Schedule of Delegation

Transcription

1 Schedule of Delegation Final Authority A) Governance, Management and Control Amendments to Act Parliament /Senate The University of Keele Act, 1962 Amendments to Charter Privy /Senate Charter Approval of new and amended statutes Privy /Senate Charter, Statute 17(6) & 19(9) Approval of new and amended ordinances Senate Charter, Statute 17(7) & 19(9) Approval of new and amended University regulations Approval of new and amended university regulations relating to taught programmes Approval of new and amended university regulations relating to research degrees Appointment of Director or nominated officer for related subsidiary and associated Senate Statute 17(8) & 19(9) University Learning & Teaching /Senate Research /Senate Statute 19(1), Regulation 17(b) (1) Statute 19(1), Regulation 17(b) (3) Nominations Statute 17(9) Version 6.0 Approved by:, 23 November 2017.

2 Custody and use of the Seal Seal to be held in the custody of, and in the first instance applied by, the Secretary to or in the absence of the Secretary to, the following: Vice-Chancellor, or Deputy Vice-Chancellor and Provost, in the absence of the Vice- Chancellor Vice-Chancellor 2 different signatures are required, one from each of category (a) and category (b) below: Category (a) Members of : Vice-Chancellor Deputy Vice Chancellor and Provost Category (b) University Officers: Vice-Chancellor Deputy Vice-Chancellor and Provost Pro Vice Chancellor and/or Director of Finance and IT (normal officer signatory for Estates contracts) The Seal is to be applied to: a) any conveyance (or creation) of a legal interest in land, i.e. sales / purchases of land, leases of more than three years, charges and easements, b) gratuitous promises, which are usually made by deed, c) other agreements deemed appropriate to be signed under seal by the Head of Academic Legal Services Version 6.0 Approved by:, 23 November 2017.

3 University contracts except those falling under Specialist Signature Processes below Faculty-led Contracts Director of Research, Innovation & Engagement Risk appropriate sub-delegations possible in accordance with written procedures owned by the Director of Research, Innovation & Engagement. Faculty Contract Approval Form Accountable project lead accountable for recommending project signature. Approval in accordance with processes set out in the Academic Project Development Framework Central Services-led Contracts If resource commitment lies fully within the Central Service s resource and budget envelope, the delegated authority lies with the applicable Director / Central Services lead. If the resource commitment involves (i) a material call on University resources outside the Central Service s budget envelope, the delegated authority lies with: Deputy Vice Chancellor & Provost Vice-Chancellor Central Services Contract Approval Form Director / Central Services Lead accountable for ensuring recommending contract signature. External legal advice to be sought if required. Version 6.0 Approved by:, 23 November 2017.

4 Specialist Signature Process: Estates Contracts Director of Estates and Development An Estates Contract Recommendation Form must be authorised by Director of Finance and IT prior to contract signature. In the absence of the Delegated Authorities, the alternate signatory for both the contract and the authorisation form shall be the Secretary to In the absence of the Director of Estates and Development, the Director of Finance and IT is authorised to sign both the authorisation form and the contract. Specialist Signature Process: HR Contracts Director of Human Resources or, in their absence, the Deputy Director of Human Resources In the absence of the Delegated Authorities, the alternate signatory shall be the Secretary to. Version 6.0 Approved by:, 23 November 2017.

5 Specialist Signature Process: Finance Contracts Procurement contracts up to a value of 2K: In the absence of the Delegated Authorities the alternate signatory shall be the Secretary to. (in order) Procurement Manager, Deputy Director of Finance or Director of Finance & IT All other Finance contracts (or other contracts involving monetary spend), the Director of Finance & IT or, in their absence, the Deputy Director of Finance. Version 6.0 Approved by:, 23 November 2017.

6 Resource Allocation Business Review < 3m/University Executive < 500k Internal systems, control and accountability, including risk management, value for money and non-financial matters (formerly in Section b) Audit & Risk Corporate Risk Register Vice Chancellor University Executive or Audit & Risk Keele Risk Management Policy University Leadership Vice-Chancellor Deputy Vice-Chancellor & Provost or Pro Vice- Chancellor (Research and Enterprise (in the absence of both the Vice- Chancellor and Deputy Vice-Chancellor & Provost Members of University Executive Statute 8 (3), Ordinance XII (B.7) University Management Policies and procedures relating to the staff and/or student experiences (not relating to the management of courses/educational provision see section C) Policies and procedures relating to legislative compliance University Executive University Executive University Executive Audit Version 6.0 Approved by:, 23 November 2017.

7 Occupational Health and Safety Final Authority University Executive B) Appointment and Staffing Appointment of: Chancellor Nominations Statute 3 &17(3) Pro-Chancellor Nominations Statute 4 & 17(2) Deputy Pro-Chancellors Nominations Statute 5 & 17(2) Vice-Chancellor Senate Consideration of Joint of and the Senate Statute 6, 17(3) & 19(6) Treasurer Nominations Statute 7 & 17(2) Deputy Vice-Chancellor & Provost Senate Deans Senate Consideration of Joint of and the Senate Consideration of Joint Appointment of and the Senate. Vice Chancellor or Deputy Vice-Chancellor can give a Dean a PVC and Dean role Statute 8, 17(3) & 19(6) Statute 9(2) & Ordinance X Secretary to Senate Consideration of Joint Appointment of and the Senate. Pro Vice-Chancellor Senate Appointment report to Senate Statute 10 & 17(3) Ordinance XII Deputy Chairs of the Faculty Senate Members of the Faculty Ordinance X Librarian Senate Statute 11, 17(3) & 19(6) Director of Student and Academic Services Director of Finance and Information Technology Version 6.0 Approved by:, 23 November Senate Statute 12, 17(3) & 19(6) Ordinance XXIX Ordinance XXIX

8 Director of Human Resources Senate Ordinance XXIX Final Authority Director of Marketing and Communications Director of Research Innovation and Engagement Ordinance XXIX Ordinance XXIX Director of Estates and Development Ordinance XXIX Heads of Academic Departments Senate Appointment report to Senate Statute 17(3) & 19(6) Professors Senate Statute 17(3) & 19(6) Senior Lecturers/Lecturers Senate Statute 17(3) & 19(6) Honorary Professors/Emeritus Professors Senate Appointment Statute 17(5) & 19(6) External Auditors Audit & Risk Statute 17(2)/14 External Examiners Senate Quality Assurance Statute 17(4) & 19(5) Internal Auditors Audit & Risk Statute 17(2)/14 Internal Examiners Senate Statute 19(4) Honorary Legal Consultant Statute 17(2)/15 Honorary Fellowships Nominations Responsibility for: Significant features of terms and conditions of employment University Executive Business Review or Senior Remuneration Statute 17(15 & 16), Regulations Minor adjustment to terms and conditions of employment Director of Human Resources Statute 17(15 & 16) Promotion and Progression Promotions Version 6.0 Approved by:, 23 November 2017.

9 Redundancy Senior Remuneration Special resolution passed Final Authority Salaries of professorial staff and senior officers Senior Remuneration Voluntary Severance University Executive and Individually agreed salary staff Senior Remuneration Special resolution passed Voluntary Severance all other staff Staff Review Group Deans/Directors Academic Staff Discipline Deputy Vice Chancellor & Provost (Appeals against warnings) Vice-Chancellor (institutes Disciplinary Proceedings) Director of Human Resources Statute 31(III) Ordinance XXV, XXVI Disciplinary and Appeals Procedure for Academic Staff -appointed Tribunal Panel Professional and Support Staff Discipline Investigating Officer (formal stage) (with HR overseeing) Disciplinary and appeals procedure Appeals heard by Designated Appeals Manager (with HR overseeing) Version 6.0 Approved by:, 23 November 2017.

10 Academic Staff Grievances Senior Manager in relevant area (stage 1) Designated University Manager (stage 2) Director Human Resources Stage 3 Vice- Chancellor to determine how case should proceed dismiss, dispose of informally or refer to - appointed Grievance (Secretary to oversees proceedings) Statute 31(Part V) & (VI) Ordinances XXVII & XXVIII Grievance and Collective Dispute Policy/Procedure Version 6.0 Approved by:, 23 November 2017.

11 Professional and Support Staff Senior Manager in Statute 31 Ordinance Grievances relevant area (stage XXVII 1) Grievance and Designated Collective Dispute University Manager Policy/Procedure (stage 2) 3) Director HR -appointed Panel (stage 3) Secretary to (oversees proceedings at Stage C) Academic and Student Matters Admissions Policy, including entrance requirements Senate Admissions offers/enrolment Vice-Chancellor Director of Student and Academic Services Statute 6 Heads Approval of new programme of study or major amendment thereof Senate University Learning and Teaching Regulation 17(b) 1 Version 6.0 Approved by:, 23 November 2017.

12 Collaborative Provision University Executive (initial approval to explore partnership and formal approval of business case and contract negotiations) Senate Code of Practice for Collaborative Provision University Learning and Teaching (Programme approval or amendments) Policies and procedures relating to the day-to-day management of course/educational provision University Executive Minor amendments to a programme of study University Learning and Teaching Faculty Learning and Teaching Regulations 17(b) 1 Withdrawal of degree programmes Senate University and Faculty Learning and Teaching s Regulation 17 (b) 1 Suspension of degree programmes University Learning and Teaching University Executive, or University and Faculty Learning and Teaching s Senate (matter of strategy) Regulation 17 (b) 1 Approval of policies, procedures and regulations for assessment of students Senate University Learning and Teaching Director of Student and Academic Services has delegated authority to approve alternative means of assessment Regulation 17 Version 6.0 Approved by:, 23 November 2017.

13 Approval of, deviation from, or modification to course regulations Senate University Learning and Teaching Regulation 17 Awards (other than Honorary Degrees) Senate Awards (Honorary Degrees) and Senate Nominations Withdrawal as a result of academic misconduct Deputy Vice-Chancellor and Provost Head of Academic Quality and Student Conduct (to identify if there is a case to proceed to a misconduct panel) Statute 17(21) Regulation 8.12 Academic Misconduct Panel Withdrawal as a result of nonengagement with studies Senate Academic Registrar Director of Student and Academic Services or nominee (Head of Student Records and Examinations) Determined by student results, parameters as set out in relevant University regulations. Regulations: 1A (9), 1B (9), 1C (9), 1F(8), 1G(9), 2A(9), 2B(9) and 2C(10) Student Academic Appeals Academic Appeals Statute 17(22) Regulation 7 Student Complaints Stage 1 staff member Stage 2 Head of School, RI or relevant Department Statute 17(22) Regulation 26 Stage 3 PVC Version 6.0 Approved by:, 23 November 2017.

14 Exclusion from Campus or parts of the campus Deputy Vice-Chancellor and Provost Temporary Exclusion Panel Statute 17(21) In extremis, the Head of Academic Quality and Student Conduct or the Associate Director of Student Services and Development or nominees Permanent exclusion from the University Deputy Vice-Chancellor and Provost Disciplinary Statute 17(21) Regulation 20 Sponsorship of clinical trials Director of Research Innovation and Engagement Version 6.0 Approved by:, 23 November 2017.

15 Student Grievances to Secretary to (to establish whether there is a prima facie case) or Panel Statute 17(22) Ordinance XXVIII Library University Learning and Teaching /Pro Vice-Chancellor Library and Information Strategy Librarian Unregulated Student Tuition Fee rate Student Numbers and Fees Group Director of Marketing and Communications Delegation to consider and set unregulated student fees (international UG/PG, PGT, and alternative programmes). Limited to consider increases that are either i) in line with inflationary uplifts or ii) below a 5% rise. PGR Student Tuition Free Student Numbers and Fees Group Director of Marketing and Communications PGR Home fees are determined by the Research Funding s and as such, part-time and PhD by publication fees track at the same levels as the PGR home value. Student Residential Fees rate University Executive Version 6.0 Approved by:, 23 November 2017.

16 Approval of the use of the University logo Vice-Chancellor Director of Marketing and Communications Authorisation of media releases Vice-Chancellor Director of Marketing and Communications Copyright Librarian Data Protection Act Vice-Chancellor DPA Officer Freedom of Information Act Vice-Chancellor FOI Officer Requirements of the Charities Act Vice-Chancellor Operationally Secretary to Final Authority E) Capital Programme and Estates Matters Acquisition and disposal of property Capital programme > 3m Business Review < 3M/ University Executive < 500k Business Review Director of Finance and IT to report via BRC Medium-term strategic and financial plans (Capital) Business Review Monitoring of Delivery Business Review All risks and financial implications are to be identified by BRC prior to Version 6.0 Approved by:, 23 November 2017.

17 F) Budgetary and Financial Matters Acquisition and disposal of assets Business Review < 3m/ University Executive < 500k University Executive Appointment of bankers, opening of bank accounts, designation of bank signatories Business Review Officers authorised by Business Review to deal with matters affecting the bank account, funds, properties and securities are: Director of Finance and IT, Head of Financial Accounting, and Head of Management Accounting Bad debt w/off > 50k Business Review Director of Finance and IT Final Authority Compliance with financial regulations Audit &Risk Financial position and control including accounting policies Audit & Risk Business Review HEFCE Accountable Officer Vice-Chancellor Director of Finance and IT accounting returns Income Vice-Chancellor Director of Finance and IT Director of Finance and IT Must advise Insurance University Executive Version 6.0 Approved by:, 23 November 2017.

18 Intellectual property matters Director of Research Innovation and Engagement Sale of IP Budget and Resources Group Licensing of IP Director of Research Innovation and Engagement Director of Research Innovation and Engagement Internal financial management, control and accountability, including risk management, value for money, financial regulations and financial procedures Audit & Risk VFM plan is monitored through the VFM working group Interpretation of financial regulations Director of Finance and IT Investment portfolio Business Review to make changes within, scrutinise and monitor Business Review Any changes BRC make must be reported to Final Authority Making and disposing of long-term investments > 3m Business Review 3m Business Review > 3m Medium-term strategic and financial plans (revenue) Business Review monitoring of delivery Business Review All risks and financial implications are to be identified by BRC prior to Version 6.0 Approved by:, 23 November 2017.

19 Non pay-roll expenditure University Executive for changes compared to budget < 500K for any changes to budget > 500K Budget holder Obtain outside legal or other independent advice > 40,000 Secretary to < 40,000 Projects (non-research) Business Review University Executive or Audit & Risk > 40,000 Senate or Business Review According to Project definition set by in 2009: a) worth in excess of 1m, b) identified in the University Operating Plan, c) associated with the management of corporate risks, d) identified by BRC or for oversight Research funding matters Director of Research Innovation and Engagement; Faculty Research Director or Research Institute Director; and Pro Vice-Chancellor for Research and Enterprise Senate Director of Finance and IT to report via BRC The process for accepting research grants is set out in Section A Specialist Signature Process Directorate of Research Innovation and Engagement contracts, above. Version 6.0 Approved by:, 23 November 2017.

20 Institutional Grant Applications Vice-Chancellor or Deputy Vice-Chancellor and Provost Director of Research Innovation and Engagement Institutional grant applications are those grants which are led by a Directorate on behalf of the University (excluding Faculty-specific research or teaching & learning grant applications). Institutional grant applications to be signed by either the Vice Chancellor or Deputy Vice- Chancellor and Provost. If a second signatory is required, the grant should be countersigned by the Director of Finance & IT or the Secretary to. Strategic Plan Vice-Chancellor to submit to Subsidiary Companies Subsidiary Board general business stewardship of funds Subsidiary Board Subsidiary Company Contracts 2 Directors of the Company (KUSBPL) Contracts must be signed by 2 Directors Tax and VAT Vice-Chancellor Director of Finance and IT University Budgets Vice-Chancellor Business Review Vice Chancellor delegates as appropriate Keele Concerts Society Accounts Director of Finance & IT and Secretary to KeeleSU and KPA Budget Director of Finance & IT and Secretary to Version 6.0 Approved by:, 23 November 2017.

21 Review of the KeeleSU and KPA Accounts Vice-Chancellor and Director of Finance & IT prior to the November meeting of, failing that, by 30 th November to be submitted to the subsequent meeting of Version 6.0 Approved by:, 23 November 2017.