Blake Lapthorn Academies conference, Southampton - 18 June 2013


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Blake Lapthorn's Education team hosted a summer conference for Academy schools and those looking to convert to academy status. The conference provided guidance and advice with the guest speaker being Zenna Atkins, former head of Ofsted.

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Blake Lapthorn Academies conference, Southampton - 18 June 2013

  1. 1. Elizabeth DavisPartner and Head of Schools conference for AcademySchools18 June 2013New Kings Court, Southampton#BLacademiesCon
  2. 2. WelcomeZenna Atkins
  3. 3. • Who I am• The government policy landscape• Grass routes responses• Threats and opportunities• Are we hitting the policy andmissing the pointWhat I hope we will cover today
  4. 4. The Government Policy agendaSmall state - Localism• Financial stability– Debt reduction– Quantitative easing– Cuts• Decentralisation– Health– Education– Planning• Local action– Big Society– NCS– Volunteering– Community empowerment• Customer is king– Customer centric– Customer pays• Stop doing– NDPBs– Functions– Services• Cultural shift– Market– Competition– Every one is a better provider thanthe public sector– Commissioning not provision– Scrutiny
  5. 5. The Vision•Every school in England - Academy statusshould become “the norm” Moving from Stateto Charity Governance•New schools – Free Schools•Local Authorities – commissioners, limitededucation involvement•New national curriculum or is it an oldnational curriculum•New GCSE’s, AS,- new performanceframeworksNational overview of the government Policy on Education  
  6. 6. • Types of Academies• Sponsored• Converter• University Technology College• Studio Schools• Free School• Technical Academy• Others• Trust• FoundationOverviewSchools no longer run by the state
  7. 7. • Free Schools• Proposed to DfE by parents, community groups,new schools• University Technical Colleges (UTCs)• For 14-19 year olds• Vocational & Technical• University led• Local employer engagement• Studio Schools• 14 to 19 tailored• Target disaffected young people• Technical Academies• Like UTC’s but 11 to 18OverviewOther Academies
  8. 8. • National leaders of education (NLEs)• Outstanding head teachers• With the staff in their schools support schools inchallenging circumstances• NLEs work to increase the leadership capacity ofother schools to help raise standards• Attempting to re create networksOverviewSchool improvement and support
  9. 9. • Teaching Schools• National network of teaching schools,modelled on teaching hospitals• Outstanding schools funded to lead the training andCPD of teachers and heads• Training school and teaching school modelsbrought together• Leading responsibility for providing and qualityassuring ITT in their areaOverviewSchool improvement and support
  10. 10. • Collapse of LA education services• Non academies top sliced for nothing• Unfair funding• Messed up admissions and allocations• Lost disaffected children• Lack of support resources• Reduced affordability• No crisis support• Isolated leaders• Risk averse governance• Going bust• No system for managing failure• Isolated Primary schoolsThreatsof the new schools environment
  11. 11. • Re-engineer system and schools• Freedom form interference• Collaboration• Creating new economies of scale• Ability to innovate• Invest in what you want not what youare given• Manage the work force more robustlyOpportunitiesof the new schools environment
  12. 12. Collaboration• Why collaborate?– Save money– Share knowledge– Share expertise– Learn from others mistakes– Exercise greater influence – Benchmark– Easier to innovate – Address entrenched problems– Strength in numbers – reduces risk– Access to capital
  13. 13. Ways to deliver and structurecollaboration• Commissioning agreements• Joint ventures• Clusters• Soft and hard federations• Shared services agreements • Joint contracts• Operating companies 
  14. 14. • Power shift• User driven learning• User lead learning• Any time, anywhere learning• Custom made learning• Living credible CV’s• Global teaching global learning• Employer needed skills• Application of information and KnowledgeGlobal education the future trendsFor today its all about structure and standards, fortomorrow its about…
  15. 15. Never lose sight of the important• Delivering the best and relivant education for the pupils• Getting the best results• Attracting, developing and keeping the best teachers• Facilitating parental engagement • Making the most of the money• Keeping it simple 
  16. 16. Thank YouZenna
  17. 17. Pupil and staff misconductTim
  18. 18. Pupil MisconductDoes the school have a policy?If so, stick to it..!The Head needs to be able to support their decision byrelying on evidence obtained so:- Investigate and obtain witness statements- Decide if / when there is to be a meeting with P- At the meeting - Allow P to have their say / have sight ofthe evidence- Are you going to permit P to be represented?- Who by? Do you want lawyers involved?
  19. 19. Pupil Misconduct – the initial hearingThe pupil should know:- What they are alleged to have done- What the evidence is against them- By which time they must respond- When the hearing will be- That they will be given an opportunity to presenttheir case- What criteria will be applied in determining‘sanction’.
  20. 20. Pupil MisconductWhat happens if a pupil is excluded?Regulations need to be applied – from 1st September2012 these are:- School Discipline (Pupil Exclusion and Review)(England) Regulations 20123 stage process:- Head teacher- Governing Body- Independent PanelWhat about the position for Academies?
  21. 21. Staff MisconductFairness reigns supremeFirst considerations will relate to safeguarding…Do you need to notify Local Authority DesignatedOfficer (LADO)?Do you need to notify the Police?Co – operate with the investigations of otheragencies
  22. 22. Staff MisconductProcedure will be all about fairnessStaff must know:- what allegations they are required to meet- by which time (if at all) they are required to respondbefore any meeting- when such a meeting will be- that they will have an opportunity to test the evidence- standard of proof to be applied- sanctions against published criteria
  23. 23. Pupil and staff misconductTim
  24. 24. The Regulator – teacher standardsChris
  25. 25. RegulatorsGeneral Teaching CouncilTeaching AgencyNational College for Teaching and LeadershipDisclosure and Barring Service
  26. 26. NCTLRequirement to refer?Case investigation and progressionProfessional Conduct Panel HearingsTeacher Standards
  27. 27. Disclosure and Barring ServiceWho?What is their role?Duty to refer - Section 35 SVGA 2006Duty to Co-operate – Section 37 SVGA 2006 Schedule1 sets out what information needs to be provided but:- My advice would be to respond by sending what hasbeen specifically requestedOffence following non referral / compliance withoutreasonable excuse punishable with a fine (Level 5)
  28. 28. The Regulator – teacher standardsChris
  29. 29. A practical approach to contractsMary
  30. 30. Key basicsParties– are the details correct– how do you checkDates– date of agreement/signature– start dateParties’ obligationsIntellectual PropertyConfidentialityData ProtectionGoverning law, jurisdiction, disputesIs the agreement complete
  31. 31. Goods/ServicesFully and accurately describedDo they reflect what you’re expectingKPIs/standardsAcceptance testingExpert help
  32. 32. Financial termsPrice/method of calculationPayment– when– lump sum/instalments– in advance/arrearsInterest on late paymentChanges to price
  33. 33. Term/TerminationFixed/Indefinite TermPeriod of noticeReasons for termination– default/breach– ‘insolvency’– other
  34. 34. LiabilityLikely loss/damageExclusions and limitations of liabilityDirect, indirect & consequential lossFinancial cap
  35. 35. Final thoughtsAssessment of riskUse of standard contractsContract management
  36. 36. A practical approach to contractsMary
  37. 37. The basics of hiring and firingemployeesDebbie
  38. 38. HiringIdentify vacancy, prepare job description and personspecificationAdvertise vacancy appropriatelyStandard application processShort listing and interviewingOffer of employment : conditional?
  39. 39. HiringDocumentation:-1.) Statement of particularsLegal requirement within 2 monthsStatutory informationOR2.) Contract of employment/service agreementMore comprehensive3.) Handbook : contractual/non contractual
  40. 40. When things go wrongEmployeeGrievance process:– Raise informally/formally– Meeting and decision– Appeal– Right to be accompaniedEmployerDisciplinary process:– raise informally/formally– Meeting and decision– Appeal– Right to be accompanied
  41. 41. FiringACAS Code : +/- 25% damagesDisciplinary policyGeneral principles of fairnessFair reason+Fair procedure↓Fair dismissal
  42. 42. FiringUnfair dismissal : potentially fair reason– Conduct– Capability (performance or ill health)– Redundancy– SOSR– IllegalityFrom April 2012 : need 2 years continuous servicealthough are exceptions
  43. 43. FiringExit packages– A claim or threat of a claim– Is it in the interest of the Academy?– Considered assessment of circumstances
  44. 44. Practical GuidanceReview recruitment proceduresCheck application proceduresCheck employment rules and proceduresConsider issues of discrimination in relation totraining, promotion, access to benefits, dismissals etcTraining
  45. 45. The basics of hiring and firingemployeesDebbie
  46. 46. Current and future challenges inrelation to Pensions(and some crystal ball gazing)Adrian LambPartner and Head of Pensionsand Trusteeship
  48. 48. A =AcademiesAgeing populationAuto enrolmentActuarial valuationsAdministering AuthorityAssetsAggregation (pooling)Alternatives andadjustments to TPS andLGPS?
  49. 49. Life expectancy rises by 44 days in just one year
  50. 50. Pensions issues1.) Existing teaching staff2.) New teaching staff3.) Existing non-teaching staff4.) New non-teaching staff5.) Funding the past6.) Paying for the future7.) Workers (not employees) and auto enrolment8.) Flexibility?9.) Levelling down?
  51. 51. Pensions - Some things stay the same butsome are quite differentExisting staff allowed stay in TPS or LGPS - withassociated costsTPS is unfunded but costs still have to be met!LGPS– Pick up the tab for the past– Possible separate calculationsPooling may be possible for now but ….Different approaches by different councils?Oxfordshire consultation, others doing the same/similarNew non-teaching staff allowed to join LGPSNo obligation to stay that wayWhat does the future hold?
  52. 52. Pooling won’t cover everythingIll health – insurance option but otherwise expensiveSpreading periodWon’t get all the benefits (no stabilisation benefit)Early retirements
  53. 53. Auto enrolment – why has it been introduced?UK workforce not saving enoughIncreased longevityState pension insufficientStakeholder (current duty)
  54. 54. What is the new employer duty and whodoes it apply to?All UK employersAuto enrol all eligible jobholders into a qualifyingscheme– workers (not just employees)– aged between 22 and State Pension Age (SPA)– earning enough to pay income taxWaiting periodPay contributions
  55. 55. Jobholders and entitled workers“eligible jobholders”– Workers aged between 22 and SPA earning over taxthreshold“ineligible jobholders”– Workers aged between 16 and 21 or SPA and 74and/or earning between LEL and tax threshold“entitled worker”– Workers earning less than LELMonitor worker statusMonitor pay levels, variable hours contracts, etcContractors, agency workers, etc
  56. 56. How will employers comply?What is a qualifying scheme?Occupational or personalQuality standards– DB = minimum benefits – LGPS and TPS OK– DC = total 8% contribution of “qualifying earnings”4% worker contribution3% employer contribution1% tax relief– Qualifying Earnings – between LEL and UAP– Contracting out ceasing complicates matters butshould be OK if stay with LGPS and TPS
  57. 57. The obvious questionsHow many will opt-out?What will 8% of Qualifying Earnings buy atretirement?How many 22 year olds will have a 46 yearcontribution history at State Retirement Age?What will the 2017 review bring?– Compulsion?– Increase in employer contributions?– Increase in member contributions?– Widening of Qualifying Earnings definition?60
  58. 58. What do I get for my money?Median earnings in the UK for full time workers end 2011 -£24,024 p.a.8% of qualifying earnings (£24,024-£5,564) are £1,477 paIgnoring pay growth (just to keep it simple) but adding in 3.5%real investment growth net of charges (broadly, SMPIassumptions) Gives a fund after 40 years of saving of £124,864Which, today, would buy a 65 year old male a joint life, inflationlinked annuity of….But rich people live longer!A 65 year old male retiring today, with a pot of £1,500,000 - theLifetime Allowance, could buy a joint life, inflation linked annuityof….61£ 307 per month (just over 15% of salary)£ 2,831 per month (£33,972 per year)Annuity rate sources: Money Advice Centre, Comparative Tables
  59. 59. …phasing in defined contributionsUp to Oct 2017 = 2% (1% employer contribution)Up to Oct 2018 = 5% (2% employer contribution)Oct 2018 onwards = 8% (3% employer contribution)
  60. 60. And other benefits/options?Salary sacrifice – NI savings but current law preventsLife assurance – separate/insured?Flexible benefits – lifestyle choices, etcLong term sickness/ill health early retirementPrivate medical insuranceOther savings?Affinity group benefits?
  61. 61. Pensions and other benefits for Academystaff - the issues, challenges and optionsTPS and LGPS for existing staff … and for allnew staff?Unknown liabilities for the past – pooling v.individual costsUncertain costs for the futureWill you be a winner or a loser?Flexibility?Auto enrolment – cost savings v. administrativecomplexityOpting out and under provisionDifferentiation, e.g. flexible benefits andworkforce segmentationOne size may not fit all!
  62. 62. Current and future challenges inrelation to Pensions(and some crystal ball gazing)Adrian LambPartner and Head of Pensionsand Trusteeship
  63. 63. Health and safety issuesJohn MitchellPartner, Regulatory practice
  64. 64. TopicsAsbestosWorking at heightSchool tripsWork experience
  65. 65. Asbestos management for schoolsStill a significant problem for schoolsMore than 14,000 schools were built between 1945and 1975 when use of asbestos was at its heightThe Department of Education estimates 75% ofschools have some buildings that contain asbestosAny building built before 2000 can contain asbestos
  66. 66. Consequences of poor asbestosmanagementSherbourne School for Boys - fined £60,000 inrelation to prosecution brought by the HSE.Cost of decontamination - an IT cable was installedthrough a ceiling void contaminating the majority ofthe ceiling voids throughout the building. The cleanup cost was £280,000.During electrical rewiring over the summer,contractors were seen with bags of asbestos waste.Asbestos contamination had spread through thewhole school. It cost the school and council £4.54million as a direct result of the contamination.
  67. 67. When it becomes a riskOnly when fibres are released into the air andbreathed inCan be released by vandalism, accidental damage oras materials deteriorateThrough maintenance work, repairs or improvementsFound in boilers, pipework, underground ducts andservice risersPartitions or cladding of steel framed buildings, fumecupboards and window and door surrounds
  68. 68. Control of Asbestos Regs 2012Duty on those responsible for maintenance or repairof premisesNeed to identify where it is, its type and conditionAssess risks – is it likely to be disturbedManage and control the risks
  69. 69. Who is the duty holder?For academies, it is usually the academy trust.Where budgets for building management aredelegated to the school by an academy trust, the dutyto manage is shared between the school and thetrust.The extent of the duty depends on the nature of theagreement and the responsibilities for repairs andmaintenance.Where duty is shared, cooperation andcommunication is key to effective management.
  70. 70. What should we have?A survey: conducted by a qualified asbestos surveyorManagement survey – for normal occupation and useRefurbishment survey – when upgrading, refurbishingor demolishingA Register – takes information from the survey andrecords in a shorter more accessible format
  71. 71. Asbestos Management planWho is responsible for the management of asbestosRegisterSchedule for monitoring condition of asbestosWhat, when, howHow risks will be managed
  72. 72. Information, instruction and trainingAny one whose work could foreseeably expose themto asbestosAny one supervising the aboveMaintenance peopleBasic awareness for staff i.e. not to disturb ordamageKnow to report for example if damage to ceiling orfloor tiles
  73. 73. GuidanceAsbestos Management in Schools guidance from thedepartment for educationAsbestos management checklist for schools website
  74. 74. The meaning of “work at height”Work at Height Regulations 2005: to be “work atheight”, the work must satisfy two conditions:1.) It must involve:- working in any place, including a place at orbelow ground level; or- obtaining access to or egress from such a place,(except by a staircase in a permanentworkplace); and2.) The employee must be somewhere where theycould fall a distance liable to cause personal injury.
  75. 75. Work at height – practical examplesStanding at higher than ground level to:– put up displays (common incorrect solutions are desksor chairs)– close windows (a common incorrect solution is a stool)– carry out repairs and maintenance work, often usingladdersMost of these would involve falling a height of far lessthan two metres, yet the risk of injury can be great
  76. 76. Work at height – the legal hierarchy1.) Avoid work at height if it is reasonably practicable tocarry it out safely not at height; otherwise2.) Carry out the work at height from an existing place;otherwise3.) Provide sufficient work equipment for preventing afall occurring, otherwise, if that equipment does noteliminate the risk of a fall occurring4.) Provide sufficient work equipment to minimise:– the distance and consequences of a fall; or where it isnot reasonably practicable to minimise the distance– the consequences
  77. 77. Work at Height – how things go wrongBhatt -v- Fontain Motors (July 2010)Claimant employed by car workshopDefendant stored car bumper kits in a loft space thatwas difficult to accessAccess limited to the claimant and two othersSafe system of work was institutedClaimant accessed the loft in admitted breach of thesafe systemClaimant fell and was injuredIssue: was the Defendant liable given that theClaimant had admitted failing to follow the system?
  78. 78. Work at height – other obligationsEnsure that work at height is– properly planned– appropriately supervised– carried out in a manner which is safeSelect appropriate work equipment in accordancewith the criteria in the regulationsProvide training and instructionNB this list is not exhaustive
  79. 79. Work at height – practical suggestionsFor low level work the HSE suggests:– “elephant foot” stools– kick step type stools– low steps with hand railsGenerally, the HSE suggests that ladders arepermissible if:– the use of more suitable work equipment is not justifiedbecause of the low risk and short duration (between 15and 30 minutes depending upon the task)– Schedule 6 of the regulations is observed
  80. 80. Work at height – additional resourcesSchools work at height flowchart work at height practical guidance health and safety checklist
  81. 81. School trips and outdoor learning activitiesNovember 2011: Teacher voice survey - asked ifhealth and safety requirements had got in the way oftaking pupils on school trips1,500 teachers36% felt health and safety requirements got in theway of taking pupils on educational trips and visits toa great extentA further 41% to a small extentBoth HSE and DfE anxious to tackle myths aboutlegal action
  82. 82. HSE: tackling the Health and Safety mythsHSE published a policy statement confirming thatthey fully support schools arranging a wide range ofschool activities and that it wants to encourage allschools to remove wasteful bureaucracy imposed onthose organising trips and activities.Focus is on how real risks are managed and not onthe paperwork.Prosecutions only arise from the most seriousbreaches of the law and are extremely rare – 2 in 5years.Civil claims for compensation are a separate issue.
  83. 83. Planning for a school tripFocus on real risks when planning trips – not risksthat are trivial and fancifulHave proportionate systems in place so that tripspresenting low risk activities are quick and easy toorganise and higher risk activities (such as thoseinvolving climbing, caving or water based activities)are properly planned and assessed.Take a common sense and proportionate approach.Case studies on HSE website.
  84. 84. Example of Managing RiskCase study from HSE website: 103 year 11 pupilstravelling from Dorset to London’s East End as a partof the urban environment aspect of their humangeography GCSE studies.As part of the planning they considered:– Travel disruptions– Pupils (and tickets) getting lost or becoming separatedfrom the main group– Pupils becoming ill or how injuries might occur– The impact of bad weather– Contingency plans
  85. 85. Management of the RisksTravel arrangementsCommunicationSupervisionEmergency proceduresBasics
  86. 86. Parental consent for all offsite activitiesWritten consent from parents is not required forpupils to take part in the majority of offsite activitiesorganised by a school during school hours and are anormal part of a child’s education.Parents should be told where their child will be at alltimes and of any extras if it is required.
  87. 87. Parental consent for all offsite activitiesWritten consent is usually only requested for activitiesthat need a higher level of risk management or thosethat take place outside school hours.DfE one-off “consent form” which schools can askparents to sign when a child enrols at the school. out rather than opt in.
  88. 88. Work experience – role definitionsEducation employer– The governing body of the academyEducation establishment– The academyWork experience organiser– The agency organising the work experience, e.g. theacademy, an EBP, an LEA etcPlacement provider– The organisation where the work experience will takeplace
  89. 89. Work experience – the basics part 1The board must ensure that no non-employee isexposed to risks to their health and safety as a resultof the academy’s conduct of its undertaking (s.3HSWA 1974)The people to whom this duty is owed includesstudentsIf it is the practice of the academy to organise orrequire students to have work experience, the workexperience is part of the academy’s undertakingThis duty cannot be delegated
  90. 90. Work experience – the basics part 2All your students will be “children” within the meaningof the lawAnyone on work experience is regarded as anemployeeThis means that all the rules relating to theemployment of children and young persons apply, inparticular:– Prohibited placements– Young person risk assessment
  91. 91. Work experience – implications of the s.3 obligationif an EBP or equivalent is being usedThe academy must ensure that:– The organiser is competent– The organiser will make the necessary arrangementsfor assessing the suitability of placements– It provides the organiser with information about thestudents to enable it to manage their health and safetyin the placement– Students are properly briefed on what to expect and toprovide feedback
  92. 92. Work experience – implications of the s.3 obligationif the academy is the organiserIt must ensure that:– the placement provider complies with health and safetylaw– students are not exposed to risks to their health andsafety– placements are suitable in terms of welfare and healthand safety– the students will not be undertaking any prohibitedactivities– visiting school staff are not exposed to risk
  93. 93. Work experience – additional resourcesHSE guidance (currently under review):– Young Workers:– guidance on the employment of children:–
  94. 94. Health and safety issuesJohn MitchellPartner, Regulatory practice
  95. 95. The Governance yearLiz
  96. 96. What will we be covering in this session?The fundamentals– Articles of Association– Filing requirements– Holding meetingsGood governance– What makes an effective board?– Financial controls– Decision-makingDuties and responsibilities of Directors/GovernorsTaking on other schools – key considerations
  97. 97. The fundamentals – Articles of AssociationWhy are your Articles important?What do the Articles cover?– Objects and powers– Restrictions on benefits– Members– Directors (multi) / Governors (single)– Conflicts of interest– Administrative provisionsMaking changes to the Articles
  98. 98. The fundamentals – filing requirementsAnnual ReturnAccounting requirementsDirectors– Appointments and retirements– Changes to Director detailsCompany secretaryChanges to your Articles of AssociationFilings with the EFA
  99. 99. The fundamentals – holding meetingsLaw of meetingsDifferent types of meetings– Board (i.e. Directors / Governors)– General (i.e. members)AGMsFollow the Articles– Notice– Written resolutions– Who is entitled to attend/vote– Quorum– Majority required
  100. 100. Good governance – an effective boardCollectively responsible– Performing well, solvent, compliant– Aware of legal responsibilitiesActing prudently to protect assets and propertyManaging and mitigating riskEquality and diversityInternal controls, policies and proceduresGetting the right mix of skills and experienceDefined roles and responsibilities
  101. 101. Good governance – financial controlsFundamental duty to protect the property and secureits application for the objectsGuard against fraud and mismanagement with properfinancial procedures– Setting strategy– Approving and reviewing budgets– Control over income and expenditureStructure for areas of responsibility, lines of authorityand lines of reporting
  102. 102. Good governance – decision-makingCollective decision-makingDelegation– Using committees– Responsibility remains with Directors/Governors– Terms of reference– Reporting back to the Directors/GovernorsManaging conflicts of interestDifficult decisions– Careful process– Professional advice
  103. 103. Duties and responsibilities of Directors /GovernorsDuty of care– Act in best interests of Academy Trust Company– Act reasonably and prudently in all matters– “Exercise such care and skill as is reasonable in thecircumstances”– Deciding policy, strategy and plansCompliance– With the Secretary of State’s requirements– With the lawDirector / Governor training
  104. 104. Taking on other schools – key considerationsOverall responsibility for the MATImpact on existing school(s)Due diligencePractical considerations– Consistency and streamlining– Staffing considerationsFinancial and risk awarenessLocal governing bodies– Schemes of delegationSponsored conversions
  105. 105. Any questions?Liz