Glasgow Kelvin College Externally Facilitated …...Final issued: 07 March 2017 Glasgow Kelvin...

Glasgow Kelvin College

Externally Facilitated Effectiveness Review

Draft issued: 06 March 2017

Final issued: 07 March 2017

Glasgow Kelvin College Externally Facilitated Board Effectiveness Review

CONTENT

Page No.

Section 1 Background 1

Section 2 Scope, Objectives and Overall Findings 1 - 2

Section 3 Audit Approach 2 - 3

Section 4 Summary of Main Findings 3 - 4

Section 5 Acknowledgements 5

Section 6 Action Plan 6 - 14

1


1. Background

The updated Code of Good Governance for Scotland’s Colleges (‘the Code’), published in August 2016,

contains the following requirement:

“The board must keep its effectiveness under annual review and have in place a robust self-evaluation

process. There should also be an externally facilitated evaluation of its effectiveness at least every three

years. The board must send its self-evaluation (including an externally facilitated evaluation) and board

development plan (including progress on previous year’s plan) to its funding body and publish them online”.

This report represents the externally facilitated evaluation described in the updated Code for 2016/17.

2. Scope, Objectives and Overall Findings

In August 2016, the College Development Network (CDN) published a Guidance Note, which provided the

context and the process for conducting the Externally Facilitated Effectiveness Review described in the

updated Code. This guidance built on the Board Member Development Framework, published in November

2015.

This effectiveness review covers the five sections of the Code namely:

Section A - Leadership and Strategy

Section B - Quality of the Student Experience

Section C - Accountability

Section D - Effectiveness

Section E - Relationships and Collaboration

This work builds on the Governance Action Plan, which was prepared by College management and

submitted to the October 2016 meeting of the Board of Management, together with the results of a series

of online surveys conducted for the Board of Management and the Standing Committees. A report analysing

the responses provided to the survey was issued to all members of the Board in advance of the December

2016 meeting of the Board of Management and the key actions arising from the completed surveys was

added to the existing Governance Action Plan. This was supplemented by a comprehensive analysis showing

the revisions to the Code and the evidence available to demonstrate compliance.

The scope agreed with the College was to observe the December 2016 Board of Management meeting, as

required by the Code. In addition, it was agreed that Option 3iii, as described in the August 2016 Guidance

Note, would be completed; namely to conduct 1 to 1 interviews with some board members. The issues

arising from these interviews was then pressure tested as part of a desktop review and a closure meeting

was conducted with senior management to discuss the issues arising and the proposed improvement actions.

The objective of this externally facilitated review is to complement the work already completed by the College

during 2016, through 1 to 1 discussions with Board members, to explore specific governance issues drawn in

order to meet the requirements of the August 2016 Guidance Note which set out the specific requirement

to provide a “basic level of assurance relating to core governance requirements plus an agreed list of actions on areas

that board members wish to develop their governance further.” by 31 March 2017.

2


Overall Findings

The overall findings of our review are as follows:

The College has already demonstrated a clear commitment to good governance through the

production of a Governance Action Plan, which incorporates issues arising from internal audit work

around governance; new requirements introduced in the updated Code of Good Governance; issues

around gender equality arising from Partnership for Change and Guidance Notes for Change in the

College sector.

The issues arising from the analysis of the self-evaluation surveys completed have been fully integrated

into the Governance Action Plan following the meeting of the Board of Management in December

2016.

Although the response rate to the Self Evaluation questionnaire was relatively poor the positive

engagement of all eight Board Members during the 1 to 1 discussions demonstrates a collective

commitment to good governance which bodes well for future self-evaluation exercises.

Progress in delivering the Governance Action Plan is being monitored by senior management and an

updated progress report (dated February 2017) was considered as part of this review.

The 1 to 1 discussions (and the subsequent pressure testing) confirms high levels of compliance across

all five section of the updated Code. Our assessment against the requirements of the updated Code

highlighted several areas of strength spanning all 5 sections of the Code. These strengths are

highlighted in Section 4 below.

Some additional areas for improvement were identified through the 1 to 1 discussions, which would

enhance the Board arrangements in the context of the updated Code. These are summarised in Section

4 below. In some cases, these areas for improvement are further developments to supplement existing

actions included within the Governance Action Plan and in other cases these are new areas for

improvement. The detailed agreed improvement actions, together with management responses, are

included in Section 6 below. Whilst recognising the areas identified for improvement, and the work

already underway to deliver the Governance Action Plan, our work did not identify any areas of

material non-compliance with the Code of Corporate Governance.

A number of the issues highlighted during the 1 to 1 discussions had already been flagged by the self-

evaluation survey responses and therefore actions to address these issues have already been

considered by the Board of Management in December 2016 and incorporated into the Governance

Action Plan.

Reports to the Board of Management demonstrate the Board’s commitment to ongoing monitoring

and review of the actions required to maintain and improve the College’s governance arrangements,

in a manner which integrates with the production of the Annual Governance Statement as part of

the College’s Annual Report.

3. Audit Approach

The facilitator who conducted this review attended the Board of Management meeting on 12 December

2016. This allowed the opportunity to observe the discussion around the additions to the Governance

Action Plan, arising from the analysis of the self-evaluation surveys. It also allowed an opportunity to observe

the contributions of board members, which informed the selection of the members chosen for 1 to 1

discussions.

2. Scope, Objectives and Overall Findings (continued)

3


In total eight 1 to 1 meetings were held. The rationale for selecting these eight Board Members was to

achieve a spread of Board Members from the following groups:

Established Board members

Newer Board members

Members from each of the Board Committees

The Board Chair and Board Committee Chairs

The Senior Independent Member

Staff Members

Student Representative

The questions covered in each of the 1 to 1 discussions were tailored for the individual board member to

allow detailed discussion on the specific areas of the Code which were most pertinent to their role.

The results of these discussions were collated and mapped against the Code. The issues raised were then

pressure tested against Board papers, corporate documents, the risk register considered by the December 2016 meeting of the Audit & Risk Committee, the skills matrix produced for Board members and the most

recent internal audit report on the Board’s governance arrangements, internal audit report 2016/08 -

Financial Procedures – Scottish Public Finance Manual (SPFM) Compliance and Corporate Governance,

which benchmarked compliance against the December 2014 version of the Code of Corporate Governance.

The specific strengths and the areas for improvement were summarised and discussed with the senior

management team and the Clerk to the Board. This allowed the issues arising from the 1 to 1 discussions to

be discussed, and additional context provided, which allowed refinement of the proposed improvement

actions.

4. Summary of Main Findings Our review highlighted a number of areas where the College can demonstrate particular strengths in specific

aspects of the updated Code. Our review also highlighted specific areas where Board Members felt that

there was scope for improvement in the Board arrangements. Both strengths and areas for improvement are

summarised below. The detailed observations, recommendations and agreed management responses for

each of the improvement actions is set out within Section 6 below. Where the issue identified has already

been fully captured within an action in the current Governance Action Plan then it has not been duplicated

in the Action Plan in Section 6 below. It is proposed that any improvement actions arising from this review

should be incorporated into the Governance Action Plan, thereby building on the work already underway.

Strengths

Collectively board members demonstrated a clear understanding of the vision and strategy and also

the ethos of the College.

Links with the community are well established. The role of the Principal on Local Community Plan

Delivery Groups is seen as an important mechanism to engage with community planning partners.

The need for ambition as well as access was stressed as an important focus for the College.

All Board Members are treated as full members of the Board.

3. Audit Approach (continued)

4


The volume, quality and level of detail contained within Board and Committee papers is considered

to be good with papers received timeously.

The consensus is that the balance between the business considered at Board of Management

meetings and at Board Committees is good with adequate opportunity to ask for more detail when

minutes are considered at the Board of Management.

The support and guidance provided to Committee Chairs by the relevant Executive Leads was

praised.

Charity trustees stated that they are comfortable that they have a full understanding of their role as

trustees. The role of the Clerk to the Board was highlighted as being particularly helpful in this

regard.

Both staff representatives highlighted good working relationships with management, despite the

requirement to work through a number of difficult issues post-merger.

All Board Members felt comfortable in challenging the Principal and the rest of the Senior

Management Team.

The internal induction process was highlighted as being extremely beneficial to new Board members

in explaining the way that the College operates and how this links into the individual Board

Committees.

The development of partnerships with the local community was highlighted as an integral part of the

day to day operation of the college with established links to local schools, community centres and

volunteers.

Areas for Improvement

There is a need for a Board Development Day to revisit the Strategic Plan priorities and the

College’s KPIs to ensure continued applicability.

In order to enhance existing performance information a high-level finance report should be

produced for all Board Committees, which sets out the current level of spend against budget as well

as a projected year end position. This would assist decision making on the use of any identified

surplus or would allow savings to be identified in-year to address any projected deficit.

Although Board Members praised the work of the Chair and Principal in providing regular updates

on the work of the Glasgow Colleges Regional Board (GCRB) to date, the move towards fundable

status means that regular updates describing the work of GCRB (and the potential implications for

the College) would be welcomed going forward.

There is no partnership agreement in place between the College and the Students Association.

The inclusion of a standing agenda item for a written report by the Student President would allow a

platform for student issues to be discussed by the Board of Management.

The development of a dashboard, which can be used to demonstrate the quality of the learning

experience from a student perspective, was highlighted as a key step forward in benchmarking

against other colleges.

There is a need for improved consistency in approach in curriculum planning at faculty level and in

particular the way that student and employability input shapes the curriculum planning process.

The College is not currently represented on the Developing Scotland’s Young Workforce group.

The ability of non-Executive Board Members to provide meaningful input in developing and

maintaining partnerships with community planning partners, employers, the third sector and GCRB

is limited given competing demands on the time of non-Executive Board Members. However,

stakeholder involvement in future revisions of the Strategic Plan was seen as a potential route to

strengthening of partnerships and alignment of priorities.

4. Summary of Findings (continued)

5


We would like to take this opportunity to thank the Board Members and staff at the College who helped us

during the course of our audit visit.

5. Acknowledgements

6

ABC Li88888mited Audit Report


6. Action Plan

Section A: Leadership and Strategy

Observation Risk Recommendation Management Response

Given the number of relatively new Board Members there is a

need to revisit the Strategic Plan 2015-2017 to ensure ongoing

applicability and shared ownership of the College’s corporate

priorities and the KPIs which will be used to track progress

against these corporate priorities beyond 2017. A number of

Board Members also highlighted the fact that opportunities for

newer Board Members to get to know other Board Members

was restricted.

There may inequity in the level

of ownership of the College’s

Strategic Plan.

R1 A Board

Development Day should be

organised which sets aside

specific time for revisiting the

Strategic Plan and a private

session for non-Executive

Board Members to meet on

their own.

Agreed. This action will be

added to the Governance

Action Plan.

To be actioned by: Clerk to

the Board of Management and

Director of Corporate

Services

No later than: 31 July 2017

7



Section A: Leadership and Strategy (Continued)


Currently not all Board Committees receive a quarterly

financial summary which sets out the budget v actual position

and includes a projected end of year position. The

production of such a high-level summary would allow

individual committees to discuss potential investment areas

for any surplus funds identified (or alternatively could drive

discussions around required savings to rectify any projected

deficit).

Not all Board members may

be sighted on the projected

year-end financial position in a

way which influence decision

making.

R2 A high-level finance

report should be produced

for all Board Committees,

which sets out the current

level of spend against budget

as well as a projected year

end position.

Management accounting

reports are provided to each

meeting of the Financial

Control Committee. These

reports are available to all

members of the Board via the

Board portal or the College

on request. These can be

placed on the agenda of any

committee meeting at the

request of the Chair.

Board members to be

provided with a reminder

about the availability of all

papers on the Board Portal

and that they can attend

Standing Committees, of

which they are not members

to observe proceedings.

To be actioned by: Vice

Principal Finance and

Corporate Services

No later than: 30 April

2017

8



Section A: Leadership and Strategy (Continued)


The flow of information to the Board of Management,

regarding the work of the GCRB and the potential

implications which the move to fundable status may bring,

has not been sufficient to allow Board Members to feel fully

engaged.

Without an effective flow of

information regarding the

work of GCRB, Board

Members may feel

disconnected from regional

issues and may be unsighted

on the potential impact which

decisions taken at a regional

level may have on the College.

R3 GCRB should be

approached regarding the

possibility of producing a

quarterly update on the

activities of GCRB, which can

be discussed at the College

Board of Management and

potentially shared with staff.

Discussions in this regard are

already underway with the

Executive Director of GCRB.

Furthermore, the Chair of

GCRB is attending the

Glasgow Kelvin College Board

of Management meeting on 13

March 2017.


the Board of

Management/Principal

No later than: 31 August

2017

9



Section B: Quality of the Student Experience


Although the Students’ Association has a formal constitution,

which was last reviewed in 2016, there is currently no

partnership agreement in place between the College and the

Students’ Association.

The College and the Students’

Association may not work

effectively together to achieve

change through regular and

open communications.

R4 Discussions should

commence with the Students’

Association regarding the

development of a formal

partnership agreement.

As per the Governance Action

Plan – Item 21, due regard is

being taken to the Framework

for the Development of

Strong and effective Students’

Associations in Scotland and

the draft Partnership

Agreement is being amended

accordingly. Consultation is

scheduled to take on this draft

document prior to the Spring

break 2017.


Principal Learning, Teaching

and Quality

Enhancement/Director of

Curriculum and Quality

Enhancement

No later than: 30 April

2017

10



Section B: Quality of the Student Experience (Continued)


There is currently no standing agenda item for a progress

report to allow a platform for student issues to be discussed

by the Board of Management.

Without a standing agenda

item, there may not be an

opportunity to raise student

issues formally at the Board of

Management.

R5 Consideration should

be given to the inclusion of a

standing agenda item for a

written report by the Student

President would allow a

platform for student issues to

be discussed by the Board of

Management.



Action Plan.


the Board of Management

No later than: 30 June

2017

11





The development of a dashboard, which can be used to

demonstrate the quality of the learning experience from a

student perspective, was highlighted as a key step forward in

benchmarking against other colleges.

Without a mechanism to

capture and disseminate

information in an accessible

format on the quality of the

learning experience, Board

members may not be able to

readily assess the College

performance in this area over

time or against other Colleges.

R6 A dashboard should

be developed which would

demonstrate the quality of the

learning experience from a

student perspective in a way

which would be accessible for

multiple audiences and would

provide enhanced

benchmarking information.

The College does not have

resources to procure a

software system for this

purpose. It will seek to find a

way of addressing this concern

raised by Board members by

the end of the current

Academic Year. To date

reports on learner PI data

with comparator data have

been provided to the Learning

& Teaching Committee to

support benchmarking.

To be actioned by: SMT

No later than: 30 August

2017

12





There is a perception amongst some Board Members that

there is a lack of consistency in approach in curriculum

planning at faculty level and the way that student and

employability input shapes the curriculum planning process.

Inconsistency in approach may

result in inadequate

engagement with either

students or employers in

developing curriculum plans at

faculty level.

R7 A standard approach to

curriculum planning should be

developed which allows for

differences in faculties but

standardises the way that

students and employer’s views

are captured and fed into the

curriculum planning process.



Action Plan.


Principal Learning, Teaching

and Quality

Enhancement/Director of

Curriculum and Quality

Enhancement

No later than: 31 July 2017

13





The College is not currently represented on the Glasgow

Developing Scotland’s Young Workforce (DSYW) group.

Although there has been some discussion with DSYW

regarding the accuracy of website content relating to the

College there is currently no formal mechanism for the

College to contribute to the work of this group.

Without direct involvement,

the College may not be able to

influence decisions which may

have direct or indirect

consequences for the College.

R8 The Chamber of

Commerce should be

approached regarding the

possibility of College

representation on the

Glasgow DSYW group.



Action Plan.

To be actioned by:

Principal

No later than:

31 July 2017

14



Section E: Relationships and Collaboration


The ability of non-Executive Board Members to provide

meaningful input in developing and maintaining partnerships

with community planning partners, employers, the third

sector and GCRB is limited given competing demands on the

time of non-Executive Board Members. However,

stakeholder involvement in future revisions of the Strategic

Plan was seen as an important mechanism to strengthen

partnerships and align priorities.

The Board may not be engaged

with partners and stakeholders

in a way that would allow

alignment of strategic priorities

to develop shared solutions to

shared issues.

R9 Future revisions of

the Strategic Plan should be

shared at a Stakeholder Event

to allow partner organisations

to consider the College’s

strategic priorities in the

context of their own

organisation.

A “Big Ask” style event is

currently being considered

where key stakeholders,

Board members, learner and

staff representatives would be

invited to contribute to the

development of College

priorities.

To be actioned by: SMT

No later than: 30

November 2017

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