Consultation advice for multi-academy trusts (MATs)

Becoming a MAT

Where an existing single academy trust decides to become a multi-academy trust, it moves from supporting a single academy, to several.

This necessitates changes to its governance structure and amendments to its funding agreement. Although there is no statutory requirement to consult on this change, transition to a MAT structure is likely to have implications for stakeholders. As such, unless it is already within the fair expectation of the academy trust’s stakeholders that this step would be taken (for example, because when the academy trust was originally formed there was information provided which suggested eventual conversion to a MAT), in the interests of fairness and to avoid any challenge on public law grounds, we recommend carrying out a consultation with stakeholders before taking the final decision to become a MAT.

The law

Where a consultation is undertaken it should be:

• undertaken when proposals for the subject of the consultation are at a formative stage
• provide enough information to those consulted to enable them to comment intelligently on the proposals
• allow enough time for those consulted to enable them to properly consider the proposals
• consultation responses should be specifically considered by the decision maker when deciding whether or not to implement the proposal.

When should consultation take place?

Where possible, it makes sense to complete the consultation exercise before any formal application for becoming a MAT is submitted to the Education and Skills Funding Agency ("ESFA”) and before any changes are made to the academy’s trust’s existing documents. However, it is still lawful for the consultation process to be carried out during or after the application process as long as the consultation is completed and all views taken into account before the final decision is taken. The final decision is usually taken at the point the MAT funding agreement documents are agreed and signed on behalf of the academy trust.

Who should be consulted?

We would recommend that the following groups should be consulted as a minimum:

• parents/carers of pupils at the school

• for secondary, parents/carers of pupils in years 5 and 6 of any primary schools in the area

• for primary, parents/carers of pupils offered a place at the school for the next academic year

• staff working at the school and any staff due to be employed at the school from the next academic year
• for secondary, pupils at the school

• the local authority

• the wider local community.

In addition, the academy will need to consider whether there is any other organisation, person or group who should be consulted about the proposed change in structure.

How should these groups be consulted?

We recommend that letters are sent to the parents of pupils and staff members. The letter does not need to contain every last detail about the proposal, and can refer the reader to the school’s website/other information source. Information should also be placed on the school's website to enable prospective parents, students and wider members of the local community, to access details of the proposal. Precedent wording is attached below.

What information should be provided as part of the consultation?

As set out above, the consultation should provide enough information to those consulted to enable them to comment intelligently on the proposals.

It is acceptable for the consultation document to set out the preference, or predisposition of the governing body, in relation to the question of adopting a MAT structure. For example, if the academy trust has already decided in principle that it wishes to convert to a MAT structure, this can be explained in the consultation document. The academy trust may also wish to set out what it regards to be the advantages of conversion to AMT structure, but should make it clear that this is opinion rather than fact. In addition, the academy trust should explain how the conversion to a AMT structure will affect the governance and day to day management of the academy school which it currently supports.

It is important that the academy trust does not appear within the consultation document to have pre-determined the question of whether or not conversion to a MAT structure should go ahead. The rationale behind any position adopted should be explained as being the view of the academy trust.

As mentioned above, precedent documents are attached in Appendix 1 for use by academy trusts. These documents assume that the school has already made a preliminary determination that conversion to MAT structure should take place. If this is not the case, the precedents will need to be refined to match the particular circumstances at the school.

How long should the consultation run for?

We recommend a consultation period of 4-6 weeks, which should take place during term time.

Co-ordination of consultation

It may be that there are proposals for other schools in the locality to join the MAT if the academy trust resolves to convert to a AMT structure. If that is the case, the schools may want to undertake a joint consultation to minimise the number of letters which parents and other stakeholders will receive. Please see below for more detail on the consultation requirements for schools joining a MAT.

Consideration of responses

If significant numbers of responses are received, these should be summarised in a report.

The responses will need to be considered at a board meeting which takes place prior to final agreement of any changes to the academy trust’s articles of association and funding agreement. The fact that the consultation responses were considered should be properly recorded in the minutes of the relevant meeting.

Joining a MAT

A maintained school which is proposing to convert to an academy (whether ‘sponsored’ or not) and proposes to join a MAT rather than set up a separate academy trust, is required by virtue of the Academies Act 2010 to undertake a consultation in relation to the question of whether the conversion should take place in the same way that a school which is converting and establishing its own academy trust is required to.

The requirement within the Act does not prescribe who should be consulted, or the length of consultation required. However, the advice below takes into account the general law on public consultations.

The law

Where a consultation is undertaken it should be:

• undertaken when proposals for the subject of the consultation are at a formative stage

• provide enough information to those consulted to enable them to comment intelligently on the proposals
• allow enough time for those consulted to enable them to properly consider the proposals

• consultation responses should be specifically considered by the decision maker when deciding whether or not to implement the proposal.

When should consultation take place?

It must be completed before the funding agreement is signed.

Who should be consulted?

We would recommend that the following groups should be consulted as a minimum:

• parents/carers of pupils at the school

• for secondary, parents/carers of pupils in years 5 and 6 of any primary schools in the area

• for primary, parents/carers of pupils offered a place at the school for the next academic year

• staff working at the school and any staff due to be employed at the school from the next academic year
• for secondary, pupils at the school

• the wider local community.

In addition, schools will need to consider whether there is any other organisation, person or group who should be consulted about the proposed conversion.

How should these groups be consulted?

We recommend that letters are sent to the parents of pupils. The letter does not need to contain every last detail about the proposal, and can refer the reader to the school’s website/other information source.

Information should also be placed on the school’s website to enable parents, and wider members of the local community, to access details of the proposal. Precedent wording is attached below at Appendix 2.

In addition, we recommend holding a meeting at the school for parents/interested members of the wider local community to get more information/ask questions. If it is possible to hold a meeting within the timescales available, we would recommend that one is held.

In relation to staff, we recommend that meetings are held. Schools have found that making a PowerPoint presentation can be useful. Note that unless changes are being made to the staff’s terms and conditions these meetings do not technically form part of the TUPE process (because in circumstances where pay and conditions are not being changed TUPE simply requires staff to be ‘informed’ of the change in employer etc in writing), although clearly many of the staff’s interest/concern will focus around employment issues.

We anticipate that in all cases schools will be explaining the proposed change to their pupils in assemblies, or other similar forums. For secondary pupils it would be sensible to advise them that they can make representations as part of the consultation process and provide them with details of how to do this.

What information should be provided as part of the consultation?

As set out above, the consultation should provide enough information to those consulted to enable them to comment intelligently on the question of whether the conversion should take place.

It is acceptable for the consultation document to set out the preference, or predisposition of the governing body, in relation to the question of conversion. For example, if a school has already decided in principle that it wishes to convert to an academy as part of a MAT, this can be explained in the consultation document. The school may also wish to set out what it regards as the advantages of academy conversion generally and also more particularly, as part of a MAT, but should make it clear that this is opinion rather than fact. In addition, the school should set out the governance arrangements for the school as proposed by the MAT in question.

Other than setting out the school’s predisposition or preference, and opinion on advantages and disadvantages (which should be clearly expressed as opinion), the consultation document should clearly set out factually accurate and neutrally expressed information about what conversion means. Sufficient information should be provided to enable those consulted to comment intelligently on the process. It is also generally sensible to provide references to other available sources of factually accurate information in order that consultees can also scrutinise those sources.

If a school is aware that its consultation is likely to be closely scrutinised by unions or other stakeholders, schools may choose to retain a neutral stance throughout the consultation process on the question of whether or not conversion generally, or more particularly as part of a MAT, is a ‘good thing’ for the school as this may be a less controversial stance to take. However, as set out above, adopting a position on the proposal is not unlawful. The important thing is that if a position on a proposal is adopted, the school does not appear within the consultation document to have pre-determined the question of whether or not conversion should go ahead.

As mentioned above, precedent documents are attached for use by schools. These documents assume that the school has already made a preliminary determination that conversion should take place. If this is not the case, the precedents will need to be refined to match the particular circumstances at the school.

How long should the consultation run for?

We recommend a consultation period of 4-6 weeks which should take place during term time.

Consideration of responses

Responses must be formally considered before the funding agreement is signed. If significant numbers of responses are received, these should be summarised in a report.

The responses can be considered at the governing body meeting at which the decision is taken to sign the funding agreement, prior to that decision being taken, or at an earlier governing body meeting. Even in schools where an academy working party (sub-committee) has been set up, we would suggest that the consultation responses are considered by the full governing body either at the meeting at which the articles and memorandum are approved, or at the meeting at which the funding agreement is approved (which in both cases we would advise are full governing body decisions). The fact that the consultation responses were considered should be properly recorded in the minutes of the relevant meeting.

Report to DfE

The DfE will require confirmation that the consultation exercise has been completed prior to the signing of the Funding Agreement by the Secretary of State. This need only be a simple account of what consultation took place and when.

The information provided within this document and the attached precedent documents is generic advice which is not tailored to the needs of a specific school. If a school is concerned about consultation issues we would suggest that specific advice is sought. The precedent documents assume schools are either forming, or Joining a MAT. Alternative models should not use this guidance note.

The information provided in this guide is accurate as at August 2021.

This guide provides consultation advice for existing academies which decide to become multi-academy trusts.

Consultation advice - appendices