Hinde House Multi Academy Trust (MAT) Accountability Framework

Transcription

1 1 Introduction Hinde House Multi Academy Trust (MAT) Accountability Framework 1.1 The need for a framework that provides clarity about the duties, roles and responsibilities of all partners is imperative for all organisations in or to secure effective systems of leaship, management and operation, to manage risk effectively and secure required outcomes. 1.2 The accountability framework needs to address: who in the organisation has the power to make s; the s individuals or groups are empowered to make; where and with whom consultation needs to take place before s are made; and where and with whom advice should be sought before s are made; 1.3 The framework also needs to clarify arrangements for monitoring and, where appropriate, intervention and how this will work in practice. 1.4 An overview of the accountabilities outlined in paragraph 1.2 and 1.3 is provided in the chart appended to this report. 1.5 The chart appended to this report sets out in diagrammatic form the ways in which the Hinde House MAT (trust) directors fulfil their responsibilities for leaship and management of the trust, the respective roles and responsibilities of the trust board and committees, local advisory groups, eecutive principal, senior leaship team and heads of school. It is based on the requirements of the trust s Articles of Association and Master Funding Agreement with the DfE. 1.6 The accountability framework should support the objects of Hinde House MAT(the trust) as set out in paragraphs 4a and 4b of the Articles of Association (the Articles). The trust s objects are: to advance for the public benefit education in the United Kingdom, in particular but without prejudice to the generality of the foregoing by establishing, maintaining, carrying on, managing and developing schools ( the mainstream Academies ) offering a broad and balanced curriculum...; and to promote for the benefit of the inhabitants of the areas in which the academies are located and the surrounding areas the provision of facilities for recreation or other leisure time occupation of individuals who have need of such facilities by reason of their youth, age, infirmity or disablement, financial hardship or social and economic 1

2 2 Powers of delegation circumstances or for the public at large in the interests of social welfare and with the object of improving the condition of life of the said inhabitants. 2.1 The starting point for the accountability framework needs to be a shared unstanding across the trust that, in accordance with the DfE and the trust s Articles and Master Funding Agreement (MFA), sole making power resides with the trust board acting on behalf of the trust in accordance with the sponsor s vision and values. 2.2 Although Hinde House MAT is a legal entity in its own right, directors powers ultimately stem from the sponsor, Hinde House 3-16 Academy which takes responsibility for pupil outcomes in all Hinde House MAT academies. Hinde House 3-16 Academy appoints the company members of Hinde House MAT who, in turn, appoint the trustees (otherwise known as directors ). 2.3 The trust and not the individual academies is the legal entity. As such, only the trust board on behalf of the trust has the legal authority to make s about: i) employment issues; ii) iii) iv) finance issues; land ownership or leases; and contracts. 2.4 The trust is the admissions authority for all trust academies. Therefore, the trust board must determine and keep un review the admissions arrangements for all academies, ensuring that they are compliant with the national Admissions Code. 2.5 The presumption therefore is that all legal and strategic making authority lies with the trust. However, while the trust (via the trust board) holds this ultimate authority, the DfE and trust Articles and Master Funding Agreement make clear that the trust board has the power to delegate making as it deems appropriate to board sub-committees, to local advisory groups and to the trust s eecutive principal. 2.6 The framework must be approved and regularly reviewed by the trust board. Individual officers within the trust should not make s or take unilateral action outside of this framework unless this approval has been given. To do so could lead to legal challenge and significantly increases risk. By approving the accountability framework, the board, in effect, gives this permission. 2.7 Where delegated s are made by the trust s eecutive principal or senior officers on his behalf, they should be formally recorded in a record so that an audit trail of s taken, when and by whom, can be 2

3 maintained. Trust committees should also record s in the minutes of their meetings. 3 Financial delegation 3.1 The trust is fully accountable to the DfE and Education Funding Agency (EFA) for all public funding that pays for the trust s activities. This includes the annual revenue budgets for all trust academies, any grants associated with the conversion of schools that become sponsored academies where the trust has been approved as the sponsor or have chosen to convert as an academy into the trust. The trust is also responsible for any capital receipts associate with trust academies. 3.2 The EFA sends all annual revenue budgets for trust academies directly to the trust. Given the trust s accountability, the annual bottom line budget for each academy should be approved by the trust board. Once this approval has been given, academy senior leas should be given delegated authority to manage the budget. 3.3 The trust board also needs to approve a schedule of financial delegation for each academy that identifies the maimum level of spend the eecutive principal/head of school can authorise. This schedule should also clearly identify the authority for procurement and the procurement rules each academy should follow depending on the value of the contract. 3.4 In or to minimise risk and ensure the trust fulfils its accountability to the EFA, even where academies have the delegated authority to make financial s, they should notify trust officers of their intentions and to seek relevant advice. 3.5 At every meeting, the trust board, on behalf of the trust, should receive a report from the finance and resources committee which provides regular updates on the trust s overall budget. While it would not be appropriate for the trust board to get involved in the minutiae of operational detail of individual academy budgets, by eception, the board should receive reports on significant deficits and surpluses in individual academy budgets and the implementation of investment or recovery plans to address these in particular in terms of the impact on school standards. 3.6 Similarly, the EFA sends any capital monies on behalf of identified trust academies to the trust. The trust is directly accountable for these capital receipts and for ensuring that they are used appropriately for the purposes identified. The trust board, on behalf of the trust, needs to have an overview of all capital ependitures provided in the regular reports from the finance and resources committee. The eecutive principal needs delegated authority for trust officers to work with individual academies to ensure that this funding is spent appropriately to improve the learning environment. The trust also has a legal responsibility to ensure that all procurement activity fulfils legal requirements in recognition that this is public money. 3

4 4 Policy development 4.1 Given that the trust is responsible and accountable for the financial management of all trust academies and is the employer of all staff working in trust academies, it follows that human resources and finance policy approval should remain at the centre. 4.2 In or to minimise risk and ensure consistency, it is recognised that, in the early days, following the establishment of Hinde House MAT on 1 st March 2014, it is likely that academies within the trust will continue to adhere to eisting school policies approved by previous governing bodies. However, within an agreed timescale, the trust board should ensure the development of trust wide agreed suite of key policies. Priorities and timescales for trust wide policy development should be identified in the trust s three year strategic plan. 5 Monitoring and intervention 5.1 The board, on behalf of the sponsor and the trust, has ultimate responsibility and accountability for standards and performance in each trust academy, for finances across the trust and for the trust s legal responsibilities as employer. 5.2 In or to minimise risk, the performance and improvement committee should report to every board meeting to provide regular updates on standards and performance in individual academies so that, where appropriate and necessary, early intervention strategies can be put in place if difficulties start to emerge and standards start to slip. 5.3 The chart appended to the framework indicates where such reporting is required. 6 Conclusion 6.1 This accountability framework is intended to provide clarity and enable effective and efficient making. It is not intended to be a comple document or to itemise every that needs to be delegated. Rather, it should provide the framework for making and demonstrate how the trust is managing risk and fulfilling its legal responsibilities effectively. 6.2 Pragmatically, as much operational making as possible should be formally delegated to board committees and the eecutive principal and his team so that the board can focus on the bigger strategic picture. 4

5 Hinde House Multi-Academy Trust Accountability Framework Appendi 1 Delegated making authority NB for the purposes of the table below, utive means the utive or one of his nominated officers to whom the utive has delegated responsibility; Advisory s mean the groups representing the interests of each academy in the trust. refers to s made either by the Performance and Improvement or the Finance and Resources committees in accordance with their terms of reference. X = making authority previous vested in governing bodies of maintained schools or delegated to headteachers/principals; X = legal requirement for the trust board to make ; X = trust for trust board to determine who makes Strategic Plans HHT objects, vision and values X X Reviewed annually in consultation with Advisory s HHT strategic plan including overall NAT targets and priorities X X Standards and pupil performance Individual academy improvement and development plans Agreeing individual academy targets Maintaining overview of pupil progress against targets Agreeing intervention plans X X In discussion with and Heads of School. Advisory s consulted X X In discussion with Heads of School and Advisory s X X In discussion with, Heads of School and Advisory s. Reported to board by eception X X In discussion with Heads of School, reported to Performance and Improvement 5

6 Curriculum and quality of provision Evaluate impact in terms of outcomes against targets for individual academies and Trust overall Ensure academy curriculum is broad and balanced and keep un review Ensure agreed curriculum is taught Fulfilling statutory requirements: RE; PE; PSHE; se ed. Etc; Pupil Premium X X P&I untakes evaluation and reports to Board with recommendations for strategic action as appropriate. Advisory informed of outcome. X X Board delegates responsibility to. Board is informed by eception and approves s about significant curriculum change. P&I receives regular evaluation reports on curriculum structure. Advisory s consulted. X X In consultation with heads of school. P&I informed by eception X X Board delegates responsibility to. Board is informed by eception and approves s about significant curriculum change. P&I receives regular evaluation reports on curriculum structure. Advisory s consulted. Implement curriculum X X In consultation with heads of school Determine learning programmes for individual pupils X X In consultation with appropriate staff 6

7 Homework policy X X Advised by. Reported to Board and Advisory s Collective worship Statutory requirement Monitor and evaluate curriculum policy and outcomes Responsible for standards and quality of teaching Changing length of school term or day Ensure legal requirements are met X X Reported to P&I and Advisory s X X Report to P&I and Board by eception X X In consultation and on advice from. Decision will have implications for employment terms and conditions. Therefore needs board approval X X Delegated by Board to. Pupil welfare Safeguarding policy X X monitors for compliance. Annual report to Board. Advisory s consulted and receives annual report for academy Behaviour policy X X monitors for compliance. Annual report to Board. Advisory s consulted and receives annual report for academy 7

8 Statutory requirement as set out in regulations section 51A of Education Act 2002 Review pupil eclusions X P&I to review s. Trust will need to set up an independent appeals panel. LAC policy and performance Board to receive annual report on eclusions across Trust consied in detail by P&I. X P&I to receive annual report on LAC performance across Trust. Advisory s to receive annual report for each academy. Report to Board by eception. Pupil Premium X P&I to receive annual report about impact and outcomes. F&R approves academy PP ependiture Board to receive annual report about PP impact and outcomes across the Trust. Se education policy X Secondary academies. P&I approve on advice from. School visits policy Needs to be Board policy because of insurance and risk issues 8

9 Information for parents School web site design sets house style and guidelines to be adhered to across all marketing materials but content to be developed by heads of school in discussion with Advisory s School prospectus Trust prospectus approved by Board. Individual academy prospectus approved by. Advisory s consulted. Admissions Ensure web site fulfils all statutory requirements Reporting to parents, parent meetings and parents visiting academy Trust Admissions Policy Admission of pupils with SEND in consultation with heads of school provides guidelines about format and frequency. P&I receives annual report about parental feedback. Advisory s consulted. Must be board approved as the admissions authority for all HHMAT academies. Should consult with individual Advisory s about oversubscription criteria for individual schools. 9

10 Finance Statutory requirements for Pupil Premium Company Law and Audit requirements Approve Trust annual budget Approve bottom line budgets for individual academies Approve schedule of financial delegation for academies Monitor ongoing financial management of budget Monitor academy budget surpluses and deficits Advised by and F&R and review to every Board meeting Advised by. No planned deficits are permitted without the epress permission of the Trust. Schedule of financial delegation for needs to be approved annually by the Board. reports regularly to F&R and Advisory s about individual academy budgets Reported to Board by eception during the year. Annual report of overall performance. Approve investment and recovery plans Board approves academy investment/recovery plans where the level of investment is over and above the allocated GAG. Monitored by Investigate potential financial irregularities Depends on issue. Normally would epect to investigate and report to F&R. If appropriate, board could commission eternal investigation. Approve HHT procurement policy Policy should determine maimum contract values for which particular procurement rules would apply. Should apply both to Trust centrally and to academies. Once policy is approved, /designated directors give approval for ten contracts 10

11 Establish charging policy for use of HHT premises, including all academies Board approves charging framework and principles. Within this framework, s for individual academies made by. Advisory s consulted Appoint HHT auditors Members and HHT Board receive annual audit report. Implementation of audit recommendations monitored by F&R Ensure Pupil Premium is used to raise standards of disadvantaged pupils Board receives an annual report that provides an overview of PP spend and impact. monitors for each academy. Advisory s informed about ependiture for each academy. Land and buildings Land sale/lease agreements Authority to sign leases/land sales could be delegated to but would need evidence of Board agreement Decisions about capital bids to EFA and capital ependiture on academy buildings Board to receive reports on significant capital developments and annual report on Trust estate. F&R to approve capital bids. Health and safety Policy Board to approve policy and review health and safety risk register annually. H&S operational s to be delegated to. 11

12 Employment issues Trade union relations Staffing structures Approve key employment policies (pay policy; performance management; staff reduction and redundancy; disciplinary and capability procedures and sanctions; equalities; DDA; pensions; references) TU recognition and facilities time Determining academy staff structures Board approves trust wide policies. Authority to implement delegated to. Directors will constitute disciplinary and appeals panels ensuring separation of engagement. Each panel to be constituted on a case by case basis. Board policy on general principles managed by and heads of school. In consultation with heads of school. As long as within budget, reported to F&R. Staff appointments Approve staff appointments Board appoints, SLT and heads of school. has delegated authority to appoint all other staff in consultation with directors and Advisory reps. Board approves appointments made by. Risk Approve the trust s risk policy Board approves risk policy and delegates responsibility to F&R to review and update risk register and report by eception to the Board 12