Plymouth University Schedule of Delegation

01/04/2017Schedule of Delegation V1.1

Plymouth University Schedule of Delegation

Version / Date / Author / Changes
0.1 / 06/05/2015 / Claire Daniells / Development of initial template
0.2 / 03/06/2015 / Claire Daniells / Content added, incorporating feedback from stakeholders
1.0 / 04/06/2015 / Jane Hopkinson / Final version for approval by UEG and Board of Governors
1.0 / 22/07/2015 / Jane Hopkinson / Final version approved by Board
1.1 / 1/04/2017 / Sonia Burgess / Annex 1 Schedule of Financial Limits attached – all financial values in the Schedule of Delegation to be checked against Annex 1. The financial limits detailed in Annex 1 supersede those detailed in the Schedule of Delegation.

In order for the University to carry out all of its functions effectively, staff at all levels of the organisation need to be confident that they have the delegated authority to make decisions. The University encourages all staff to take decisions which are within their areas of responsibility and their knowledge/skills base. The purpose of this document is to provide guidance to assist staff and also provide clarity on where they do not have the authority to make decisions.

Background

Delegation creates the authority to carry out a task or to make a decision. This in turn creates responsibilities and the requirement that people to whom authority is delegated are prepared to be accountable for the decisions they have been asked to make. Anyone who makes a decision must be confident they know the scope of their authority.

This schedule seeks to record where authority rests within the University for particular types of decision made in the name of, or on behalf of, the University of Plymouth[1]. No such schedule can be absolutely comprehensive, but, in addition to explicitly locating the locus of authority for specific categories of decision, the schedule also forms a frame of reference through which questions about other types of decision may be resolved. (Questions should be referred to the University Secretary.) Note that the schedule below purports only to identify responsibility for the final (‘ratification’) stage of decision-making, and not, for example, responsibility for formulating strategic, policy and business proposals (which typically lies with individual executive officers and bodies such as the University Executive Group).

The Board of Governors is ultimately responsible for all the University’s activities, but specifically its educational character and mission, its senior management structure and its financial solvency. As set out in the guidance from theCommittee of University Chairs (CUC)in accordance with which this schedule has been developed, a principal responsibility of the Board of Governors is:

‘to delegate authority to the head of the institution, as chief executive, for the academic, corporate, financial, estate and human resource management of the institution. And to establish and keep under regular review the policies, procedures and limits within such management functions as shall be undertaken by and under the authority of the head of the institution’.

The responsibilities of the Board of Governors the Board’s Committees, the Vice-Chancellor, the Executive and the Academic Board are as set out in the University’s Instrument & Articles of Government.

Responsibilities

1. As the governing body of the University, the Board of Governors is itself responsible for approving corporate strategy and associated plans and budgets; for determining major business decisions and corporate policy; for the framework of governance and management; and for monitoring institutional and executive performance. These responsibilities are ‘reserved’ to the Board of Governors and, as a general rule, cannot be delegated.

2. The University Executive Groupis the primary executive decision-making body of the University, with responsibility for developing and implementing the strategy. This is undertaken through regular monitoring of the HE policy environment, approval and review of key University projects, and monitoring the University’s financial performance and key performance indicators, which are then reviewed by the Board of Governors.

3. As the academic authority of the University, Academic Boardis responsible to the Board of Governorsfor academic governance, and specifically for regulating, in accordance with the Instrument and Articles, the admission of students; the curriculum and assessment; the maintenance and enhancement of academic standards; and the award of degrees and other qualifications. Operational responsibility for these matters may in general be delegated.The University Executive Group includes the Vice-Chancellor, Deputy Vice-Chancellors, Pro Vice-Chancellors, Executive Deans, Chief Financial Officer, Chief Information officer, Chief Marketing Officer, Chief Talent Officer and the University Secretary.

4. As the chief executive and senior academic officer of the University, the Vice-Chancellor is responsible to the Board of Governors – within the framework laid down by the Instrument and Articles, the Memorandum of Assurance and Accountability between the University and the Higher Education Funding Council for England (HEFCE), the University’s Financial Regulations and this Schedule of Delegation – for the operational management of all aspects of the University’s work. The Vice-Chancellor may delegate – and in practice has delegated – responsibility for specific aspects of the University’s management to Senior Leaders/Deans, but retains ultimate responsibility for their work.

5. The ExecutiveDeans are responsible to the Board of Governors (through the Vice-Chancellor and Deputy Vice-Chancellor) for the leadership and overall management of their respective faculties in accordance with their job descriptions and the policies and Financial Regulations of the University. They delegate responsibility for specific aspects of faculty management to Heads of School and other members of the faculty, but retain ultimate responsibility for the management of their faculties.

6. Senior Leadersare responsible to theBoard of Governors (through the Vice-Chancellorand Deputy Vice-Chancellor) for the leadership and overall management of corporate services in accordance with their job descriptions and the policies and Financial Regulations of the University. They delegate responsibility for specific aspects of service management to heads of service, but retain ultimate responsibility for the management of their service groups.

7. For financial decisionsthe Schedule of Financial Limits is the ultimate authority relating to non-staff spend and should be consulted. It is an annex to the Financial Regulations, which are available here. As at July 2015, the rule of thumb is that, except as explicitly provided in the Financial regulations, any transaction with a monetary value of over £500k requires the approval of the Board of Governors; any transaction with a monetary value of between £150k and £500k needs approval by the University Executive Group; any transaction between £30k and £150k needs approval by the relevant Dean or Director and Chief Financial Officer; any transaction between £10k and £30k needs approval by the Head of School or Director and any decision with a monetary value of less than £10k lies within the jurisdiction of individual University employees in accordance with their specific budgetary authority and the University’s Financial Regulations.

8. Except as otherwise provided, individuals and bodies in whom authority is vested by this Schedule of Delegation may sub-delegate to others provided that such sub-delegation is consistent with financial and other regulations and recorded and reported to the relevant corporate service (for example, Finance in respect of financial authority levels).

This document sets out activities by area under the headings of:

Governance and Compliance
Strategy and Policy
Human Resources
Students, Teaching and Learning, Quality and Standards
Budgetary and Financial
Capital Investment and Estates
Academic Partnerships
Marketing, Student Recruitment and Development

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01/04/2017Schedule of Delegation V1

Governance and Compliance

Key Decision or Activity / Approving Body
This is the group/individual that has ultimate authority to approve the activity or decision and is formally accountable for the stated activity or decision. / Delegated Authority
This is the group/individual to which/whom authority for the stated activity or decisionhas been delegated by the approving body and who is therefore authorised to act (but required to account to the approving body for their actions in this respect) / Responsible for Delivery
This is the group/individual responsible for ensuring that the decision or activity is taken forward. / Notes
Explanatory notes and links to relevant guidance or policies can be found here.
Instrument & Articles of Government / Privy Council / University Secretary / The current Instrument and Articles of Government can be found here.
Changes to the Instrument and Articles are proposed by the Board of Governors after consultation with Academic Board, the University Executive Group and the University Solicitor as appropriate, and subject to relevant external legal advice.
It is intended to introduce simplified Articles in 2015/16.
Approval/variation of byelaws / Board of Governors / University Secretary / Byelaws will be developed (to supplement simplified Articles) in consultation with Academic Board, the University Executive Group and the University Solicitor as appropriate
Change of institutional title / Privy Council / University Secretary / The University’s formal title is the University of Plymouth.
Proposals via the University Executive Group and subject to the agreement of the Board of Governors.
Change of trading name / Board of Governors / University Secretary / The University’s trading name is Plymouth University
Proposals via the University Executive Group.
Board of Governors terms of reference / Privy Council / University Secretary / These are within the Instrument & Articlesof Government
Board of Governors composition / Board of Governors / University Secretary / This is within theInstrument & Articles of Government
Appointment of independent governors / Board of Governors / Governance and Nominations Committee / University Secretary / Appointment follows external advertisement/search and interview.
Appointment of staff governors / Board of Governors / University Secretary / Staff governors may be directly elected from Academic Board or co-opted after all-staff elections.
Elections follow discussion with the University Secretary/governors panel about the trustee role.
Appointment of student governors / Board of Governors / University Secretary / Student governors are nominated by UPSU
Board of Governors committees(formation/deletion, designation, terms of reference, composition) / Board of Governors / University Secretary / Proposals via Governance and Nominations Committee.
Board of Governors effectiveness review / Board of Governors / Governance and Nominations Committee / University Secretary / The Board will undertake regular effectiveness reviews, with an external review at least every three years
Outcomes will be published on the University website.
Reviews of Committee effectiveness / Board of Governors / Governance and Nominations Committee / Committee Chair and University Secretary / Reviews should take place at least once every five years.
Appointment of Chancellor / Board of Governors / Chair / On recommendation of the Vice-Chancellor
Appointment of Pro-Chancellors / Board of Governors / University Secretary / After discussion between Chair, Vice-Chancellor and Chancellor
Appointment of Clerk to the Board / Board of Governors / Vice-Chancellor / Vice-Chancellor / Selection panel agreed in consultation with Board Chair, to include governor members
Appointment of Chair and Vice-Chair of the Board of Governors / Board of Governors / Senior Independent Governor
University Secretary
Appointment of Senior Independent Governor / Board of Governors / University Secretary / Chair to absent him/herself from selection process and election.
Structure of management / Board of Governors / Vice-Chancellor / Vice-Chancellor / After consultation with Chair
Register of Interests / Board of Governors / University Secretary / Executive Assistant (Board of Governors) / All Board members to complete/update regularly
Formal review annually as part of external audit
Use of the University Seal / Board of Governors / Chair/Vice-Chair & Vice-Chancellor/University Secretary / Executive Assistant (Board of Governors) / Required for all deeds
Held by University Secretary
Academic Board terms of reference / Privy Council / University Secretary / On recommendation from Academic Board to the Board of Governors
Academic Board composition / Board of Governors / Academic Board Secretary / Proposals from Academic Board
Academic Board committees
(formation/deletion/designation/ terms of reference/ composition) / Academic Board / Academic Board Secretary / Proposals from committees
Election/nomination of Academic Board members / Academic Board / Academic Board Secretary / In accordance with agreed procedures
Award of honorary fellowships and degrees / Board of Governors/
Academic Board / Honorary Awards Committee / University Secretary / Criteria agreed by Honorary Awards Committee
University Executive Group terms of reference / Vice-Chancellor / Clerk to UEG / After discussion with University Executive Group
University Executive Group committees (formation/deletion/designation, terms of reference/ composition) / University Executive Group / Clerk to UEG / Proposals from committees or executive members
University Committee Calendar / University Executive Group / University Secretary / The Committee Calendar is produced in consultation with committee officers.
The calendar for the current session can be found here :Committee Calendar 2015/16orAlpha list of committee dates 2015/16
Compliance with Charity Law / Board of Governors / University Secretary/University Solicitor/Chief Financial Officer / Advice should be sought in relation to any activity which is outwith the University’s core business of teaching and research
Compliance with HEFCE Memorandum of Assurance and Accountability / Vice-Chancellor (as Accountable Officer) / Chief Financial Officer / Chief Financial Officer
Procurement of legal advice / Vice-Chancellor / University Solicitor / University Solicitor / University Secretary may authorise legal advice for Board of Governors
Appointment of Internal Auditors / Board of Governors / Audit Committee / Chair of Audit
University Secretary / After appropriate procurement process
Data Protection / Vice-Chancellor / Chief Information Officer / Relevant Dean/ Senior Leader
Information Governance / Vice-Chancellor / Chief Information Officer / Chief Information Officer
Copyright / Vice-Chancellor / Chief Information Officer / Chief Information Officer
Compliance with Freedom of Information act / Vice-Chancellor / University Solicitor / University Solicitor / Appeals via the Chief Information Officer
University Publication Scheme / University Executive Group / Chief Information Officer / Chief Information Officer / With Freedom of Information officer
External use of University computing and software facilities / Vice-Chancellor / Chief Information Officer / Chief Information Officer
Approval of regulatory licences (Human Tissue Act, Premises Licences (alcohol) / Government Department / Vice-Chancellor / Relevant Dean or Senior Leader
Health and Safety / Board of Governors / Vice-Chancellor / Safety Committee
Safety officer / All staff have a responsibility for health and safety, acting on advice and information from the University Safety Officer and the Safety Committee and local safety officers

Strategy and Policy

Key Decision or Activity / Approving Body
This is the group/individual that has ultimate authority to approve an activity or decision and is held to account for the stated activity or decision. / Delegated Authority
This is the group/individual to which/whom authority for the stated activity or decision has been delegated by the approving body and who is therefore authorised to act (but required to account to the approving body for their actions in this respect) / Responsible for Delivery
This is the group/individual that is responsible for ensuring that the decision or activity is taken forward. / Notes
Explanatory notes and links to relevant guidance or policies can be found here.
Approval of University Vision, Mission and Strategy / Board of Governors / Vice-Chancellor / The current University Strategy can be found here
The University Executive Group is accountable to the Vice-Chancellor for the development of the Strategy, and it is developed with support from the Strategy and Performance Team and taking account of inputs from staff, students and other stakeholders.
Proposals are formally considered via Academic Board/University Executive Group and relevant Board Committees
Approval of implementation plan and year-on-year targets / Board of Governors / Vice-Chancellor
Approval of International Strategy / Board of Governors / University Executive Group / Development led by the relevant member of the Executive in consultation with the Academic Board and other appropriate groups.
Approval of Estate Strategy / Board of Governors / University Executive Group / Development led by the relevant member of the Executive in consultation with the Academic Board, Finance Committee and other appropriate groups.
Approval of Financial Strategy / Board of Governors / Chief Financial Officer / Development led by Chief Financial officer in consultation with University Executive Group
Approval of Reward Strategy / Board of Governors / Reward and Remuneration Committee / Chief Talent Officer / Development in consultation with staff and staff unions and the University Executive Group
Approval of Teaching, Learning and Student Experience Strategy(ies) / Academic Board / University Executive Group / Development led by the relevant member of the Executive in consultation with the Teaching, Learning and Quality Committee and University Executive Group and with appropriate input from students and faculty staff.
Approval of Research Strategy / Academic Board / University Executive Group / Development led by the relevant member of the Executive in consultation with the Research and Innovation Committee and University Executive Group with appropriate input from faculties.
Approval of other associated strategies (eg sustainability) / University Executive Group / Relevant executive / The development of supporting Strategies is led by the relevant member of the Executive in consultation with the appropriate Boards/Committees.
Approval of Faculty and Directorate Business planning / Vice-Chancellor / Deans and Directors / Process designed and led by the Strategy and Performance Team.
Approval of University Key Performance Indicators / Board of Governors / Vice-Chancellor / Developed by University Executive Group in consultation with stakeholders (with support from the Strategy and Performance Team)
Deans and Directors are accountable to the Vice-Chancellor for the reporting of performance against Key Performance Indicators.
Approval of statutory data returns (including data quality) / Vice-Chancellor / Chief Information Officer / Subject to regular review by Audit Committee