Sophie Lee (Clerk to Governors)

Making Decisions By Email

In maintained schools governors cannot make decisions by email. It is not allowed under the law.

In academy trusts the trustees can pass written resolutions under the model articles of association, which could be passed by email. Written resolutions of trustees must be unanimous.

The model articles also allow academy trust members to pass written resolutions. Written resolutions of members do not need to be unanimous. Whether local governors can pass written resolutions will depend on rules set by your own trust.

Decisions By Email Banned In Maintained Schools

The law for maintained schools says that decisions are made by a majority of the votes of governors present at a meeting.

“Every question to be decided at a meeting of the governing body is to be determined by a majority of the votes of the governors present and voting on the question.”
Roles, Procedures and Allowances (England) Regulations 2013

DfE advice on this law explains that governors are not able to vote in advance of a meeting because they must be present to vote. So voting by email, proxy voting or any method of voting outside of meetings is not possible.

“Members of the board and its committees must be present in a meeting to vote, but they may be present ‘virtually’.

“The requirement to be present at the meeting means that proxy voting or voting in advance of a meeting is not permitted.

“It is important that governors are present to hear and engage in the debate before casting their vote.”
The School Governance (Roles, Procedures and Allowances) (England) Regulations 2013 Departmental Advice

The DfE says that maintained school governors are not allowed to take decisions by email because new information may be heard at the meeting and the discussion could change a governor’s point of view.

If a governor is not present to hear that discussion, either in person or virtually, they would be casting an ill-informed vote.

This means that maintained school governors cannot make any decisions via email. They cannot approve policies by email. They can’t approve the budget by email. They can’t appoint new governors by email. And they can’t take any other board or committee decision by email.

If a quick decision needs to be made in a maintained school then an extraordinary meeting can be called. In serious situations the chair may be able to use chair’s action. Governors can attend and vote virtually, as long as they are attending in real time.

Some governors I have worked with over the years have been very eager (!) to make decisions by email, so I have also checked this rule with the DfE Governance Team directly and the National Governance Association (NGA).

The DfE confirmed that decision-making by email is not possible, telling me that voting must take place during the meeting.

“We have examined the legislation: Roles, Procedures and Allowances (England) Regulations 2013 and the related guidance and we are clear that the department’s position is that voting must take place during the meeting.”
DfE Governance Team

The NGA agreed. The NGA Head of Advice explained that voting must take place “in the present” and cannot occur before or after the meeting.

“Our interpretation of the Roles, Procedures and Allowances 2013 Regulations is that the governor must be present.

“They do not have to be physically present as regulations also contain the possibility for the governing board to approve alternative arrangements for governors to participate or vote at meetings including, but not limited to telephone or video conference.

“However, our interpretation is that governors must be voting ‘in the present’, either whilst being physically present at the meeting or by joining via telephone or video conference.

“Although it is possible for academy trust boards to make decisions via written resolutions, the same option is not available to maintained school governing boards.”
Head of Advice, National Governance Association

Decisions By Email In Academy Trusts

To find the exact rules in your academy trust check your articles of association (for the board of trustees) or terms of reference (for local governing bodies).

The information below is based on the current DfE model articles of association (June 2021). I also have a separate article on written resolutions in academies, including some example text that can be used when drafting written resolutions.

Academy Trustees Can Make Unanimous Decisions By Email

The model articles of association allow academy trustees to pass written resolutions, including resolutions in “electronic form”, for both the board of trustees and committees of trustees.

Note that a written resolution of trustees must be signed by “all the trustees” who are entitled to vote on that issue. So if trustees want to make a decision by email it must be a unanimous decision.

“A resolution in writing, which includes a resolution in electronic form, signed by all the trustees entitled to receive notice of and vote at a meeting of trustees or of a committee of trustees, shall be valid and effective as if it had been passed at a meeting of trustees or (as the case may be) a committee of trustees duly convened and held.”
Model Articles of Association (June 2021)

Academy Members Can Make Decisions By Email

The model articles allow academy members to pass written resolutions, including by “electronic form” which could include by email.

Unlike written resolutions of trustees, written resolutions of members do not have to be unanimous. They just need to be passed by the same margin as they would if the vote took place at a members’ meeting.

So if members take decisions by email they either need to be passed by majority (for ordinary resolutions) or by 75% (for special resolutions).

“A resolution in writing, which includes a resolution in electronic form, agreed by such number of members as required if it had been proposed at a general meeting shall be as effectual as if it had been passed at a general meeting duly convened and held provided that a copy of the proposed resolution has been sent to every member.”
Model Articles of Association (June 2021)

Local Governors Might Be Able To Make Decisions By Email

The powers of local governors are set by your own trust in the terms of reference for the local governing body. Check the terms of reference to see whether your local governors are allowed to make decisions by written resolution.

Governor Visits To School

Governors should regularly go into school to conduct monitoring visits. These visits let governors check that what they are told in meetings is really happening in practice.

A common criticism in OFSTED reports is that governors have relied too much on information they hear in meetings without actually verifying it is true by seeing it for themselves.

“Governors should not just rely on information provided by the headteacher. Rather, they should…use visits to verify what they are told.”
DfE Departmental Advice on Roles, Procedures and Allowances Regulations

What should governors monitor during visits?

Below you can see what the DfE Maintained Schools Governance Guide says about the purpose of school visits. The same principles apply to academies, although academy governors/trustees need to check their scheme of delegation to see what issues they are responsible for monitoring.

“Occasional visits to schools enable governors to fulfil their statutory responsibility for the conduct of the school, see whether the school is implementing their policies and improvement plans [and] see how their policies and improvement plans are working in practice.

“Focused governor monitoring visits should be in line with SIP priorities, for an identified purpose, linked to the governing body’s responsibilities, such as safeguarding [and] pre-arranged with the headteacher or executive headteacher.

“It is not the governing body’s role to assess teaching and learning or to interfere in the day-to-day running of the school.”
Maintained Schools Governance Guide

In practice, governors visiting school should:

focus on the key priorities of the board
check that action points from the school improvement plan (SIP) or school development plan (SDP) are being tackled
check that statutory duties are being fulfilled, for example that safeguarding records are kept and concerns acted on promptly
investigate how policies are being implemented – for example, whether a new behaviour policy has been put into practice and what impact it has had
see how money has been spent and whether resources are being used effectively
talk to staff and pupils to get feedback and build relationships.

Visits will usually focus on the volunteer’s link governor role and/or the school improvement plan (SIP) (also known as the school development plan). This plan describes the current weaknesses of the school and the actions that employees and governors will take to address them.

For example, the link governor for maths might speak to the maths subject leader about their action plan to improve maths results and ask questions on the impact of that strategy.

Or the link governor for SEND could speak to the special needs co-ordinator and ask how they are addressing the SIP key priority of improving results for SEND children. They could ask for evidence that progress is being made towards that goal and investigate what barriers might make things difficult.

What do visits never cover?

Governors do not judge the quality of lessons or conduct lesson observations.

Governors can sometimes go into classrooms but they are not OFSTED inspectors. Even when governors happen to be teachers by profession their governor role does not involve judging the quality of teaching.

Governors should not try to decide whether individual children are making progress. The board needs to focus on groups of children and the bigger picture.

They should also avoid getting involved in operational matters, for example questioning why one child has been given a particular reading book or whether a lesson plan is suitable for that class.

The headteacher is the education expert. Governors hold the head to account but they cannot overrule the head on the day-to-day management of the school.

Do we need a governor visits policy?

It is not a statutory requirement to have a governor visits policy in either maintained schools or academies, because a visits policy is not listed in the DfE Governance Guides.

However, it is a good idea to at least agree some ground rules so that both staff and governors understand the purpose of visits.

Some schools call this a visits “protocol” rather than visits policy, while other schools might cover visits under their code of conduct. (The free NGA code of conduct briefly covers school visits.)

I’ve provided an example governor visits protocol on my templates and letters page. It covers issues such as how to arrange the visit beforehand, what to do if a teacher says it is not a convenient time and how often governors are expected to visit.

Can governors visit school whenever they wish?

No. Visits should be pre-arranged with the headteacher or the staff members the governor needs to speak to.

Governors should not just turn up with no notice. Staff have other commitments and pupils’ work may be disrupted. It is rather rude to pop into school unexpectedly and expect staff to drop whatever they are doing to accommodate you!

“Individual governors do not have an automatic right to enter the school whenever they wish.”
Maintained Schools Governance Guide

Should questions be sent in advance?

They can be, although I think most governors ask questions on the day. You could send some questions in advance if the employee prefers that, but try not to create unnecessary work for staff.

If you send in 20 questions or ask for very detailed answers the staff member may spend hours providing a written reply, which could be time better spent elsewhere.

How often should governors visit school?

This will vary according to factors such as the size of your governing body. In general it might be reasonable for governors to visit school perhaps once or twice per term.

Just for completeness I’ll mention that the clerk does not attend any governor visits or carry out visits themselves.

Can all governors visit on the same day?

They can if it’s agreed with relevant staff. Some schools hold a “governors’ day in school” (or a governors’ morning/afternoon) where all governors are invited to attend at once.

The advantage of a governors’ day is that people can discuss issues and swap ideas, so it can be particularly helpful for new governors. It can also allow governors to see several different aspects of school on the same day and gain a more rounded view of school life.

The disadvantage is it can take up a lot of staff time and be tricky for the headteacher to arrange. A governors’ day cannot replace all individual governor visits because you cannot cover all possible areas on just one day.

Can staff governors conduct monitoring visits?

They can, but should not be assigned visits that overlap with their job. This is often explained as governors not being allowed to “mark their own homework”.

For example, a staff governor who is in charge of maths must not conduct visits focused on maths, because they will be monitoring work that they have done in the first place!

However, if for example the staff governor is your IT Technician they should be able to conduct monitoring visits on maths with no problems. In a similar vein a staff governor who is a geography teacher could conduct health and safety visits.

Common Pitfalls of School Visits

It can be tricky to get governor visits right. Here are some common mistakes that governors make during school visits.

Getting involved in operational, day-to-day matters, such as parking problems or the state of carpets in a classroom. I remember one governor visit where the main topic of discussion was a cupboard shelf!
Trying to judge how good lessons are or decide how much progress children have made in their work books. Even if governors are trained educators they should not be making these judgements.
Listening to all complaints staff may have, even if they are not matters for governors. Some feedback from staff needs to be gently redirected to their line manager.
Making promises on behalf of the governing body such as “I will fix that for you”. Governor decisions are made by majority vote and other governors may not agree with you – or the governing body may have no power to make the desired change at all.
Forgetting how scary a governor visit can be for staff! This is especially true for inexperienced staff who may see governors as all-powerful or as inspectors. Visits should offer challenge to staff if necessary, but they should not intimidate employees.
Being too eager to challenge and forgetting that governors are also there to offer support. Supportive questions can be as valuable as challenging ones. What could you do differently if you had more funding? What do you feel is holding the team back from improving further and how can we help? Is there any training we could provide for you?
Not following up actions or areas of concern from previous visits. It can be useful to add actions to the action list in your minutes so they are not forgotten.

Governor Visit Form

On my templates and letters page you can download a governor visit proforma so that governors can write a report of their visits. The report needs to include:

name of the governor
date of visit
the focus of the visit, eg: “To discuss safeguarding procedures with the designated safeguarding lead”
a summary of the discussions or activities that took place
any questions or observations that need to be discussed at a governors’ meeting
next steps or actions points, eg: “Safeguarding link governor to check the training log again in three months.”

Remember that all governor minutes and papers are public unless the board marks them as confidential and even confidential papers can be requested under subject access or freedom of information requests.

Therefore you should not include names of any children in your visit reports. Staff can be named but keep reports professional and be sensitive if you are criticising staff in any way.

Reporting Visits Back to the Board

Each visit should be reported back to the governing body or the relevant committee. The clerk can distribute written visit reports with the meeting papers and the governor can summarise their findings at the meeting and ask for questions. Follow-up actions should be recorded in the minutes.

How To Change Articles of Association

Academy trusts may wish to change their articles of association to alter the number of trustees on the board, change the balance of trustee types, adopt new DfE model articles or make other alterations to their governance rules.

This page explains how articles of association can be changed and who needs to give their permission before the amended articles come into force.

(Maintained schools do not have articles of association but may wish to change their instrument of government.)

Must we update our articles whenever new model articles are published?

No. The DfE publish new model articles on a fairly regular basis but there is no requirement to adopt new articles whenever a new model is released.

The current model articles for mainstream academies were published in 2021 but many trusts have older articles in place.

However, the DfE say it is important for trusts to “review their articles regularly and to keep them up-to-date”.

“The model articles reflect elements of charity and company law and departmental governance policy.

“We update the model articles of association from time to time to reflect developments in these areas; it is important for trusts to review their articles regularly and to keep them up-to-date.”
Model Articles of Association (June 2021)

Over time your articles may start to conflict with the Academy Trust Handbook and best practice advise from the DfE. If that happens the trust may wish to adopt new articles.

For example, some trusts still have staff trustees in their articles despite the recommendation in the current Academy Trust Handbook that the CEO/principal is the only employee who should serve as a trustee.

How have the model articles changed over time?

I’ve listed below some requirements of the current mainstream model articles which may conflict with your own articles because the DfE recommendations have changed over the years.

The current mainstream model articles:

say that the CEO/principal should be the only staff trustee
set the quorum for members’ meetings at a majority of members (older articles set the quorum at just two members)
allow virtual meetings of both members and trustees
say that the majority of members must not also be trustees
set a requirement for a members’ annual general meeting (this used to be optional)
say documents can be signed electronically and references to documents “in writing” include electronic documents.

What if we want to adopt the new model articles but add our own amendments?

My understanding is that it’s difficult to get permission to make your own amendments to the model articles.

However, you could ask in advance whether the changes might be considered by contacting the Education and Skills Funding Agency (ESFA). (ESFA is just a department of the DfE.)

However, if the amendments you want to make contradict the current Academy Trust Handbook I imagine ESFA will not give permission.

Preparing To Change Your Articles of Association

Before you start the formal process to change the articles follow the steps below to prepare.

Trustees Discuss the Reasoning

Your trust board should discuss why new articles might be needed, the advantages and disadvantages of proposed changes and the impact this would have on governance.

If your trustees want to suggest changes to the DfE model articles they should produce a draft of their proposed changes to send to ESFA to see if they might be accepted.

Check Your Funding Agreement

Your trust’s funding agreement may contain wording that relates to changing the articles and whose permission you need before doing so. It’s likely that the funding agreement requires you to seek permission from ESFA.

Check If You Are Changing Your Objects

The “objects” are the charitable aims of your academy trust, found at the start of your articles. If you wish to change the trust’s objects you must seek approval from the Charity Commission, so it adds extra complexity.

In general I suspect you will not need to change the trust’s objects. They usually consist of a broad statement basically saying the trust provides education to children and hopefully you still want to do that!

Get Provisional Consent From Diocese (Church Academies Only)

If your academy trust runs any church academies you will need consent from the linked religious body named in the articles, eg: the diocese in a Church of England trust.

You should also check if your current articles of association contain article 10. If you have an article 10 this article requires you to seek permission from another party to change the articles of association, particularly in church academies.

Below is an example article 10, which says this academy trust needs written consent from the Secretary of State (which means ESFA on behalf of the Secretary of State for Education), the foundation members, the trustees and the diocese to amend their articles.

“No alteration or addition shall be made to or in the provisions of the memorandum and/or articles without the written consent of the Secretary of State and of the foundation members, the trustees and the diocesan board of education.”
Debenham High School Articles of Association (Article 10)

Get Provisional Consent From Members

For the articles to be changed your members need to pass a special resolution in favour as the final stage of the process.

A special resolution must be passed by a majority vote of at least 75%. Therefore it’s wise to to check if your members have any objections to the new articles before the formal process starts.

Procedure To Change An Academy Trust’s Articles of Association

Below is a suggested process to formally change your articles of association.

PLEASE NOTE: If you are in any doubt please seek advice from your trust’s lawyers as this is a legal process that must follow the Companies Act 2006.

1. Trustees Vote In Favour of New Articles

Send a draft of the new articles to all trustees along with the agenda for the meeting. The proposed change to the articles should be clearly listed as an agenda item.

The board of trustees must hold a vote in favour of the new articles of association at a quorate meeting, passed by the usual majority. The vote does not need to be unanimous or passed by a certain percentage of trustees.

2. Obtain Approval From Diocese or Charity Commission (If Needed)

If you are in a church trust and/or your article 10 said you needed approval from another party obtain their written approval for the proposed changes.

If you are changing the trust’s objects seek written approval from the Charity Commission.

3. Obtain Approval From ESFA

Send a copy of the new articles your trustees have approved to ESFA for their formal written approval.

4. Members Vote in Favour

If your board of trustees, ESFA and (if necessary) the diocese/other parties have all approved your new articles the final step is for your members to pass a special resolution in favour of changing the articles.

A special resolution means a majority vote of 75% or more in favour. This is a requirement of the Companies Act 2006.

“A company may amend its articles by special resolution.”
Companies Act 2006 (Section 21)

If you have just three members at the meeting this means you need all three members to vote in favour, because otherwise you only have 66% in favour or less (two out of three people or less).

This is why you should check early on that members are happy with the changes or you could be foiled by just one person!

The text of the proposed special resolution must be included in the agenda that’s sent out for the member’s meeting, together with the draft new articles. Below is some text for a special resolution you could print in the agenda.

Pursuant to the Companies Act 2006 the Members of the Company propose that the following Resolution is passed as a special Resolution. Upon acceptance of this Resolution by a 75% majority of the Company’s Members it will be passed.

SPECIAL RESOLUTION

“It is resolved that the draft articles of association attached to this Resolution be adopted as the articles of association of the Company in substitution for, and to the exclusion of, the existing articles of association.“

If your members pass the special resolution by 75% or more then the change has been agreed.

Congratulations! The new articles of association are officially in force.

5. Send New Articles and Special Resolution to Companies House and ESFA

The new articles of association and a copy of the special resolution must be sent to Companies House within 15 days of being approved by the members. This is a requirement of the Companies Act 2006.

“Where a company amends its articles it must send to the registrar a copy of the articles as amended not later than 15 days after the amendment takes effect.”
Companies Act 2006 (Section 26)

A copy of the new articles and special resolution should also be sent to ESFA.

6. Complete Forms CC02 and CC03 (If Needed)

If your old articles contained article 10 and you have now removed this article then you need to complete form CC02. It can be filed here.

If your article 10 said you needed consent from the DfE, diocese or other body to amend your articles you need to complete form CC03. It can be filed here.

Clerk To Governors Training: Constitution

I am very pleased to launch the second Ask A Clerk training course for clerks to governors in maintained schools!

(Thank you very much to everyone who has purchased the Roles, Procedures & Allowances course so far, because you made this second course possible.)

This second training course is called the Constitution training. It talks you through every section of the School Governance (Constitution) (England) Regulations 2012.

I explain all the different types of governor and how many governors you need, translating the legal language into plain English. This is a pre-recorded video course so you can watch the video as many times as you like, whenever you like.

The two-hour training video comes with an 80-page written transcript.

It also comes with an extra video that explains the constitution of federations, plus a 28-page written study guide which helps you understand the key points of law and summarises each section.

This is the course I wish existed when I became a clerk in 2012.

What does the Constitution course cover?

The Constitution course provides a complete guide to the School Governance (Constitution) (England) Regulations 2012.

This law applies to maintained schools in England.

The Constitution course covers:

the different types of governor – parent governor, staff governor, local authority governor, foundation governor, partnership governor, co-opted governor and headteacher governor
how many governors of each type you must have
how each governor is appointed or elected to the board and how ex officio governors join your board
terms of office
who is eligible for each governor position
how to hold parent and staff governor elections
how many associate members you can appoint and why you might want associate members
reasons why governors are disqualified (including criminal convictions and missing meetings)
how to remove governors from the board
the instrument of government (IoG)
why you might want to change your instrument of government
the process you must use when changing the instrument.

I’ve also included an extra video covering the constitution of federated schools. Federated schools have one governing body overseeing two or more schools.

The board of governors in a federation is composed slightly differently to the board of a single school. My extra video explains the differences to look out for in federations.

Who is this training course for?

The Constitution training course is only suitable for clerks working in maintained schools in England.

It is not suitable for academy clerks, pupil referral unit clerks or college/further education clerks.

What if I’m not sure what type of school I’m in?

If you’re not sure whether the course is suitable for you send me a message including your school website and I’m happy to check before you purchase.

You can also ask the school for a copy of their instrument of government or look your school up on Get Information About Schools (GIAS).

If the instrument of government or GIAS says your school is a community, voluntary-aided, voluntary-controlled or foundation school (or a maintained nursery school) and your school is in England this course is definitely suitable for you.

How is the course delivered?

The video is on a password-protected page on Ask A Clerk and can be watched using any web browser. The written study guide and transcript of the video are available as pdf files.

Once you place an order you’ll receive a password within 24 hours and a link to the training page. (If I receive the order by 6pm you will receive the password the same day.)

The video can be watched and rewatched at any time and the pdf files can be downloaded.

Can I see a preview of the course?

Yes – below is a section of the Constitution training video. You can also view the corresponding sections of the transcript and study guide as pdf files.

Excerpt from Constitution Course Study Guide (.pdf)

Excerpt from Constitution Course Transcript (.pdf)

How can I buy the Constitution training?

There are two ways to purchase.

You can buy online using Paypal or credit/debit card.
You will receive the password to access the training within 24 hours.
(If I receive the order by 6pm I’ll send the password the same day.)
If you order with a school email address you can request an invoice instead.
The invoice can be paid via bank transfer (BACS), cheque or credit/debit card. You will receive the password to the training within 24 hours of confirming you accept the invoice.

Discounts are available for multiple purchases of 10 courses or more.

If you’d like to buy multiple courses or you’re buying for an organisation and would like to host this course on your own learning management system please contact me for details.

Buy The Constitution Training Via Paypal or Credit/Debit Card (£29.99)

Click the button below to buy via Paypal or credit/debit card. You’ll receive a payment receipt immediately.

I will then email you the password to the training within 24 hours.
(If I receive the order before 6pm I will send the password the same day.)

Buy The Constitution Training Via Invoice

If you order using a school email address (eg: clerk@MaloryTowersSchool.com) you can pay by invoice.

Please complete the form below and I will send an invoice within 24 hours. The invoice can be paid via bank transfer (BACS), cheque or credit/debit card.

Once I receive a reply from the school email address to confirm you accept the invoice I will send the password to the training within 24 hours.

Request An Invoice For The Constitution Training (£29.99)

What if I’m not happy with the course?

If you have an IT problem at any time after buying just contact me and I will find a solution.

If you’re not satisfied with the course please contact me within seven days of purchase, tell me why you found the course unhelpful and I will refund your money.

Where can I log in to the course?

You can log in by clicking on the link below. (The same link will be emailed to you when you buy the course, along with your password.)

DfE Governance Guides

On 7 March 2024 the DfE published two new Governance Guides. These two documents replace the Governance Handbook.

One Governance Guide is for maintained schools and one is for academies. Here are the links to the Governance Guides on the DfE website.

Maintained Schools Governance Guide

Academy Trust Governance Guide

Where are the pdf versions of the Governance Guides?

The DfE have not released pdf versions of the Governance Guides. They might in future, but in the meantime I’ve made pdf versions you can download below.

These Governance Guides will be updated on an ongoing basis so please check you are using the latest version.

PDF of Maintained Schools Governance Guide (Updated 2 October 2024)

PDF of Academy Trust Governance Guide (Updated 2 October 2024)

Have the School Governance Regulations or the Academy Trust Handbook changed?

No.

In maintained schools there are no changes to the School Governance (Roles, Procedures and Allowances) (England) Regulations 2013 or the School Governance (Constitution) (England) Regulations 2012.

In academies there are no changes to the Academy Trust Handbook

What has changed from the old Governance Handbook?

First let’s look at changes that appear in both versions of the Guide, so apply to both maintained schools and academies.

The DfE have introduced “musts” and “shoulds” into the Guides. The musts are in bold and indicate mandatory requirements. The shoulds indicate minimum good practice, but schools can choose not to follow them if they can show they have a better approach.

A big change is that the DfE Statutory Policies list has been withdrawn. A slimmed down list of statutory policies now appears as the final section of both Governance Guides.

“Live” documents have all been removed from the policies list, including the pupil register, single central record, register of governor interests and school information published on a website. However, every school still needs to keep and update all these documents or web pages.

Strangely the policies list no longer tells you which policies can be delegated to committees or individuals, it just suggests reading every piece of guidance that relates to every single policy. I hope they reinstate the delegation details shortly…

Here are other changes that apply to both versions of the Governance Guide.

New signposting to resources for link governors who cover SEND, safeguarding and careers (para 2.3 maintained, para 2.3 academies).
The DfE Clerking Competency Framework has been withdrawn. Instead the DfE link to the Chartered Governance Institute’s Competency Framework for Governance Professionals (para 4.8 maintained, para 4.5.1 academies).
New advice that it “may be helpful” to publish the clerk’s contact details on your website (para 5.7.2 maintained, para 1.1.6 academies).
New advice that at least one governor/trustee should complete cyber security training (para 7.7.3 maintained, para 7.9.3 academies).
New advice that governors/associate members in maintained schools and trustees/local governors in academies read Part 2 of Keeping Children Safe in Education. This is odd because the old Governance Handbook said “Boards should ensure they read and have regard to” KCSIE, which I thought meant they need to read it all. Many LAs recommend boards read it all (para 7.8 maintained, para 4.7 academies).

And now let’s look at changes which are specific to either the maintained school version of the Governance Guide or the academy version.

If you spot any changes I’ve missed I would be hugely grateful if you could get in touch and I will update this page as needed.

Maintained Schools Governance Guide – What’s New

New requirement that the board must “assure itself that the headteacher reports to it as required” and headteacher’s reports include information on delegated duties, advice to governors and complying with any reasonable direction of governors (paragraph 3.1).
New advice that governors do not have an automatic right to enter the school whenever they wish (paragraph 3.3.3).
New advice that school visits should be in line with SIP priorities and for an identified purpose linked to the board’s responsibilities such as safeguarding (paragraph 3.3.3).
Confirmation that maintained school governors do not need right to work checks (paragraph 4.3.3).
A new section on chair’s action, which is the chair’s power to take decisions alone in emergencies (paragraph 4.5.1). This power was mentioned in the old Governance Handbook but they didn’t call it chair’s action.
New advice that if you have joint headteachers in a job share the co-heads only have one vote between them, not one vote each (paragraph 4.6).
Confirmation that the board must listen to the clerk’s advice (paragraph 4.8). This requirement was already in the Roles, Procedures and Allowances Regulations 2013 but it’s good to see it here too.
New advice that the clerk receive an appraisal conducted by the chair (paragraph 4.8.1).

Academy Trust Governance Guide – What’s New

References to the three core functions of governance have been removed and replaced with the definition of purpose from the Academy Trust Handbook: strategic leadership, accountability and assurance and strategic engagement (paragraph 2.2).
Local governing bodies (LGBs) in multi-academy trusts are now called local committees. In practice LGBs have always been committees of the trust board, but I guess they wanted to make this more obvious (paragraph 4.3.5).

Withdrawn Publications

The DfE have withdrawn all publications below. These have either been merged into the new Governance Guides or the Guides provide links to similar documents from external providers.

Governance Handbook (withdrawn)

A Competency Framework For Governance (covered by the Governance Guides)

Clerking Competency Framework (DfE now link to the Chartered Governance Institute’s Competency Framework for Governance Professionals)

Governance Structures and Role Descriptors (covered by the Governance Guides)

Statutory Polices for Schools and Academy Trusts (now appears as final section of the Governance Guides)

Does the SFVS need full board approval?

Yes. The Schools Financial Value Standard (SFVS) must be completed each year by maintained school governing bodies. (Academies do not have to complete it.)

The SFVS is a checklist that helps boards check they are following good financial practices and managing resources effectively.

It must be approved by the full governing body.

Doesn’t the SFVS document say it can be approved by a committee?

No, not in the sense of a normal governor committee with delegated power.

The first page of the SFVS document asks schools to record the date it was approved by either the full governing body or the “management committee”.

“Date SFVS agreed by full governing body/management committee.”
Schools Financial Value Standard

A “management committee” is not a standard governor committee with delegated power, for example a finance committee or an educational standards committee.

A management committee is the equivalent of the full governing body in a pupil referral unit (PRU). If you look at documents like Keeping Children Safe in Education they refer to governing bodies and “management committees” when they talk about the full board of maintained schools.

Therefore, in all maintained schools the SFVS needs approving by the full board. It cannot be delegated.

Who should complete the SFVS?

It is up to each board to decide who actually fills out the SFVS form before the full board approve it.

In the schools I have worked for either the chair or finance link governor might come into school to complete the form with the help of the school business manager.

Alternatively, governors who sit on the finance or resources committee have completed the form together before scrutinising it carefully at their committee meeting and recommending approval to the full board.

Questions on the SFVS remain similar from year to year so it’s helpful to check the answers to last year’s SFVS before completing the new one.

What is the deadline for submitting the SFVS?

It is usually 31 March each year, but check the DfE website to be sure. Your LA may set a slightly earlier deadline which your school business manager (or equivalent finance officer) should know.

Does the SFVS need to be signed?

Yes. The first page of the SFVS asks for a signature from the chair of the governing body (or the chair of the management committee in a PRU) to confirm the full board have approved the document.

Interim Executive Boards

An interim executive board (IEB) replaces a school governing body when the school is experiencing serious problems and needs to improve quickly.

The IEB takes on all the normal responsibilities of governors but must also specifically tackle the weaknesses. IEB members need to be suitably skilled and will often have considerable experience as school governors.

“The IEB’s function is to provide interim expertise and high-quality governance to support future improvement in the maintained school and this should include the promotion of high standards of educational achievement.”
Schools Causing Concern

In maintained schools members of the IEB are appointed by either the local authority or the Secretary of State for Education via a Regional Director (RD). (Regional Directors used to be called Regional Schools Commissioners or RSCs.)

In academy trusts an IEB cannot be installed to replace the board of trustees.

However, in multi-academy trusts the trust board can decide to replace a local governing body (LGB) with an IEB. It could also use an IEB to run the local governing body of a school that is joining the trust and has no existing local governance in place.

The majority of information on this page covers IEBs in maintained schools, but I also cover academy IEBs at the end.

When can an interim executive board replace the governing body?

An IEB can replace the governing body of a maintained school if the school becomes what is known as eligible for intervention.

“If at any time a maintained school is eligible for intervention the Secretary of State may give the governing body a notice in writing stating that, as from the date specified in the notice, the governing body are to be constituted in accordance with Schedule 6 (governing bodies consisting of interim executive members).”
Education and Inspections Act 2006 (Section 69)

“If at any time a maintained school is eligible for intervention, the local authority may, with the consent of the Secretary of State, give the governing body a notice in writing stating that, as from a date specified in the notice, the governing body are to be constituted in accordance with Schedule 6 (governing bodies consisting of interim executive members).”
Education and Inspections Act 2006 (Section 65)

The term eligible for intervention comes from part 4 of the Education and Inspections Act 2006. It is explained further in the DfE guidance on Schools Causing Concern.

A maintained school can become eligible for intervention in the following three ways.

1. The School Fails To Comply With A Warning Notice

A warning notice is an official warning to a school saying that it must improve in a certain way. These notices are issued by either the LA or the Regional Director.

A warning notice can be issued because:

the school’s educational results are poor
there has been a breakdown in leadership or governance
there is a serious safety concern
the governing body have not complied with an order relating to teachers’ pay and conditions.

2. The School Is Rated Inadequate By OFSTED

Schools can be rated Inadequate in an OFSTED inspection for a range of reasons, including safeguarding failures, a very poor standard of education or significant behaviour concerns.

All maintained schools rated Inadequate by OFSTED must be issued with an academy order which requires them to become an academy.

However, an IEB could be put in place until the conversion to an academy is complete or the school joins an existing academy trust.

3. The School is Not Making Necessary Improvements

A school is deemed to be not making necessary improvements if it has been rated as Requires Improvement (RI) or Inadequate by OFSTED in its two most recent section 5 inspections.

Where does the legal power to install an IEB come from?

The law on IEBs comes from Part 4 of the Education and Inspections Act 2006.

Section 65 of this law gives the LA the power to install an IEB in a maintained school if that school is eligible for intervention.

Section 69 gives the same power to the Secretary of State for Education. In practice the Regional Director wields this power on their behalf.

What governance failings could lead to an IEB?

DfE statutory guidance lists examples of poor governance that could lead to schools receiving a warning notice. If governors do not comply with that warning notice they are in danger of being replaced by an IEB.

Possible governance failings include overspending, many governors leaving, significantly changing the number or type of governors on the board with no reasonable motive, interfering with the everyday running of the school, failing to examine key data or failing to manage risks.

“Evidence that governors may be failing to deliver on one or more of these strategic roles could include, but is not restricted to:

– evidence of poor financial management and oversight, such as consistent overspending of the school’s budget beyond agreed thresholds

– high governor turnover

– a significant, unexplained change to their constitution

– the governing body having an excessive involvement in the day to day running of the school

– lack of appropriate engagement with data. This might include, but is not limited to, data on pupil learning and progress, or staff recruitment; and/or

– not sufficiently managing risks associated with strategic priorities and school improvement plans.”
Schools Causing Concern

Can a governing body refuse to be replaced by an IEB?

No. The purpose of the interim executive board is to turn around a school that is struggling. Existing governors cannot just decide to stay on as they may be partly or largely at fault.

However, statutory guidance says that before an IEB is established the LA or RD must consult the existing governors.

They must also consult the diocese in a Church of England or Catholic school and whoever appoints the foundation governors in any other type of foundation or voluntary school.

“Prior to requiring the governing body to enter into arrangements, the relevant body must consult the governing body of the school, the appropriate diocesan authority (in the case of a Church of England or Roman Catholic school) and in the case of any other foundation or voluntary school, the person or persons by whom foundation governors are appointed.”
Schools Causing Concern

The guidance says that a typical consultation timescale is 10 days.

Guidance for LAs who wish to install an IEB describes good practice for the consultation process. The guidance advises that someone from the LA should attend a meeting of the full governing body “at an early stage” to explain why they think an IEB is necessary and offer governors a chance to give their views.

“Discussions, where possible, should seek to include all governors. Local authorities should be cautious in assuming that the views of one governor (eg: the chair of governors) are automatically the views of all governors.

“It is good practice to offer a meeting with the full governing body at an early stage so that the local authority can set out its reasons for the application and invite the governing body to respond.”
Interim Executive Board: Application Form Guide

When asking for permission from the Secretary of State to set up the IEB the LA need to submit the views of the current governing body with their application form. They must also include a list of proposed IEB members.

Who sits on interim executive boards?

Schedule 6 of the Education and Inspections Act 2006 explains how an IEB is formed.

IEBs do not follow the usual School Governance Constitution Regulations that apply to maintained school governing bodies and dictate how many governors of each type you must have.

“During the interim period, the requirements concerning the
governing body’s constitution set out in the School Governance (Constitution) (England) Regulations 2012 do not apply.”
Schools Causing Concern: Guidance For Local Authorities and RSCs

This means that IEBs do not have the standard format of maintained school boards: one staff governor, one LA governor and so on. All IEB members are simply called interim executive members.

On a date specified by the LA or Secretary of State the existing governors are removed and replaced by the interim executive members.

The law contains a broad clause that says the IEB “may determine their own procedure”, so interim executive members can make decisions on procedural issues such as how often to hold meetings.

Are IEB members paid?

They can be, unlike governors on normal governing bodies who are unpaid and may claim expenses only. Whether IEB members receive payment will be up to the LA or RD that establishes the IEB.

How many people form the IEB?

There must be a minimum of two people on the IEB. There is no maximum number, but IEBs tend to be smaller than a normal governing body.

“The number of interim executive members must not be less than two. The appropriate authority may appoint further interim executive members at any time during the interim period.”
Education and Inspections Act 2006 (Schedule 6)

Statutory guidance says the IEB should be a “focused group” and normally include people with finance skills and experience of improving schools.

“Members of an IEB should be chosen on a case-by-case basis, depending on the needs of the school, but should normally include individuals with financial skills and experience of transformational educational improvement.”
Schools Causing Concern: Guidance For Local Authorities and RSCs

As an example, Birmingham LA explain in their IEB role description document that they usually have five people on their interim executive boards.

A memo attached to the law on moving back to a standard governing body when the IEB ends says that IEBs are usually small and three to six IEB members is typical.

“An IEB may be a small body, typically consisting of between
three and six members.”
Explanatory Memo to the School Governance (Transition from an Interim Executive Board) (England) Regulations 2010

Can existing governors be appointed to the IEB?

Yes, but the DfE recommend against this. However, the law does allow current governors to remain at the school to serve on the interim executive board.

“On the date specified in the notice under section 65(1) or 69(1), the existing governors vacate office. Sub-paragraph (1) does not prevent the appointment of an existing governor as an interim executive member.
Education and Inspections Act 2006 (Schedule 6)

Statutory guidance says that in “most cases” the existing governors will be replaced by new IEB members, so a completely new board will be formed. This makes sense because the point of the IEB is to replace a weak governing body or a board that has overseen a failing school.

“Although it is not prohibited by law, in most cases we would not expect existing governors who are vacating office to be nominated as IEB members.”
Schools Causing Concern: Guidance For Local Authorities and RSCs

Although most governors will be replaced the guidance specifically allows existing governors to help and support the IEB.

“The IEB may however arrange for the discharge of their functions by other people as they see fit. In this way, the IEB could continue to benefit from the experience of existing governors and help engage future governors.”
Schools Causing Concern: Guidance For Local Authorities and RSCs

Can IEB members be removed?

Yes, they can be removed by the LA or RD, depending on who they were appointed by. They cannot be removed by their fellow IEB members. The law says that IEB members can be removed for “incapacity” or “misbehaviour”.

“An interim executive member—

(a) holds office in accordance with the terms of his appointment and subject to paragraph 18, and

(b) may at any time be removed from office by the appropriate authority for incapacity or misbehaviour.

“The terms of appointment of an interim executive member may provide for his appointment to be terminable by the appropriate authority by notice.”
Education and Inspections Act 2006 (Schedule 6)

Who chairs the IEB?

Either the LA or the Regional Director (depending on who installed the IEB) can nominate one of the IEB members to serve as chair.

“The appropriate authority may nominate one of the interim executive members to be chairman of the interim executive board.”
Education and Inspections Act 2006 (Schedule 6)

How long is the IEB in place?

There is no set timescale in the law, but a memo attached to the law says an IEB is usually in place for between one to two years.

“IEBs normally operate for between 12 to 24 months.”
Explanatory Memo to the School Governance (Transition from an Interim Executive Board) (England) Regulations 2010

Birmingham LA says they usually run IEBs for between one and two years.

“Members of the IEB hold office for the period that the IEB is in existence, which is typically between twelve months and twenty four months.”
IEB Role Description (Birmingham LA)

How does an IEB end?

The process for transferring from an IEB into a normal governing body is described in this law. This is know as the transition process.

During the transition the LA have the power to either set up a shadow governing body or set up a normal governing body.

“A local authority can determine whether the circumstances of an individual case make it appropriate to appoint a shadow governing body as part of a school’s transition back to normally-constituted governance, or to move straight to establishing a normally-constituted governing body more swiftly if the circumstances allow.”
Explanatory Memo to the School Governance (Transition from an Interim Executive Board) (England) Regulations 2010

What is a shadow governing body?

A shadow governing body works alongside the IEB for a minimum of six months, learning how to govern the school from the experienced IEB members. They “shadow” the IEB, in other words.

At the end of the minimum six months the shadow governing body becomes the normal governing body of the school and the IEB members step down.

If the LA decide not to use a shadow governing body then the IEB will be replaced by a normal governing body.

IEBs in Academies

The Education and Inspections Act 2006 does not apply to academies, so neither the local authority nor the Secretary of State for Education have the power to install an IEB to replace the academy trust board or a local governing body.

However, the Secretary of State does have the power to terminate an academy funding agreement and force an academy to join a different academy trust. This process is known as “transferring” the academy.

If an academy is causing concern then other possible actions the government can take are described in statutory guidance. They include issuing a warning notice or issuing a financial notice to improve (FNTI).

In a multi-academy trust the trust board has the power to replace local governing bodies with IEBs, because all local governing bodies are committees of the trust board. They may replace a local governing body if it is failing or if a new academy is joining the trust and does not already have local governance in place.

In academy trusts the composition and terms of reference of the IEB are decided by the academy trust board.

Recruiting A Clerk To Governors

Recruiting a clerk to governors or governance professional can be tricky as it’s a niche role and many schools only offer small contracts.

This article helps you find a clerk to governors, hold interviews to discover the best candidate and advises on what to do if you’re unable to recruit a clerk.

Advertising For A Clerk

Here are some places that accept adverts for clerks. If you know of other places to advertise please contact me and I will add the details.

The titles “clerk to governors” and “governance professional” tend to be used interchangeably. Governance professional is the title that the DfE have preferred over the past few years, but many schools still advertise for a clerk.

The National Governance Association allows schools to advertise clerking roles.
The National Association of School and College Clerks also lets schools advertise for a clerk.
Eteach contains listings for clerks.
The DfE Teaching Vacancy service contains listings for school support staff, including clerks.
The TES (Times Educational Supplement) accepts listing for clerks.
Your LA Governor Services department may provide clerks through their own clerking service, although it will likely be more expensive than hiring a clerk directly.
Contact local schools to ask if their current clerk would like more work. Many clerks work for multiple schools and are happy to work at both maintained schools or academies.

Who interviews the clerk?

It tends to be the headteacher and chair of governors who interview the clerk. In an academy trust they may be joined by the head of governance or whoever takes the lead on governance issues.

Remember that the clerk or governance professional is not line managed by the headteacher. They are employed by the governing board (not the head) and should be line managed by the chair of governors.

Clerk To Governors Job Description and Person Specification

A job description and person specification for a clerk is available from Southampton LA. (Look for “governance professional, formerly clerk to governors”).

I also have a page that describes the role of the clerk in detail.

Training For Clerks

Ask A Clerk provides training courses for maintained school clerks.

Questions To Ask At Interview

I have a separate article suggesting questions to ask at a clerk to governors interview.

Tasks At Interview

To test a potential clerk’s skills at interview you could ask candidates to:

provide a copy of their minutes (if they have worked as a clerk before)
watch a short video and minute the key points
summarise a long headteacher’s report in one side of A4
improve the spelling, grammar, flow and formatting of a poorly written set of minutes you provide
answer a quiz on the school governance regulations (maintained schools) or your own articles of association/terms of reference (academies)
write a letter to a governor telling them they have been disqualified for failing to attend meetings
write a letter to a governor telling them they have broken the code of conduct and the board have voted to suspend them.

What happens if we cannot recruit a clerk?

Every maintained school and academy trust needs a clerk or governance professional, so you need to keep looking.

In the short-term one of your governors/trustees can take the minutes. This really is only a short-term solution as it adds an additional burden to the governor or trustee, makes it difficult for them to take part in discussions and means you do not have access to the clerk’s advice.

If you’re struggling to recruit I would review your job advert, salary offer and job description to see if you can make the role more enticing.

I often see job adverts for clerks that are confusing, uninviting or sometimes even needlessly scary! Here are some common mistakes I see schools make in their adverts.

Hiding The Salary

The job advert says something like “Salary is £15-£16 per hour depending on experience and we hold six full board meetings per year.”

Okay…but how much is the salary? You need to say how many hours of work are allocated for each meeting. Eight hours for each full board meeting at £15 per hour would be £720 per year, whereas 14 hours per meeting would be £1260 per year. That’s a vast difference.

To properly explain the salary each advert for a clerk must include:

the number of hours included in the contract (eg: 120 hours annually)
the number of full board meetings per year
the number of committee meetings per year
the pay per hour
whether overtime is paid to cover other duties (training, admin, governor panels, extraordinary meetings etc).

When deciding how many hours to allocate per meeting the minimum allocation often recommended is 10 hours per full board meeting and seven hours per committee meeting.

Suspiciously Low Number of Annual Hours

I recently saw a school advertise for a clerk to work for just 60 hours per year. This was to clerk six full board meetings, so I imagine they’ve allocated 10 hours per meeting.

That’s fine in itself, but the advert made no mention of additional hours allocated for training, extraordinary meetings, governor panels, keeping records, offering advice, updating the website, begging governors to fill in their declaration of interests form for 2023 before the form for 2024 becomes due…

It is very helpful to tell applicants whether overtime will be paid for additional work. You also need to check how the number of hours have been calculated. Were they calculated 15 years ago and no-one has reviewed them since? Do they really reflect the amount of work you are asking the clerk to do?

It’s a good idea to ask your previous clerk whether they feel they were being paid for all the hours they were required to work – you might be surprised at the answer.

Expecting Unreasonable Flexibility

Clerks do need to be flexible in their approach to working hours as boards may need to change meeting dates or hold meetings at short notice.

However, if you are trying to employ someone who can work at 8am on a Monday, 7pm on a Tuesday and 1pm on a Wednesday you may find that a struggle.

Almost all clerks have to take on extra work around their clerking, so if you’re offering three hours of work per week and want complete flexibility in return you may need to relax your requirements.

Terrifying The Life Out Of People

I almost didn’t apply for the first ever clerking role I held because it sounded pretty daunting.

Phrases like “The clerk advises the governing body on legislative issues” can make it sound like you need a barrister, not a clerk. I also once saw an ad that said the job was “not for the faint of heart”!

Now, you do need to tell candidates that they will be expected to do more than take notes, but do make it clear that no legal qualifications are needed and full training will be available (and that you will of course pay for the time spent undertaking that training).

It also helps to mention any sources of support you have as a governing body. For example, if you’re members of the NGA, GovernorHub Knowledge or your LA provides clerking support forums.

Treating Committee Meetings As Minor Add-Ons

I once enquired about a clerking role which said the school ran six full board meetings per year “plus committees”. They were paying a fixed number of hours per year.

When I asked for more information it turned out they held six full board meetings and ten committee meetings per year, with all 16 meetings to be covered by the fixed hours contract.

I’ve seen other schools do this too, ignoring committee meetings in their adverts because they seem to believe they take far less time to clerk than full board meetings and the full board meetings are the main part of the job.

It’s true that committee meetings are often shorter than full board meetings, but they can also be quite complex. Anyone who thinks committee meetings are a doddle has never minuted a finance committee! Plus there is still the usual work of drafting the agenda, sorting out papers, offering advice and so on.

An experienced clerk may be suspicious of an advert that carefully explains how many full board meetings you hold but fails to mention committees. (Of course, if you run the circle model of governance you won’t hold committee meetings, so do mention that in your ad if that’s your set-up.)

Staff Disciplinary Panels

Governors sometimes need to form a panel to decide whether disciplinary action should be taken against a member of school staff.

Clerking a staff disciplinary panel is less stressful than it might sound because it is led by a human resources (HR) advisor rather than the clerk to governors.

The HR expert will advise governors and make sure they follow your school’s disciplinary policy. The clerk helps gather the required number of governors for the panel but on the day of the disciplinary hearing you are (for once!) just there to take minutes.

What is the process for a staff disciplinary hearing?

Each school must follow its own staff disciplinary policy so that’s the first thing to check. Written guidance on holding disciplinaries is also available from ACAS (the Advisory, Conciliation and Arbitration Service).

As a guide, the disciplinary process starts when an allegation is made against a staff member. An investigation into that allegation is carried out by either the headteacher or a senior member of staff.

The investigating officer may decide that no further action is needed or that the issue can be dealt with by offering extra training or an instruction on how to behave in the future.

If the investigating officer decides that the issue is serious enough they refer it to a staff disciplinary panel hearing. This is where governors become involved because they sit on the panel.

At the panel hearing the investigating officer explains the allegations and goes through the evidence. The employee is given the opportunity to set out their case and answer any allegations.

Witnesses can be called by either side. Both the investigating officer and employee can question the case put forward by the other party. The headteacher or governor panel may question any evidence presented and will be advised by the school’s HR provider.

The governor panel considers all the evidence and decides whether there are reasonable grounds to believe the alleged act or behaviour occurred. The governor panel also decides whether they think disciplinary action is justified.

If the staff member disagrees with the panel’s decision they can appeal to a second panel of governors, known as the appeals panel. The appeals panel should be formed of governors who did not sit on the first panel.

Can staff governors sit on staff disciplinary panels?

No. Any governor who is a school employee must not sit on a staff disciplinary panel. It would not be right for an employee to judge whether disciplinary action should be taken against their own colleague.

Which governors can sit on the panel?

Check your school’s own staff disciplinary policy, but generally any governors who are not school employees are able to sit on a staff disciplinary panel.

It’s common for policies to say that a panel of three governors is needed, as a three-person panel helps to avoid a tied vote. You should also check whether your policy states the chair or vice-chair of governors should be on the panel.

My LA’s policy says the chair or vice-chair should sit on the appeals panel, which is the second governor panel. That means that in my LA either the chair or vice-chair of governors should not sit on the first panel, because governors cannot sit on both the first and second panels.

The usual rules about conflict of interest apply to any governor panel. A governor who is biased or could be seen to have a bias must not sit on the panel.

That would include a governor who has a personal connection to the school employee, for example a governor who is related to them. It also includes a parent governor whose child is in the employee’s class.

Do governors need training to sit on a staff disciplinary panel?

No, there is no requirement for governors to receive training. However, training can be very helpful to ensure governors understand their remit and duties.

Does the clerk need training to clerk a staff disciplinary panel?

No, there’s no requirement for the clerk to receive training.

In this situation the clerk’s role is simply to take minutes, not to advise on procedures and law. It is the HR professional who offers advice to the governor panel, not the clerk.

My LA staff disciplinary policy says a “note-taker” must attend the disciplinary hearing. I’d usually object to a clerk to governors being called a “note-taker”, but in this case it is correct – we are only at the hearing to take notes.

What documents should be prepared before the hearing?

It is likely that the document pack will be prepared by school staff rather than the clerk. Every page of the document pack should be numbered to ensure everyone at the hearing can find a page easily and all attendees should receive the same information.

The document pack might contain:

a written account of the investigation
written witness statements
the staff disciplinary policy
the staff code of conduct
HR records about the staff member.

Who attends the staff disciplinary hearing?

My LA’s staff disciplinary policy says the following people are invited to the hearing:

the school employee who is the subject of the hearing
the investigating officer
the governors who are sitting on the panel
HR adviser(s)
a person accompanying the staff member, for example a union rep or a colleague
any witnesses, eg: a teacher who saw an incident in the playground
the clerk.

Governors who are not on the panel must not attend the hearing.

What decisions can governors reach?

The possible outcomes of the hearing will depend on your school’s policy and whether the employee has been disciplined before.

Depending on the situation and your policy the panel might:

decide the allegations have not been proven
issue a written warning or final written warning
fire the employee with notice
fire the employee without notice (immediate dismissal).

Who writes the letter to the staff member to inform them of the panel’s decision?

The HR adviser should write the letter as they are the HR expert, not the clerk to governors.

How do you write minutes of a staff disciplinary panel?

Minutes should be as detailed as possible and clearly show who is speaking. The minutes will be no use if they don’t make it clear what the staff member said in their defence, what the HR adviser advised, what the union rep said and so on.

I would try to stick as closely as possible to the actual words used. In a full board or committee meeting the clerk needs to summarise the discussion, but in a disciplinary panel clerks should try to avoid putting words into other people’s mouths.

You also need to avoid introducing any kind of bias into the minutes by accidentally presenting one party in a more favourable light or spending more time minuting the questions from governors than the answers given by the employee.

In a usual governor meeting you might be diplomatic and say “Governors had a robust discussion and decided to reject the idea” when what actually happened was a heated argument and governors expressing very strong views.

These kind of minutes are fine for board meetings where governors have collective responsibility and must arrive at collective decisions.

However, in disciplinary minutes it is better to record what actually happened as accurately as possible. Write “JC stated that was total nonsense”, rather than “JC denied the accusation”, so you avoid changing the meaning.

Ask for clarification if you have not understood something and let the chair know if you have fallen behind in your notes and need a pause to catch up.

You should also record any adjournments, for example if the panel take a bathroom break. You must also record in the minutes any time someone leaves or enters the meeting.

Witnesses may be asked to leave after they have spoken and the employee, together with anyone accompanying them, will be asked to withdraw temporarily while the panel make up their mind.

Should staff disciplinary minutes be sent to all governors?

No, definitely not. Minutes should be marked confidential and only shared with governors who were on the panel.

If the employee is unhappy with the decision of the disciplinary panel they may appeal and a second panel of governors will be needed to hear that appeal. The governors on this second panel must not have had any involvement in the case, which includes reading the minutes of the initial panel.

The full board of governors can be told that a staff disciplinary hearing took place, but no other information should be shared with them.

Clerk To Governors Training: Roles, Procedures & Allowances

I am now offering online clerk to governors training for maintained school clerks!

The first training course is called the Roles, Procedures & Allowances training. It talks you through every section of the School Governance (Roles, Procedures and Allowances) (England) Regulations.

I explain how the rules work in practice and translate the legal language into plain English. This is a pre-recorded video course so you can watch the video as many times as you like, whenever you like.

The two-hour training video comes with a 66-page written transcript. It also comes with a 17-page written study guide which helps you understand the key points of law and summarises each section.

This is the course I wish existed when I became a clerk in 2012.

What does the Roles, Procedures & Allowances training course cover?

The Roles, Procedures & Allowances training course provides a comprehensive guide to The School Governance (Roles, Procedures and Allowances) (England) Regulations 2013.