Corporate report

ESFA investigation publishing policy

Updated 29 November 2023

Applies to England

© Crown copyright 2023

This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gov.uk.

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This publication is available at https://www.gov.uk/government/publications/efa-investigation-publishing-policy/efa-investigation-publishing-policy

1. Introduction

This policy sets out the Education and Skills Funding Agency’s (ESFA) approach to publishing investigation outcomes where there has been fraud, irregularity or error.  

ESFA publishes the outcomes of its investigations to provide transparency over how public money is spent, and to support the education sector to learn lessons and take preventative action to ensure public money is used as Parliament intends.

2. Scope

ESFA has responsibility, on behalf of the Secretary of State for Education, for administering funding to deliver education and skills to learners. The education providers that fall within the scope of this policy are:

  • academy trusts
  • colleges
  • independent training providers
  • high needs institutions
  • higher education institutions

3. Timing and considerations ahead of publication

ESFA has made a commitment to the Public Accounts Committee to publish investigation outcomes relating to academy trusts and it aims to do so within two months of completing its work.  ESFA is also committed to reporting investigation outcomes relating to other education providers and will aim to do so within the same timeframe.  

There are instances when ESFA may be unable to publish within this timeframe. These include but are not limited to: 

  • when publication could prejudice law enforcement or other regulatory investigations or proceedings
  • where publication could prejudice an education provider’s internal investigations or future disciplinary action

In implementing this policy, the ESFA will also have regard to GDPR and other legislative and commercial considerations.

4. Representations

ESFA will give education providers and individuals identified in the reported outcomes the opportunity to review a draft prior to publication.  They will be invited to submit representations on factual accuracy.

ESFA will give education providers and individuals a minimum notice of 10 working days for representations. ESFA will determine whether the publication needs to be amended in light of comments on factual accuracy.

ESFA publishes Financial Notices to Improve and Notices to Improve, including those that may be issued in response to an ESFA investigation as set out in the Academy Trust Handbook. They are published in the following locations:

6. Policy implementation

This policy will be effective for new investigations starting on or after 12 December 2023. 

Transitional arrangements are in place for all current live investigations and those outcomes will be subject to the previous policy which can be found on GOV.UK.

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