A Clerking Competency Compliance Audit
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A downloadable Word document based on the 2017 Clerking Competency Framework. Questions, prompts, and an opportunity self-review.
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A Clerking Competency Compliance Audit
- 1. Clerking Competency Framework Compliance Audit Fee Stagg NLG
- 2. 1 © SBW Governance www.sbwgovernance.co.uk Introduction Thisauditis basedonthe ClerkingCompetencyFrameworkpublishedbythe DepartmentforEducationinApril 2017. The openingparagraphof which states The DepartmentforEducationrecognisesthevalueof professionalqualityclerkingtogoverningboardsinmaintainedschools,academiesandmulti- academy trusts.Asanyonewho hasexperiencedprofessionalclerkingwill testify,it providesaninvaluablecontributiontotheefficiency,effectiveness, productivityandcomplianceof thegoverningboard.A professionalclerk worksin partnershipwiththechair to keepthe boardfocusedonitscore strategic priorities, providesindependentandexpertadviceandguidancetotheboardonits duties andfunctions,anddeliversadministrativesupportthatmakes everything worksmoothly.SirDavidCarter,NationalSchoolsCommissioner. It isworth remindingourselvesof the three core strategicfunctionsof governance andwhichunderpinthisaudit: 1. Ensuringclarityof vision,ethosandstrategicdirection; 2. Holdingexecutiveleaderstoaccountforthe educational performance of the organisationanditspupils,andthe performancemanagementof staff;and 3. Overseeingthe financial performanceof the organisationandmakingsure itsmoneyiswell spent. The toolkitissetout withinthe competenciesidentifiedinthe Frameworkandencouragesbothself-reflectionandevidence gathering. The auditis designedtobe filledinbythe Chairof the Board,the HeadteacherorPrincipal orCEO as appropriate andbythe clerk.Those questionswhichrelatetothe Board are highlighted. The audit isa personal view;youmaywishaddyourown actionsor developmentpoints. Fee Stagg fiona@sbwgovernance.co.uk
- 3. 2 © SBW Governance www.sbwgovernance.co.uk PART A 1. Aboutyouand your clerk – Clerkself-review –Appendix 1 2. The Role of the Clerk 3. Professionalclerkingtoenable effectivegovernance PART B 4. Knowledge,skillsandeffective behaviours Competency1:Understandinggovernance Competency2:Administration Competency3:Advice andguidance Competency4:People andrelationships Some of the keyDocumentsyouwill needtocomplete the Auditare Governance Handbook2017 CompetencyFrameworkforGovernance Clerkingcompetencyframework AcademiesFinancial Handbook2017 whatgoverningboardsshouldexpectfromschool leadersandwhatschool leadersshouldexpectfromgoverningboards publishedbythe NGA, ASCL andthe NAHT NolanPrinciples If you are a clerkand are completingthisaudityouwillalsoneed your jobdescriptionandthe National Governance Association offersasample jobdescription a set of minutes
- 4. 3 © SBW Governance www.sbwgovernance.co.uk By the time youhave completedthe toolkityoushouldcomplete ashortactionplanto helpyoudefine yourfuture clerkingneedsandanydevelopment pointsforyour clerk. Good Governance is Accountable, Transparent, Responsive, Equitable and Inclusive, Effective and efficient, Participatory and democratic and follows the rule of law and reflected in the minutes
- 5. 4 © SBW Governance www.sbwgovernance.co.uk Section1 : About Youand Your Clerk The DfE recognisesthatprofessional-qualityclerkingiscritical to the effectivenessofa governingboard infulfillingitscore strategicfunctions: 1. Ensuringclarityof vision, ethosandstrategicdirection; 2. Holdingexecutiveleaderstoaccountforthe educational performance of the organisationanditspupils,andthe performancemanagementof staff;and 3. Overseeingthe financial performanceof the organisationandmakingsure itsmoneyiswell spent. Professional-qualityclerkingisaboutmuchmorethantakingminutesto record thediscussionsanddecisionsof theboard.It is also aboutproviding governing boardswithexpertadviceongovernance,proceduresand complianceanddirectly contributingtoits efficientconduct. 1 One of the keyaspectsof effective governanceisaroundthe personal attributesandbehavioursof the Boardcollectivelyandthe individualswithinin. Before youcomplete the audititisimportanttoconsiderthe followingbehaviours2 .These canbe summarisedas committedtothe school or academyand to theirownprofessional development confidentinthe dischargingof the 3 core functionsof governance curiousinthe questionstheyask challengingandsupportive inequal measure collaborative andworkcollectively critical by undertakingregularself- review creative andinnovative 1 P4 of the ClerkingCompetency Framework 2 Governance competency framework page 7
- 6. 5 © SBW Governance www.sbwgovernance.co.uk The Board Has Evidence Impact Actionand NextSteps Undertakenself-reviewwiththe last12 months Yes No Completedaskillsauditwithinthe last 12 months Yes No Undertakenan External Reviewof Governance Yes No Clerkingwasnotedas Good Causingconcern Supportfroma National Leaderof Governance and/orNational Leaderof Educationinany capacity Yes No ProfessionalClerking Evidence Impact Actionand NextSteps The clerkhas a jobdescription Yes No The clerkis performance managed Yes No The clerkhas undertakenorattended training School based LA or MAT NCTL The Accredited Clerk Other The clerkattendsexternal briefings and feedbacktothe Board Yes No Section2 : The Role of the Clerk
- 7. 6 © SBW Governance www.sbwgovernance.co.uk All academytrustsand maintainedschoolsmustappointaclerkto theirgoverningboard.Thisissetoutinthe Articlesof Associationorin government regulations3 Thissectionof the Auditisto completedbythe Chairand Headteacher –the italicsare a sample answer Green– goodunderstandingandcandemonstrate expertise Amber– understandsandhas developingexpertise andtraining Red– some understandingandneedssupportandtraining Keyattributes Evidence RAG Actions– what we needtodo next Offersadministrativeand organisationalsupport The clerk managesthebusinessof the boardin aneffectiveandtimely manner Ensuregovernancefilesare up todate Offersguidanceoncomplianceand appropriatelegalandregulatory frameworks The clerk is cognisantwiththe GovernanceHandbookand AcademiesFinancialHandbookand guidanceofferedisaccurate Understandsthepotential consequencesof non-compliance Is able tospeakupwhennon complianceis an issue orcause for concern Whole Board training Advisesonproceduralmatters regarding theoperationof the Board Able toarticulate the board’slegal responsibilities andaccountabilities so thatall understand 3 http://www.legislation.gov.uk/uksi/2017/487/pdfs/uksi_20170487_en.pdf and http://www.legislation.gov.uk/uksi/2017/487/regulation/2/made
- 8. 7 © SBW Governance www.sbwgovernance.co.uk Undertakesprofessionaldevelopment and trainingandremainsup todate Certificatesshared Feedbacktothe Boardis beneficial andrelevant Recognisesimportanceof confidentiality Regularly remindsBoardsabout confidentialityandremains impartial; doesnotdiscussBoard businessoutsideof the meeting Respectsandunderstandsboundaries and ismindful of theirresponsibilities underequalitylegislationforexample The relationshipbetweentheChair, Head andClerk is key toeffective governance. Understandsthe impactof effective governance onthe outcomesfor childrenandyoungpeople Minutesrecord challengecorrectly; datais presentedin minutesclearly andaccurately Is knowledgeable aboutthe school context Understandsleadership structures,a key cohortdata,localcontext Is able tosignpostBoardsto appropriate externalsupportif necessaryorrequired Is knowledgeableaboutwhereto findsupport,trainingprovidersand hasknowledgeaboutCPD Remainsimpartial Is awareof boundarieswithinthe schoolto schoolsupportsystem Section3 : Professional Clerkingto Enable Effective Governance
- 9. 8 © SBW Governance www.sbwgovernance.co.uk Effective governance isbasedonthe 6 keyfeaturessetoutinthe Governance Handbook2017 andthe clerkhasa keyrole insupportingeachof the 6 features. 1. Strategicleadership 2. Accountability 3. People 4. Structures 5. Compliance 6. Evaluation Thissectionof the auditassessthe skillsandknowledge of the clerkin relationtothe 6 featureslistedabove. Strategic Leadership Behaviours Evidence RAG Action Supportand challenge the Chair Respectsboundaries Planningeffective meetings Organisational and administrativesupport Writingeffective minutes whichare accurate,clearand transparentandcapable of beingscrutinisedbyexternal parties Accountability Behaviours Evidence RAG Action Supportinggovernorstohold executiveleaderstoaccount Informationsharingand gathering
- 10. 9 © SBW Governance www.sbwgovernance.co.uk Complieswithreporting requirements eg registerof business interestcompiled,skills audits People Behaviours Evidence RAG Action Relationshipswithleaders Developspositiveworking relationshipwhichisstrong, respectful andeffective Welcomes challenge regardingbehaviour RelationshipswithBoard Structures Behaviours Evidence RAG Action Constitutionof the Board Understandsrolesegchair, vice chair,Associate Members Termsof office uptodate Advice onelections, Termsof reference UnderstandsScheme of Delegation Linkrole descriptors Offersadvice onhow governorscan knowtheir school better
- 11. 10 © SBW Governance www.sbwgovernance.co.uk Offersadvice asappropriate to Chair,executiveleadersand Board Compliance Behaviours Evidence RAG Action Governance requirementsof the organisation Legal frameworks Statutorypoliciesare in place Decisionsare clearly attributable Accurate reportsare kept External Reviewof Governance;Ofsted comments,LA Review,MAT level review Aware of requirementsof AFH, companyand charitylaw Works withthe CFO and COO, company secretary4 as appropriate Aware of the dutiesplaced uponthe Board under educationandemployment lawas appropriate Knows where to access relevantadvice and information 4 CFO – Chief Financial Officer,Chief OperatingOffice
- 12. 11 © SBW Governance www.sbwgovernance.co.uk Evaluation Behaviours Evidence RAG Action Summary
- 13. 12 © SBW Governance www.sbwgovernance.co.uk Appendix Clerkselfreview If you are a clerka sample actionplanfor a clerkisgivenbelow Action Stepsto be taken Success criteria Impact Progress Processchecklist ensure thatFGB agendas reflectbothrequirementsof the Authorityaswell asthe local school context Attendthe ClerksBriefing, developrelationshipwith CoG and HT toensure relevantinfoisdisseminated That the minutesreflect the school contextand are not‘anywhere’ minutes That there isan improvement inthe qualityof minuteswhich can be seenbyOfstedif required. That thisis clearlyvisible toany LA QA ongoing Before youcommence workingthroughthe toolkitthinkabout Evidence Action Are you an independentclerkie youdonotwork inthe school youclerk? Have you got a jobdescription? Do youhave anotherrole in the school or academy? Have you got a specificandseparate job description What do youunderstandyourrole tobe? Doesit alignwithyourcurrentjobdescription?