Introduction to Governance in Multi-Academy Trusts (MATs):

Essentials webinar for new board members

• Welcome

• Presenters: Sally Lawson-Ritchie and Scott Walker

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

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 alumni events:

24 June: Seminar on Risk,

Manchester

4 July: Introduction to MAT

governance webinar

11 November: Annual Board

Development Day, London

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 Governing Body Committee

School A

Local Governing 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 39.9%)

4. % pupils entering the English Baccalaureate (Ebacc): (NA 39.9%)

5. Average Point Score for Ebacc (NA 3.83):

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