School Organisation and Re-Organisation: Advice and Guidance

B.SCHOOL FEDERATION AND COLLABORATION

1. The NFER have produced useful guidance on Federations and collaborations which is summarised below. There are four types of Federation and collaboration:

1. ‘informal loose collaboration’;

1. ‘soft Federation’;

1. ‘soft governance Federation’; and

1. ‘hard governance Federation’.

1. The different types of collaboration and Federation are set out below.

1. This paper provides initial information and guidance. Further work will be carried out on the impact of Federations on joint and individual school policies.

Differences between types Federations (NFER)

The NUT’s Approach to Federations

1. Whilst bringing schools together under one governing body, hard Federations raise problems of governance and manageability. In certain circumstances there are advantages to be gained from the establishment of ‘soft’ Federations. Soft Federations may work:

• where small rural schools face closure;

• where there are falling rolls in a local authority which threaten the closure of individual schools;

• as an alternative to a local authority instigating a competition for new schools; and

• as an alternative to Academies and trust schoolstatus.

1. The NUT’s criteria for Federations are:

(i)that they should not be imposed in order to cut costs or to make up for a shortage of head teachers; and

(ii)that school communities, including staff and parents, should support the proposals before they go ahead.

1. In each of the types of Federations set out above, schools have made a formalised commitment to work together. Each member school would retain its governing body. The governing bodies, however, would create overarching or joint committees on aspects of teaching and learning or leadership. Schools wishing to delegate responsibilities from individual governing bodies to joint committees must follow the regulations for collaboration made under Section 26 of the Education Act 2002. These are the regulations on which procedures regarding collaboration must be based.

1. The NUT’s criteria for Federations are that Federations should not be an imposed solution used to cut costs or to make up for a shortage of head teachers. School communities, including staff and parents, should also support Federation proposals before they go ahead.

‘Soft Governance Federations’, ‘Soft Governance’ or ‘Collaborations’

1. The regulations enable maintained schools to establish collaborative arrangements with other maintained schools, including joint meetings of governing bodies and joint committees. Under the regulations, two or more governing bodies may arrange for any of their functions to be discharged jointly; and they may delegate any of their functions to a joint committee. Further guidance can be found on the DCSF GovernorNet website.

1. The organisation and administration of future educational initiatives and additional funding allowances could focus on networks of local schools rather than on individual institutions. Such approaches could be based on a requirement that schools work together in partnership on specific aspects of provision or delivery. Schools should be given support to respond to the needs of their immediate communities, for example, in developing out-of-school activities, and in encouraging the active involvement of communities in local school settings.

1. Secondary schools have for some time been able to form partnerships with their neighbours, to develop curriculum coverage, ICT, provision for ‘gifted and talented’ pupils, provision for pupils with special educational needs, study support, professional development or multi-agency support.

Hard Federations of Community and Voluntary Controlled Schools

1. A hard governance Federation has a single governing body responsible for the governance of all schools in the Federation. The Education Act 2002 and the School Governance (Federations) (England) Regulations 2004 allow the establishment of hard Federations. Schools within hard Federations continue to be individual establishments as they do in other forms of school federation and collaboration. They retain their character and category.

1. From 1 September 2003, eligible maintained schools have been able to federate under one governing body.

1. The procedures they need to follow and the considerations they need to bear in mind, are described below.

1. Collaborative arrangements between maintained schools and schools not maintained by local authorities, such as City Technology Colleges (CTCs); Academies; independent schools; and further education institutions are possible. Such arrangements, however, cannot involve federated governing bodies or formal joint committees of the governing bodies.

1. Special schools may federate with other special schools, or with any mixture of special, community and controlled schools.

1. The Education Act of 2002 provides that maintained schools may federate. The School Governance (Federations) (England) Regulations 2004 provide that up to five schools may federate.

1. If more than five schools wish to federate, or an additional school or a federation joining with a federation increases the number of schools to more than five, they will need to apply to the Secretary of State under the Power to Innovate provisions in Part 1 of the Education Act 2002 as amended by the Education and Inspections Act 2006.

Compositionof the Governing Body

1. In federated schools containing two or three schools, the number of governors on the single governing body (the federated governing body) must be no fewer than 9 and no more than 20, excluding sponsor governors. In the case of a federation involving five schools, each with a separate head teacher, the maximum number of members of the governing body may be 22. With four schools, each with a separate head teacher, the maximum number of governors may be 21.

1. In calculating the number of staff governors required, the head teacher governors must be included, whether or not the head teacher of the Federation (if any) or any head teacher of a federated school has chosen not to act as a governor.

TheGuiding Principles

1. Federated governing bodies reflect the same principles of stake-holder representation as single governing bodies. The statutory requirement for groups within the school community to be represented on a single governing body applies to agoverning body covering a federation of schools.

TheInstrument of Government

1. Each federation must have an Instrument of Government. This records the name of the Federation, the names of its constituent schools and the constitution of the governing body. It is the responsibility of the proposed Federation to prepare a draft instrument and submit it to the LA.

Procedure for Schools Wishing to Establish or Join a Federation

1. If schools wish to federate with one or more other schools, or join a federation, the governing bodies of the applicant schools or of schools wishing to establish a federation school must first consider a report on the proposal. The report must be specified as an item of business on the agenda for the meeting of which notice has been given in accordance with Regulation 11 (4) of the School Governance (Procedures) (England) Regulations 2003. A copy of the proposals must be made available for inspection at all reasonable times at the school.

Proposalsfor a Federated Governing Body

1. The proposals must contain the following:

• the name or names of the governing body or bodies with which the governing body proposes to federate and confirmation that that governing body or those governing bodies, have resolved to federate as well;

• the proposed size of the governing body of the Federation;

• the proposed number of governors for each category of governor;

• the proposed arrangements for staffing the schools within the Federation;

• although the schools in the Federation will share some, or all, governance arrangements, this will have no impact on the admissions arrangements as each school within the Federation is still its own legal entity and must adhere to the law relating to admissions and the Admissions Code of Practice;

• the proposed Federation date;

• the identity of the admission authority or authorities for the schools which cover the Federation;

• the date, not less than six weeks after the publication of the proposals, by which written representation may be made to the governing body, regarding the proposals and the address to which they should be sent; and

• such other matters as the governing bodies consider appropriate.

1. Where the governing body of an eligible school proposes that it join an existing federation, it must give notice to the governing body of the Federation. On receipt of this notice, the governing body of the Federation must consider whether it should give preliminary consent to the school joining the Federation, or determine that the school should not join it.

The Process

1. When the governing bodies of between two and five schools wish to federate, or a school wishes to join an existing Federation, they must consult interested parties in the area. They include thelocal authority, the head teachers and other staff, parents, the local diocese or other relevant body if the school has a religious character, any foundation governors or trustees and any other persons the governing body considers appropriate.

1. The consultation documents must be jointly published by all the governing bodies concerned. The documents must give the names of the schools involved; confirmation that the other governing bodies have each resolved to federate; the date when federation takes place; the proposed size of the governing body; and the proposed numbers of governors in each category. The proposed staffing arrangements must be included in the consultation documents. They would include, for example, whether it is proposed initially that there will be a separate head teacher for each school; or whether one head teacher will have the responsibility for more than one school; or whether any staff will work in more than one school, and if so details of the proposed arrangements.

1. In community and voluntary controlled schools where there is a federated governing body, the local authority (LA) is the employer of the staff.

1. Schools considering formal federation with schools of other categories and characters are advised by the DCSF to consult the LA at an early stage, before the statutory consultation begins. Church schools are further advised by the DCSF to consult the local dioceses at an early stage.

1. Schools are advised by the DCSF to take into account the possible effect on their finances of Federation with other schools under one governing body, and consider whether a full financial audit of prospective members of the Federation would be helpful. Schools will continue to receive separate delegated budgets, but will need to consider to what extent they wish these to be pooled within the Federation. School governing bodies should have in mind the structure they envisage for financial responsibility and ensure that this is fully documented.

1. If, after considering the response to the consultation, the governing bodies decide to proceed with federation, they must inform the LA and provide the LA with a draft instrument of government, as mentioned earlier. Only the schools identified in the initial federation proposal may proceed to federation. The Federation must consist of all the schools mentioned in the consultation and of no others. If, as a result of consultation, a school decides not to proceed with federation, the remaining schools must consult again on the basis of a new proposal if they still wish to federate.

1. Similarly, if, after the consultation, another school governing body applies to join the Federation and the governing bodies decide they wish to do so, all the schools’ governing bodies concerned must jointly consult again, giving the new details.

1. The LA must make the new instrument of government for the federated governing body. If schools wishing to federate are in more than one LA area, they must agree between them which LA should make the instrument of government for the Federation.

1. Schools within a federation remain separate schools. LA powers of intervention, including removal of delegated funding, are not affected by a school being a member of a federation. Powers in respect of individual governing bodies apply in respect of the federated governing body. These include: (1) the powers of the LA to add governors to a governing body where the LA has withdrawn a school’s budget; and (2) the power, where necessary, of the Secretary of State to replace a governing body with an Interim Executive Board.

Federations comprising community schools, community special schools and maintained nursery schools

1. The following conditions determine the membership of governing bodies of federations containing community schools, community special schools and maintained nursery schools and no other types of schools.

•A minimum of one third must be parent governors.

•There must be at least one parent governor from each school in the Federation. These parent governors must each be either:

(a) elected by the parents of registered pupils at the schools concerned; or

(b) appointed by the governing body of the Federation to represent the interests of such parents.

• At least two but no more than one third must be staff governors.

•One fifth must be LA governors.

• One fifth or more must be community governors.

Federation comprising voluntary controlled schools only

1. The following conditions determine the membership of governing bodies of federations containing voluntary controlled schools only.

• A minimum of one third must be parent governors. Each school in the Federation must provide at least one parent governor elected by the parents of registered pupils at that school, or appointed by the governing body of the Federation to represent the interest of such parents.

• At least two but no more than one third must be staff governors.

•At least one but no more than one fifth must be LA governors.

• One tenth or more must be community governors.

• At least two but no more than one quarter must be foundation governors.

Federations comprising more than one category of school

1. The following conditions determine the membership of governing bodies of federations that each include at least one voluntary controlled school; and at least one community school, community special school or maintained nursery school.

• A minimum of one third must be parent governors. Each school in the Federation must provide at least one parent governor elected by the parents of registered pupils at the school or appointed by the governing body of the Federation to represent the interests of such parents.

• At least two but no more than one third must be staff governors.

•At least two but no more than one fifth must be LA governors.

• At least two must community governors.

• At least one must be a foundation governor.

Other related points

• Special schools may federate with other special schools or with any mixture of special, community and controlled schools.

• The governing body may also appoint up to two sponsor governors.

Federations involving Schools where the School Governing Body is the Employer

1. It is not possible for Academies, independent schools, further education institutions and City Technology Colleges to establish federated governing bodies with maintained schools. It is, however, possible for community and voluntary controlled schools to be involved in hard Federations with foundation schools and voluntary aided schools.

1. Where this takes place, each school keeps its separate category and character whether community or foundation. The local authority remains the employer for community and voluntary controlled schools, the school governing body remains the employer for foundation and aided schools.

1. Where a federated governing body employs teachers who work both in schools where the local authority is the employer and in schools where the governing body is the employer, the NUT has been advised by the DCSF that it falls to the federated school governing body to decide whether it, or the local authority, is the employer for those teachers. The criterion for decision on who is the employer in these circumstances is which category of school at which the teacher works most during the working week.

1. Where a federated governing body employs teaching staff who teach both in schools where the local authority is the employer and in schools where the governing body is the employer, the NUT has been advised by the DCSF that it falls to the federated school governing body to decide whether it or the local authority is the employer for those teachers. The criterion for decision on who is the employer in these circumstances is which category of school the teacher teaches in the most during the working week.

The NUT’s Position