The Governance and Direction of the AET and its Academies:
Our Roles, Relationships, Duties, Accountabilities, and Responsibilities Defining and making the relationships work between all the partners involved in the enterprise.
Draft Version 1.5a
This page is for editorial notes during the drafting of this document. This document is currently a draft. There will be additions and amendments. The Appendices are currently incomplete. Version history: Version 1: February 2009 Version 1.1: 17 March 2009 Version 1.2: 20 March 2009 Version 1.3: 24 March 2009 Version 1.4: 8 April 2009 Version 1.5a (this copy): 25 May 2009 Please refer all comments on this draft to firstname.lastname@example.org.
Introduction by the Sponsor 1.
As the sponsor of the Academies Enterprise Trust (AET), the Greensward Charitable Trust (GCT), firmly believes that all young people deserve to become world class learners – to learn, enjoy, succeed and thrive in a first rate educational environment, with the best facilities, the best teaching and the most up to date resources available to them. The ambition of the GCT is to ensure the opportunity for all our young learners to fulfil their full potential, broaden their horizons and become active, prosperous and successful citizens in the world around them.
To achieve this aim the GCT has established the AET to act as the operational body that will ensure each Academy within its Federation, whether at Primary or Secondary level, becomes high performing as quickly as possible. The GCT and the AET together are committed to doing everything they can to ensure that our pupils and students can, in the future, compete on the world stage with the skills, confidence and flair to generate new ideas, new initiatives and thereby make a full contribution to tomorrow’s world.
Our core principle is to devolve accountability to the nearest point of delivery – to the AET, to Governing Bodies, to students and adults in classrooms – and to ensure that each and every one of us is held to account to maintain and continually improve what we do for the benefit of all. This principle is depicted in Figure 1, which seeks to show the interrelationships between the legal and ethical frameworks, and between the strategic governance and delivery arrangements in each Academy.
Figure 1 Version 1.5a
The Purpose of this Document 4.
Crucial to assuring we achieve this is to have clear and effective arrangements for governance and accountability and to present these in a transparent and accessible manner. This will give the basis of how leaders at every level should work together: being clear about their relationships, roles, and responsibilities. The purpose of this paper, therefore, is to present the arrangements for ensuring the effective governance and direction of the AET and its Academies and seeks to draw together in a single coherent document the roles, duties, accountabilities, and responsibilities of all concerned.
We hope this document contributes to playing our part in making the UK an even better place in which to live, work and visit, and we will welcome any constructive comments on this paper and our approach to governance and related matters.
Please send your comments to email@example.com.
How this document is laid out 7.
Figure 2 illustrates the layout of this document. It seeks to show the flow of the discussion and to present the contents in an accessible way. Content
Our vision, mission and principles
Our Prospectus presents our ethos and approach
Formal governance: the Memorandum and Articles of Association
Policies, Practice and Procedures
Relationships, Roles, and Duties
The Chairman & Management Board The Office of the CEO … working with strategic partners
The Academies: The Board of Governors The Principal … working with the AET, local partners and the LA
Accountabilities and Responsibilities: the Accountabilities Framework (ARCI)
The AET: The Chairman & Management Board The Office of the CEO … with strategic partners
The Academies: The Board of Governors The Principal and staff … with local partners
Our vision, mission, and principles 8.
Our vision, mission, and principles drive what we do and what we are about. They are more than fine aspirations: they are foundations upon which all else is built – our attitudes to oneanother, our expectations one of another, our commitment, and our morality.
Our Vision 9.
To help students achieve world class learning outcomes by developing world class teachers in a world class community. Key words as foundations to our vision: learning outcomes; achieve; world class; community
Our Mission 10.
Our duty is to inspire young people to make their best better. Key words as foundations to our mission: duty; inspiration; make best better
Our Principles 11.
We encourage each and every member of our Academies – students, staff, governors, parents, and visitors – to respect one-another as individuals and to respond to each other according to need, irrespective of race, religion, gender, sexuality, physical impairment, or learning ability.
We promote leadership, management, and decision-making to be undertaken at the point nearest to the customer. Academies shall be responsible for their own conduct, within the overall framework of the AET’s vision, mission, principles, and governance framework.
We promote leadership at every level: in the classroom between students, all staff, parents/carers and others involved; in the wider environment of the Academy between students, all staff, governors, parents and visitors; and outside the Academy in the respective neighbourhoods and communities involved, with the whole community.
The AET will challenge its Academies to fulfil these ambitions by embedding our vision, mission, and principles by (a) student assessment and appraisal, in staff appraisal, and in performance monitoring at every level. (b) promoting ownership and responsibility for personal and corporate actions at every level, in our behaviours and actions, and the way we conduct business. (c) recognising and celebrating success and innovation; we shall not penalise failure (unless wilful or negligent); we shall learn through our mistakes.
Our Prospectus presents our ethos and approach The Prospectus 15.
The AET Prospectus provides an accessible and clear statement of our vision, mission, ethos, approaches, commitments, and criteria for success.
Fundamentally, our position is that higher standards of living will depend on higher standards of learning. 1 Standards of living are about all aspects of life â€“ not only economic well being. It must include health and social well being, community cohesion, recreation and a sense of purpose and place. Education and maintaining and continually improving education and the ethos of our academies are fundamental to our mission.
Our ethos, values, and beliefs 17.
Our ethos is that our performance reflects our values and beliefs, and that it is through our actions and behaviours that we will strive to enable young people to live and demonstrate a range of positive behaviours, attitudes, and achievements.
The AET, through its federation of Academies, will ensure an environment which is highly participative and aspirational and is one where every student has the opportunity to develop the skills to lead positive and fulfilling lives. We will support parents and carers and will work with the community to nurture all our young people. We will seek to deliver an education provision which aims to develop life skills of all young people and be available to support them throughout the years of their compulsory education in line with the Every Child Matters agenda.
We shall endeavour to achieve the following through our own actions and behaviours, and our expectation of positive actions and behaviours of all involved with the AET enterprise:We shall be the: o education provider of choice for the students; o employer of choice for staff; o investment of choice for parents. We shall strive to ensure learning is at the heart of the community. We shall seek to devolve accountability and responsibility to the nearest point of delivery, intervening only when necessary to ensure standards are maximised: o to governing bodies; o to staff; o to students.
From the Prime Ministerâ€™s speech to the CBI, November 2008.
‘High performing organisations are enterprises that over time continue to produce outstanding results with the highest level of human satisfaction and commitment to success.’2 The AET is committed to developing Academies that focus on outstanding performance, as set out in the Prospectus, and will seek to ensure this is achieved through securing commitment to our vision, mission, and principles, and effective performance management systems.
Formal governance: the Memorandum and Articles of Association 21.
The AET is a charitable company limited by guarantee. It is governed formally by the Memorandum and Articles of Association, a full copy of which is available at the Trust’s offices.
The following are some key extracts relating to function and conduct:- 3 ‘The AET’s legal objects are to advance for the public benefit education in the United Kingdom, in particular […] by establishing, maintaining, carrying on, managing and developing […] Academies; offering a broad curriculum with a strong emphasis [on relevant] specialism(s) […].’ The business of the Company shall be managed by the Directors who may exercise all the powers of the Company. The Directors shall exercise their powers and functions with a view to fulfilling a largely strategic role in the running of the Academies and shall consider any advice given by the Chief Executive Officer. The Directors may delegate to the Academy Governing Bodies, any committee, any Director holding an executive office, or to the Chief Executive Officer, such of their powers or functions as they consider desirable to be exercised by them. Any such delegation may be made subject to any conditions the Directors may impose, and either collaterally with or to the exclusion of their own powers and may be revoked or altered. The Directors shall appoint separate committees to be known as the “Academy Governing Bodies”.4 The functions and proceedings of the Academy Governing Bodies shall be subject to regulations made by the Directors from time to time pursuant to the powers [defined in the Articles of Association]. The Directors shall appoint the Chief Executive Officer and the Principals of the Academies. [Subject to agreed schemes of delegation] the Chief Executive Officer shall
Ken Blanchard, American management expert, 2007 From the Memorandum of and Articles of Association. 4 The composition of Academy Governing Bodies is provided in the annex to this paper. 3
be responsible for the internal organisation, management, and control of all of the Academies, the implementation of all policies approved by the Directors and for the direction of the teaching and curriculum at all of the Academies. The Chief Executive Officer shall be supported in this role by the Principals who shall be responsible to the Chief Executive Officer for the internal organisation, management and control of the respective Academy. For these purposes the Directors shall delegate those powers and functions required of the Chief Executive Officer and the Principals.
Policies, Practice, and Procedures 23.
The policies, practice, and procedures implemented by the AET are the means by which local autonomy with accountability can be secured. They are:the set of strategic policies for the conduct, performance, and direction of the AET and its Academies; the Learning Model – how the AET with its Academies grows as a learning organisation that strives to continually improve for the benefit of all (‘To Make the Best Better’); the Standard Operating Procedure; the Planning Cycle and Agenda structures; Monitoring and Performance Review with Key Indicators of Performance.
The Policy Framework 24.
This defines and provides the set of policies that by law and according to the legal and ethical frameworks of the AET have to be in place. Each Academy will drive its own policy agenda within the framework to which all within the AET partnership work.
The Learning Model 25.
The Learning Model is at the heart of what we do and sets the expectations of approach to ensuring all students and those who work with them achieve the highest standard. The strategic headlines of the Model must include the following: the means by which we develop and grow as an organisation and how each an every individual plays her or his part; the quality of provision; the quality of Standards and Achievement; student and staff well-being; Leadership and Management; our overall effectiveness; continuous Academy improvement; Every Child Matters five key outcomes.
The Standard Operating Procedure 26.
The Standard Operating Procedure (SOP) is at the heart of how we go about things and sets the framework and standards of approach for all aspects of management. It will naturally reflect the Learning Model and there will be a synergy between the two.
At the top level the SOP covers the following: key context indicators o child poverty, free school meals, looked-after children, English as a second or additional language, Every Child Matters needs profile, etc; quality of standard and achievement (outcomes); quality of provision (impact); student and staff well-being; Leadership and Management; overall effectiveness; continuous Academy improvement; Every Child Matters five key outcomes.
The detail of the SOP is available as a separate publication.
The Planning Cycle and Agenda structures 29.
The business of the AET Board and each Academy Governing Body needs to be conducted in synchrony: (a) exception reporting in terms of standards of achievement, attendance, HR matters, finance etc need to be clearly linked so that accountabilities and outcomes are secure; (b) in terms of forward planning (budgets, CPD, support and interventions, etc).
AET supports standardised agenda structures for each committee of a Governing Body, based on: critical ‘need-to-knows’; implications – consider what needs to be done; actions – what we will do, with timescales; reporting (for monitoring, consultation, or information)5 – according to the business agenda.
For each month there will be a range of continuing and specific issues that will need to addressed, for example: Educational o Curriculum o Learning and Teaching o Student well-being o Leadership o Staff Financial o Provisional Outturn o Financial Reviews o Budget Cycle
The consultation and information aspects of reporting will relate to the C and the I of the Accountabilities Framework (q.v. – para. 39 et seq., p.13).
HR Management o Attendance o Performance Management o Induction o CPD Facilities Management o Premises o Catering o ICT o Business o Health and Safety o Maintenance Data o CATs data collected from each Academy o Renaissance Learning reading ages to be completed o Monthly Data Collection o KS2, 4, and 5 results o Reading Age
Monitoring and Performance Review with Key Indicators of Performance 32.
The monitoring and performance review is based on 23 Key Indicators of Performance (KIPs), each with a descriptor for standards. The KIPs are listed in the table.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23
Key Indicator of Performance Attainment outcomes and progress Attendance and punctuality Attitudes and behaviour Personal development and social, moral, spiritual, and cultural education Quality of teaching Quality of assessment Curriculum breadth and depth Extra curricular provision Accommodation and resources to meet learning and curriculum need Learners care, welfare, health and safety Support, advice and guidance Involvement of learners in the life of the school School links with parents and carers School links with the community Extended services programme Links with other schools, colleges and stakeholders Governance of the school Quality of leadership Effectiveness of management Overall effectiveness of the school School improvement Teacher Training Community Cohesion
Relationships, Roles, and Duties 33.
The relationship across the AET-Academies partnership is defined formally in the Memorandum and Articles of Association, the Accountabilities Framework, and associated documentation as referred to in this paper. 6 Figure 2 seeks to illustrate this. AET Management Board CEO
Academy Board of Governors
Academy Board of Governors The Principal
Academy Board of Governors
Key to relationships:
= holds to account
consults with & keeps informed
= reports to =
In this schema, the AET Management Board holds to account, according to the Accountabilities Framework,7 each Academy Board of Governors. The AET Management Board holds to account the AET CEO, who in turn reports to the Board; the Governing Body holds to account the Principal, who reports to the Governing Body. Additionally, the AET CEO works closely with each Academy Principal, who in turn consults with the CEO and keeps him fully informed of key matters as agreed according to operating agreements.
The prime duty of the AET Board is to ensure the specific duties in the Memorandum and Articles of Association are carried out. The duties of the CEO are defined in the job description which is annexed to this paper.
The strategic duty of the Board of Governors is to set the strategic direction of their Academy according to the strategic vision, policies, expectations, and operating procedures of the AET – see the next section.
Such as the Standard Operating Procedure – see page 4 overview for references to these aspects. q.v. – para. 39 et seq., p.13)
The AET Management Board 37.
The key roles and responsibilities are defined generally in Company Law and in specifics in the Memorandum and Articles of Association of the Trust (see section 21 above). In practical terms, these include but are not necessarily limited to:(a) Legal Duty Holding in law the accountability for the conduct and business of the AET according to Company Law and the Memorandum, and Articles of Association. (b) Strategic Direction Ensure the Vision, Mission, Principles, and Learning Model of the AET are implemented. Ensure the Prospectus is clear, inclusive, and include statements on the AET’s … i. vision, mission, and principles; ii. ethos, values, and beliefs; iii. learning model, commitments, and success criteria. Set the Accountabilities Framework and the policies and procedures for the AET and its federation. (c) Accountable Body Manage the AET Budget including ensuring the budgets of individual Academies are managed effectively. Ensure budgets are monitored regularly and effectively according to good practice. Ensure that effective monitoring and performance management systems are in place for the conduct of the AET and of each Academy and for the provision of teaching and learning. (d) Executive Function Ensure that effective arrangements are in place for the executive function of the business of the AET and its Academies, including the operation of the office of the Chief Executive. Appointment and dismissal of Academy Principals. Appointment and dismissal of Trust Governors
Academy Boards of Governors 38.
The key roles and duties of a Board of Governors of an AET Academy are defined within the overall AET Accountabilities Framework, and will include but are not limited to:(a) Strategic Direction To set and regularly review the strategic direction of the Academy and so ensure that the Academy’s vision and key values and beliefs are realised. (b) Compliance with the Law and Statutory Obligations To ensure that the Academy complies with the equality duties set out in the Race Relations Act 1976 (as amended by the Race Relations Act 2000), the Disability Discrimination Act 1995 (as amended by the Disability Discrimination Act 2005) and the Sex Discrimination Act 1975 (as amended by the Equality Act 2006).
To ensure that all suitable procedures and equipment are in place so that the Academy remains a safe and healthy place to work and learn, and that all national health and safety legislation is fully complied with. (c) Recruitment and Training To appoint the Principal in liaison with the Academies Enterprise Trust and ensure that the Academy is suitably staffed to deliver the Academy’s Education Vision. To ensure that a suitable training plan is in place and regularly reviewed to enable all staff to meet the educational needs of the students. (d) Setting Targets To ensure that the overall operational framework is in place within the Academy to promote high standards of educational achievement. To discuss and approve the targets set for students’ performance in the appropriate key stages, and in public examinations for the year after students reach age 15. To set the Principal’s annual performance targets. (e) Managing Performance To monitor the Principal’s performance against the targets set and provide feedback on the progress being made and any remedial actions required. To approve and regularly monitor performance against the annual targets set out in the Academy’s Key Indicators of Performance to ensure that the continuum of improvement is maintained. (f) Finance To approve the Academy’s Annual Operating Budget and regularly monitor actual spend against the budget set. (g) Policies and Procedures To ensure that all relevant policies and procedures are in place to meet the Academy’s statutory and operational needs, and to regularly review and modify them as appropriate. (h) Complaints/Grievance Handling To hear and determine on complaints from parents and staff disciplinary issues and grievances where the recognised internal procedures have been exhausted and the decisions challenged. (i) Links with the Local Community/Other Academies To ensure that the Principal and his Senior Management Team develop and introduce new initiatives and closer working links with the many facets of the local Community and local schools (and other Academies where relevant), and that the Academy becomes and remains a valued asset within the wider local community. To facilitate effective liaison and promote joint initiatives and the timely exchange of best practice between members of the federation of academies within the Academies Enterprise Trust.
Accountabilities and Responsibilities
Staff … parents … Parents & Students
The Principal & Staff
The summary table (Table 1) seeks to illustrate this discussion. The ‘source’ of these duties in terms of a legal framework is also suggested. Who should be consulted and kept informed of decisions, developments etc., is also suggested (see the footnotes).
Individual Boards of Governors
The Management Board
An accountabilities framework should clearly define the inter-relationships and reporting routes for each level of governance. The basis of this framework is provided for through a definition at each level of clearly defined duties in terms of accountabilities8 and responsibilities9 in relation to an agreed set of functions and outcomes. Clarity over decision-making is a further imperative in this arrangement, where individuals (singular or corporate, or as Directors in the case of Trusts or Companies) are clearly mandated by the member organisation they represent to take certain decisions, within the accountabilitiesresponsibilities arrangements, in order that actions will be undertaken that will achieve the required outcomes. All of this should be clearly defined in the constitution of the partnership (or Trust) arrangements, as detailed in the associated Partnership agreement or the instruments of governance.
Level of governance/ management Function (examples)
i. Define the overall vision and direction of the Partnership. ii. Ensure that the core purpose of the Partnership is delivered to the highest standard.
Charities Act 2006 Education & Inspections Act 2006
Memorandum, and Articles of Association Relevant statutory framework
Table 1 42.
The accountabilities and responsibilities for the AET and its components will be provided in the annexes to this paper and are currently available separately.
In this paper, the term ‘accountable’ is used to indicate (in terms of an individual person defined by role, or an individual corporate entity) who has the ultimate duty to ensure that a function is fulfilled or that an outcome is achieved. Only one individual can hold such accountability, otherwise ambiguities will occur in terms of who does indeed have an ultimate duty for a function or outcome. 9 Equally, the term ‘responsible’ is used to indicate who has a duty to fulfil a function to achieve a defined outcome. Such a duty may be shared by a number of individuals, so long as roles and reporting lines are clearly defined. 10 A = who holds the accountability for ensuring functions are carried out (only one individual may undertake this role). 11 Issue of which ‘authority’ is the A accountable to … who picks up any ‘failure’ in accountability. 12 R = who holds the responsibility for carrying out functions (one or more than one individual may undertake this role). 13 C = who should be consulted on matters of development, policy and decision. 14 I = who should be informed on matters
Annexes The various papers referred to in the main document as being in these annexes will be added later â€“ they are currently available separately.
The Accountabilities Framework
The Composition of the AET Trust and the Board
The Job Descriptions of the CEO and the staff of the CEOâ€™s Office
The Composition of Academy Governing Bodies
The Job Description of the Principals
An outline of the Standard Operating Procedure