comments in each column heading.

Additional entries

If the local authority is only partially within the London fringe area then in cell K6, please select whether the school is located in the London fringe:

• no = ‘1’
• yes = ‘1.0156360164’

Or

• the alternative value representing the area cost adjustment (ACA) differential: | Local authority | Multiplier | |—–|—–| | Buckinghamshire | 1.0179 | | Essex | 1.0343 | | Hertfordshire | 1.0310 | | Kent | 1.0373 | | West Sussex | 1.0574 |

Middle schools only – in cell L6, please select the number of primary year groups in the new school (this is used to calculate the lump sum). Note that if you leave this cell blank for a middle school, that school will not be given a lump sum.

Middle schools only – in cell M6, please select the number of secondary year groups in the new school (this is used to calculate the lump sum). Note that if you leave this cell blank for a middle school, that school will not be given a lump sum.

All schools (including middle schools) – in cell N6, please select the number of primary year groups in the new school.

All schools (including middle schools) – in cell O6, please select the number of secondary year groups in the new school.

In cell P6, please select the number of key stage 3 (KS3) year groups in the new school. This is used to calculate the minimum per pupil level of funding (MPPL).

In cell Q6, please select the number of key stage 4 (KS4) year groups in the new school (this is used to calculate the MPPL).

If you are recording any changes to pupil numbers you must complete all columns R to AC (including zeroes). You should also review the number of year groups in columns L to Q to ensure they correctly reflect the year groups populated.

In cell R6, please enter the total (sum of primary and secondary) number on roll (NOR) at the new school.

In cell S6, please enter the primary NOR (if applicable) at the new school.

In cell T6, please enter the reception NOR (if applicable) at the new school.

Note – this figure does not include reception uplift.

In cell U6, please enter the total NOR of year groups 1 to 6 at the new school.

Note – this figure will only be used for the calculation of the eligible proportion of pupils for the primary low prior attainment (LPA) factor.

In cell V6, please enter the total secondary NOR (sum of KS3 and KS4) at the new school.

In cell W6, please enter the total KS3 NOR (sum of year group 7, 8 and 9) at the new school.

In cell X6, please enter the total KS4 NOR (sum of year group 9 and 10) at the new school.

In cell Y6, please enter the year group 7 NOR at the new school.

In cell Z6, please enter the year group 8 NOR at the new school.

In cell AA6, please enter the year group 9 NOR at the new school.

In cell AB6, please enter the year group 10 NOR at the new school.

In cell AC6, please enter the year group 11 NOR at the new school.

In cell AD6, please enter the number of additional reception pupils at the new school between October and January that have been determined through the reception uplift calculation (see Annex B). This figure is not included in the ‘NOR reception’ figure (column ‘T’).

Note: please enter ‘0’ if there was a decrease.

In cell AE6, please enter the relevant factor proportion (0 to 1) of primary FSM (see Annex B) for the new school.

In cell AF6, please enter the relevant factor proportion (0 to 1) of primary FSM6 (see Annex B) for the new school.

In cell AG6, please enter the relevant factor proportion (0 to 1) of secondary FSM for the new school.

In cell AH6, please enter the relevant factor proportion (0 to 1) of secondary FSM6 for the new school.

In cell AI6, please enter the relevant factor proportion (0 to 1) of primary income deprivation affecting children index (IDACI) band G (see Annex B) for the new school.

In cell AJ6, please enter the relevant factor proportion (0 to 1) of primary IDACI band F (see Annex B) for the new school.

In cell AK6, please enter the relevant factor proportion (0 to 1) of primary IDACI band E (see Annex B) for the new school.

In cell AL6, please enter the relevant factor proportion (0 to 1) of primary IDACI band D (see Annex B) for the new school.

In cell AM6, please enter the relevant factor proportion (0 to 1) of primary IDACI band C (see Annex B) for the new school.

In cell AN6, please enter the relevant factor proportion (0 to 1) of primary IDACI band B (see Annex B) for the new school.

In cell AO6, please enter the relevant factor proportion (0 to 1) of primary IDACI band A (see Annex B) for the new school.

In cell AP6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band G for the new school.

In cell AQ6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band F for the new school.

In cell AR6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band E for the new school.

In cell AS6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band D for the new school.

In cell AT6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band C for the new school.

In cell AU6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band B for the new school.

In cell AV6, please enter the relevant factor proportion (0 to 1) of secondary IDACI band A for the new school.

The total proportion across IDACI bands A to G for each phase must equal 1.

In cell AW6, please enter the relevant factor proportion (0 to 1) of primary English as an additional language (EAL) for pupils in their first year in the English education system (EAL1—see Annex B) for the new school.

In cell AX6, please enter the relevant factor proportion (0 to 1) of primary EAL2 for the new school (for pupils in their second year in the English education system).

In cell AY6, please enter the relevant factor proportion (0 to 1) of primary EAL3 for the new school (for pupils in their third year in the English education system).

In cell AZ6, please enter the relevant factor proportion (0 to 1) of secondary EAL1 for the new school.

In cell BA6, please enter the relevant factor proportion (0 to 1) of secondary EAL2 for the new school.

In cell BB6, please enter the relevant factor proportion (0 to 1) of secondary EAL3 for the new school.

In cell BC6, please enter the relevant factor proportion (0 to 1) of looked after children (LAC – see Annex B) for the new school.

In cell BD6, please enter the relevant factor proportion (0 to 1) of low prior attainment (LPA – see Annex B) under the early years foundation stage profile (EYFSP—see Annex B) for the new school. The local authority average for year 3 is provided in cell BD2.

In cell BE6, please enter the relevant factor proportion (0 to 1) of secondary year group 7 LPA for the new school. The local authority average for year 9 is provided in cell BE2.

In cell BF6, please enter the relevant factor proportion (0 to 1) of secondary year group 8 LPA for the new school.

In cell BG6, please enter the relevant factor proportion (0 to 1) of secondary year group 9 LPA for the new school.

In cell BH6, please enter the relevant factor proportion (0 to 1) of secondary year group 10 LPA for the new school.

In cell BI6, please enter the relevant factor proportion (0 to 1) of secondary year group 11 LPA for the new school.

In cell BJ6, please enter the relevant factor proportion (0 to 1) of primary mobility (see Annex B) for the new school.

In cell BK6, please enter the relevant factor proportion (0 to 1) of secondary mobility for the new school.

In cell BL6, please enter the average distance (in miles) to the second nearest primary school from the new school.

In cell BM6, please enter the average distance (in miles) to the second nearest secondary school from the new school.

Note – for the sparsity funding, all middle and all-through schools are recorded in the secondary column.

The default entry will be ‘No’ as, generally, the figures in columns R to AC should reflect the actual pupil numbers expected at the school during the next year. However, it is understood that in some instances local authorities may provide a guaranteed level of funding based on their assessment of the number of pupils needed in particular year groups to make the new school viable. These estimated pupil numbers include an element of diseconomy costs. Therefore, if this is the case, please ensure that you select ‘Yes’ in cell BN6.

If no entries (other than ‘0’) have been made into columns R to AC then cell BN6 should be left blank.

In cell BO6, please enter a narrative for the addition of the new school.

If the entries made in any of the columns R to AC have been apportioned to reflect part-year attendance of the pupils at the new school, then:

• in cell BP6, enter ‘Yes’
• in cell BQ6, enter ‘No’
• in cell BR6, enter the number of months during the financial year the pupils will attend the new school (if you record these figures as days or weeks, please convert the amount to months)

We recommend entering these values as formulae. For example, if the pupils were present for 100 days then enter ‘=100/365’. This ensures that the proportion is not rounded.

Please note that apportioned pupil numbers should not be entered for schools opening during the year (unless the school is adding more pupils after the opening date). For new schools the pupil numbers are automatically apportioned when the opening/closing proportion is entered on the ‘Local Factors’ worksheet.

If the entries made in any of the columns R to AC have been apportioned to reflect multiple changes during the year, then:

• leave cell BP6 blank
• in cell BQ6, enter ‘Yes’
• leave cell BR6 blank

In this instance, please ensure you provide as much detail as possible in the comments, to enable ESFA to calculate the correct academic year pupil numbers.

In cell BS6, please enter the total (sum of primary and secondary) academic year NOR where apportioned financial year pupil numbers have been entered (columns R to AC) for the new school.

In cell BT6, please enter the academic year primary NOR where apportioned financial year pupil numbers have been entered (columns R to AC) for the new school.

In cell BU6, please enter the academic year secondary NOR where apportioned financial year pupil numbers have been entered (columns R to AC) for the new school.

You will observe that columns BW to CU have now been populated to calculate the total number on roll during the 2022 to 2023 academic year for the new school.

The academic year pupil numbers and the adjusted numbers are not used in any further calculations in the APT and are for validation purposes only.

Further action for new schools

Once all required cells in the ‘Inputs & Adjustments’ worksheet have been populated, you need to enter the proportion of the 2022 to 2023 financial year for which the new school will be open. Enter this into column O of the ‘Local Factors’ worksheet (see Annex B). Where a value other than 1 is entered we recommend entering the value as a formula (e.g., for a school open for 100 days you would enter it as ‘=100/365’).

Note – this figure will be given as 1.00 (indicating that the school is open for the whole of the year) by default, unless changed.

Note – you are required to complete the formula budget for all academies and free schools. Any pre-opening costs or funding for diseconomies of scale would normally come from the growth fund, although ESFA recognises that in some cases diseconomies costs are provided by guaranteeing funding for a particular number of pupils. The department will continue to fund pre-opening and diseconomies of scale costs for free schools which are not opening in accordance with section 6a of the Education and Inspections Act 2006.

3.9 Local Factors

Once the ‘Inputs & Adjustments’ worksheet has been edited to reflect any changes to the schools list/details of the schools, you will now need to address any local changes which may apply.

The list of schools (and associated details), as shown in columns L, M and N, are automatically populated from the data in the Schools Block Data and ‘Inputs & Adjustments’ worksheets.

Note – do not attempt to add any schools to this sheet. Any changes to the school list need to be recorded using the ‘Inputs & Adjustments’ worksheet.

Important – before entering any data here, check that the school list shown in columns L, M and N display the correct maintained schools and academies expected to be funded in the 2022 to 2023 financial year.

If, after having entered some data in the ‘Local Factors’ worksheet, you then record further adjustments in the ‘Inputs & Adjustments’ worksheet, the order of the ‘Local Factors’ schools list may have changed but the data you have entered in the blue cells will stay in the same place. As such, some or all of that data may now appear against the wrong school or academy.

The blue user-input cells in columns O, P and Q contain default values, which you will need to change if the default is not correct.

Note – when you select an option from the dropdown list in column Q one or more cells on that row will automatically change to blue. This denotes that, as you have selected this particular option you may now need to complete the other blue cells on that row. If you omit any information, the calculations in the subsequent worksheets may be incomplete.

Note – the instructions below have been written assuming you are starting at the first input for each scenario; therefore, if this is not the case please use the next available blank row.

Due to the potentially complex nature of the data entry rationale, the criteria and methodology for each column has been separated out from these instructions. These can be found in Annex B. Please refer to the details in Annex B when working though the below steps. In addition, only enter the following when changes are required.

In cell O6, this figure should be ‘1.00’ unless the school is opening or closing—in which case you should then enter the proportion of the 2022 to 2023 financial year for which the school will be open. We recommend you enter this as a formula. For example, if the school was open for 5 months then enter ‘=5/12’ to prevent rounding of the value.

In cell P6, please select from the dropdown list whether the school has opened in the last 7 years and has not yet reached its full number of year groups. This does not include existing schools which have just extended their age range or added a new phase. Where a school has a predecessor school, the date of opening is that of the predecessor school.

In cell Q6, please select whether the school has a special unit or resourced provision designated by the local authority for pupils with special educational needs (SEN), funded on the basis of places and top-up funding.

Note – other types of unit (for example, those for pupils with medical or behavioural needs who might otherwise be in alternative provision) should not be included as they are not normally funded on the same basis.

If you select ‘Yes’ in this cell, you will note that cells R6 to V6 now also require an entry.

In cell R6, please enter the total number of pre-16 high needs places in 2021 to 2022.

In cell S6, please enter the number of primary high needs places in the academic year 2021 to 2022, excluding those pupils who are not registered in that school or are in a nursery class.

In cell T6 please enter the number of KS3 high needs places in the academic year 2021 to 2022, excluding those pupils who are not registered in that school.

In cell U6 please enter the number of KS4 high needs places in the academic year 2021 to 2022, excluding those pupils who are not registered in that school.

In cell V6, please select the reason for the variance in 2021 to 2022 place numbers, compared to the information previously provided to ESFA as shown in the ’21-22 HN places’ worksheet (as the data for maintained schools is no longer collected the ‘21-22 HN places’ worksheet has been populated using the 2021 to 2022 section 251 budget data for those schools). The reasons are:

• places reserved for pupils not main registered at the school
• places reserved for nursery pupils
• places reserved for post-16 pupils
• new high needs unit opening mid-year
• existing high needs unit closing mid-year
• place numbers updated since the number previously supplied to ESFA
• other

If, you selected ‘new high needs unit opening mid-year’, ‘existing high needs unit closing mid-year’ or ‘other’, please ensure you provide further comments in cell AV6.

In cell W6, enter the actual cash value you wish to allocate for split site funding, with the adjustment for part-year funding taken into account.

In cell X6, enter the total rates figure from the 2021 to 2022 APT with any adjustment for part-year funding taken into account. The rates figure for all schools from the 2021 to 2022 APT are included on the ’IndicativeNFF NNDR PaidBy ESFA’ worksheet. If cell X6 is left blank, it will be treated as ‘0’.

In cell Y6, enter any necessary adjustments to account for any difference between the previously estimated 2021 to 2022 rates and the now known actual values (this can be a positive or negative value). If a value is entered in this cell, please also ensure a narrative is provided in cell AV6.

In cell Z6, please enter the actual value payable for 2022 to 2023 private finance initiative (PFI – see Annex B) with the adjustment for part-year funding taken into account. If left blank, it will be treated as ‘0’.

In cell AA6, please enter any necessary adjustments to account for any difference between the previously estimated 2021 to 2022 schools budget share (SBS) and the now known actual values (this can be a positive or negative value). If a value is entered in this cell, please also ensure a narrative is provided in cell AV6.

In cell AB6, please enter the additional lump sum (see Annex B) actual value payable, with the adjustment for part-year funding taken into account, for any schools which have merged during financial year 2021 to 2022.

Must have ESFA pre-approval – in cell AC6, please enter the additional sparsity (see Annex B) actual value payable—with the adjustment for part-year funding taken into account—for small sparse schools only.

In cells AD6 to AH6, please enter values as specified above.

In cell AI6, please enter the total of any entries in cells AD6 to AH6 not relating to premises costs.

Must have ESFA pre-approval – in cells AK6 to AO6, please enter values as specified above. All values can be positive or negative.

In cell AP6, please enter any newly delegated funding so that it can be excluded from the MFG baseline calculation. This value must be a positive value and if left blank it will be treated as ‘0’.

In cell AQ6, if you want to mirror the NFF please enter the total of all premises costs, excluding rates, to be removed from the MFG calculation.

This value can be a positive or a negative value; however, as it is subtracted from the MFG and SBS calculations, for a positive adjustment please enter the figure as a negative. Please also ensure that a narrative of the methodology used is provided in cell AV6.

In cells AR6 and AS6, please enter any further technical adjustments to be removed from the MFG and SBS calculations.

These values can be a positive or a negative value; however, as they are subtracted from the MFG, for a positive adjustment please enter the figure as a negative. Please also ensure that a narrative of the methodology used is provided in cell AV6.

In cell AV6, please provide a narrative for all entries made. Give as much detail as possible relating to methodologies, assumptions and rationale.

3.10 ‘LA estimate of NNDR 22-23’ worksheet

This worksheet has been added for 2022 to 2023 to allow you to enter details of the estimated rates bills, for example, an estimate based on the known changes to rateable values and taking into account the 2022 to 2023 multiplier. This information will be used to aid the new process by providing useful estimates for comparisons for future years. It does not directly inform provider level allocations for 2022 to 2023.

3.11 ‘Adjusted Factors’ worksheet

This worksheet automatically calculates the adjusted pupil numbers to be used in the final SBS calculations, outputted to the ‘New ISB’ worksheet.

The worksheet uses data drawn from the ‘Schools Block Data’, ‘Inputs & Adjustments’ and the ‘Local factors’ worksheets.

Please note that the worksheet is entirely populated using spreadsheet formulae. These formulae cannot be deleted or edited. You can click on any cell to view the formula used.

For 2022 to 2023 an optional distance taper has been introduced into the sparsity calculation. This taper mirrors the approach taken in the NFF and can be applied to the sparsity calculation even when the fixed or tapered calculation has been selected. The taper calculates a reduced sparsity entitlement for schools within 20% of the distance threshold. For example, a primary school which meets the average year group size criteria will receive a reduced sparsity lump sum if it has a sparsity distance less than 2 miles but greater than 1.6 miles. A primary school with a sparsity distance of 1.8 miles would receive 50% of the sparsity lump sum that they would receive if their sparsity distance was 2 miles or more and a primary school with a sparsity distance of 1.7 miles would receive 25% of the sparsity lump sum if their sparsity distance was 2 miles or more.

The distance taper can be selected on the ‘Proforma’ worksheet.

Two new columns (BO and BP) have been added to the ‘Adjusted Factors’ worksheet which show the level of any pupil number or distance taper used in the sparsity calculation.

The pupil number taper is unchanged from previous years but is now shown on the ‘Adjusted Factors’ alongside the new distance taper for clarity. If the fixed sparsity calculation is selected the pupil number taper will be either 0 or 1. If the NFF or tapered calculation is selected then the taper can take any value from 0 to 1. If the distance taper is selected then the taper can take any value from 0 to 1. If the distance taper is not selected the distance taper will be either 0 if the school is below the distance threshold or 1 if it is equal to, or above, the distance threshold.

The proportion of the sparsity lump sum a school will receive is calculated by multiplying both tapers. So, if a school has a pupil number taper of 0.5 and a distance taper of 0.5 then they will receive 25% of the lump sum allocated by the local authority (0.5 x 0.5 x sparsity lump sum). If either of the tapers is 0 then the school does not satisfy both criteria and is not eligible for sparsity funding.

The sparsity flag column is unchanged and shows if a school is entitled to sparsity funding. It does not show the taper that would be applied.

3.12 ‘21-22 final baselines’ worksheet

You will need to provide the 2021 to 2022 baseline information, where the data is missing from the ‘21-22 submitted baselines’ worksheet (including where you have added new schools/amalgamations). This is in addition to the 2021 to 2022 minimum funding guarantee (MFG) exclusions and adjustments to be used for the MFG calculations in the ‘New ISB’ worksheet.

Much of the data in this worksheet is pre-populated and automatically calculated (based upon entries you have made in the ‘Inputs & Adjustments’ worksheet), however, there are a few instances where manual input (in the blue cells) may be required.

Cell J6 states ‘21-22 baseline missing’

In cell O6, please enter the 2021 to 2022 number on roll (NOR—excluding the reception uplift figure) and with any adjustment for part-year funding taken into account.

In cell P6, please enter the actual 2021 to 2022 rates (see Annex B) with any adjustments for part-year funding taken into account.

In cell Q6, please enter the actual 2021 to 2022 post-MFG budget values with any adjustments for part-year funding and/or London fringe taken into account.

In cell T6, please enter the actual fraction for the part of the year 2021 to 2022 that the school was open. We recommend this is entered as a formula to prevent unwanted rounding. For a school that was open for 100 days you should enter =100/365.

In cell U6, please enter the adjusted additional lump sum (see Annex B) for schools amalgamating during financial year 2020 to 2021.

In cell V6, please provide a narrative for any changes which have been made and the rationale/methodology for these changes.

If there has been a change in your baseline figures

In cell O6, please enter the 2021 to 2022 number on roll (NOR—excluding the reception uplift figure) and with any adjustment for part-year funding taken into account.

In cell P6, please enter the actual 2021 to 2022 rates (see Annex B) with any adjustments for part-year funding taken into account.

In cell Q6, please enter the adjustment to the 2021 to 2022 post-MFG budget values with any adjustments for part-year funding and/or London fringe taken into account.

In cell T6, please enter the actual fraction for the part of the year 2021 to 2022 that the school was open. We recommend this is entered as a formula to prevent unwanted rounding. For example, for a school that was open for 100 days you should enter ‘=100/365’.

In cell U6, please enter the adjusted additional lump sum (see Annex B) for schools amalgamating during financial year 2020 to 2021.

In cell V6, please provide a narrative for any changes which have been made and the rationale/methodology for these changes.

Cell J6 states ‘please fill in columns O to U’

In cell O6, please enter the 2021 to 2022 number on roll (NOR—excluding the reception uplift figure) and with any adjustment for part-year funding taken into account.

In cell P6, please enter the actual 2021 to 2022 rates (see Annex B) with any adjustments for part-year funding taken into account.

In cell Q6, please enter the adjustment to the 2021 to 2022 post MFG budget values, with any adjustments for part-year funding and/or London fringe taken into account.

In cell T6, please enter the actual fraction for the part of the year 2021 to 2022 that the school was open. We recommend this is entered as a formula to prevent unwanted rounding. For a school that was open for 100 days you should enter ‘=100/365’.

In cell U6, please enter the adjusted additional lump sum (see Annex B) for schools amalgamating during financial year 2020 to 2021.

In cell V6, please provide a narrative for any changes which have been made and the rationale/methodology for these changes.

Cell J6 states ‘predecessor LAEstab missing’

This denotes that details of a school which has converted to academy status before 4 January 2022 have been entered in the ‘Inputs & adjustments’ worksheet, but the predecessor LAEstab number has not been provided in column B.

Please revisit the entry on the ‘Inputs & Adjustments’ worksheet and ensure an LAEstab is input (even if it has not changed post-conversion) and then columns J to N of the ‘21-22 final baselines’ worksheet should auto populate with the data.

In cell T6, please enter the actual fraction for the part of the year 2021 to 2022 that the school was open. We recommend this is entered as a formula to prevent unwanted rounding. For example, for a school that was open for 100 days you should enter ‘=100/365’. Please note that for an academy conversion a value of 1 should be entered if the predecessor school was open at the start of the year.

In cell U6, please enter the adjusted additional lump sum (see Annex B) for schools amalgamating during financial year 2020 to 2021.

In cell V6, please provide a narrative for any changes which have been made and the rationale/methodology for these changes.

MFG exemptions and technical adjustments

You must have prior approval from ESFA for all MFG exemptions. Technical adjustments do not require prior approval.

In cell W6, please enter any additional (infrastructure related) exceptions to be excluded from the MFG calculations. The value can be positive or negative; however, as it is subtracted from the MFG calculation, for a positive adjustment please enter the figure as a negative. Please also ensure that a narrative is provided in the relative section of the ‘Commentary’ worksheet.

In cells X6 to Z6, please enter any additional exemptions to be excluded from the MFG calculations. These values can be positive or negative; however, as it is subtracted from the MFG calculation, for a positive adjustment please enter the figure as a negative. Please also ensure that a narrative is provided in the relative section of the ‘Commentary’ worksheet.

In cell AA6, please enter any required technical adjustment relating to LAC funding to be excluded from the MFG calculation. Please also ensure that a narrative is provided in the relative section of the ‘Commentary’ worksheet.

In cells AB6 and AC6, please enter any additional technical adjustments to be excluded from the MFG calculation.

These values can be a positive or a negative; however, as it is subtracted from the MFG calculation, for a positive adjustment please enter the figure as a negative. Please also ensure that a narrative is provided in the relative section of the ‘Commentary’ worksheet.

3.13 Commentary

In this worksheet you will need to provide a detailed explanation if you have used any of the factors listed below. Specifically, ESFA need to be able to replicate any calculations that you have made, so providing precise and detailed methodology is essential.

When providing this detail, please ensure you specify if it relates to a maintained school or an academy.

If you have used a factor elsewhere in the workbook and do not provide comments in the relevant cell of this worksheet, an error will be presented in the ‘Validation’ worksheet.

2021 to 2022 approved MFG exclusions and technical adjustments

In cells C7 to C13, please provide a detailed narrative, if you have used either:

• ’21-22 approved exemption’ 1 to 4
• ’21-22 technical adjustment’ 1 to 3

In cells D7 to D13, please provide any supporting documentation for entries made in the adjacent cells of column C. For advice on adding attachments please see annex E.

In cells E7 to E13, please state ‘Yes’ if the entry made in the adjacent cells of column C relate to one-off funding.

2022 to 2023 approved exceptional circumstances

In cells C17 to C23, please provide a detailed narrative if you have used any of the ‘approved exceptional circumstances’ 1 to 7.

In cells D17 to D23, please provide any supporting documentation for entries made in the adjacent cells of column ‘C’.

In cells E17 to E23, please state ‘Yes’ if the entry made in the adjacent cells of column ‘C’ relate to one-off funding.

2022 to 2023 approved MFG exclusions and technical adjustments

In cells C20 to C28, please provide a detailed narrative, if you have used either:

• ’22-23 approved exemption’ 1 to 5
• ’22-23 technical adjustment’ 1 to 4

In cells D27 to D35, please provide any supporting documentation for entries made in the adjacent cells of column C (if applicable). For advice on adding attachments please see Annex E.

In cells E27 to E35, please state ‘Yes’ if the entry made in the adjacent cells of column C relate to one-off funding.

Additional factors/commentary

Criteria information required.

The guidance for the completion of the cells relating to the other factors shown in the workbook (and general explanatory supporting evidence) has been consolidated below as the completion is the same for each. Guidance text is embedded in the ‘Commentary’ worksheet, if required.

In cells C39 to C46, please provide a narrative (including methodology, calculations and assumptions) if you have used any of these factors.

In cells D39 to D46, please provide any supporting documentation for entries made in the adjacent cells of column ‘C’ (if applicable). For advice on adding attachments please see Annex E.

Please note that if growth, additional funding from the high needs budget or falling rolls funding is identified, criteria need to be supplied and these amounts should be included in the s251 budget statement in the appropriate lines (1.4.10 Pupil growth, 1.4.5 Falling Rolls Fund or 1.2.4 Additional high needs targeted funding for mainstream schools and academies).

In cells E39 to E46, please state ‘Yes’ (if applicable) if the entry made in the adjacent cells of column C relate to one-off funding.

3.14 Proforma

The ‘Proforma’ worksheet is designed for you to enter the high-level unit values for your funding allocation. You will notice that some of the cells are pre-populated calculation cells which are influenced by the data you will enter in this worksheet and also data inputted elsewhere in the worksheets.

Once all blue cells have been completed with the required data, you will then be presented with an overview of the local authority’s budget.

There are a number of sections which make up the ‘Proforma’ worksheet and it is likely you will move back and forth to edit the inputted data. However, the following guidance is written in a top-down manner.

Note – a number of cells in the proforma are related and are only populated ‘if applicable’. Therefore, although the following guidance may instruct an entry in a specific cell, if that cell is greyed out or not applicable to your local authority (for example, an entry regarding a middle school, whereas there are none in the local authority) then no data entry is required.

Cell D9 will be pre-populated with the minimum per pupil funding value for primary pupils. Prior approval is required in order to amend this value. Where a change is entered you must complete cell L9.

Cell E9 will be pre-populated with the minimum per pupil funding value for KS3 pupils. Prior approval is required in order to amend this value. Where a change is entered you must complete cell L9.

Cell G9 will be pre-populated with the minimum per pupil funding value for KS4 pupils. Prior approval is required in order to amend this value. Where a change is entered you must complete cell L9.

In cell L9, if you have altered the values in any of the cells D9, E9 or F9 please enter the reference number of the disapplication request which approved this change.

Pupil-led factors

In cell E12, please select from the dropdown list either ‘Yes’ or ‘No’ depending upon whether you wish to use reception uplift.

In cell E14, please enter the primary (years 1 to 6) age weighted pupil unit (AWPU), amount per pupil value.

In cell L14, please enter the primary (years 1 to 6) pupils’ notional SEN value.

In cell E15, please enter the KS3 (years 7 to 9) AWPU amount per pupil value.

In cell L15, please enter the KS3 (years 7 to 9) pupils notional SEN percentage.

In cell E16, please enter the KS4 (years 10 to 11) AWPU amount per pupil value.

In cell L16, please enter the KS4 (years 10 to 11) pupils notional SEN value.

In cell E18, please enter the primary FSM amount per pupil value.

In cell F18, please enter the secondary FSM amount per pupil value.

In cell L18, please enter the primary FSM notional SEN percentage.

In cell M18, please enter the secondary FSM notional SEN percentage.

In cell E19, please enter the primary FSM6 amount per pupil value.

In cell F19, please enter the secondary FSM6 amount per pupil value.

In cell L19, please enter the primary Ever6 notional SEN percentage.

In cell M19, please enter the secondary Ever6 notional SEN percentage.

In cell E20, please enter the primary IDACI Band F amount per pupil value.

In cell F20, please enter the secondary IDACI Band F amount per pupil value.

In cell L20, please enter the primary IDACI Band F notional SEN percentage.

In cell M20, please enter the secondary IDACI Band F notional SEN percentage.

In cell E21, please enter the primary IDACI Band E amount per pupil value.

In cell F21, please enter the secondary IDACI Band E amount per pupil value.

In cell L21, please enter the primary IDACI Band E notional SEN percentage.

In cell M21, please enter the secondary IDACI Band E notional SEN percentage.

In cell E22, please enter the primary IDACI Band D amount per pupil value.

In cell F22, please enter the secondary IDACI Band D amount per pupil value.

In cell L22, please enter the primary IDACI Band D notional SEN percentage.

In cell M22, please enter the secondary IDACI Band D notional SEN percentage.

In cell E23, please enter the primary IDACI Band C amount per pupil value.

In cell F23, please enter the secondary IDACI Band C amount per pupil value.

In cell L23, please enter the primary IDACI Band C notional SEN percentage.

In cell M23, please enter the secondary IDACI Band C notional SEN percentage.

In cell E24, please enter the primary IDACI Band B, amount per pupil value.

In cell F24, please enter the secondary IDACI Band B amount per pupil value.

In cell L24, please enter the primary IDACI Band B notional SEN percentage.

In cell M24, please enter the secondary IDACI Band B notional SEN percentage.

In cell E25, please enter the primary IDACI Band A amount per pupil value.

In cell F25, please enter the secondary IDACI Band A, amount per pupil value.

In cell L25, please enter the primary IDACI Band A notional SEN percentage.

In cell M25, please enter the secondary IDACI Band A notional SEN percentage.

In cell E27, please enter the LAC amount per pupil value (this is the same for primary and secondary pupils).

In cell L27, please enter the LAC notional SEN percentage value (this is a single rate for all pupils).

In cell D28, please select the relevant primary EAL level (or ‘N/A’ if this is not being used).

(Dependent upon cell D28 selection): in cell E28, please enter the primary EAL amount per pupil value.

(Dependent upon cell D28 selection): in cell L28, please enter the primary EAL notional SEN percentage.

In cell D29, please select the relevant secondary EAL level (or ‘N/A’ if this is not being used).

(Dependent upon cell D29 selection): In cell E29, please enter the secondary EAL amount per pupil value.

(Dependent upon cell D29 selection): In cell M29, please enter the secondary EAL notional SEN percentage.

In cell E30, please enter the primary mobility amount per pupil value.

In cell F30, please enter the secondary mobility amount per pupil value.

In cell L30, please enter the primary mobility notional SEN percentage.

In cell M30, please enter the secondary mobility notional SEN percentage.

In cell F32, please enter the primary low prior attainment (LPA) amount per pupil value.

In cell L32, please enter the primary LPA notional SEN percentage.

In cell F33, please enter the secondary LPA amount per pupil value.

In cell M33, please enter the secondary LPA notional SEN percentage (note that this is the same for all secondary LPA year groups).

Other factors

In cell F43, please enter the primary lump sum value.

In cell G43, please enter the secondary lump sum value.

In cell L43, please enter the primary lump sum notional SEN percentage.

In cell M43, please enter the secondary lump sum notional SEN percentage.

In cell F44, please enter the primary sparsity factor value.

In cell G44, please enter the secondary sparsity factor value.

In cell H44, please enter the middle school sparsity factor value.

In cell I44, please enter the all-through school sparsity factor value.

In cell L44, please enter the primary sparsity factor notional SEN percentage.

In cell M44, please enter the secondary sparsity factor notional SEN percentage.

In cell D46, please enter the primary sparsity factor distance threshold (miles) value. Please leave unchanged if you want to use the default values.

In cell G46, please enter the primary sparsity factor average year group threshold value. Please leave unchanged if you want to use the default values.

In cell J46, please select whether you want to apply the distance taper for the primary sparsity factor lump sum. The default value is ‘Yes’ and will apply the distance taper in the calculation.

In cell L46, please select whether you wish to use the ‘NFF’, tapered’, ‘or ‘fixed’ weighting for the primary sparsity factor lump sum. The default calculation method is ‘NFF’.

In cell D47, please enter the secondary sparsity factor distance threshold (miles) value. Please leave unchanged if you want to use the default values.

In cell G47, please enter the secondary sparsity factor average year group threshold value. Please leave unchanged if you want to use the default values.

In cell J47, please select whether you want to apply the distance taper for the secondary sparsity factor lump sum. The default value is ‘Yes’ and will apply the distance taper in the calculation.

In cell L47, please select whether you want to use the ‘NFF’, tapered’, ‘or ‘fixed’ weighting for the secondary sparsity factor lump sum. The default calculation method is ‘NFF’.

In cell D48 please enter the middle school sparsity factor distance threshold (miles) value. Please leave unchanged if you want to use the default values.

In cell G48, please enter the middle school sparsity factor average year group threshold value. Please leave unchanged if you want to use the default values.

In cell J48, please select whether you want to apply the distance taper for the middle school sparsity factor lump sum. The default value is ‘Yes’ and will apply the distance taper in the calculation.

In cell L48, please select whether you wish to use the ‘NFF’, tapered’, or ‘fixed’ weighting for the middle school sparsity factor lump sum. The default calculation method is ‘NFF’.

In cell D49, please enter the all-through sparsity factor distance threshold (miles) value. Please leave unchanged if you want to use the default values.

In cell G49, please enter the all-through sparsity factor average year group threshold value. Please leave unchanged if you want to use the default values.

In cell J49, please select whether you want to apply the distance taper for the all-through sparsity factor lump sum. The default value is ‘Yes’ and will apply the distance taper in the calculation.

In cell L49, please select whether you wish to use the ‘NFF’, tapered’, or ‘fixed’ weighting for the all-through sparsity factor lump sum. The default calculation method is ‘NFF’.

In cell L51, please enter the split sites notional SEN percentage.

In cell L52 please enter the rates notional SEN percentage.

In cell L53, please enter the PFI funding notional SEN percentage.

In cells L57 to L62, please enter the notional SEN percentages for the individual circumstances which relate to entries made in other worksheets.

In cell L66, please enter the additional funding to meet the minimum per pupil funding level notional SEN percentage.

In cell H69, please enter the MFG percentage. The value must be between 0.5% and 2%. Values outside this range can be entered but local authorities must have prior approval.

If you have entered a value less than 0.5% or greater than 2% in cell H69 you must provide the relevant disapplication reference in cell J70.

In cell J71, please select ‘Yes’ if you are applying capping and scaling factors (note that gains may be capped above a specific ceiling and/or scaled), otherwise, please select ‘No’.

In cell D72, please enter the capping factor percentage.

In cell G72, please enter the scaling factor percentage.

In cell L76, please enter the MFG net total funding (MFG + deductions from capping and scaling) notional SEN percentage.

In cell J79, please enter the high needs threshold value. Please only enter if an exceptional high needs threshold different to the £6,000 has been approved by ESFA.

In cell J80, please enter the value for any additional funding required from the high needs budget.

In cell J81, please enter the growth fund value.

In cell J82, please enter the falling rolls fund value.

Cell J85 will display the total funding allocated through the formula.

Cell J86 will display the percentage of the pre-MFG funding shown in cell J67 distributed through the basic entitlement.

Cell J87 will display the percentage of pupil-led funding included in the total pre-MFG funding shown in cell ‘J67’. This value must be at least 80% or a validation error will arise on the ‘Validation’ worksheet.

Cell J88 will display the ratio of primary and secondary funding.

Cell J90 will display the NFF NNDR allocation figure for 2022 to 2023 as entered on the ‘Local Factors’ worksheet. It will not include any prior year adjustments for 2021 to 2022 entered on the ‘Local Factors’.

Cell J91 will display the total amount of funding allocated through the APT after the deduction of the 2022 to 2023 NFF NNDR allocation.

3.15 ‘Block transfers’ worksheet

This worksheet compares the funding allocated through the APT against the schools block funding allocated in the DSG.

The worksheet also requires users to enter details of any funding transferred out of the schools block to any of the other DSG blocks, and details of any funding transferred into the schools block. If the net funding allocated through the APT is lower than the DSG schools block allocation details of the following must be provided:

• for transfers of up to 0.5% schools forum approval
• for transfers exceeding 0.5% or, if forum approval has not been received, details of the disapplication approving the transfer
• details of any block transfers agreed through the safety valve process

In cell C5, please enter the local authority’s DSG schools block allocation.

In cell C6, please enter the total 2022 to 2023 NFF funded NNDR.

These entries are required as the APT is released before the DSG is finalised.

Note – when the APT is returned, we will add the final DSG figure into cells I5 and I6 to ensure that the correct amount is used in the subsequent calculations.

Cell C7 will now show the total DSG SB allocation after the deduction of the 2022 to 2023 NFF funded NNDR.

If no transfers are made during the year, then no further entries are required although you do need to ensure that all available SB funding has been allocated (shown on row 27).

In cell C9, please enter the amount of any schools block funding transferred to the DSG central schools services block (CSSB).

In cell E9, please enter the details of how this transfer has been calculated (if you have entered a figure into cell C9).

In cell C10, please enter the amount of any schools block funding transferred to the DSG early years block.

In cell E10, please enter the details of how this transfer has been calculated (if you have entered a figure into cell C10).

In cell C11, please enter the amount of any schools block funding transferred to the DSG high needs block.

In cell E11, please enter the details of how this transfer has been calculated (if you have entered a figure into cell C11).

In cells B14 to B17, please enter the details of any other funding transferred into the schools block.

In cells C14 to C17, please enter the amount of any funding transferred into the schools block (adjacent to the relevant entries in cells B14 to B17, if applicable). Please note, we would not expect to see any DSG related amounts if the local authority has a DSG deficit position showing in their accounts and a subsequent unusable reserve.

These cells will be greyed out and excluded from any subsequent calculations unless an entry has been made into the relevant rows of column B.

In cells E14 to E17, please enter the details of how any transfers outlined in cells B14 to B17 and C14 to C17, have been calculated. You must include details of any transfers in from previous years underspends, or from reserves.

If an authority with a DSG deficit wishes to use general funds to eliminate any part of the deficit, or otherwise to add general funds to its schools’ budget, it must apply via a disapplication to the Secretary of State for permission. In cells E14 to E17 please provide the reference number for the disapplication agreeing to the transfer from general funds to the schools block.

These cells will be greyed out and excluded from any subsequent calculations unless an entry has been made into the relevant rows of column B.

Rows 22 to 25 will be pre-populated to show the relevant amount of funding. Row 23 has been added this year to show the total 2022 to 2023 NFF NNDR entered on the Local Factors worksheet. As this amount is deducted when comparing the amount of funding allocated through the funding formula the total amount will not affect that comparison.

Cell C27 should balance to £0, ensuring that all funding available has been allocated.

In cell E29, please provide one of the following, if there is a deficit showing in cell C29:

• a reference number for the disapplication agreeing the difference between the funding allocated and the DSG schools block total
• details of schools’ forum approval of any difference up to 0.5%

3.16 ‘De Delegation’ worksheet

This worksheet is used to record instances where allowable budgets are handed back to the local authority by maintained schools to be funded centrally.

For the purpose of de-delegation, please note that:

• middle-deemed and all-through schools have de-delegation calculated on both their primary and secondary pupil numbers
• academies are not included and will have a de-delegation value of £0.00

Two tables are present on the worksheet, the ‘De-delegation unit value input table’ and the ‘school-level de-delegation table’. Users can only make entries in the unit value input table and these entries feed into the calculations in the school level table.

In cells F8 to W24, please enter the relevant primary and secondary unit rates against the appropriate indicators (depending on the de-delegation agreements). The insurance category (column J) should not be used for any providers becoming members of the department’s local authority maintained schools risk protection arrangement (RPA) scheme. New members for the 2022 to 2023 financial year should be logged using the online RPA portal. DSG deductions are calculated including nursery and post-16 pupil numbers which are not included in the APT and so de-delegations would be inaccurate.

In cells F26 to W26, please enter the relevant percentages for the appropriate indicators.

3.17 Education Functions

This worksheet collects data on the services relating to maintained schools which local authorities can fund from the maintained school budget shares (subject to agreements).

In cell E6, please enter the single per pupil rate for pupils aged 5 to 16 years old for all mainstream maintained schools. Note that this applies to maintained schools only, therefore academies shown in the list will display ‘£0’ in column F.

3.18 New ISB

This worksheet compiles all of the data you have inputted into the APT so far and provides a breakdown of the individual school budget (ISB) for each school moving into the next financial year.

No user input is required/possible here.

For 2022 to 2023, 2 new columns have been added to show the 2022 to 2023 NFF NNDR allocation and the cash amount allocated to each school after the NFF NNDR has been deducted. The NFF NNDR figure does not include any prior year adjustments.

3.19 School level SB

This worksheet allows you to view the funding that a selected school will receive under the formula entered in the APT.

In cell C9, please select from the dropdown to select, or manually enter, the LAEstab of the school which you would like to view the budget breakdowns for.

The indicative 2022 to 2023 NNDR figure has been added in row 76 and the total funding after this has been deducted is shown on row 77.

The worksheet is automatically populated using formulae and therefore, other than cell C9, the worksheet cannot be edited. However, this worksheet has no other protection applied so you will have scope to adjust and tailor it to your needs.

For example, you can:

• add rows
• delete rows (that do not contain purple cells)
• adjust row heights
• add columns
• delete columns (that do not contain purple cells)
• adjust column widths

The print range is pre-set to print both tables shown on this sheet, but you can also adjust this if required.

There is also space for you to include the local authority’s logo or crest on this page. You may find the worksheet helpful for generating a summary of the 2022 to 2023 funding, which can then be published on the local authority’s/school’s intranet or sent to schools in the local authority.

3.20 Recoupment

This worksheet estimates the amount to be recouped for all academies that are open prior to 4 January. This cut-off date is set to make sure that only known conversions are recorded and also to ensure consistency across local authorities. Columns D to G are automatically populated with the list of academies and their post-MFG budgets after deduction of the schools NFF NNDR, calculated in the ‘New ISB’ worksheet.

In cell H6, please enter the amount of growth funding paid between March and September (if applicable) to be excluded from the total recoupment amount.

In cell I6, please enter the amount of growth funding paid between April and August (if applicable) to be excluded from the total recoupment amount.

In cell J6, please enter a complete narrative explaining the justification for any amounts entered in H6 and/or J6 (if applicable).

Please note that the recoupment figures calculated in this sheet are provisional and are subject to change. ESFA will write to each local authority by the end of April 2022 to provide the final recoupment amounts, for all academies that will have opened by 31 March 2022.

3.21 Post-16 infrastructure changes

This worksheet has been included for local authorities to tell us about any infrastructure changes happening in maintained schools so that we can calculate 16 to 19 revenue funding allocations for academic year 2022 to 2023.

Infrastructure changes often require us to adjust individual school allocations. We need to know about these now so that we can calculate and deliver accurate 16 to 19 revenue funding allocations by March 2022 and avoid late notification to schools of budget changes.

Any changes in academy sixth forms that you are aware of should also be entered here. We will use your information to confirm these with the regional school commissioner responsible for approving significant changes with academies.

In cell D5, D6 and D7 you should enter contact details for the person responsible for this information.

Cell C9 will contain the default entry of ‘Yes’ indicating that there are no changes to report. If you are aware of any changes occurring in 2022 to 2023 you should select No. This will allow entries to be made in the 3 tables.

The first table should be used to enter details of any new sixth forms opening during the year and the second table should be used for entering details of sixth form closures. The third table is used to report details of any schools with sixth forms which are expected to merge during 2022 to 2023.

3.22 Validation

Although the ‘Validation’ worksheet is completely automated and no user input is required, it is important that you review this worksheet once all others have been populated as it will indicate where any errors have been found.

The ‘Validation’ worksheet is there to help the local authority ensure that the data has been entered correctly. Failed checks on the ‘Validation’ worksheet will not prevent submission of the proforma; however, a proforma submitted with failed checks is highly likely to require re-submission.

4. Submitting the APT to ESFA

Each local authority is issued with a unique username and password for access to the portal where the APT is submitted.

Guidance on how to use the portal is available on the front-page following sign in.

4.1 Contact information

Any questions or queries about the APT and how it works, including requests for the password to open your APT file or access to the portal, should be made to:

APTsubmissions.QUESTIONS@education.gov.uk

5. Annex A: factors

5.1 Basic per pupil led funding

The first level to the building blocks of funding is basic per pupil funding.

This factor is compulsory.

This factor assigns funding on the basis of individual pupils, with the number of pupils for each school or academy taken from the October census data.

Funding is allocated according to an AWPU which means that there is a single rate of funding attracted per pupil, with an amount that varies dependant on the age category of that pupil (see below).

Local authorities can choose to increase the pupil number count for schools with higher reception pupil numbers in the January 2021 census than the October 2020 census. As ESFA does not include reception uplift in the NFF, local authorities currently using a reception uplift factor should consider whether to do so in 2022 to 2023. However, schools with reception uplift will not be financially disadvantaged in the NFF calculations, as the funding will remain in their baselines.

Basic entitlement

Basic entitlement funding is allocated as an amount per pupil, dependant on what age category that pupil falls into. The following is the current funding attracted by each category:

• primary age pupils (R (aged 4 or over) to Y6) must be a minimum of £2,000
• KS3 (KS3 = Y7, Y8 and Y9) must be a minimum of £3,000
• KS4 (KS4 = Y10 and Y11) must be a minimum of £3,000

Note that KS3 and KS4 can have different rates.

5.2 Additional needs funding

The next level of funding to be considered is dependent upon the individual circumstances of the pupils, which covers a number of variables.

There are 4 overarching factors in this section, however deprivation is made up of a number of measures.

A pupil may attract funding for one, none or a number of these factors and sub factors.

5.3 Deprivation

This factor is compulsory.

As it is recognised that pupils from lesser economic positions can benefit from additional educational support, the deprivation factor is used by local authorities to help to bridge any resulting educational gap.

Under the deprivation heading, there are 3 measures of deprivation which the local authority can choose to use:

1. FSM
2. FSM6
3. income deprivation affecting children index

5.4 Free school meals (FSM)

Pupils who are eligible for FSM as taken from the October census.

5.5 Free school meals Ever 6 (FSM6)

Pupils who have been eligible for FSM in any of the last 6 years as taken from the October census.

5.6 Income deprivation affecting children index (IDACI)

The IDACI element of the deprivation factor is based on the IDACI dataset for 2019, which is published by the Ministry for Housing, Communities and Local Government (MHCLG). IDACI is a relative measure of socio-economic deprivation—an IDACI score is calculated for an LSOA (lower super output area, an area with typically about 1,500 residents) based on the characteristics of households in that area. The IDACI score of a given area does not mean that every child living in that area has particular deprivation characteristics—it is a measure of the likelihood that a child is in a household experiencing relative socio-economic deprivation. LSOAs are ranked by score, from the most deprived LSOA, with the highest score, to the least deprived LSOA.

The IDACI measure uses 7 bands (A to G, where A is the most deprived) and different unit values can be attached to each of the 6 bands A to F. Different unit values can also be used for primary and secondary schools in each band.

5.7 Low prior attainment

This factor is optional.

The LPA factor acts as a proxy indicator for low level, high incidence, special educational needs and is measured as such for primary and secondary pupils:

• primary pupils identified as not achieving the expected level of development in the early years foundation stage profile (EYFSP) – please see the schools operational guide: 2022 to 2023
• secondary pupils not reaching the expected standard in KS2 at either reading, writing or maths – an individual weighting is applied to each year group from years 7 to 10 when calculating secondary LPA to reflect the higher levels of low attainment under the new testing regime

Following the cancellation of 2020 and 2021 school assessments due to COVID-19, no LPA data will be available for pupils in years 1, 2, 7 or 8. The SB uses each school’s years 3 and 9 to fill these gaps. Where this information is not held, because the school did not have pupils in these year groups, the local authority average for years 3 or 9 is used. For new schools entered on the ‘Inputs & Adjustments’ worksheet, local authorities should use the local authority average, or where this is not representative, a local estimate.

5.8 English as an additional language (EAL)

This factor is optional.

Pupils identified in the October census with a first language other than English, may attract funding for up to 3 years after they enter the statutory school system.

Local authorities can choose to use indicators based on 1, 2 or 3 years and there can be separate unit values for primary and secondary.

ESFA has used 3 years in the NFF; local authorities should consider this when setting their local formula.

5.9 Mobility

This factor is optional.

This factor pertains to pupils who first appeared in either the January or May census return at their current school (the one they are on roll at in the October census) in 2018 or later. For pupils in reception only, those first appearing at their current school in the May census are classed as mobile.

As a result of the cancellation of the summer 2020 census, any pupil with an entry date at the current school which is after the spring 2020 census date (16 January 2020) and up to, and including, the summer 2020 census date (21 May 2020) will be classed as mobile.

Mobility has a 6% threshold and funding is allocated based on the proportion above the threshold (for example, a school with 8% of pupils classed as mobile will attract pupil mobility funding for 2% of pupils). For schools with pupils in both primary and secondary phases the threshold is applied to each phase separately.

5.10 Minimum level of per pupil level of funding (MPPL)

This factor is compulsory.

The minimum per pupil funding rates will be the same as in the 2022 to 2023 NFF:

• £4,265 for primary schools
• £5,525 for secondary schools

The secondary school rate is only applicable to schools with pupils in years 7 to 11 as it is based on KS3 and KS4 year groups:

• £5,321 for KS3 year groups
• £5,831 for KS4 year groups

The calculation is shown below:

((number of primary year groups × £4,265) + (number of KS3 year groups × £5,321) + (number of KS4 year groups × £5,831)) divided by total number of year groups

The minimum per pupil funding calculation uses the number of primary, KS3 and KS4 year groups which will have pupils in them in the upcoming year. To ensure the per pupil amounts are calculated correctly, care must be taken when adding or amending any schools on the ‘Inputs & Adjustments’ worksheet to ensure that the correct year groups are recorded.

The APT is pre-populated with the primary, KS3 and KS4 rates. The secondary rate is calculated using the KS3 and KS4 rates (a secondary school will therefore only receive the rate of £5,525 if it has all 5 year groups present in the upcoming year). If you have received agreement to vary the default per pupil rates through the disapplication process, you should enter the agreed alternative primary, KS3 and KS4 rates in cells D9, E9 and G9. You must also enter the disapplication reference number in cell L9. An APT will not be accepted where the minimum per pupil funding rates have been adjusted but no disapplication details have been provided.

No school will have their allocation reduced below the minimum per pupil level as a result of capping and scaling.

5.11 School-led funding

The next level of funding to be considered is dependent upon the individual circumstances of the school, which again covers a number of variables.

There are 4 overarching factors in this section; however, ‘premises’ is made up of 4 individual measures.

A school may attract funding for one, none or a number of these factors and sub factors.

5.12 Lump sum

This factor is optional.

Local authorities can set a flat lump sum for all phases or differentiate the lump sums for primary and secondary.

Local authorities should give middle schools a weighted average, based on the number of year groups in each phase.

The maximum lump sum per school is £175,000, including any London fringe uplift.

All-through schools will receive the secondary lump sum.

5.13 Sparsity

This factor is optional.

Schools that are eligible for sparsity funding must meet the following 2 criteria:

• they are located in areas where pupils would have to travel beyond a distance threshold to an alternative school, should that school close
• the average year group size (calculated as the APT-adjusted pupil count divided by number of year groups present at the school) is below the tapered year group threshold

The distance threshold is:

• secondary schools = 3 miles
• all other schools = 2 miles

For 2022 to 2023 an optional distance taper has been added. Where chosen, this taper applies funding to those schools just below the distance threshold. The taper allocates an amount between the full lump sum to schools on or above the distance threshold, down to 0 to those schools 20% below the threshold.

For example, a primary school will receive a proportion of the sparsity lump sum set by the local authority if it has a sparsity distance between 1.6 and 2 miles (where the default distance threshold of 2 miles is not changed).

A school’s size is defined by the average year group size, as follows:

• primary = 21.4
• secondary = 120.0
• middle = 69.2
• all through = 62.5

Local authorities can also choose to increase the sparsity distance threshold and decrease the average year group threshold.

This factor allows for a pupil number sparsity taper to mirror the methodology used as part of the NFF.

For the following 3 examples the NFF sparsity calculation is used to calculate the lump sum the school would receive based on its average year group size. The examples are for primary schools using the default year group threshold of 21.4 pupils and the default main distance threshold of 2 miles. The schools have an average year group size of 16.05 pupils. Using a sparsity lump sum amount of £55,000 (the value used in the NFF) this would mean that, if their sparsity distance exceeded the main distance threshold, the schools would receive £27,500. The calculation is (1 – ((16.05 – 10.7) / 10.7)) * 55,000. Each of the example schools has a sparsity distance lower than the main distance threshold so would not receive any sparsity funding if the distance taper was not used.

Example 1: School A’s sparsity allocation through the NFF calculation

School phase	Average number of pupils per year group	Average distance to second nearest compatible school	Eligible for sparsity funding?
Primary	16.05	1.9 miles	Yes

The school is eligible for sparsity funding through the distance taper threshold as its sparsity distance is greater than the distance taper threshold but less than the main distance threshold.

The distance taper threshold is applied after the average year group size taper has been applied so the maximum sparsity lump sum is £27,500. The distance taper methodology is applied as (1 – ((2 – 1.9) / (2 – 1.6))) * 27,500. In this example, the school will therefore receive £20,625. This is 75% of the amount the school would have received had its sparsity distance been equal to or greater than the main distance threshold.

Example 2: School B’s sparsity allocation through the NFF

School phase	Average number of pupils per year group	Average distance to second nearest compatible school	Eligible for sparsity funding?
Primary	16.05	1.7 miles	Yes

School B is eligible for sparsity funding through the distance taper threshold as its sparsity distance is greater than the distance taper threshold but less than the main distance threshold.

The distance taper threshold is applied after the average year group size taper has been applied so the maximum sparsity lump sum is £27,500. The distance taper threshold is applied as (1 – ((2 – 1.7) / (2 – 1.6))) * 27,500. In this example, the school will therefore receive £6,875. This is 25% of the amount the school would have received had its sparsity distance been equal to or greater than the main distance threshold.

School B would receive less than School A due to being further away from the main distance threshold.

Example 3: School C’s sparsity allocation through the NFF

School phase	Average number of pupils per year group	Average distance to second nearest compatible school	Eligible for sparsity funding?
Primary	16.05	1.6 miles	No

School C is not eligible for sparsity funding through the distance taper threshold as its sparsity distance is not greater than the distance taper threshold.

The distance taper threshold is applied after the average year group size taper has been applied so the maximum sparsity lump sum is £27,500. The distance taper threshold is applied as (1 – ((2 – 1.6) / (2 – 1.6))) * 27,500. In this example, the school will therefore not receive any sparsity funding.

5.14 Premises factors

The following measures fall under the heading of premises as they relate to the physical buildings which make up the school and their upkeep.

5.15 Rates

This factor is optional.

Rates will be paid by ESFA directly to billing authorities on behalf of all maintained schools and academies from April 2022 onwards. Local authorities no longer need to fund rates at their estimate of the actual cost and will no longer allocate rates payments to schools. This is new for 2022 to 2023 (and a change from previous years).

Local authorities will no longer need to adjust rates with additional allocations to schools during the financial year 2022 to 2023 (outside of the funding formula).

Local authorities can claim for any adjustments to schools’ rates bills for 2021 to 2022 for the final time in the 2022 to 2023 APT. Final adjustments will be received by local authorities in the 2023 to 2024 NFF allocations, with payments reflected in their DSG from April 2023. This is to ensure local authorities that wish to claim back money for historic adjustments arising in 2021 to 2022, are correctly funded.

After this point, all adjustments will be submitted by billing authorities using the ESFA portal, with reconciliation payments made directly to billing authorities in year.

Local authorities should record rates data for the final time in the 2022 to 2023 APT on the ‘LA estimate of NNDR 22-23’ worksheet, as this information will be used to aid the new process by providing useful estimates for comparisons for future years.

5.16 Private finance initiatives (PFI)

This factor is optional.

The purpose of this factor is to support schools that have unavoidable extra premises costs, because they are a PFI school, and to cover situations where the PFI ‘affordability gap’ is delegated and paid back to the local authority.

Methodologies for funding PFI schools must be objective and clear, and capable of being replicated for academies. The purpose of the factor is to fund the additional costs to a school of being in a PFI contract, not necessarily the full cost, as some costs may be covered within other factors

5.17 Split sites

This factor is optional.

The purpose of this factor is to support schools that have unavoidable extra costs because the school buildings are on separate sites.

Allocations must be based on objective criteria for the definition of a split site and for how much is paid.

5.18 Exceptional Circumstances

This factor is optional.

Local authorities can apply to ESFA to use exceptional factors relating to school premises (for example, for rents or joint-use sports facilities) with the following criteria:

• exceptional factors must relate to premises costs
• local authorities should only submit applications where the value of the factor is more than 1% of a school’s budget and applies to fewer than 5% of the schools in the local authority’s area
• local authorities can use exceptional premises factors used in 2021 to 2022 (for pre-existing, and newly qualifying schools) in 2022 to 2023, if the qualification criteria are still met

5.19 Growth

This factor is optional

Local authorities can choose to set aside an amount of funding to cover basic need growth in their authority.

An amount, which is agreed with the schools forum, is top sliced from the SB. Local authorities allocate out this funding to schools and academies that meet stringent growth funding criteria, which must be agreed by the schools forum.

5.20 Geographic funding

The final level of funding to be considered is dependent upon the geographical location of the school.

5.21 London fringe

This factor is optional (and only applies to Buckinghamshire, Essex, Hertfordshire, Kent, and West Sussex).

The purpose of this factor is to support schools within local authorities that are partly outside of the London fringe area, but the school is within the fringe. This is because ESFA recognises that these schools will attract higher running costs.

If used, the multiplier is applied to the 6 pupil-led factors, the lump sum factor and also the sparsity factor.

In the APT, the factor can be applied in one of 2 ways:

1. As a multiplier of 1.0156
2. As a multiplier of the differential of the area cost adjustment of fringe and non-fringe zones in the local authority

This mirrors the NFF calculation—the differentials are:

• Buckinghamshire: 1.0179
• Essex: 1.0343
• Hertfordshire: 1.0310
• Kent: 1.0373
• West Sussex: 1.0574

6. Annex B: local factors

Although the ‘Local Factors’ worksheet is outlined in Authority proforma tool (APT): purpose and process - instructions for local authorities and also in the overview section of this document, due to the complexity of some of the rationale behind the data entry, this annex has been created to avoid saturation.

6.1 Opening/closing (column O)

This should be ‘1.00’ unless the school is opening or closing during the year, in which case you should enter the proportion of the 2022 to 2023 financial year the school will be open, preferably as a formula as in the example below.

For example:

A school that is closing at the start of September would need to be funded from April to August, which would be 5 out of 12 months of the year. Please therefore enter this in the APT as a formula (=5/12).

Attempting to enter values greater than 1 or equal to 0 will result in an error message.

The default option is ‘1.00’ and ‘0’ is not permitted as an option here, because schools closing prior to April 2022 and open for 0% of the year should be recorded as a closure on the ‘Inputs & Adjustments’ worksheet and will not appear on the ‘Local Factors’ worksheet.

6.2 New and growing school (column P)

Please select ‘Yes’ or ‘No’ from the dropdown list to indicate whether the school has opened during the past 7 years and has not yet reached its full number of year groups.

Please note, this does not include existing schools which have just extended their age range or added a new phase. Where a school has a predecessor school, the date of opening is that of the predecessor school.

The default option is ‘No’. Any capping and scaling reductions specified in the formula are not applied to growing schools and estimated numbers must be used.

6.3 High needs unit (Column Q)

Please select ‘yes’ or ‘no’ from the dropdown list to indicate whether the school has a special unit or a resourced provision designated by the local authority for pupils with SEN, funded on the basis of places and top-up funding.

Other types of unit, for example those for pupils with medical or behavioural needs who might otherwise be in alternative provision, should not be included as they are not normally funded on the same basis. The default option is ‘no’ and columns R to V are greyed out.

6.4 Pupils in high needs places (columns R to U)

The total number of high needs places should be entered in column R and the number of places occupied by pupils on the roll of the school are required in columns S to U. This information will determine the rate of place funding ESFA will allocate to mainstream academies and free schools, and the equivalent deduction that will be made to the local authority’s high needs block of the DSG.

Places occupied by pupils on roll at the school at the time of the school census return are funded at £6,000 per place. Places not filled by pupils on the school roll at the time of the census count are funded at £10,000. This means ESFA need to know how many of the places in a unit are occupied by pupils on the school’s roll, to determine whether the place is funded at £6,000 or £10,000. It is important that authorities fill this in accurately as ESFA will use this information to fund academies with units.

The SBS is determined on the basis of the total number of pupils on roll at the school, including those in resourced provision and special units. The lower £6,000 funding rate for places occupied by these pupils reflects the additional per pupil funding that they attract through the school’s formula. Where a place is not occupied by a pupil who is recorded with sole or dual (main) enrolment status in the school census, the place funding rate is £10,000.

For your reference, the ‘21-22 HN places’ worksheet shows the latest information held by ESFA on the number of pre-16 high needs place numbers in each mainstream school in your authority. For academies and free schools, these place numbers were confirmed in January 2021 or subsequently as part of the high needs place change notification process and used for ESFA’s determination of the schools’ grant. For maintained schools, these place numbers have been updated using the section 251 budget data for 2021 to 2022.

In column R you should enter the total number of places whether or not they are occupied. In columns S, T and U enter the number of primary, KS3 and KS4 high needs pupils occupying places in the unit. The numbers entered must exclude the number of pupils in those places who are not sole or dual (main) registered at the school. For primary places in column S, you should also exclude pupils in high needs places who are in a nursery class.

6.5 Reason for variance in places provided compared to academic 2021 to 2022 high needs places agreed with ESFA (column V)

If the place figures you have provided in columns R to U vary from the numbers in the ‘21-22 HN places’ worksheet, please select a reason for this variance from the dropdown list. If you select ‘other’, ‘new high needs unit opening mid-year’ or ‘existing high needs unit closing mid-year’ please provide further details in column AV. Other reasons will include situations where the numbers have changed since the numbers were last collected from local authorities. If multiple reasons apply, please select ‘other’ and provide further details in column AV.

6.6 ‘22-23 split sites’ (column W)

This should be blank or ‘0’ unless the school has a split site in which case, enter the actual cash you wish to allocate for split site funding. Please note that this figure should be entered as an actual value payable, which assumes that you have taken any adjustments for part-year funding into account.

6.7 ‘22-23 NFF NNDR allocation’ (column X)

Only enter the total rates figure from the 2021 to 2022 APT. Rates figures for all schools from the 2021 to 2022 APT are included on the ’IndicativeNFF NNDR PaidBy ESFA’ worksheet. If left blank, it will be treated as ‘0’.

6.8 ‘Adjustment to 21-22 Rates’ (column Y)

This column should only be used if you are retrospectively adjusting previous year rates amounts in 2022 to 2023. If you are adjusting in 2022 to 2023, enter the adjustment to account for any difference between previously funded 2021 to 2022 rates and now known actual rates. This may be a negative figure to reflect a previous over-estimate or a positive figure to reflect an underestimate.

Please provide a narrative in column AV for all adjustments made.

6.9 ‘22-23 PFI’ (column Z)

The allocations must be based on objective criteria, capable of being replicated for any academies in the local authority area. Please note that this figure should be entered as an actual value payable, which assumes that you have taken any adjustments for part-year funding into account. If left blank it will be treated as ‘0’.

6.10 ‘Other adjustments to 21-22 budget shares’ (column AA)

Apart from certain circumstances specified in the regulations, school budgets cannot be re-determined in year. Any corrections relating to 2021 to 2022 will therefore have to be made in the 2022 to 2023 budget calculation, although, since they relate to the previous funding period, they will be excluded from the MFG calculation for 2022 to 2023. From 2022 to 2023 any adjustment will also be excluded from the schools MPPL calculation.

Enter here necessary adjustments to account for any difference between previously submitted 2021 to 2022 SBS and now known actual values. This could be calculated by using last year’s APT and re-running updated figures for the school through this, and then calculating the difference between this result and the SBS actually paid.

The 2021 to 2022 baseline in the current 2022 to 2023 APT will also be amended to reflect these changes. This may be a negative figure to reflect a previous over-estimate or a positive figure to reflect an underestimate. If left blank it will be treated as 0.

Please ensure you provide a narrative in column AV for all adjustments made. This will be added to the total allocation in the ‘New ISB’ worksheet.

6.11 ‘22-23 approved exceptional circumstances’ 1 to 7 (columns AB to AH)

Please enter any approved exceptional circumstances you wish to apply. Please note that these must have been pre-approved by ESFA. This figure should be entered as an actual value payable which assumes that you have taken any adjustments for part-year funding into account. If left blank they will be treated as 0.

Please enter a brief description for each exceptional circumstance you apply in the blue input cells above the column titles. These will then automatically appear in the ‘Proforma’ and the ‘School level SB’ worksheets.

6.12 ‘Additional lump sum for schools amalgamated during financial year 21-22’ (Column AB)

Please note that column ‘AB’ is reserved for adjustments to any additional lump sum for schools which amalgamated during financial year 2021 to 2022 (including schools that amalgamate on 1 April 2021).

Where schools amalgamated during this period, the resultant school can retain the equivalent of 85% of the aggregate lump sums that the collective predecessor schools would be allocated during financial year 2022 to 2023, the year after they merged. Please enter here the additional lump sum that schools amalgamated during the 2021 to 2022 financial year are entitled to. Please note that you must apply to ESFA to specify an alternative (lower) lump sum to an amalgamated school in exceptional circumstances. You do not need ESFA approval to give the school the equivalent of 85% of the aggregate lump sums.

6.13 ‘Additional sparsity lump sum for small schools’ (column AC)

For very small, sparse secondary schools:

• less than a total of 350 pupils on roll
• sparsity distance of 5 miles or more
• pupils present in years 10 or 11

The local authority will be able to make an application to ESFA for an exceptional, additional sparsity sum of up to £50,000 in addition to the funding received through the sparsity factor. Column AC is reserved for the local authority to enter any such additional sparsity funding amounts, as approved by ESFA.

Column AC should be left blank if you are not using the sparsity factor in your formula.

6.14 ‘22-23 approved exceptional circumstances 3 to 7: total of entries not relating to premises costs’ (column AI)

You should enter here the total of any entries in exceptional circumstances 3 to 7 (columns AD to AH) which do not relate to premises costs. This is required as part of the MPPL calculation to ensure that all premises costs are removed from the allocation. The data is also required to ensure correct identification of premises costs in any future modelling carried out.

6.15 ‘22-23 approved exceptional circumstances: total of premises costs which will be excluded from the minimum per pupil funding calculation’ (column AJ)

This column is automatically populated and shows the total of premises funding entered in ‘Exceptional Circumstances 3 to 7’ (the total of columns AD to AH minus AI).

6.16 ‘22-23 approved MFG exemptions’ 1 to 5 (columns AK to AO)

Please only include those additional excluded items as applied for and approved in writing by ESFA. Please note that these are new approvals only. Any approvals received for 2021 to 2022 were for that year only. Positive values will be subtracted from the SBS for the MFG calculation. If left blank they will be treated as 0.

6.17 ‘22-23 technical adjustments’ 1 to 4 (columns AP to AS)

These can be either positive or negative values. The figures will be subtracted from the SBS for the MFG calculation therefore, for a positive adjustment, please enter as a negative value.

If left blank they will be treated as ‘0’. Please note that column AP is reserved for new delegation adjustments and only positive figures are permitted. Column AT will be pre-populated with an adjustment to the 2022 to 2023 MFG equal to the adjustment to the 2021 to 2022 budget share entered in column AA.

Technical adjustment 2 (column AQ) has been reserved for removing premises costs from the MFG for those local authorities wishing to mirror the NFF. This can include split sites and PFI funding as well as any premises costs entered in the approved exceptional circumstances columns.

6.18 ‘22-23 total approved MFG exemptions and technical adjustments for use in MFG calculation’ (column AU)

The total 2021 to 2022 approved MFG exemptions and technical adjustments to be used in the MFG calculation are calculated in column AU, by summing all the input values in columns AK to AT.

6.19 ‘Comments’ (column AV)

Please provide a narrative if you have recorded any adjustments in columns Y or AA Please note that if you fail to provide a narrative you will get a ‘fail’ on the ‘Validation’ worksheet.

Please also provide a narrative if you have selected ‘other’, ‘new high needs unit opening mid-year’ or ‘existing high needs unit closing mid-year’ in column V.

Please ensure you provide details of the methodology used for the calculation of the split sites, the PFI and the exceptional circumstances factors as well as the MFG exclusions and adjustments in the relevant sections of the ‘Commentary’ worksheet. Please note that if you fail to provide a narrative you will get a ‘fail’ on the ‘Validation’ worksheet.

7. Annex C: local adjustments to the supplied data

In some cases, it will be necessary to use a local calculation or estimate based on the technical descriptions given in the schools block dataset technical specification to ensure the data used is representative. This only applies to individual schools. This section describes when and how this should take place. Adjustments should be recorded via the ‘Inputs & Adjustments’ worksheet and a clear explanation for the change must be provided in each case.

7.1 Schools undergoing change

In the case of a planned amalgamation, the data should be taken from each of the predecessor schools as they appear in the ‘Schools Block Data’ worksheet and then merged using weighted sums for each of the pupil-led factors. In the case of a brand-new school with no relevant predecessors, or a school converting from the private sector, a local estimate should be used, based on similar schools in the local authority area for the first year.

Local authorities must also request ESFA approval to record a reduction to the supplied pupil numbers for specific schools where a school has changed, or is going to change, it’s age range by losing year groups.

7.2 Anomalous primary/secondary pupils

Where a primary school has only one or two secondary phase pupils in the data, or conversely where a secondary school has a small number of primary phase pupils, this may suggest a school census recording error. Local authorities may wish to verify whether these are errors and, if so, amend the data accordingly to avoid incorrect formula allocations. Making such a change does not require prior ESFA approval, but clear explanations for any such changes must be provided on the ‘Inputs & Adjustments’ worksheet of the APT.

7.3 Sparsity distances

For the 2022 to 2023 schools block data in the final December version of the APT the sparsity distances will be based on road distances as in the NFF.

Exceptional applications can be made for schools that open after the distances have been calculated. An existing school that qualifies for sparsity funding in the data provided will not lose that funding in year if a new school opened nearby.

For schools that may qualify for sparsity funding as a result of the closure of another school nearby, an exceptional application should be agreed with the relevant schools forum and submitted to ESFA for approval.

8. Annex D: common issues

8.1 Ordering of schools in the APT’s worksheets

The pre-populated data contained in the ‘Schools Block Data’ and the ‘21-22 submitted baselines’ worksheets is locked and cannot be changed; this also applies to the order in which the schools and academies are listed. The order of schools listed on the ‘Local Factors’ worksheet is the same as in the ‘Schools Block Data’ worksheet, with any schools added to the list using the ‘Inputs & Adjustments’ worksheet appearing at the bottom.

You can add new worksheets to the APT for your own modelling purposes. If you wish to see the data on a worksheet ordered differently, you can copy that across into your new worksheet and order it in any way you wish. Please note that any worksheets you add to the APT will need to be removed before you submit data to ESFA (if you wish to provide additional information on new worksheets these should be saved separately and embedded in column F of the ‘Commentary’ worksheet). Reordering has no impact on individual schools’ calculations, it simply affects the position in which they are displayed in the APT tables.

8.2 Duplicate school shown on the ‘Local Factors’ worksheet

Duplicated schools can appear because an amalgamation or academy conversion has been entered on the ‘Inputs & Adjustments’ worksheet but the predecessor LAEstab reference has not been entered and the LAEstab of the new school is the same. This reference is needed to prevent the original entry from the ‘Schools Block Data’ worksheet being carried forward to later worksheets along with the new school. Duplicated schools are flagged as failures on the ‘Validation’ worksheet.

8.3 The London fringe column (column K) in the ‘Local Factors’ worksheet

The APT is pre-populated for all schools. Where a school is in one of the 5 affected areas and is not in the fringe, the default value of 1.00 is entered. This is needed so that the APT’s formulae work correctly. However, these values can be changed—for any school for which an adjustment is recorded here that is on the London fringe, local authorities simply need to select the correct value from the dropdown list in this column.

8.4 Additional lump sum for schools which amalgamated during 2021 to 2022 or on 1 April 2021

Approved exceptional circumstance 1 (column AB of the ‘Local Factors’ worksheet) is reserved for this purpose.

Column AE of the ‘New ISB’ worksheet is populated automatically with the lump sum amount due to a school based on its phase. For schools which were created from a merger during 2021 to 2022 or on 1 April 2021, this is not the full lump sum amount to which they are entitled under the 85% arrangement. Local authorities should record in exceptional circumstance 1 (column AB) of the ‘Local Factors’ worksheet the additional lump sum funding, over and above the amount shown in column AE of the ‘New ISB’ worksheet. In the ‘New ISB’ worksheet, the sum of the amounts shown in column AE and column AK for the school should sum to the correct lump sum figure. When calculating the baseline for the new merged school you should ensure that only one lump sum is included in the ‘Adjustment to 21-22 Post-MFG Budget’.

8.5 Validation failures

All the checks on the ‘Validation’ worksheet must be passed before the local authority can submit their APT. Where any check is failed this must be resolved prior to submission. The ‘Validation’ worksheet contains comments providing detailed information to help clear any failures. These comments explain why the check has failed and how to resolve it. It is not uncommon that resolving one failed check will at the same time cause other failed checks to become passed.

8.6 Schools converting to academy status retaining the same LAEstab

Local authorities will need to populate each of the columns in the ‘Inputs & Adjustments’ worksheet as the data will not be automatically carried forward from the ‘Schools Block Data’ worksheet. All the columns in the ‘Schools Block Data’ worksheet appear in the same order in the ‘Inputs & Adjustments’ worksheet, so local authorities can simply copy and paste the values across in one go.

8.7 Entering an adjustment in the ‘Inputs & Adjustments’ worksheet for a new or amalgamated school

It is very important to check that the school list in the ‘Local Factors’ worksheet displays the correct maintained schools and academies expected to be funded in 2022 to 2023, before entering any data here (or on any subsequent worksheet). If adjustments are entered in the ‘Inputs & Adjustments’ worksheet after entering data in subsequent worksheets the order of the school list may change, but the data you have entered in the blue cells will stay in the same place. As a result, some, or all, of that data may appear against the wrong school or academy. If, however, it is not possible to complete the APT in this sequence we recommend saving a separate copy of the APT once the bulk of the entries have been completed. If then a new/amalgamated/converter school needs to be added at a later stage a lookup formula can be used to populate the ‘Local Factors’ worksheet with figures contained in the original saved copy. These formulas must be replaced with values before the local authority submits the APT to ESFA.

8.8 Academies that convert prior to 4th January 2022 with more than one predecessor school

In the ‘Inputs & Adjustments’ worksheet, the reason ‘conversion to academy status prior to 4 January 2022’ should be entered in column A. In columns B to E the local authority must enter the LAEstabs of all predecessor schools.

8.9 The number of mobile children calculated on the ‘Adjusted Factors’ worksheet

The mobility factor only applies above 6%. In the ‘Adjusted Factors’ worksheet, the APT automatically deducts the 6% when calculating the number of children at a school eligible for this factor. For any school with a mobility ratio less than 6% the number of mobile children will be 0.

8.10 Sparsity distances for middle-deemed primary schools

For the sparsity factor, the sparsity average distances for middle-deemed primary schools, middle-deemed secondary schools and all-through schools appear in the secondary column of the ‘Schools Block Data’ worksheet so that they feed through into the rest of the APT and its calculations correctly.

8.11 Schools where the NOR and phase are not aligned

On the ‘Validation’ worksheet the ‘NOR & phase’ check will fail for a school if its phase and NOR don’t align in the ‘Adjusted Factors’ worksheet.

To resolve this check, local authorities must amend the phase of the school in the ‘Inputs & Adjustments’ worksheet by selecting ‘other’ from the dropdown list in column A and then selecting the correct phase from the dropdown list in column I. Please note that if the phase is changed from ‘primary’ to any other phase you will need to ensure that you re-enter the sparsity distance for the school in the secondary sparsity distance column (column BJ), as the sparsity average distances for middle-deemed primary schools, middle-deemed secondary schools and all-through schools appear in the secondary column.

9. Annex E: Adding attachments to the APT

If you wish to provide additional information within the APT the files should be embedded with the file and not added as additional worksheets. Files can be added to the ‘Commentary’ and the ‘School level SB’ worksheets.

To embed a copy of a file within the APT:

• select the ‘Insert’ ribbon
• select Object from the ribbon (depending on your screen size you may need to select the dropdown menu on the ‘Text’ option)
• from the dialogue box select the ‘Create from File’ tab
• click on the ‘Browse…’ button
• locate the file you wish to embed and click ‘Open’
• select the box ‘Display as icon (this should be below the ‘Browse…’ button)
• click OK

An icon should appear wherever your cursor was located. If required, the file can be moved to the desired location by holding the left mouse button and dragging it.

The file can be opened by double-clicking the icon. Please note that if any changes are made to the original copy of the file this will not update the embedded version.