Category: Policies

Governors or trustees must approve pay rises for the headteacher and will usually approve pay rises for senior leaders as well. In many schools they also approve pay rises for all teachers.

Pay decisions are usually made by a pay committee. If a teacher is refused a pay rise they have the right to appeal, with their case heard by a separate group of governors who have not sat on the pay committee.

This page explains the common procedures for the pay and appeals process, but check the teachers’ pay policy at your own school (as well as any terms of reference for existing committees) to see the rules at your own setting. The DfE provide a model pay policy in their document Implementing Your School’s Approach To Pay.

Pay Committee Procedures

The role of the pay committee is to make decisions on pay progression, which means whether teachers move up a point (or “increment”) on their pay scale.

Decisions in maintained schools depend on how well the teacher has done their job and the results of their annual appraisal; this is know as performance-related pay. Academies may use performance-related pay but do not have to.

Your school may have a separate pay committee or it may be part of the wider responsibilities of another committee that covers finance or resources.

It is not wise to allow pay decisions to be made at full governing body meetings. This is because teachers should be given a right to appeal against a decision and you will need a separate group of governors to hear that appeal.

For example, the model pay policy from my own LA states that a pay appeal must be heard by governors who have not been previously involved in making pay decisions for that teacher.

“The appeal committee will consist of three governors, none of whom have been previously involved in the pay determination for that teacher.”

Model Policy for Determining Teachers’ Pay 2021/22, Southampton LA

How many governors form the pay committee?

In both maintained schools and academies there is no maximum number of governors/trustees who can join the pay committee, but it is wise to make sure at least three governors or trustees do not join the pay committee so they can sit on the appeals panel.

Check the teachers’ pay policy for your own school or academy to see exactly how many governors or trustees will be needed if a teacher appeals.

The full governing body decides who sits on the pay committee and the terms of reference for that committee should state how many governors are members and the number of governors needed for a quorum.

In maintained schools there must be a minimum of three governors on the pay committee, because that is the minimum quorum set by the Roles, Procedures and Allowances Regulations 2013. With two governors or fewer the committee cannot make decisions.

“The governing body must determine the constitution, membership and terms of reference of any committee they decide to establish and review them annually.

“The quorum for any meeting of a committee must be determined by that committee, but in any event must be not less than three governors who are members of the committee.”

Roles, Procedures and Allowances (England) Regulations 2013

In academies it is up to the board of trustees to decide how many trustees form the pay committee. Check your committee’s terms of reference for details.

Who can join the pay committee?

In all schools the pay committee should be formed from governors or trustees who are not employed by that school.

In maintained schools the law forbids all school employees apart from the headteacher from voting on an employee’s pay or appraisal or taking part in the related discussions. The headteacher is also forbidden from voting on their own pay, but is legally allowed to vote on the pay of all other staff.

“(1) This sub-paragraph applies where a relevant person who is paid to work at a school other than as head teacher is present at a meeting of the school at which a subject of consideration is the pay or performance appraisal of any particular person employed to work at the school.

(2) This sub-paragraph applies where a head teacher of a school is present at a meeting of the school at which a subject of consideration is the head teacher’s own pay or performance appraisal.

(3) In any case where sub-paragraph (1) or (2) applies, the relevant person’s interest will be treated for the purpose of regulation 16(2) as being in conflict with the governing body’s interests.”

Roles, Procedures and Allowances (England) Regulations 2013

Therefore, if a maintained school pay committee is voting on the headteacher’s pay no school employees at all can take part in discussions or vote.

If the pay committee is voting on the pay of any staff member except the headteacher then only the headteacher can legally take part and vote.

However, even though the law allows the head to sit on a pay committee as long as their own pay is not being discussed, this is not considered good practice. The pay process is more robust if the person making the recommendations does not take part in the final decision.

The head still attends meetings of the pay committee but only to explain their recommendations on pay rises and answer questions from governors. The pay committee must then approve or reject these recommendations.

In academies the law quoted above does not apply, but the rules on conflicts of interest in your article of association mean that no trustee employed by the academy can vote on whether to give one of their colleagues a pay rise.

The chief executive officer or principal can attend the pay committee to make recommendations but should not have a vote and must leave the meeting if their own pay is being discussed.

There is a specific rule in the model articles of association that requires trustees to withdraw from a meeting when their own pay is being discussed.

“Any trustee who has or can have any direct or indirect duty or personal interest (including but not limited to any personal financial interest) which conflicts or may conflict with their duties as a trustee shall disclose that fact to the trustees as soon as they become aware of it.

“A trustee must be absent from any discussions of the trustees
in which it is possible that a conflict will arise between their duty to act solely in the interests of the academy trust and any duty or personal interest (including but not limited to any personal financial interest).

“For the purpose of article 97, a trustee has a personal financial interest in the employment or remuneration of, or the provision of any other benefit to, that trustee as permitted by and as defined by articles 6.5-6.8A.”

Model Articles of Association (June 2021)

Can parent governors sit on the pay committee?

Yes. All governors must consider whether they have a conflict of interest, as they must for any vote, but a governor is not automatically conflicted just because their child attends the school (or used to).

The DfE advise in their document Implementing Your School’s Approach To Pay that one reason a teacher could appeal is if one of the original decision-makers was biased. This might apply to a governor who is related to or close friends with a member of staff, for example. In that case the governor obviously should not be making decisions about whether their friend or relation gets a pay rise.

Can the chair of governors sit on the pay committee?

Yes. Some schools allocate the chair of governors or trustees to the pay committee and save the vice-chair for an appeals panel (or vice versa), but there are no rules that restrict whether the chair or vice-chair should be on the committee.

Who can see minutes of the pay committee?

Minutes are usually sent only to those governors who are members of the committee. This is because the remaining governors may need to hear an appeal and could be influenced by the reasoning or decisions recorded in the pay committee minutes.

Should governors see teachers’ actual salaries?

No. Governors will usually be given an anonymised report that describes staff as teacher A, teacher B and so on. The report will show whether a teacher has fully or partially met each of their objectives. It may also show how their lessons have been judged (eg: Outstanding, Good etc) or include a short comment from the appraiser.

Salary recommendations are shown as points on the payscale rather than actual figures such as £25,000, so one recommendation might say “Teacher A: met two objectives fully and one partially, recommend move up from M1 to M2”.

In small schools it is not possible to completely anonymise salary recommendations and even in larger schools some of the higher salaries are easily identified – the highest paid teacher is clearly the headteacher, the second highest the deputy head and so on. However, there is no need for governors to know the exact amount each teacher is paid.

What governors can ask for is data on the protected characteristics of teachers under the Equality Act 2010 including race, sex, age and disability. This will allow them to check for any signs of discrimination or bias, for example female teachers receiving fewer recommendations for a pay rise than males.

“It is good practice for schools to record what steps they undertake to avoid discrimination. Equality monitoring is the most effective and efficient method of identifying potential inequality in workplace policies and procedures.

“A breakdown of pay decisions according to each protected characteristic (where applicable) would provide an initial snap-shot. Comparisons year-on-year would then show trends and may identify potential discriminatory practices or procedures.”

Implementing Your School’s Approach To Pay

What are the different payscales?

In maintained schools the minimum and maximum salaries for each payscale are set by the School Teachers’ Pay and Conditions Document (STPCD). Below are the various payscales named in the STPCD.

• The unqualified teacher pay scale.
• The main pay scale for qualified teachers, often written as M1, M2 etc. Traditionally there were six points on this pay scale but your school may have more or less. A newly qualified teacher would join the school on the main pay scale.
• The upper pay scale, often written as UPS1, UPS2 etc (or UP1, UP2). Qualified teachers can apply to be paid on the upper pay scale at least once a year. Traditionally there were three points on this pay scale but your school may have more or less.
• The leading practitioner pay scale, for teachers who are modelling and leading the improvement of teaching skills.
• The leadership group pay scale, for senior leaders. Often written as L1, L2 etc.

The specific salaries for each point on the payscale will be shown in your school’s pay policy. For example, in my LA’s model policy a teacher on the main payscale point M1 earns £25,714 and a teacher on UPS3 earns £41,604.

Governors may also discuss the individual schools range (ISR) for the head, deputy head and and assistant heads. This means the minimum and maximum pay points they can receive. For example an assistant head might be paid on an ISR of L10 to L14.

Finally, a teaching and learning responsibility (TLR) payment may also be discussed. This is an extra payment given to teachers who take on additional responsibilities.

In academies boards do not have to follow the School Teachers’ Pay and Conditions Document unless staff have transferred to the academy under the Transfer of Undertakings (Protection of Employment) or “TUPE” process. If staff transferred under TUPE their contract remained the same so the STPCD still applies.

Many academies choose to follow the STPCD anyway, even when the TUPE process does not apply. Check the pay policy of your academy trust to see the pay scales and processes in use.

Should governors see teachers’ appraisals?

No, the details of the appraisals are considered confidential to each employee. Governors can ask questions about the appraisal process to check it is effective, fair and using appropriate evidence, but they do not need to view the actual appraisals.

“The appraisal and capability processes will be treated with confidentiality. However, the desire for confidentiality does not override the need for the headteacher and governance board to quality-assure the operation and effectiveness of the appraisal system.”

Teacher Appraisal and Capability: A Model Policy For Schools

Should governors make pay decisions for all teachers or just senior leaders?

Governors must make decisions about the headteacher’s pay and a separate articles covers the head’s appraisal process.

For all other teachers it is up to the governing body whether to take decisions themselves or delegate the decision to the headteacher or an individual governor. The DfE model pay policy indicates that procedures can vary from school to school.

“Insert any particular arrangements for your school. For example, decisions may be made by an individual (eg: a governor or the head) or a pay committee of the governance board).”

Implementing Your School’s Approach To Pay

The most common advice seems to be that at minimum governors should make pay decisions for the senior leadership team (SLT).

The National Education Union recommends that the pay committee makes pay decisions for “all leadership group” teachers. It is up to the governing body whether pay decisions for teachers below that level are made by governors or delegated to the head or chief executive officer and this may depend partly on the size of the school.

“Governing bodies are permitted to delegate pay decisions to a governing body committee, individual governors or the headteacher.

“The NEU advises that decisions in respect of all leadership group teachers should be taken by the governing body committee responsible for pay/staffing issues and reported to the full governing body.

“Decisions in respect of deputy and assistant headteachers should not be delegated to the headteacher alone.”

National Education Union (NEU)

What questions can the pay committee ask?

The pay committee members receive limited information because they cannot see the actual appraisals. However, governors should be asking questions to ensure the pay process is robust and decisions justified, that the school’s approach to pay is having an impact and that the budget implications of pay rises have been considered.

“Will the governance board be able to defend its decisions if challenged (eg: by dissatisfied teachers or by Ofsted)?

“Governance boards will need to satisfy themselves that objective-setting is rigorous and that the school’s pay policy provides a clear link between levels of achievement and progression.”

Implementing Your School’s Approach To Pay

The DfE model pay policy says the governors need to make decisions “in the light of the school’s budget” and ensure that their school can afford the increases.

“The governance board will consider its approach in the light of the school’s budget and ensure that appropriate funding is allocated for pay progression at all levels.”

Implementing Your School’s Approach To Pay

Here are some possible questions that the pay committee could ask.

• Does the number of staff passing through to the upper pay scale match the overall quality of teaching?
• Do the overall number of pay rises correlate with the overall quality of teaching?
• Do pay rises correlate with pupil outcomes?
• If all teachers have met all their objectives, were they ambitious enough? If many teachers have failed objectives, were they too tough?
• When was a pay rise last denied?
• If pay rises are never denied are we sure objectives are ambitious enough and appraisals fair but rigorous?
• How do you know that appraisals are fair and take into account relevant evidence?
• If a move to the upper pay range is recommended, how do we know that teacher has made a “substantial and sustained” contribution to the school, which is a requirement of STPCD?
• What are the total costs of implementing these proposed pay rises?
• Has the cost been accounted for in the budget?

Appeal Panel Procedures

If a teacher has been denied a pay rise they should be given a chance to appeal against the decision. They might argue for example that the school’s pay policy was not applied correctly, that evidence used in their appraisal was inaccurate or that they were discriminated against.

“Schools should ensure that an appeals procedure is in place before any pay determinations are made. What follows is intended as a guide as there is no statutory process for schools to follow in terms of hearing pay appeals.”

Implementing Your School’s Approach To Pay

There is no statutory process for pay appeals but the DfE recommend a three-stage process as follows:

1. An informal discussion with the appraiser or headteacher before the pay recommendation is confirmed.
2. A formal representation to the person or governors making the decision on pay.
3. An appeal to a panel hearing involving governors. The decision of the governor appeals panel is final.

“In the hearing before governors, both the teacher and the management representative will have the opportunity to present their evidence and call witnesses; the parties will also be able to question each other.

“The panel is permitted to ask exploratory questions. The appeal panel’s decision is final and, as set out in section 3 of the STPCD, there is no recourse to the general staff grievance procedure.”

Implementing Your School’s Approach To Pay

Who sits on the pay appeals panel?

The DfE recommend that three governors form the appeals panel. This matches the recommendation from my own LA, whose model policy says that the appeal panel “will consist of three governors”.

“It is recommended that the panel which hears pay appeals should comprise three governors who were not involved in previous discussions regarding the teacher’s pay determination.”

Implementing Your School’s Approach To Pay

Crucially, these three governors should not be the same governors who sat on the pay committee or took part in any discussions about the teacher’s pay. This is because the appeals process is designed to give the teacher a fresh, unbiased hearing.

Rather than having a fixed membership of three named governors you could say the appeals panels will be formed from any three governors in the available “pool”. The pool contains all governors who are eligible to hear an appeal.

For example, terms of reference for the pay appeals panel might say that membership consists of “Any three governors who are not school employees or members of the pay committee/headteacher’s appraisal panel.”

Using the pooled approach makes it easier to assemble an appeals panel within the timeframe set by your pay policy.

Who can attend the appeals panel?

Obviously the governor panel and the teacher themselves can attend, as well as the headteacher or senior leader who made the pay recommendation that is being contested.

In addition the teacher can bring a colleague, union rep or representative from a professional organisation. A clerk should also attend to take notes.

“Teachers making representation at stage two and making an appeal at stage three may be accompanied by a colleague or representative from a professional organisation or trade union.

“Pay appeals should be formally clerked and a note of proceedings should be produced.”

Implementing Your School’s Approach To Pay

Pay Appeals Panel Agenda

The DfE provide an example agenda for a pay appeals panel in their guide to Implementing Your School’s Approach To Pay. The agenda is shown below and I’ve also added it as a downloadable Word file to my templates and letters page.

1. Introductions
   – The chair introduces everyone and explains what their role is, then outlines the order of the hearing.
   – The human resources clerk takes notes of the hearing.
   
2. The Employee Case
   – The employee or their representative presents the employee case, providing any evidence to support their case, including from witnesses (if any).
   – A management representative has the opportunity to question the employee.
   – The chair asks questions and subsequently opens the discussion to the panel
   
3. The Management Case
   – The management representative presents management case, providing any evidence to support their case, including any witnesses.
   – The employee or their representative has the opportunity to question the management representative.
   – The chair asks questions and subsequently opens the discussion to the panel.
   
4. Summarising and End of Hearing
   – The employee or their representative sums up the employee case.
   – The management representative sums up the management case.
   – If appropriate, the chair can sum up the key points on both sides.
   – The chair will then end the hearing, advising the employee that they will receive the panel’s decision in writing within a given timescale.
   
5. Decision-Making
   – The panel meet to reach their decision.
   – The HR clerk notes the main points of the panel discussion and their decision.
   – The panel obtains HR advice, if required, to inform their decision-making.
   
6. Communication of Decision
   – The employee is notified of the decision. The decision and reason for the decision is confirmed in writing.

Governing bodies must appraise the headteacher to find out whether they are doing a good job – or in the language of appraisals, assess whether they are performing to agreed standards and meeting their objectives.

This article explains how the head’s appraisal process works, the role of governors, who can sit on governor appraisal panels and the rules around external advisers.

Law For Maintained Schools

The relevant law for maintained schools is The Education (School Teachers’ Appraisal) (England) Regulations 2012.

The DfE also publish a model policy for teacher appraisal and capability which includes guidelines for the head’s appraisal.

The 2012 Appraisal Regulations do not apply to academies, but in their model appraisal policy the DfE recommend that academies follow these Regulations anyway.

“It is also good practice for academies to follow the appraisal regulations although they are not legally required to do so.”

Teacher Appraisal and Capability: A Model Policy For Schools

The 2012 Appraisal Regulations say that the governing body of a maintained school must:

• tell the headteacher what standards they will be assessed against
• set objectives (targets) that the head needs to achieve in the coming year
• appraise the performance of the headteacher, using guidance from an external adviser
• assess the head’s performance against the DfE Teachers’ Standards and Headteachers’ Standards and the objectives set by the governor appraisal panel last year
• assess the head’s professional development needs, ie: whether they need more training or expertise
• where relevant under the School Teachers’ Pay and Conditions Document (STPCD), recommend whether or not the head gets a pay rise
• give the head a written appraisal report.

“The governing body of a school must, before, or as soon as practicable after, the start of each appraisal period in relation to a head teacher—

(a) inform the head teacher of the standards against which the head teacher’s performance in that appraisal period will be assessed; and

(b) set objectives for the head teacher in respect of that period.

“The governing body of a school must appraise the performance of the head teacher in respect of each appraisal period applying in relation to that head teacher.

“In appraising the performance of the head teacher, the governing body of a school must consult the external adviser appointed under regulation 4.

“In making an appraisal the governing body…must—

(a) assess the teacher’s performance of their role and responsibilities during the appraisal period in question against

(i) the standards applicable to that teacher by virtue of regulation 6; and

(ii) the teacher’s objectives set under regulation 6;

(b) assess the teacher’s professional development needs and identify any action that should be taken to address them; and

(c) where relevant under the Document, include a recommendation relating to the teacher’s pay.

“As soon as practicable following the end of each appraisal period applying in relation to a teacher, the governing body, head teacher or local authority (as the case may be) must provide the teacher with a written report of the teacher’s appraisal in respect of that appraisal period.”

Education (School Teachers’ Appraisal) (England) Regulations 2012

The “Document” referred to under item c is the School Teachers’ Pay and Conditions Document (STPCD).

When setting the head’s objectives governors in maintained schools must remember their legal duty to consider the head’s work-life balance.

“The governing body must have regard to the desirability of the head teacher being able to achieve a satisfactory balance between the time spent discharging the professional duties of a head teacher and the time spent by the head teacher pursuing personal interests outside work.”

School Staffing (England) Regulations 2009

Appointing An External Adviser

The board of a maintained school must appoint an external adviser to offer governors “advice and support” during the appraisal. The adviser must be appointed by the board, not chosen by the headteacher.

“The governing body of a school must appoint an external adviser for the purposes of providing it with advice and support in relation to the appraisal of the head teacher.

“In appraising the performance of the head teacher, the governing body of a school must consult the external adviser appointed under regulation 4.”

Education (School Teachers’ Appraisal) (England) Regulations 2012

The Headteacher Appraisal Process

The exact process differs from school to school, but a standard appraisal process is described in Effectively Managing Headteacher Performance: Research Brief, a research project commissioned by the DfE in 2014. It looked at the head’s appraisal process in both maintained schools and academies.

First, the governing body appoint an external adviser. (This is mandatory in maintained schools, but optional in academies.)

Next, a series of meetings is held, usually in the autumn term. The DfE report says a typical set of meetings runs as follows:

1. the governor appraisal panel meets to discuss points to raise
2. the external advisor meets with the headteacher
3. the governor appraisal panel, external advisor and headteacher all meet together
4. the governor appraisal panel and headteacher meet.

The exact pattern of meetings may differ from school to school. For example, the governor appraisal panel may also wish to meet with the external adviser before all parties meet. These meetings are often held consecutively on the same day.

The appraisal panel also makes a recommendation on whether to increase the headteacher’s pay. After the final meeting is complete the external advisor writes up a summary report.

Example of how these meetings work in practice are provided in a set of case studies in the DfE report. Here’s a description of how the process works in one primary school.

“Headteacher performance management meetings are conducted as follows.

“- The head meets the external adviser for about an hour, in order to discuss the preliminary report, the commentary and the evidence related to the previous year’s targets.

“Data on pupil progress is provided which shows each pupil’s target and achievement. The external adviser will question evidence and probe what has been said about achieving targets.

“- The process is repeated in a second meeting between the members of the appraisal panel and the external adviser.

“Using the external adviser as an external expert, governors scrutinise the report and probe through questioning. The head expects to be challenged as part of this process.

“- The head is given preliminary verbal feedback on achievement of the previous year’s objectives. He is also given an indication of the areas or the targets that need to be firmed up that seem to be appropriate for the direction that the school is taking.

“These areas are discussed and agreed during the course of this meeting. The head and governors perceive no distinction between objectives for personal development and those which help the school improve.

“- Following the day of the visit, the performance management statement is drafted by the external adviser. This draft includes a review of the achievement of the previous year’s objectives and objectives for the coming year and is sent to the chair of the appraisal panel.

“Following circulation to other members of the appraisal panel and any subsequent amendments, the statement is finalised between the external adviser and the chair of the panel and given to the head for signature.”

Effectively Managing Headteacher Performance: Case Studies

As well as the series of meetings described above, governors should also hold at least one formal mid-year review meeting of the panel to review progress.

“In addition to these meetings that typically focus on school performance, at least one formal mid-year review meeting of the
appraisal panel and headteacher is recommended to check specific progress of the headteacher against his or her objectives.”

Effectively Managing Headteacher Performance: Research Brief

How do we find an external adviser?

Advisers are often found through local connections or your local authority governor services. They may be school improvement partners (SIPs). In a multi-academy trust the chief executive officer (CEO) may serve as the external adviser for the appraisal of the headteacher of each individual academy.

If you are struggling to find someone the National Governance Association (NGA) offer support for headteacher and CEO appraisal through their consultancy services. Your headteacher may also suggest someone, but if they do it’s important that the board confirms they are suitably impartial and skilled.

Should we regularly change our external adviser?

There is no requirement to change the external adviser after a set time period, although there used to be. A rule introduced in 2003 meant that external advisers could only advise the same school for three years (see this .pdf report for details).

This rule no longer exists, but boards could still consider a change of external adviser after a number of years to avoid the relationship between head and advisor becoming too comfortable and gain a new perspective. This may be particularly necessary if the adviser already had links to the school as a SIP or another role.

Does the panel have to meet in the autumn term?

No, but many governor appraisal panels meet in autumn. This is because old law from 2006 set a deadline of 31 December for producing the appraisal plan.

The current 2012 Appraisal Regulations do not set a specific deadline, but 31 December is still the deadline set in the DfE model policy for providing the head with their appraisal report. Check your school’s own appraisal policy to find your own deadline.

How many governors form the appraisal panel?

The 2012 Appraisal Regulations do not say how many governors should be on the panel. However, the DfE model teacher appraisal policy says it should consist of two or three members of the board.

“In this school the task of appraising the headteacher, including the setting of objectives, will be delegated to a sub-group consisting of two/three (delete as appropriate) members of the governance board.”

Teacher Appraisal and Capability: A Model Policy For Schools

(This also matches old law from 2006 which used to say that the governing body may appoint “two or three governors” to the appraisal panel. This law has now been revoked.)

It may be sensible to appoint three governors rather than two, because with only two governors there is no way to break a deadlock if they disagree.

The DfE research from 2014 found that 67.6% of schools used three governors on their appraisal panel and 25% of schools used two. (A few schools used four governors or more.)

Can staff governors sit on the panel?

No, neither staff governors nor any other governor who is employed by the school can be a member of the panel.

In maintained schools this is a legal restriction. The law says that whenever the “pay or performance appraisal” of the headteacher is being considered all employees must leave the meeting due to their conflict of interest.

“This sub-paragraph applies where a relevant person who is paid to work at a school other than as head teacher is present at a meeting of the school at which a subject of consideration is the pay or performance appraisal of any particular person employed to work at the school.

“This sub-paragraph applies where a head teacher of a school is present at a meeting of the school at which a subject of consideration is the head teacher’s own pay or performance appraisal.

“In any case where sub-paragraph (1) or (2) applies, the relevant person’s interest will be treated for the purpose of regulation 16(2) as being in conflict with the governing body’s interests.”

Roles, Procedures and Allowances (England) Regulations 2013

This law does not apply to academies, but academies have equivalent rules about conflicts of interest in their articles of association. An employee will always have a conflict of interest if asked to appraise their own boss.

Can parent governors sit on the panel?

Yes, there’s no reason why a parent governor would be any less suitable than any other governor.

Can the chair of governors sit on the panel?

Yes, but there are differing views as to whether this is good practice. The main argument in favour is that the chair is likely to have good knowledge of the head’s performance and of the school as a whole.

The main argument against is that the chair’s relationship with the headteacher may be too close for them to act impartially and the vice-chair may be more suited to the task.

The DfE research found that the chair often does sit on the panel, together with the chair of a relevant committee such as a staffing or finance committee.

“An appraisal panel appointed by the governing body annually reviews the headteacher’s performance.

“This usually consists of three governors such as the chair of governors, the chair of the committee that oversees staffing and/or finance and one other governor who has particular expertise in performance management and/or education.”

Effectively Managing Headteacher Performance: Research Brief

Very old law from 2001 (now revoked) used to say that if the headteacher complained about the result of their appraisal that complaint had to be considered by the chair (unless the chair had taken part in the appraisal themselves) which would have been a good reason to avoid appointing the chair to the panel.

This law no longer applies, so it is up to each board whether to appoint the chair to the panel or not.

What if the headteacher objects to one member of the panel?

It is up to the governing body whether to consider the request and/or take any action. The old 2006 law said that if the head thought a governor was “unsuitable for professional reasons” they could submit a written request for that governor to be replaced.

This clause does not exist in current law, but check your school’s appraisal policy to see if it gives the head a similar right.

Do panel members have to receive training?

No, there are no mandatory training requirements. However, it is always a good idea for governors to receive training, particularly when they have no experience of performance management. The DfE research from 2014 identified the areas that governors may need training on.

“The following are the areas of training that our respondents identified as most essential for governors:

– the technical and legal formalities of headteacher appraisal
– understanding data
– issues around pay and performance
– managing relations with the head
– setting and monitoring objectives
– benchmarking
– evaluating external advice.”

Effectively Managing Headteacher Performance: Research Brief

In faith schools must one panel member be a foundation governor?

No. Old law from 2006 said that all schools with a religious character must appoint at least one foundation governor to the panel. It also said voluntary-aided (VA) schools must have at least two foundation governors on a three-governor panel. This law has been revoked.

The 2012 Appraisal Regulations do not say that foundation governors must sit on the panel in faith schools. However, check your school’s appraisal policy in case a similar rule exists in your school’s procedures.

Does the appraisal panel make pay decisions?

The law says that the appraisal panel provides a recommendation on any salary increase, rather than making the decision themselves. The DfE research from 2014 advised it is good practice for a separate pay or salary committee to approve or reject this recommendation.

“Draw on the external advisor to evaluate fully how effective the headteacher’s performance has been in comparison to what might be reasonably expected.

“Separate the appraisal process from the financial decision on pay by using separate committees.”

Effectively Managing Headteacher Performance: Research Brief

Are the headteacher’s objectives shared with the full board?

Generally the head’s objectives (targets) and the written report from the external advisor are seen as being confidential to the governor appraisal panel only, as employee appraisals are usually confidential.

However, if the headteacher is happy to share their objectives they can be given to the full board.

Does the clerk take minutes of appraisal panel meetings?

No, the clerk does not attend or take minutes of appraisal panel meetings. Usually the external adviser will write a report of the discussion and the agreed objectives.

However, the clerk does attend and minute any meeting of the pay committee as usual.

All schools must have a complaints policy that explains how parents and members of the public can lodge a complaint.

The policy must also say how complaints are handled, how they can be escalated and who will investigate the issue at each stage.

Statutory Requirements For Complaints

Maintained schools must “establish procedures for dealing with all complaints relating to the school or to the provision of facilities or services”, according to section 29 of the Education Act 2002. The Act also says schools must “publicise the procedures”.

Academy trusts must ensure “that a complaints procedure is drawn up and effectively implemented which deals with the handling of complaints from parents”, according to part seven of The Education (Independent School Standards) Regulations 2014.

The 2014 Regulations for academies also prescribe how complaints from parents are handled.

Complaints Not In Scope

In all schools the complaints procedures must cover all complaints except those that are deemed “complaints not in scope”.

This is where separate procedures already exist for handling complaints. For example, if a parent is unhappy with their child’s exclusion there is a statutory appeals process available to them.

Complaints not in scope include complaints about:

• admissions
• school reorganisation (eg: merging an infant and junior school to form a primary)
• statutory assessment of SEN
• issues likely to require a child protection investigation
• exclusions
• whistleblowing
• staff grievance (deal with under the school grievance procedures)
• staff conduct (dealt with under disciplinary procedures)
• outside companies using the school site
• the curriculum
• collective worship
• withdrawal from the curriculum.

DfE Complaints Guidance and Model Policies

The DfE provide best practice guidance for school complaints, plus model complaints policies for all schools.

Maintained schools: Best Practice Guidance for School Complaints Procedures

Model Complaints Policy

Academy trusts: Best Practice Guidance for Academies Complaints Procedures

Model Complaints Policy

Can only parents complain?

No. Maintained schools must consider complaints from anyone.

“You must not limit complaints to parents or carers of children that are registered at the school.”

Best Practice Guidance for School Complaints Procedures (Maintained Schools)

In academies the law sets out rules that apply to parental complaints only. However, DfE best practice guidance says academies are expected to handle complaints from members of the public “respectfully and expediently”.

“As public bodies, the Secretary of State for Education expects academies to handle complaints from people who are not parents of children at the school respectfully and expediently. They are not obliged to follow the complaints policy though.”

Best Practice Guidance for Academies Complaints Procedures

The DfE model policies for both maintained schools and academies say that “any person, including members of the public, may make a complaint”.

Can staff complain?

Staff can raise complaints informally, but formal complaints from staff are dealt with under grievance procedures rather than the complaints policy.

Must the complaints policy be online?

Maintained schools must publish their complaints policy online.

Academy trusts must give their complaints policy to anyone who asks for it and the expectation is for the trust to publish it online.

All schools must publish online procedures for handling complains from parents of children with special educational needs (SEN). (Maintained schools must include this within their SEND information report.)

“You must also publish (as part of your SEND information report) any arrangements for handling complaints from parents of children with SEND about the support the school provides.”

What Maintained Schools Must Publish Online

“Academies must publish any arrangements for handling complaints from parents of children with special educational needs about the support provided by the school.”

What Academies, Free Schools and Colleges Should Publish Online

How often should the complaints policy be reviewed?

The DfE Governance Guides recommend that the complaints policy is reviewed annually.

On the other hand, the DfE best practice guidance for complaints recommends that complaints procedures are reviewed “at least every two to three years” in all schools…

It seem sensible to review the complaints policy annually to comply with the DfE Governance Guides.

How many stages should our complaints process have?

In all schools there should be an informal stage first. If the complaint cannot be resolved informally the DfE recommends slightly different processes for maintained schools and academies.

Maintained schools can choose how many stages are in their policy, but the DfE recommend the following.

1. An informal stage (although schools should allow the person to go straight to a formal complaint if they wish).
2. A formal complaint heard by a member of staff, usually the headteacher.
3. An appeal stage heard by a panel of governors.

“We recommend that complainants and schools attempt informal resolution before making a formal complaint, if it’s appropriate to do so.

“You’re free to choose how many stages your procedure will include. However, we recommend two stages, where the second, an appeal stage, is heard by members of the governing body who’ll consider the complaint afresh.”

Best Practice Guidance for School Complaints Procedures (Maintained Schools)

(The DfE confusingly refer to “two stages” for maintained schools, when they are actually recommending three stages: an informal stage first, before the head or another staff member investigates at stage two and governors hear an appeal at stage three.)

For academies the DfE advise that at minimum the following three stages must be used to comply with law for independent schools. This law sets the rules for complaints from parents of pupils.

“1. Informal (usually a meeting with the complainant).

2. Formal (the complaint is put in writing).

3. A panel hearing, with an independent panel member.”

Best Practice Guidance for Academies Complaints Procedures

Note that academies must have an independent member at their panel stage. The panel hearing can be heard by trustees or local governors as long as one panel member is independent of the academy, or it can be heard entirely by independent people.

What is the timescale?

In all schools the DfE advise that three months is a reasonable period of time after the incident to allow a complaint to be lodged, although in “exceptional circumstances” schools should accept complaints outside this timescale.

DfE guidance does not set a timescale for the complaints process to be completed. Neither does the DfE model complaints policy for maintained schools or the model complaints policies for academies.

The DfE do advise that all schools can set cut-off times for lodging or escalating a complaint, as long as it is clear that in exceptional circumstances they may allow complaints to be lodged or escalated outside of these timeframes.

Example Complaints Timescale

A maintained school I clerked for used the following timescale for complaints.

• Acknowledge formal complaints within five school days.
• Provide a written report of the formal investigation within 20 school days of receiving the complaint. (Any complaints received in school holidays are considered to have been received on the first day back at school.)
• Allow the complainant 10 school days to escalate their complaint to the governor panel stage.
• If a governor panel is requested the clerk acknowledges this within five school days and aims to convene the panel within 20 school days of the request.
• After the panel has met the decision and reasoning of the panel is sent to the complainant within 10 school days.

Who can sit on governor complaints panels?

In all schools governors must be impartial, or what is sometimes known as being “untainted”. This means they should not have any prior knowledge of the complaint or have been involved in any of the earlier decision-marking regarding it.

They should also avoid any conflict of interest or any appearance of bias. For example, a parent governor should not hear a complaint involving their own child and a staff governor should not hear a complaint against a colleague.

Below is the DfE advice for all schools on impartial governors. (I’ve linked to the maintained guidance but the advice is the same for academies.) The DfE say that if there is “any reasonable doubt” around a governor’s impartiality they should not sit on the panel.

“We generally consider that governors with no prior exposure to the complaint are suitably impartial, unless the complainant provides us with evidence to the contrary.

“Persons who have a conflict of interest should not take part in the complaints process, including proceedings of governing body meetings and committees.

“If there’s any reasonable doubt as to a person’s ability to act impartially, they should withdraw from considering the complaint.

“Where a governor has a financial interest in any related matter, they should also withdraw.”

Best Practice Guidance for School Complaints Procedures (Maintained Schools)

Maintained schools are advised to use “the first three impartial governors available” in the DfE model complaints policy. They can either use only their own governors or can borrow governors or associate members from another school or academy.

The model policy also allows maintained schools to use an “entirely independent” panel made up only of governors from other schools.

“If you arrange complaint panel meetings on an ad-hoc, informal basis, you only need to source governors who are suitably skilled [and] can demonstrate their independence.

“You can approach governors from any category of governor [or an] associate member of another governing body.

“Maintained schools can ask governors in academies to serve on a complaints panel and vice versa.”

Best Practice Guidance for School Complaints Procedures (Maintained Schools)

Academies must by law have an independent panel member, someone who is “independent of the management and running of the school”. They can borrow one or more governors from another academy or from a maintained school. If necessary they can source all members of the panel externally.

The DfE also advise that multi-academy trusts can use a local governor from a different academy within the MAT as the independent member.

How many governors form the panel?

The model policy for maintained schools says the panel should be formed from “the first three, impartial, governors available”.

The model policy for academies says the panel should be formed from “at least three people”, including one independent person.

Who chairs complaints panels?

The DfE model policy for maintained schools say that the complaints panel “will decide amongst themselves” before the meeting who will chair the panel. This is not stated in the academy policy but would be a reasonable approach.

Are minutes taken of complaints panels?

Yes. The DfE recommend that panel minutes are taken in all schools and the complainant provided with a copy. (I’ve quoted from the maintained schools guidance below but the academies guidance says exactly the same.)

If schools refuse to supply the minutes the complainant may be able to request them anyway using data protection laws.

“We also recommend that copies of the minutes are issued to the complainant. Failure to do so may lead to a further complaint. They may also be entitled to them, subject to any necessary redactions, under the Data Protection Act 2018 and GDPR.”

Best Practice Guidance for School Complaints Procedures (Maintained Schools)

Tips For Handling Complaints

• Try to resolve the complaint informally.
• Ask the complainant what they want. They may just want an apology, a chance to express their concern in person or an admission that something went wrong and was not good enough.
• The school can admit that a situation was poorly handled without admitting to negligence.
• Explain what went wrong and how a similar situation will be avoided in future, including the timescales for any changes made to procedures.
• Tell the complainant how to escalate their complaint to the next stage whenever you are communicating about the current stage.

What solutions can we offer?

A DfE report from 2012 called Parent’s and Young People’s Complaints About Schools gave examples of the most common solutions to school complaints.

• An apology.
  Examples: “An apology was made to a parents when there was a delay in communicating with the parent following an incident in school.”
  “Where a teacher has not followed the correct procedure or practice in responding to an initial complaint a teacher and head issued an apology.”
• A change to school policies or procedures.
  Examples: “A change to lunchtime policy and procedures was made where a parent complained about their child missing lunch.”
  “The schools introduced accident slips to inform parents of any incidents rather than relying on verbal communication.”
• Staff training.
  Examples: “Whole school behaviour training was delivered to support children who were biting following a complaint by a parent.”
  “Restorative justice training was given to key staff to deal with bullying after a parent complained about the school’s response.”
  “Behaviour management at playtimes training was delivered to respond to incidents highlighted by parents.”
• Financial compensation. (Note: the DfE report says that financial remedies are not usually appropriate for school complaints.)
  Example: “The cost to replace a uniform which was damaged inadvertently.”

What happens if the complaint is about a governor or the headteacher?

If a formal complaint is received about the headteacher or a governor the DfE model policies for all schools say that a “suitably skilled governor” should be appointed to investigate. This will often be the chair of governors.

If the complaint is still unresolved after this investigation the complaint can usually be escalated to a panel of governors.

If the escalated complaint is about a governor it is wise to consider whether independent governors from another school need to hear the complaint, as the other governors at your school may not be impartial.

What is the role of the clerk?

If the complaint is escalated until it reaches the governor panel stage the clerk needs to:

• record the date the complaint is received
• acknowledge receipt of the complaint in writing
• convene a meeting and write to the complainant to inform them of the date and venue of the meeting (if the complainant rejects three proposed dates without good reason the clerk can set the date)
• find any independent governors or people needed to sit on the panel
• request copies of any further written material for the panel
• circulate copies of all written material to all parties in advance of the meeting (eg: the agenda, written evidence)
• take minutes of the panel meeting and ensure the complainant receives a copy.

What if complaints are unreasonable?

The DfE provides a model policy for managing serial and unreasonable complaints in maintained schools which could be adapted for use in academies.

It is a very short (two-page) policy describing what a school might do if complaints are abusive, repetitive, overly demanding or vexatious (eg: a very detailed complaint on a trivial matter).

Actions a school can take include limiting the number of contacts the complainant can have with the school and in extreme situations banning someone from the school site.

Example Agenda For A Complaints Panel

The DfE do not provide a model complaints panel agenda, but the structure of the meeting is fairly simple. A suggested agenda is below.

The complainant explains the issue and answers questions, the head explains the school’s response and answers questions and finally both the head and the complainant give a short summary statement.

Complaints Panel Agenda

A hearing by the complaints appeals panel of (Name of School) Governing Board will be held at (insert venue) on (insert date) at (insert time).

The order of business for the hearing is set out below.

1. To elect a chair for the hearing. (Ideally this should be done before this meeting.)
2. Introductions.
3. The chair to outline the procedure.
4. (Name of complainant) to explain his/her complaint.
5. Through the chair, the headteacher and the panel may ask questions.
6. Headteacher to explain the school’s response.
7. Through the chair, (name of complainant) and the panel may ask questions.
8. The headteacher to make a statement in summary.
9. (Name of complainant) makes a statement in summary.
10. All with the exception of the panel and the clerk to leave whilst the panel considers its decision. Written notice of the decision will be sent to the complainant and the headteacher within five school working days of the hearing.
11. The panel will then consider the complaint in private session.

At the base of the agenda state the clerk’s name and list any documents that you are sending out with the agenda, eg: a copy of the school’s complaints procedure, a copy of the original complaint, copies of letters between the complainant and the school, copies of written submissions from the complainant/head and any relevant LA guidance.

The governing body of a school or academy is responsible for approving most statutory policies, but can choose to delegate many of them to a committee, headteacher or sometimes an individual governor.

The DfE provides a list of statutory polices in their Governance Guides which were first published in March 2024. Schools must have policies that cover every topic on the statutory list.

The lists in the Governance Guides replace the old DfE list of statutory policies which has been withdrawn.

Do we need a separate policy for every issue?

No. Several issues can be combined into one policy if it makes sense to combine the topics.

How are policies approved?

If a policy is discussed at a full governing body meeting or a committee it is approved by a simple vote at a quorate meeting, in the same way that all other decisions are made. Remember that not all policies need to come to a full governors’ meeting.

If the approval is delegated to an individual that person should report their decision back to the governing body so it can be minuted and the clerk can keep track of when the policy needs reviewing again.

There may be some policies that governors cannot change, even if they wish to. For example, a teachers’ pay policy in a maintained school has usually been agreed by both the local authority and teaching unions. In that case governors can vote to adopt the policy as it stands.

Download A Policy Schedule Template

I have provided an example policy schedule on my templates and letters page. It can be adapted to suit your own school or academy.

This template lets you keep track of which policies have been delegated, when they are due for review and whether they are on the school website.

How often must statutory policies be approved?

The DfE Governance Guides recommend that all statutory policies are reviewed annually, with the exception of the equality objectives policy which can be reviewed every four years.

How often must non-statutory policies be approved?

This is down to each governing body to decide. Most schools will have policies that are not legally required but are useful, for example on off-site activities or marking.

As these are not statutory documents it is entirely up to the governing body as to how often they are reviewed and to whom they are delegated.

Which policies must be on our website?

The policies that must be on the school website are listed in two DfE documents, one for maintained schools and one for academies.

Many schools choose to publish a wide range of their policies online, not just the ones mandated by the DfE.

Who writes school policies?

Most policies will be drafted by senior school staff, perhaps using model policies from the DfE or local schools as a template.

Others may be written in consultation with unions (pay policies, for example). Documents such as the admissions policy will be drafted by your local authority if they are the admission authority.

Governors do not write school policies. Governors should:

• ask what impact the policy has had
• ask how the policy fits in with the school’s priorities
• ensure policies reflect changes in legislation
• approve the policy at the appropriate level of delegation
• monitor the school to check the policy is being implemented successfully.

Governors may suggest improvements and ask questions about how well the policy is working, but they do not draft the policy itself.

Do policies need to be signed?

There is no requirement for the chair to sign policies, although they can do so if it helps you keep track of which document is the final one.

It is important to date the policy document itself and include the approval date and delegation level. For example: “Approved by full governing body on 21 January 2025.”

Do governors proofread policies?

No! This drives me a little bit round the bend because I’ve been in so many meetings where governors insist on talking about the spelling mistakes, grammar or presentation of the policy but not whether it’s made any difference to the children.

Governors are not proofreaders. Even if they were you wouldn’t call a meeting of a dozen people so you can correct two spelling mistakes and change a font.

What if governors are overwhelmed with policies?

Most governors will have attended a meeting where there were at least half a dozen policies to approve and the sheer number of required policies may seem unmanageable.

If governors are struggling with the policy review cycle here are some ideas.

• Delegate. Make sure the full governing isn’t approving every last policy, it really doesn’t need to. Use your committees or consider delegating to a single governor or the headteacher.
  
• Increase the time between reviews. The DfE recommends that policies are all approved annually, but some policies probably don’t need looking at every single year.
  
  Think about which policies are vital and which are less important. Do you really need to approve the charging and remissions policy once a year? What about the governor expenses policy?
  
  For non-statutory policies there is no requirement that they are approved by governors at all. Do governors really need to approve the marking policy, for example, or is that operational?
  
• Reduce discussion of unchanged policies and “fixed” model policies from the LA. If a policy was discussed in detail last year and has not been amended, does it need to be discussed at length this year?
  
  Are governors spending valuable meeting time discussing staffing policies like the pay policy, grievance policy or disciplinary policy which have been agreed with the LA and unions and effectively cannot be changed?
  
• Track changes for updated policies. Use track changes in Word so governors can see the amendments clearly and focus on the new sections or wording.
  
• Delete policies. If it’s not statutory the school can decide to get rid of it completely.
  
• Send policies out in advance. All papers should be sent well in advance of meetings and that applies equally to policies. Governors cannot be expected to read pages and pages of documents at the meeting itself.