Sixth-form colleges: apply to become an academy (updated February 2017)

Application form for sixth form college corporations (SFC) to become an academy

Please complete all relevant fields with information.

Please note that information provided on this application form, including personal information, may be subject to publication or disclosure in accordance with the access to information regimes, primarily the Freedom of Information Act 2000 and the Data Protection Act 1998.

Definition of becoming an academy

The term ‘becoming an academy’ is used throughout this application form to describe the process through which a sixth-form college will become a 16 to 19 academy run by an academy trust. This ‘conversion’ will be achieved through provisions of the Further and Higher Education Act 1992, which enable a sixth-form college corporation to dissolve and transfer its property, rights and liabilities to a new or existing academy trust.

This form is the starting point for your application. Applications will normally only be considered if made within six months of the final Steering Group meeting for your area review.

Please read this form in conjunction with the published guidance [insert link] which will provide more detail about each stage of consideration of your application, and the full remit of supplementary information that you will need to provide, including the different levels of financial assessment that may be required by the Transactions Unit. Becomming an academy means you will move into the public sector and therefore all applications will require a financial review by the Transactions Unit. Details of the extent of this review, and the documentation required to support it, are contained with the published guidance.

Provision of data

Your EFA lead will discuss with you the information and data have already been provided to the Joint Area Review Delivery Unit (JARDU) as part of the area review process. Where that information is up to date and sufficient for use we will use it to inform your application. However, it is the responsibility of the SFC to check and confirm that this data is correct.

Please email the completed application form (in Word format) to: Enquiries.EFA@education.gov.uk and copy it to your EFA lead contact and the Transactions Unit at: RestructuringFacility@sfa.bis.gov.uk .

Published: February 2017

Part A – Information required as part of the initial application

Section 1 – Basic detailsFull SFC name and postal addressName of principalPrincipal’s email addressTelephone number(Other contact number)Name of chair of governing body/corporation

Email addressTelephone number(Other contact number)Main contact for the process of becoming an academy. If not one of the above, include role, email address and telephone numberTitle of the relevant Area Review(s) for college(s).

Date of final steering group meeting

Please provide detail of any development(s) since the last steering group meeting which might materially affect the ability of the applicant/co-applicants to implement the recommendation e.g: change of principal, chair of governors, structural operations, or financial circumstances, etc.

Please provide a summary of the strategic business case for your application for academy status including how it fits with the Area Review and SMART benefits.

Sixth Form Colleges can apply to the Transactions Unit for financial support to implementtheir proposal to become an academy. Details of what support from the Restructuring Facility (RF) is available is within the published guidance.

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Are you also applying for support from the Restructuring Facility to support implementation of the proposal?

Yes/No

If yes, please provide brief details

Section 2 – Proposed timescales

Please state your preferred date on which you plan to dissolve and transfer property, rights and liabilities to an academy trust.Please summarise your transition and delivery plan including proposed timings/key milestones and the specialist support you will use to support the conversion and any other changes.

Section 3 – Partnership and collaboration with schools in the area

Single academy or multi-academy trust

Are you applying to become a single academy trust, or to join/set up a multi-academy trust?

Please mark relevant box.

Single academy trust Multi-academy trust

If you are applying to join an existing multi-academy trust,

Name:

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please give the name of the trust that the SFC will join.

Where relevant, please also provide details of your existing relationship with the trust i.e. sponsor, collaborative partnership etc.

Please confirm that the Trust has consented to your SFC joining them:

If you are forming a new multi-academy trust (MAT), please give the proposed name of the trust (if known), and the names of the schools, academies, inc. free schools or sixth-form colleges that you are proposing should be part of it.

Proposed name of trust:

Other schools etc. in chain:

If you are applying to become a single academy trust, please state the names of the schools, 16 to 19 academies, SFCs and FECs (institutions) with which you will be collaborating.

Proposed partnerships with other schools/academies/sixth-form colleges

If you are applying to join an existing multi-academy trust or forming a new one, how will you add value to the trust? How will you improve educational standards and the range and quality of provision within and across the trust (a) in the first year after becoming a 16 to 19 academy and (b) in the longer term?

If you are applying to become a single academy trust, how will you be collaborating with the institutions you have

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named above to improve educational standards and the range and quality of provision within the SFC and across these institutions (a) in the first year after becoming a 16 to 19 academy and (b) in the longer term?

How will becoming an academy and working in partnership or as part of a multi academy trust contribute to, and secure, the financial viability of the SFC?

(Please note the supplementary information requirements that will be required for the Transactions Unit’s assessment process)

Will you be working in partnership with any free schools?

Yes/No

If yes, please state which free schools you will be working with and confirm whether the free school is open or in development

Will you be working with any schools which currently have sixth-form form provision?

Yes/No

If yes, please state which schools with sixth-form provision you will be working with

Please state the proximity of proposed partners to the SFC

Please confirm that your proposed partners have been consulted and agree to the proposal you are making.

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Section 4 – Finances As detailed in the published guidance, the Transactions Unit will assess all applications from SFCs applying to become an academy. This process will be proportionate to your financial position and requirements. Guidance on what’s required can be found in the published guidance1. . However, please include, as a minimum, with this application an initial budget forecast for the academy trust..

In order to ensure your proposals are consistent with other options emerging from the relevant area review please explain:

How your plans will create a viable and sustainable structure for provision that can achieve a surplus for investment in the future.

How your proposal will deliver cost savings and efficiencies on curriculum, back office, estates and finances (including fixed and semi-fixed costs, staffing changes) [Please note that later in the process we will ask for more detailed financial projections for the new academy, agreed as necessary with any existing MAT which you are proposing to join.]

Finances of the current SFC

Where the revenue or capital balance is lower at the end of the 2016 financial year than at the end of the 2015 financial year, please provide a summary of the reason for this in the box below.

If the SFC has a deficit, please give brief details in the box below.

1https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/585353/ Becoming_a_16_to_19_academy_-_advice_for_sixth-form_colleges_January_2017.pdf

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Please note: you may wish to review the published guidance and agree, in discussion with your project lead, what information is necessary at this early stage, and what you will submit for the relevant Transactions Unit assessment.

If the SFC has any existing loan(s) and/ or lease(s), please provide details in the box below as follows:

a) loan provider and terms; total amount borrowed; outstanding balance anticipated at point of dissolution; schedule of repayments; details of any penalty provisions; and, interest rate. Please indicate if you intend to pay this debt(s) off in advance of conversion from your cash reserves

b) lessor with details of arrangement, length of time left to run, break clauses and charges.

Does the SFC have liabilities which will transfer with them? Please list the liabilities and their values in the box below. This should include full detail of the latest LGPS FRS 17 (or equivalent) contributions (including deficit reduction), valuation and any expected revisions to these; ongoing pensions costs and any pension deficit.

Financial projections

Please provide outline financial projections for the new academy. Please note that you will be asked to provide detailed financial projections which have, where relevant, been agreed with any MAT which you are proposing to join later in the process. Please confirm whether these projections factor in any centralised costs associated with the MAT?

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Did the SFC make a surplus in the last financial year and is a surplus forecast for the next three years, achieving a surplus of at least 3% by the third year?”

Section 5 – Additional Information

Is the SFC linked to a diocese?

Yes/No

If yes, please give the name of the diocese:

Please give the name of the Diocesan Director of Education:

(Please send in the diocese’s letter of consent with your application form via the email address Enquiries.EFA@education.gov.uk - we will be unable to progress your application without this consent.)

Has the SFC been involved in any mergers in the last 5 years?

Yes/No

If yes, please state the name(s) of the organisation(s) with whom you merged

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Please give the date of the merger

Do you deliver to students over 19 years of age?

If yes, do you have a separate legal entity to cater for these students?

Yes/No

If yes, please give details:

Section 6 - Other informationPlease provide below any other information you think may be material and/or relevant for the SFC becoming an academy:

Part B – Information which will be required as your application progressesYou do not have to provide all this information immediately, but it will be needed before any application can be implemented. Where you can provide it now, it will be helpful.

Section 7 – Governance, leadership and management of the proposed academy trust or the existing trust you will joinWhere you are joining an existing trust, please highlight any proposed changes that will be made to the trust as a result of you joining.

Number of members of the academy trust/proposed trust

Names of members

Are any of these members

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also trustees of the academy trust/proposed trust?

Do any members of the academy trust have any other interest in other academies e.g. as members of existing boards, trustees or employees?Will the academy trust have an underpinning/associated trust? If so, provide the registered name and office.

What will the governance structure/relationship be between the underpinning/associated trust and the individual academy?Total number of people on the board of trustees/proposed board of trustee

Name of the chair of the trust

Senior Leadership Team of the proposed academy trustPrincipal/ CEO/Accounting Officer

Experience/background

Do they have any other interest in other academies e.g. as members of existing boards

Finance Director

Experience/background

Do they have any other interest in other academies e.g. as members of existing boards

Name of the HR lead

Experience/background

Do they have any other interest in other academies e.g. as members of existing boards

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Name of the head of quality

Experience/background

Do they have any other interest in other academies e.g. as members of existing boardsName of the head of curriculum

Experience/background

Do they have any other interest in other academies e.g. as members of existing boards

Section 8 – Land and buildingsDoes the SFC have assets which will transfer with them? Please list the assets and their values in the box below, stating if these are physical or financial assets. If your application will include compensation for VAT payable on change of ownership provide details in line with the published guidance.

Are there any assets which the SFC currently uses but does not own? - please list the assets and their values in the box below, stating if these are physical or financial assets.

Will these assets continue to be used after becoming an academy? If so, how?

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Who currently owns/holds the SFC building and associated land? Is this public or private ownership?Please provide details of the estate, including number and location of sites.

Is any part of your SFC’s facilities used by or shared with organisations other than the SFC, formally or informally?

This could include hire of rooms or playing fields by community groups.

Yes/No

If yes – please provide details below of the shared use:Are there any significant building works ongoing or planned or required in the next 4 years e.g. due to poor quality estates or significant expansion plans, and if so is funding secured for these?

Yes/No

If yes, please provide details of what is required or being done, the scheduled completion date and whether the arrangements for the funding will be affected by becoming an academy:

Does the SFC currently lease / rent any buildings or land from anyone else?

Yes/No

If so, please state from whom.

Is this likely to continue after becoming an academy?

Yes/No

Does the SFC currently lease / rent any buildings or land to anyone else?

Yes/No

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If so, please state to whom

Is this likely to continue after becoming an academy?

Yes/No

Is your SFC part of a PFI scheme?

Yes/No

Are there any loans or mortgages secured on land or buildings?

Section 9 – ConsultationWe will require confirmation that the governing body has considered what plans it has for the statutory consultation exercise under section 33N and 33P of the Further and Higher Education Act 1992 and any equality impact assessment. Your project lead will contact you to discuss this.

Has the governing body confirmed their intent to endorse the recommendations from the area review and agreed dissolution of the SFC corporation and the transfer of property, rights and liabilities to the academy trust?

Yes/No

Section 10 – DeclarationBy submitting this application we, the governing body of the SFC named in this application, confirm that:

we have the authority to resolve that our SFC corporation should dissolve and transfer property, rights and liabilities to a 16 to19 academy;

the person signing this application has authority to bind the governing body to the application;

this application is made in the context of the relevant area review and post-16 educational needs of the area and links effectively to other aspects of the area review;

all the information included is true and accurate to the best of our knowledge; if there is a diocese, trust, or other body that appoints governors in our SFC, then that body

and the trustees of the SFC have separately agreed that we may dissolve and transfer property, rights and liabilities to an academy. (A letter stating this will be sent from that body to the department. Project leads will need to receive this consent letter before the application can be processed);

a resolution to dissolve and transfer property, rights and liabilities to an academy has been passed and a record of this decision is available should departmental officials wish to see it;

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there are no financial or safeguarding investigations ongoing at our SFC; individuals who will act as members and trustees of the proposed academy trust, as well as

the individuals associated with it, must ensure that principles are promoted which support fundamental British values, including: respect for the basis on which the law is made and applied in England; respect for democracy and support for participation in the democratic processes; support for equality of opportunity for all; support and respect for the liberties of all within the law; and respect for and tolerance of different faiths and religious and other beliefs;

we accept that the department may ask for any additional information as they see fit to assess our application and that as a condition of us becoming an academy we shall provide it;

should any information presented in this application be revealed to be false or misleading, our application may be rejected.

the corporation agrees not to negotiate any new liabilities with a commercial lender prior to transfer unless this can be cleared in full prior to any proposed date when the SFC will become an academy.

In addition, where you have financial surplus and intend to pay off debts prior to transfer to academy status should confirm that prior to the transfer to academy status the corporation agrees to make a cash payment to settle all outstanding debts in full and make a payment to cover any break clause cost.

Name and position of the person that completed this form

Date form was completed (DD/MM/YYYY)

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Supporting notes for sixth-form colleges (SFCs) to fill in the form We will automatically use information and data made available during the area review about your SFC’s performance and financial position where that information is up to date and sufficient for use.

However, it is the responsibility of the SFC to check and confirm that this data is correct. Your project lead will be in touch to discuss your predictions for your SFC’s educational performance and any further information required.

Part A

Section 2 - Transfer dateThe length of time taken to complete the dissolution of the SFC and process of becoming an academy will vary depending on each SFC’s individual circumstances. We expect the two processes to run alongside each other. Your EFA contact will discuss this with you in more detail whilst processing your application. However, if you have a particular date you wish to work towards, please state this on the application.

Section 3 - Partnership and collaboration with schools in the area

Multi-academy trust (MAT) or single academy trust

Multi-academy trust

Name of trust – needed for all established trusts. The trust must consent to your SFC joining them as a 16 to 19 academy. Please send in their letter of consent with your application either by post or via the email address Enquiries.EFA@education.gov.uk. We will be unable to progress your application without their consent.

Forming a new trust – please give the name of the trust and the other institutions intending to join.

Structure of MAT – if the trust is already established, please give as much information as possible on how it is structured, for example in a diagram. If you are forming the trust with other institutions2, we recognise you may not have come to a firm decision on its structure yet, but it will be very helpful to see the early stages of your planning.

Single academy

Where a SFC’s proposal does not involve joining or establishing a MAT the SFC will need to be financially and educationally strong and will need to set out in detail the range and scale of partnership arrangements between the new 16 to 19 academy, local schools and other education providers in the area which will be developed if the application is approved. It is important to provide evidence that those schools and other education providers included in the proposed partnership have been engaged with and agreed to the arrangements set out in the

2 schools, 16 to 19 academies, SFCs and FECs15

application.

Section 4 - FinancesThe value of some assets and liabilities may vary depending on the date of dissolution and, at this stage the values may be hard to specify with certainty. Where this is the case you should discuss the likely range with your EFA lead.

Section 5 - Additional informationConsent of Diocese, Foundation, Trust or other body – your project lead will need to see evidence of this in order to progress your application. You may send in a copy of their letter of consent electronically via Enquiries.EFA@education.gov.uk copied to your EFA lead contact or in hard copy to the department.

Any other information – please add any further information you think would be significant for your SFC’s application. Your project lead will be in touch to discuss this with you.

You may also send in any further information via Enquiries.EFA@education.gov.uk copied to your EFA lead contact, or in hard copy to the department.

Section 6 - Other informationYou may add any further information you think may be helpful or relevant here

You should also use this section to provide information on whether you provides any European-funded programmes; admit international students; or provide apprenticeships or other 19+ training for adults.

Please also indicate whether you intend to apply to the Secretary of State for a specific course designation for any validated HE courses that you are providing now.

Section 7 – Governance, leadership and management of the academy trust you will join or form

As part of the transfer process, we will expect your governing body to consider appropriate governance structure and arrangements for the future because, as an academy trust, we would expect its board to be lean and tightly run. The information requested therefore relates to the academy trust you will join or form.

We recognise that your governing body may not have reached firm decisions on this yet and we are interested in their thinking as it develops – your governing body is not required to commit themselves to plans at this stage.

Your governors may find it helpful to consult further information on the roles and responsibilities of members and trustees which can be found on:

The Charity Commission website:o Setting up and running a charity o Trustee role and board

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The Academies’ Financial Handbook, which can be found on the Education Funding Agency’s pages on GOV.UK.

The Governors’ Handbook, which can be found on the department’s pages on GOV.UK.

Number of founding members of the trust – these will be the individuals who will sign the memorandum of association that sets up the academy trust. The members agree the articles of association for the academy trust and hold the board of trustees to account for the management of the trust. The articles define the charitable purpose of the trust and how the trust will be run. The minimum number of members is three but we would encourage your governors to consider having five members in order to ensure that the members have the necessary skills and expertise to hold the trustees to account for school leadership/improvement, financial accounting and running a charitable company.

Please give the number of the members of the trust, the number of members who are also trustees, and the number of trustees.

Section 8 - Land and buildingsBuilding works, shared use including nurseries, Sport England funding and PFI - we do not need full information at this early stage, but it is helpful to know whether your SFC has any of these arrangements as they typically require additional time to deal with. This could affect your scheduled conversion date.

Section 9- ConsultationThe process of becoming an academy will be achieved through provisions of the Further and Higher Education Act 1992 which enable a sixth-form college corporation to dissolve and transfer its property, rights and liabilities to a new 16 to 19 academy. Please include confirmation that the governing body has considered what plans it has for the statutory consultation exercise and any equality impact assessment. Your project lead will discuss this with you.

Please email the completed application form (in Word format) to the following address Enquiries.EFA@education.gov.uk and copy it to your EFA lead contact.

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