Effective governance for Independent Training providers march 2020

1. Effective Governance for
Independent Training Providers
Safaraz Ali
CEO
Pathway Group

2. What do we know:
• Governors must be seen to be challenging leaders and managers
• They need to hold leaders and managers to account
• They need to be able to support leaders and managers, often this
lacks and the spotlight is more on the “challenge”
• The Governors should be knowledgeable and have good awareness
• Should be able to rely on Data & reports and ensure its unbiased
(direct access for information to MIS/Finance)
• Need to offer ‘independent scrutiny’

3. What can we conclude:
•We need to be seen to have
governance arrangements in place
•We need to ensure that our
governance arrangements are
effective

4. Some OFSTED OBSERVATIONS
• Lack of awareness from Leaders about the quality of teaching,
learning and assessment.
• Insufficient checks to hold Leaders to account for ensuring high-
quality provision.
• Inadequate governance arrangements to provide sufficient challenge

5. What does Effective Governance look like?
• Strong emphasis on setting a clear strategic purpose and direction
• Governors have suitable experience, skills and personal qualities
• Effective relationships between governors and senior leaders
• Relentless focus on achieving the highest standards
• The ‘right’ mix of challenge and support

6. What about Ineffective Governance?
Inadequate challenge and scrutiny of
Leaders actions to raise standards and
performance.

7. Different Models of Governance and their
suitability for Independent Training Providers
•Patronage Model –
Fundraising Capacity - 
•Co-operative Model: No
identifiable CEO - 
•Traditional Model - ✓
•Policy Board Model
(Carver Model) - ✓
•Advisory Board Model -
✓

8. Typically accepted model of governance
but not generally suited to Independent
Training Providers
Governing
Body
Finance
Committee
Quality
Committee
Audit
Committee
Remuneration
Committee
Firstly lets starts with traditional model, this is
usually the model that FE Colleges work to and
the focus is on the process and will look at
• Instrument & Articles
• Typically 16-20 members (volunteers)& a
Clerk
• Wider Stakeholder focussed
• Meet 4 – 5 times a year
• Fixed term of office
• External Chair and Vice-chair
• Transparency - key principle
• Could also cover Estates, HR, Standards,
Special Committee etc.

9. ACCEPTED MODELS OF GOVERNANCE
• Typically 5 - 10 members (clerk?)
• Skills/ Knowledge orientated
• No/ Little devolution with MD
tasked to deliver aims
• More likely to include Non-
Executive Directors (NEDs)
• Monthly meeting (within reason)
• One body deals with everything
• Policy Board Model (Carver
Model) (focus is on the
objectives)
BOARD

10. Other Models of Governance and
more suited to Independent Training
Providers
The Advisory Board Model – this is effectively “Non-Executive Directors” and are usually
recruited for expertise:
• There are 2 main scenarios where this can be effective:
• Scenario one: Where the Directors/ Board are not close enough to the business
• Scenario two: Where the Directors/ Board are too close to the business

11. The Advisory Board Model (NEDs)
Scenario one:
Where the Board/Owning
Body/Directors are not close enough to
the business:
• A council/college owned business
setup to deliver training
• Likely to include NED(s) and likely to
be someone who has operated at a
senior level but with detailed
knowledge and skills aligned to the
delivery model
Board
Advisory Board

12. The Advisory Board Model (NEDs)
Scenario 2: Directors too close and therefore possibly
lack of independent challenge
• These are usually Owner Led Training providers
• Owner(s) likely to work in the business day-to-day
• Needs to create conditions for challenge without
devolving decision-making powers
• The Advisory Board Members (NEDS) act as trusted
advisers/critical friends
• NEDs could be from a peer organisation or
someone with considerable knowledge and
expertise
Owner Director
Advisory Board

13. The Terms of Reference for the Traditional
Governing Body
This would usually be derived from:
• Instrument & Articles of Government
• Sets out the Constitution (Instrument) and Conduct (Articles)

14. Carver and/or Advisory Model
Terms of Reference in general
These could include:
• Purpose
• Objectives/ Responsibilities
• Quorum & attendance expectations
• Accountability
• Frequency of Meetings (or Meeting Schedule)
• Review Mechanism

15. KPIs for Traditional Governing Body
These could be:
• Contract Delivery
• On-Programme Performance
• Quality improvement
• Learner Outcomes and any gaps
• Learner, employer and staff satisfaction
In addition there will other measures depending on situation and
priorities.

16. General Code of Conduct for Traditional
Model
Example of wording for this could be that the Board Member should:
• Support the aims and objectives of….
• Promote the interests of…….
• Work co-operatively with other members of…….
• Acknowledge that differences of opinion may arise – and decisions are made
by a process
• Acknowledge as a member they have no legal authority outside the meetings
• No right to make statements or express opinions on behalf of the Board or
members

17. General Code of Conduct for Traditional
Model continued…
• Resist any temptation or outside pressure to use the position of member for
personal benefit
• Declare openly and immediately any personal conflict
• Respect the confidentiality of discussions
• Take or seek opportunities to enhance his or her effectiveness through
participation in training
• Give priority to attendance at meetings
• Agree to work to the Nolan Committee's recommendations on Standards in
Public Life 1996.

18. The Nolan Principles – We all must get to know
these
• Nolan Committee's recommendations on Standards in Public Life 1996 are:
• SELFLESSNESS - Take decisions solely in terms of the public interest.
• INTEGRITY - Not place themselves under any financial or other obligation
to outside individuals or organisations that might influence them in the
performance of their official duties.
• OBJECTIVITY - In carrying out public business, including making public
appointments, awarding contracts, or recommending individuals for
rewards and benefits, holders of public office should make choices on
merit.
• ACCOUNTABILITY - Accountable for their decisions and actions to the public
and must submit themselves to whatever scrutiny is appropriate to their
office.

19. Nolan Principles continued:
• OPENNESS - Should be as open as possible about all the decisions and
actions that they take. They should give reasons for their decisions
and restrict information only when the wider public interest clearly
demands.
• HONESTY - Holders of public office have a duty to declare any private
interests relating to their public duties and to take steps to resolve
any conflicts arising in a way that protects the public interest.
• LEADERSHIP - Holders of public office should promote and support
these principles by leadership and example.

20. Code of Good Governance for
Independent Training Providers by AELP
This was produced by the Association of Employment & Learning Providers (AELP)
in September 2018 and is a leading document and guidance for the sector
There are Seven Key Themes:
Strategy and Leadership
Corporate Structures, Accountability and Roles
Financial Strategy and Audit

21. Code of Good Governance for Independent
Training Providers continued…
Teaching and Learning and Outcomes for Learners
Equality and Diversity and Safeguarding
Transparency
Effective Governance
It is recognised that this code as it stands is very unlikely to meet the
needs of all training providers but it does encourage the right
conversations and questions

22. The AELP Code of Good Governance
• This is based on a series of expectations
• Putting the learner, apprentice and employer first
• Promoting high expectations and ambitions for learners, apprentices and staff
• Listening to learners, employers and staff
• Promoting inspirational training, teaching and learning and assessment
• Creating a safe environment for learners and apprentices to train, learn and develop
• Providing strong strategic leadership and challenge to the senior team
• Demonstrating accountability to all stakeholders, including publishing accurate and
timely information on performance
• Ensuring the achievement of equality of opportunity and diversity throughout the
organisation.

23. Evidencing Governance and its Impact
• Ofsted Inspectors are entitled to see all governing body minutes and
may use them to check if governors are carrying out their role
properly.
• Minutes from governing body or committee meetings are a great
opportunity to demonstrate how the Board are both challenging and
supporting the leadership team.
• example, if a Leader has presented a report, please ensure the
minutes show effective and the ‘right’ questions being asked

24. Some issues in a general context.
• Knowing how to hold leaders to account in the best way for all
• Understanding and working at a strategic role as opposed to the
operational role
• Knowledge gaps: Keeping up to date with changes in Learning, the
ESFA and Skills sector and of course Ofsted expectations
• Agreeing the relationship between Board, Leaders and other staff

25. Other issues & challenges to overcome
• Overall an ineffective and weak
Governance due to:
• Not enough challenge
• Too much challenge which
become unproductive
• Unable to provide the right
support due to: lack of knowledge,
skills, understanding or mindset
• General poor systems and
procedures of governance
• Not enough awareness
Governance arrangements are
inadequate. Leaders and
managers are not challenged
rigorously or held to account
for all aspects of the provision.
Leaders, managers and board
members do not know enough
about the quality of teaching,
learning and assessment.

26. Ofsted priorities, some general themes:
• Safeguarding with particular focus on new and emerging threats
• Learners’ English and mathematics development – including
strategies to extend the learning and understanding for those learners
who already hold the relevant GCSEs.
• Impact of teaching, learning and assessment and how it is being
improved.
• The transition in apprenticeship from frameworks to standards & the
move to end-point assessment,
• How are providers are ensuring the requirement for 20% off the job
training is being met.

27. Ofsted priorities and focus.
• Outcomes – continued increased emphasis on the progress of current
learners and correctly recording their starting points
• IAG particularly related to local employment opportunities
• Effectiveness of leadership and governance – improving leaders’ skills
in evaluating performance.
• Progress and progression – learners’ achievement of expected levels
and skills development; progression and destinations; progress (from
start of journey); quality of IAG; standards of learners’ work;
development of employability skills.
• Careers guidance & Labour Market opportunities

28. Ofsted Priorities from the new Education
Inspection Framework
• Inspectors will use documentary evidence that the provider supplies
to evaluate the impact of the work of leaders, managers and
governors, both currently and over time.
This includes:
• meetings with leaders and those responsible for governance, to
evaluate how well they fulfil their statutory duties, example -Equality
Act 2010, safeguarding and the ‘Prevent’ duty
• evidence that demonstrates the how you are ensuring continuous
and sustainable improvement

29. Ofsted Priorities from the new Education
Inspection Framework continued…
• responses to learner, employer and parent/carer questionnaires.
These will be particularly useful for judging the culture that leaders
and managers have established
• any evidence the provider has from regularly surveying the staff and
the way in which leaders and managers have responded to concerns
raised

30. Is Governance Effective?
• Can you can answer the following ……..
• How has teaching and learning been improved through staff CPD?
• How responsive is the provision to local and regional needs?
• How well is equality of opportunity assured?
• How well are learners safeguarded - protected from harassment, bullying
and discrimination when they are in employment or on work experience?

31. Final Thoughts,
Reflections, and any
Questions?
Email: safaraz@pathwaygroup.co.uk or
https://www.linkedin.com/in/safaraz/