How to Use the DfE's Governance Guides to Drive Improvement

In this blog, Stephen Burnage, expert practitioner, consultant and trainer with 25+ years’ experience in teaching and leading schools, leads us through the DfE’s recently published governance guides for maintained schools and academy trusts. He provides an overview of contents, highlights the benefits of implementing the guides, and provides examples to support best practice and drive school improvement.

Introduction to the governance guides

Effective governance is the cornerstone of successful schools. Recognising this, the Department for Education (DfE) introduced the ‘Maintained schools governance guide’ and the ‘Academy trust governance guide’ in March 2024. These guides replaced the ‘Governance handbook’ and aim to equip school leaders and governing bodies with the tools and knowledge to create a thriving educational environment. The DfE emphasised that these new guides would provide clearer, more focused guidance, better aligned with the current educational landscape.

What is the purpose of the governance guides?

The core purpose of the guides is to provide a comprehensive framework for effective governance in both maintained schools and academy trusts. They outline the roles and responsibilities of governing bodies and trustees, emphasising the importance of strategic leadership, accountability, compliance, and continuous evaluation.

Key components of the DfE’s governance guide for maintained schools

The Maintained schools governance guide is structured into seven key sections:

Effective governance: Establishing a culture of challenge and support, ensuring robust decision-making processes, and fostering a positive school ethos
Strategic leadership: Setting a clear vision and strategic direction for the school, monitoring progress, and ensuring effective financial management
Accountability: Holding the headteacher and senior leaders to account for the school's performance, ensuring transparency and effective communication with stakeholders
People: Recruiting, developing, and retaining high-quality staff, including effective performance management and succession planning
Governance structures: Establishing efficient and effective governance structures, including committees and working groups, ensuring the governing body operates effectively
Evaluation: Regularly evaluating the effectiveness of the governing body and its impact on the school, identifying areas for improvement, and implementing necessary changes
Compliance: Ensuring the school complies with all relevant legislation and statutory guidance, including safeguarding and health and safety regulations

Key components of the DfE governance guides for academy trusts

The Academy trust governance guide mirrors the structure of the maintained school guide but is tailored to the specific context of academy trusts. The seven key sections are:

Culture and engagement: Creating a positive and inclusive culture across the trust, engaging with stakeholders, and ensuring effective communication
Governance of the trust: Establishing clear lines of accountability, ensuring effective decision-making processes, and fostering a collaborative approach to governance
Strategy: Developing and implementing a clear and ambitious strategic plan for the trust, ensuring alignment with the trust's vision and values
Non-executive leadership: Ensuring effective non-executive leadership, including the role of the board of trustees, and ensuring robust challenge and support for the executive team
Executive leadership: Ensuring effective executive leadership, including the role of the CEO and senior leaders, driving the trust's strategic vision, and ensuring high standards of performance
Accountability: Holding the CEO and senior leaders to account for the trust's performance, ensuring transparency and effective communication with stakeholders
Compliance: Ensuring the trust complies with all relevant legislation and statutory guidance, including financial regulations and the ’Academies Financial Handbook’

Benefits of implementing the DfE governance guides

Implementing the recommendations outlined in these guides can yield numerous benefits for schools and academy trusts, including:

enhancing efficiency. A multi-academy trust (MAT) in London streamlined its financial reporting processes by adopting standardised templates and procedures outlined in the DfE's financial management guidance. This reduced the time spent on administrative tasks, allowing staff to focus on core educational activities.
ensuring compliance. A secondary school in Manchester reviewed its safeguarding policies and procedures in light of the latest DfE guidance. By addressing any gaps and updating its training, the school ensured full compliance with statutory requirements, minimising the risk of safeguarding incidents.
strengthening risk management. A primary school in Birmingham conducted a comprehensive risk assessment of its school buildings, following the guidance on estate management. This enabled the school to identify potential hazards, such as asbestos or fire safety issues, and implement preventative measures to ensure the safety of students and staff.
promoting accountability. An academy trust in Leeds introduced a rigorous performance management framework for its senior leaders, based on the DfE's Governance guide. This ensured clear expectations, regular feedback, and appropriate consequences for underperformance, ultimately promoting a culture of accountability and high standards across the trust.

How to implement the DfE’s governance guides

To effectively implement these guides, schools and trusts should take the following steps:

Familiarise themselves with the guides. Read and understand the key components and recommendations outlined in the relevant guide.
Conduct a self-assessment. Evaluate current governance practices against the standards set out in the guides. A maintained primary school might use the checklist in the guide to assess its effectiveness in areas such as strategic leadership, accountability, and compliance. An academy trust might conduct a board self-evaluation, reviewing the composition and skillset of its trustees to ensure a balance of expertise and diversity.
Develop an action plan. Identify areas for improvement and create a plan to address any gaps or weaknesses. For a maintained primary school, this could involve providing training for governors on financial oversight or revising the school's complaints procedure. An academy trust might develop a succession plan for key leadership roles or implement a new risk management strategy.
Regularly review and update. Governance is an ongoing process, so it's essential to regularly review and update practices to ensure continued effectiveness. A maintained primary school should revisit its self-assessment annually and make adjustments as needed. An academy trust might establish a standing committee to monitor governance practices and recommend improvements.

Example of best practice for a maintained primary school:

A primary school used the DfE guide to review its governance structure. It identified a need for more diversity among governors and actively recruited individuals with different backgrounds and expertise. This enhanced the board's decision-making capabilities and strengthened its connection with the local community.

Example of best practice for an academy trust:

An academy trust implemented a comprehensive risk management framework based on the DfE guide. It identified potential risks across various areas, such as safeguarding, finance, and data protection. By developing clear mitigation strategies and regularly reviewing the risk register, it was able to create a safer and more resilient organisation.

Best practices for school governance

In addition to the guidance provided by the DfE, there are several best practices that schools and trusts can adopt to further enhance governance:

Foster a culture of openness and transparency. Encourage open communication and dialogue between the governing body, school leaders, staff, and stakeholders. For instance, a secondary school in London regularly publishes a newsletter detailing key decisions made by the governing body, providing a transparent overview of their activities, and fostering trust within the school community.
Prioritise continuous professional development. Invest in training and development opportunities for governors and trustees to ensure they have the necessary skills and knowledge. A primary school in Brighton partnered with a training provider to deliver workshops on financial management for its governors, equipping them with the skills to effectively scrutinise the school's budget and make informed decisions.
Engage with the wider community. Build strong relationships with parents, local businesses, and other community organisations to create a supportive network for the school or trust. An academy trust in Manchester established a "Friends of the Trust" group, inviting parents, local businesses, and community leaders to participate in fundraising events, offer work experience placements, and provide mentorship opportunities for students.

The National College CPD library includes expert-led guidance for governors and trustees on meeting statutory requirements and raise standards in all areas of governance.

Summary and key takeaways

The DfE's governance guides provide a valuable resource for schools and academy trusts seeking to improve their governance practices. They outline roles and responsibilities of governing bodies and trustees, emphasising strategic leadership, accountability, compliance, and evaluation. By implementing the recommendations and adopting best practices, schools and trusts can create a thriving educational environment that benefits all stakeholders.

Remember, effective governance is not a one-time event but an ongoing process that requires continuous attention and improvement. By committing to best practices and staying informed about the latest guidance, schools and trusts can ensure their governance remains strong and effective for years to come.

Find out more

DfE, 2024. ‘Maintained schools governance guide’: https://www.gov.uk/guidance/governance-in-maintained-schools

DfE, 2024. ‘Academy trust governance guide’: https://www.gov.uk/guidance/-governance-in-academy-trusts

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How to Use the DfE's Governance Guides to Drive Improvement in UK Schools