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Governance Framework - UNIVERSITY OF ULSTER

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					 UNIVERSITY OF ULSTER

GOVERNANCE FRAMEWORK




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1   INTRODUCTION...................................................................................3

2   BACKGROUND ....................................................................................5

3   KEY ROLES..........................................................................................7

    3.1        THE COUNCIL ........................................................................7

    3.2        THE CHAIRMAN OF COUNCIL ..............................................8

    3.3        THE SENATE ..........................................................................9

    3.4        THE VICE-CHANCELLOR.....................................................10

    3.5        THE SENIOR MANAGEMENT GROUP ................................10

    3.6        THE PRO VICE-CHANCELLORS .........................................11

    3.7        THE DEANS ..........................................................................14

    3.8        THE PROVOSTS...................................................................15

    3.9        THE DIRECTOR OF FINANCE .............................................15

    3.10       THE DIRECTOR OF CORPORATE PLANNING AND _____
               GOVERNANCE .....................................................................16

    3.11       THE DIRECTOR OF INFORMATION SERVICES................16

    3.12       THE CLERK TO THE COUNCIL ...........................................16

    3.13       THE STAFF ...........................................................................17

4   CORPORATE PLAN ...........................................................................18

5   DELEGATED AUTHORITY FRAMEWORK ........................................18

6   REVIEW OF GOVERNANCE FRAMEWORK .....................................19




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                     UNIVERSITY OF ULSTER

                  GOVERNANCE FRAMEWORK


1    INTRODUCTION

1.1 This document outlines the governance arrangements for the University of
    Ulster (the University) and has the approval of the governing body of the
    University (the Council).

1.2 The University makes a significant contribution to public life in Northern Ireland
    through widening access to higher education, increasing participation amongst
    under-represented groups and offering enhanced life-long learning
    opportunities. The University’s research and knowledge and technology transfer
    activity is a powerful resource for economic and social regeneration. The supply
    of well-qualified graduates is one of the University’s single most important
    contributions to the region.

1.3 The University has a statutory responsibility for ensuring it has effective
    systems in place for governance, essential for the achievement of its objectives.
    The business of the University is conducted in accordance with the Standards
    in Public Life (selflessness, integrity, objectivity, accountability, openness,
    honesty, leadership) and follows the advice about governance in Higher
    Education institutions given by the Nolan Committee, the CUC (Committee of
    University Chairmen) and the Higher Education Funding Council for England
    (HEFCE). All members of the University are expected to act in good faith, with
    good will and diligence to avoid putting themselves in situations where there is
    actual or potential conflict between personal interests and those of the
    University or those that the University serves.

1.4 A number of other key principles are recognised as the essential basis of
    effective management and good governance in the University:

             the University’s Council is “the governing body of the University”
             and, subject to the powers of the Senate in academic matters, is
             the ultimate decision-making body (see appendix 1 for a
             summary of the respective roles of the Council and the Senate);

             the Council is accountable for the University’s financial well-
             being;

             the roles, powers, responsibilities and competencies of the
             Council, its committees and the senior academic and other staff




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             and lay officers should be as required by University needs and
             subject to regular review;

             University activities and decisions should comply with the
             requirements of the University’s Charter, Statutes, Ordinances
             and Regulations;

             the University should, as required by the Funding Council, have
             a strategic plan and an annual operating plan and budget;

             the University’s strategic plan should be supported by a financial
             strategy;

             the University should have in place systems for dealing with all
             appropriate activities which are robust and fit for purpose;

             risks in relation to University activities should, wherever
             possible, be recognised, assessed, documented and managed
             as appropriate;

             management information should be relevant, reliable and timely;

             communication should be effective throughout the University;

             the effectiveness of the University’s governance arrangements
             should be kept under periodic review.

1.5 The Corporate Plan describes the organisational objectives, identifies
    potential risks to their achievement and gaps in assurance on which the
    Council relies. It should be considered in conjunction with the
    University’s Risk Register, which provides details on operational risks
    and action plans to address these. Both documents are subject to
    regular review through the Senior Management Group, Policy and
    Governance Committee and the Council.

1.6 The Governance Framework is reviewed annually to ensure it reflects
    current guidance and requirements and meet the needs of the University
    and the population it serves.

1.7 The document will be made available to all staff within the institution,
    partner organisations and the public, through the University’s Freedom of
    Information Publication Scheme.

1.8 A summary of the key elements of the Governance Framework is set out
    at appendix 2.




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2    BACKGROUND

2.1 The University’s Charter, Statutes, Ordinances and Regulations set out
    the legal framework within which the University operates.

2.2 The Vice-Chancellor of the University is required, as the Accounting
    Officer, to sign an assurance statement (‘the Statement of Internal
    Control’) on behalf of the Council to assure ‘stakeholders’ of the
    robustness of internal financial controls. Stakeholders include staff,
    students, partner organisations and the public.

2.3 The Council of the University is responsible for the conduct of its
    business including responsibility for its use of public funds. Recently
    there has been increased emphasis on the need for public bodies to
    conduct themselves with probity and openness. The work of the Nolan
    Committee, and the influence of the Cadbury recommendations in the
    private sector, have led to greater scrutiny of how such bodies take their
    decisions and make themselves accountable.

2.4 This Governance Framework aims to achieve convergence of the
    various elements of governance as well as defining the different roles
    required of individuals and groups within the University. The challenge is
    to develop and implement a governance framework that addresses
    fundamental issues in the University’s decision-making processes,
    focusing on building high levels of trust and confidence. The aim is to
    develop a governance framework that builds confidence and trust
    in the University’ s decision-making structures and processes.

2.5 Some of the general drivers for a new focus on governance are outlined
    at paragraph 2.3 above. More specifically the factors outlined below have
    served to direct that focus:

       -   a decline in the trust placed on the decision making processes;
       -   dissatisfaction with consultation processes;
       -   increasing expectations of service levels;
       -   the influence of the media, particularly in light of the introduction of
           the Freedom of Information Act

2.6 This document provides the overarching framework for governance within
    the University. It is supported by the following policies and strategies:

      •    Corporate Plan
      •    Annual Business Plan
      •    Standing Orders
      •    Standing Financial Instructions
      •    Code of Conduct
      •    Statement of Primary Responsibilities
      •    Teaching and Learning Strategy
      •    Academic Plan


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      •      Research Strategy
      •      Delegated Authority Framework
      •      Risk Management Strategy
      •      Health & Safety Policy
      •      Human Resources Strategy
      •      Internal Communications Strategy
      •      Annual Audit Plan
      •      Estates Strategy

2.7 This governance framework aims to record the roles of the key players in
    the University’s compliance and decision-making process in a number of
    areas:-

      i.      compliance with statutory reporting requirements;
      ii.     compliance with legislation;
      iii.    compliance with Charter, Statutes, Ordinances and Regulations;
      iv.     compliance with the Delegated Authority Framework;
      v.      compliance with the Financial Memorandum

2.8 Whilst the governance framework provides a structure for the
    University’s formal decision making processes it also recognises
    the importance of dialogue throughout the institution and
    encourages and values the contribution that constructive debate
    makes to the development of the University.




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3.    KEY ROLES

3.1   THE COUNCIL

3.1.1 The Council of the University is ultimately responsible for everything
      the University does, subject to the powers of the Senate in academic
      matters. This is enshrined in article 16 of the Charter, reproduced
      below. This can also be said of everything the University decides not to
      do. Because of the limited time available for the Council to exercise
      those responsibilities it is important that the work of the Council is
      organized by way of robust policy development.

               There shall be a Council of the University (in this Our Charter
               referred to as “the Council”) which shall have the custody and use of
               the Common Seal and shall be responsible for the management and
               administration of the revenue and property of the University. The
               Council shall have general control over the conduct of the affairs of
               the University and shall have all other such powers and duties as
               may be conferred upon it by the Statutes.

3.1.2 The work of the Council in terms of Governance and Policy
      Development can be considered under four broad concepts:

      i.     Ends – what benefit is the organisation to produce, for which
             people and at what cost. This is done through the corporate
             planning process, discussed at paragraph 3.1.3 below. Where the
             work of the Council is concerned with ends, the work of the Vice-
             Chancellor and Senior Management Group is concerned with
             means. Most decisions in the institution are means-related
             decisions and therefore for the Vice-Chancellor and Senior
             Management Group.

      ii.    Executive Limitations – the ethical and financial limits placed on
             the Vice-Chancellor beyond which he must not go;

      iii.   Governance processes – the rules governing the operation of
             the Council; and

      iv.    The relationship with management – the delegated authority
             framework.

3.1.3 The matter of corporateness is addressed by the CUC guide which
      states that:

             The governing body should exercise its responsibilities in a corporate manner;
             that is to say, decisions should be taken collectively by all of the members
             acting as a body. Members should not act individually, or as representatives of
             a constituency or in informal groupings, to take decisions on governing body
             business on an ad hoc basis outside the constitutional framework of the
             meetings of the governing body and its committees.




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3.1.4 The core committees integral to the governance framework for the
      University are identified in the companion document The Governance
      Structures of the University (for a summary of the contents see
      appendix 3).

3.1.5 The Vice-Chancellor and relevant senior officer, on behalf of the
      Council, will ensure the structure is in place and that each committee
      has complementary terms of reference that are reviewed annually as
      part of the assurance and effectiveness review process.

3.1.6 The terms of reference identify the reporting structure for the committee
      and its membership. A copy of the terms of reference of each
      committee will be held centrally by the Secretary to the Council,
      available to staff through the University’s intranet and in a companion
      document to this framework that sets out the governance structures.
      They are also available as part of the University’s Publication Scheme.

3.1.7 The Council should meet not less than six times a year. A great deal of
      business will also be conducted through committees concerned with
      finance, property, capital development and policy and governance or
      through joint committees of the Council and the Senate with the
      committees bringing forward recommendations for the governing
      body’s approval.

3.2    THE CHAIRMAN OF COUNCIL

3.2.1 The Chairman is responsible for the leadership of the Council and
      ultimately to the stakeholders for its effectiveness. He is responsible for
      promoting the Council’s well-being and efficient operation, ensuring
      that its members work together effectively and have confidence in the
      procedures laid down for the conduct of business.

3.2.2 He should ensure that the Council observes the principles of public life,
      and that committees which play a central role in the proper conduct of
      the Council’s business report back appropriately. The Chairman is also
      ultimately responsible for ensuring that the Council operates effectively,
      discusses those issues which it needs to discuss, and dispatches its
      responsibilities in an efficient manner.

3.2.3 Through leadership of the Council, the Chairman plays a key role in the
      business of the University, but should not be drawn into the day-to-day
      executive management. For the Council to be effective, there must be
      a constructive and challenging working relationship between the
      Chairman and the executive head of the University, the Vice-
      Chancellor. The relationship should be mutually supportive, but must
      also incorporate the checks and balances imposed by the different
      roles each has within the University’s constitution.

3.2.4 The Chairman should ensure that lay members of the Council take care
      not to become involved in the day-to-day executive management of the


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      institution. This also applies to the staff and student members of the
      Council, except that in the course of their employment or in their
      activities as students, they may have executive responsibilities within
      the institution.

3.3   THE SENATE

3.3.1 The Charter of the University defines the role of the Senate as follows

             There shall be a Senate of the University (in this Our Charter
             referred to as “the Senate”) which shall, subject to the
             powers of the Vice-Chancellor and Council as provided in
             this Our Charter and the Statutes, have responsibility for the
             ordering of the academic affairs of the University, both in
             teaching and in research, and for the regulation and
             superintendence of the education of the students of the
             University as prescribed in the Statutes.

3.3.2 Senate has general charge of all matters of an academic nature.
      Senate's powers include the power to:

           • establish faculty and school boards

           • hear appeals from decisions of faculty and school boards

           • determine courses of study and locations where courses are
             offered/taught

           • determine all matters relating to:
                 −   teaching (including dates of academic terms)
                 −   examinations
                 −   degrees
                 −   management and conduct of libraries
                 −   the making of rules and regulations respecting academic
                     awards

           • make recommendations to the Council on:
                 − establishment of/abolition of/changes to faculties,
                   schools, institutes, departments, chairs, lectureships,
                   bursaries, fellowships, and prizes
                 − contracts with other organisations respecting joint
                   instruction, or instruction/examination of the other
                   organisations' students
                 − procedures for academic staff appointments, promotions,
                   salaries, tenure and dismissals
                 − any other matters the Senate considers to be of interest
                   to the University

3.3.3 For a summary of the respective roles of the Council and the Senate
      see appendix 1.




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3.4   THE VICE-CHANCELLOR

3.4.1 The Vice-Chancellor is responsible for the executive management of
      the institution and its day-to-day direction. He must not seek to
      determine matters reserved for the Council.

3.4.2 The specific responsibilities of the Vice-Chancellor in relation to
      Council business include:

          •      implementing the decisions of the Council or ensuring that
                 they are implemented through the relevant part of the
                 institution’s management structure;

          •      initiating discussion and consultation including, where
                 appropriate, consultation with the staff and the Senate on
                 proposals concerning the institution’s future development,
                 and ensuring that such proposals are presented to the
                 Council; and

          •      fulfilling the duty, as the Accounting Officer under the terms
                 of the Financial Memorandum, to alert the Council if any
                 actions or policy under consideration would be incompatible
                 with the terms of the Financial Memorandum. If the Council
                 nevertheless decides to proceed, then the head of institution
                 has a duty to inform the Permanent Secretary at the
                 Department for Employment and Learning or other
                 appropriate officer.

3.4.3 The Vice-Chancellor’s objectives are agreed with the Chairman of the
      Council and the remuneration committee.

3.5   THE SENIOR MANAGEMENT GROUP

3.5.1 The senior management group is accountable to the Vice-Chancellor
      for key functions and for ensuring effective governance arrangements
      are in place in their individual areas of responsibility and in those key
      functions, supported by consistent evidence.

3.5.2 Collectively the team is responsible for providing the systems,
      processes and evidence of governance.

3.5.3 The team is responsible for ensuring that the Council, as a whole, is
      kept appraised of progress, changes and any other issues affecting the
      Corporate Plan, the risk register, the governance framework and the
      delegated authority framework.




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3.6    THE PRO- VICE-CHANCELLORS

3.6.1 Article 11 of the University’s Charter currently states that:

          There shall be a Pro-Vice-Chancellor, or Pro-Vice-Chancellors, not exceeding
          five in number, one of whom, appointed by the Council, shall, subject to Article 13
          of this Our Charter, and to the Statutes and Ordinances, act as deputy to the
          Vice-Chancellor and, in the absence of the Vice-Chancellor or during a vacancy
          in the office of Vice-Chancellor, exercise and perform the functions and duties of
          the Vice-Chancellor.

       The University currently has four Pro Vice-Chancellors (PVC):-

          •   the PVC, Teaching and Learning,
          •   the PVC, Academic Development and Student Services,
          •   the PVC, Research and Innovation; and
          •   the PVC, Communication and Institutional Development

       Their respective roles are set out in paragraphs 3.6.2 to 3.6.5.

3.6.2 Teaching and Learning

       The focus of the PVC Teaching and Learning is on the quality of the
       student's learning experience at the point of delivery and on the
       standards of our awards. The PVC brings together issues relating to
       standards and quality with the focus increasingly on enhancement
       rather than on audit. Given the central role that staff development
       plays in enhancement, the staff development unit is part of the PVC’s
       team, as will staff in the Equality Unit. The PVC Teaching & Learning
       has responsibility for overseeing all external body audit visits, for
       example, those by the Quality Assurance Agency and professional
       bodies.

       The primary line of accountability is to Senate through a Teaching and
       Learning Committee (subject to Senate approval). The committee may
       establish such sub-committees as it feels necessary to expedite its
       business. Accountability for the staff development strategy is to the
       relevant committee of Council and accountability for equality issues is
       through the Senior Management Group (see endnote below) to
       Council.

       The departments/units which come within the remit of the PVC
       Teaching and Learning are:

          •   Academic Office
          •   Quality Management and Enhancement Unit
          •   Staff Development Unit
          •   Equality Unit




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3.6.3 Academic Development and Student Services

     The focus of the PVC Academic Development and Student Services
     team is the broader academic environment within which student
     learning takes place and in which courses are developed.

     In terms of academic development the PVC has responsibility for
     programme planning and the delivery of the plan; in relation to
     marketing and information, which informs planning; in respect of
     market research; widening participation and fair access (including
     implementation of the access agreement); education partnerships (e.g.
     links to the FE sector) and the International Office.

     The primary line of accountability is to Senate through an Academic
     Development and Student Services Committee (subject to Senate
     approval). The committee may establish such sub-committees as it
     feels appropriate to expedite its business. Accountability for the
     student recruitment marketing strategy is to the relevant committee of
     Council.

     The following directorate and departments come within the remit of the
     PVC:

              •   Information Services Directorate
              •   Academic Registry
              •   Careers Service
              •   Student Welfare
              •   Access and Education Partnerships
              •   Institute of Lifelong Learning
              •   Web and New-Media
              •   Academic Planning
              •   International Office

3.6.4 Research and Innovation

     The PVC for Research and Innovation is responsible for the Research
     Office, Research Planning & Policy, Research Students, Research
     Quality Enhancement & Monitoring, Research Grants & Contracts,
     Research Governance, Non-Research Grants & Contracts, UUTECH
     Limited    (incl.  Intellectual   Property;    Campus     Companies;
     Licensing/Royalties; Consultancy), UUSRP Limited (Science Parks and
     Incubator Units), KTP (Knowledge Transfer Partnership) and
     Innovation and Enterprise, Innovation Strategy and Research Training.

     Given the build-up to the RAE 2008 and the considerable progress that
     has been made recently with regard to innovation centre activity, the
     focus of the PVC Research and Innovation is to further enhance those
     areas of activity. The PVC will also give consideration, to how the
     University can develop a management innovation service for the SME


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     sector where incremental (managerial) rather                 than   radical
     (technological) innovation is likely to play a key role.

     The primary line of accountability is to Senate through a Research and
     Innovation Committee. The committee may establish such sub-
     committees as it feels necessary to expedite its business.
     Accountability for company activity will be to the relevant committee of
     Council.

     The following offices/companies come within the remit of the PVC

               •   Research Office
               •   Office of Innovation and Enterprise
               •   UUTech and UUSRP

3.6.5 Communication and Institutional Development

     The focus of the PVC for Communication and Institutional
     Development team is on internal and external communication and
     institutional development, in terms of both physical development and
     fund-raising. The PVC has responsibility for the overall environment
     within which University activity takes place and for effective
     communication relating to that activity. In terms of the latter, the PVC’s
     team will build on the work carried out following the MORI survey. In
     addition to their role in promoting the social, including – importantly –
     the two-way nature of communication and cultural life of the
     campus(es) for which they are responsible, Provosts also have a key
     role both in liaising with local communities with regard to campus
     developments       (external  communication)       and     also     internal
     communication. As a consequence, Provosts are part of this team.

     The primary line of accountability is to both Council and Senate
     through a joint Development, Marketing and Communication
     Committee. Accountability for the estates strategy is through the
     relevant committee of Council.

     The directorates/departments/offices which come within the remit of the
     PVC are:

                   •   Provosts
                   •   Development and Alumni Relations Office
                   •   Physical Resources Directorate
                   •   Public Affairs Directorate
                   •   Sport and Recreation
                   •   Residential, Catering and Conference Services
                   •   Students' Union (liaison)

     The team will also have responsibility            for   oversight   of   the
     Coleraine/Magee Development Plan.



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3.7   THE DEANS

3.7.1 The Deans are responsible to the Vice-Chancellor and Senate for the
      academic leadership and management of the faculty. The Deans co-
      ordinate academic planning and resource allocation to schools and
      such other academic units and services as are allocated to the faculty.

3.7.2 The Deans are part of the Senior Management Group within the
      University.

3.7.3 Heads of schools or such other units and centres or services as are
      allocated to the faculty are responsible to the Dean. The authority of
      the Dean extends to all resources and staffing matters relating to the
      faculty.

3.7.4 Responsibilities of the Deans are determined by the Vice-Chancellor
      and include the following.

             •      to provide effective academic          leadership    and
                    management of the faculty
             •      to develop, implement and maintain an academic plan for
                    the faculty
             •      to prepare and present the faculty’s submissions for
                    resources, and to administer the resources provided
             •      to Chair the faculty Board
             •      to represent the faculty within the University and
                    externally
             •      to ensure adherence to the policies of the University and
                    the legal requirements placed on it
             •      to encourage staff development and a high level of staff
                    performance
             •      to provide advice to the Vice-Chancellor on matters
                    relating to the faculty
             •      to assume administrative responsibility for other
                    academic, and service facilities as may be required by
                    the Vice-Chancellor
             •      to contribute towards policies which enhance the
                    effectiveness of the University as a whole and to counsel
                    and represent the Vice-Chancellor accordingly
             •      to undertake any other duties specified by the Vice-
                    Chancellor.




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3.8    THE PROVOSTS

3.8.1 Provosts play a central role in promoting the social, cultural and
      pastoral life of the campus(es) for which they are responsible. As key
      members of the team headed by the Pro Vice-Chancellor
      (Communication and Institutional Development) they also have a
      central role to play in enhancing two-way communication both within
      the University and with external stakeholders, such as local politicians
      and other public officials (in the vicinity of their campus(es)).

3.8.2 Additionally, since Provosts are not directly involved in academic affairs
      and staffing matters they play a key role in student discipline and
      appeals and in considering staff complaints. They also have an
      oversight responsibility for the management of health and safety
      matters on their respective campus(es). A Provost may also be asked
      by the Vice-Chancellor to take the lead in institution wide initiatives and
      to carry out other projects.

3.8.3 Provosts are members of the Senior Management Group and of
      Senate.

3.9    THE DIRECTOR OF FINANCE

3.9.1 The Director of Finance is accountable to the Vice-Chancellor for the
      strategic development and operational management of the University’s
      financial control systems. He is, with the Vice-Chancellor, responsible
      for ensuring that the statutory accounts of the University are prepared
      in accordance with DEL and HEFCE requirements.

3.9.2 The Director of Finance ensures that, on behalf of the Vice-Chancellor,
      the University has in place systems and structure to meet its statutory
      and legal responsibilities relating to finance, financial management and
      financial controls. He ensures the University has in place financial
      policies and procedures, and takes responsibility for the financial
      management aspect of internal controls.

3.9.3 The Director of Finance ensures that the University Council receives
      the relevant information/annual reports according to the Council’s
      information schedule. He will keep the Council apprised of any
      changes in requirements and draw to their attention shortfalls or
      omissions which will/may adversely impact on the Council’s ability to
      fulfill its governance responsibilities.

3.9.4 The key responsibilities of the Director of Finance are outlined in the
      job description for the post.




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3.10     THE  DIRECTOR           OF     CORPORATE          PLANNING        AND
         GOVERNANCE

3.10.1 The Director of Corporate Planning and Governance is responsible
       for providing the Secretariat for University Committees. The Director
       is formally Secretary of the University and delegates the
       responsibility, as clerk to the Council to the Head of Governance
       Services (see Para 3.12.1 below)

3.10.2 The Director is responsible for advising on the general legal affairs of
       the University as well as for compliance with specific pieces of
       legislation including the Data Protection Act 1998 and the Freedom of
       Information Act 2000.

3.10.3 The Director is responsible for Corporate & Operational Planning,
       Risk Management, Student Data and Information, Student-Related
       Statutory Returns, Student Loads, and Student-Related Performance
       Monitoring

3.10.4 Responsibility for the ceremonial aspects of graduations and other
       University events falls within the portfolio of the Director. This
       includes making appropriate arrangements for Honorary Graduates,
       graduation dinners and other events.

3.11     THE DIRECTOR OF INFORMATION SERVICES

3.11.1   The Director is the University Librarian and is responsible for

            •    Library (incl. electronic information and documents);
            •    Archives;
            •    IT User Services (incl. Helpdesk, training, videoconferencing
                _and AV services);
            •    Administration & Finance for the Directorate;
            •    Reprographics Services;
            •    Information and Communications Technology Strategy.

3.12     THE CLERK TO THE COUNCIL

3.12.1 The Director of Corporate Planning and Governance has delegated
       authority to the Head of Governance Services to act as Clerk to the
       Council. The Clerk has a key role to play in the operation and conduct
       of the Council, and in ensuring that appropriate procedures are
       followed.

3.12.2   The Clerk to the Council combines that role with the role of Head of
         Governance Services. The institution and the Clerk exercise great
         care in maintaining a separation of the two functions. Irrespective of
         any other duties that the Clerk may have within the institution, when



                                                                            16
         dealing with Council business the Clerk acts on the instructions of the
         Council itself.

3.12.3 In the role of Clerk, the Clerk is solely responsible to the Council and
       therefore has a direct reporting link to the Chairman of the Council for
       the conduct of Council business (i.e. agendas, papers, minutes etc).

3.12.4 The Clerk provides guidance to the Chairman and members of the
       Council as to their responsibilities under the Charter, Statutes,
       Articles, Ordinances and Regulations, current legislation, the
       requirements of the Funding Council and on how these
       responsibilities should be discharged. It is the responsibility of the
       Clerk to alert the Council if he believes that any proposed action
       would exceed the Council’s powers or be contrary to legislation or to
       the Funding Council’s financial memorandum.

3.12.5 The Clerk is solely responsible for providing legal advice to or
       obtaining it for the Council and advising it on all matters of
       procedures.

3.12.6   The Clerk advises the Chairman in respect to any matters where
         conflict, potential or real, may occur between the Council and the
         Vice-Chancellor.

3.12.7 The Clerk consults and keeps the Vice-Chancellor fully informed on
       any matter of Council business. The Chairman of the Council, the
       Vice-Chancellor and the Clerk to the Council work closely together
       within the legal framework provided by the Charter, Statutes or
       Articles of Government and the Ordinances and Regulations laid
       down by the institution and the Financial Memorandum.

3.12.8 It is the responsibility of the Clerk to draw to the attention of the
       Council any conflict of interest actual or potential between the Clerk
       as a private individual and his responsibilities as Clerk to the Council.
       If the Council believes that it has identified such a conflict of interest
       the Chairman should seek advice from the Vice-Chancellor, but must
       offer the Clerk an opportunity to respond to any such question.

3.13     THE STAFF

3.13.1 This framework is aimed at achieving a holistic approach to
       governance that engages all staff members.

3.13.2 All staff members employed by the University have a responsibility to
       perform their duties in accordance with the values, policies and
       procedures of the University, including this Governance Framework,
       and to contribute to the achievement of the University’s objectives
       and targets.




                                                                              17
4     CORPORATE PLAN

4.1   At its meeting in December 2005 the Council of the University adopted
      the following statement of primary responsibilities:

         •   setting initial strategic direction, approving plans submitted by
             the Senior Management Group and monitoring performance
             against key performance indicators;
         •   approving the audit arrangements through the Audit Committee;
         •   approving the Risk Management Strategy;
         •   appointing the Vice-Chancellor and agreeing a procedure for
             monitoring his/her performance; and
         •   the development of clear procedures for handling internal
             grievances and conflicts of interest.

4.2   The University’s Corporate Plan plays a central role in setting strategic
      direction and in the governance of the University. It is the central
      reference point for measuring and managing institutional performance
      and for assessing the effectiveness of the University’s Risk
      Management Strategy. The Corporate Plan for the period 2006/07 to
      2010/11 (appendix 4 ) outlines the following key strategic aims

         •   provide excellent learning opportunities which are student
             centred and client focussed;
         •   undertake excellent research in selected areas of activity;
         •   maintain the University’s position as a sector leader in widening
             access to higher education;
         •   establish the University as a sector leader in promoting creativity
             and innovation; and
         •   conduct business in line with the University’s core values and to
             the highest standards of corporate governance.

5     DELEGATED AUTHORITY FRAMEWORK

5.1   At its meeting in June 2005 the Council of the University adopted a
      Delegated Authority Framework. The Delegated Authority Framework
      (appendix 5) as from time to time amended is a key constituent of the
      Governance Framework. It forms the basis for University decision-
      making and provides senior officers with authority for delegated
      decision making where that power is not otherwise vested in them by
      Statute.

5.2   The adoption of the Delegated Authority Framework was driven by a
      need to ensure clear lines of decision-making within the University and
      to ensure that stakeholders could have confidence in the University’s
      decision-making processes. This need has been emphasized in the


                                                                             18
      recent case of Selter Associates Limited v Leicestershire County
      Council, where the Court found against the Council on the grounds that
      officers did not use their delegated power appropriately nor in line with
      the scheme of delegation.

6     REVIEW OF GOVERNANCE FRAMEWORK

6.1   This Governance Framework will be reviewed annually in line with the
      Corporate Planning process and the annual review of Council
      effectiveness.




                                                                            19
Appendix 1


   Subject                                             Council                     Senate

   General Powers                        Governing body of UU.                     Academic Body of UU.

                                         There shall be a Council of the           There shall be a Senate of the
                                         University (in this Our Charter           University (in this Our Charter
                                         referred to as “the Council”) which       referred to as “the Senate”) which
                                         shall have the custody and use of         shall, subject to the powers of the
                                         the Common Seal and shall be              Vice-Chancellor and Council as
                                         responsible for the management and        provided in this Our Charter and the
                                         administration of the revenue and         Statutes, have responsibility for the
                                         property of the University. The           ordering of the academic affairs of
                                         Council shall have general control        the University, both in teaching and
                                         over the conduct of the affairs of the    in research, and for the regulation
                                         University and shall have all other       and superintendence of the
                                         such powers and duties as may be          education of the students of the
                                         conferred upon it by the Statutes.        University as prescribed in the
                                         (Charter article 16).                     Statutes. (Charter article 17)
   Powers, Duties and Responsibilities    On the recommendation of the             To determine the conditions under
   conferred by Statute of The            Senate, to institute or discontinue      which persons shall be admitted to
   University                             Faculties and other academic             the University and to any particular
                                          sections of the University and to        course of study or research therein
                                          establish and disestablish academic      and the conditions under which
                                          posts.                                   students shall be permitted to
                                                                                   continue their studies.
                                         To authorise and control the              To determine the conditions under
                                         establishment and disestablishment        which and the extent, if any, to which
                                         of other posts.                           periods and courses of study or
                                                                                   research and examinations passed
                                          To determine the method of               at other universities, places of
                                         appointment,      conditions    of        learning and other institutions or
                                         appointment and remuneration of all       elsewhere may be recognised for the
                                         employees of the University.              purposes of the University.

                                         On the recommendation of the               To promote, direct, regulate and
                                         Senate, to designate persons, not         control the teaching, both intramural
                                         being members of the Academic             and extra-mural, and the research of
                                         Staff, as recognised teachers of the      the University.
                                         University whose functions shall be
                                         prescribed by Regulation.                  To regulate the conduct of
                                                                                   examinations leading to Degrees
                                         To control the appointment of other       and other academic distinctions of
                                         persons working for or in, or             the University and to other awards
                                         providing a service, for the University   and to appoint internal and nominate
                                         and the payment of honoraria, fees        external examiners.
                                         and other remuneration to such
                                         persons.                                   To grant Degrees, Diplomas,
                                                                                   Certificates and other academic
                                         To make provision, so far as the          distinctions    including   Degrees,
                                         Council may think fit, for schemes        Diplomas, Certificates and other
                                         and     insurance,  superannuation        academic distinctions offered and
                                         pensions or retirement benefits for       awarded by the University in
                                         all employees of the University and       conjunction with another institution
                                         their dependants.                         or institutions and to determine the
                                                                                   formalities attaching to the granting
                                         To determine all University fees and      and conferment of such Degrees,
                                         to impose and recover all such other      Diplomas, Certificates and other
                                         charges and deposits as may seem          distinctions; provided that Honorary
                                         to the Council to be necessary or         Degrees shall be granted and
                                         appropriate.                              conferred on the recommendation of
                                                                                   a joint committee of the Council and
                                                                                   the Senate consisting of such
                                         To      institute,      on       the      members of the Council (not being
                                         recommendation of the Senate              members of the Senate) as may be
                                         (and subject, where appropriate,          appointed by the Council and an
                                         to any conditions acceptable to           equal number of members of the
                                         the Council and to the Senate             Senate appointed by the Senate
                                         which might be made by the                together with the Chairman of the
                                         founders)               Fellowships,      Council (who shall be Chairman) and
                                         Studentships, Exhibitions, Bursaries,     the Vice-Chancellor.
                                         Prizes and other aids to study and
                                         research.




                                                                                                                     20
On the recommendation of the                To determine the functions of
Senate, to deprive persons of any           members of the academic staff
Degrees, Diplomas, Certificates or          within the terms and conditions of
other academic distinctions granted         appointment applicable to each such
to or conferred on them by the              member.
University.
                                            To prescribe and regulate the use of
On the recommendation of the                academical dress in the University.
Senate, and subject to Statute XXI,
to make Ordinances to regulate the           To discuss, declare an opinion
discipline of students and other            upon and make recommendations
persons.                                    to the Council, on any matter
                                            affecting the University.

To receive and call for reports
from the Senate, to review the
work of the University and,
subject to the powers of the
Senate, to take such steps as it
thinks proper for the purpose of
advancing the interests of the
University, maintaining its efficiency
and encouraging teaching, the
pursuit of learning and the
prosecution of research therein.

To accept, reject, review, amend
or refer back any recommendation
made by the Senate; provided that
no such recommendation may be
rejected or reviewed or amended
before being referred again to the
Senate for consideration and report.

In accordance with Articles 5 and 16
of the Charter to do all things
deemed necessary by the Council
for the efficient management and
administration of the revenue and
property of the University; and in
particular:

•         to govern, manage and
     regulate       the      finances,
     accounts,           investments,
     property, business and all
     affairs whatsoever of the
     University and for that purpose
     to appoint bankers and any
     other officers or agents whom
     it may deem expedient to
     appoint and to cause books of
     accounts to be kept in such
     manner as to give a true and
     fair view of the state of the
     University’s affairs and to
     explain its transactions;

•          to invest any monies belon
     the University in such stocks, fun
     paid shares or securities as the
     shall think fit whether within the
     Kingdom or not, in the purch
     freehold or leasehold heredit
     including rents; provided that, in t
     of moneys held by the Unive
     trustees, the power conferred
     paragraph shall be exercised su
     the provisions of the law rela
     investments by trustees;




                                                                            21
•        to sell, buy, exchange,
     lease and accept leases of real
     and personal property on
     behalf of the University;

•         (4) to borrow money on
     behalf of the University and
     for     that    purpose    to
     mortgage or charge all or
     any part of the property of
     the University whether real
     or personal unless the
     conditions of any will, deed,
     gift or other instrument are
     thereby contravened, and
     to give such other security
     whether upon real or
     personal       property    or
     otherwise as the Council
     may think fit;

•        to provide the buildings,
     premises, furniture and
     equipment      and      other
     means required for carrying
     on the work of the
     University;

•        to enter into, vary, carry
     out and cancel contracts on
     behalf of the University;

•         to give on behalf of the
     University,       guarantees,
     whether in pursuance of
     continuing arrangements or
     not.

To receive and call for such reports
and to make such arrangements as
it thinks proper for the promotion
and maintenance of efficiency and
good order in the University.




                                       22
Appendix 2
   Appendix 2
                    University of Ulster - Draft Governance Framework Overview
                     University of Ulster - Draft Governance Framework Overview


                                          Objective
        To ensure the University complies with current guidance on Corporate Governance
        and that the University’s Governing Body acts in a manner that is compatible with
        the Seven Standards of Public Life.


                       Charter, Statutes, Ordinances and Regulations


                  Situation Analysis                                         Guiding Principles
•       Increased     emphasis      on     Corporate            •   The Council holds the University in trust for the
        Governance.                                                 wider community
•       Governance seen as issue for the centre                 •   The Council Speaks with one voice
•       Governing body commitment to governance                 •   The Council’s decisions are policy decisions
•       Developing relationship with CUC/Leadership             •   The Council should develop policy from the
        Foundation                                                  broadest values before progressing to more
•       Low awareness throughout Institution                        specific ones
                                                                •   The level at which the Council stops speaking is
                                                                    the level at which the Vice-Chancellor takes
                                                                    over
                                                                •   The determination of ends is the ultimate duty
                                                                    of governance




                                                 Corporate Plan

                                           Core Strategic Objectives
        Provide              Undertake        Maintain the        Establish     the    Conduct business
        excellent            excellent        University’s        University as a      in line with the
        learning             research in      position as a       sector leader in     University’s core
        opportunities        selected areas   sector leader in    promoting            values and to the
        which          are   of activity.     widening            creativity   and     highest standards
        student centred                       access to higher innovation              of corporate
        and         client                    education                                governance
        focused


                                            Delegated Authority Framework


                                                Policies and Procedures




                                                    Core Values
    •     see each student and staff member as an        • work together with trust, openness and honesty
          individual with their own needs                • value diversity and inclusiveness and see
    •     provide quality learning and development for       everyone as equals
          students and staff                             • be creative and adapt to the challenges of
    •     respect ourselves and those we deal with and       change
          be accountable for what we say and do          • take pride in how we do our work
                                                                                                        23
Appendix 3




                                          CONTENTS                              PAGE

    1    INTRODUCTION FROM CHAIRMAN OF COUNCIL AND THE
          ACTING VICE-CHANCELLOR

    2    CALENDAR OF MEETINGS 2006-2007

    3    PRIMARY RESPONSIBILITIES OF THE COUNCIL

    4    COUNCIL TERMS OF REFERENCE AND MEMBERSHIP

    5    PROFILES OF COUNCIL MEMBERS

    6    SENIOR MANAGEMENT STRUCTURE

    7    COMMITTEE CHARTS

                 -   Council and Joint Committees
                 -   Senate and Joint Committees
                 -   Standing Committees

    8    COURT STATUTE

    9    COUNCIL COMMITTEES - TERMS OF REFERENCE, MEMBERSHIP
         STANDING ORDERS

             -       Audit Committee

             -       Development, Communications and Marketing Committee

             -       Estates and IT Committee

             -       General Purposes and Finance Committee

             -       Nominations Committee

             -       Policy and Governance Committee

             -       Remuneration Committee

    10   SENATE TERMS OF REFERENCE AND MEMBERSHIP

    11   SENATE COMMITTEES - TERMS OF REFERENCE AND MEMBERSH

             -       Academic Development and Student Services



                                                                           24
                                  CONTENTS                                     PAGE

       -   Research and Innovation Committee

       -   Teaching and Learning Committee


12   JOINT COMMITTEES - TERMS OF REFERENCE AND MEMBERSHIP

       -   Appeal Board

       -   Disciplinary Committee

       -   Honorary Degrees Committee

       -   Research Ethics Committee


13   STANDING COMMITTEES - TERMS OF REFERENCE AND
     MEMBERSHIP

       - Academic and Academic Related Staff Progress Standing
         Committee

       -   Health and Safety Management Standing Committee

       -   Non-Academic Staff Progress Standing Committee

       -   Professoriate Standing Committee

14   POLICIES

       -   Notes on Administrative Practice

       -   Council Code of Practice

       -   Code of Ethics - University of Ulster

       -   Policy on the Security of Information

       -   Guidelines for Council Management Dealing with the Media and
           Responding to other Enquiries Covering University Business

       -   Delegated Authority Framework

       -   Security Classification Categories




                                                                          25
                           Corporate Plan 2006/07 to 2010/11
Foreword                                                                                                                i

Introduction                                                                                                            iii

The University’s Vision                                                                                                 v

Section                                                                                                           Page
1.    Our Aims ................................................................................................... 1

2.        Core Strategic Aims .............................................................................             2

               Strategic Aim 1 .................................................................................        2
               • Key Supporting Objectives ..................................................                           2
               • Risks ..............................................................................................   3
               • Metrics ..........................................................................................     3

               Strategic Aim 2 .................................................................................        4
               • Key Supporting Objectives ..................................................                           4
               • Risks ..............................................................................................   4
               • Metrics ..........................................................................................     5

               Strategic Aim 3 .................................................................................        6
               • Key Supporting Objectives ..................................................                           6
               • Risks ..............................................................................................   6
               • Metrics ..........................................................................................     6

               Strategic Aim 4 ................................................................................         7
               • Key Supporting Objectives ..................................................                           7
               • Risks ..............................................................................................   8
               • Metrics ..........................................................................................     8

               Strategic Aim 5 ................................................................................. 9
               • The Core Values ......................................................................... 9
               • Key Supporting Objectives ................................................... 10
               • Risks ................................................................................................ 10
               • Metrics ............................................................................................ 10

3.        Cross-cutting Aims .............................................................................. 11
             Aims 1 – 4 .......................................................................................... 11
             Aim 5 .................................................................................................... 12
             • Key Supporting Objectives .................................................. 12
             • Risks .............................................................................................. 13
             • Metrics .......................................................................................... 13
                                                                                                                  June 2006


                                                                                                                              26
  FOREWORD BY VICE-CHANCELLOR AND CHAIRMAN OF
                    COUNCIL

This Corporate Plan sets out the University’s overall Vision, Core Strategic
Aims, Cross-cutting Aims and key supporting objectives for the five-year
period from 2006/07 to 2010/11. It has been produced following extensive
engagement with staff in faculties and departments and reflects our shared
vision for the University. The development of the plan has benefited greatly, at
all stages, from the comments received from individuals, groups and
committees and we thank all of you who have contributed to its evolution.

The Corporate Plan sets a path for the future that has at its centre
inclusiveness, transparency and cohesiveness. It defines ‘what this University
is about’ and sets for us all a vision and core strategic aims that reflect our
distinctive mission, recognises our campus strengths while supporting a
unitary approach, and reflects a common purpose. The plan provides clarity,
in particular, regarding the role that the University will play in contributing to
the development of the region but it also recognises its contribution to, and
impact on, developments being progressed in national and international
arenas. It provides the overarching framework within which the University will
take forward key activities and gives guidance on where we will focus the
efforts of our staff and the targeting of resources. To this end the University’s
focus will be on providing excellent learning opportunities; excellence in
selected areas of research; promoting our leading role in widening access to
higher education; promoting creativity and innovation; and conducting our
activities in accordance with our core values and to the highest standards of
corporate governance. In all of these activities sustainability will be a common
theme for us to address, as will rewarding staff who contribute towards the
achievement of excellence.

While we do not underestimate the significant work that has been undertaken
already in each of these areas we still have substantial gains to make in order
to achieve our vision, and to compete in an ever more demanding operating
environment which will see the changing fee structure for students; an
increasingly competitive research environment; the need to facilitate widening
access and increased participation; increased demands for access to up-to-
date technology; and, within Northern Ireland, an uncertain arena for a return
to devolved government. This cannot be done in isolation and therefore at the
heart of this plan is an on-going commitment to partnership - partnership both
within the University through participation by all staff and externally at the
regional, national and international levels.



                                                                               27
We will face many challenges over the period of this Corporate Plan, in a fast
moving and ever-changing marketplace, and we will be faced with difficult
decisions. However, we believe that this plan provides a blue print for each of
us, and our partners, to engage with, to support and nurture and to be actively
participative in its delivery. Working together we can build on the University’s
strengths, exploit opportunities for the institution’s benefit and strive to
minimise risks and threats. Our core values will guide our day-to-day work,
personal standards and professionalism as we strive to achieve our vision.
Through an on-going commitment to improve our communications, at all
levels, and to ensure inclusiveness and transparency in our decision-making,
the University will facilitate discussion and debate with the aim of securing
collective ownership of decisions.

We look forward to your personal participation in delivering this plan. We
recognise the individual contributions that you make to the University on a
daily basis and for this we commend you. But we also ask you to continue to
work with us to improve and enhance the working environment, the
experience for our students, the University’s reputation (regionally, nationally
and internationally), and to thereby secure the University of Ulster’s future
success.




Gerry Burns                                                      Professor Richard Barnett
Chairman of Council                                                       Vice-Chancellor




                                                                             28
                              INTRODUCTION

In the University’s Corporate Planning Statement June 2005 a commitment
was given to revisit the Vision as part of the development of a new Corporate
Plan, during the 2005/06 academic year, and to assess its continued
relevance to the future direction and guidance of the University and its staff.

The process for developing the new Corporate Plan commenced on 5 May
2005 with a Senior Staff Corporate Planning session that focused on strategic
analysis. The Council then held a Corporate Planning Day on 1 September
2005, to consider the future strategic direction for the institution. The Council
was joined at the Planning Day by the Vice-Chancellor’s Advisory Group
(VCAG) whose members were present to provide clarification and advice
regarding the University’s current position and strategies. A report on
feedback received during the Council’s Planning Day was considered by
Council at its meeting in October.

As the process to develop a new Corporate Plan was refined consideration
was given to the detail of the plan; the approach to be adopted in order to
achieve a consensus regarding the Vision, Mission, Core Values and
Strategic Aims; and securing input from staff during the consultation process.

Consultation process

An email was issued to each member of staff, from the Chairman of Council
and the then Acting Vice-Chancellor, on 13 April 2006 inviting them to discuss
the draft Corporate Plan 2006/07 to 2010/11 “through formal faculty
governance structures, for example School Boards, and at team meetings in
central departments”. Views were also sought from the Students’ Union and
the Trade Unions.

Following careful consideration of the responses received during the
consultation period a number of substantive changes were made to the
Vision, Core Strategic and Cross-cutting Aims, and to the detailed key
supporting objectives. The Senior Management Group also made a
recommendation to the Council that the Mission Statement be dropped to
provide clarity and focus by concentrating on the new Vision and Corporate
Aims.

This Corporate Plan for the period 2006/07 to 2010/11 reflects responses
received during the consultation period and takes cognisance of the
recommendations of the Seven Year Review Committee. It establishes the


                                                                              29
University’s core business and activities for the foreseeable future; sets the
strategic direction for the next five-year period; and provides the overarching
framework within which the University will take forward the best interests of its
staff and students.

Next Steps

 • The Corporate Risk Register will be updated to reflect the risks
   established in the Corporate Plan 2006/07 to 2010/11 and will set out for
   each of them the business implications, potential root causes, controls
   and mitigating actions;

 • The Annual Business Plan for 2006/07 will be finalised and presented to
   Council in October 2006. During the academic year 2006/07 the plan will
   be monitored and a progress report prepared for Council at the end of
   each four month period;

 • Baseline information and annual targets, for the five-year period, will be
   set for each of the metrics incorporated in the Corporate Plan 2006/07 to
   2010/11 and presented to Council in October 2006. During the academic
   year 2006/07 and each academic year thereafter these will be monitored
   and reported to Council; and

 • The Corporate Plan will inform the preparation and update of other
   University strategies, and in particular the financial strategy and five year
   financial projections.




                                                                              30
    The University’s Vision

      “To be a university with a national and
international reputation for excellence, innovation
            and regional engagement”




Excellence, Innovation and Regional Engagement


                                                  31
                             1. Our Aims

To achieve its Vision and to ensure that it is enshrined in the day-to-day
operations of the University the institution has set five core strategic aims.
Four of these core strategic aims relate to what the University will seek to
achieve and one relates to how the University will seek to go about its
business. These are to:

Provide excellent learning opportunities which are student centred and
client focused.

Undertake excellent research in selected areas of activity.

Maintain the University’s position as a sector leader in widening access
to higher education.

Establish the University as a sector leader in promoting creativity and
innovation.

Conduct business in line with the University’s core values and to the
highest standards of corporate governance.

Underpinning these core strategic aims are five cross-cutting supporting aims.


These are to:


Contribute to the economic, social and cultural development of the
region and to promote the University and the region internationally.

Contribute to economic, social and cultural inclusion in the region.

Recognise and reward staff who contribute to the achievement of
excellence.

Exploit the University’s multi-campus and unitary structure to realise
successfully
its vision.


Ensure financial sustainability and work towards the achievement of
environmental sustainability.




                                                                           32
                      2. Core Strategic Aims
Strategic Aim 1

Provide excellent learning opportunities which are student
centred and client focused.

Key Supporting Objectives

• To ensure that all programmes of study meet relevant external
  benchmarks for standards and quality.

• To ensure, wherever possible and appropriate, that programmes of study
  lead to both an academic qualification and recognition by a professional
  body (co-terminous awards: an academic award and a fitness to practice).

• To ensure that programme developments enhance student employability
  by reflecting student and employer needs (regionally, nationally and
  internationally) and, as appropriate, government policy on skills, and that
  programmes of study prepare students for employment and further study.

• To facilitate participation by developing further e-learning and mixed-mode
  programmes of study and link further developments in this area more
  explicitly to the University’s regional and widening access agendas, in
  particular through the development of top-up degrees for those
  progressing from foundation degrees and other intermediate level
  qualifications.

• To offer a more demand led suite of part-time undergraduate and full-time
  and part-time postgraduate programmes of study which are relevant,
  student centred and client focused.

• To continue to develop collaborative provision, regionally, nationally and
  internationally and especially with local colleges/institutes of further and
  higher education.

• To continue to develop opportunities for Work Based Learning (WBL).

• To encourage all academic staff to undertake scholarly activity to support
  learning and teaching and enhancement of their subject.

• To provide a relevant range of personal support mechanisms to students
  throughout their studies to encourage them to achieve their full potential


                                                                           33
  once admitted to the University.

• To continue to develop relevant teaching and learning services in support
  of programmes of study and the student community.

 Risks

 • Failure to continue to achieve the national and international standards
   that demonstrate ‘excellence’ in the University’s learning opportunities

 • Failure to anticipate and respond to market demand from students,
   employers and government

 Metrics

 • Employment statistics

 • Outcomes of audit visits and reports from Public and Statutory
   Professional Bodies (PSPB)

 • Student complaints

 • Number of students progressing to UU courses from Further Education
   (FE) sector

 • Student numbers: -

   -   Full-time
   -   Part-time
   -   E-learning
   -   Overseas

 • Percentage of students who are non-DEL funded and non-DHSSPS
   funded

 • Progression Rates for 1st year students (non completion rates)

 • Qualification outcomes – Percentage 1st, 2:1, 2:2, 3rd

 • Student satisfaction – National Student Survey

 • Student Charter and Support Charters

 • Employer feedback


                                                                              34
Strategic Aim 2

Undertake excellent research in selected areas of activity.

Key Supporting Objectives

 •   To continue with the policy of research selectivity with the aim of
     ensuring that all selected areas are both nationally recognised as
     excellent and contain a number of sub-areas which are internationally
     recognised as excellent.

 •   To focus research funding to ensure financial sustainability (by
     maximising attraction of full economic costing) and enhance status.

 •   To continue to provide the environment to increase research student
     numbers and improve quality.

 •   To facilitate selective research collaborations regionally, nationally and
     internationally.

 •   Where appropriate, to promote the transfer of research into wealth
     creating or social development activities.

 •   To ensure that the University’s research findings are accessible to the
     region and the wider community.

 Risks

 •   Risk/opportunity arising from the University’s performance in RAE 2008

 •   Failure to implement effectively research selectivity

 •   Failure to attract appropriate levels of research funding

 •   Failure to sustain research investment

 •   Failure to attract/retain high calibre research students




                                                                            35
Metrics

• Research Institute output targets

  - 2*
  - 3*
  - 4*

• Number of Research Institute staff scoring at least 2* in RAE 2008 as a
  percentage of the number submitted

• Increased number of research students annually

• Increased number of externally funded (i.e. non-DEL funded) research
  students, including overseas students

• Number of PhD students, DEL and non-DEL, who completed in last 3
  years within specified deadlines

• Increased quantity and success rate of grant applications to UK Research
  Councils

• Increased research income as a percentage of total annual university
  income and with increased recovery of non-direct costs




                                                                            36
Strategic Aim 3

Maintain the University’s position as a sector leader in
widening access to higher education.

Key Supporting Objectives

•   To continue to recognise that students can demonstrate the aptitude and
    ability to benefit from higher education by a variety of means and to
    continue to explore further means by which such aptitude and ability
    might be demonstrated.

•   To work in partnership to ensure that all entry routes are clearly
    articulated and accorded parity of esteem.

•   To continue to review and enhance learning, teaching and support
    activities at first year undergraduate level, in recognition of the fact that
    students will enter the University with a variety of knowledge and skill sets
    and with the objective of improving retention rates and maintaining
    standards.

•   To extend the University’s positive intervention policies with the objective
    of both raising aspirations, widening access, and promoting equality of
    opportunity.

 Risks

 • Failure to maintain and build on the University’s existing position

 • Risk/opportunity arising from expansion of the Step Up initiative to Belfast

 • Risk/opportunity arising from the University’s ability to influence
   government’s funding of widening access initiatives

 • Risk of not achieving widening participation targets without an increase in
   student numbers

 • Failure of staff to take ownership of the University’s Widening
   Participation Strategy




                                                                              37
Metrics

• Percentage of students from socio-economic groups

• Number of students admitted from sections of society that are under-
  represented in higher education

• Retention rates by: -

  -   Campus
  -   Faculty
  -   School
  -   Entry mode




                                                                         38
Strategic Aim 4

Establish the University as a sector leader in promoting
  creativity and
innovation.

Key Supporting Objectives

• To develop further creativity and innovation, including entrepreneurship,
  within the curriculum.

• To develop further the University’s knowledge and technology exchange
  activities, especially with regard to the innovation centre and University
  consultancy activity, knowledge and technology partnership (KTP)
  activities and other business and community interactions.

• To develop further programmes of study, research and knowledge and
  technology exchange activity, which support the development of the
  creative industries.

• To develop further the University’s work in the area of management
  innovation, especially as it relates to the Small Medium Enterprise (SME)
  sector.

• To establish the University as the leading university for sport on the island
  of Ireland.




                                                                            39
Risks

• Risk/opportunity arising from the University’s activities to promote
  creativity and innovation

• Failure to incentivise staff to recognise the benefits of engaging in
  promoting creativity and innovation activities

• Failure to provide appropriate support for staff to facilitate and underpin
  their work in promoting creativity and innovation

• Failure to attract, manage, prioritise and monitor funds



Metrics

• Number of new courses developed aimed at the creative industries

• Average number of students per course

• Number of students completing study in entrepreneurship

• Increase in profitability and reputation of Consultancy and Academic
  Enterprise

• Increased number and range of academic secondments into industry

• Increased number and range of (live) KTP programmes

• Increased number and range of FUSION programmes

• Increased number of Sponsored Research Awards (CAST)

• Increased University participation in InvestNI funded Research and
  Development projects

• Increased number and range of sport related programmes

• Increased participation in sport and physical activity

• Increased regional, national and international success



                                                                                40
Strategic Aim 5

Conduct business in line with the University’s core values
and to the highest standards of corporate governance.

The University’s Core Values

  The core values of the University are to:



  •   See all students and members of staff as individuals with their own
      needs;

  •   Provide quality learning and development for students and staff;

  •   Respect ourselves and those we deal with and to be accountable for
      what we say and do;

  •   Work together with trust, openness and honesty;

  •   Value diversity and inclusiveness and see everyone as an equal;

  •   Be creative and adapt to the challenges of change; and

  •   Take pride in how we do our work.




                                                                            41
Key Supporting Objectives

• To embed the core values by:

    -   enhancing two-way communication;

    -   encouraging and facilitating participative decision-making, including
        student input through appropriate mechanisms;

    -   developing further the staff reward and recognition system with the
        objective of supporting “excellence in diversity” and according parity of
        esteem to the different contributions to excellence; and

    - developing further staff development activities to facilitate staff to
      achieve excellence in their area of work.

• To ensure that staff engage on an on-going basis in appropriate career
  development and Continuing Professional Development (CPD) activities.

Risks

•   Lack of commitment to the core values by staff at all levels

•   Lack of visible demonstration of the core values in the conduct and work
    of all staff

•   Lack of commitment to the vision and core strategic aims

Metrics

•   Staff questionnaire/attitude survey

•   Questions/issues raised at the Vice-Chancellor’s road shows

•   Percentage of staff undertaking CPD activities




                                                                              42
                        3. Cross-cutting Aims

Following careful consideration of the cross-cutting aims the University has
determined that, while it is essential to have them articulated as they are
integral to the achievement of the core strategic aims and underpin them, it is
not desirable or necessary to set separate key supporting objectives for each
of them. Indeed for the first four cross-cutting aims the University is of the firm
view that the objectives that could be set for them are reflected in those
already established under the five core strategic aims. However for the fifth
cross-cutting aim the University has identified specific objectives relating to
sustainability and securing funding to achieve its vision.



  Cross-cutting aim 1:
  Contribute to the economic, social and cultural development of the region
  and to promote the University and the region internationally.

  Cross-cutting aim 2:
  Contribute to economic, social and cultural inclusion in the region.

  Cross-cutting aim 3:
  Recognise and reward staff who contribute to the achievement of
  excellence.

  Cross-cutting aim 4:
  Exploit the University’s multi-campus and unitary structure to realise
  successfully its vision.




                                                                                43
  Cross-cutting aim 5:
  Ensure financial sustainability and work towards the achievement of
  environmental sustainability.

The key supporting objectives, risks and metrics for Cross-cutting aim 5 are
set out below.


Key Supporting Objectives

 • To work in partnership with internal and external stakeholders to achieve
   a financially sustainable expansion of the Magee Campus whilst
   maintaining the financial sustainability of other campuses.

 • To ensure that the University’s overall activities are financially sustainable
   by achieving the required return on income to support future investment.

 • To direct future investment to those activities that support and sustain the
   achievement of the University’s core strategic aims.

 • To develop further a risk based approach to the review of existing and
   future business.

 • To ensure that current and future activities are centred around fitness for
   purpose and financial sustainability.

 • To provide continued and targeted investment in staff and infrastructure.

 • To ensure the effective and efficient provision of all of the University’s
   activities and to ensure that they represent value for money.

 • To work towards environmental sustainability in the provision and
   management of the University’s physical estate and to promote an
   environmentally friendly transportation policy.




                                                                              44
Risks

• Failure to identify and manage the funds necessary to achieve the
  University’s vision and core strategic aims

• Risk/opportunity to maintaining and protecting existing funding streams
  while diversifying funding streams

• Failure to prioritise within funds available

• Failure to achieve an appropriate balance in investment in staff
  infrastructure and technology

• Failure to influence government policy to ensure parity between Northern
  Ireland funding (models) and funding provided in other parts of the UK

Metrics

a) Financial
   • Surplus as a percentage of income
   • Staff costs as a percentage of income
   • Operating surplus/(deficit) based on full economic costing
   • Non-MaSN activity as a percentage of MaSN activity
   • Increased percentage of total budget from non-government funding
   • Staff retention rates by staff category
   • Utilisation of facilities
   • Total capital spend against re-valued assets

b) Environmental
   • Energy consumption
   • CO2 emissions




                                                                            45
    Delegated Authority Framework Appendix
    Delegated Authority Framework Appendix 55


                                                                                                                 DECISION BY OR ROLE OF;

STATUTE             DESCRIPTION       DECISION BY COUNCIL         DELEGATED
REFERENCE                                                         TO

                                                                                 CHAIRMAN         SENIOR                VICE-                DIRECTOR/SENIOR OFFICER
                                                                                                  MANAGEMENT            CHANCELLOR
                                                                                                  GROUP
                    Corporate and     Sets initial strategic      Retained By    Writes            Approves             Approves             All senior officers contribute to the
Article 16 of the   Business Plan     direction and approves      the Council    Chairman’s       submission of draft   submission of        development of the Corporate and
Charter and         and budget        plans submitted by the      or to Policy   introduction     Corporate and         Corporate Plan       Business Plan. Director of
                                      Senior Management           and            to Corporate     Business Plan to      and Business         Corporate Planning and
XVI 9 (M) (1)                         Group and monitors          Governance     Plan             the Council           Plan to Senior       Governance leads co-ordination
                                      performance against key     Committee                                             Management
                                      performance indicators                                                            Group. Writes
                                                                                                                        Vice-Chancellor’s
                                      Key Council Function                                                              introduction to
                                                                                                                        Corporate Plan
VI 11, 13           Standing          Approves                    Policy and     The                                                         Director of Corporate Planning and
                    Orders for all                                Governance     Chairman, in                                                Governance /University Secretary
                    University                                    Committee      conjunction                                                 responsible for developing Standing
                    committees                                                   with the                                                    Orders
                                                                                 University
                                                                                 Secretary, is
                                                                                 the final
                                                                                 authority on
                                                                                 the
                                                                                 interpretation
                                                                                 of Standing
                                                                                 Orders
XVI 11, 13          Code of           Approves overall policies   Policy and     Approves                               Overall              Director of Finance / Director of
                    Conduct,                                      Governance     attendances                            responsibility for   Corporate Planning and
                    Register of                                   Committee      of members                             director/senior      Governance develops and drafts
                    Interests etc                                                at                                     officer              policies
                    and Hospitality                                              conferences
                                                                                 etc

                                                                                                                                                                             46
                                                                                                              DECISION BY OR ROLE OF;

STATUTE         DESCRIPTION      DECISION BY COUNCIL         DELEGATED
REFERENCE                                                    TO

                                                                            CHAIRMAN         SENIOR                 VICE-                 DIRECTOR/SENIOR OFFICER
                                                                                             MANAGEMENT             CHANCELLOR
                                                                                             GROUP
XVI 9 (M) (5)   Management       Approves overall policies   Estates and                     Agrees submission      Approves              Director of Information Services
                and control of                               IT Committee                    to the Council for     submission of         develops, drafts and implements
                computer                                                                     approval               policies to the       policy
                systems and                                                                                         Senior
                facilities                                                                                          Management
                                                                                                                    Group
XVI 9 ( C )     Human            Approves Strategy           GPFC                            Approves               Approves              Director of Human Resources
                Resource                                                                     submission of          submission of         prepares and drafts policy in
                Policy                                                                       Policy to the          policy to Senior      conjunction with other senior
                                                                                             Council                Management            officers
                                                                                                                    Group

XVI 9 (M) (5)   Estates          Approves the general        Estates and                     Approves               Approves              Director of Physical Resources
                Strategy         policy in respect of land   IT Committee                    submission of          submission of         decides policy and is responsible
                                 acquisitions, sale,                                         policy to the          policy to Senior      for the design and management of
                                 exchange or reservation                                     Council                Management            capital schemes, surveys, land and
                                 of land – buildings and                                                            Group                 building acquisition and disposal.
                                 the apportionment of                                                                                     Director to have overall
                                 proceeds as required                                                                                     responsibility for day-to-day
                                                                                                                                          management of land and buildings
XVI 9 (N)       Audit            Approves audit              Audit          Encourages       Reviews action         Ensures action             1 PVC          Teaching & Le
                                 arrangements through        Committee      the Council to   taken as a result of   points are                     Provides Secretariat to
                                 Audit Committee                            direct action    audit                  implemented by                 committee
                                                                            on points        recommendations        all Senior Officers
                                 Key Council Function                       raised by                                                        2   All Senior Officers to
                                                                            external and                                                         implement internal and
                                                                            internal audit                                                       external audit
                                                                            reports                                                              recommendations




                                                                                                                                                                          47
                                                                                                           DECISION BY OR ROLE OF;

STATUTE         DESCRIPTION      DECISION BY COUNCIL         DELEGATED
REFERENCE                                                    TO

                                                                           CHAIRMAN        SENIOR                VICE-                DIRECTOR/SENIOR OFFICER
                                                                                           MANAGEMENT            CHANCELLOR
                                                                                           GROUP
XVI 9           Urgent           Endorses Chairman’s                       Takes                                 Advises the          Senior Officers to advise as
                Decisions        action.                                   Chairman’s                            Chairman on          appropriate
                                                                           Action as                             matters that
                                                                           appropriate                           require urgent
                                                                           and reports                           decisions
                                                                           to the next
                                                                           Board
                                                                           Meeting
XVI 9 (M) (1)   Financial        Approves policies and       GPFC                          Agrees submission     Is the Accounting    Director of Finance develops and
                Policies         amendments                                                of policies,          Officer and has      drafts policy for agreement by
                                                                                           delegated authority   overall executive    Senior Management Group. Drafts
                                                                                           limits and standing   responsibility for   financial delegated authority limits
                                                                                           financial             financial            for levels of management in the
                                                                                           arrangements to       arrangements         University
                                                                                           the Council
XVI 9 ( C )     Staff Training   Endorse overall , high      GPFC                          Agrees strategy       Provides             PVC Teaching and Learning
                and              level strategy                                                                  executive            responsible for development and
                Development                                                                                      leadership and       implementation of strategy
                                                                                                                 commitment to
                                                                                                                 staff development
XVI 9           Corporate        Approves policies, play     Development   Directs         Agrees strategy for   Key Member of        Director of Development develops
                Development      active role                 and           overall         submission to the     development          policy and strategy and is
                and                                          Marketing     involvement     Council               committee            responsible for operational
                Fundraising                                  Committee     of individual                                              implementation
                                                                           members of
                                                                           the Council
                Marketing,       Approves overall strategy   Development   Agrees                                                     Director of Public Affairs develops
                Communication                                and           statements to                                              strategy and policies and
                s, PR and                                    Marketing     be issued on                                               implements approved policies.
                Consultations                                Committee     behalf of the                                              Director of Corporate Planning and
                                                                           Council                                                    Governance co-ordinates Council
                                                                                                                                      communications.



                                                                                                                                                                     48
                                                                                                       DECISION BY OR ROLE OF;

STATUTE         DESCRIPTION     DECISION BY COUNCIL          DELEGATED
REFERENCE                                                    TO

                                                                            CHAIRMAN   SENIOR                VICE-               DIRECTOR/SENIOR OFFICER
                                                                                       MANAGEMENT            CHANCELLOR
                                                                                       GROUP
XVI 9 (M) (1)   Delegation of   Accepting and approving      GPFC                      Agrees Submission     Agrees              Director of Finance to draw up
                Budgets and     delegated budget                                       of Procedures to      submission of       proposals for individual budgets
                approval to                                                            Council               procedures to       within the limits and plans of the
                spend funds                                                                                  Senior              board. Individual Senior Officers to
                                                                                                             Management          accept responsibility for budgets
                                                                                                             Group               and to delegate to individual budget
                                                                                                                                 holders as required



XVI 9 (N)       Risk            Approves Risk                Retained by                                     Provide             Director of Corporate Planning and
                Management      Management Strategy          the Council                                     assurances and      Governance to Coordinate
                                                             or to Policy                                    advise to the       University Risk Management
                                Key Council Function         and                                             Council on the      Strategy and Risk Management
                                                             Governance                                      University’s risk   Register. Other senior managers
                                                             Committee                                       position            responsible for risk register in their
                                                                                                                                 area and signing stewardship
                                                                                                                                 statement
XVI 9 (M) (6)   Procurement     Agrees tendering limits as   GPFC                      Approves limits for   Approves limits     Director of Finance develops
                                part of financial policies                             submission to the     for submission      proposals for delegated authority
                                                                                       Council               to Senior           limits. Senior Officers responsible
                                                                                                             Management          for ensuring that these limits are
                                                                                                             Group               appropriately applied
XVI 9 (M) (1)   Subsidiary      Approves overall strategy    Policy and                Approves              Approve             Nominated officer for each
                Companies       for third leg activities     Governance                submission of         submission of       subsidiary company reports to
                                                             Committee                 reports and           reports and         Senior Management Group and
                                                                                       procedures to         procedures to       fulfils the role of the nominated
                                                                                       Council               Senior              officer outlined in the Robson
                                                                                                             Management          Rhodes guidance, and as agreed
                                                                                                             Group               as part of the governance
                                                                                                                                 framework for each company




                                                                                                                                                                 49
                                                                                                        DECISION BY OR ROLE OF;

STATUTE     DESCRIPTION      DECISION BY COUNCIL          DELEGATED
REFERENCE                                                 TO

                                                                         CHAIRMAN        SENIOR              VICE-               DIRECTOR/SENIOR OFFICER
                                                                                         MANAGEMENT          CHANCELLOR
                                                                                         GROUP
XXI         Student          Approve the Student’s        GPFC                           Approves Policies   Approves policies   Pro Vice-Chancellor for Academic
            Support and      Union Constitution and                                      for Submission to   for submission to   Development and Student Services
            Welfare (to      approve overall strategy                                    the Council         the Senior          develops overall strategy and
            include          for Student Support and                                                         Management          policies for the provision of student
            responsibility   Welfare                                                                         Group               support and welfare services. Pro
            for Students                                                                                                         Vice-Chancellor for Communication
            Union)                                                                                                               and Institutional Development
                                                                                                                                 develops proposals for the
                                                                                                                                 constitution of the students union
                                                                                                                                 and oversees the implementation of
                                                                                                                                 those proposals when agreed
                                                                                         Approve policies    Approves policies   PVC Teaching and Learning
XVI 9 (M)   Equality         Approves overall strategy    Policy and                     and reports for     and reports for     develops policies and strategies
                             for compliance with          Governance                     submission to       submission to       and implements approved policies
                             section 75 of the Northern   Committee                      Council             Senior              and strategies.
                             Ireland Act and the                                                             Management
                             European Convention on                                                          Group
                             Human Rights
                             Appoint Vice-Chancellor      Joint          Chair joint                                             Director of Corporate Planning and
VI          Appointment of   and agree procedure for      Committee of   committee                                               Governance and Director of Human
            Vice-            monitoring performance       Council and    and oversee                                             Resources lead Officers
            Chancellor and                                Senate to      the
            Monitoring of                                 make           monitoring of
            his/her          Key Council Function         recommendat    the
            performance                                   ions to the    performance
                                                          Council        of the Vice-
                                                                         Chancellor




                                                                                                                                                               50
                                                                                                         DECISION BY OR ROLE OF;

STATUTE         DESCRIPTION     DECISION BY COUNCIL         DELEGATED
REFERENCE                                                   TO

                                                                         CHAIRMAN         SENIOR                VICE-               DIRECTOR/SENIOR OFFICER
                                                                                          MANAGEMENT            CHANCELLOR
                                                                                          GROUP

XVI 10 and 11   Effectiveness   To consider outcomes of     Policy and   Ensures the      Provide appropriate   To lead the         Director of Corporate Planning and
                Reviews         effectiveness reviews and   Governance   establishmen     input on the          implementation of   Governance to provide
                                oversee recommended         Committee    t of, and        workings of the       agreed changes      administrative support and co-
                                change                                   oversees the     Council and its                           ordinate reviews
                                                                         operation of ,   committees
                                                                         appropriate
                                                                         committees




                                                                                                                                                                 51

				
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