Plymouth University Schedule of Delegation...0.1 06/05/2015 Claire Daniells Development of initial template 0.2 03/06/2015 Claire Daniells Content added, incorporating feedback from

01/04/2017 Schedule of Delegation V1.1

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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

Principles of Delegation

Authority to take decisions must be aligned with the skills and knowledge needed to make relevant judgements.

Those with authority to take decisions must do so in a consultative manner which is in keeping with the principles of public life.

Delegations must be in writing and published, both so that the University can demonstrate that its decisions are taken transparently, and to protect staff involved by demonstrating that they had the authority to take the actions they took.

All decisions taken under delegated authority must be recorded and should be open to audit.

Staff to whom authority to make decisions is delegated must be clear about what decisions have been delegated to them, the limits of their authority, and that they are accountable for the decisions they make. The role-holder taking the decision should seek advice or information from other staff with knowledge relevant to the decision.

The person or body who delegates responsibility remains accountable for the outcome of the decision or work delegated.

Delegation can be made to groups/committees and/or individuals depending on their role and remit.

The person or body responsible for making a decision has the power to withdraw the decision provided that no associated actions have been implemented.

Document Owner: University Secretary


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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 Plymouth1. 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).

1 Our formal constitution remains ‘the University of Plymouth’ and this wording will still be used in contracts and other legal documents. ‘Plymouth University’ is our corporate identity.

Board of Governors

University Executive/

Academic Board

Faculty/Directorate

School/Service

Team

Individual


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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 the Committee 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 Group is 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 Board is responsible to the Board

of Governors for 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

http://www.universitychairs.ac.uk/wp-content/uploads/2015/02/Code-Final.pdf


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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 Executive Deans 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 Leaders are responsible to the Board of Governors (through the Vice-Chancellor

and 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 decisions the 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

https://staff.plymouth.ac.uk/finance/Finregs/intranet.htm


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Capital Investment and Estates

Academic Partnerships

Marketing, Student Recruitment and Development

01/04/2017 Schedule of Delegation V1

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1. 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 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

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 & Articles of Government

Board of Governors composition Board of Governors University Secretary This is within the Instrument & 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.


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this respect)




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


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this respect)




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 2015/16 or Alpha 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


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this respect)




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


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2. Strategy and Policy


has ultimate authority to approve an activity or decision and is held to account for the


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.


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.


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has ultimate authority to approve an activity or decision and is held to account for the






Responsible for Delivery This is the group/individual that is responsible for ensuring that the

decision or activity is taken forward.


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


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

Approval of Risk Management Policy and Risk Appetite


Developed by the Chief Financial Officer who is accountable to the Vice-Chancellor Proposals via the University Executive Group and Audit Committee. Relevant risks will also be shared with Academic Board

Approval of Corporate Risk Register

Board of Governors Chief Financial Officer Developed by the Chief Financial Officer Proposals via the University Executive Group and the Audit Committee. Reviewed by the Board at least annually. Risk management is monitored by the Audit Committee which reports to the Board

Approval of Value for Money Strategy

Board of Governors

Vice-Chancellor Developed by the Chief Financial Officer Proposals via University Executive Group and Academic Board as appropriate Monitored via the Audit Committee and the Board of Governors, with an annual report made to HEFCE.

Approval of Business Continuity Policy

Vice Chancellor Chief Financial Officer Proposals via University Executive Group Subject to internal audit

Data Sharing Agreements Vice-Chancellor Chief Information Officer


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3. Human Resources


has ultimate authority to approve an activity or decision and is held

to account for the stated activity or decision.





Responsible for Delivery This is the group/individual that is

responsible for ensuring that a decision or activity is taken

forward.


Approval of/changes to/ HR policies and procedures that could lead to a termination of employment

Board of Governors Employment Committee Chief Talent Officer/HR Director

The Employment Committee will also undertake a rolling review of HR policies more generally

Appointment of Vice-Chancellor

Board of Governors Chair University Secretary

Appointment made after widespread consultation and engagement of staff, students and stakeholders as appropriate

Appointment of direct reports to the Vice-Chancellor

Vice-Chancellor In accordance with agreed policies and procedures (see HR community) Member(s) of Board of Governors must be in membership of the selection panel Salary proposals outwith policies agreed by Reward and Remuneration Committee require approve from the Chair of that Committee or Board Chair

Appointment of Deans/ Directors

Vice-Chancellor Direct report to the VC (e.g. CIO for Director of Estates)

In accordance with agreed policies and procedures (see HR Community) Members of Board of Governors on selection panel

Appointment of Heads of School

Vice-Chancellor Deputy Vice-Chancellor Dean In accordance with agreed policies and procedures (see HR community)

Professorial Recruitment Vice-Chancellor Dean Head of School In accordance with agreed policies and procedures (see HR Community)

Staff appointments Vice-Chancellor Dean or Director In accordance with agreed policies and procedures (see HR community) Delegation when costs within approved financial envelope, (provided other controls not currently applied by UEG). If outside approved financial envelope, Recruitment Exceptions Committee.

Staff promotions Vice-Chancellor Dean or Director In accordance with agreed policies and procedures (see HR community)

Appraisal of Vice-Chancellor Board of Governors Chair After appropriate consultation with all governors about objectives and performance and in accordance with agreed University procedures, and taking account of 360˚ feedback. The Chair will report back to the Reward and Remuneration Committee on outcomes (other than confidential matters)

Appraisal of Staff Vice-Chancellor Designated Line Manager Relevant University leaders In accordance with agreed policies and procedures (see HR community)


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forward.


Dismissal of Vice-Chancellor Board of Governors Chair Legal advice to be obtained through University Secretary

Dismissal of direct reports to the Vice-Chancellor

Board of Governors Vice-Chancellor Vice-Chancellor and Chief Talent Officer

In accordance with agreed policies and procedures (see HR community)

Dismissal of Deans/Directors Vice-Chancellor Relevant line manager Line Manager and Director of HR


Approval of Terms and conditions of employment

Vice-Chancellor Chief Talent Officer and Director of HR


Executive remuneration incl. Performance Related Pay

Board of Governors

Reward and Remuneration Committee

Chair/ Vice-Chancellor/Chief talent

Officer

In accordance with policies and procedures agreed by the Reward and Remuneration Committee from time to time

Approval of recommended national pay award

Board of Governors

Reward and Remuneration Committee

Vice-Chancellor

Approval of outside work/consultancy by University staff

Vice-Chancellor Deans/Research and Innovation

Approval via faculties or Research and Innovation (R&I) (work going through University of Plymouth Enterprise Ltd (UoPEL) is handled by R&I).

Professional services restructuring

Vice-Chancellor via University Executive Group A proposal which might result in redundancy must be considered by the Board of Governors. The Board may refer the matter back for further information/review.


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4. Students, Teaching & Learning, Quality & Standards






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 ensuring that a decision or activity is taken forward.


Approval of Students’ Union constitution

Board of Governors UPSU University Secretary

Approval of Students’ Union byelaws

Board of Governors Vice-Chancellor Executive responsible for UPSU liaison

Approval of Students’ Union funding

Board of Governors

Vice-Chancellor Chief Financial Officer

Approval of Academic Regulations

Academic Board (See notes) Minor changes to regulations agreed by Teaching, Learning and Quality Committee on the recommendation of the Academic Regulation Sub-Committee. Major changes or those involving changes to underlying principles recommended by ARSC via TLQC.

Approval of Student Admissions and Recruitment Policies

Academic Board Chief Marketing Officer

Approval of Student Complaints Procedure

Board of Governors Academic Board Student Complaints and Appeals Officer

Annual report on student complaints to be submitted to Academic Board and Board of Governors

Approval of Student Disciplinary Procedure

Board of Governors Vice-Chancellor Student Complaints and Appeals Officer

Approval of sanctions for student debt

Vice-Chancellor Chief Financial Officer

Programme planning and approval

Academic Board Academic Development & Partnerships Committee

Requirements for reporting to provide appropriate assurance to be set by Academic Board

Closure of programmes Academic Board Academic Development & Partnerships Committee

Requirements for reporting to provide appropriate assurance to be set by Academic Board


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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 ensuring that a decision or activity is taken forward.


Academic restructuring Vice-Chancellor via University Executive Group, Academic Development and Partnerships Committee as appropriate, and Academic Board A proposal to close a discipline area (with potential media interest and reputational impact); a proposal to introduce a new discipline area where that proposal has significant resource implications; or a proposal which might result in redundancy , must be considered by the Board of Governors. The Board may refer the matter back for further information/review.

Programme validation and monitoring

Academic Board Teaching, Learning and Quality Committee

Annual report to Board of Governors via Academic Board

Appointment of External Examiners

Academic Board Teaching, Learning and Quality Committee

Annual report summarising external examiner comments to Board of Governors via Academic Board

Approval of student tuition fee rates

Board of Governors

Vice-Chancellor University Executive Group

Approval of student residential fees

Vice-Chancellor Relevant executive Relevant executive

Approval of scholarships University Executive Group Deans


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5. Budgetary & Financial Please note the Schedule of Financial Limits attached as Annex 1. This Schedule supersedes the financial limits designated in section 5.


has ultimate authority to approve an activity or decision and is held to account for the stated activity

or decision.







forward.


Approval of financial statements

Board of Governors Chief Financial Officer

Approval of Annual Assurance return/Financial Forecasts to HEFCE

Board of Governors Chief Financial Officer

Appointment of external auditors

Board of Governors Chief Financial Officer Following relevant procurement/HEFCE regulations On recommendation of Audit Committee

Systems of internal financial management, control and accountability


Chief Financial Officer Chief Financial Officer Budget holders

Retention of financial documents


Chief Financial Officer Chief Financial Officer

Appointment of bankers, opening of bank accounts, designation of bank account signatories

Board of Governors Chief Financial Officer On recommendation of Finance Committee

Philanthropic donations and sponsorship

Board of Governors (retains authority if

donation is above £1m)

University Executive Group if over £100K

Director of Development

Report to Board of Governors in case of potential reputational risk (even if mitigation in place)

Shares in companies – new companies to be incorporated

Board of Governors Finance Committee Chief Financial Officer/University Secretary

Shares in companies – change in control or purchase/sale

Board of Governors Finance Committee Chief Financial Officer If value of over £1m, requires Board of Governors approval

Treasury Management Policy Board of Governors Finance Committee Chief Financial Officer


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or decision.







forward.


Borrowing; over £0.5m Board of Governors Finance Committee if under £1m

Chief Financial Officer On recommendation of University Executive Group/Finance Committee

Borrowing: under £0.5m Vice-Chancellor Chief Financial Officer Chief Financial Officer via University Executive Group

Establishment of University companies/spin-outs/joint ventures

Board of Governors

Finance Committee via Research & Innovation and University Executive Group Annual report to the Board of Governors if the University is the majority shareholder

Appointment of Directors of subsidiary companies

Board of Governors Vice-Chancellor Annual report to Finance Committee

Approval of sale of equity or transfer of business in University companies

Board of Governors Vice-Chancellor if sale value below £100K

Finance Committee if sale value between £100K and

£0.5m

Chief Financial Officer

Approval of non-academic business activities with a potential material impact on the University

Board of Governors Vice-Chancellor via University Executive Group

Write off of bad debt Board of Governors University Executive Group if below £0.5m Chief Financial Officer alone if below £100K

Chief Financial Officer Chief Financial Officer can delegate authority for sums of under £10K

Commitment/purchases of goods or services

Board of Governors Refer to Schedule of Spending limits (an Annex

to the Financial Regulations, which

are available here.) for current authority limits

Chief Financial Officer Matters will be referred to the Board where necessary under the Financial Regulations having first been considered by the University Executive Group (and Finance Committee if Finance Committee does not have delegated authority)) All IT related spend must be agreed by Chief Information Officer or his/her delegate All property and facilities related spend must be agreed by Director of Estates and Capital Projects or his/her delegate



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or decision.







forward.


Submission and acceptance of Research Bids : over £1m

University Executive Group PVC Research or equivalent

Submission and acceptance of Research Bids : £250k-£1m

University Executive Group DVC PVC Research or equivalent If over £150K and repayable on demand, full approval from University Executive Group is required

Submission and acceptance of Research Bids : under £250K

University Executive Group Dean PVC Research or equivalent If over £150K and repayable on demand ,full approval from University Executive Group is required

Approval of TRAC return Board of Governors Chief Financial Officer via University Executive Group


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6. Capital Investment & Estates Please note the Schedule of Financial Limits attached as Annex 1. This Schedule supersedes the financial limits designated in section 6

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.







forward.


Approval of capital and infrastructure projects and acquisition of property

Board of Governors Refer to Schedule of Spending limits (an Annex

to the Financial Regulations, which

are available here) for current authority limits

Director of Estates and Capital Projects

Including construction, acquisition, refurbishment and leasing of properties relating to these projects) Matters will be referred to the Board where necessary under the Financial Regulations having first been considered by the University Executive Group (and Finance Committee if Finance Committee does not have delegated authority))

Disposal of property (including leasing/licensing)

Board of Governors Director of Estates and Capital Projects

On recommendation of University Executive Group and Finance Committee

Contracts in relation to residential accommodation

Vice-Chancellor

Chief Financial Officer Chief Financial Officer With advice from the University Solicitor

Health and Safety Board of Governors Vice-Chancellor Safety Officer Annual Report to Board of Governors via Safety Committee



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7. Academic Partnerships



or decision.







forward.


Standard Template Agreements

Approval of standard template agreements for academic partnerships (eg progression, articulation, exchange and academic co-operation agreements and memoranda of understanding)

Academic Board Dean of Academic Partnerships

Drawn up with advice from University Solicitor and Quality Office via University Executive Group and Academic Development & Partnerships Committee Revisions in respect of individual arrangements must have approval of the University Solicitor on advice from the Quality Office

Specific academic partnership arrangements Note: the processes defined below are those of in-principle approval. For the majority of arrangements there will also be a detailed scrutiny focused on quality and standards and the student experience, undertaken in accordance with the University Quality Assurance Handbook under the aegis of Academic Board

Approval of progression/articulation arrangement


Dean of Academic Partnerships

In accordance with Articulation/Progression Policy and Guidance and with advice from Quality Office and approval of the relevant Faculty Dean(s)

Approval of exchange arrangements


Dean of Academic Partnerships

with advice from Quality Office and approval of the relevant Faculty Dean(s)

Approval of joint/dual award arrangements

Academic Board Dean of Academic Partnerships

with advice from Quality Office and approval of the relevant Faculty Dean(s)

Approval of UK or international validation/ franchise/academic co-operation arrangement other than those specified above

Board of Governors Academic Board (but see notes)

Following completion of due diligence in accordance with the University Quality assurance handbook and on recommendation from Academic Development & Partnerships Committee and University Executive Group Any arrangement deemed by Academic Development and Partnerships Committee or University Executive Group to involve high reputational, financial or staff risk (before risk mitigation applied) requires approval from the Board of Governors All new off-campus delivery agreements to be reported to the Board of Governors


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or decision.







forward.


Signing academic partnership agreements

Academic Board See University policy on minimum levels of authority

Termination of Academic Partnerships

Dissolution of academic partnership arrangement

Board of Governors Academic Board (but see notes)

on recommendation from Academic Development & Partnerships Committee and University Executive Group Any dissolution deemed to involve high reputational, financial or staff risk (before risk mitigation applied) requires approval from the Board of Governors


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8. Marketing, Student Recruitment & Development



or decision.







forward.


Approval of the use of the University Crest/branding

Vice-Chancellor

Chief Marketing Officer Chief Marketing Officer

Approval of filming agreements

Chief Marketing Officer Chief Marketing Officer

Authorisation of media releases

Vice-Chancellor Chief Marketing Officer Chief Marketing Officer Board of Governors to be advised of any issues which may impact on reputation

Crisis Communications Vice-Chancellor Chief Marketing Officer Chief Marketing Officer

Board of Governors to be advised

Approval of/changes to the University’s brand

Vice-Chancellor Chief Marketing Officer via University Executive Group Board of Governors to be advised

Approval of Alumni and other fund raising campaigns

Vice-Chancellor

Chief Marketing Officer Chief Marketing Officer via University Executive Group Board of Governors to be advised

Approval of internal communications strategy

Vice-Chancellor

Chief Marketing Officer Chief Marketing Officer via University Executive Group


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Annex 1.

University of Plymouth - Schedule of Financial Limits Interpretation

1 For the purposes of interpreting this Schedule and unless expressly stated otherwise:

(a) where the “Vice-Chancellor” is referred to in the Schedule as the Responsible Authority, he or she would ordinarily be expected to consult UEG in making the relevant decision; (b) references to “the University” include all wholly-owned subsidiaries of the University and any other entities which qualify as “subsidiaries” of the University but not (for the avoidance of doubt and unless expressly stated otherwise) any

other associated companies or entities; (c) reference to “subsidiary” means a corporate or other entity in which the University has a majority shareholding or other stake or controlling interest in its management or ownership; (d) reference to an “associated company or entity” means a corporate or other entity in which the University has a minority shareholding or other stake or non-controlling interest in its management or ownership; (e) reference to a “spin-out” means a company or other entity set up by the University (usually as a joint venture with University staff and one or more third party investors) to develop or market a particular asset (such as intellectual property)

or activity on behalf of the University and other participants, the participants’ stake or involvement in the management, ownership or activities of the company or entity concerned being regulated by specific arrangements agreed between them; and

(f) references to the “capital projects committee” mean any executive committee responsible for oversight of capital projects and programmes from time to time, by whatever name called. 2 With regard to any key decision or activity to be undertaken by a subsidiary or an associated company or entity, it will be necessary for the board of directors or other governing body (or, as required, the members) of the subsidiary, company or entity

concerned to have approved the particular matter prior to the involvement of the relevant Initiating Authority and Responsible Authority referred to in this Schedule. Once approved in accordance with this Schedule, any documents to be executed on

behalf of that subsidiary, company or entity would need to be executed in accordance with the requirements applicable to that subsidiary, company or entity, and implemented by its board of directors or other governing body, reporting as necessary

to the relevant Implementation/Signing Authority referred to in this Schedule.

3 Where financial limits, amounts or values are specified in this Schedule with respect to particular types of contracts, transactions or other matters for authorisation purposes, any assessment of whether any such limit, amount or value has been

exceeded or is otherwise applicable should take into account contracts, transactions or matters which are related or which should reasonably be regarded as part of the same substantive transaction or matter. Accordingly, a single contract, transaction

or matter should not be sub-divided into smaller components for the purposes of bringing it within a financial limit which would not otherwise have applied.

4 Whilst the Schedule of Limits gives explicit delegated authority it is expected that where transactions within delegated limits are likely to be contentious and/or risks impacting the University’s reputation then normal management practice would be

to highlight the issues and seek appropriate more senior advice including escalation to Committee/Board Chairs as appropriate.

5 This Schedule supersedes any previous Schedule of Limits and Authorities, Schedule of Financial Limits or similar document. To the extent that this Schedule conflicts, or is inconsistent, with the Schedule of Delegation, it takes precedence over the

latter. Otherwise the Schedule of Delegation remains in full force and effect.

1. GENERAL FINANCIAL

Key Decision or Activity of University Initiating Authority (i.e., first port of call)

Responsible Authority (i.e., body with ultimate responsibility)

Implementation/Signing Authority

1.1

Borrowing (including renewals of, or increases in, current credit facilities/borrowing limits) by single or related transactions with aggregate value of: (1) < £1m (2) > £1m - £3m (3) > £3m

Chief Financial Officer to initiate and consult University Solicitor (as appropriate); then Vice-Chancellor to make recommendation in (2) and (3).

(1) Vice-Chancellor and Chief Financial Officer (2) Finance Committee (3) Board of Governors (taking account recommendation of Finance Committee)


1.2

Lending by single or related transactions with aggregate value of: (1) < £500,000 (2) £500,000 - £1m (3) > £1m





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Key Decision or Activity of University Initiating Authority (i.e., first port of call)



1.3

Bad debts write-off or write-down by single or related transactions with aggregate value of: (1) < £50,000 (2) £50,000 - £150,000 (3) > £150,000

Chief Financial Officer to initiate; then Vice-Chancellor to make recommendation in (3).

(1) Chief Financial Officer (who can delegate for sums < £10,000) (2) Vice-Chancellor (3) Finance Committee


1.4

Finance contracts (subject as otherwise provided in this Schedule and Schedule of Delegation), including: (a) mortgages, charges and other security (b) guarantees of liabilities of third parties (including University subsidiaries or associated companies/ entities) (c) hire purchase or other conditional purchase/sale arrangements But excluding any loan, credit facility or other credit arrangement (see Paragraph 1.1),

where aggregate value/liability is: (1) < £1m (2) £1m - £3m (3) > £3m



Signatories: Registrar & Secretary, Vice-Chancellor, Deputy Vice-Chancellor or Chief Financial Officer Signature can be delegated to specified officers if: - standard University template used, or - form of contract approved by University Solicitor Chief Financial Officer to implement

1.5

(a) Tax (including VAT), tax planning and settlement of tax matters with tax authorities; or (b) payment to or from/settlement of matters with other regulators, each involving aggregate amount of: (1) < £50,000 (2) £50,000 or >

Chief Financial Officer (1) Chief Financial Officer (2) Vice-Chancellor To be reported to Finance Committee in each case


1.6

Negotiation and settlement of insurance claims with aggregate value of: (1) < £50,000 (2) £50,000 or >

Registrar & Secretary or Risk, Business Continuity and Insurance Specialist to initiate and consult University Solicitor (as appropriate)

(1) Chief Financial Officer (2) Vice-Chancellor

Registrar & Secretary. Administrative functions may be delegated to Risk, Business Continuity and Insurance Specialist

1.7

Solicitation, acceptance and administration of: (a) philanthropic donations, gifts (including gifts of money and other assets) and endowments (b) incoming sponsorship (excluding sponsorship of clinical trials) with aggregate value of: (1) < £250,000 (2) £250,000 - £2m (3) > £2m - £5m (4) > £5m For outgoing sponsorship, see Paragraph 4.1

Chief Marketing Officer to initiate (in relation to (a), in line with any approved fundraising campaigns). Vice-Chancellor to make recommendation in (3) and (4).

(1) Chief Marketing Officer and Chief Financial Officer (2) Vice-Chancellor (3) Finance Committee (4) Board of Governors (taking account recommendation of Finance Committee)

Chief Marketing Officer. Any cases which might give rise to significant financial, reputational or other risk or responsibility for University to be reported to Audit Committee

2. GRANTS


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Key Decision or Activity Initiating Authority (i.e., first port of call)



2.1

Institutional grant applications, bids or tendering by the University and any resulting contracts (excluding research), with aggregate value of: (1) < £250,000 (2) £250,000 or >

Relevant Executive Dean/Head of Directorate to initiate.

(1) Relevant UEG member (2) Vice-Chancellor

Applications to be signed by: - Vice-Chancellor (or Deputy Vice-Chancellor if absent), and - Chief Financial Officer or Registrar & Secretary (if second signature required)

2.2

Research grant applications, bids or tendering by the University; any resulting research contracts; other research funding agreements; research collaborations; and other research-related agreements – submission, acceptance and implementation, with aggregate value of: (1) < £2m (2) £2m or >

Relevant Executive Dean to initiate and consult Deputy Vice-Chancellor (Research & Enterprise).

(1) Relevant Executive Dean and Chief Financial Officer (or delegate) (2) Deputy Vice-Chancellor (Research & Enterprise) and Chief Financial Officer

Signatories: (1) Relevant Executive Dean (2) Deputy Vice-Chancellor (Research & Enterprise) To be implemented and supervised by Head of Innovation Gateway or Director of R&I Any significant financial, reputational or other risk/responsibility for University to be reported to Audit Committee

3. CAPITAL INVESTMENT PROJECTS, ESTATES AND IT

3.1

Approval of individual capital/infrastructure programme/project: - including projects involving land/property

acquisition, exchange, development, planning, construction, refurbishment, maintenance and facilities

- but excluding:

IT projects/software (see Paragraph 3.2),

leases/licences (Paragraph 3.4)

land disposals (Paragraph 3.5), by single or related transactions with aggregate value of: (1) < £500,000 (2) £500,000 - £1m (3) > £1m - £5m (4) > £5m - £10m (5) > £10m Provided they form part of the agreed overall capital programme for the year

Director of Estates and/or Chief Financial Officer to initiate (subject to Estates Strategy/ applicable annual plans) and consult University Solicitor (as appropriate); then Capital Projects Committee to make recommendation in (4) and (5)

(1) Director of Estates (2) Director of Estates and Chief Financial Officer (3) Capital Projects Committee (4) Finance Committee (5) Board of Governors (taking account recommendation of Finance Committee)

Director of Estates Capital Projects Committee to monitor projects (subject to Paragraph

3.3)

Signatory: (1), (2) and (3) - Director of Estates (4) and (5) - Chief Financial Officer

3.2

Approval of individual IT/information services capital/infrastructure programme/project, and acquisition or licence of software, by single or related transactions with aggregate value of: (1) < £150,000 (2) £150,000 - £500,000 (3) > £500,000 - £2m (4) > £2m - £5m (5) > £5m

IT Director to initiate and consult University Solicitor (as appropriate); then IT Digital Committee to make recommendation in (3) - (5)

(1) IT Director and Chief Financial Officer (2) IT Digital Committee (3) Capital Projects Committee (4) Finance Committee (5) Board of Governors (taking account recommendation of Finance Committee)

IT Director Signatory: (1) and (2) - IT Director (3), (4) and (5) - Chief Financial Officer


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3.3

Increase/upward variations to previously approved capital/infrastructure programme, project and budget (within Paragraphs 3.1 or 3.2) where aggregate variation is: (1) < £500,000 (or 10% of aggregate project cost, if greater) (2) £500,000 (or 10% of aggregate project cost, if greater) - £2m (3) > £2m

Director of Estates or IT Director (as appropriate) to initiate (subject to Estates Strategy); then Capital Projects Committee to make recommendation in (2) and (3)

(1) Capital Projects Committee (2) Finance Committee (3) Board of Governors (taking account recommendation of Finance Committee)

Director of Estates or IT Director (as appropriate)

3.4

Leases and licences of land/property (whether University is landlord or tenant) where: (1) market value of < £150,000; or rent of < £20,000

per annum; and term of < 7 years (2) market value of £150,000 - £500,000; or rent of

£20,000 - £70,000 per annum: and term of < 7 years

(3) market value of > £500,000 - £2m; or rent of > £70,000 - £300,000 per annum; and term of < 7 years

(4) market value of > £2m - £5m; or rent of > £300,000 - £700,000 per annum; and term of < 7 years

(5) market value of > £5m; or rent of > £700,000 per annum; or term of > 7 years

Director of Estates and/or Chief Financial Officer to initiate (subject to Estates Strategy) and consult University Solicitor (as appropriate); then Capital Projects Committee to make recommendation in (4) and (5)


Director of Estates Signatory: (1), (2) and (3) - Director of Estates (4) and (5) - Chief Financial Officer

3.5

Disposal of land/property or assets (excluding leases/licenses – see Paragraph 3.4) by single or related transactions with aggregate value of: (1) < £150,000 (2) £150,000 – £500,000 (3) > £500,000 - £2m (4) > £2m - £5m (5) > £5m

Director of Estates and/or Chief Financial Officer to initiate (subject to Estates Strategy) and consult University Solicitor (as appropriate); then Capital Projects Committee to make recommendation in (4) and (5)


Director of Estates Signatory: (1), (2) and (3) - Director of Estates (4) and (5) - Chief Financial Officer

3.6

Other dealings with land/property or assets: - including grant of rights of way, easements and

other rights/interests in or over land/property but excluding mortgages, charges or other security (see Paragraph 1.4)

Chief Financial Officer, Registrar & Secretary and/or Director of Estates to initiate (subject to Estates Strategy and University’s banking covenants) and consult University Solicitor (as appropriate); then to make recommendation to Vice-Chancellor

Vice-Chancellor Finance Committee to consider proposals which may have: - reputational implications or give rise to

media interest; or material adverse effect on value of University land/property

Director of Estates Signatory: Director of Estates.

4. ACQUISITION AND DISPOSAL OF OTHER ASSETS (INCLUDING UNIVERSITY COMPANIES) AND OTHER EXPENDITURE


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4.1

Non-payroll expenditure: - including purchase of goods and services - but excluding:

IT projects/software (see Paragraph 3.2),

land/property (Paragraphs 3.1 and 3.4),

assets/investments (Paragraph 4.3),

shares (Paragraph 4.5), and

activities of University subsidiaries/ associated companies/entities (Paragraph 4.7),

by single or related transactions with aggregate value of: (1) < £10,000 (2) £10,000 - £50,000 (3) > £50,000 - £250,000 (4) > £250,000 - £2m (5) > £2m - £5m (6) > £5m

Chief Financial Officer (or authorised managers) to initiate and consult Procurement Office (as appropriate); then Vice-Chancellor to make recommendation in (5) and (6)

(1) Senior manager/budget holder (2) Head of School/Directorate (3) Executive Dean/Head of Directorate and Chief Financial Officer (4) Vice-Chancellor (5) Finance Committee (6) Board of Governors (taking account recommendation of Finance Committee)


4.2

Agreement for the sale/provision of goods and services by the University in return for payment (including payment in kind) other than:

teaching or research services,


assets/investments (Paragraph 4.4),

shares (Paragraph 4.6)

activities of University subsidiaries/ associated companies/entities (Paragraph 4.7), and

business/asset disposal (Paragraph 4.8) by single or related transactions with aggregate value of: (1) < £50,000 (2) > £50,000 - £150,000 (3) > £150,000 - £2m (4) > £2m - £5m (5) > £5m

Relevant Executive Dean or Head of Directorate to initiate, consult University Solicitor (as appropriate) and obtain appropriate tax advice; then Vice-Chancellor to make recommendation in (4) and (5)

(1) Executive Dean/Head of Directorate (2) Chief Financial Officer (3) Chief Financial Officer and Vice-Chancellor (4) Finance Committee (5) Board of Governors (taking account recommendation of Finance Committee)

Signatories and implementation: Relevant Executive Dean or Head of Directorate

4.3

Acquisition of substantial assets/ investments, excluding:

purchase of goods and services (Paragraph 4.1),

IT projects and software (Paragraph 3.2),


shares (Paragraph 4.5), and

activities of University subsidiaries/ associated companies/entities (Paragraph 4.7),

by single or related transactions with aggregate value of: (1) < £150,000 (2) £150,000 - £2m (3) > £2m - £5m (4) > £5m

Chief Financial Officer (or authorised managers) to initiate and consult Procurement Office (as appropriate); then Vice-Chancellor to make recommendation in (3) and (4)

(1) Chief Financial Officer (2) Vice-Chancellor and Chief Financial Officer (3) Finance Committee (4) Board of Governors (taking account recommendation of Finance Committee)



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4.4

Disposal of substantial assets/ investments excluding:


goods and services (Paragraph 4.2),

shares (Paragraph 4.6),

activities of University subsidiaries/ associated companies/entities (Paragraph 4.7), and

business/asset disposal (Paragraph 4.8) by single or related transactions with aggregate value of: (1) < £150,000 (2) £150,000 - £2m (3) > £2m - £5m (4) > £5m

Chief Financial Officer to initiate; then Vice-Chancellor to make recommendation in (3) and (4)



4.5

(a) Incorporation/formation/purchase of University subsidiary or other company/ entity in which the University has a direct equity holding, other stake or management role (b) Acquisition of equity stake or other interest in ownership or management of any company/other entity (c) Other corporate investment or joint venture with shareholder/subscription agreements or similar, But excluding spin-outs: by single or related transactions where aggregate value of investment is: (1) < £150,000 (2) £150,000 - £2m (3) > £2m - £5m (4) > £5m

Chief Financial Officer to initiate; then Vice-Chancellor to make recommendation in (3) and (4)


Chief Financial Officer Board of subsidiary to make annual report to Board of Governors

4.6

(a) Sale of all/some of University’s shares or other interests in; (b) third party investment in; or (c) other change in control of: University subsidiary or associated company/entity (excluding spin-outs) by single or related transactions with aggregate value of: (1) < £150,000 (2) £150,000 - £2m (3) > £2m - £5m (4) > £5m

Chief Financial Officer to initiate (in liaison with board of subsidiary/associated company/entity); then Vice-Chancellor to make recommendation in (3) and (4)


Chief Financial Officer To be implemented by board of subsidiary/other company/entity

4.7

In relation to each University subsidiary and other associated company/entity (but excluding spin-outs):

Chief Financial Officer to initiate (in liaison with board of subsidiary/associated company/entity)

(a) & (b) (1) Senior manager of entity/budget holder (2) Director of entity (3) Two directors of entity

Chief Financial Officer To be implemented by board of subsidiary/other company/entity


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(a) non-recurrent expenditure (including purchase of goods and services and commitments for the same) by single/ related transactions with aggregate value of: or (b) single or related contracts, agreements or transactions with aggregate value/ potential liability (under an indemnity provision or otherwise) of: (1) < £10,000 (2) £10,000 – £50,000 (3) > £50,000 - £250,000 (4) > £250,000 - £2m (5) > £2m - £5m (6) > £5m or (7) with a term/commitment by subsidiary etc. of 3 years or more without earlier termination rights

and consult Procurement Office and University Solicitor (as appropriate); then Vice-Chancellor to make recommendation in (6) and (7)

(4) Board of directors of entity (5) Vice-Chancellor (6) & (7) Finance Committee (subject to terms of any third party agreement) (b) Board of Governors to consider any such transaction which gives rise to significant financial, reputational or other risk or responsibility on the part of the subsidiary etc. or University

4.8

Transfer of business or assets (whole or substantial part) of University subsidiary and other associated company/entity (excluding spin-outs) by single or related transactions with aggregate value of: (1) < £150,000 (2) £150,000 - £2m (3) > £2m - £5m (4) > £5m

Chief Financial Officer to initiate (in liaison with board (or as required members) of subsidiary/associated company/entity); then Vice-Chancellor to make recommendation in (3) and (4)


Chief Financial Officer To be implemented by board of subsidiary /other company/entity

4.9

In relation to any University subsidiary or other associated company/entity (excluding spin-outs): (1) issues of policy/principle or significant shareholder decisions; or (2) significant changes in its memorandum/articles/constitution, shareholders agreements or other/ equivalent documents

Chief Financial Officer to initiate (in liaison with board (or as required, members) of subsidiary/associated company/entity); then Vice-Chancellor to make recommendation to Finance Committee

Finance Committee Chief Financial Officer To be implemented by board of subsidiary/other company/entity

4.10

In relation to any University spin-out (however constituted): (a) incorporation/formation, (b) acquisition of, investment in, (c) sale (whole or part) or other change of control, (d) non-recurrent expenditure or assumption of liability, (e) transfer of business/assets (other than intellectual property - see Paragraph 5.1) by single or related transactions with aggregate value of: (1) < £250,000 (2) £250,000 - £1m (3) > £1m - £3m (4) > £3m

Head of Innovation Gateway or Director of R&I to initiate (in liaison with board (or as required, members) of spin-out) and consult University Solicitor (as appropriate); then Research & Innovation Committee to make recommendation

(1) Deputy Vice-Chancellor (Research & Enterprise) and Chief Financial Officer (2) Vice-Chancellor (3) Finance Committee (4) Board of Governors (taking account recommendation of Finance Committee)

Head of Innovation Gateway or Director of R&I


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5. OTHER TRANSACTIONS




5.1

Intellectual Property of: - the University (excluding the University’s crest,

logo, branding and trademarks - Section 8 of

Schedule of Delegation); and - any University subsidiary (including spin-outs but

excluding other associated companies/entities): (a) policies (b) administration/management (c) applications for registration/protection (d) approval of third party use of IP (e) IP infringements and other third party disputes (f) sale, licensing, commercialisation and other

exploitation of IP by single or related transactions with aggregate value of:

(1) < £250,000 (2) £250,000 - £1m (3) > £1m - £3m (4) > £3m

(a), (d) Head of Innovation Gateway or Director of R&I to initiate and, in relation to subsidiary/spin-out, consult its board as appropriate; then Research & Innovation Committee to make recommendation (b) Head of Innovation Gateway or Director of R&I to initiate and, in relation to subsidiary/spin-out, consult its board as appropriate (c) Head of Innovation Gateway or Director of R&I to initiate and consult R&I IP specialists and, in relation to subsidiary/spin-out, its board (as appropriate) (e) Head of Innovation Gateway or Director of R&I to initiate and consult R&I IP specialists, University Solicitor and, in relation to subsidiary/spin-out, its board (as appropriate) (f) Head of Innovation Gateway or Director of R&I to initiate and consult R&I IP specialists, University Solicitor and, in relation to subsidiary/spin-out, its board (as appropriate); then Research & Innovation Committee to make recommendation

(a) Vice-Chancellor (b) – (e) Deputy Vice-Chancellor (Research & Enterprise) (f) (1) Deputy Vice-Chancellor (Research & Enterprise) and Chief Financial Officer (2) Vice-Chancellor (3) Finance Committee (4) Board of Governors (taking account recommendation of Finance Committee)

(a) – (d) Deputy Vice-Chancellor (Research & Enterprise) (e) University Solicitor (f) Head of Innovation Gateway or Director of R&I

5.2

Agreements for provision of student residential accommodation or relating to University-owned/leased/licensed residential accommodation where annual aggregate value/price payable by the University is: (1) < £5m (2) £5m or >

Director of Estates to initiate and consult University Solicitor (as appropriate); then Chief Financial Officer to vet proposals

(1) Vice-Chancellor (2) Finance Committee

Signatory: Chief Financial Officer Director of Estates to implement

5.3

Procurement of: (1) external legal advice (2) other professional advice (except legal and accounting/audit)

Registrar & Secretary (if procuring advice for Board of Governors), Chief Financial Officer or, (1) University Solicitor, or (2) Director of Estates (for property) or Head of other relevant Directorate

If estimated fees (excluding VAT and disbursements) by single or related instructions/transactions are: (1) < £20,000, Registrar & Secretary or Chief Financial Officer to approve (2) £20,000 – £100,000, Vice-Chancellor to approve

(1) University Solicitor (2) Director of Estates or Head of other relevant Directorate


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(3) > £100,000, Finance Committee to approve

5.4

Undertaking litigation or other dispute resolution process where aggregate claim/amount/potential liability at stake is: (1) < £250,000 (2) £250,000 - £1m (3) > £1m

Registrar & Secretary, Chief Financial Officer or University Solicitor to initiate

(1) Registrar & Secretary (2) Vice-Chancellor (3) Finance Committee

University Solicitor

5.5 Severance payments, including redundancy, compulsory redundancy, voluntary redundancy and settlement agreements. Individual payments: (1) < £30,000 (2) £30,000 - < £100,000 (3) £100,000 +

Relevant manager to consult with HR. Proposals to be reviewed by HR Director, with HR Director to bring forward proposals at level (2) and above for approval

(1) HR Director & Chief Financial Officer (2) Vice-Chancellor & Chief Financial Officer (3) Board of Governors

HR Director

5.6

Other single or related contracts, agreements or transactions (not otherwise specified in this Schedule or in Schedule of Delegation) with an aggregate value/potential liability (under indemnity or otherwise) of: (1) < £10,000 (2) £10,000 – £50,000 (3) > £50,000 - £250,000 (4) > £250,000 - £2m (5) > £2m

Relevant Executive Dean or Head of Directorate to initiate, consult University Solicitor (as appropriate), (in relation to subsidiary/associated company/ entity/spin-out, consult its board, or as required members), and obtain appropriate tax advice; then Vice-Chancellor to make recommendation in (5) Contracts in (4) or (5) must be reviewed by: - University Solicitor - Chief Financial Officer re. financial

aspects - Director of Estates re. property

(1) Senior manager/budget holder (2) Head of School/Directorate (3) Executive Dean/Head of Directorate and Chief Financial Officer (4) Vice-Chancellor (5) Finance Committee Finance Committee to consider any matter which gives rise to significant financial, reputational or other risk or responsibility on the part of the University; and to report to the Board of Governors (as appropriate).

Signatories: Vice-Chancellor, Registrar & Secretary, Deputy Vice-Chancellor, relevant Executive Dean/Head of Directorate and/or Chief Financial Officer Relevant Executive Dean or Head of Directorate to implement

Documents

Plymouth University Schedule of Delegation...0.1 06/05/2015 Claire Daniells Development of initial template 0.2 03/06/2015 Claire Daniells Content added, incorporating feedback from