Site & BuildingsOverview Guidance for proposer groups in pre-opening

Contents

1: Overview1.1 Introduction1.2 The Process1.3 Securing the Best Outcomes1.4 Working with the DfE

2: Delivery2.1 Stakeholders & Communications

2.2 Governance

2.3 Funding

2.4 Phasesi. Initiation

ii. Securing a Site

iii. Approval & Procurement

iv. Design & Planning

v. Construction

vi. Handover

3: Materials3.1 Glossary

3.2 NSN Checklists & Templates

3.4 Case Studies

Section 1: Overview1.1 Introduction1.2 The process1.3 Securing the best outcomes 1.4 Working with the DfE

1.1 Introduction Congratulations on receiving approval to enter the pre-opening phase. All your efforts through the application process have brought you one step closer to realising

your vision of your school. Over the coming months, the pre-opening preparation will involve considerable work across many streams of activity. This work will be

challenging but immensely rewarding. It is not to be underestimated. The work on site and buildings will be amongst the most challenging and time consuming.

Finding and securing a site for your school, as well as designing and constructing your school’s buildings, will mean working closely with agencies within the DfE,

especially the Education and Skills Funding Agency (ESFA) and their property company, LocatED. The path to a well sited, fit for purpose and inspiring new school

requires difficult decisions as well as risks, particularly regarding time and cost. Handling this requires active management and careful communication with your

prospective parents and other stakeholders.

The DfE, ESFA and NSN are extremely experienced in this process and will guide you throughout the whole process. The major aspects will be:

• Finding and securing a suitable site.

• Balancing your school’s needs within a feasible budget and meeting the ESFA’s prescribed approaches to delivery.

• Ensuring timely development of the buildings and the potential need of temporary accommodation for your school (avoided wherever possible).

• Securing planning permission for the design and a reliable main contractor for construction.

• Fitting your school out with the appropriate fittings and equipment, furniture and ICT.

The DfE and the bodies it commissions are experts, who will deliver on your behalf. You will be the ultimate occupier and as the ‘end client’ have the best

understanding of the vison for your school. Being well informed and engaged helps the specialists understand your needs and ensures you achieve the best possible

outcome. The DfE’s ‘Free schools Guidance for mainstream, special, alternative provision and 16-19 free schools in the pre-opening phase’ document is available

here. It provides the essential overview of the process ahead. Section 8 Site and Buildings should be referred to frequently. The document is accurate and totally up

to date. Your group's appointed premises lead should become very familiar with its contents. It will be referenced throughout this guide as ‘The DfE pre-opening

guide’.

Much of the pre-opening phase is prescriptive but there are opportunities to impact the school environment you will occupy. To achieve the best outcome requires

attention to details foreign to normal day-to-day school management like property management, school design and operations. The ESFA are the experts from a

technical and financial point of view but they do not know your school, your priorities or your ethos. They base their decisions on generic building bulletins, health

and safety documentation and legal and capital requirements. Your involvement is critical to achieving the best outcome for you.

This guide includes a glossary and is provided as part of NSN’s Foundation Advisory Service. It should be read in conjunction with NSN’s primer on Finding a Site. A

more detailed guide including checklists and tools is available alongside specialist site related support under the NSN Site Advisory Service.

Action or guidance points are provided here.

1.2 The Process

The ESFA is the DfE agency responsible for sourcing your school’s site and

buildings to occupy. They own and manage the capital funding budgets for

free schools with strict procedure, to ensure the best value for public

money.

They will provide the funding for:

• Your site

• Your buildings

• Your Furniture, Fixtures and Equipment (FF&E)

• Your ICT

The capital funding for each of these is tightly controlled by the ESFA.

Whilst the direct responsibility for the site and buildings will rest with the

ESFA, the school will be responsible for the procurement of FF&E and ICT.

However the process and budget will be overseen by the ESFA.

The DfE pre-opening guide includes a checklist of activities for site and

buildings. These are based on the broad phases of how to secure a site,

design buildings, construct them and the handover process. The likely

timescales are provided by ESFA here.

This NSN guide covers what to expect in this process, when key milestones occur, what these milestones are dependent on, who is involved and your explicit role in the process. It

covers the most straightforward of cases with the most frequently experienced aspects explained. Because of this it’s worth remembering your school’s specific circumstances may

involve additional complexities, such as unusual developer arrangements, land sale agreements with mixed-use components, or the phased release of land etc.

Most of the time, all of the pre-opening phase can be delivered on budget. However there are often periods of uncertainty, especially in the earlier stages. Your willingness to remain

flexible and properly understand the risks all while staying engaged will help navigate these stages and make the most of opportunities. This will give your community the confidence

needed in the school buildings programme to support student and teacher recruitment.

Stay fully engaged with the ESFA to develop confidence in your programme and understand the timescales.

Activities to complete Who has

responsibility

Recommended

timescales to

complete

Arrange site kick-off meeting. Lead Contact Phase 1

Search for a site. ESFA Phase 1

Confirm a suitable site has been secured that

can be delivered in the timescales and

represents value for money.

ESFA Phase 1

Checkpoint meeting to discuss confirmation

of the provisional opening date.

ESFA/ Lead

Contact

Phase 1

Confirm technical feasibility of site, including

planning.

ESFA Phase 2

Procure construction works and ICT. ESFA Phase 3

Build or refurbish school. ESFA/Trust Phase 3

Building works complete and site handed

over.

ESFA Phase 5

1.3 Securing the Best Outcomes The development of a new school relies on many organisations working together towards a common goal. Each operates with their own pressures and motivations and none understands

your individual school vision as well as you do. Keep in mind the success and wellbeing of your future staff and students and remember to communicate clearly what this would require.

Securing the best outcome means:

• Ensuring it meets your vision for your school.

• Ensuring it meets the needs of students long into the future.

• Ensuring the infrastructure and fabric is maintainable and encourages sustainable behaviours.

• Ensuring the design is flexible and able to adapt to future needs.

• Possibly ensuring the design considers opportunities for revenue generation.

• Providing a community use asset where appropriate.

• Ensuring it is in keeping with its physical and community context.

• Ensuring it offers an inspiring place for learning.

• Ensuring a welcoming ambience and reception area.

All school developments face constraints. Your programme will need to understand, consider and balance these constraints:

• Capital funding for schools is tight. The ESFA budgets provide for basic school infrastructure only.

• The permitted builds are prescriptive and have limited flexibility. This repeatable approach reduces risk and cost across the ESFA portfolio.

• There are high levels of scrutiny on all funding and procurement options.

• Minimising delivery and budget risks leads to limited opportunity for creative extension or flexibility.

• There are always unforeseen issues in construction: impacting timescales and constraining designs.

• The size of plots of land available (too large, too small) and the phasing of when it becomes available (depending on other circumstances) can be difficult.

• The permitted development, design, planning approvals and conditions of development may be constrained.

• Additional funding options are inflexible. Currently capital from other sources does not extend the overall ESFA budget for your school.

• Creativity beyond well-managed boundaries is discouraged as it often leads to risk and overspending.

Working within these constraints, a well-informed and positive engagement will influence aspects of your build for the better. Appointing a lead contact for premises to oversee your

programme and holding regular meetings with your ESFA Project Director (PD) and Project Manager (PM) are important to ensure proactive communication. The overhead on this role

may build up and you will need to ensure they have capability and capacity separate from your Principal Designate (who will maintain a critical role in the design). Being an active

participant that’s both aware of the constraints and challenges and is a positive, proactive manager of them will help secure the best outcome.

Appoint a separate premises lead to understand and manage the process.

1.4 Working with the DfEThe ESFA is the executive agency of the DfE responsible for providing your site and buildings. They may

commission LocatED, a property company wholly owned by the government, to find and purchase a site. The

DfE, ESFA and LocatED are all seeking the same outcome as you: an outstanding school in a viable, manageable

site.

Your primary point of contact will be your ESFA Project Director or Manager (PD/PM). There are nine different

ESFA roles you may become engaged with, all of which are described in Section 8 of the DfE pre-opening

guidance. Refer to the guidance to familiarise yourself with these roles.

ESFA delivery roles

• Project Director (PD)

• Project Manager (PM)

• Project Technical Adviser

• Regional Technical Adviser

• LocatED Acquisition Manager

• Regional Planning Leads

• ICT Adviser

• ESFA Legal Manager / LocatED

• Commercial Manager

Your ESFA PD/PM will help you navigate the process, explain

the constraints and manage the risks in your programme.

They understand the challenges faced by groups but must

work within their well defined internal processes.

The ESFA PD is accountable for budget funding and will follow

a fixed capital expenditure (CapEX) budgeting process. The

ESFA are specialists in the technical aspects of property and

construction, having a wealth of experience from the

numerous complex deals they have negotiated in the past.

All school programmes are different. Where a programme can be designed within well understood thresholds it is likely to progress smoothly. Exceptions

such as budget constraints, specialist requirements or complexities with a site are managed tightly. The ESFA are motivated to deliver free school projects

on time and on budget while minimising risks by following a proven approach. They will tend to prefer ‘design and build’ contracts with builders, who carry

the full delivery responsibility once the contract is agreed.

The ESFA will appoint internal and external specialists throughout the process but you will be expected and encouraged to input at critical points. You

should aim to be clear and realistic, taking into account the advice from the ESFA at all times. When on site, you will probably have more engagement with

the Project Technical Adviser and Project Manager, so it is important to get to know them well and build a good working relationship. Working together is

the best approach.

DfE is the ministerial department responsible for children’s services and education.

ESFA is the executive agency of the DfE accountable for funding education. They will provide the capital funding and expertise to secure your site and construct your school buildings.

LocatED is a wholly government-owned

property company, responsible for buying and

developing sites in England to help meet the

demand for free school sites.

Work closely with your ESFA Project Manager and Director.

Section 2: Delivery2.1 Stakeholders and communications 2.2 Governance 2.3 Procurement and funding 2.4 Strategic milestones 2.5 Approach and expectations

2.1 Stakeholders and Communications

The progress that you are seen to make on securing a site and developing the

buildings has a considerable effect on student and staff recruitment.

There is an extensive set of stakeholders interested or directly engaged in

developing a school’s site and buildings. They tend to fit into four categories:

1. The school – Those closest to the delivery of your new school.

2. The site and construction – Those involved in the site and buildings.

3. The community – A wide net of those with adjacent interests.

4. Influencers – Politicians, journalists and commentators.

The list of stakeholder groups to consider can be long and your school might have

additional ones. It is important to consider all groups; they can be valuable sources

of support including in:

• Statutory Section 10 (S10) consultation.

• Planning approval for your buildings.

• Finalising your funding agreement (requires a positive S10).

• Community acceptance and the long term success of the school.

A few may have concerns, be detractors or pursuing agendas that place additional

risk or constraints on your school. In some instances they may be seeking very

specific outcome or assurances from your programme.

Within the long list some may only require very infrequent or narrow engagement,

but managing your communications with all stakeholders is crucial to success.

• School

• DfE, (ESFA and LocatED).

• Proposer group, governors, trustees etc.

• Principal Designate (and SLT as recruited).

• Prospective students and their parents.

• Local schools.

• Site and construction

• Current land owner and adjacent land owners.

• Local Authority.

• Site neighbours.

• Various legal and regulatory bodies.

• Design team.

• Constructors, contractors and consultants.

• Community

• Faith organisations.

• Sustainability and local built asset campaigners.

• Community asset groups.

• Neighbours to the site.

• Local businesses.

• Sponsors, partners and funders.

• Influencers

• Local Councillors.

• Local MPs.

• PR/Press.

• Commentators.

• Social media and forums.

Identify all your stakeholders.

2.1 Mapping Stakeholders

Consider your stakeholders’ level of interest in the

success of your programme and the influence they may

carry. By mapping them (individuals or groups) along

these two simple axes, the most appropriate level of

engagement becomes clear.

For instance, parents of prospective students are one of

the most interested and highly influential groups. They

are your most critical stakeholders meaning you will need

to be in constant communication with them.

You may notice your Local Authority has a very high

influence on your success, yet a low interest in it. In that

case, planning on how to actively engage them becomes

important.

This approach can be especially valuable with planning

applications. For instance consulting with influencers who

have concerns about your development and ensuring you

have gained their support will become easier using this

approach.

Local residents can become loud and have a huge negative impact. It is important to engage them but one has to have realistic expectations, some may never want a school or

building near them and will never be satisfied. Your senior staff, other staff/governors and a small group of parent champions will want to be involved, ensuring you have the time

to engage effectively with these important groups. It will garner their support and ownership rapidly. The inevitable uncertainties of a school building programme carries the risk of

eroding the confidence of a group of prospective parents. One of the most critical communications tasks is maintaining momentum through extended periods of building. This can

be especially challenging as proposers and early supporters of your school may be parents with a fixed deadline for starting their child’s education at your school. Any delays with a

site can become emotionally charged, this is to be handled carefully.

Maintaining momentum for a site will require careful management. Translating progress you are making behind the scenes into a tangible message for parents is important. NSN

Essentials Advisory Service provides a suite of engagement and marketing advice including details on this approach and how best to achieve it.

Understand their interests and how best to engage them to support you.

Infl

uen

ce

Interest

INFORM

KEY PLAYER

LOW PRIORITY

MEET NEEDS

Manage closely

Involve in decisions

Engage

Consult

Understand risk

Build interest

Monitor Involve

Supporter role

2.2 Governance Alongside providing requirements and design inputs to the site and building process, a proposer group has a crucial governance role. It

is important to appoint a dedicated contact as your ‘premises lead’. Ideally they should not be your Principal Designate. This is made

explicit in the Key messages section of DfE pre-opening guidance, Section 8 Site & buildings:

‘Finding the right site for your free school is very important. It can also be the most time-consuming, complex and frustrating aspect

of your project. However, it is important not to get distracted by the site at the expense of the key tasks during pre-opening. Clarity of

roles within your proposer group is crucial in relation to this. Division of tasks so that there is a person who leads on the site and

works with the ESFA will prevent people from worrying about the site unnecessarily.’

This role does not need to be filled by a technical construction or property expert and in fact in some cases a commercial property

background, while helping one understand much of the process, carries expectations that are different from the processes, approaches

and constraints of the public sector. The role will report back on progress and key decisions, while coordinating inputs and discussions

with the proposer group ensuring clarity and a single point of contact for the ESFA.

Premises Lead Capability

• Balanced decision making.

• Complex projects.

• Risk management.

• Dealing with uncertainty.

• Translating technical detail.

• Stakeholder management.

• Communications.

• Programme oversight.

• Pragmatic.

• Calm under pressure.

For straightforward programmes appoint an appropriate person and delegate as

required. For more complex developments, there may be value in convening a

subcommittee or working group specifically for site and buildings. It would be

chaired by your premises lead and may include a wider group of involved

stakeholders, such as the Local Authority and adjacent tenants etc. This group

should be kept to the smallest size possible and with a more formal setup. Meeting

regularly, running to agendas, capturing minutes and reporting back key aspects to

the proposer group are essential for a functioning subcommittee or working group.

These regular working group will help coordination, aid faster decision making and

keep communication flowing through the early stages of progress, all until regular

design meetings are occurring with the architects. The working group would be

responsible for keeping the risk register for premises. It is important to keep the

premises lead role as one of governance, distinct from other operations.

Act in a governance role and consider a small working group if necessary.

Working group considerations

• Risk Register for site and buildings.

• Understanding levels of uncertainty.

• Information gathering to inform balanced

decision making.

• Site and design options.

• Temporary accommodation options.

• Technical constraints and options.

• Procurement advice.

• Management of inputs.

• Future lease obligations.

Governance Organogram

DfETrust

ESFAWP

Your WP (working party for

premises) will be chaired by

your Premises Lead. May only

require the PD in addition.

2.3 Funding The capital funding for the acquisition of your site and construction of buildings will be calculated and provided

by the ESFA. Their internal processes are tightly managed and follow robust costing, budgeting and sign-off

that you will not be party to. The ESFA do not provide your school’s operating budget, which comes via your

funding agreement with the Secretary of State. Your funding agreement is unlikely to be signed until key site

and buildings milestones are achieved.

Site acquisition costs and the construction/refurbishment budget is modelled by the ESFA and requires

ministerial approval. The ESFA or LocatED will negotiate a Sale Agreement with the existing land owner and will

calculate the construction and/or refurbishment costs for buildings. Their models are robust and account for

different circumstances. The site and buildings proposed will have to comply with the space requirements

(called area guidelines) and prescribed building approaches in BB103 (mainstream) and BB104 (alternative

provision).

There is value in your premises lead understanding these processes in detail, as portions of the overall budget

are aspects the school is responsible for procuring directly. These include FF&E and ICT, which are budgeted for

within the overall budget set by the ESFA and approved by the minster. An overall capital (CapEx) budget is set

to cover the costs of:

• Acquiring a site.

• Construction, enabling works (preparation of the site), refurbishment and new buildings.

• Furniture Fixtures & Equipment (FF&E), loose and fixed, and ICT equipment, loose and fixed.

Any budget set aside for temporary accommodation (where necessary) is considered a separate portion

managed within this overall budget. Any spending on temporary buildings must be kept to a minimum as it will

be considered within the ESFA’s overall cost and value for money calculations. Any loose ICT and FF&E

procured for a temporary site will be accounted for within the overall budget and expected to move to your

new build.

Your procurement processes must follow the guidance in Section 7 DFE pre-opening guidance. Any lease will

likely be a 125 year term on Full Refurbishment and Insurance (FRI) terms, which means you are responsible for

insurance and maintenance, with the DfE as an arms-length landlord. Additional funding streams are rare

unless exceptional and unavoidable circumstances arise.

Site acquisition: The ESFA will acquire a site and may provide

a 125 year FRI lease to your trust.

Temporary accommodation: a separate budget line, held

within the overall budget for the programme. Costs must be

minimised as any spend on temporary impacts the overall

budget for the school.

FF&E Fixed: a separate budget line (combined with FF&E

Loose). Preferred to be tendered by the main contractor.

FF&E Loose: a separate budget line (combined with FF&E

Fixed), procured by the school. May be tendered by the main

contractor.

ICT: a separate budget line, procured directly by the school.

Other: Any cost outside of the above is to be avoided.

Unlikely to be approved, even when incurred by a trust. Will

impact overall budget. Considered on case by case basis.

Buildings: will be designed and built or refurbished within

tightly controlled capital funding budget.

Understand the budgeting model the ESFA follows.

2.4 Phases 1-3

The programme will follow phasing defined by the ESFA. In some circumstances the sequencing may be different, and some activities may happen in parallel. Some sites and school requirements will require feasibility studies and potential designs to be created earlier in the process than is usual. Some sites will be a mixture of new build and refurbishment and others may have dependencies on adjacent development.

ESFA’s experience to date is reflected in the most common phases and timings given below. Each phase with its

key aspects is explored in more detail.

Timeline from approval to handover:

• Primary new build between 31 - 56 months

• Secondary new build between 36 - 63 months

• DfE kick-off meeting.• ESFA site launch meeting.• Project team set up meeting. • Project enters into pre-opening

phase.

A site identified:

• Confirmation of site.• HOT agreed.• Exchange of contract.• Completion of contract.

No site identified:

• LocatED commissioned for site search.

• Site identified and agreement reached on suitability.

• HOT agreed.• Exchange of contract.• Completion of contract.

• Set budget for construction, FF&E and ICT.

• Feasibility studies.• Agree schedule of accommodation.• Develop baseline design option.• Tender period.• Business case and appointment of

contractor.• Client engagement meetings.

- T I M I N G O F P H A S E S -

1-2 months. 1-3 months. 1-12 months• Varies by region and size of site

required.• May be longer for London and

South-East region.

• Capital approval c.1-2 months• +7-10 months procurement

process.

Initiation1 2 Site secureApproval & procurement3

2.4 Phases 4-6

Scheme design and planning is a critical phase. It is the point at which your school becomes tangible to communicate to parents, and where confidence in delivery builds rapidly. The planning application process can be fraught, and you will need to garner the support of many stakeholders, sometimes with parts of your community who may be set against your proposal.

Once planning is approved and you are in a contract with the main constructor, the risks reduce somewhat. They continue to reduce further as building work progresses. After handover of the building and school lease, there is a one year defects period.

• Outline design of scheme.• Submission of planning application.• Planning application determined by Local

Authority.• Approval – detailed design.• Rejection - appeal, Judicial Review.

• Detailed design of the scheme.• ESFA agrees scheme and budget.• Contractor discharge any pre- conditions for

planning.• Start on site - construct.• Procurement of loose FF&E & ICT.

• Completion of scheme.• Commissioning of all services.• Training of school staff.• Handover of building.• Start of defects period -1 year.

- T I M I N G O F P H A S E S -

• Current education sites – c. 5 months.• MOL or sites requiring change of use designation

by planning authority , planning appeals etc. – c. 12 months.

• Primary School: c. 13 months.• Secondary School: c. 18 – 22 months.• Special Schools new build - between 30 – 55

months.• AP/SEND School: c. 12 months.

• 1 month.• Final accounts may take up to 3 months.

Design & planning4 5 Handover6Construction

2.4.1 Initiation

As soon as you are approved for pre-opening, a project team is set up within the DfE and the ESFA for your programme. A meeting regarding your site will be arranged with you. This ‘Post application approval’ phase should move quickly, ideally within a month or two.

The site launch meeting is likely to be your first with your ESFA Project Director and Manager and sets the scene for the pre-opening process and the relationship you will have with them. This meeting is important for transferring your knowledge regarding your school and site needs and for you to understand the ESFA’s working practices and timescales.

Preparation for the meeting should include:

• A review of Section H of your application submission.• If you have a site in mind or site options, provide a commentary and your local knowledge.• Complete a LocatED site search template – provided by NSN here.• Understanding of the process - review this guide and familiarise yourself with the documents it

references.

The ESFA will be assessing your group’s readiness and likelihood to secure a site quickly and/or for a search to be successful. They will be considering risks and confidence in feedback to the DfE. In addition to specific property and site aspects, they will want to understand the demand for places, the local context, your community engagement to date and your relationship with your Local Authority. These each inform an early assessment of the programme ahead.

This first meeting is also your opportunity to make your site and building needs clear. Specific requests included within the vision and provision of your submission can be explored, as can any conditions placed on your approval.

Remain flexible and open in your discussions and ensure you have a clear rationale for your requests. Make sure you agree with your ESFA Project Director and Project Manager a set of processes around regular communication and assessment of progress. A positive meeting will feel you have ownership of the client role and a thorough understanding of the ESFA position and their buy-in to yours.

Prepare as a well-informed, collaborative ‘end client’.

Key aspects of this phase

• Familiarisation & orientation within the site search process.

• Initial sense of the likelihood of securing a site.• Stakeholder understanding and the roles of LocatED, the

ESFA, the DfE and the Local Authority.• Creation of your site and building Risk Register (can follow

the site kick off meeting). • Communication and relationship building, including

expectation setting.

2.4.2 Securing a site – one in mind

The work begins immediately to secure a site. Two tracks can be followed:

1. If your application included an identified site, which remains available and is feasible to develop as your school, or

2. If no site has been identified and a site search is required.

If a site was included in your submission, it is likely to be known to the ESFA. With such a site, swift progress can be made towards Heads of Terms (HOT). If you know the current land owner or are familiar with the site, any assistance and information you can supply will be valuable.

Please bear in mind how important it is to not enter into any direct negotiations yourself as Sale Agreements can be complex. There are often commercially sensitive negotiations needed to secure sites. Any misguided expectations or marketplace perceptions about a site can materially affect the ability of the ESFA to secure the site.

Key aspects of this phase

• Understand and familiarise yourself with the certainty levels and risks.• Visit the site (if not already done so) to assess how the school may operate.• Take guidance from the ESFA, especially regarding HOT and Sale Agreement progress and timings.• Understand the future planning approval context. • Review and consider Local Authority (LA) engagement if appropriate.

• Tailor your other, non-site related activities, around the realities of the site.

What are Heads of Terms (HOT)?

In a property transaction, parties often first agree a set of key commercial terms and principles upon which the transaction would proceed. This document is referred to as the heads of terms (HOTs). It will usually include:

• Details of the seller/purchaser.• Details of any agents acting for the parties.• Details of the lawyers acting for the parties.• Description of the property.• The type of acquisition e.g. peppercorn lease, commercial

lease or freehold.• The payment information i.e. agreed purchase price or

rent/premium.• Terms of the lease (if relevant).• Any conditions that must be satisfied prior to exchange

and/or completion e.g. planning, vacant possession etc.• Transaction completion timescales.

ESFA description here.

Do not initiate direct negotiations with land and property owners. Pass details to the ESFA or

LocatED to lead, as you may jeopardise their negotiating position.

Understand and communicate the level of (un)certainty and nature of risks faced.

Progress on securing a site will determine the approach the DfE takes with your pre-opening. Activities in pre-opening may be sequential or concurrent depending on the site progress being made. Refer to DfE pre-opening guidance 1.14 for details. Where no site is identified, the ESFA will instruct LocatED to search for one that meets the requirements of the school and their acquisition criteria.

2.4.2 Securing a site – Search Required

Finding a site can be challenging, especially in high demand areas. A LocatED search is commissioned to source sites that meet the requirements of the school, and the ESFA’s criteria for acquisition, including value for money. The minimum internal size and requirements for schools, as defined here, and summarised in the table opposite are the primary guidelines for searching for suitably sized buildings and appropriate sites.

It is important to recognise the ESFA requirements may differ from your group’s vision for a site and they may not be in a position to secure every aspect you determine to be important. It is possible elements of provision included in your submission, that depend on certain physical attributes of a site or buildings, may not be feasible and you will need to explore alternatives together.

It is advisable to avoid setting your heart on any single site, or aspect, that does not fall within the standard definitions for space and buildings. However, clarity from your group regarding requirements (within realistic expectations) helps LocatED with their search and may open up more creative opportunities.

This period can be frustrating for groups and while you may be able to support LocatED with your local knowledge of any possible sites, you will be discouraged from engaging actively in a search of your own for a permanent site. Understand how your search is progressing, be positive in your feedback and realistic with your expectations of progress.

Support the site search, remain flexible, appreciating timescales and risks faced.

Where the need for places at your school is particularly acute, and a permanent site is considered feasible but some way off, consideration for opening your school in temporary accommodation may be given. Finding a temporary site for a year or two can prove equally challenging and your group may be expected to take the lead, with the support of the ESFA. Very often a proposer group has better local knowledge to suggest sites and you should be proactive. Options may be explored to place temporary buildings on the same site as your permanent school. Explore options with and remain guided by your Project Director. Unless a site is proposed with HOT agreed, the DfE will not allow project implementation such as recruitment of staff, curriculum development etc. to be progressed.

A site may open with the release of land and buildings being developed over time, in phases. Understanding these options in detail will be critical when communicating your chosen approach to your community.

Key aspects of this phase

• Maintaining a realistic and pragmatic approach.

• Feasibility of sites and opportunities.

• Expectation of project progress.

• Local Authority (LA) engagement.

• LocatED support and successful search.

• Level of need for places and likelihood of temporary

accommodation.

• Stakeholder communications.

Special Schools

Mainstream & Post-16 Schools

Age Range Size (m2)

Nursery (2-4 or 3-4) 4.1m2 per pupil

Primary (5-11) 350m2 + 4.1m2 per pupil

Secondary (11-16) 1050m2 + 6.3m2 per pupil

Post-16 provision in a

school

350m2 + 7m2 per pupil

Post-16 provision as a

stand-alone school

1050m2 + 7m2 per pupil

Age Range Size (m2)

Primary; ambulant 700m2 + 15m2 per pupil

Primary; non-ambulant 700m2 + 21m2 per pupil

Secondary; ambulant 700m2 + 15m2 per pupil

Secondary; non-

ambulant

700m2 + 21m2 per pupil

2.4.3 Approval & Procurement

With Heads of Terms (HOT) agreed, the ESFA will be working on a budget model. This is updated with the acquisition costs and more detailed construction costing as they become clear. They will be considering realistic timings for opening and whether temporary accommodation will be necessary.

They may have commissioned feasibility studies and will have considered planning approvals and other impacts on timing. Once confidence in securing the site, and achieving a build within budget, is high enough, the DfE will confirm a provisional opening date in writing.

This is a very positive and important milestone. This is not your funding agreement but is a vote of confidence in your site and buildings programme, and should be sufficient to market to prospective parents with a known site and opening date for your school.

With the ESFA internal approval process securing a budget, their preferred delivery model is to seek a Design & Build contract with a constructor. They will manage a tender process to identify the best provider from a framework agreement of pre-approved constructors.

The procurement process is robust with the specifications, costs, design and preferred approach to delivery all explored in considerable detail. There is an opportunity for groups to play a role in the tender process where aspects such as community and school engagement may be offered as options by tenderers. The primary assessment criteria will be budget, quality and delivery confidence.

Key aspects of this phase

• Understand your opportunities to influence.• Maintain the client role.• Know the levers for quality outcomes within the

prescriptive school design.• Agree the schedule of accommodation with the ESFA.• Balance the ESFA budget and mandatory requirements

with your needs.• Feasibility studies, maintaining a quality design.• FF&E and ICT – temporary to permanent home.• Actively engage and support the development of a

baseline design for your school to support the procurement of a ‘design and build’ contractor.

• Understand procurement options.• Constraints (phasing, shared use, refurbishment, indoor

space, outdoor space).• Proposed innovations in the design and build.• Manage expectations & value engineering impacts.

Provide input to and governance oversight of the procurement process.

Each project will handle this process differently, ensure you have the opportunity at the very least to meet the key personnel involved in delivering your building such as the Site Manager and others where an understanding of what is important to the school is critical. This is especially required when building alongside an existing open school.

The ESFA may introduce your FF&E and ICT procurement needs at this point and engage you in early discussions. You will be responsible for and will need to plan these, and with the ESFA’s support ensure they integrate with the construction programme and any temporary accommodation. You must follow DfE pre-opening guidance, Section 7 on procurement processes.

More complex approaches where Design and Build phases are tendered separately or alternate developers (such as a Local Authority) may arise and and you will be guided by the ESFA.

2.4.4 Design & Planning You may have design and feasibility studies commissioned early by the ESFA to assess site options and inform their budget. As you move into more detailed designs, they will follow a framework published by RIBA here. Between stage 3 and stage 4, the key aspects that will form the end state of the school buildings become fixed.

Inputs from your group will be key throughout this design process. Your Principal Designate (PD) has a key role informing the detailed design. This will cover elements such as the type of teaching, science demonstrations, decisions about the accommodation schedule, location and distribution of departments and classrooms etc. It may cover mechanical and electrical equipment (such as ventilation systems), sustainability and flexibility of spaces. Your PD should involve department heads as necessary and where available.

Once your preferred main contractor is selected, they will take on any designs carried out to date and translate them into a ‘buildable’ project, with detailed costings. There are a series of specialists involved through this intense design period and potential for considerable change. Options are presented to groups and you will need to be responsive and engaged to ensure your preferences are captured in the design.

Key aspects of this phase

• Timely inputs to design.• Non-material design changes.• Minimise impact of value engineering.• Maintain client role and avoid poor design.• Balance the ESFA budget and mandatory requirements. • Engage with your contractor.• Local Planning Authority knowledge.• Planning readiness and confidence in planning approval -

expectation setting.• How to work together for a positive planning outcome. • Gain community buy-in. • Planning conditions, and S106.

Input to design, review value engineering and garner support for planning application.

To meet tight budgets, a ‘value engineering’ approach may be applied where specific elements or approaches are removed, altered or re-thought to reduce overall costs. In some cases this approach results in a better quality design, in others there may be necessary compromises you may be required to make the programme feasible. Before agreeing to any compromises you need to carefully consider them to ensure they do not adversely affect your educational vision and the successful operation of your school.

Be aware that every detail should be considered (for instance: water fountains inside and outside, notice boards, PE equipment, catering cutlery & crockery, blinds etc.) and the ongoing maintenance impact and needs (for instance the need for cherry pickers to clean windows or change light bulbs is expensive, how complex is the heating and ventilation system, is the paint appropriate for a school or will it scuff easily, do you want movement sensitive lighting systems, are sprinklers required ? etc.) For refurbished buildings, ensure major items (roof, windows, heating etc.) are fully replaced or in perfect order.

The proposed design will require planning approval from the Local Planning Authority and the technical aspects are manged by a specialist planning consultant. This is a major milestone and may face resistance from the community, particularly from proximal neighbours. Any refusal of planning at this stage can put the project back many months or years. Often one of the key drivers for planning approval are issues around travel, congestion and drop off. You may have to contribute to the planning application with a robust travel plan, demonstrating how the school will be mindful of these issues. Planning conditions can be applied to the site that impact the operation of the school and there are many nuances to achieving approval of a design with acceptable conditions that works for all parties (and within a budget).

2.4.5 Construction

The main contractor will enter into a Development Agreement contract with a defined specification and date on which to deliver it. They will be commercially incentivised to meet this date.

The work begins on site, and will move as quickly as possible, to refurbish or repurpose existing buildings and/or build new ones. Construction programmes tend to have many dozens of subcontractors and a complex set of sequencing and interdependencies between them.

The construction company will be managing the whole programme and will be tightly overseen by an ESFA Project Manager (PM) and technical consultants. There will be a regular rhythm of onsite meetings throughout construction that the ESFA PM will attend.

Input to reviewable designs, keep to specification and review all value

engineering.

Key aspects of this phase

• Regular monitoring of the construction work with the ESFA to ensure programme delivery.

• Engage in reviewable designs. • Manage expectations & value engineering risks.• Ensure best quality outcome in contract. • Ensure FF&E loose and fixed and ICT are procured and

integrated into the programme.

There are likely to be outstanding design decisions to be made, such as specifying finishes from options presented. These ‘reviewable designs’, will have points in time by which they must be made. You can continue to impact the overall quality of the finished buildings by staying engaged and robust in choosing your preferred options.

All other design elements will have been fixed under a ‘design freeze’ and can no longer be changed without incurring cost or impacting the delivery date. Note that it is likely changes will continue to occur (called variations) and they may be in the favour of the school and realised as development proceeds. Even when priorities and important details have been confirmed previously, new costs can arise. Ensure a contingency is being set aside and a robust record of all the change decisions being made is being managed by the ESFA PM and your contractor. Record and manage requests you have had agreed in meetings, to ensure they are delivered.

Confidence in the delivery continues to grow as construction progresses. The risks to the programme are mainly borne by the constructor and although delays may still occur, all parties will be motivated to keep them to the absolute minimum.

The progress on your site finally becomes tangible as the building raises out of the ground. There are a series of communication opportunities presented, such as a ground breaking ceremony, or a topping out ceremony you can involve your stakeholders in.

From this point, your school should be planning for the specific dates and periods to be setting up in your new school buildings and decanting staff and students from temporary accommodation (if required).

2.4.6 Handover

When your building is handed over to you the operational liabilities pass to the school/trust. Knowing what these are in advance and ensuring they are fully planned for is essential. The constructor will offer a defects period (usually 1 year) and you may have outstanding snagging issues to be resolved as you move in.

Before occupying the building you will need to undertake risk assessments (i.e. health & safety, Fire and safeguarding assessments) to comply with legislation and protect your trust. There may also be some pre-or post-occupation planning conditions that may have been set by the Local Planning Authority, which need to be met. Your ESFA PM and contractor should alert you to which conditions you have direct responsibility for meeting. These could include development or confirmation of a waste management plan, a school travel plan, a school community use plan, catering delivery time constraints etc.

The contractor will provide a ‘how to run your building’ operations manual. There are many control systems in a modern building and the safe, efficient operations of them is a considerable undertaking. Ensure it is fully detailed and includes warranties that have been critiqued by the ESFA technical team for completeness and accuracy.

Ensure property management and operational readiness is planned for.

Key aspects of this phase

• A business manager or property manager to take overall responsibility for premises operations.

• Conducting statutory risk assessments.• Meeting any pre- or post-occupation planning

conditions.• Organising operations.• Ensuring adequate training and instruction in all

systems. • Fully understanding your obligations and responsibilities

under your lease.

Ensure you have a person ready to take on-board all these elements and responsibilities. For larger schools this can be a Business Manager. Smaller schools should, where possible, seek capability and capacity for this role outside of teaching staff or Headteacher. [Note: the ESFA are considering asking contractors to revisit c. three months after handover – following learnings from open schools - as the day of handover is often not ideal for a thorough familiarisation and training session, given everything else happening on that day.]

As you occupy your new building, all thoughts and planning is likely to be on the students and school operations, and it is difficult to absorb all the relevant information regarding building management. Ensuring good operational procedures will reduce risks and unforeseen costs. For instance ensuring efficiency in energy and utilities usage, fire safety obligations and process, and security systems. Training on how to use the building must cover what maintenance contracts are required so warranties are maintained.

If the school is moving from temporary accommodation, there is the need to decant all staff, students, equipment, ICT, loose FF&E etc. You will need to plan this process in the weeks running up to handover.

If you are taking on refurbished buildings, there may be considerable property management and utilities liabilities you must take into account.

Section 3: Materials 3.1 Glossary 3.2 NSN checklists and templates available 3.3 Case studies

3.1 Glossary

Technical terms, abbreviations, acronyms and jargon are used throughout the property and construction industry. Many terms refer to specific or generic approaches to project management and delivery. NSN has used terminology to refer to concepts and services explained elsewhere.

A short glossary follows, listing some of the terms you may come across. An indication of the category they fall into is given beside them.

Categories:

• (N) – Refers to terms in use at NSN.

• (G) – Refers to terms in general use.

• (I) – Refers to terms specific to the construction industry, or specific to the site and buildings process.

• (P) – Refers to terms used in project management.

3.1 Glossary

(N) Best outcomes (I) Call-in (P) Change control

A reference to the limited, yet critical, ability of a proposer group to influence site and buildings. Ensuring the site is the best available and the buildings are the best possible - given the constraints and dependencies between all stakeholders. An example may be a group’s ability to ensure a site meets their needs with a clear brief to the ESFA/LocatED.

In some circumstances (such as a large metropolitan area) the Local Planning Authority may be obligated under certain circumstances (such as size of development) to refer to a larger planning authority. In London, the GLA has oversight of local planning and the right to ‘call-in’ for review granted applications. You can find an example description of the process here.See para under: Direction that the Mayor is to be the Local Planning Authority.

A recognised project management term that describes the process by which change to the scope of a project is managed (once the project is agreed). It is critical that a formalised process of mutual agreement, incorporating the terms of the change is included in charged for services.

(I) Conditions (I) Control systems (P) Deliverables

In a planning approval the planning authority may place mandatory conditions that must be satisfied by the developer.

In a free school pre-opening approval the DfE may place conditions on the proposer.

There are multiple building control systems such as those controlling heating, ventilation, fire alarm, utilities, access control etc.

A term used when specifying project scope.

Deliverables are specific items (physical, digital, activities etc.) such as a risk register.

(I) Design freeze (I) Design team (I) Design user group (DUG)

A point in the design and construction process where the designs are fixed and the constructer will build to them. Any further change to the design after the design freeze will have considerable implications, including higher costs.

The architects and set of specialists that develop the design of the school.

A series of formalised meetings between the Design Team (often led by architects and including appropriate specialists, such as landscapers or Mechanical & Electrical Engineers (M&EE)), and the group, (usually the principal designate plus the premises lead). These may be weekly through intense periods and bi-weekly or monthly otherwise. They cover a set of design related aspects such as specialist classroom layouts, overall school layout, use of the space, choice of heating systems etc.

3.1 Glossary

(I) Feasibility design (I) FF&E (loose & fixed) (I) FRI lease

Use of architects and other design agencies to consider high level options for a site and buildings. This may consider placement of buildings (can they fit on the site), transport, pedestrian flow in constrained areas, outdoor space access, landscaping options, phasing, planning considerations etc. Used to inform decisions on the appropriateness and approach to securing a site.

Furniture, Fixtures & Equipment such as shelving or catering appliances. Fixed are those that are robustly secured or otherwise integrated in the fabric of the building, such as built in storage. Loose are those that are movable, such as movable bookcase room dividers.

Full repairing and insuring lease. The tenant (i.e. the school) is fully responsible for maintenance and insurance for the duration of the lease.

(G) ICT (loose & fixed) (N) Influence points (N) Milestone meetings

All computing and telecommunications equipment. Fixed are those that are robustly secured or otherwise integrated in the fabric of the building, such as switches, cable trays and server rooms. Loose are those that are movable, such as laptops.

Throughout the process for securing a site and buildings there are periods of activity, control or decision where the group may be able to influence the end outcomes (what site / what buildings). Overall the process is very prescriptive with seemingly limited opportunity to influence. However, small inputs at the right time, to the right people and processes, are able to impact positively. The NSN Milestone Meetings approach has been developed around these key influence points.

A series of meetings between NSN Adviser, NSN Associate and proposer groups. They form the majority of the service and are explained in full in this document. Denoted as MM#n. Very similar to NSN Specialist meetings in the Development Programme.

(I) Non-material design changes (I) Novation (I) Operational liabilities

In a planning application process, once planning permission has been granted, the design of the buildings may continue to evolve. The planning process includes flexibility to incorporate small changes without triggering the need to reapply for planning permission with the new designs. These small changes are often termed ‘non-material’.

To novate is to substitute an existing contract or agreement with a new one. It is common practice for design teams (architects) who have been commissioned to design a building to be novated to the main building contractor once they have been appointed. This preserves continuity of design. The alternative is that the main contractor brings in their own design team who have to pick up from the previous architects. Note: The ESFA tend to prefer design and build contracts (where the main contractor is also the designer, under a single agreement) and in that instance, novation would not apply.

A building or site may have specific obligations or liabilities (applicable to their site and buildings) and will need planning and a maintenance schedule for all building fabric, services and equipment.

3.1 Glossary

(P) Prerequisites (I) Reviewable design (P) Risk register

A recognised project management term. Prerequisites are the circumstances and items required in order to produce the deliverables (for instance the client must provide certain information).

Elements of the design that may be specified later in the process without incurring change control. For instance choice of finishes to staircases may not be fixed when a constructor enters into contract, but may be specified later on in the programme.

A list of individual risk items that are assessed by their likelihood to happen and their impact on the programme, that is monitored and managed regularly.

(I) Sale agreement (I) Schedule of accommodation (I) Section 106

The Sale Agreement is the contract under which the ESFA purchase your site from the current owners. The ESFA will supply the trust a 125 year lease on the site. There may be aspects of the Sale Agreement relevant to the trust as certain responsibilities or liabilities may be present. Such as maintenance of equipment or access routes, obligations on shared or licenced portions of the land (access via a shared road) etc.

A document drawn up to assist the building design process which specifies precisely the number and size of rooms that will be required, the relationships between rooms and groups of rooms, the finishes, and the equipment, furniture and fit out in the room for its functional purpose.

This is an obligation placed on a developer by a planning authority. It is attached to planning permission to make acceptable developments which would otherwise be unacceptable in planning terms. It can include prescribed inclusions and mitigations (such as requirements for access, designated uses etc. or require compensation be provided).

(I) Snagging (G) Specification slip (I) Value engineering

The process of checking a new building for minor faults that need to be rectified by the constructor.

A more generally accepted term that describes how a constructor, building to a specification, will take the most pragmatic and valuable (commercially, to them) approach to delivering the end product. If a design does not specify, in detail, the expected fit, finish, quality and functionality of a component of the build, the constructer will deliver the easiest, and most cost effective (for them). It is incumbent on the client (trust / the ESFA etc.) to ensure appropriate specification and delivery.

A term regularly used in the design and construction industry to refer to the process of altering designs to reduce costs. Generally an appropriate design is reached and a building contractor prices its construction. It may be at this point (or subsequent points where costs are further constrained) that the design team and the constructor explore ways to reduce the costs. This may remove features, functionality and design aspects from the building or it may be possible to achieve cost efficiencies with alternative approaches that have limited impact.

3.2 NSN Checklists and Templates

NSN publish a range of advice and guidance documents with tools and templates to support the pre-opening site and buildings process.Some of these resources are publicly available, in the free of charge NSN Foundation Advisory Service and some are part of the Site Advisory Service. More details on these services is available here.

The NSN Foundation Advisory Service includes:

• An invitation to our annual launch event, delivered in partnership with the DfE• A telephone and email service• Key pre-opening resources• Invitations to our Spotlight events at open free schools• An invitation to our events focusing on the final stages of pre-opening

All approved projects have access to our core advisory service, which is free of charge.

The NSN Site Advisory Service includes:

• A named NSN Adviser and access to NSN Site Associates• Comprehensive and exclusive guidance resources about free school capital projects• In-depth support meetings with NSN Advisers and Site Associates• Detailed feedback from support meetings

Designed to help groups navigate the complex process of securing a site and suitable free school building(s).Developed to complement the support provided by LocatEd and ESFA.

Site Advisory Service

• Detailed guide to phases.

• Site kick-off meeting plan.

• Stakeholder map, with indicative communications plan.

• Site risk register.

• What to look for in a Design Team.

• Checklist at Heads of Terms (HOT) and feasibility.

• Main contractor watch list.

• Planning approval readiness.

• Best practice building operations.

• Procurement process guidance.

• Proposed premises governance and communications approach.

This guide is produced independently by NSN.Autumn 2017.

All school build programmes are different. This overview offers advice to support the pre-opening process. Your programme must be guided by the ESFA. E&OE.

We are very keen to hear your feedback on your experience and this guide. Please contact us at: open@newschoolsnetwork.org