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Introduction to Governance in Multi-Academy Trusts (MATs):
Essentials webinar for new board members
• Welcome
• Presenter: Sarah Pittam, Regional Adviser: South East and South London
Aim: to introduce the key features of effective governance
Source: Competency Framework for Governance (DfE) 2017
First, a brief history of academies …
… and a recap on core functions of governance
All boards, no matter what type of schools or how many schools they govern, have three core functions:
1) Ensuring clarity of vision, ethos and strategic direction;
2) Holding executive leaders to account for the educational
performance of the organisation and its pupils, and the
performance management of staff;
3) Overseeing the financial performance of the organisation and
making sure its money is well spent.
Source: Governance Handbook (DfE) January 2018
Structure essentials: roles & responsibilities
Members
Board of Trustees
Local Advisory Committee
School A
Local Advisory Committee
School B & C
Local Advisory Committee
School D
Trust Finance Committee
Trust HR Committee
See detail in the Annex ‘Structure’
Strategic leadership: one legal entity, one board
Discussion points:
• The cultural, historical or contextual factors that
constrain your MAT board’s modus operandi.
• Strategic vs operational boards
“Autonomy in the hands of well-run organisations can deliver dramatically positive results… Careless or improper actions can cause significant damage, both financially and reputationally.”
Lord Agnew, Parliamentary Under Secretary of State for the School System,
Accountability: risks arising from public scrutiny
Source: Foreword to the Academies Financial Handbook 2018
Accountability essentials: who’s who
DfE
ESFA
Ofsted
Regional Schools
Commissioners (RSC)
See the detail in the
Annex and in our
induction pack
Accountability essentials: education standards
Understanding education data: key principles:
1. Pupils are monitored against test results ‘attainment data’ …
2. … and progress data from ‘baseline’ or attainment on starting schools
3. Schools are inspected and reports published by Ofsted
4. Data dashboard necessary, triangulate data
Discussion points:
• How is the data presented?
• Is data presented in a clear and accessible
way to enable you to inform and challenge?
See the detail in the
Annex and in our
induction pack
Additional
categories:
Primary
performance
Secondary
performance
16 to 18
performance
Ofsted rating
Absence and
pupil
population
Workforce and
finance
Accountability essentials: the financial framework
See the detail in ‘On Board’
How are schools funded?
• Different to Local Authority (LA)
maintained schools
• Census pupil numbers or based on
pupil number estimates for new
schools
• Pupil Premium grant (PP) for
disadvantaged pupils, year 7 literacy
and numeracy catch-up fund
• Capital funding based on pupil
numbers/phase
• Trusts bid for Condition Improvement
Fund (CIF) capital funding to
maintain buildings
• Ensure sufficient separation of roles
for Accounting Officer and Chief
Financial Officer
Accountability: financial oversight in practice Trustees must…
1. Set/align strategic direction and 3 year forecasts
2. Approve a balanced budget and submit monthly management accounts
to Chair of trustees
3. Ensure financial probity, regularity & value for money
4. comply with Academies Financial Handbook (AFH) and Funding
Agreement(s)
5. Test robustness of financial policy & internal controls
6. Set KPIs and manage risks to secure financial sustainability
7. Promote effective workforce planning; and integrated
curriculum/financial planning:
https://www.gov.uk/government/publications/school-workforce-planningSee Annex: Top 10
Planning Checks!
People essentials: the workforce• A CEO to oversee implementation of the strategy and policies agreed by the board
• Executive Leadership Team is usually comprised of the CEO + key support staff
(i.e. CFO), academy headteacher (HT) &/or executive headteacher (EHT).
• Each academy usually has a Senior Leadership Team (SLT).
• Most trusts adopt the Standard Teachers Pay and Conditions Document (STPCD)
which sets out the national pay scales for teachers/leaders agreed with Trade
Unions
• Board delegates to a Panel management of the CEO/HT performance review
process by 31 December annually
• Key workforce issues include: recruitment, retention, workload, executive pay.
People: effective board dynamics & ethics• Skills-led recruitment process
• Induction process clarifies strategic roles and responsibilities:
‘Eyes on, hands OFF!’
• Managed turnover and succession planning
• Commitment to code of conduct, preparation and ongoing
professional development
• Effective chairing and clerking
• Length of term and review
• Boardroom culture should foster openness, diversity and
respectful challenge!
Accountability and challenge
Discussion points:
• How is challenge made?
• Is it met?
• What do you do when it is not met?
“By focusing on finance and
governance the organisations I am
involved with can spend more time
on the true bottom line of exceptional
outcomes in education.”
Michael Larsen, Aspire Academy Trust,
Gatehouse Green Learning Trust and
South-West Headteacher Board
Compliance essentials:Discussion points:
What statutory and contractual
requirements:
1. Affect the boards of all
charitable companies?
2. Are specific to academy
trusts?
3. Are pertinent to the
education sector?
See detail in the annex
Academy Trust
Pupils
External Account-
ability
Diocese/ faith trusts
StaffLaw
Parents
Policy
Evaluation: 10 Characteristics of Effective MATs
1. The skills required for governance of the trust are identified explicitly
2. Trustees take their own professional development seriously.
3. The chair of the board plays a vital leading role in setting the direction and structures for the trust.
4. The board evaluates its own effectiveness.
5. Governance structures are designed for the context of the organisation and the schools being governed
6. The board and its executive leaders are transparent
7. As the MAT grows the trustees recognise the need to review governance structures and delegations
8. The board receives management information in a standardised and easily accessible format
9. There is no duplication between the roles of executive trust leaders and LGBs
10. There are effective and meaningful arrangements in place to engage with parents and the wider
community.
Source: MATs good practice guidance and expectations for growth (2016)
In summary, the key features of effective governance are:
Source: Competency Framework for Governance (DfE) 2017
Next steps
Further reading – See Annex
Governance training providers
Find a mentor – Contact Academy
Ambassadors
Next stepsMust reads: your trust
Articles of Association
Scheme of Delegation
Strategic Plan
Annual Accounts and the ESFA’s ‘Dear Accounting
Officer’ letter
Financial Benchmarking Data
https://schools-financial-benchmarking.service.gov.uk/
Department for Education performance data
https://www.compare-school-
performance.service.gov.uk/
Annex
Annex: further reading useful links
Further reading: handbooks
Academy Ambassadors ‘On Board’ pack
Academies Financial Handbook
Pupil Premium funding
Understanding your school data
Governance Handbook
CC3 The Essential Trustee and CC8 Internal Financial Controls for Charities.
Historical context: A brief history of academies and education reform
Annex: structure essentials: roles & responsibilities
Members
Board of Trustees
Local Advisory Body Committee
School A
Local Advisory Body Committee
School B & C
Local Advisory Body Committee
School D
Trust Finance Committee
Trust HR Committee
Members: minimum 3 and ideally 5 (NO employees)
• Guardians of the Articles of Association (constitution) with powers to appoint/remove trustees; appoint the auditor and receive the annual accounts
• May issue direction to the trustees and wind up company
• Meet via Annual / Extraordinary General Meetings
Board (trustees/NEDs): minimum 3
• To fulfil the purpose and core functions of governance
• Act in accordance with constitution, charity and company law
• Retains ultimate accountability for ‘everything’
Committees: the Board can choose whether to delegate to:
• Trust committees have a trust wide remit & must have a trustee majority membership
• Local Governing Bodies, Advisory Bodies or Academy Councils have a single school focus typically on quality of education, pupils’ behaviour & attitudes and personal development; and local stakeholder engagement.
• Trusts must have audit as a function of a finance committee or, if income exceeds £50m, have a separate committee.
The Department for Education (DfE) has ultimate accountability for the educational and
financial performance of academies and free schools as the Regulator (a MOU was agreed
with the Charity Commission). The chain of accountability from each academy trust is
managed by the DfE through:
Education and Skills Funding Agency (ESFA) oversees all financial matters. It is an
executive agency of DfE and its Accounting Officer (AO) is accountable to Parliament. The
ESFA also works with Charity Commission and will publish financial and performance warning
notices naming trusts.
Regional Schools Commissioners (RSC) are based in 8 regions of England and overseen
by a National Schools Commissioner (NSC). The RSCs work with school leaders to take
action in underperforming schools.
Many dioceses have opened their own MAT but, depending on the size and composition of
schools within a predominantly non-faith MAT, one or more diocese may also be a corporate
Member and/or appoint foundation trustees to preserve the Christian ethos.
Ofsted is a non-ministerial department of the UK government, reporting to Parliament. Ofsted
is responsible for inspecting a range of educational institutions, including state schools and
some independent schools.
Annex: accountability essentials: who’s who
Annex: duties and principles from company and charity law
The duties of company directors are to:
• act within their powers
• promote the success of the company
• exercise independent judgement
• exercise reasonable care, skill and diligence
• avoid conflicts of interest
• not to accept benefits from third parties
• declare interest in proposed transactions or arrangements
Source: Companies Act 2006
Source: CC3 The Essential Trustee (Charity Commission)
Annex: Early Years Foundation Stage (EYFS)
Statutory for all early years providers. It sets the standards
for children from 0 – 5 years old to ensure children have
the knowledge and skills needed to start school.
Areas of learning and development:
1. communication and language
2. physical development
3. personal, social and emotional development
4. literacy
5. mathematics
6. understanding the world
7. expressive arts and design
Assessment arrangements:
• Progress checked against 12 Early Learning Goals (relating to
7 areas of learning and development) when a child is aged
between 2 – 3 years old
• And at the end of Reception (the school year when a child turns
5) by classroom teacher .
• A child is either meeting the expected levels of development,
exceeding expected levels; or not yet reaching expected levels
(known as ‘emerging’)
• Each child’s EYFS profile is shared with their parents and the
Local Authority
Safeguarding and welfare requirements
Annex: Key Stage 1 (KS1) and Phonics
Phonics:
• Pupils take the phonics screening check at the
end of Year 1 (aged 6). Those wo do not meet
the expected standard take the check again at
the end of Year 2 (aged 7)
• The expected standard is a minimum mark of 32
out of 40
• In 2018, 82% pupils met the expected standard
in phonics in Y1 and 92% by end of Y2
KS1:
• Pupils are assessed in English (reading/writing),
maths and science by teachers at the end of KS1
(Year 2).
• Pupils take a national curriculum test (known as
SATs) in English and maths and may sit optional
test in English grammar, punctuation and spelling.
• In 2018, 75% pupils met the expected standards
in Reading (26% of whom were working at greater
depth = GD), 76% in Maths (22% GD) and 83% in
Science (0% GD).
Annex: Key Stage 2 (KS2) Accountability Measures
• At the end of KS2 (Year 6), usually mid-May,
pupils take a national curriculum test (known as
SATs) in English reading, English grammar,
punctuation and spelling (GPS); and maths
(arithmetic and mathematical reasoning).
• Plus English writing is tested by teacher
assessment.
• To reach the expected standard in RWM a pupil
must achieve a scaled score of 100 in reading and
maths tests AND reach or exceed the standard in
writing
• Absence and pupil population data is also
published: NA 4% absence and 8.3% persistent
absence (missing 10% or more)
2018 KS2 Outcomes (provisional) = National Averages:
• 64% pupils reached the expected standard in Reading, Writing and Maths (RWM)
• In Reading 75% of pupils reached the expected standard; 76% in Maths and 78% in GPS
• Girls outperform boys in RWM: girls 68% and boys 60%
• Ofsted’s Inspection Data Summary Report (IDSR) published early November for primary schools
Key Stage 4 (KS4) Accountability Measures
1. Progress in 8 qualifications (P8)
• A score of 0.00 = pupils do as well at KS4 as
other pupils across England who got similar
results at the end of KS2. A minus score = pupils
made below average progress and a positive
score = pupils made above average progress.
• Floor standard = P8 -0.5
• A school will be deemed coasting if in 2016, 2017
& 2018 the P8 score was below -0.25
2. Attainment in 8 qualifications (A8) (NA
44.3):
• Maths (double weighted), English (1 outcome
double weighted if both English language and
literature entered)
• English Baccalaureate (Ebacc) qualifications
further qualifications or technical awards from
DfE approved list (known as the open bucket)
3. % pupils achieving a grade 5 + in English and maths (National Average: NA 43.3%)
4. % pupils entering the English Baccalaureate (Ebacc): (NA 38.4%)
5. Average Point Score for Ebacc (NA 4.04):
English literature and language; maths; the sciences; history or geography and a modern foreign language
6. % pupils staying in education or employment (Destination) (NA 94%)
• GCSE grades 1-9 introduced for 2018 results where grade 4 (= C) is a standard pass; 5 (=B) strong pass; 8 (=A*) and 9 = highest score.
• Results published 3rd Thursday in August
• Ofsted’s IDSR published late November for secondary schools
Annex: Key Stage 5 (KS5) Accountability Measures
• In post 16 or sixth form education most Y12 pupils take 4 subjects then drop one for Y13 to complete ‘A’ levels
• Assessment is completed by exams at the end of Y13
• Results published 2nd Thursday in August
Accountability Measures for Academic / Applied General Qualifications (vocational):
• Progress score
• Average result (2018 C+ / Dist)
• % pupils completing their main study programme (2018 NA 95.3% / 88.5%)
Tech Levels (occupational):
• Completion and attainment score (0.00)
• Average result (2018 NA Dist-)
Annex: accountability: benchmarking and the top 10 financial planning checks
• Staff pay as percentage of total expenditure
• Average teacher cost
• Pupil-to-teacher ratio
• Class sizes
• Teacher contact ratio
• Proportion of budget spent on the leadership team
• 3 to 5 year budget projections
• Spend per pupil for non-pay expenditure lines compared to similar schools
• School improvement plan priorities and the relative cost of options
• List of contracts with costs and renewal dates
Annex: evaluation
10 Characteristics of Effective MATs:
1. The skills required for governance of the trust are identified explicitly and set out in a role
specification that informs the recruitment and appointment of people to the board and any LGBs for their
skills, as well as informing elections where applicable.
2. Trustees take their own professional development seriously. They are inducted properly when they
are new to the board, and continue to undertake training or other development activity as necessary to
continue to develop their skills.
3. The chair of the board plays a vital leading role in setting the direction and structures for the trust. They
support the development of positive working relationships between the board, the executive leaders and
trust staff.
4. The board evaluates its own effectiveness, particularly when the trust is new and at key growth points,
including commissioning periodic external reviews of their effectiveness to gain an independent external
perspective of their strengths and areas for development.
5. Governance structures are designed for the context of the organisation and the schools being
governed, not as a legacy of arrangements that existed in schools before they joined the trust.
(continues)
6. The board and its executive leaders are transparent with any school looking to join the MAT
about the level of delegated power that will be vested at a local level and the circumstances in
which this may vary over time.
7. As the MAT grows the trustees recognise the need to review governance structures and
delegations including the option of a regional or sub-regional layer of governance that spans
groups of schools, in addition to or instead of functions delegated to LGBs at individual school level.
8. The board receives management information in a standardised and easily accessible format
which enables comparison of the performance of schools across the MAT.
9. There is no duplication between the roles of executive trust leaders and LGBs in holding
individual school leadership to account.
10. There are effective and meaningful arrangements in place to engage with parents and the
wider community to seek their views and feedback, which in turn informs the scrutiny provided by
trustees and supports greater accountability.
Source: MATs good practice guidance and expectations for growth (2016)
Annex: 10 Characteristics of Effective MATs (continued)
The following affect the boards of all charitable
companies:
Charity and company law (see Annexes) including
compliance with articles, declaration of interests
Equality legislation
Employment law
Health and safety legislation
Data Protection Act and GDPR 2018
Liability insurance
Transfer of Undertakings (Protection of Employment)
Regulations (TUPE) 2006
The following are specific to academy trusts:
Admissions authority
Procurement/contracting authority
The Education (Independent School Standards)
Regulations 2014
DfE educational oversight via the Regional Schools
Commissioners
DfE financial oversight via the Education and Skills
Funding Agency: Funding Agreements and Academies
Financial Handbook (read Annex C for the “List of
MUSTS”)
The School Staffing (England) Regulations 2009
Compliance essentials
The following are pertinent to the education sector:Quality (and equality) of education provision i.e. SEND
CEO/Headteacher/Teacher appraisal
Safeguarding and Prevent Duty (statutory guidance KCSIE, DBS
checks)
Pupil welfare and wellbeing
Policy requirements, including complaints and whistleblowing
Publication requirements
Duty to have regard to the views of parents
Control and community use of school premises
Office for Standards in Education, Children’s Services and Skills
(Ofsted) inspection framework for 0 – 19 providers in England
Statutory Inspection of Anglican and Methodist Schools (SIAMS)
inspection framework
Social care common inspection framework (SCCIF) for boarding
schools
Local Authority oversight of educational and financial
performance of LA maintained schools
Statutory guidance re NQTs and schedule of appropriate
regulations relating to teacher qualifications
Education (Specified Work) (England) Regulations 2012
LGPS (Administration) Regulations 2013
The School Standards and Framework Act 1998The Schools
Forums (England) Regulations 2012
Education Act 1996 and 2002
Education and Inspections Act 2006
The School Information (England) Regulations 2008 as
amended by the School Information (England) (Amendment)
Regulations 2012
The School Discipline (Pupil Exclusions and Reviews) (England)
Regulations 2012
Education (Pupil Registration) (England) Regulations 2006
Education (School Day and School Year) (England) Regulations
1999
Anti-social Behaviour Act 2003, s 19 - 23 and Crime and
Disorder Act 1998
The Education (Nutritional Standards and Requirements for
school Food) (England) Regulations 2007 (SI 2007/2359) as
amended by the 2008 regulations (SI 2008/1800) and the 2011
regulations (SI 2011/1190
Compliance essentials