Risk, Description and Owner / Controls Required / Control In Place and Working / Evidence of Control in Place / Control Owner / Overall Control Status & Proposed additional control measures
STRATEGIC OBJECTIVE 1: TOP 20 IN THE UK FOR RESEARCH
SR1A Failure to publish adequate research outputs
Risk owned by Nick Wright
Triggered by:
  1. Failure of PDR framework
  2. Resistance from staff
  3. Management inaction
  4. HEFCE QR funding removed for 2* research
Consequences:
  1. Reduced funding after next REF
  2. Loss of reputation
/
  1. Monitoring of research outputs through MyImpact.
  1. Comprehensive system of Performance & Development Review (PDR) in place and fully implemented.
/ In part
No / MyImpact IT System, Monitoring by URC and EB
SAP HR System / Deans of Research
C Day, S Homans, C Harvey / Overall Status:
AMBER
1.Work towards the REF raises concerns given the removal of 2* funding.
2. Securing a much higher coverage of the PDR system is a key management objective.
KPI: Research Output - Impact Relative to World 2003 – 2012

Impact relative to world is defined as “the percentage of documents that have been cited relative to the total number of documents cited in the world (a value greater than 1 indicates the impact is better than the average for the world).” / Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 4 / 3 / 12
STRATEGIC OBJECTIVE 1: TOP 20 IN THE UK FOR RESEARCH
SR1B Failure to obtain new research grants and contracts
Risk Owned by Nick Wright
Triggered by:
  1. Reduction in budgets for research support
  2. Failure to develop research initiatives
  3. Failure to respond to changes in respective research markets
Consequences:
  1. Loss of revenue
  2. Underutilisation of resources
/
  1. Monitoring and benchmarking of awards and income through University Research Committee and EB.
  1. Continued monitoring of changes in priorities and delivery plans of major funder at Faculty and institutional level.
  1. Faculty Plans.
/ Yes
Yes
Yes / Research Committee Papers
Research Committee Papers
Planning Process / D Hill
C Day, S Homans, C Harvey
C Day, S Homans, C Harvey / Overall Status:
AMBER
Status reflects national budgets being frozen and changing priorities of funders evidenced through delivery plans.
.
Newcastle University – Research Grants and Contract Income

/ Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 4 / 2 / 8
STRATEGIC OBJECTIVE 1: TOP 20 IN THE UK FOR RESEARCH
SR1C Failure to recover sufficient research income
Risk owned by Chris Day, Steve Homans and Charles Harvey
Triggered by:
  1. Failure to secure sufficient research contribution
  2. Failure to price funding applications appropriately
  3. Failure to understand our cost base
  4. Change in funder policies to reduce contribution
  5. Overemphasis on income sources where sponsors will not fund at approaching FEC
Consequences:
  1. Insufficient income generated to support renewal of research infrastructure
  2. Inability to contribute to general support
/
  1. Clear understanding of the research cost base
  1. Robust application costing and pricing system in place
  1. Clear guidance to academic staff on the importance of contribution and margin on research income to their Unit/Faculty
  1. Clear policy for using contribution and margin from research awards for the human and capital infrastructure in a way that incentivises staff and supports the strategic objectives of the Faculty as a whole
  1. Planning and monitoring process in place to revise income portfolio to favour sponsors funding close to FEC
/ Yes
Yes
Yes
Yes
Yes / TRAC return to HEFCE
MyProjects
system
Guidance on web, minutes of FEB (FMS)
Capital Capacity Fund in SAgE, Sustainability pot in FMS and HaSS
Faculty plans,
KPIs set and monitored in Annual planning meetings (FMS and SAgE) / C Day, S Homans, C Harvey
Director of RES
C Day, S Homans, C Harvey
C Day, S Homans, C Harvey
C Day, S Homans, C Harvey / Overall Status:
GREEN
KPI
/ Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 3 / 4 / 12
NET / 3 / 3 / 9
STRATEGIC OBJECTIVE 2: TOP 20 IN THE UK FOR STUDENT SATISFACTION
SR2A Failure to recognise student expectations and to deliver on the student experience
Risk owned by Suzanne Cholerton
Triggered by:
  1. Lack of good quality teaching and IT facilities
  2. Teaching that does not support the student learning experience
  3. Staff not engaging with students
  4. Failure to provide sufficient good quality student accommodation
  5. Failure to deliver value for money
Consequences:
  1. Poor performance in NSS, ISB, PRES, PTES and League Tables
  2. Failure to attract students in sufficient numbers and of sufficient quality
  3. Reputational damage
  4. Poor continuation rates
/
  1. Clear and owned Learning, Teaching and Student Experience Strategy. Revised Learning, Teaching and Student Experience Strategy to be approved in December 2013.
  1. Implementation of Newcastle University offer for undergraduates across campuses. Development of Offer for postgraduate taught student experience
  1. Local and University-wide systems for student engagement, consultation and feedback established
  1. High quality services provided for students – sport, library, computing, student progress service, student wellbeing service.
  1. Investment planned for student residential accommodation
  1. Opportunities for employment related skills development open to all.
/ Yes
Yes
Yes
Yes
Yes
Yes / Learning, Teaching and Student Experience Strategy
Activities monitored by ULTSEC governance structure
Institutional Student Representation Policy. Implementation of student module evaluation system monitored by ULTSEC
Annual Plans published and delivery monitored by ULTSEC
Accommodation Strategy
Careers Service Annual Report monitored by ULTSEC / S Cholerton
S Cholerton
S Cholerton
L Braiden
M Hunter
M Lintern / Overall Status:
AMBER
KPI: National Student Survey Overall Satisfaction Scores
2009 / 2010 / 2011 / 2012 / 2013
Question 22. Overall, I am satisfied with the quality of the course. / 87% / 87% / 89% / 89% / 90%
Newcastle rank joint 9th for overall satisfaction for the comparator group of 35 institutions.
Newcastle overall satisfaction target is 90%. / Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 4 / 3 / 12
STRATEGIC OBJECTIVE 2: TOP 20 IN THE UK FOR STUDENT SATISFACTION
SR2B Failure to maintain teaching quality and standards
Risk owned by Suzanne Cholerton
Triggered by:
  1. Failure to commit to the Newcastle Offer
  2. Poor performance of academic staff
  3. Loss of key academic staff
  4. Loss of teaching facilities
  5. Poor teaching facilities
  6. Failure to meet external accreditation standards
  7. Failure of quality assurance processes
  8. Failure to implement November 2009 QAA Audit recommendations
Consequences:
  1. External accreditations withdrawn
  2. Damage to reputation
  3. Difficult to attract students
  4. Poor NSS, ISB, PRES and PTES scores
/
  1. Clearly articulated and owned Learning, Teaching and Student Experience Strategy. Revised Learning, Teaching and Student Experience Strategy to be approved in December 2013.
  1. Quality assurance mechanisms in place for internal and external validation.
  1. Implementation of student module evaluation system
  1. Comprehensive system of Performance and Development Review (PDR) and effective management of staff in place.
  1. Implement Action Plan for QAA Institutional 2009 Audit recommendations.
  1. Work with schools to improve NSS, ISB, PRES and PTES performance.
  1. Investment in spaces and facilities, combined with high quality services provided for students – estates, sport, library, computing, student progress service, student wellbeing service.
/ Yes
Yes
No
Yes
Yes
Yes
Yes / Learning, Teaching & Student Experience Strategy
ULTSEC minutes
Steering Group and Scorecard
SAP HR System
QAA comments.
NSS Scores on Planning Website. Action plans monitored by ULTSEC governance structure
Annual Plans published and delivery monitored by ULTSEC / S Cholerton
E Clewlow
L Braiden
C Day, S Homans, C Harvey
E Clewlow
S Cholerton
C Day, S Homans, C Harvey
S Cholerton / Overall Status:
GREEN
Implementation of institution-wide student module evaluation system 13/14
  1. QAA recognition that ‘the University appears to have made good progress in addressing the recommendations of the Institutional Audit’, April 2010.

KPI: National Student Survey – Overall School Satisfaction
Council Key Performance Indicator Target is for all schools to have a 90% minimum for Overall Satisfaction.
/ Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 4 / 2 / 8
STRATEGIC OBJECTIVE 2: TOP 20 IN THE UK FOR STUDENT SATISFACTION
SR2C Failure to achieve widening participation benchmarks and Access Agreement milestones
Risk owned by Suzanne Cholerton
Triggered by:
  1. Decreasing numbers of appropriate student applications
  2. Loss of or reduction in targeted funding
  3. Change to fee regime
  4. Change to HEFCE number controls
Consequences:
  1. Reputational damage
  2. Loss of W.P. income and some threat to fee income
  3. Inability to charge higher fees for Home Undergraduates
/
  1. Widening Participation Strategy and Widening Participation Strategic Statement (WPSS) in place and updated annually.
  1. Strong and well-established PARTNERS Programme and partnerships with 130 schools and colleges in target regions. Strong links with others in broad Northern region (through Graduate Ambassadors) and plans for significant growth.
  1. Setting and agreeing WP targets for Schools in context of HEFCE number controls and Access Agreement targets
  1. Admissions Policy reviewed and revised annually.
/ Yes
Yes
Yes
Yes / 2014 Access Agreement; WPSA; Admission of students through schemes and WP progress
External moderator and evaluation reports; Number of partnerships, Student & Grad Ambassadors
Planning and delivery of annual Admissions Strategy (Agreed ABB+ strategy doc); faculty and School WP targets
UG Admissions Policy and Minutes of Fair Access Committee / L Braiden
L Braiden
L Braiden,
S Homans,
C Harvey,
C Day
K Hind / Overall Status:
AMBER
LPN intake has been broadly in line with HESA benchmarks since 2005-06. Other WP benchmarks (state schools; NS-SEC 4-7) more challenging to meet.
All WP benchmarkssignificantly exceeded for regional intake. University strategy for recruitment from outside the region is to be a net importer of talent to the North East.
Many of the factors that affect WP are outside University control and influence e.g. structural inequalities.
KPI: Young full-time first degree entrants from low participation neighbourhoods

/ Progress over Time: PROBLEMATIC/Satisfactory/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 4 / 4 / 16
STRATEGIC OBJECTIVE 3:FOCUS ON THREE SOCIETAL CHALLENGE THEMES: AGEING; SOCIAL RENEWAL; SUSTAINABILITY
SR3A Failure to develop Newcastle Science City in a manner consistent with the Strategic Overview
Risk owned by Nick Wright
Triggered by:
  1. Disagreements with partner
  2. New national policies
Consequences:
  1. Reputational damage
  2. Unsustainable estate
  3. Significant financial losses
/
  1. Formal partnership structure established with the City.
  1. University Special Interest Group containing members of Council.
/ Yes
Yes / Two Page Document ‘Science City Formal Company Structure,’ 6 month reports to Council
Special Interest Group / N Wright
N Wright / Overall Status:
GREEN
The relationship with the City Council is strong.
Need to appoint a new CEO of Science City Co.
KPI: Research Income from Industry (£000s)
2008/09 / 2009/10 / 2010/11 / 2011/12 / 2012/13
UK industry, commerce & public corporations / 4,154 / 4,375 / 5,864 / 3,911 / 4,169
EU industry, commerce & public corporations / 506 / 571 / 647 / 856 / 547
Non-EU industry, commerce & public corporations / 1,468 / 1,088 / 992 / 1,583 / 1,963
TOTAL / 6,128 / 6,034 / 7,503 / 6,350 / 6,679
/ Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 3 / 3 / 9
STRATEGIC OBJECTIVE 3: FOCUS ON THREE SOCIETAL CHALLENGE THEMES: AGEING; SOCIAL RENEWAL; SUSTAINABILITY
SR3B Failure to gain institutional buy in to the societal challenge themes concept.
Risk owned by Nick Wright
Triggered by:
  1. Failure to communicate issues
  2. Staff resistance
Consequences:
  1. Failure to achieve strategic objective
  2. Loss of partnership opportunities
  3. Reputational damage
/
  1. Strategic funds available to support initiatives.
  1. Faculty management structure established for each theme from year 2 on.
/ Yes
Yes / Annual budget round
Institute structure in faculties / R Dale
C Day, S Homans, C Harvey / Overall Status:
AMBER
Societal Challenge Themes
The identification and establishment of 3 themes;
  • Ageing– Featured the Changing Age campaign, which is now being sustained in the Faculty of Medical Sciences. Institute for Ageing and Health has been the driving force behind the vision for a unique Campus for Ageing and Vitality.
  • Sustainability – Led by SAgE Faculty. Newcastle Institute for Research on Sustainability (NIReS).
  • Social Renewal – Led by HaSS Faculty. Newcastle Institute for Social renewal created as a hub for research activity.
/ Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 3 / 4 / 12
NET / 3 / 2 / 6
STRATEGIC OBJECTIVE 3: FOCUS ON THREE SOCIETAL CHALLENGE THEMES: AGEING; SOCIAL RENEWAL; SUSTAINABILITY
SR3C Failure to secure and exploit intellectual property assets
Risk owned by Nick Wright
Triggered by:
  1. Loss of IP asset to third party
  2. No use made of IP asset
Consequences:
  1. Missed reputation enhancement opportunities
/
  1. Policies to protect patents approved and communicated.
  1. Angel Alliance established with Durham.
  1. Faculty Deans appointed to lead on the processes supported by Research and Enterprise Services.
/ Yes
Yes
Yes / Patents approved and communicated
Angel Alliance Web Page
Patents and Spin Offs / Director of RES
N Wright
C Day, S Homans, C Harvey / Overall Status:
GREEN
KPI: Patents Filed/Granted and Company Spin Outs
2008/09 / 2009/10 / 2010/11 / 2011/12 / 2012/13
Number of Patents Filed / 21 / 22 / 20 / 23 / 17
Number of Patents Granted / 6 / 3 / 2 / 4 / 4
2007/08 / 2008/09 / 2009/10 / 2010/11 / 2012/13
Number of new Spin Out companies created / 5 / 3 / 5 / 5 / 1
2012/13 numbers are preliminary / Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 3 / 3 / 9
NET / 3 / 3 / 9
STRATEGIC OBJECTIVE 4:A SIGNIFICANT INTERNATIONAL, NATIONAL AND REGIONAL PROFILE AND REPUTATION
SR4A Failure to develop a significant international profile
Risk owned by Ella Ritchie
Triggered by:
  1. Failure to leverage reputational capital from our diverse international activity
  2. Failure to provide sufficient governance and support services for international projects
  3. Failure to capitalise on SIT initiative
  4. Failure to develop NUMED Malaysia as a high quality international branch medical campus
Consequences:
  1. Loss of revenue.
/
  1. Strategic framework for internationalisation agreed.
  1. International Executive Group co-ordinating and tracking activity to ensure a “One University” approach.
  1. Use membership of the Russell Group, UUK International and Europe Board and EUA to leverage international profile.
  1. Business case procedures used for all international projects.
  1. Ensure that SIT project delivers programmes and complies with QA. ULTSEC ensures QA compliance
  1. Ensure NUMed Malaysia is developed within budget, meeting GMC and other regulatory requirements and with operational integration with the Faculty.
  1. Business partnership with INTO.
  1. Reputation and Ranking SIG recommendations including investment in overseas PR and THE supplement
  1. Action plan for development of international profile, agreed by Executive Board and Council
  1. Responsibility for international activity allocated to an EB member
/ Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
In part
Yes / The international strategy and implementation plan
International Executive Group Minutes
Membership of these groups
FMBSG and EB Monitoring process
Minutes of the SIT Project Monitoring
Minutes of the Board meetings
Performance of the Joint Venture. EB/Council Reports.
PR Strategy and Action Plan
Action Plan
Responsibility withDVC. / E Ritchie
E Ritchie
E Ritchie
R Dale
E Ritchie, S Cholerton
R Jordan, E Ritchie
AC Stevenson
A Kelly
E Ritchie
E Ritchie / Overall Status:
AMBER
1. Fall in 2012 THE World League Table is disappointing
2. Need improved communications about international activities – linked to PR.
3. Research project planned to look at international membership groups and which we should join.
KPI: Times Higher Education (THE) World University Rankings
  • Newcastle World Rank 2012-13: =180th. Overall score 2012/13: 48.6
  • Newcastle World Rank 2011-12: 146th. Overall score 2011/12: 47
  • Newcastle World Rank 2010-11: 152nd. Overall score 2010/11: 51.2
  • Newcastle World Ranking on International Outlook 2012 -13: 52nd Overall score 2012/13: 74.4
  • Newcastle World Ranking on International Outlook 2011 -12: 48th. Overall score 2011/12: 76.2
  • Newcastle World Ranking on International Outlook 2010-11: 37th. Overall score 2010/11: 80.5
/ Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 4 / 4 / 16
NET / 4 / 3 / 12
STRATEGIC OBJECTIVE 4: A SIGNIFICANT INTERNATIONAL, NATIONAL AND REGIONAL PROFILE AND REPUTATION
SR4B Failure to maintain academic and financial viability of the NUMed Malaysia campus
Risk Owned by Chris Day
Triggered by:
  1. Failure to meet recruitment targets and maintain financial viability
  2. Failure to achieve GMC and MMC accreditation
  3. Failure to provide student accommodation
  4. Failure to recruit and retain appropriate academic staff including a failure of succession planning
Consequences:
  1. MBBS course in Newcastle loses GMC accreditation
  2. Reduced fee income
  3. Inability to deliver courses
  4. Loss of reputation
  5. Poor student satisfaction
/
  1. Agreement with GMC to accredit programme.
  1. Devise appropriate HR policies to facilitate the appointment of academic staff to work in Malaysia.
  1. Clear marketing strategy and timely student recruitment campaigns
  1. Student accommodation – ensure it is fit-for-purpose and has capacity for student number growth.
  1. Staff recruitment and succession planning needs identified and substantial succession planning achieved.
  1. Development of additional courses (e.g. Masters programmes) at marginal cost and delivery of Biomedical Sciences programme from 2013
/ No
Yes
Yes
Yes
Yes
Yes / Correspondence with GMC, Visit reports
HR policies for staff overseas
NUMed Steering Group documents and minutes
Accommodation now substantially complete – need to monitor capacity with increased student numbers
NUMed Advisory Group and Steering Group minutes
NUMed Steering Group minutes, FMBSG business cases / C Day, R Barton
Ex. Dir. Of HR
L Smith, R Jordan
E Ritchie, R Dale
C Day
B Hirst(PG); Jane Calvert (UG) / Overall Status:
AMBER
Accreditation risk is being managed proactively.
Good recruitment in September 2012 – 118 and good anticipated recruitment 2013
First additional courses being delivered in 2013
KPIs
1. Accreditation by GMC and MMC (5 years from start of course): in active dialogue with GMC and MMC, proceeding well.
2. Student intake:
2009 target / 2009 actual / 2010 target / 2010 actual / 2011 target / 2011 actual / 2012 target / 2012 actual
40 / 24 / 40 / 40 / 100 / 57 / 100 / 118
Note: GMC cannot confirm accreditation until the degree is actually awarded. / Progress over Time: Problematic/SATISFACTORY/Good
RISK SCORES
IMPACT / LIKELIHOOD / TOTAL
GROSS / 3 / 5 / 15
NET / 3 / 3 / 9
STRATEGIC OBJECTIVE 4: A SIGNIFICANT INTERNATIONAL, NATIONAL AND REGIONAL PROFILE AND REPUTATION
SR4C Failure to maintain the academic and financial viability of the Singapore campus
Risk owned by Steve Homans
Triggered by:
  1. Failure to recruit/retain staff of sufficient quality
  2. Failure to recruit students
  3. Failure to deliver parity of experience for staff and students
  4. Failure to establish effective governance structure
  5. Inconsistent approach across various subject areas
  6. Failure to maintain a positive working relationship with SIT
  7. Failure to exercise proper financial control
Consequences:
  1. Potential reduction of income from Singapore and possible jeopardy of the overall Faculty surplus position
  2. Significant impact on reputation and international visibility
/
  1. HR polices have been devised and are reviewed and revised on a regular basis in order to facilitate the appointment of experienced staff to deliver the programmes in Singapore.
  1. Development of and effective induction and acclimatisation programme, PDR process and effective staff development programme in place
  1. New governance structure has been developed and being implemented with 2 new senior appointments to support local management and consistent operation.
  1. Delivery of Singapore based NSS type survey on an annual basis and production of actin plans to address weaknesses.
  1. Develop satisfactory financial controls on expenditure.
  1. Development of a coherent Health & Safety Policy across all sites
  1. Lead person identified from each Service with responsibility for supporting NUIS with appropriate attendance at the Operational Group
  1. Production of a Research Strategy and operational plan for NUIS
  1. Close working with SIT on future plans and feedback to the NUIS Board and Steering Group
/ Yes