Access to Support for Sixth Form Colleges inSignificant Failure

April 2013 to March 2014

Introduction and Background

1 The Department for Education (DfE) has confirmed that a limited amount of funding will be made available in the 2013-14 financial year to support the small number of sixth form colleges deemed to be in significant failure. The funds will be administered on behalf of the DfE by the Education Funding Agency (EFA). This process note sets out the circumstances and the process by which that fund will be used to reduce immediate risks to learners and public funds and to secure necessary improvements as swiftly as possible.

2 Responsibility for the performance management of education standardsof sixth form collegesresides within DfE. This is in line with the approach to schools and Academies. Where significant failure is evident, DfE and the EFA will work closely together to consider the whole college position.This note reflects the acceleration of reforms to the skills system set out in ‘Rigour and Responsiveness in Skills’ published in April 2013.

Defining Significant Failure

3The current definition of significant failure is where:

  • college is below DfE’s national minimum standard
  • overall effectiveness is assessed by Ofsted as Grade 4/inadequate
  • the college is assessed by the EFA as financially failing Grade 4/inadequate.

Minimum Standards

4This year the DfE moved from the established Minimum Levels of Performance based on weighted success rates to a minimum standard based upon points scores at Level 3 using 2011/12 data. In view of the fact that this is an interim approach there will be no automatic call upon the improvement support fund in respect of this. Instead, EFA will write on a case by case basis setting expectations in accordance with the proportion of underperformance identified. If deemed necessary, EFA may, in its discretion, allocate support funds and conduct case meetings where appropriate.

5In future years, as the measure develops, failure to meet the minimum standard will fall within the definition of significant failure. If improvement support funding is available in 2014-15, it could be used to secure necessary improvements relating to meeting the minimum standard.

Rigour and Responsiveness in Skills

6The recent joint DfE BIS publication, ‘Rigour and Responsiveness in Skills’ sets out a suite of potential interventions where college performance is poor. The document also makes clear that these interventions may be used in sixth form college cases:

  • a new administered college status, in which colleges lose freedoms and flexibilities while they are turned around; and/or
  • the replacement of some or all of the governing body; and/or
  • college dissolution.

7When a sixth form college is assessed as inadequate at inspectioncontinuing to allow a college time to improve without government intervention (as set out above) will ‘only happen where there is exceptional reason to believe the existing governance and management can deliver the required improvement’.

8This means that leadership capability and capacity will be evaluated by EFA and DfE and recommendations will be made to the Minister within two weeks of an inadequate inspection outcome.Where it is clear that a college does not have any leadership and management capacity to improve its situation, the DfE and EFA will need to consider, in the light of LA need, whether a more strategic change is required to allow for progress. An NtI will still be issued and an improvement plan developed which may attract support funds.

9For 2013/14, use of improvement support funding will be determined on a case by case basis by the Education Funding Agency, and will be driven by the intervention route that is followed in each case. For example, where the ‘administered college’ route is taken, it may be that some significant peer support from a high performing college is required, and improvement support funding could pass to the college offering the support, in recognition of the staffing costs incurred.

Notices to Improve (NtIs) and Case Conferences

10The issueof an NtI does not automatically releasean allocation ofsupport funding;rather it starts the case conference discussion with the college about the causes of such significantunderperformance.

11Last year the EFA undertook an evaluation of the case conference process and, in response to comments received from Colleges who were involved in it, the EFA will, ahead of the first case conference, offer each college concerned, some introductory activities as follows:

  • An EFA Governor’s briefing explaining the process.
  • The individual roles of case conference members explained;
  • An opportunity for the Principal of the college to talk with another Principal who has gone through the process.

Case Conference Membership

12Once the Ntl is issued, a case conferencewith the college will be called by EFA. In cases relating to inadequate inspection, EFA will provide the appropriate support and challenge.TheLocal Authority,and the Skills Funding Agency, if it has alegitimate interest, will be invited to the case conferences.The college will be expected to guarantee the attendance of a senior member(s) of staffat each case conference meeting arranged who is able to report progress from the college’s perspective. The college can invite any additional staff or Governors that it deems appropriate and, if it wishes, it can also invite representation from its membership association/s.

Case Conference Process and Issues to Address

13Each case conference will vary to accommodate the particular circumstances.Detail of its operation will not be prescribed, although reasonable records will benecessary in the event that the support planned does not bring about sufficientimprovement and further action or intervention is necessary. The sorts of issues that the group might consider will likely include:

  • Does the college need to add expertise?
  • How best and to what extent can the college lead on its own improvement?
  • What sort of support is required?
  • How will support be sourced e.g. is that support peer support, self- improvementor external support?
  • If external support is needed, is there an organisation/individual best placed todeliver it?
  • What is an appropriate timeline/timescale for the required improvement (thisshould be set out in the Notice to Improve)?
  • How frequently should case conferences be called to assess progress?

Improvement Support Package

15Following the first case conference, the college will be expected to provide a costed improvement plan. On the basis of this and subject to any revisions agreed, DfE and EFA (or EFA only in the case of financial underperformance) will, where necessary, agree the release of funds.

16The college will be expected to indicate its agreement to the finalised supportpackage, which may include a contribution by it to the cost of implementation. The college will also be expected to accept responsibility for implementing the agreed improvement plan and the actions and activityrequired to fulfil the conditions of the NtI in the agreed timescales.

17The focus of the improvement plan should be on scoping the right

support rather than to seek to draw down any sort of maximum entitlement. As a guide, improvement support funds via EFA should not be used to cover the costs of staff restructuring, hardware or software. These might form part of the overall plan but the college should fund its basic business activity. The funds could, however, be used to train and develop staff in the use of new hardware and software packages. The case group can assist the college by commenting on its proposed plan.

18Once the improvement support package is agreed, the EFA will arrange the release of fundsthrough a variation and schedule to the college’sfunding agreement and grant payments. Depending on the particular need, this might be phased by profile payments,or be a single sum added to a monthly grant payment.

19In cases where support is being sought from another college, school or Academy, the funds may be passed directly to the institutionproviding that support if it is already funded by EFA.Fundingagreements already reference the need forsolvency and to meet national quality thresholds so anyconditions set in the NtI form part of the funding agreement.

20Where other commercialexternal support is neededthe college should seek to arrange and secure the appropriate support through its own procurement processes once any funding arrangement is finalised. The monitoring of the impact of the improvement supportand spendshould be a routine aspect of subsequent case conferences and NtI monitoring.

Monitoring and Lifting Notices

21Progress monitoring meetings will be held at least termly, but more frequently if necessary. The timing of these will be agreed at the first case meeting. If it becomes evident at the half way stage in the Notice period that the college will not be compliant, even if it were allowed the full time period, the DfE and EFA will discuss an appropriate course of action.

22Once the case group is satisfied that the conditions have been met the NtI can be lifted. The conditions will, in all cases, be clear, unambiguous and measurable. Once theNtI is lifted the case group should have no further need to meet and a final statementabout NtI compliance should be recorded.

23EFA operates as part of the DfE and as such there is close working on cases with policy officials and regular updating provided to Ministers.

April 2013

Annex 1

PROCESS FLOW CHART

1.Sixth Form College triggers one or more criteria at paragraph 3.

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2.If Ofsted inadequate, current leadership and management capacity to improve is evaluated and action determined.

3.EFA will issue the appropriate Notice to Improve. EFA will call the case conference.

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4.Case conference with the college evaluates causes of underperformance, and how college should approach its improvement plan.

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5.Once costed improvement plan is agreed EFAwill, where necessary, release funding to college.

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6.Regular progress monitoring meetings or action at the half way point in the event the college cannot comply in the time available move to more intensive intervention.

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7.At completion of compliance period college improves and meets conditions NtI lifted. College fails to improve DfE/EFA move to intensive intervention.

Support for Failing SFCs April 2013