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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
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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.
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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
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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.
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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
