# The Education (Budget Statements) (England) Regulations 2001 S.I. 2001/569 · made 22 February 2001 These Regulations prescribe the form and contents of the budget statement of a local education authority in England for the financial year beginning on 1st April 2001 under section 52(1) of the School Standards and Framework Act 1998. Made under: School Standards and Framework Act 1998 (Section 52, Section 138) PDFs: Printed copy https://openlegislation.uk/education-budget-statements-england-regulations-2001/pdf/uksi_20010569_en.pdf ## Introductory text EDUCATION, ENGLAND Made 22nd February 2001 Laid before Parliament 1st March 2001 Coming into force 22nd March 2001 In exercise of the powers conferred on the Secretary of State by sections 52(1), (3) and (4) and 138(7) of the School Standards and Framework Act 1998, the Secretary of State for Education and Employment hereby makes the following Regulations: ## 1 Citation, commencement and application (1) These Regulations may be cited as the Education (Budget Statements) (England) Regulations 2001 and shall come into force on 22nd March 2001. (2) These Regulations shall apply only in relation to England and except for regulation 3, only in relation to budget statements prepared for the financial year beginning on 1st April 2001. ## 2 Interpretation (1) In these Regulations— “the 1996 Act” means the Education Act 1996; “the 1998 Act” means the School Standards and Framework Act 1998; “the 2000 Budget Statements Regulations” means the Education (Budget Statements) (England) Regulations 2000; “the 2001 Regulations” means the Financing of Maintained Schools (England) Regulations 2001; “allocation formula” means the authority’s formula under regulation 10 of the 2001 Regulations used to determine schools' budget shares; “authority” means a local education authority; “Class Size grant” means grant paid in accordance with section 3 of the 1998 Act; “budget statement” means the statement referred to in section 52 (1) of the 1998 Act; “DfEE number” means the reference number allocated to a school by the Department for Education and Employment; “Education Budget Support Grant” means the grant known as Education Budget Support Grant paid in accordance with section 88B of the Local Government Finance Act 1988; “factor”means one of the factors or criteria taken into account in the allocation formula; “ISB” means an authority’s individual schools budget within the meaning of section 46(2) of the 1998 Act; “LEA number” means the reference number allocated to an authority by the Department for Education and Employment; “LSB” means an authority’s local schools budget within the meaning of section 46(1) of the 1998 Act; “maintained school” means a community, foundation or voluntary school or a community or foundation special school; “relevant” in relation to “age”, “age group” and “year group” means an age, age group or year group separately treated in the allocation formula for the purposes of determining that part of each school’s budget share which is to be determined by reference to numbers of registered pupils; “school” means a maintained school; “School Standards Grant” means the grant known as School Standards Grant paid in accordance with section 88B of the Local Government Finance Act 1988, which in the case of primary, secondary and special schools is paid on condition that it is appropriated to the ISB; “special educational needs” and “special educational provision” have the meanings given to those expressions by section 312 of the 1996 Act; “Standards Fund grant” means grant paid under section 484 of the 1996 Act together with the authority’s expenditure not offset by that grant but taken into account in determining the amount of that grant; “statement” in relation to a pupil with special educational needs means a statement made under section 324 of the 1996 Act; and “version number” means a number which distinguishes a particular form submitted by the authority from earlier versions of that form prepared by them. (2) In these Regulations, unless the context otherwise requires— (a) references to primary or secondary schools do not include special schools; and (b) references to the number or numbers of registered pupils at one or more schools are references to the number or numbers of such pupils required under the allocation formula to be used for the initial determination of that school’s budget share or those schools' budget shares for the year but ignoring any weighting in accordance with paragraph (5) or any adjustment under paragraph (6) of regulation 11 of the 2001 Regulations. (3) The following table shows provisions of the 1996 Act or the 1998 Act defining or otherwise explaining expressions used in these Regulations— financial year section 579(1) of the 1996 Act scheme section 48(1) of the 1998 Act school’s budget share section 47(1) of the 1998 Act (4) Any reference in these Regulations to a numbered regulation or Schedule is a reference to the regulation or Schedule in these Regulations so numbered. ## 3 Prescribed form of, and information to be contained in, budget statements (1) A budget statement shall be prepared in four parts, and shall contain the information prescribed for the purposes of section 52(1) of the 1998 Act, as follows— (a) Part I shall be in the form prescribed in Schedule 1 and shall contain the information, relating to the authority’s planned expenditure for the financial year to which the budget statement relates, specified in the notes to Part 1 in Schedule 1; (b) Part 2 shall be in the form prescribed in Schedule 2 and shall contain the information, with respect to the authority’s planned expenditure for each school for the financial year to which the budget statement relates, specified in the notes to Part 2 in Schedule 2; (c) Part 3 shall be in the form prescribed in Schedule 3 and shall contain the information with respect to the authority’s allocation formula specified in the notes to Part 3 in Schedule 3; and (d) Part 4 shall contain the information with respect to the budget share of each school for the financial year to which the budget statement relates specified in Schedule 4. (2) The following information must appear at the top of each of Parts 1 to 4 of a budget statement— (a) the financial year to which the budget statement relates; (b) the authority’s name; (c) the authority’s LEA number; (d) the authority’s E-mail address; (e) the name of a person who can deal with queries in relation to the completed form; (f) that person’s telephone number; (g) the version number; and (h) the date that the form was completed. (3) Where a person is carrying out functions on behalf of an authority then the authority shall include information in Parts 1 to 4 of the budget statement as if expenditure by that person in carrying out those functions were expenditure by the authority. ## 4 Prescribed manner and time of publication of budget statements For the purposes of section 52(3)(b) of the 1998 Act, every budget statement shall be published by— (a) supplying copies to the Secretary of State for Education and Employment in accordance with regulation 5; and (b) making a copy available for reference by parents and other persons at all reasonable times and without charge at each education office of the authority. ## 5 Prescribed manner and time of publication of budget statements (1) Three copies of Parts 1 to 3 and two copies of Part 4 of the budget statement shall be supplied to the Secretary of State for Education and Employment in paper form and one copy in the form of machine readable data by E-mail or on a floppy disc provided for that purpose by the Secretary of State. (2) The font size used must be not less than 7pt and there must be no shading nor colouring of cells. (3) Any computer language or software used to supply tables must be one which the Secretary of State for Education and Employment has notified to the authority. ## 6 Prescribed manner and time of publication of budget statements (1) A budget statement shall be published before the beginning of the financial year to which it relates. (2) A budget statement may not be revised during the financial year to which it relates other than to correct errors in the statement as previously published. (3) A revised budget statement shall be subject to regulations 3,4, 5, 6(2) and 7. ## 7 Prescribed manner and time of publication of budget statements The authority shall furnish the governing body and head teacher of each school maintained by them with a copy of Parts 1, 2 and 3 of the budget statement and with a copy of that part of Part 4 of the budget statement which relates to the school in question, save that if the governing body or the head teacher so request the authority shall furnish them with a complete copy of Part 4 of the budget statement. ## Signature Estelle Morris Minister of State, Department for Education and Employment 22nd February 2001 ## Schedule 1 FORM OF PART 1 OF BUDGET STATEMENT Part 1 of a budget statement (the total planned education spending by the authority) shall be in the following form and in accordance with the notes. ## H1 NOTES TO PART 1 Enter in these columns as appropriate, for each of the items in the first column of the form, the amount of the authority’s planned expenditure on (a) primary, (b) secondary and (c) special schools, (d) non-school expenditure, (e)the total of the entries in columns (a) to (d) (being the authority’s total gross expenditure in respect of that item), (f) the estimated income to be offset against this expenditure, but not including Education Budget Support Grant income except as a memorandum item at note 6b, and (g) the net planned expenditure in respect of that item. In the case of items in columns (a), (b) and (c), an authority must state in the Annex to Part 1 the principal elements of the basis on which they apportion planned expenditure between primary, secondary and special schools. In the case of estimated income in column (f), an authority must provide a list of the principal items of estimated income in the Annex to Part 1. ## 1 NOTES TO PART 1 A general heading covering the items comprising the LSB for the financial year in question. All expenditure within the LSB must be attributed by an authority to one of the following six categories— 1.1 ISB, including School Standards Grant, and devolved Standards Fund grants. 1.2 Strategic Management 1.3 Specific Grants 1.4 Special Education 1.5 School Improvement 1.6 Access. 1.1 ISB, including School Standards Grant, and devolved Standards Fund grants 1.1.1 Enter here the part of the ISB attributable to primary and special schools but excluding School Standards Grant attributable to these schools. 1.1.2 Enter here the part of the ISB attributable to secondary schools without sixth forms but excluding School Standards Grant attributable to these schools. 1.1.3 Enter here the part of the ISB attributable to secondary schools with sixth forms but excluding School Standards Grant attributable to these schools. 1.1.4 Enter here the amount of the School Standards Grant attributable to primary, secondary and special schools and paid as part of the ISB. 1.1.5 Enter here the amount of the ISB for the financial year in question. 1.1.6 Enter here all planned expenditure deducted in accordance with paragraphs 1 and 2 of Schedule 1 in relation to Standards Fund grant in cases where decisions about the spending of the grant are delegated to the governing bodies of schools. 1.1.7 Enter here the aggregate of 1.1.5 and 1.1.6. ## 2 Access A general heading for notes 2.1 to 2.7 comprising the planned expenditure by the authority upon activities other than those falling within paragraph 1. 2.1 Enter here all planned expenditure on the provision of education for children under the age of 5 who are not registered pupils in maintained schools. 2.2 Enter here all planned expenditure on the provision of Adult and Community Education. Where it is necessary to apportion costs between this and other items details of any apportionment should be given in the Annex to Part 1. 2.3 A heading for planned expenditure on the provision of support for students. 2.3.1 Enter here all planned expenditure under section 1(1) of the Education Act 1962 (mandatory awards). 2.3.2 Enter here all planned expenditure to be incurred by virtue of regulations under section 22 of the Teaching and Higher Education Act 1998 (student support). 2.3.3 Enter here all expenditure under section 1(6) or 2 of the Education Act 1962 (discretionary grants) or under section 518 of the 1996 Act , except where an allowance paid under section 518 is not supported by specific grant paid by the Secretary of State. 2.4 Enter here all planned expenditure on the provision of transport under section 509 of the 1996 Act other than in relation to schools (Home to College Transport). 2.5 Enter here all planned expenditure on making pension payments other than in respect of schools. 2.6 Enter here all planning expenditure on the local authority’s Youth Service and the local authority’s contribution to the Connexions Service, where not already included in the LSB. 2.7 Enter here the aggregate for columns (d) to (g) of the amounts entered for the matters referred to in notes 2.1 to 2.6. ## 3 Access Enter here the aggregate for each column (a) to (g) of the amounts entered for the matters referred to in notes 1.10 and 2.7. ## 4 Access Enter here all expenditure treated by the authority as expenditure of a capital nature charged to a revenue account of the authority as defined in section 41 (2) of the Local Government and Housing Act 1989 . ## 5 Access Enter here the aggregate for each column (a) to (g) of the amounts referred to in notes 3 and 4. ## 6a Access Subject to note 6b below, enter here the amount of any special grants paid in accordance with section 88B of the Local Government Finance Act 1988 and any grants paid to the authority under conditions which impose restrictions on the particular purposes of the authority for which they may be used, which are, in both cases, appropriated to the ISB. ## 6b Access Enter here the amount of the Education Budget Support Grant. ## 7 Access Enter here the authority’s Education Standard Spending Assessment for the financial year in question calculated in accordance with the local government finance report for that year made by the Secretary of State under section 78A of the Local Government Finance Act 1988 ## 8 Access Enter here all capital expenditure, being expenditure- (a) which the authority propose to capitalise in their accounts in accordance with proper practices being those accounting practices- (i) which the authority are required to follow by virtue of any enactment, or (ii) which, whether by reference to any generally recognised published code or otherwise, are regarded as proper accounting practices to be followed in the keeping of accounts of local authorities, either generally or of the description concerned, but in the event of any conflict in any respect between the practices falling within (i) above and those falling within (ii) above, only those falling within (i) above are to be regarded as proper practices; and (b) which does not fall within note 4 (capital expenditure from revenue). ## Schedule 2 FORM OF PART 2 OF A BUDGET STATEMENT Part 2 of a budget statement (school level information) shall be in the following form and in accordance with the notes. ## Schedule 3 FORM OF PART 3 OF A BUDGET STATEMENT Part 3 of a budget statement (information about the allocation formula) shall be in the following form and in accordance with the notes. ## 1 NOTES TO PART 3 INDIVIDUAL SCHOOLS BUDGET—FUNDING FACTORS The numbered notes below refer to the items in the table bearing the corresponding number or letter and number. Where an authority do not intend to make any financial provision for any matter listed in the table a zero should be entered at the appropriate place. The table must list and include a description of each factor used including the full methodology of the factor. This description should be provided in the table in the relevant box headed “Method”. ## 2 NOTES TO PART 3 PRIMARY AND SECONDARY SCHOOLS ## 3 NOTES TO PART 3 Enter here a description of the method used to calculate from the pupil numbers taken from the annual school census, the number of pupils to be taken into account in allocating funding through the authority’s allocation formula. ## 4 NOTES TO PART 3 A general column heading for the type and factor name used to determine school budgets. ## 5 NOTES TO PART 3 Enter in this column (5) opposite each factor in column (4) and in ascending order each relevant year, age group, year group, subject taught or band based on assessment of need applicable in accordance with the allocation formula for primary and secondary schools, specifying separately any specific separate categories for pupils in nursery classes or for those funded according to the subject being studied. Where the number of pupils in nursery classes is weighted then the weightings must be shown and a note provided to explain whether numbers are the actual numbers or based on full-time equivalents. Enter also at the appropriate sections of the table the range or levels relating to site specific and school specific factors. ## 6 NOTES TO PART 3 Enter in this column (6), opposite each entry in column (4), the amount attributed to each pupil in that year, age group, year group, subject taught or band based on assessment of need. ## 7 NOTES TO PART 3 Enter in this column (7) opposite each entry in column (4)— (a) the total number of registered pupils in that year, age group or year group at primary and secondary schools taken into account in the allocation formula pursuant to regulation 11 of the 2001 Regulations but ignoring any weighting in accordance with paragraph (5) of that regulation or any adjustment under paragraph (6) of that regulation; or (b) the number of places, in the case of provision of places in schools which the authority recognise as reserved for children with special educational needs, or for children in nursery classes, or of boarding accommodation at boarding schools other than special schools, pursuant to regulation 14 of the 2001 Regulations. ## 8 NOTES TO PART 3 Enter in this column (8), opposite each entry in column (4), the amounts produced by multiplying the amount in column (6) by the number in column (7). ## 9 NOTES TO PART 3 Enter in this column (9) the aggregate of the amounts in column (8) expressed as a percentage of the amount referred to in line (32) (total funds excluding transitional funding and School Standards Grant). ## 10 NOTES TO PART 3 Enter in this column (10) the particular provision of the 2001 Regulations which permits the factor entered in column (4) to be used. ## 11 NOTES TO PART 3 A sub-heading for the factors which allocate the ISB by reference to the numbers of registered pupils at primary and secondary schools and their ages (or age group or year group to which they belong), their attendance at a nursery class, their subjects of study or any special educational needs they may have or are to be treated as having for the purposes of the application of the allocation formula, so that each pupil within a given category attracts equal amounts regardless of the school which he attends. ## 12 NOTES TO PART 3 A heading for the entries to be made under the age-weighted funding subsection of the table. ## 13 NOTES TO PART 3 Enter in this column (13) the amounts which represent the weighting given according to age (including key stage or year group), whether a pupil is provided with nursery education, the subject or course of study in the case of pupils in a sixth form, or the number of places made available for pupils in boarding accommodation other than special schools. ## 14 NOTES TO PART 3 Enter here a description of the method used to operate the factor, explaining variations in level of provision, which pupils or their schools may attract. ## 15 NOTES TO PART 3 Enter here the aggregate of the numbers in column (7), and the aggregate of the amounts in column (8), separately for primary schools, secondary schools without a sixth form and secondary schools with a sixth form and give a total. ## 16 Pupil-led SEN funding Enter in this column each factor relating to pupils with statements of special educational needs which allocates the ISB by reference to the numbers of registered pupils at primary and secondary schools and any special educational needs they may have or are to be treated as having for the purposes of applying the allocation formula. ## 17 Pupil-led SEN funding Enter in this column each factor relating to pupils without statements of special educational needs, which would fall to be entered in column (16) if it related to pupils with statements of special educational needs. ## 18 Place-led SEN funding treated as pupil-led Enter in this column each factor (other than those referred to in notes (11) to (17) above) which allocates the ISB on the basis of the relative needs of individual primary and secondary schools to incur expenditure in making special educational provision for places for pupils with special educational needs. ## 19 Other funding treated as pupil-led Enter in this column (19) each factor (other than those referred to in notes (11) to (18) above) in accordance with which the same funding is allocated for pupils of the same age irrespective of the nature of the school which they attend, pursuant to regulation 26(1)(b) of the 2001 Regulations. ## 20 Total primary and secondary funds treated as pupil-led Enter here the aggregate of the amounts entered in the total boxes in lines (12), (16), (17) (18) and (19), in accordance with note (15) separately for primary schools, secondary schools without a sixth form and secondary schools with a sixth form and in total and the aggregate of the percentages entered in column (9). ## 21 Excess SEN funding for pupils without statements Enter in this column each factor relating to pupils without statements of special educational needs which would fall to be entered in column 17 above but for the limiting effect of regulation 26(1)(b) of the 2001 Regulations. ## 22 OTHER FUNDING A sub-heading for the factors which allocate the ISB by reference to factors other than those referred to in notes (12) to (19). All factors in this section must be allocated to one of the following groups: Additional educational needs, or site specific, or school specific ## 23 Additional educational needs factors Enter in this column (23) each factor in accordance with which amounts are allocated to primary and secondary schools for additional educational needs. ## 24 Site specific factors Enter in this column (24) each factor in accordance with which amounts are allocated to primary and secondary schools by reference to a school’s buildings or grounds. ## 25 Site specific factors Enter in this column (25), opposite each unit of measurement described in columns (24), (26) and (27), the number of units in question. ## 26 School specific factors Enter in this column (26) each factor in accordance with which amounts are allocated to primary and secondary schools by reference to a school’s characteristics. ## 27 Budget adjustments Enter in this column (27) each factor in accordance with which amounts are allocated to primary and secondary schools pursuant to regulation 17, 18, 21, 22, 23, 24 or 25 of the 2001 Regulations (budget adjustments). Include any adjustments to reflect retrospective pupil number adjustments including excluded pupils. ## 28 Budget adjustments Enter here the transitional funding paid to schools which were grant-maintained schools immediately before 1st April 1999 in accordance with regulation 20 of the 2001 Regulations separately for primary schools, secondary schools without a sixth form and secondary schools with a sixth form and give a total. ## 29 Budget adjustments Enter here the amount of that part of the authority’s ISB retained in respect of primary and secondary schools and not allocated at the beginning of the financial year pursuant to regulation 8(2) of the 2001 Regulations. Show the amounts separately for primary schools, secondary schools without a sixth form, and secondary schools with a sixth form and give a total. ## 30 Budget adjustments Enter here the School Standards Grant paid to schools separately for primary schools, secondary schools without a sixth form and secondary schools with a sixth form and give a total. ## 31 TOTAL AMOUNT ALLOCATED TO PRIMARY AND SECONDARY SCHOOLS Enter here the aggregate of the amounts entered in accordance with notes (20), (21), (23), (24), (26), (27), (28), (29) and (30), separately for primary schools, secondary schools without a sixth form, and secondary schools with a sixth form and in total. ## 32 TOTAL AMOUNT ALLOCATED TO PRIMARY AND SECONDARY SCHOOLS Enter here the amount obtained by deducting from the total amount entered at line (31) the total amounts entered at lines (28) and (30) being the total of funding excluding transitional funding and School Standards Grant. ## 33 SPECIAL SCHOOLS A general heading for the schools to which this section of the table relates. ## 34 Place-led funding Enter in this column (34) the type of factor and factor name used to allocate the ISB to special schools by reference to the numbers and kinds of places they provide. ## 35 Pupil-led funding Enter in this column (35) each factor in accordance with which amounts are allocated to special schools by reference to the numbers and kinds of pupils at the school. ## 36 Other factors A sub-heading for the factors which allocate the ISB to special schools otherwise than by reference to the number of places provided, or registered pupils at such schools. All factors in this section must be allocated to one of the following groups: Additional educational needs, or site specific, or school specific. ## 37 Additional educational needs factors Enter in this column (37) each factor in accordance with which amounts are allocated for additional educational needs. ## 38 Site specific factors Enter in this column (38) each factor in accordance with which amounts are allocated by reference to a special school’s buildings or grounds. ## 39 School specific factors Enter in this column (39) each factor in accordance with which amounts are allocated by reference to a school’s characteristics. ## 40 Budget adjustments Enter in this column (40) each factor in accordance with which amounts are allocated to special schools pursuant to regulations 17, 18, 21, 22, 23, 24 or 25 of the 2001 Regulations (budget adjustments). ## 41 Budget adjustments Enter here the transitional funding paid to schools which were grant-maintained special schools immediately before 1st April 1999 in accordance with regulation 20 of the 2001 Regulations. ## 42 Budget adjustments Enter here the amount of that part of the authority’s ISB retained in respect of special schools and not allocated at the beginning of the financial year pursuant to regulation 8(2) of the 2001 Regulations. ## 43 Budget adjustments Enter here the School Standards Grant paid to special schools. ## 44 Total funds allocated to special schools Enter here the aggregate of the amounts entered in accordance with notes (34), (35), (37), (38), (39), (40), (41), (42) and (43). ## 45 TOTAL FUNDS AVAILABLE TO ALL SCHOOLS (ISB) Enter here the aggregate of the amounts entered in accordance with notes (31) and (44). ## Schedule 4 CONTENTS OF PART 4 OF A BUDGET STATEMENT The authority shall set out in respect of each school which they maintain, all factors indicated in Part 3 of the budget statement, other than in accordance with note 28 or 41 to Schedule 3, together with such other information referred to in that Part as applies in relation to the application of those factors to schools. Sub-totals shall be provided for each school indicating the aggregate of amounts allocated to that school under each of the following categories: ## 1 Mainstream Schools Age-weighted funding ## 2 Mainstream Schools SEN to include pupils with statements of special educational needs pupils without statements place-led funding treated as pupil-led ## 3 Mainstream Schools Other pupil-led funding ## 4 Mainstream Schools Additional educational needs ## 5 Mainstream Schools Site-specific factors ## 6 Mainstream Schools School-specific factors ## 7 Mainstream Schools Budget adjustments ## 8 Mainstream Schools Transitional funding (for schools that were grant-maintained prior to 1st April 1999) ## 9 Mainstream Schools School Standards Grant ## 10 Mainstream Schools Total share of the ISB (Mainstream) ## 11 Special Schools Place-led funding ## 12 Special Schools Pupil-led funding ## 13 Special Schools Additional educational needs ## 14 Special Schools Site-specific factors ## 15 Special Schools School-specific factors ## 16 Special Schools Budget adjustments ## 17 Special Schools Transitional funding (for schools that were grant-maintained prior to 1st April 1999) ## 18 Special Schools School Standards Grant ## 19 Special Schools Total share of the Individual Schools Budget (Special) ## Explanatory note (This note is not part of the Regulations) These Regulations prescribe the form and contents of the budget statement of a local education authority in England for the financial year beginning on 1st April 2001 under section 52(1) of the School Standards and Framework Act 1998. --- Source: https://www.legislation.gov.uk/uksi/2001/569 (the official version) Page: https://openlegislation.uk/education-budget-statements-england-regulations-2001 Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.