This article describes the administration and governance of the education system at local and institutional level.

Administration and governance of education in school, further and higher education are characterised by a high degree of autonomy exercised within the framework of central government policy (see the article on ‘Administration and Governance at Central and/or Regional Level’). 

Prior to reforms in the 1980s and 1990s, local authorities had a major role in publicly funded education outside of higher education. The reforms delegated many responsibilities to school governing bodies and incorporated further education colleges as self-governing bodies. Reforms since 2010 have changed school governance further, as the Government pursues its policy of supporting the creation of free schools and encouraging the conversion of maintained schools to academies, through individual funding agreements with central government. New structures – Regional Schools Commissioners and multi-academy trusts responsible for groups of academies (often referred to as ‘academy chains’) – have been created by government to be a new ‘middle tier’ between central government and individual schools/academies.

The organisation of local government, including the decision making process, is described in the article 'Main Executive and Legislative Bodies'. In addition, the article on ‘Administration and Governance at Central and/or Regional Level’ explains moves towards the devolution of certain powers and responsibilities to city areas and regions in some areas of England.

The role of local authorities

Local authorities (LAs) are the strategic lead for all services for children and young people from birth to 19, for young people up to 25 with an Education, Health and Care (EHC) plan and for young offenders in youth custody. 

The local authority (LA) role in education has changed significantly in the policy context of creating an autonomous, self-improving school system. Central to this, is the Government’s objective for schools to become academies, leaving fewer schools maintained by the LA. In January 2020, 77% of all secondary school pupils and 37% of all primary school pupils were in academies [Source: Schools, Pupils and their Characteristics, January 2020].

The 2010 White Paper, The Importance of Teaching, stated that LAs would increasingly shift from being providers to being strategic commissioners and overseers of education: ensuring sufficient places, coordinating admissions, supporting vulnerable children and challenging schools to improve. The 2016 White Paper Educational Excellence Everywhere further refined this remit, moving towards the removal of LA responsibility for school improvement and identifying the core functions of local authorities in education as: 

• acting as champions for parents and families
• ensuring every child has a school place
• ensuring the needs of vulnerable pupils are met.

Key duties for local authorities in education

The main duties of local authorities (LAs) in education are summarised in the paragraphs which follow.

School places

The local authority (LA) is the commissioner of education services for children and young people. It acts on their behalf, and on behalf of their parents and carers, to secure the best provision possible. Under Section 14 of the Education Act 1996, LAs are responsible for ensuring that there are sufficient schools to provide efficient education to meet the needs of the population of the area. This doesn’t mean that LAs are responsible for setting up new schools - rather that they are responsible for identifying the need for additional school places/new schools. This is a strategic responsibility which the Government has stated LAs will retain. 

The Education Act 2011 introduced a presumption that, when an LA identifies the need for a new school, it must seek proposals to establish the new school as a free school. In the interest of diversity and choice, an LA must take all necessary steps to ensure that the widest possible range of groups or organisations that might be interested in establishing the new school is aware of the opportunity to do so and has sufficient time to develop proposals. The LA is responsible for providing the site for the new school and meeting the associated capital costs. For further information, see the Department for Education’s guidance on the ‘Free School Presumption’.

There is also a duty on LAs, under the 2011 Act, to ensure that free early years provision in their area is sufficient.

In addition, under Section 15 of the Education Act 1996, local authorities have a statutory responsibility to ensure that enough suitable post-16 education and training is provided to meet the reasonable needs of young people. They are also expected to cooperate with other LAs in this respect.

For further information on local authorities’ responsibilities for securing sufficient school places, see the sub-heading ‘Geographical accessibility’ in primary and secondary education.

School admissions

Local authorities coordinate admissions to schools in their area and, under the School Information (England) Regulations 2008 (as amended), are required to publish a single prospectus offering parents details of admission policies for all the publicly funded schools in their area, whether maintained schools, academies or free schools. Parents fill in one admissions form for all the schools to which they are applying, and may include schools outside the LA area where the child lives. All parents in the same local authority area then receive one offer at the highest preference school at which a place is available on the same day. 

Local authorities also determine the admissions arrangements for community schools and voluntary controlled schools. For other legal categories of school, the admission authority is the school governing body or the academy trust.

Under Section 89 of the School Standards and Framework Act 1998, admission authorities within a particular area must publicly consult on any proposed changes to admissions arrangements, and must refer objections to the independent Office of the Schools Adjudicator (OSA). Local authorities also report annually to the OSA on the fairness and legality of the admission arrangements for all schools in their area.

As a requirement of Section 46 of the Education Act 2002, LAs must also establish ‘admission forums’. These are consultative bodies which advise all local admission authorities about existing and proposed admissions arrangements, and promote agreement on difficult admissions issues in the local area.

For further information, see:

• the School Admissions Code (Department for Education, 2014)
• the articles on ‘Admission Requirements and Choice of School’ in primary and secondary education
• the House of Commons Library briefing on school places (February 2019).

Financial administration

Under the School Standards and Framework Act 1998, individual local authorities (LAs) finance all maintained schools within their area using funding received from central government (the Dedicated Schools Grant, DSG). LAs then allocate this funding to schools according to a local funding formula within centrally defined parameters set out in regulations. Under the Act, as amended by the Education Act 2002, each LA is required to establish a ‘schools forum’ on which both maintained schools and academies are represented. The schools forum has a consultative function in respect of changes to the local funding formula, but is responsible for deciding how much money the LA may retain from the Dedicated Schools Grant for purposes such as coordinating school admissions. For further information, see the Department for Education’s guide to school forums.

The local authority role in financial administration is diminishing as more maintained schools become academies and therefore receive their funding directly from central government. Further changes will result from the introduction of the new national funding formula for schools. For further information, see the article on ‘Early Childhood and School Education Funding’ and this House of Commons Library briefing on proposals for ‘fairer school funding’ (June 2017).

Staffing

The local authority is the formal employer of staff in some categories of maintained schools: community schools, voluntary controlled schools and special schools which are community schools. However, the responsibility for deciding the number of teaching and non-teaching staff required, as well as for recruiting and selecting staff, is delegated to the governing body of each individual school.

In other categories of maintained schools (foundation schools and voluntary aided schools), the school governing body is the employer. In academies, the employer is the academy trust.

The respective powers and duties of LAs and governing bodies for staffing in the various categories of maintained schools are set out in Schedules 16 and 17 of the School Standards and Framework Act 1998. As more maintained schools convert to academy status (where the academy trust is the employer), the ‘traditional’ role of the LA as the employer of staff in schools will diminish further.

School quality and improvement

Local authorities (LAs) are responsible for quality assurance in the schools which they maintain and for taking initial action in failing schools.

Section 5 of the School Standards and Framework Act 1998 imposed a duty on every LA to exercise its functions with a view to promoting high standards of education for pupils of school age in the local area. Section 1 of the Education and Inspections Act 2006 made LAs responsible, for the first time, for the fulfilment of every child’s educational potential. In addition, the 2006 Act gave LAs new powers to intervene in poorly performing schools and to make decisions on issues such as school expansion and the establishment of new schools.

The Education and Adoption Act 2016 amended the 2006 Act to place duties on LAs to facilitate conversion to academy status of all schools judged to be ‘failing’. Schools identified as ‘requires improvement’ by Ofsted will receive improvement support but not be required to convert to academy status. Those identified as ‘inadequate’ in Ofsted inspections will continue to be required to convert.

Longer term, the Government’s policy intention is to shift responsibility for school improvement from LAs to school heads and leaders within a self-improving system.

Local authorities are also required to set up a procedure for dealing with certain types of complaint, such as complaints about the curriculum. The Education and Inspections Act 2006 placed a further duty on LAs to respond to representations from parents who are not satisfied with the local provision of schools.

For further information, see the statutory government guidance on LAs’ responsibilities for schools causing concern and the article on ‘Quality Assurance in Early Childhood and School Education’.

Supporting children and their families

The duties of LAs for supporting children and their families are summarised below.

• Local authorities have a duty to ensure that parents meet their responsibility to ensure that children of full-time compulsory school age (5 to 16 years) receive suitable education. This is defined by Section 7 of the Education Act 1996 as an efficient, full-time education suitable to their children’s age, ability and aptitude, and to any special educational needs (SEN) they may have. It may also be by regular attendance at school or ‘otherwise’. Parents have a right to educate their children at home and LAs do not have any statutory duties to monitor the quality of home education on a routine basis. They do, though, have duties to make arrangements to identify children not receiving a suitable education, and to intervene in cases they identify. A consultation is underway on a proposal to require LAs to maintain a register of children of compulsory school age who are not registered at schools. This is with the intention of helping LAs to identify cases where a suitable education might not be being provided. The consultation runs until 24 June 2019. For further information, see the Department for Education guidance on parental responsibility for school attendance, and guidance for LAs on elective home education.
• LAs have a duty to promote participation in education, employment or training for all young people until the age of 18, and to make arrangements to identify young people not participating. These duties complement their duty to encourage, enable and assist young people to participate. For further information, see the Department for Education statutory guidance.
• Local authorities must safeguard and promote the welfare of children in need in their area. In particular, they have a range of statutory duties in respect of vulnerable children, including those with disabilities or special educational needs, as well as looked after children. LAs are responsible for assessing and making provision for the special educational needs (SEN) of children and young people aged 0-25, whether in mainstream schools, special units or special schools. They must also maintain an educational psychology service to assess the SEN of individual children. For further information, see the articles on ‘Support Measures for Learners in Early Childhood and School Education’, ‘Special Education Needs Provision within Mainstream Education’ and ‘Separate Special Education Needs Provision’.

Other LA duties in education

Local authorities have a number of other duties in respect of education.

• They must provide school lunches for those pupils who wish to buy them or who are entitled to a free school meal (see below).
• They must provide transport to school free of charge for pupils who do not live within walking distance of the nearest suitable school, or for pupils with special educational needs (SEN) or disabilities.
• They are responsible for setting term and holiday dates for community schools and voluntary controlled schools.
• LAs are responsible for establishing and servicing a Standing Advisory Council for Religious Education (SACRE), which is responsible for establishing a locally agreed syllabus (curriculum) for RE.
• LAs are responsible for establishing policies and procedures for health and safety in schools and for ensuring that school premises' regulations are respected.
• They are responsible for securing training for school governors.
• LAs are responsible for securing a youth service, aimed at ensuring that young people have access to sufficient educational leisure-time activities for the improvement of their well-being.

The Education Act 1996 (as amended by the Education Act 2002 and the Education and Inspections Act 2006) places a duty on local authorities to provide school lunches for those pupils who wish to have them. Children whose parents receive certain social security benefits must be provided with free school meals. Other pupils normally pay.

The 2006 Act gives LAs the freedom to offer all pupils free meals, fruit, milk or other refreshments during the school day, regardless of family income. In addition, the Children and Families Act 2014 placed a legal duty on all publicly funded schools to offer a free school lunch to all pupils in Reception, Year 1 and Year 2 (ages 4/5 to 7) from September 2014.

Food provided to pupils must comply with the standards and requirements specified in the Requirements for School Food Regulations 2014. For further information, see the Department for Education guidance.

Facilities to eat the food that they bring to school must be provided free of charge for pupils not taking school meals. As a minimum, these facilities should include accommodation, furniture and supervision so that pupils can eat food they have brought from home in a safe and social environment.

Local authorities and other public bodies (including schools, colleges and childcare providers) also have a responsibility to have due regard to the need to prevent children, young people and adults from being drawn into terrorism. Introduced under the Counter-Terrorism and Security Act 2015, this is known as the ‘Prevent Duty’. Government guidance details how local authorities are expected to work with Prevent coordinators, schools, colleges and a range of other public bodies to meet their duties under the legislation. These duties include producing a risk assessment for their area relating to the risk of individuals being drawn into terrorism and, where LAs identify that there is a risk, establishing an action plan to address this.  

Local authorities also work with education providers and others in ‘opportunity areas’ in some areas of England. Launched in 2016, opportunity areas have been set up in the most challenged places in terms of social mobility, and involve partnerships between local authorities, early years providers, schools, colleges, universities, charities and businesses. The aim of the collaboration is to remove obstacles to social mobility and ensure that all children have the opportunity to reach their full potential.

The role of the ‘middle tier’

As a result of the Government’s policy of increasing the number of schools operating as academies and decreasing the direct involvement of local authorities in schools, positions known as Regional Schools Commissioners (RSCs) have been created. The RSCs' role is to monitor academies and academy trusts and to intervene where necessary. Alongside multi-academy trusts (MATs) which are responsible for groups of academies, and are often referred to as ‘academy chains', RSCs have become the new ‘middle tier’ between central government and individual schools/academies.  

Regional Schools Commissioners

In 2014, eight Regional Schools Commissioners (RSCs) were appointed to:

• oversee the growing number of academies in England
• decide on the development of new academies
• encourage individuals and organisations to become academy sponsors
• tackle underperformance and inadequate governance in academies.

Since their appointment, their roles have expanded, meaning their responsibilities now also cover addressing underperformance in maintained schools.

Under the Education and Adoption Act 2016, RSCs are appointed to take decisions in the name of the Secretary of State. They are held to account by a National Schools Commissioner whose other responsibilities include promoting the benefits of multi-academy trusts (see below) and academy conversion, and advising ministers on the ongoing development of the academies and free schools programme.

For further information, see:

• the August 2017 House of Commons Library briefing on Regional Schools Commissioners;
• the 2016 report of the House of Commons’ Education Committee inquiry into the expanding role of RSCs, their resources, impact and accountability.

Multi-academy trusts

Around two-thirds of academies operate not as standalone institutions but as part of multi-academy trusts (MATs). MATs are the legal bodies responsible for a group of academies and often referred to as an ‘academy chain’. In some respects, they play a similar role within academies as local authorities have traditionally played in maintained schools. They are described in the 2016 White Paper, Educational Excellence Everywhere as:

‘the only structures which formally bring together leadership, autonomy, funding and accountability across a group of academies in an enduring way, and are the best long term formal arrangement for stronger schools to support the improvement of weaker schools’ (p.57).

Given the importance of the role of MATs within the education system, in February 2017, the House of Commons Education Committee published the results of an inquiry into their role, performance, accountability and governance. The inquiry found that the ability of MATs to raise pupil performance is limited and varied. It identified the characteristics of successful trusts as strong regional structures, robust financial controls, enhanced opportunities for career development and tangible accountability at all levels. The inquiry report included among the highlighted key areas for action:

• ensuring clarity in the role of Ofsted (the Inspectorate) and the Regional Schools Commissioners in holding MATs to account
• ensuring that MATs are accountable to the community in which they are located.

Further information about MATs and their governance structures is available in this 2014 guidance.

Governance of schools and academies

The English school system is characterised by a diverse range of school structures and legal frameworks for governance, reflecting development over time. Publicly funded primary and secondary schools, often collectively referred to as ‘state schools’, are either maintained schools or academies.

• Maintained schools are funded via local government (referred to as the local authority or LA), using grants from central government. This has been the main structure of school organisation for several decades.
• Academies have direct funding agreements with central government and are independent of the LA. The number of academies has expanded rapidly since 2010. In November 2020, 78.1% of secondary schools and 36.3% of primary schools were academies (or free schools). (Free schools are academies established as new provision, i.e. not from the conversion of an existing maintained school to academy status.)

Maintained schools and academies are subject to the same accountability frameworks in terms of national assessment arrangements, school performance tables and Ofsted inspection. They are also subject to the same regulatory framework for special educational needs, school admissions and school discipline.

Academies do not have to follow the national curriculum, although they are legally bound to provide a broad and balanced curriculum. They also do not have to comply with regulations on school teachers’ pay and conditions although, in common with all employers, they do have to comply with other employment and equality legislation.

Some maintained schools and academies have particular characteristics.

• Faith schools are maintained schools or academies designated as having a religious character. These schools are open to pupils of all faiths but, where places are oversubscribed, they may use faith-based criteria to decide which pupils are admitted. In the case of newly-opened faith free schools, there is a 50% cap (limit) on the allocation of places on the grounds of faith. This limit does not apply to voluntary-aided faith schools, which may allocate 100% of their places on faith-based criteria, if oversubscribed. Under the Equality Act 2010, faith schools are also permitted to take religious considerations into account in their appointment of teachers and headteachers. The provision of religious education in faith schools varies according to the legal basis of the school. Further information is available in the June 2018 House of Commons Library Research Briefing Faith School FAQs.
• Single sex schools are available in some areas.
• Grammar schools (and former grammar schools which have converted to academy status) are the only schools permitted by law to select all or most of their pupils based on academic ability. There are 163 grammar schools in England, but they are not evenly distributed across the country. Further information is available in the House of Commons Library briefing on Grammar School Statistics (March 2017).
• Maintained boarding schools are publicly funded schools that take boarders as well as day pupils. They offer free tuition, but charge fees for board and lodging. There are around 40 maintained boarding schools in England.

Common legal structures and governance arrangements apply across primary and secondary maintained schools, and across primary and secondary academies, respectively. These are described in the following sections.

Administration and governance of maintained schools

Legal categories of school

There are different legal categories of maintained primary and secondary schools as set out under Section 20 of the School Standards and Framework Act 1998.

All categories of maintained school enjoy a high level of autonomy, but the governing bodies of voluntary aided and foundation schools have a greater number of responsibilities than those of community and voluntary controlled schools.

Functions of school governing bodies

All maintained schools are governed by a school governing body (also known as ‘governing boards’). Set up by law as corporate bodies, responsibility lies with the whole governing body rather than with individual members. Each governing body has an Instrument of Government which specifies the constitution of its governing body. School governors (excluding staff governors) are volunteers. A paid clerk to the governors provides administrative support.

The school governing body is expected to operate at strategic level, leaving the headteacher to be responsible and accountable for the day-to-day operation of the school. The governing body can delegate most of its functions to committees or individuals, but remains accountable for any decisions taken. It has three core functions:

• ensuring clarity of vision, ethos and strategic direction
• holding executive leaders to account for the educational performance of the school and its pupils, and for the performance management of staff
• overseeing the financial performance of the school and making sure its money is well spent.

Constitution of school governing bodies

School governing bodies are constituted under the School Governance (Constitution) (England) Regulations 2012. Statutory guidance on these regulations, published in 2017, is available from the Department for Education. The regulations set out the legal framework for school governance and afford governing bodies a more flexible approach than previously in respect of their size and composition. They also put emphasis on appointing governors with appropriate skills as opposed to set constitutions.

Under the regulations, governing bodies must have a minimum of seven members and must include:

• at least two parent governors,
• the headteacher (unless s/he resigns as a governor),
• only one staff governor,
• only one local authority governor.

The governing body may then appoint as many additional ‘co-opted’ governors as it considers necessary. Co-opted governors are people who, in the opinion of the governing body, have the skills required to contribute to the effective governance and success of the school. The headteacher, staff governor and any other staff members co-opted as governors may not exceed one-third of the total membership of the governing body.

‘Foundation' or 'partnership' governors are appointed in voluntary aided and voluntary controlled schools. Their role is to ensure that the (usually religious) character of the school is preserved and developed.

The term of office for all categories of governor is a fixed period of four years.

All governors must govern in the best interests of pupils, rather than represent the interests of the constituency from which they were elected or appointed although, as highlighted, foundation governors have a specific remit to safeguard the character of the school.

There are other kinds of governance arrangement. A federation is an arrangement in which maintained schools collaborate formally with other maintained schools. Schools in federations continue to be individual schools, but are governed by a single governing body, created under Section 24 of the Education Act 2002. Federations of maintained schools can be likened to academy chains.

Headteachers and executive headteachers

The headteacher operates within the framework set by the school governing body, or as determined by any other relevant authority, such as any foundation trust deed which may exist in relation to the school. He or she usually delegates the management of specific aspects of curriculum organisation, teaching methods or pastoral care to members of the leadership group (deputy headteachers, assistant headteachers) or to other senior staff. See the article on ‘Management Staff for Early Childhood and School Education’. 

Executive headteachers are becoming an increasingly important part of the school leadership landscape. An executive headteacher directly leads two or more schools within a group. This may be within a federation of maintained schools, within a multi-academy trust (MAT), or as part of an informal partnership arrangement.  An executive headteacher retains the legal responsibilities of the headteacher.

For further information on the role of executive headteacher, see this 2016 report Executive Headteachers: What's in a Name?.

Administration and governance of academies

Academies have individual funding agreements directly with the Secretary of State and have complete control of their budgets, curricula and staffing (including teachers' contracts). They receive their funding directly from central government, through the Education and Skills Funding Agency (ESFA), an executive agency of the Department for Education. New academies must go through the registration requirements of independent (private, fee-paying) schools, but are inspected under the same Ofsted inspection framework as other publicly funded schools. Academies are governed by an academy trust, a charitable company limited by guarantee. Academy trusts are of two types:

• A standalone academy trust, which is a single legal entity responsible for one academy, that has its own articles of association and funding agreement with the Secretary of State.
• A multi-academy trust (MAT), which is a single legal entity established to take responsibility for more than one academy.

Each academy trust has two layers of governance:

• The members, who operate at a strategic level and have ultimate control over the direction of the academy trust. An academy trust must have at least three members.
• The trustees or directors, who have responsibility for the day-to-day management and operation of the academy trust. They are often referred to collectively as the board of trustees.

Functions of boards of trustees

The board of trustees is expected to focus on three core functions:

• ensuring clarity of vision, ethos and strategic direction
• holding executive leaders to account for the educational performance of the school and its pupils, and for the performance management of staff
• overseeing the financial performance of the school and making sure its money is well spent.

Additionally, it must ensure that the academy trust complies with charity and company law, and with the trust’s charitable objects; and that it operates in accordance with the trust’s funding agreement with the Secretary of State.

Constitution of board of trustees

The constitution of the board of trustees is set out in each academy trust’s articles of association. The requirements relating to the constitution of the board of trustees, outlined in the Government’s Governance Handbook (2017), are that:

• the board must include at least two elected parent trustees – in a multi-academy trust (MAT), the parents can be at board level or can be on each local governing body (LGB) (see below);
• no more than one third of the board can be employees of the academy trust;
• no more than 19.9 per cent of the board can be associated with the local authority; and
• for University Technical Colleges (UTCs), there is a requirement that nominees of the employer and university sponsors must, together, form the majority on the board of trustees.

The board of trustees of a muti-academy trust (MAT) can choose to delegate governance functions to local governing bodies (LGBs) in its individual schools, but remains accountable for all the schools in the MAT.

Depending on their size and stage of development, MATs may have a Chief Executive Officer (CEO), performing an overarching strategic leadership role, without being the substantive head of any of the schools in the group.

The role of the headteacher or executive head in an academy is much the same as that in a maintained school. Headteachers operate within the framework set by the academy trust.

Resources/support for governance

The regularly updated Governance Handbook outlines the core role and functions of the governing board. The Government has also produced guidance for governors and school leaders considering becoming part of a multi-academy trust, Governance in Multi-academy Trusts (2014).

The National Governance Association (NGA) is the representative body for school governors in England. Resources produced by the NGA include Being Strategic: A guide for governing boards (2018). It also provides a range of training programmes for governors.

Historical note: Development of academies

The academy programme traces its origins to City Technology Colleges (CTCs) and City Colleges for the Technology of the Arts (CCTAs), introduced by the Education Reform Act 1988. CTCs/ CCTAs were established as independent secondary schools with an emphasis on technological and practical skills. They were publicly funded through individual funding agreements with the Secretary of State, but were opened with support towards capital costs from private business sponsors.

In 2000, the Government announced the ‘City Academies’ programme. City Academies were secondary schools established in urban areas under the same legal basis as CTCs/CCTAs. They had financial support from sponsors from a wide range of backgrounds including educational trusts, universities, the business sector, and faith and voluntary groups.

The Education Act 2002 extended the City Academy model to cover all-age and primary schools, sixth forms, and schools in disadvantaged rural areas. It also provided for City Academies to become known as ‘academies’ – reflecting the expansion of the model beyond cities. The first three academies established under the 2002 Act opened in September 2002 and this number had grown to 200 by September 2009. (The Act also allowed CTCs/ CCTAs to become academies.)

Following the change of government in May 2010, the Academies Act of July 2010 enabled all existing schools to apply to convert to academy status. It also gave the Secretary of State the power to require the weakest schools to become academies. The terms ‘converter academy’ and ‘sponsored academy’ (respectively) came into being to distinguish between the two routes to academy status. In addition, in 2010/11, the Government invited the first round of applications from groups, such as charities, universities, businesses, educational groups, teachers and groups of parents, wishing to establish ‘free schools’. The first free schools opened in September 2011. As of November 2020, as shown by data published by the Department for Education, there were 557 free schools open (including special and alternative provision free schools).

The Education Act 2011 expanded the academies programme further creating two new types of academy: 16 to 19 academies and alternative provision academies.

Following the 2015 general election, in the 2016 White Paper, Educational Excellence Everywhere, the Government set out its ambition for all maintained schools to convert to academy status. In addition, the Education and Adoption Act 2016 placed duties on local authorities (LAs) to facilitate conversion to academy status of all schools judged to be ‘failing’. It also enabled Regional Schools Commissioners or LAs to intervene in underperforming schools. 

In February 2018, the National Audit Office published an evaluation of the Department for Education's arrangements for converting maintained schools to academies. It noted that the Government had modified its ambitions as set out in Educational Excellence Everywhere, and no longer required mandatory conversion of all schools to academies. In May 2018, the Department for Education issued Principles for a clear and simple accountability system, which stated that conversion to academy status would only be mandated where Ofsted, the inspectorate, had made a judgement of ‘inadequate’ against a school.

Higher education institutions

All higher education institutions (HEIs) are self-governing and responsible for their own internal organisation. They arrange their own administration and recruit staff, as they consider appropriate. All universities and some other HEIs also have the power to award their own degrees.

Types of higher education institution

Higher education institutions in England have diverse backgrounds and traditions and this is reflected in their varying constitutional arrangements. That said, they follow broadly similar patterns, as set out below, although there are some differences in governance structures between post-1992 universities and higher education colleges and pre-1992 universities.

• Post-1992 universities acquired university status as a result of the provisions of the Further and Higher Education Act 1992. Higher education colleges were incorporated under the provisions of the same Act.
• Pre-1992 universities had university status before the provisions of the Further and Higher Education Act 1992 came into force.

Governing body/Council

In post-1992 universities and higher education colleges, the body ultimately responsible for the affairs of the institution is usually known as the governing body (or board of governors).

The authority and powers of the governing body in these institutions are set out in the Instrument of Government and Articles of Government of each institution. These are approved by the Office for Students (OfS), the regulatory body for higher education

These articles state that the governing body is responsible for:

• determining the educational character and mission of the institution and for the oversight of its activities
• the effective and efficient use of resources and safeguarding the institution’s assets 
• approving annual estimates of income and expenditure 
• the appointment, grading, suspension, dismissal and determination of the pay and conditions of service of the chief executive, the clerk to the board of governors and other senior post-holders 
• setting a framework for the pay and conditions of service of all other staff 
• the appointment of external auditors.

In pre-1992 universities, the governing body is usually known as the Council. Councils are diverse, and structures of governance, as laid down in the institution’s Instruments of Incorporation vary. Typically, these:

• define the objects of the institution
• set out the role of the Council as the governing body
• determine the role of the Court and the Senate (see below)
• determine provisions concerning property and financial matters
• establish the status of the institution as an exempt charity.

In both pre-1992 and post-1992 institutions, the governing body or Council normally has a majority of external members (i.e. who are independent from the institution) from amongst whom the chair is elected. Many of the external members are selected by a nominations committee from business and industry. Others have experience in higher education policy issues. There is also normally a representative from the local authority, and representatives of staff and students, as well as senior academic staff, and the finance director. The overall size of the governing body varies and the maximum length of service for external members is normally nine years.

The governing bodies of all higher education institutions (HEIs) have a duty to ensure institutional compliance with relevant legislation, and with the requirements of the funding bodies. HEIs need also to notify the Office for Students (OfS) of any changes to their governance arrangements.

Academic Board/Senate

The Academic Board is the body with responsibility for general issues relating to research, scholarship, teaching and courses in post-1992 universities and higher education colleges. Its responsibilities include:

• criteria for the admission of students
• the content of the curriculum
• academic standards and the validation of courses
• policies and procedures for the assessment and examination of the academic performance of students
• appointment and removal of internal and external examiners 
• procedures for the award of qualifications and honorary academic titles 
• procedures for the expulsion of students for academic reasons.

The Articles of Government require the governing body to approve the composition of the Academic Board, and the selection arrangements and period of appointment of its members.

In pre-1992 universities, the Senate is the equivalent body to the Academic Board. The Senate's powers are usually laid down in the statutes but, where this is not the case, the Senate is generally regarded as having supreme authority over academic matters. Formally, the Senate reports to the Council (the governing body), and any decisions that it takes that have resource implications are subject to Council approval.

The Senate is chaired by the Vice-Chancellor (see below), and usually comprises representatives of senior university officers and professors, together with elected staff and students. The size of Senates varies considerably.

Like the Academic Boards in post-1992 universities, the Senate's areas of responsibility include:

• academic planning, academic standards and quality assurance
• the promotion of research
• the oversight of admissions and entrance criteria, assessment and examinations, the curriculum, and the awarding of degrees and other qualifications
• student discipline.

Pre-1992 universities also have a Court. This was formerly part of the structure of governance, but is now more of a consultative and representative body. It provides a public forum for the discussion of wider interests and issues affecting the university. In some universities, the Court appoints the Chancellor (see below).

Some post-1992 institutions have also established Courts. They are typically large, with a membership drawn from local government, local Members of Parliament, other universities in the region, further education colleges, schools, local industry and professional associations, staff, students and alumni of the university. The Court will usually meet once a year, as required by the statutes.

Management structures

Management structures are a matter for each institution and arrangements vary widely.

The overall executive head of a university is usually known as the Vice-Chancellor and, in general, the head of the administrative section is called the Registrar. The Chancellor has a non-executive position as the titular and ceremonial head of the institution.

Related departments in universities may be grouped into faculties or ‘schools’ (for example, Faculty of Arts, Faculty of Science, School of Social Sciences, and so on) for administrative purposes.

The head of a faculty is usually known as the Dean, and this post sometimes rotates among senior teaching members of the departments within the faculty. The term of office lasts for one, two or possibly three years. At some universities, the Dean devotes his/her whole time to faculty business and does not teach whilst in office. At others, a Dean may have a reduced teaching commitment.

All members of the teaching staff are members of the appropriate faculty, and the faculty is required to take certain actions and decisions, such as approving new courses and formally awarding degrees. The precise function of the faculty varies between universities. There may also be administrative groupings within a faculty, such as a School of Modern Languages within a Faculty of Arts.

Other higher education institutions have similar internal management structures, although names for these may be different and they are generally simpler. The title of Provost or Principal may be given to the head of the institution, for example, and the head of administration may be known as either the Registrar or Secretary.

Resources/support for governance

The Committee of University Chairs – a representative body – has developed the Higher Education Code of Governance (2018). This is a voluntary code which aims to promote high standards of governance across the sector.

In addition, the CUC publication Governing Body Responsibility for Academic Governance (2017) provides detailed guidance on higher education governance structures, the way they relate to each other, and governing body responsibilities.

Advance HE supports strategic change and continuous improvement in higher education through the development of both individuals and higher education institutions. It provides support and advice on leadership, governance and management for all the UK’s universities. Advance HE was set up in March 2018 following the merger of the Equality Challenge Unit (ECU), the Higher Education Academy (HEA) and Leadership Foundation for Higher Education.

Further education colleges

Types of further education college

Further education (FE) colleges traditionally offered technical and vocational courses. Many have since broadened their role to offer more general education programmes for adults. These include access to higher education courses and, in some cases, higher education programmes, particularly short-cycle vocational programmes such as foundation degrees. They may also offer community learning.

Colleges are major providers of full-time courses for 16- to 19-year-olds. These courses may be offered in general further education colleges, which cater for the 16+ age group, or in sixth-form colleges, which cater for 16- to 18/19-year-olds and which have a distinct legal identity.

Further education colleges vary significantly in size and focus, but can be divided into the following categories:

Source: AoC College Key Facts 2019-20 (accessed 18/12/2020).

The Government began to facilitate a programme of ‘area reviews’ in September 2015. The policy imperative driving the reviews is to move towards fewer providers, with the intention that these providers will be larger, more resilient and more efficient. It is also intended that institutions will offer greater specialisation as centres of expertise.

In total, 37 area reviews were undertaken in five separate ‘waves’. The final review report was published in August 2017 and all review reports are on the Department for Education’s website. The House of Commons Library issued a briefing on the post-16 area reviews in May 2018.

Since 2015, there has been an increase in the number of college mergers. and a new option for sixth-form colleges to convert to become 16-19 academies. A16 to 19 academy is an academy ‘principally concerned with providing full-time or part-time education suitable to the requirements of persons over compulsory school age but under 19’. Conversion is being encouraged as a way of improving partnership working, in particular between colleges and schools.

Conversion can be achieved through existing provisions of the Further and Higher Education Act 1992, which enable a sixth-form college corporation to dissolve and transfer its property, rights and liabilities to a new or existing academy trust. (See ‘Administration and governance of academies’ for details of the governance arrangements.)

Further information on college mergers and conversions is available from the Association of Colleges (AoC). The Department for Education has also issued guidance (2017) for sixth-form colleges on becoming 16-19 academies.

Legal status

Most FE colleges are statutory corporations set up in April 1993 under the Further and Higher Education Act (FHEA) 1992. Prior to this, they were under the control of local authorities.

The core of the legislative framework set out in the FHEA 1992 remains in place, amended in part by the Learning and Skills Act 2000, the Education and Inspections Act 2006, the Further Education and Training Act 2007, and the Apprenticeships, Skills, Children and Learning Act 2009. 

All colleges have an Instrument and Articles of Government, setting out how the college is governed. Previously, the Government set standard Instruments and Articles for all colleges. Now, colleges have greater freedom to set their own, as appropriate. 

Governing bodies

Governing bodies, or corporations, of institutions in the further education sector usually consist of between 10 and 20 members. These include:

• the principal of the college
• members drawn from local business, industry or professions relevant to the activities of the institution
• invited (co-opted) members
• staff members
• student members
• parent members
• local authority members
• local community members.

The members have a four-year term of office and usually meet at least once a term. The governing body may set up committees and delegate functions to committees or to the chairman or the principal. Committees may advise on matters such as finance or employment policy. 

The main business of governing bodies (or corporations) in the further education sector is to set the strategic direction, mission and educational character of the institution. They also ensure accountability and monitor and evaluate performance. More specifically, the governing body approves the annual college budget; appoints the institution's senior management team and oversees its work; sets a framework for the pay and conditions of service of all other staff; and ensures that public money is spent appropriately. It also ensures that the institution continues to be financially solvent.

Day-to-day management, organisation and direction is the responsibility of the principal and the management team, working within the broad framework of policies and priorities determined by the governing body. 

The principal is directly accountable to the governing body/corporation for the performance of the institution. This is in respect of both academic and financial matters.

In institutions other than sixth-form colleges, an academic board must be created to advise the principal on the standards, planning, coordination, development and oversight of the academic work of the institution. This includes the arrangements for the admission, assessment and examination of students, and the procedures for the expulsion of students on academic grounds. 

In recent years, further education colleges have been increasingly freed from central government control, which reinforces the important role played by college governors in setting the strategic direction of their institutions. The further education governance project was commissioned by government in July 2013 to consider what more could be done to recognise, incentivise and reward good governance and so support improved standards in sixth-form and further education colleges. The resulting report focused on three key areas:

• recruitment and succession planning of governors
• raising the status and importance of governors
• guidance surrounding the expenses and remuneration process for governors.

Management structures

There is no nationally recommended organisational structure for FE institutions and they are free to adapt their structures to meet changing circumstances. Institutions may be organised into departments organised by area of study, or several departments may be grouped into faculties or schools. 

Support for college governors/resources for governance

The Association of Colleges (AoC) represents and promotes the interests of colleges in England (and in Wales and Northern Ireland). As well as membership services, it provides a wide range of publicly available resources for governors. These include:

• the Code of Good Governance for English Colleges (2015),
• the Guide for Governors and Senior Leaders on New Structures - Collaborations, Federations and Mergers (2016),
• Effective Governance Structures,
• support for sixth-form colleges.

The improvement of teaching, learning, leadership and management in the sector is also supported by the Education and Training Foundation.

In addition, the Government produced Further education corporations and sixth-form college corporations: governance guide in 2018 (with updates in 2019). 

'Private independent' are included in independent schools.  Further education colleges: Includes sixth-form colleges which offer general education and may also offer some vocational education, and further education colleges which either offer vocational education, or both general and vocational.

Article last reviewed December 2020.