Resources · Guide

Alternative Provision Compliance: What Schools and Providers Need to Record

What schools and AP providers should record to meet the statutory guidance on alternative provision and KCSIE, from staff checks to attendance and reviews.

Why records matter in alternative provision

Pupils in alternative provision are often among the most vulnerable young people in the education system. Good record-keeping is how schools and providers show that each placement is safe, suitable and working. It also means that when an inspector, a commissioner, a parent or a safeguarding partner asks a question, the answer can be found in minutes rather than days.

Alternative provision compliance is not about paperwork for its own sake. The DfE’s statutory guidance on alternative provision, Keeping Children Safe in Education (KCSIE) and the guidance on suspensions and permanent exclusions all expect clear, accurate records. This guide sets out what schools and providers typically need to record. It is a practical summary, not legal advice, so always check the current guidance and your local authority’s requirements.

What commissioning schools should record

Before the placement starts

the reason for the placement and its agreed objectives
the views of the pupil and their parents or carers
checks on the provider: registration status where required, inspection or quality assurance findings, and suitability for the pupil’s needs
written confirmation from the provider that staff safeguarding checks have been carried out
what information was shared with the provider, when and how
the written placement agreement: timetable, costs, contacts and review dates

While the pupil is in AP

daily attendance for every session, recorded with the correct attendance code
safeguarding concerns raised by the provider and the action taken
any changes to the timetable, with the date they were agreed
progress against the placement objectives
quality assurance visits and any follow-up actions

At review and at the end of the placement

review meetings, who attended and what was decided
qualifications and outcomes achieved
the exit plan and the pupil’s destination

What AP providers should record

Staff suitability

KCSIE sets out the checks expected for people working with children. Providers typically keep a single central record covering identity, enhanced DBS checks (with barred list checks where appropriate), right to work, qualifications, references and, for those in management roles in independent schools and academies, section 128 checks. Recording expiry and renewal dates helps make sure nothing lapses unnoticed.

Safeguarding

Every concern should be recorded promptly and factually: what was seen or said, when, by whom, what action was taken and who it was shared with. The commissioning school’s designated safeguarding lead needs to be told about concerns relating to their pupils, so the record should show when and how that happened.

Attendance and whereabouts

Accurate registers, taken every session, are essential. Absence should be followed up the same day and reported to the school so they can act. Providers should also know who has collected or dropped off a pupil and keep a record of any pupil who leaves the site unexpectedly.

Health, safety and policies

Providers should keep current risk assessments for individual pupils and activities, fire safety checks and drills, first aid records, and up-to-date policies – including safeguarding, behaviour, attendance and data protection – with a record of when each was last reviewed.

Learning and progress

Baseline assessments, progress in English and maths, qualifications entered and achieved, and regular progress reports for the school and family all help show the impact of the placement.

Records linked to exclusions and managed moves

When a placement follows a suspension or permanent exclusion, schools should keep a clear record of the exclusion decision, the notifications given to parents and the education arranged from the sixth school day. If AP is used as part of a managed move, record the agreement reached with the family and the other school, any trial period and review dates. The guidance on suspensions and permanent exclusions is clear that pupils must not be removed from school informally, so a well-documented process protects both the pupil and the school.

Common compliance gaps

no written confirmation of the provider’s staff checks on file
attendance received weekly by email rather than daily, leaving gaps in school registers
safeguarding concerns recorded by the provider but not passed on to the school’s DSL
timetable changes agreed verbally with no record of who agreed them or when
DBS or training renewals missed because expiry dates were not tracked
no review date or exit plan, so placements drift on without a clear purpose

Keeping evidence ready for inspection

Ofsted inspectors will want to see that schools know where their pupils in AP are, that they are safe and that the provision is helping them. Providers that are inspected will be asked to show their safeguarding and staff records. Keeping these records in one organised place, rather than spread across spreadsheets, inboxes and filing cabinets, makes it far easier to show the full picture.

How ReferralMS helps with AP compliance

ReferralMS keeps compliance evidence in one secure place for schools and providers. Providers can record staff checks with expiry alerts, risk assessments, policies, fire safety checks and safeguarding concerns. Schools see attendance recorded with DfE attendance codes, timetable changes with a dated record of who agreed them, and concerns about their pupils. Every action is recorded in an audit trail. ReferralMS does not replace professional judgement, and it is not endorsed by the DfE, but it is designed to make the records the guidance expects much easier to keep.