DEMYSTIFYING THE GOVERNANCE OPTIONS FOR ... Individuals with a stake or interest in the school • Usually pay nominal fee to become a member (e.g. £1) Stakeholder constituencies

DEMYSTIFYING THE GOVERNANCE OPTIONS FOR

PRIMARY SCHOOLSTHURSDAY 3 MAY 2012

AIM OF THE SESSION

• To gain a better understanding of the governance options available for primary

schools

• To be able to make an informed decision about the right governance model for your

school

• May be the one you have now or an alternative!

• In this session, we will look at:

• The governance models

• Possible advantages and things to consider

GOVERNANCE MODELS & OPTIONS – MAINTAINED OR SPECIAL

• Community

• Voluntary

Controlled

• Voluntary

Aided

1. Foundation (without

a foundation)

2. “Soft” federation

(collaboration)

3. “Hard” federation

4. Trust

- Single school

- Multi-school

5. Cooperative Trust

Conversion

Options

6. Academies

Single Academy

Multi-Academy

- Collaborative

Partnership

- Umbrella Trust

- Academy Cluster

- VA & VC/Community

Academy Cluster

Cooperative Academy

Standard

Models

COMMUNITY MODEL

Governing Body

- Strategic direction,

accountable, critical friend

- Corporate body with

separate legal identity

Headteacher

- Responsibility for the day-

to-day management of all

aspects of the school

- Delegates duties to other

senior leaders and staff

Sch

ool

Appoints at

least one

fifth of

Governors

Local Authority

- Responsible for the

running of the school

- Owns school land and

buildings

- Employ staff

- Provide services from

‘top-sliced’ central

government funds

- Admissions authority

VOLUNTARY CONTROLLED MODEL

Governing Body

- Strategic direction,

accountable, critical friend

- Corporate body with

separate legal identity

Headteacher

- Responsibility for the day-

to-day management of all




Sch

ool

Appoints at

least 1

Governor

but not

more than

one fifth

Local Authority

- Responsible for the

running of the school

- Employ staff



government funds


- Sometimes owns some

school land and

buildings

Religious foundation

- Normally owns school

land and buildings

Appoints

minority of

Governors

- at least 2

but no

more than

¼

VOLUNTARY AIDED MODEL

Governing Body

- Responsible for the running of the school

- Employ staff


- Strategic direction, accountable, critical friend

- Corporate body with separate legal identity

Headteacher

- Responsibility for the day-to-

day management of all




Sch

ool

Appoints at

least 1

Governor

but not

more than

one tenth

Local Authority



government funds

Religious foundation

- Owns school land and

buildings

- Contributes 10%

towards capital costs

Appoints

majority of

Governors

- must

outnumber

other

Governors

by 2

1. FOUNDATION (WITHOUT A FOUNDATION)

Governing Body


- Employ staff

- Own land and buildings


- Strategic direction, accountable, critical

friend

- Corporate body with separate legal

identity

Headteacher

- Responsibility for the day-to-day

management of all aspects of the school

- Delegates duties to other senior leaders

and staff

Sch

ool

Appoints at

least 1

Governor

but not

more than

one fifth

Local Authority

- Provide

services from

‘top-sliced’

central

government

funds

2. SOFT FEDERATION (COLLABORATION)

SOFT FEDERATION

(Usually written) agreement between the schools to share resources

SCHOOL 1

Own Governing Body

SCHOOL 2

Own Governing Body

SCHOOL 3

Own Governing Body

May have shared Non-Teaching Headteacher


• Falls between casual informal ‘clustering’ activities and formal federation

• Commonly used to share resources or key staff, usually to appoint a shared non-

teaching headteacher

• Governance remains entirely separate

• Can federate between different stages (primary/secondary) & between maintained

schools and non-maintained schools

• LA retains its role as previously

• See: National College for School Leadership - “United we stand: A soft federation

model for small primary schools”


Does soft collaboration go far enough?Schools retain single identity and autonomy

Will appointment of shared Headteacher

simply introduce an ‘extra’ layer of bureaucracy

if each school’s Deputy essentially takes on

the role of Headteacher of each school?

“Toe dipping” into greater collaborative working

- sharing ideas and resources

Do the schools have sufficiently similar

priorities / vision / ethos? Can you work

together?

Opportunity for a group of small primaries to

recruit a non-teaching Headteacher

THINGS TO CONSIDERPOSSIBLE ADVANTAGES

3. HARD FEDERATION

FEDERATED GOVERNING BODY

Single Governing Body with representatives from each school. Will decide on degree of delegation of powers to

local Governing Bodies/Advisory Committees

SCHOOL 1

May have own local Governing

Body or Advisory Committee

May have shared Executive Headteacher or each school may have their own

Headteacher reporting to the Chair of the Federated Governing Body

SCHOOL 2



SCHOOL 3



3. HARD FEDERATION

• Shared Governance structure but remain separate schools

• Individual schools maintain their own individual budget allocations and report

results separately

• Only maintained schools can form a hard federation

• Any land and property held by the governing body of a school will be transferred to

the Federation Governing Body

• All rights and liabilities of each school existing immediately before federation are

transferred to the Federation Governing Body

• LA retains its role as previously

3. HARD FEDERATION


It is possible to leave a hard federation but

more complex than soft federation – there is a

statutory procedure to follow

Centralise administrative functions and/or

share resources to employ a School Business

Manager

More complex conversion process – requires

full consultation with stakeholders

Move staff and resources across the federation

Vital that full due diligence is undertaken to

ascertain liabilities of partner schools

Pool budgets to obtain great buying power

Do the schools have sufficiently similar

priorities / vision / ethos? Can you work

together?

Collaboration more likely to be ‘high impact’

and permanent

3. HARD FEDERATION

Further Information

• DCSF ‘How hard federation can help your school’

https://www.education.gov.uk/publications/eOrderingDownload/00415-2009.pdf

• Chapter 5 ‘Guide to the law for School Governors’ - Governing Body Federation

and Collaboration

http://media.education.gov.uk/assets/files/guide%20to%20the%20law%20for%20sc

hool%20governors.pdf

4. TRUST SCHOOL (also applies to Foundation Schools (with a foundation))

Governing Body


- Employ staff




- ‘Excepted’ charitable status

Headteacher

- Responsibility for the day-to-day

management of all aspects of the

school

- Delegates duties to other senior

leaders and staff

Sch

ool

Appoints at

least 1

Governor

but not

more than

one fifth

Local Authority

- Provide

services from

‘top-sliced’

central

government

funds

Trust - see next slide

Appoints at

least 2

Governors

but not

more than

45%

4. THE TRUST

TRUST

Charitable company registered at Companies House & governed by Articles of Association

Directors / Trustees (“the Board”)

Named individuals. Responsible for administering the Trust on a day-to-day basis.

Appoint Governors to school governing body.

Members

Can be individuals or organisations. “Guardians" of the company.

Certain residual powers reserved to them in Articles

Determine the objects of the Trust

Decide how the directors/trustees are appointed

4. THE TRUST

• The Trust is usually made up of school representatives and external partners from

public, private and voluntary sector (e.g. corporate businesses, faith groups,

community groups etc)

• Directors and Members normally the same people or from the same organisation

e.g. Foot Anstey LLP is a member of the Trust and Julia Green is a

Director/Trustee of the Trust. Julia Green may also be appointed by the Trust to sit

on the Governing Body of the school and would become a Governor of the school

4. TRUST SCHOOL

• Trust also normally has a Company Secretary

• Responsible for the smooth administration of the company

• Role includes keeping minutes of meetings, calling Members and Directors meetings, filing documents at Companies House and ensuring statutory registers are maintained

• Trust owns school land and buildings

• Trust financially responsible but day-to-day finances/school budget managed by the

school

• Any maintained school (but not maintained nursery schools) can become a Trust

School

• Remain LA maintained

4. MULTI-SCHOOL TRUST

Governing Body

Local Authority

- Provide services from ‘top-

sliced’ central government

funds

- To each Governing Body -

appoints at least 2

Governors but not more

than one fifth

Trust

- Charitable company

- External partners

- Trust owns school land and buildings

- Financially responsible but does not

manage day-to-day finances

- To each Governing Body - appoints at

least 2 Governors but not more than 45%

School 1

Headteacher

Governing Body

Headteacher

School 2 School 3 etc

Governing Body

Headteacher

4. TRUST SCHOOL (SINGLE SCHOOL OR MULTI SCHOOL)

Formal statutory conversion process to

follow

School(s) governing body remains responsible for

all major decisions about the school and its future


Likely to need to recruit a company

secretary

Ability to access funds as a charitable exempt body

School/Trust will have responsibility for

employing staff and maintaining land and

buildings

Skills and experience of Trust-appointed governors

may help to strengthen the governing body of the

school(s)

Chose your trust partners wisely. Are they

sufficiently committed? Do they share

your vision for the school?

Formalise relationships with external partners &

ensure they are committed to the success of the

school(s) for the long term

4. TRUST SCHOOL

Further Information

• DSCF ‘Trust Schools Toolkit’

http://trustschools.ssatrust.org.uk/PDF/Trust_Schools_Toolkit08.pdf

• Chapter 19 ‘Guide to the law for School Governors’ – Trust Schools

http://media.education.gov.uk/assets/files/guide%20to%20the%20law%20for%20sc

hool%20governors.pdf

5. COOPERATIVE TRUST

Governing

Body

As with

‘standard’

trust

Headteacher

As with

‘standard’

trust

Sch

ool

Local Authority

As before.

Trustees / Directors

Appoints

Governors

as with

‘standard’

trust

Stakeholder Forum or Council

Members arranged into

‘Stakeholder Constituencies’

Elect representatives to

Stakeholder Forum/Council

Elects 2

members

Trust

Elects minority of Trustees (normally 2)

Mem

bers


Cooperative Member

• Individuals with a stake or interest in the school

• Usually pay nominal fee to become a member (e.g. £1)

Stakeholder constituencies

• Cooperative members usually arranged into groups i.e. parents, staff, learners,

community etc.

Stakeholder Forum or Council

• Representative of each of the stakeholder constituencies

• Hold the Trust to account

• Help shape policies

• Elect a minority of Trustees to the Trust (usually 2)


Membership Champion

• Individual with responsibility for securing more Members

• May be one Membership Champion from each Stakeholder Constituency or a member

of the Stakeholder Forum/Council or a Trustee may take on this role

Trustees / Directors

Made up of:

• Head or Chair of Governors

• Representative from the Cooperative College

• Representatives from external partner organisations (corporate or individual directors)


• Trust members normally include school representatives, external partners and

Cooperative Members

• Trust normally known as ‘[Name] Cooperative Learning Trust’

• It is possible to have Cooperative ‘Cluster’ Trust

• Similar to Multi-School Trust (above)

• Members, Stakeholder Constituencies, Stakeholder Forum/Council etc added on

• Various schools will be represented at Trustee/Director level and on Stakeholder Forum

or Council



Increased number of levels of

bureaucracy and administration

Required to join The Schools Co-operative Society,

separate cooperative managed by schools within the

co-operative school sector to share ideas and best

practice and develop services for member schools

Consider whether you are willing to

embrace Cooperative values and

principles or wish to develop your own

Co-operative values and principles included in

Articles of Association e.g. self-help, self

responsibility, democracy, equality, equity, solidarity,

honesty, openness, social responsibility and caring

for others

Be realistic about the engagement of

external partners and key stakeholders

Membership structure designed to enable key

stakeholders to be directly involved in the Trust


Further Information

• DSCF ‘Cooperative schools – making a difference’

http://www.co-operative.coop/Membership/pdfs/Co-operative%20schools%20-

%20making%20a%20difference.pdf

• The Cooperative College

http://www.co-op.ac.uk/schools-and-young-people/co-operative-trusts-academies/

• The Schools Cooperative Society

http://www.co-operativeschools.coop/

6. ACADEMY

• Academies are centrally state-maintained but independently-run schools

• Established by Labour as a way of turning around the worst performing schools and

schools in disadvantages areas

• Academies Act 2010

• Opened up the Academies programme for primary, secondary and special schools

to apply to become Academies either independently or as Academy chains or

clusters

6. ACADEMY

The Academy Trust (see next slide)

- Company registered at Companies House & governed by Articles of Association

- Enters into Funding Agreement with Secretary of State to receive 100% funding direct instead of via the LA with up to 10% top-slice deducted


- Employ staff


- Own land and buildings (either freehold or 125 yr lease)



- ‘Excepted’ charitable status

Principal

- Responsibility for the day-to-day management of all


- Delegates duties to other senior leaders and staff

Sch

ool (aka A

cadem

y)

Articles

may allow

LA to

appoint up

to 1

Governor

but not

compulsory

LA has no

formal role

Academies

receive

funding

direct from

central

government

(YPLA)

6. THE ACADEMY TRUST

ACADEMY TRUST

Company registered at Companies House & governed by Articles of Association

Enters into a Funding Agreement with Secretary of State

Directors / Governors / Trustees (“the Board”)

Responsible for overseeing the day to day running of the Academy

Usually the same people as are sat on the existing Governing Body

Members

“Guardians" of the company

Certain residual powers reserved to them in Articles

Provide a "guarantee" of £10 towards the debts of the Academy Trust in

the event it is wound up and cannot pay its debts

6. THE ACADEMY TRUST

• Old-style Academies (pre-2010) had to have external “sponsors” who sat as

Members and/or Directors of the Academy Trust – no longer required

• Members

• Must include Chair of Governors

• Also normally includes Principal and other Directors/Governors/Trustees

• Where school was previously VA / VC the Church will expect representation at Member

and Director/Governor/Trustee level

• Company Secretary

• Responsible for the smooth administration of the company

• Role includes keeping minutes of meetings, calling Members and Directors meetings,

filing documents at Companies House and ensuring statutory registers are maintained

6. ACADEMY

£25K currently available to assist schools

to consider conversion to Academy status

Ability to access funds as an exempt charitable body

Do you have the capacity to take on

additional responsibilities?

No requirement to involve external partners, although

worth considering collaboration opportunities


7 year notice period to end an AcademyPublic perception that academies are ‘outstanding’

schools

Will no longer receive central services from

LA and will need to buy these back from LA

or another provider

Receive same level of per-pupil funding as an LA

maintained school plus ‘top-slice’

Responsibilities – for staff, land & buildings,

budgets etc

Freedoms – from LA ‘control’, ability to set own pay and

conditions for staff, curriculum, length of terms and

school days

6. MULTI-ACADEMY: COLLABORATIVE PARTNERSHIP

COLLABORATIVE PARTNERSHIP

Written agreement(s) in place between the academies aimed at raising

standards across the partnership

SCHOOL 1

ACADEMY TRUST

Governed by own

Articles

of Association &

Funding Agreement

SCHOOL 2

ACADEMY TRUST

Governed by own

Articles

of Association &

Funding Agreement

SCHOOL 3

ACADEMY TRUST

Governed by own

Articles

of Association &

Funding Agreement

Similar to

“soft”

federation

6. MULTI-ACADEMY: UMBRELLA TRUST

SCHOOL 1

ACADEMY TRUST

Governed by Articles

of Association but own

Funding

Agreement

SCHOOL 2

ACADEMY TRUST


of Association but

own Funding

Agreement

SCHOOL 3

ACADEMY TRUST


of Association but

own Funding

Agreement

UMBRELLA TRUST

Same model as ‘The Trust’ in a Trust school (Directors/Trustees & Members etc)

Directors/Trustees & Members likely to be made up of representatives of schools & possibly external partners

Directors/Trustees have power to elect majority or minority of the Governors/Directors/Trustees of each

academy’s Academy Trust (to be determined before conversion)

Similar to multi-

school trust

6. MULTI-ACADEMY: ACADEMY CLUSTER

ACADEMY TRUST

DIRECTORS

MEMBERS

Governed by Articles of Association

& Funding Agreement for

Academy Trust

SCHOOL 1

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

SCHOOL 2

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

SCHOOL 3

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

6. MULTI-ACADEMY: VA & VC/COMMUNITY ACADEMY CLUSTER

SCHOOL 1

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

SCHOOL 2

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

SCHOOL 4

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

SCHOOL 3

LOCAL

GOVERNING

BODY OR

ADVISORY BODY

VC ACADEMY TRUST & COMMUNITY

DIRECTORS & MEMBERS

Governed by Articles & Funding Agreement

VA ACADEMY TRUST

DIRECTORS & MEMBERS

Governed by Articles & Funding Agreement

PARTNERSHIP AGREEMENT

6. MULTI-ACADEMY

Umbrella / Cluster - vital that full due diligence is

undertaken to ascertain liabilities of partner

schools as these will pass to Academy Trust on

conversion

Pooled funding offers greater buying power

and sustainability


Make-up of Governing BodyAbility to access funds as a charitable

exempt body

Will schools retain their individual

identity/autonomy? How will this be managed?

Centralise administrative functions, share

resources and move staff and resources

between schools

Do the schools have sufficiently similar priorities /

vision / ethos to form an Academy cluster? Can

you work together?

Opportunity for smaller schools to secure the advantages of academy conversion

6. ACADEMIES

Further Information

• DfE website – Academies

http://www.education.gov.uk/schools/leadership/typesofschools/academies

• DfE ‘A guide to becoming an academy’

http://media.education.gov.uk/assets/files/doc/g/guidance%20for%20schools%20b

ecoming%20academies%20%20%207%20april.doc

• You can also register a interest to convert at:

http://www.education.gov.uk/schools/leadership/typesofschools/academies/becomi

nganacademy/register

SUMMARY

• Aim: To gain a better understanding of the governance options available for primary

schools & to be able to make an informed decision about the right governance

model for your school

• In this session, we have considered:

• Various models and governance options

• Possible advantages and things to consider

NEXT STEPS

• What is your school’s vision?

• What are your school’s plans in 5 years time? Where will your school be?

• SWOT analysis

• Strengths, weaknesses, opportunities and threats

• Short (1 year), medium (3 year) and long term (5year)

• What does your school need to achieve this?

• Financial considerations

• Identifying partners

• Consider all the options

• Make contact with schools with different models to get ‘insider’ view

CONTACT US

Julia Green

Partner and Head of Education

Tel: 01752 675504

Email: [email protected]

THANK YOU

Documents

DEMYSTIFYING THE GOVERNANCE OPTIONS FOR ... Individuals with a stake or interest in the school • Usually pay nominal fee to become a member (e.g. £1) Stakeholder constituencies