UNIVERSITY COURT 26-27 November 2015, Ross Priory, Gartocharn
BUSINESS SESSION AGENDA Thursday 26 November 2015, 13.15 – 15.15 Apologies: Professor Andrew McLaren, Councillor Stephen Curran Declarations of interest: None noted
Introduction
1. Minutes of the meeting held on 8 October 2015 Paper A
2. Matters arising 5 mins
3. Principal’s Report Oral 10 mins
Substantive items
4. Financial Statements 2014-15 Paper B Chief Financial Officer, Kirsty MacLeod 20 mins
5. Q1 Business Report 2015-16 Paper C Chief Financial Officer, Simon Jennings 20 mins
6. Strategic Plan 2015-2020: First draft progress report 2014-15 Paper D and Performance Measurement Framework final report 15 mins Simon Jennings
7. Draft Outcome Agreement revisions 2016-17 Paper E Simon Jennings 15 mins
8. Review of Commercialisation and Investment Advisory Board Paper F Chief Operating Officer 15 mins
9. Update on Property Disposals [To Follow] Paper G Chief Financial Officer 10 mins
10. Higher Education Governance (Scotland) Bill - update Oral Principal 5 mins
Items for formal approval 5 mins
11. Convener’s Actions – none to report
The place of useful learning The University of Strathclyde is a charitable body, registered in Scotland, number SC015263 5 mins Items for information
12. Prevent Strategy – implementation update Paper H
Committee reports 10 mins
13. Senate Paper I
14. Executive Team Paper J
15. Court Business Group Paper K
16. Audit Committee (including Annual Report to Court) Paper L
17. Education Strategy Committee Annual Report 2014-15 Paper M
Closing remarks 5 mins
18. Any other business Convener
Date of next meeting Thursday 26 February 2015, 09.30-12.00 MINUTES OF UNIVERSITY COURT 8 October 2015
Present: Richard Hunter (Convener), Principal Professor Sir Jim McDonald, Gillian Hastings, Dr Jeremy Beeton, Dr Archie Bethel, Alison Culpan, Susan Kelly, Kerry Alexander, Vice Principal Professor Scott MacGregor, Dr Veena O’Halloran, Dr Jonathan Delafield-Butt, Dr Andrew McLaren, Professor Erling Riis, Dr Dimitris Andriosopoulos, Louise McKean, Gary Paterson, Gerry McDonnell, Dr Alistair Goldsmith, Councillor Stephen Curran
Attending: Hugh Hall, David Coyle, Professor David Littlejohn, Professor David Hillier, Professor Dimitris Drikakis, Simon Jennings, Ray McHugh, Stella Matko, Dr Stuart Brough, Brian Green (for Item 7), Shaun McAllister (for Item 7), Ann-Marie Kennerley (for Item 7), Darren Thompson
Apologies: Ronnie Cleland, Dr Jane Morgan, Dr Jack Perry, Marion Venman, Malcolm Roughhead, Professor Douglas Brodie, Sandra Heidinger, Dr David McBeth
Welcome and apologies
The Convener noted apologies and welcomed new members of Court. There were no declarations of interest.
1. Minutes
The minute of the meeting held on 24 June 2015 was approved.
2. Matters arising
Lay Members’ Dinner – the Convener reported briefly on the informal Lay Members’ dinner event held on 7 October 2015.
Royal opening of the Technology & Innovation Centre – the Convener reported that the Technology & Innovation Centre had been formally opened on 3 July 2015 by Her Majesty the Queen and His Royal Highness the Duke of Edinburgh.
3. Principal’s Report
The Convener suggested that the update on the Higher Education Governance (Scotland) Bill, originally scheduled for discussion as Item 8 on the Agenda, be included in this report.
The Director of Strategy and Policy provided Court with an overview of the Bill’s on-going progress through the Scottish Parliament, highlighting the overall level of sector engagement to date and explaining the key remaining stages of the legislative process. The Principal then offered more detail on a range of proactive engagements undertaken since the introduction of the Bill. The institution would continue to work constructively with the Scottish Government, alongside Universities Scotland, in seeking to reduce the likelihood of unintended consequences as a result of the Bill.
Members welcomed this update and discussed the potential wider implications, should the Bill be enacted into law in its current form. It was agreed that advice on key messages would be circulated to members.
The Principal informed members of other key activities and issues since the June meeting: 1 • Spending Review 2015: It was anticipated that the UK Spending Review would be published in November 2015. • Strategic Plan: As part of embedding the new Strategic Plan, the Principal had hosted a series of engagement sessions with significant numbers of staff from all areas of the University. These sessions had communicated the need to ensure a strong focus on both academic excellence and outstanding business performance. • Student Inauguration Events: These events had been held for the first time in September and had been a significant success, attracting a high level of attendance by first year undergraduate students. The Principal thanked the lay members of Court who had attended. • Children’s University Graduation: This is an integral part of the University’s widening access strategy and a demonstration of how Strathclyde is leading and innovating in this area. • League Tables: The University had recently hosted the QS World Rankings 2015 launch event and had increased its standing in these rankings, relative to other Scottish institutions. • International engagements: The Principal had undertaken a number of overseas engagements to support existing and developing international partnerships. • Commission on Widening Access: The University was taking advantage of opportunities to engage with the Commission, providing evidence of the full range of widening access activity at Strathclyde. Student representatives would be invited to contribute to future engagements. • Major research awards: A number of major research awards had been secured so far during 2015- 16, which would contribute to the University’s income targets across multiple years. All four Faculties were focused on increased performance in this area and particular successes were already evident. • SFC Board appointment: Court congratulated Dr Veena O’Halloran on her appointment to the Board of the Scottish Further and Higher Education Funding Council.
4. Student Recruitment Update
An update on undergraduate and taught postgraduate recruitment for the new academic year was presented. Members noted that considerable progress had been achieved and that recruitment targets had been exceeded in a number of categories. Fee income was expected to rise as a result although, depending on the final numbers registered, it may not fully meet the levels previously forecast due to under- recruitment in some areas. Members noted that a fuller indication of student numbers and related financial performance would be presented in the Q1 Business Report at the November meeting. The Chief Financial Officer indicated that any shortfall in fee income was unlikely to represent a material concern. Members discussed:
• The need to better understand the reasons for recruitment shortfalls in specific subject areas • The need to ensure that the management of Home/EU recruitment in future years does not constrain efforts to increase the number of entrants from disadvantaged backgrounds
5. National Student Survey 2015
A summary of the University’s National Student Survey 2015 results was considered. Court was disappointed to note the two point reduction in overall satisfaction to 87%, one point higher than the UK and Scottish averages and four points below the top quartile of UK institutions. Members considered the immediate and medium-term actions intended to deliver improved results in future years and discussed the following points:
• A below average score for Assessment and Feedback was consistent with the 2014 position and this remained a key area for improvement. Court welcomed the proposed approach, which would encourage Departments and Schools to take a greater role in driving improved performance, and asked to be kept informed of progress in this area over the coming year. • The detailed analysis and benchmarking of results was welcomed and useful in highlighting the need for a stratified approach to target efforts appropriately • Sector comparison by subject level would be effective in illustrating to Departments and Schools their performance against peers. • Tracking mid-year satisfaction levels through internal surveys and staff/student interactions was important in identifying issues and one-off events that might impact on the student experience. • Better understanding and sharing of good practice by those Departments and Schools with sustained good results would be beneficial 2 The USSA President and Vice-President indicated that extensive feedback had been provided by student representatives at a recent meeting of Senate and suggested that lessons could be learned from peer institutions that had experienced sustained year-on-year improvements in their scores, including by means of joint-working with their students’ associations.
6. Outcome Agreement 2014/15 self-evaluation report & guidance
The draft 2014-15 self-evaluation report was presented, along with key points from the Scottish Funding Council guidance for Outcome Agreements covering 2016-17. Members noted a number of areas in the Report where key data was yet to be finalised. Court approved the draft report but requested that a finalised version be circulated to Court Business Group in advance of submission, once outstanding data became available.
7. Estates Matters:
i) Sports, Health and Wellbeing Building Business Case
The Director of Estates Services presented a detailed business case for investment in a new Sports, Health and Wellbeing facility. Members discussed the business case in detail, highlighting the following key issues:
• The likely significant benefit to the University in terms of its attractiveness as a destination for prospective students, particularly international students. • The anticipation of a positive impact upon the overall student experience and an increased ability to meet the expectations of staff. • The potential impacts upon other priority areas of capital investment • The need to achieve future levels of projected income, in line with the financial forecast, to ensure affordable delivery within the University’s Capital Investment Plan. • The need to provide facilities which are comparable with provision available elsewhere, and the significant recent investments by competitor institutions in this area. • The capacity for future expansion provided by the recommended option • The potential for greater levels of philanthropic support • Prior scrutiny of the business case and the proposed option by the Estates Committee
Members were unanimously supportive of the proposal and Court approved, in principle, the recommended option as set out within the Executive Summary Report provided. It was agreed that preliminary design work should continue but final commitment to the project would be subject to formal approval at a future meeting of Court once additional information on the Scottish Government budget became available.
ii) Estates Strategy update
An update on the University’s Estates Strategy and the development of the Capital Investment Plan was presented. Members discussed this and noted that the Plan provided an indication of future capital developments but that individual proposals for investment would be subject to scrutiny by the Estates Committee and approval by Court. The Capital Investment Plan also incorporated a level of flexibility in order to be able to respond to changing conditions.
8. Governance Bill update
This item was considered and noted during the Principal’s Report at Item 3.
Items for formal approval
9. Convener’s Actions
Court agreed to homologate the actions undertaken by the Convener since June, specifically:
• The appointment of Kerry Alexander to Audit Committee for a one year term commensurate with Court membership. 3 • The appointment of Veena O’Halloran to Court Business Group and Court Membership Group for a three year term commensurate with Court membership.
10. Report for the Scottish Funding Council: Internal Review of Quality
Court approved the Annual Statement on Institution-led Review of Quality for Academic Year 2014-15 for the Scottish Funding Council.
11. Corporate Risk Register
Court considered and endorsed the selection of top risks and mitigating actions in the Corporate Risk Register. Members asked that the Risk Group reflect upon risks for the University as a result of its engagement with industry partners and incorporate any such risks within future versions of the Register.
Item for information
12. Complaints Handling Annual Report 2014/15
Court reviewed and noted the Complaints Handling Annual Report 2014-15.
13. Court Members’ Appraisal & Survey
The Convener reported on the main themes arising as a result of the Court Members’ online survey and the individual appraisal meetings held with Court members over the summer. It was noted that, in accordance with good practice, the online survey also provided an opportunity for Members to submit feedback on the performance of the Convener to the Vice-Convener as the appointed “intermediary”. It was noted that there were no substantive matters arising but due consideration will be given to the suggestions made. In response to one specific suggestion, it was agreed that alternative meeting locations will be sought for the remaining Court meetings in 2015-16. [Secretary’s note: Members are encouraged to provide feedback to the Convener and/or the Secretariat at any time during the course of the year and not just at the annual survey point and, in accordance with the Code of Good HE Governance, can if they prefer raise matters of concern with the Vice-Convener as the Court’s appointed intermediary.]
Committee Reports
The following committee reports were received by Court:
14. Senate (with the Internal Review of Quality report approved under Item 10 above) 15. Executive Team 16. Court Business Group 17. Audit Committee 18. Estates Committee (with Sports, Health and Wellbeing proposal approved under Item 7 above) 19. Staff Committee (Court noted the approval by Staff Committee of the implementation of Professorial Zoning) 20. Strategic Marketing Group
21. Any other business
The USSA President provided an update on the implementation of the USSA organisational review. This was now at an advanced stage and the level of support offered by the University had been warmly welcomed. A final report would be presented to Court in November, alongside the USSA budget.
Date of next meeting
Thursday 26 and Friday 27 November 2015, Ross Priory DT, October 2015
4 Paper B
Financial Statements 2014/15 [RESERVED ITEM] The University's published 2014-15 Financial Statements are available here. Paper C
Q1 2015-16 - Quarterly Business Report [RESERVED ITEM] Paper D Strategic Plan 2015-2020 – Year 1 Progress Report
1. Following Court approval in June 2015, the University’s new Strategic Plan 2015-2020 was launched in August 2015 focusing on the five following broad areas of activity: • Outstanding student experience • Internationally-leading research • World-leading innovation and impact • Global engagement • Operational excellence
2. The KPIs in the Strategic Plan 2015-2020 use 2013-14 data as their baseline and this Year 1 Progress Report is intended to:
a) Provide Court with a clear and succinct early update on progress, achieved in 2014-15, against the University’s agreed 16 KPIs as outlined in the Strategic Plan; b) Inform the University’s annual planning round discussions with Faculties and Professional Services.
3. All targets/milestones presented relate to the University’s published Strategic Plan 2015-2020.
4. There are 16 KPIs in the new Strategic Plan 2015-2020. All KPIs and targets have been flagged as red/amber/green.
5. A mid-year report on progress achieved in 2015/16 will be provided to Executive Team and Court in early 2016.
6. For KPIs that are flagged red/amber, further detail and context in relation to the 2014/15 actual has been provided in the commentary box. At this early stage, context has been kept to a minimum for KPIs that are flagged green.
Performance Measurement Framework final report
7. The Performance Measurement Framework (PMF) has been superseded by the Strategic Plan 2015- 2020. The final report on the PMF provides a 2014/15 progress update on those targets in the PMF which are not covered by a replacement/continuing measure in the new Strategic Plan 2015-2020.
Recommendations
8. Court are invited to:
• Discuss the Strategic Plan 2015-2020 Progress Report; and • Note the final concluding report on the Performance Measurement Framework. Court, 26/27 November 2015 Strategic Plan 2015-2020 – Year 1 Progress Report
Year 1 Baseline Year 1 Year 1 Status Actual Vs Target KPI Description Unit Actual Actual Milestone Nov 15 Commentary - November 2015 Milestone (2019-20) (2013-14) (2014-15) (2014-15) (2014-15) 1 Total Scottish-domiciled Headcount 840 917 867 50 1,000 On track. undergraduate entrants from SIMD 0- 40 areas 2 Undergraduate retention from Year 1 Percentage 94.0% 94.1% 92-95% 92-95% Data for this KPI is sourced from the internal SUnBIRD Student Retention & Progression to Year 2 (1 decimal (annually) (annually) Datamart, which is currently in test and nearing finalisation. Baseline and Year 1 figures are place) therefore subject to minor amendment ahead of the Strategic Plan progress report going to Court.
3 Student satisfaction (overall) as Percentage 89% 87% 90% or higher 90% or measured by the National Student (whole (annually) higher Baseline refers to the 2014 NSS. This KPI is measured by referring to overall student satisfaction Survey number) (annually) as measured by the NSS (National Student Survey). The University received an overall satisfaction score of 87%, down 2 points from last year. This score is one point higher than the UK and Scottish averages and 4 points below the top quartile of institutions. The University's Senate, Education Committees and Leadership Group have reviewed the NSS results and an improvement framework has been established to address areas where improvements are needed.
4 Proportion of graduates in work or Percentage 93.8% (HESA 91.3% (HESA Meet or exceed Meet or further study relative to our (1 decimal benchmark of benchmark of HESA exceed Strathclyde’s figure of 91.3% has decreased by 2.5% from last year. With an increase of 0.5% in benchmark place) 94%) 94.5%) benchmark HESA our benchmark, which is recalculated each year, we are 3.2% below our benchmark for 2013/14 benchmark leavers. Student Experience and Enhancement Services are co-coordinating a number of short and medium term actions to improve the University's performance in the DLHE (Destinations of Leavers from Higher Education Survey). In addition, the Education Strategy Committee are leading on a number of actions to enhance engagement in employability and graduate prospects across the University.
5 Total postgraduate taught (PGT) FTE (whole 2,334 2,720 2,462 258 3,100 On track. population number)
6 Total competitively won research £M (1 £52.2M £56.5M £55.2M £1.4M £70.0M On track. income decimal place) 7 Field-Weighted Citation Impact: the Percentage 1.39 1.42 1.41 0.01 1.50 On track. number of citations our publications receive compared to the world average for comparable publications 8 Total postgraduate research (PGR) FTE (whole 1,133 1,218 1,216 2 1,750 On track. population number)
9 Total income from licensing, gains on £M (1 £20.0M £21.7M £21.7M £61.1k £30.0M On track. sales of spin out/spin off investments, decimal The baseline for this KPI is a 2-year average of total income from these sources for 2012-13 and CPD and consultancy place) 2013-14. The 2014-15 year 1 actual is a 2-year average of total income from these sources for 2013-14 and 2014-15.
10 Total value of industry research £M (1 £10.72M £10.73M £11.93M £-1.2M £18.0M This KPI focuses on a subset of our overall research income performance and should be viewed in income decimal the context of our +£1.4m performance against KPI 6 (see above). Industry income has been place) impacted by the timing of programme development with tier 1 partners, particularly in CMAC. However, pipeline information shows an improving trend in securing awards from industry and these will typically result in multi-year income. Year-on-year growth has seen the value of awards secured rising from £5.98M in 2012/13 to £6.69M in 2014/15. Building on this historic trend, a further £2m of industry income has already been awarded in Q1 of 2015/16. Court, 26/27 November 2015 Strategic Plan 2015-2020 – Year 1 Progress Report
Year 1 Baseline Year 1 Year 1 Status Actual Vs Target KPI Description Unit Actual Actual Milestone Nov 15 Commentary - November 2015 Milestone (2019-20) (2013-14) (2014-15) (2014-15) (2014-15) 11 Number of Non-EU students FTE (whole 2,032 2,256 2,135 121 2,650 On track. number)
12 Diversity of Non-EU student Percentage 45.7% 48.1% Annual Annual On track. population (1 decimal monitoring monitoring place) 13 Proportion of international academic Percentage 34.4% 35.0% Annual Annual On track. professional staff (1 decimal monitoring monitoring place)
14 Athena SWAN Silver Award Narrative Bronze Award Two further Narrative Submit for On track. Two further bronze departmental awards were achieved for Chemical & Process Institutional bronze Silver Engineering and Mathematics & Statistics, bringing the total of departmental awards to six (second Award renewed departmental Institutional highest number of departmental Athena SWAN awards amongst Scottish institutions as of the 2014 awards Award by 31 close of 2014-15 academic year). July 2020 achieved (total dept awards: 6). 15 Operating surplus as a % of turnover Percentage 2.5% 2.8% 3-5% (annually) 3-5% Whilst the 2014-15 operating surplus is higher than forecast by £4.2M, it is nevertheless short of (1 decimal (annually) the targeted level and is therefore flagged as amber. Performance in this area is higher than place) forecast for reasons including: a pensions accounting adjustment and lower than anticipated charges to the pension adjustment; a higher than anticipated surplus from residences and catering activity; and higher than anticipated VAT recovery.
16 Carbon emissions tCO2e 29,313 29,722 32,087 - 2,365 22,442 This KPI is flagged green reflecting the fact that 2014-15 emissions are below those forecast/used (whole to determine the Year 1 milestone. Reductions (compared to forecast/year 1 milestone) in 2014/15 number) are due to reduced electrical consumptions in the TIC and John Anderson buildings (relative to forecast) and a reduction in the DECC GHG emissions factors (relative to forecast) which were updated in November 2015. Court, 26/27 November 2015 Performance Measurement Framework: Final Report November 2015
Baseline value Cumulative change Cumulative change % PMF ID PMF Target/KPI 2014/15 Actual Final Target Status Nov 2015 Notes/Commentary November 2015 Actual (baseline to 2014-15) (baseline to 2014-15)
Renowned research quality & intensity
The University moved into the top 20 institutions in the UK on measures of research intensity (GPA quality x percentage eligible staff submitted). The University’s performance in the REF 2014 saw it move up by 14 places in the UK rankings for GPA quality and ranked in the top 20 UK institutions for research intensity. Our Department of Physics was rated UK number one in GPA 1 KPI: Monitor proportion of 3*/4* outputs - See notes/ commentary. - - - quality, ahead of the Universities of Oxford and Cambridge and Imperial College. Our Business School achieved number one in Scotland and top 10 in the UK on GPA quality. Strathclyde’s UoA 3 submission (comprising research from three Departments from three separate faculties) placed fourth in the UK power rankings and seven of our eight Engineering departments ranked in the top 10 in the UK on research power.
To achieve the target on a straight line trajectory an increase of 39 per annum was required. SUnBIRD shows the pattern by 3 Double number of grant PIs by 2016/17 197 234 37 19% 394 Faculty.
24 awards total value Secure international research grants with a 25 awards total 4 £2.3M. Cumulative total £6.2M - £5M This target has been exceeded by £1.2M (24%). total value of >£5M by 2014/15 value £0.9M 2012-13 - 2014-15 £6.2M
Exemplary Knowledge Exchange & Impact
KPI: Monitor position in UK for Knowledge 6 5th (19 KTPs) Joint 4th (25 awards) - - Top 5 This KPI is monitoring the University's retention of a top 5 position. Transfer Partnership involvement
This target has been achieved in 2014-15. In 2014-15, there were three spinouts: 1) Mironid - Strathclyde Institute of Pharmacy and Biomedical Sciences; KPI: Monitor number of spinouts per 10 3 3 0 - 2-4 2) Cutitronics - Department of Biomedical Engineering; and annum 3) Synaptec - Department of Electronic and Electrical Engineering. The stated aim was to achieve 2-4 spinouts per annum, recognising that annual data is uneven. Outstanding teaching and student experience
Increase number of college entrants by These figures are comprised of 206 full time UK-based students entering with HNC/HND, plus a further 41 students entering 11 245 347 102 42% 319 30% by 2015/16 year 2 at Strathclyde via the Engineering Academy in 2014/15. The target has been exceeded by 28 students (9%) .
Thriving international profile and reputation Increase number of international entrants Measure superseded and subsumed by targets in the Strategic Plan 2015-2020 which focus on increasing the number of 16 via articulation routes by at least 50% by 291 256 -35 -12% 437 international students (KPI 11) and monitoring the diversity of the student population (KPI 12). 2014/15
The University has continued to develop and enhance its six Priority International Strategic Partners. Our existing relationship with New York University (NYU) has further developed, with significant progress in the bio-medical engineering and innovation/incubation strands. The President of Nanyang Technological University (NTU) visited the University in July to receive an honorary degree. Strong links were further developed with Stanford University, notably with the Precourt Institute for Establish at least 8 high value international Energy, with the Director visiting the University earlier in 2015. Significant progress was also made in deepening the 19 academic partnerships to address grand - See notes/ commentary. - - - engagement with the Massachusetts Institute of Technology (MIT). The relationship with Tsinghua University moved more challenges by 2016/17 slowly, but has recently accelerated with a Joint Seminar on Innovation planned in Beijing this academic session. The engagement with the Hong Kong University of Science and Technology (HKUST) remains strong. The President will visit the University in November to receive his honorary degree and to further advance the relationship. In AY 2014-15, the Principal visited all six of our Priority International Strategic Partners.
Operational Excellence
KPI: Monitor number of staff attendances This KPI is measuring the number of staff attendances at facilitated learning and development events run by the Organisational 20 at facilitated learning and development 1,032 3,533 2,501 242% - and Staff Development Unit. In 2011-12 a total of 90 facilitated events were held; this figure increased significantly to 188 in events 2012-13 and increased further to 210 in 2013-14. There were 311 events in 2014-15.
Reduce operational and delivery costs by Measure superseded and subsumed by KPI15 in the Strategic Plan 2015-2020 which focuses on operating surplus as a % of 22 81.3% 77.1% -4.3% - - 2% per annum turnover.
12/11/2015 Paper EE
Draft Outcome Agreement Additions for 2016-2017
1. In September 2015, the Scottish Funding Council (SFC) published updated guidance on the process and timetable for negotiating 2016-17 University Outcome Agreements, and monitoring of 2014-15 agreements. The guidance complements information set out in the Letter of Guidance to SFC on 10 September 2015 from the Cabinet Secretary for Education and Lifelong Learning, Angela Constance MSP.
2. The Outcome Agreement (OA) process is now entering its fifth year. This is the third year that Higher Education Institutions (HEIs) have been asked for a Self-evaluation report on a previous OA (2014-17 OA). In October 2015, the University submitted a Self-evaluation report against the 2014-15 OA to the SFC.
3. The University currently has a three-year Outcome Agreement in place covering the period 2014-17. Institutions are advised that at the end of this three-year cycle (2014 -17), the SFC OA Guidance will be substantially revised to reflect the SFC’s new Strategic Plan, the recommendations from the Commission on Widening Access and any other modifications in Scottish Government and SFC priorities.
4. Given SFC’s intention to substantially revise the guidance from 2017/18 onwards, our intention, in line with SFC advice, is to address the minor revisions for 2016-17 via a supplementary document. This will take the form of a 2016-17 annex to the 2014-17 Outcome Agreement which presents commitments up until 2016-17. We will undertake a more significant refresh of the University’s Outcome Agreement next year.
5. The attached paper presents a working draft of this supplementary document which will be further refined in light of Court’s comments, in order to meet SFC’s initial deadline for submission of a ‘well-developed draft’ by 8 December 2015. Court will have a further opportunity to review a near final draft of the document in early 2016 prior to its finalisation and submission by SFC’s 29 February 2016 deadline. SFC are aiming to publish all agreements and funding allocations by April 2016.
6. Following discussion with our SFC Outcome Agreement team on 29 October 2015, it was proposed that the key areas Strathclyde should address during the 2016-17 cycle are as follows:
• Care leavers – Institutions are asked to evidence support and outcomes for care leavers; • Gender – Institutions are asked to outline how they are tackling gender imbalances within subject areas with the ‘most severe’ gender imbalances (75%+ one gender).
In addition, institutions are asked to provide a statement reflecting on their performance in REF 2014 and how that will influence their research strategy; and a statement of ambition in relation to equality and diversity issues identified by the REF 2014 Equality and Diversity Advisory Panel (EDAP) report.
7. Court members are invited to: • Note the approach to drafting a 2016-17 annex to our three year 2014-17 Outcome Agreement; • Comment on the working draft, including on the additional areas for inclusion in the document. Paper E
University of Strathclyde - Outcome Agreement Annex AY 2016/17 [RESERVED ITEM] Paper F
Commercialisation and Investment Advisory Board
Introduction
1. This paper seeks Court’s views and approval on proposed changes to the name, remit, reporting arrangements and Chair of the Commercialisation and Investment Advisory Board.
Background
2. The Commercialisation and Investment Advisory Board held its first meeting in December 2012. It was established to advise the Executive Team on the development of the University’s commercial investment activities. It has no executive authority or approval powers – decisions on individual investments are taken by the Executive Team under the scheme of delegation approved by Court.
3. The Advisory Board has met on eight occasions during the past three years and has provided advice on:
A revised policy for company spin-out and start-up creation and investment.
The implementation of a phased commercial investment process and procedures, starting with two key sectors (Energy and Health Technologies).
The development of a strategy for investor networks and investor relations work.
The pipeline of dealflow
Investments totalling over £1million into six University start-up companies: Smarter Grid Solutions Ltd, mLED Ltd, Insignia Ltd, Ateeda and Intelligo which has leveraged £6million of private investment.
The development of the Strathclyde Entrepreneurs’ Fund
4. The University’s commercial investment approach has been changed in recent years from the way investments in start-ups and spin outs were handled previously and there are plans to develop our commercialisation and investment activities further. We continue to keep under review our capability and capacity to manage and evolve our commercial investment approach appropriately and in a way that is commensurate with our wider ambitions and compatible with our wider governance responsibilities.
5. We believe that here is a healthy pipeline of potential investments and dealflow is expected to pick up as the new commercial approach beds in, alongside further development of our innovation and business engagement strategies.
Proposed Changes
6. Given the increasing importance and profile of our commercialisation and investment activities and as a result of discussion with the Chair and Members of the Advisory Board and the Convener of Court, we propose to adjust the status of the Advisory Board to become a Committee of Court with the following specific changes:
Name change from the Commercialisation and Investment Advisory Board to the Enterprise and Investment Committee
The new Committee may assume decision making powers delegated to it from time to time by Court, although there are no plans to adjust the current scheme of delegation
As with other similar Court Committees, it is proposed that the Chair of the Committee will be a member of the University’s Executive Team (Hugh Hall, Chief Operating Officer). It is also proposed that the Principal, the Chief Financial Officer and the Treasurer will serve on the new Committee and they will be supported by up to two additional lay members of Court and up to four co-optees, some of whom, it is proposed, will transfer over from the existing CIAB. The nominations will be subject to approval by Court, advised by the Court Membership Group as appropriate.
The Committee will report as a matter of course to subsequent meetings of Court.
Minor changes to the terms of reference to reflect the change in status but otherwise the remit of the Committee will remain largely unchanged, as follows:
Terms of Reference of the Enterprise and Investment Committee
o To review commercial investment proposals presented by the University’s Commercial Investment Team and to make recommendations on investments in companies created by University staff and students, as well as license deals and other commercial joint ventures.
o To undertake an annual review of the University portfolio of shareholdings and make portfolio management recommendations
o To undertake a quarterly review of the University’s dealflow pipeline of potential commercial investments (staff & students) and make recommendations to the University’s Commercial Investment Team.
o To undertake an annual review of the University’s management of commercial investment capital & fund management, licence deals, joint ventures and other venturing arrangements and make recommendations
o To oversee the management of the Strathclyde Entrepreneur’s Fund
o To participate in an annual strategy session on the University commercial investment approach to review commercial investment operations and performance and its contributions to relevant University initiatives (Innovation Strategy, SME Engagement, Industry Engagement Centres) o To provide advice and support on a case by case basis direct to University portfolio companies
o To support University commercial investment activities and related initiatives through attendance at University and University-related events
o To promote the University commercial investment activities and related initiatives to relevant interested parties, including, investors, advisors, Government Ministers and public policymakers
o To report to Court on the activities of the Enterprise and Investment Committee on a regular basis, including the production of an annual report
Recommendations
7. Court is invited to approve:
the proposal to make the existing Commercialisation and Investment Advisory Board a committee of Court, with a name change to become the Enterprise and Investment Committee
the proposed new membership makeup of the Committee including the appointment of a new Chair drawn from the University’s Executive team
the proposed terms of reference for the Committee, including whether there are any responsibilities that the Committee might usefully embrace that are not already covered
November 2015 Attachment
Proposed Membership of the University of Strathclyde’s Enterprise and Investment Committee
Hugh Hall, Chief Operating Officer (Convener)
Professor Sir Jim McDonald, Principal
Jack Perry, Treasurer
Up to two additional Lay Members of Court
David Coyle, Chief Financial Officer
Up to four co-opted members
In attendance: Professor Martin Hughes, Strategic Investor Relations Manager Dr David McBeth, Director, RKES Paper G
Update on Property Disposals [RESERVED ITEM] Paper H
Counter-Terrorism and Security Act (2015)
Background
1. The Counter-Terrorism and Security Act 2015 contains a duty on Universities to have “due regard to the need to prevent people from being drawn into terrorism”. The UK Parliament has approved Prevent duty guidance about how higher education institutions in England and Wales and in Scotland are to comply with the Prevent duty, which came into effect on 18 September 2015. The guidance is available here.
2. The Prevent initiative has met with opposition from unions and students bodies. The NUS has called for a boycott of the strategy and the UCU’s view is that it will have a negative impact on academic freedom and has the potential to create an atmosphere of mistrust within institutions. The NUS position can be found here and the UCU position is laid out here.
Implementation at Scottish higher education institutions (HEIs)
3. The Higher Education Prevent Working Group was established by the Scottish University Secretaries in February 2015. It is convened by the Secretary at the University of Glasgow, who also represents the sector on the national multi-agency Prevent sub-group. Its remit is to develop guidance to assist the Scottish universities in meeting their statutory duty and be a forum for sharing good practice.
4. Membership includes a representative from each Scottish HEI, nominated by the University Secretary or equivalent; four members nominated by AUCSO (the Association of University Chief Security Officers); and the Head of the Scottish Preventing Violent Extremism Unit. Representatives of NUS Scotland and UCU Scotland attend the Working Group by invitation. The Group meets twice a year.
5. The Group has prepared a good practice guide (available on SharePoint) for HEIs on the implementation of the Prevent duties, which is informing the actions taken at each University in Scotland.
University of Strathclyde Prevent Working Group
6. The Chief Operating Office is responsible for implementation of the Prevent duties and the guidance prepared by the Higher Education Prevent Working Group. The Director of Student Experience and Enhancement supports him in this role, as Strathclyde’s representative on the HE Prevent Working Group.
7. Each HEI is establishing a high-level 'University Prevent Group' to assume operational responsibility. This is a small group of senior staff, convened by the Chief Operating Officer, and responsible for: maintaining a shared awareness and understanding of the risks of radicalisation within the campus community; through the convener, reporting to the governing body. communicating to relevant staff the requirements and importance of the statutory duty; making decisions on sensitive matters that may arise e.g. o deciding what action to take where concerns are raised that a member of the campus community may be being drawn into terrorism; o deciding whether to allow a controversial speaker to visit the campus.
2 8. The members are: the Chief Operating Officer (Convener); the Director of SEES; the Assistant Director, Estates Services; the Director of HR; and the Associate Deputy Principal (Learning & Teaching). Other participants will be co-opted as members from time to time.
9. The internal Group will meet twice a year, following the meetings of the Scottish HE Prevent Working Group, and as and when required thereafter. The first meeting was held in July 2015 and the next will take place in November 2015. The Group will report to ET at least once a year and through ET to the University Court annually.
Staff Training 10. The Scottish HE Prevent Working Group has agreed that training for University managers who will have a role in addressing the statutory duty will be organised regionally. Strathclyde is in the West region: - Glasgow, GCU, GSA, RCS, SRUC-west, Strathclyde, and UWS. The West Region held a regional training session on 29 October 2015 as a pilot exercise. The Group will review available training materials and recommend the material that appears best-suited to the HE context.
Safety Online
11. Every HEI must have a policy on the acceptable use of IT facilities and should make specific reference to the institution’s statutory Counter-Terrorism duty. At Strathclyde the policy that covers usage is “University Policy on the Use of Computing Facilities and Resources”. A statement relating to the Counter Terrorism and Security Act (2015) has been included as a new section 15 in the University’s Legal Framework for ICT for 2015 available here.
Management of speakers and events
12. The University is required to have in place policies and procedures for the management of speakers and events. While upholding the fundamental importance of freedom of speech, the University may require to place conditions on certain speakers or events, or to refuse to allow them on campus. Corporate Events is preparing guidance on the management of speakers and events on campus for consideration by the internal group at its meeting in November 2015.
Welfare and Pastoral Support
13. The Guidance states that staff engaged in the provision of advice to students should be aware that any concerns that a student may be being drawn into terrorism should be raised with the Chief Operating Officer, who will then discuss it with the University Prevent Group. Those in a front-line role in providing welfare advice and support to students should also be briefed on the institution's statutory duty. Where interfaith facilities are provided there must be clear policies governing their use. These aspects will be covered through training and internal communication, whilst guidance on the use of the interfaith facilities will be prepared by the Equality & Diversity Manager.
Liaison with USSA
14. The counter-terrorism statutory duty does not apply directly to student unions, where they are constituted as independent charitable bodies. However, their cooperation is important in helping the University address its statutory duty. The University and USSA already work in partnership on potentially controversial speakers and events.
3 15. The Director of SEES met with the President of USSA and the VP Diversity in early October to brief them on the Act and duties placed upon the University. It was agreed that the existing informal practice of joint risk assessments for external speakers and events will be formalised into an agreed protocol and USSA staff will be included in training provided by the University.
16. Meetings have also been held with SUMSA to address their queries and concerns about the Act.
Information sharing
17. The Scottish HE Prevent Working Group plans to establish a formal information sharing protocol with Police Scotland for Scottish HEIs.
Recommendation 18. Court is invited to note:- the duties placed upon the University by the Counter Terrorism and Security Act (2015); and the actions being taken across the HE sector in Scotland and within the University to ensure compliance with the Act.
4 Paper I
Report to Court from Senate
Senate met on 4 November 2015.
The following items were discussed or approved by Senate and are provided here to Court for noting:
1. Update from Chief Financial Officer
The Chief Financial Officer (CFO) provided Senate with an overview of the University’s financial position in 2015 noting the following:
Given constraints in public finances, growth in operating surpluses was key to sustain ongoing investment in staff and infrastructure. In line with faculty plans and the opportunity to generate surpluses, future growth is concentrated in tuition fee income, with continued growth in research income. Only modest growth in the Scottish Funding Council block grant is expected. The University is deriving benefit from the investments is has made, particularly in estates investments, for example through the success of the Technology and Innovation Centre
2. Strategic Plan 2015-20: Response from Faculty of Science
The Dean of the Faculty of Science presented the Faculty’s response to the Strategic Plan 2015- 20. The Faculty’s key areas of focus were outlined: the provision of an outstanding student experience; internationally-leading research; internationally-leading research; focus on innovation and impact. Plans to generate surplus included developing and reshaping staff complements as well as focussing on collective progression.
3. Update: NSS Improvement Framework
An overview of developments in the NSS improvement framework had been disseminated across the University. The framework presented cross-institutional activities supporting the institutional improvement plan, and highlighted strands of activity to take place across the institution throughout the academic cycle.
Senate was requested to note: immediate and medium term actions to enhance practice and strengthen cross-institutional engagement; relevant responsibilities at institutional level and for Departments/Schools; preparations for NSS 2016; milestones for reporting and monitoring.
4. Academic Year
The Vice Dean (Academic) Engineering gave a presentation on a revised model for the reshaping of the academic year. The model put forward a number of opportunities and benefits including: • The opportunity to deliver exams before Christmas; • Consistency and alignment with other higher education institutions; • Facilitation of more flexible travel arrangements (international/EU/home); • Facilitation of enhanced student experience for single semester exchanges; • Opportunities for flexibility in delivery of extra-curricular student engagement and development activities. Senate approved:
i) The start date for the academic year 2016/17 (19th September 2016); and ii) Approved in principle the re-shaping of the academic year, further to the details of the proposal being further considered.
Senate acknowledged the work that had been undertaken by those concerned in bringing forward the proposed model.
5. Senate approved: The Revised Contextualised Admissions Policy Revisions to the Policy and Code of Practice on Collaborative Education Provision Paper J Executive Team Report to Court
The Executive Team met on 9 October and 9 November 2015.
The following key items were discussed by the Executive Team and are provided here for Court to note:
1. Institutional Research Audit 2016
The Executive Team received an update on preparations for the Institutional Research Audit 2016. It considered the research audit requirements and noted concerns over the permitted limit of two outputs at this stage. Members agreed that the maximum number of research outputs be extended to four in cases where an academic believes that they have more than two 3 and/or 4* outputs. In closing, the Team noted the critical role of the Deans and Vice-Deans Research in communicating the importance of the audit to HoDs.
2. Annual Planning and Budgeting Round Guidance for 2016-17 plans
Executive Team considered the Annual Planning and Budgeting Round Guidance for 2016-17. The Team welcomed the Guidance and noted that early publication and dissemination of the Guidance would help planning units to structure their annual plans. Executive Team noted the context and parameters for the 2016-17 planning round and approved the guidance for 2016-17.
3. Draft Project Portfolio
Executive Team reviewed and commented on an initial list of potential project areas. Discussions highlighted the importance of strong leadership, a team ethos and regular reporting to Executive Team. An action was agreed to identify two priority project areas to return to a subsequent meeting of the Executive Team.
4. Prevent Strategy – implementation update
The Team considered a paper covering the University’s duties under the Counter-Terrorism and Security Act (2015). It noted the proportionate approach being adopted by the Scottish Government and HE sector as well as the work undertaken to develop guidance on good practice and provide training opportunities. The University had established its own internal Prevent Working Group which would have operational responsibility for implementation at Strathclyde. This would meet regularly to address the various Prevent duties and would report to Court, as required. Executive Team noted and endorsed the proposals and agreed that the paper should be provided to Court for information.
5. Draft Financial Statements 2014-15
The draft 2014-15 Financial Statements were presented. The Team welcomed the positive year-end results, noting that the overall surplus of £15.5M included the one-off impact of RDEC (£7.0M), the FRS17 impact of the Strathclyde Pension Fund (£2.2M), and a gain on the disposal of fixed assets (£0.6M). The Team also noted increased income levels during 2014-15, with notable increases in tuition fees and research grants and contracts income. Expenditure had also increased, partly as a result of continued strategic investments in staffing but also due to increased research expenditure relating to the increased income in this area.
1 6. Q1 Business Report 2015-16
The Team considered the Q1 Business Report for 2015-16. It noted and reviewed the level of performance across the range of areas outlined in the Report and recognised that a number of areas were flagged ‘amber’ due to changes requested by Court whereby any performance short of target should be recorded as such. Progress in some of these areas expected to be recovered through in- year growth. The Team noted the indication of a continued increase in overseas fee income. The Team noted that the Court strategic update session should also preview the revised template for reporting progress in relation to the University’s internationalisation activity.
7. Strategic Plan – ‘Ownership’ Matrix for KPIs and Targets
The Director of Strategy & Policy presented a draft paper focusing on ‘ownership’ of the 16 Strategic Plan performance measures, noting that this formed one element of the ‘how’ of implementing the Strategic Plan. The Principal requested that the paper be finalised during September and October and that the ownership matrix be included within the University Planning Overview 2015-20 diagram.
8. Strategic Plan 2015-2020: First draft progress report 2014-15 and Performance Measurement Framework final report
The Team considered a draft progress report on the Strategic Plan and a final concluding report on the Performance Measurement Framework, noting that these would be circulated to CBG and Court. The Team noted the strong early performance indicated in relation to the new KPIs. In relation to KPI 4: Proportion of graduates in work or further study relative to our benchmark, the Team briefly discussed changes to the administration of the survey which were expected to improve response rates.
9. Draft Outcome Agreement revisions for 2016-17
The Team considered the draft annex prepared in response to the additional requirements set out in the SFC guidance for 2016-17 and noted the additional areas included in the document.
10. Review of Commercialisation and Investment Advisory Board
The Team discussed proposed changes to the title, remit, membership and reporting arrangements for the Commercialisation and Investment Advisory Board, noting the progress made since the Board’s inception. Executive Team endorsed the proposals prior to the new arrangements being presented to Court for approval.
11. HaSS Metis Proposal
Executive Team considered an early stage partnership proposal from HaSS in the context of the Faculty’s desire to deliver a greater number of part-time online programmes. The Team discussed the paper, noting the innovative nature of the proposal. It was agreed that further due diligence and evaluation should be undertaken and that a useful next step would be to arrange a meeting with senior representatives of Metis to explore the opportunity further.
2 Paper K
Court Business Group Report to Court
The following items were discussed by Court Business Group on 16 November 2015 and are provided here for Court to note.
1. USSA Organisational Review
CBG discussed progress in relation to the USSA Organisational Review, which had been commissioned following the June 2015 Court meeting and for which the University had provided facilitative support. Members requested that a verbal update be provided to Court on 26 November, noting that USSA’s budget and revised constitution, along with the findings of the Report, would be formally presented to Court in February.
2. Financial Statements 2014-15
The Chief Financial Officer and the Deputy Finance Director presented the draft Financial Statements 2014-15. Members noted:
• A positive year-end result with income gains across most areas, with particularly notable increases in tuition fees and research grants and contracts income • An increase in expenditure, largely due to continued strategic investments in staffing, increased research expenditure relating to increased income in this area, and increased provision of scholarships • An overall surplus of £15.5M which included the impact of non-recurring items in the form of RDEC (£7.0M) and a gain on the sale of investments (£0.6M), as well as an FRS17 benefit (£2.2M)
The Treasurer welcomed the Financial Statements and commended the efforts of all those involved in their production. He confirmed that he had met with the Chief Financial Officer and the External Auditors prior to the finalisation of the Financial Statements. Members agreed that the Financial Statements should be presented to Court for approval.
3. Q1 Business Report 2015-16
The Chief Financial Officer and the Director of Strategy and Policy introduced the Q1 Business Report 2015-16. Members noted:
• An overall forecast surplus of £8.4M compared to a budgeted surplus of £10.8M • The impact of increased recruitment on budgeted salary costs • The impact on income arising from costs associated with a particular student residence that is likely to be disposed of shortly • Changes made to the content and format of the Business Report template
Members were content with the presentation of the Q1 Business Report to Court, subject to some minor revision of the cover sheet to clarify the description of how indicative arrows are applied.
4. Strategic Plan 2015-2020: First draft progress report 2014-15 and Performance Measurement Framework final report
1 The Director of Strategy and Policy presented the year 1 progress report on the 16 KPIs in the new Strategic Plan and a final concluding report in relation to the Performance Measurement Framework. Members noted that performance in relation to KPI 4 was potentially impacted by the way in which the survey of leavers was conducted for 2014/15. The University was reviewing its approach for future years to address this. Members noted that the KPI and PMF progress reports would be presented to Court.
5. Draft Outcome Agreement revisions 2016-17
The Director of Strategy and Policy presented an initial draft of the University’s Outcome Agreement annex for 2016-17, to address additional requirements set out in the Scottish Funding Council’s guidance. Members discussed the annex, noting that:
• the gender split of students was roughly equal across the institution but that, in common with the sector as a whole, there was more marked variance in some subjects, and it was at this level that the SFC was likely to focus its attention in future years • high-level statistics relating to students’ protected characteristics were broadly featured in the draft annex and that there was an opportunity to address this area in more detail within the full refresh of the University’s Outcome Agreement next year • the data tables in the annex would be populated when data was made available by SFC and prior to Court being asked to approve a final version in February.
Members signalled their approval for the draft document to be submitted to Court.
6. Review of Commercialisation and Investment Advisory Board
The Chief Operating Officer presented proposed changes to the title, remit, membership and reporting arrangements for CIAB. Members noted:
• the critical success factor would be the quality and quantity of proposals provided to the Board • the benefits of providing a mix between the continuity of current lay membership and the appointment of new members • the suggestion that CMG was an appropriate body to advise Court on the appointment of members
Members agreed that a CMG meeting be arranged to coincide with the next meeting of CBG in February. Given the desire to implement the proposed new arrangements ahead of the next meeting of CIAB, it was suggested that CMG members discuss a shortlist of nominees electronically in advance of this meeting.
Subject to a slight revision to wording on the numbers of lay members, Members indicated approval for the paper to be presented to Court.
7. Higher Education Governance (Scotland) Bill - update
The Principal provided an update on the progress of the Bill through the Scottish Parliament and on on-going sector-level discussions with Ministers and officials.
8. Draft Agenda for Court, 26-27 November June
2 The Chief Operating Officer presented the draft Court agenda for comment. Members were content with the agenda and particularly welcomed the inclusion of a dedicated strategic update session on the student experience and the planned USSA contribution to this.
9. AOB
Members discussed the desire to communicate more clearly the discussions of Court Business Group to the wider Court membership and it was agreed that this would be addressed through the inclusion of key comments from CBG on Court cover sheets.
3 Paper L Report to Court from Audit Committee
The Audit Committee met on 12 November 2015.
Audit Committee makes recommendations to Court in regard to the following items:
1. Draft Financial Statements 2014/15, Commentary from Finance and Report from External Auditors Prior to the meeting, the members of the Audit Committee met in closed session with the Internal and External Auditors to discuss the draft Financial Statements. This allowed the Internal and External Auditors the opportunity to raise any issues of concern with members of the Audit Committee. No matters were reported to the Audit Committee as requiring further consideration.
The draft Financial Statements and accompanying commentary from Finance were presented during the main meeting. Following discussion amongst members and the assurance provided by an unqualified report from the External Auditors, the Audit Committee recommends to Court that:
i. The draft Financial Statements for 2014/15 be approved (subject to some minor presentational refinement); and ii. The relevant officers of the University be authorised to sign the printed statements in due course.
2. Review of External Auditor’s Performance The Audit Committee considered that there continued to be a good working relationship with the External Auditors. A planned rotation of the University’s Senior Partner had taken place in 2014/15 and continuity of service had been maintained. On this basis, the Audit Committee recommends to Court that Ernst & Young LLP be retained as the University’s External Auditor for the audit of the Financial Statements for 2015/16.
The following items were discussed by the Audit Committee and are provided here for Court to note:
3. Internal Audit Service (IAS) Activity Report Audit Committee considered the IAS Activity Report and noted progress against delivery of the 2015/16 Audit Plan.
4. UKVI Guidance for Tier 4 Sponsorship The Audit Committee welcomed and noted the Report and its recommendations, recognising that this was an important area of compliance
5. HaSS Faculty Review Revisit The Audit Committee noted the Report and several recommendations which were expected to be addressed following the recent implementation of the University’s new Finance System.
6. Senior Officers’ Expenses The Audit Committee considered the Report, noting the low volume of spend in this area but recognising the importance of regular review. It was noted that the review’s scope was not exhaustive but that the University’s policy on expenses was comprehensive and covered the full range of eventualities.
7. University of Strathclyde Students’ Association Review The Committee considered a follow-up Report on the University of Strathclyde Students’ Association (USSA), conducted by the Internal Audit Service and focusing on the annual budget setting and financial forecasting process undertaken by USSA for 2014/15. The findings of the Report had indicated continued issues in relation to appropriate financial and budgetary controls within the organisation. The Audit Committee agreed that the position described by the Report, and highlighted by previous reviews, was unsustainable and that appropriate action was required. The Committee was informed that USSA had recently completed an organisational review and that, following consultation with USSA staff, the outcomes of this review would be communicated to Audit Committee in February 2016.
8. Audit Committee Annual Report 2014/15 Audit Committee noted and approved the Annual Report for 2014/15 and its submission to Court, subject to minor revisions to be completed in the interim (see Annex A). ANNEX A Audit Committee Annual Report to Court 2014-15
UNIVERSITY OF STRATHCLYDE AUDIT COMMITTEE ANNUAL REPORT TO COURT Year ended 31 July 2015
This is the University of Strathclyde Audit Committee’s Annual Report for 2015, covering the financial year 1 August 2014 to 31 July 2015.
1 INTRODUCTION
1.1 The past year has been a highly successful one for the University. Strathclyde has continued to evolve as a leading international technological university where the delivery of world-leading research, knowledge exchange and teaching and learning programmes benefits enormously from a distinctive focus on collaborative engagement with partners from business, industry and government.
1.2 This progress has continued to bring change for the University, with on-going capital investment in campus infrastructure and management information systems over the last year in order to develop a dynamic, technology-enabled and sustainable campus environment for staff, students and partners. The University has continued to pursue new opportunities in support of its ambitions and strategic objectives, building upon its existing strengths.
1.3 The Audit Committee fulfilled its role during this period by providing an objective assessment to the University Court on the adequacy and effectiveness of the University’s systems of internal control. Under the Audit Committee’s direction, the continued review of management practices, operations, systems and procedures (including risk management, control and governance) by the Internal Audit Service (IAS) allowed for the timely identification of risks, opportunities, and issues. In addition, Audit Committee members visited key operational areas of the University and met with leaders of key initiatives throughout the year.
1.4 The Audit Committee oversaw a focusing of IAS resources during 2014-15 on three major aspects of audit work – key strategic elements, essential annual reviews and risk- based operational reviews. Under the Audit Committee’s direction, the IAS accelerated the roll-out of the University’s new Accountability & Assurance Framework which has helped to support a continually developing culture of good governance and sound internal control. Under this Framework, Assurance Statements are provided by the Chief Financial Officer, Chief Operating Officer and the Executive Deans to the Principal, in support of the requirement for him to certify the Statement of Internal Control in the University’s Annual Report and Financial Statements.
2. MEMBERSHIP AND TERMS OF REFERENCE
2.1 The membership of the Committee in 2014-15 is detailed below with the Terms of Reference (as reviewed by the Committee on 5 February 2015) appearing in Appendix 1.
Name Position Term of Office Archie Bethel Lay Member of Court 01/08/13 – 31/07/16 Ian Dickson Co-opted Member 01/08/13 – 31/07/16 Paula Galloway Co-opted Member 01/08/14 – 31/07/17
1 Audit Committee Annual Report to Court 2014-15
Gillian Hastings (Convener) Lay Member of Court 01/08/15 – 31/07/18 Margaret McGarry Lay Member of Court 01/08/12 – 31/07/15 Jane Morgan Lay Member of Court 01/08/13 – 31/07/16
3 MEETINGS IN 2014-15
3.1 The Committee met on five occasions during the year:
8 September 2014 11 November 2014 5 February 2015 (Annual Workshop) 26 March 2015 21 May 2015
3.2 The Head of Internal Audit (or nominee), the Chief Financial Officer, the Chief Operating Officer, and the Committee Manager were also in attendance. The Principal and Vice- Chancellor attended meetings in September, February, and March. Other members of senior staff were invited to attend when appropriate. Representatives from the University’s External Auditors, Ernst & Young LLP, attended three meetings during the year, including the Committee’s Annual Workshop (November, January and May).
3.3 The Committee members took the opportunity to meet privately, prior to the start of each meeting, without University officers in attendance.
3.4 Prior to the November 2015 meeting (where the 2014-15 Financial Statements were discussed) the members of the Committee met in closed session with the Internal Auditor and with the External Auditors.
3.5 As part of its 2014-15 programme of meetings the Committee visited different areas of the University, including:
the Estates Services Directorate – to meet key members of staff, discuss assurance and risk management procedures, and review recent campus developments (September 2014) the Department of Physics – to meet senior staff in the Department, discuss recent and planned major initiatives/partnerships, and increase Audit Committee awareness of key research activity (May 2015)
3.6 The Committee also received presentations from members of senior staff on a range of strategically important activities, providing an opportunity to scrutinise the arrangements for governance and internal control:
Demonstration of improved data quality as part of the Strathclyde University Business Intelligence Reports and Dashboards systems (SUnBIRD) (September 2014) Analysis of the University’s significantly improved performance in the Research Excellence Framework (February 2015) A detailed overview of the development of the University’s new Finance System and the key features and efficiency benefits for the University (March 2015)
2 Audit Committee Annual Report to Court 2014-15
4 INTERNAL AUDIT SERVICE 2014-15
4.1 The University is required by the SFC’s Financial Memorandum to have an effective internal audit function. This is provided at the University of Strathclyde by an in-house team, staffed during the 2014-15 financial year by the Head of Internal Audit and two Senior Internal Auditors (2.6 staff FTE total).
Role of the Internal Audit Service 4.2 The primary role of the IAS is to provide an objective assessment to the Principal and Court, via the Audit Committee, on the adequacy and effectiveness of the University’s systems of internal control. This is obtained through conducting audit reviews of management practices, operations, systems and procedures (including risk management, control and governance), and measuring and evaluating the effectiveness of these controls and systems in achieving the University’s strategic objectives.
Internal Audit Assurance Strategy and Plan for 2015-16 4.3 At its May 2015 meeting the Committee considered and approved the Internal Audit Assurance Strategy and Plan for 2015-16. The strategy remains structured around three major aspects of audit work:
(a) Key strategic elements (b) Essential annual reviews – including value for money (VFM) (c) Risk-based operational reviews
4.4 The plan was developed to allow IAS to focus more strategically on priority areas and, specifically, will allow IAS to concentrate resources by increasing the number of reviews in areas of strategic risk to the University whilst retaining the flexibility to respond to a changing environment. Maximising the available audit resources in this way will help to provide a comprehensive annual audit opinion, covering the whole of the risk management, control and governance arrangements of the University.
Annual Report from Internal Audit Service 2014-15 and Audit Assessment 4.5 The Committee received the IAS Annual Report 2014-15 at its meeting on 3 September 2015. The Report serves to provide an independent opinion on the adequacy and effectiveness of the University’s arrangements for governance, risk management, control and value for money. It also provides a summary of the activity and resources of the IAS during 2014-15.
4.6 In its Report, the IAS indicated its satisfaction that (based on the assurance work undertaken throughout the year and the follow-up actions implemented from previous audits) the University had in place an adequate and effective framework of governance, risk management, control, and value for money processes.
Accountability & Assurance Framework (Key Controls Checklist) 4.7 The Key Controls Checklist document was issued to every Head of Department/School and Professional Services Director in June 2015. This self-assessment document covering key areas of internal control and governance was used to provide the Executive Deans, Chief Financial Officer and Chief Operating Officer (and, in turn, the Principal and University Treasurer) with statements of assurance confirming compliance within each Faculty and Directorate with University policies and procedures. In this way, the Principal, as signatory of the University’s Annual accounts, is assured that the key internal controls are working effectively within Faculties and Professional Services Directorates. The Audit Committee was apprised of the details of this process for 2014- 15. 3 Audit Committee Annual Report to Court 2014-15
Internal Audit Performance 4.8 Performance of the IAS during 2014-15 was subject to continuous assessment and scrutiny in the form of direct feedback from Audit Committee members and through the use of electronic satisfaction surveys completed by the recipients of IAS Reports. In the previous audit year (2013-14) the IAS participated in the Council for Higher Education Internal Auditors’ (CHEIA) peer review exercise for Internal Audit in the Higher Education Sector. This assessment process takes account of relevant professional standards, including the Public Sector Internal Audit Standards, and the IAS was awarded an overall rating in 2013-14 of 97%. This process will be repeated every three years as a key element in maintaining and monitoring internal audit standards.
5 EXTERNAL AUDIT
External Auditors 5.1 Following their re-appointment in 2011-12 for a period of five years, Ernst & Young LLP continue to act as External Auditors to the University.
5.2 Mr Jim Bishop fulfilled the role of Senior Partner until his retirement in December 2014. Following this date, the replacement Senior Partner was Mr Stephen Reid. Ms Janie McMinn continues as the Senior Manager.
Non-Audit Services Provided by the External Auditor 5.3 During 2014-15, the University appointed Ernst & Young to provide consultancy advice on the implementation of a proposed salary sacrifice scheme. This appointment was fully compliant with the University’s Policy on the Provision of Non-Audit Services by the External Auditor. Following the completion of an appropriate tendering and assessment process, where three separate tenders were considered, the required approvals were sought and received from the Convener of the Audit Committee and the University Treasurer to allow the appointment of Ernst & Young. The total contract value was £39,600.
External Audit Plan 2015-16 5.4 At its May 2015 meeting the Committee considered and approved the External Auditors’ Audit Plan for 2015-16, including the proposed approach for the audit of the 2014-15 financial statements. Key areas of focus in 2015-16 will include accounting for fixed assets, reviewing major revenue streams, research grants and contracts, pension obligations, cash management and taxation. The External Auditors will also support the University in managing the implementation of the new SORP requirements.
Review of Performance of External Auditors 5.4 At its November 2015 meeting, the Audit Committee considered and discussed the performance of the External Auditors. The Committee was of the view that there continued to be a good working relationship with the External Audit Team following the rotation of the Senior Audit Partner and that appropriate continuity of service had been provided, Overall, the view was that the External Auditors were performing well and the Committee was satisfied with their work.
6 RISK MANAGEMENT
6.1 In accordance with its Terms of Reference, the Committee kept under review the effectiveness of the University’s risk management arrangements, receiving and discussing periodic updates to the Corporate Risk Register throughout 2014-15. In
4 Audit Committee Annual Report to Court 2014-15
addition, a number of risk owners and senior officers were invited to attend meetings to discuss the management and mitigation of selected strategic risks (see 3.6 above).
Corporate Risk Register 6.2 During 2014-15, the Committee reviewed the Corporate Risk Register at regular intervals. The Committee was satisfied that processes were in place to ensure the identification of key risks and that appropriate mitigating actions were planned and undertaken in response.
7 VALUE FOR MONEY
7.1 As with previous years, VfM was integrated as a specific area of focus within each audit review conducted by the IAS. A number of VfM issues were identified and addressed through subsequent management action.
8 FINANCIAL STATEMENTS AND MANAGEMENT LETTER
8.1 As part of its review of the Financial Statements, the Audit Committee reviewed the draft Statement on Corporate Governance and Internal Control at its meeting on 3 September 2015 before it was incorporated into the Financial Statements. The Committee considered the draft Financial Statements for the year ending 31 July 2015 at its meeting on 12 November 2015.
9 OTHER BUSINESS
The Committee considered a range of other relevant business during 2014-15, including the following:
University Financial Position and Forecasting 9.1 During 2014-15 the Committee received updates, as appropriate, on the University’s financial position.
9.2 At its meeting on 12 November 2015, the Committee provided scrutiny of the Financial Statements for the year ended 31 July 2015, in the presence of the External Auditors. A pre-meeting with the Internal and External Auditors (see 3.4 above) provided the opportunity to raise any issues of concern with members of the Audit Committee. No matters were reported to the Audit Committee as requiring further consideration.
Revised Financial Memorandum 9.3 Members considered and noted changes to the Scottish Funding Council’s Financial Memorandum, following a consultation with the Higher Education sector. Assurances were sought and received that audit-related mandatory requirements would be incorporated into the IAS programme of regular internal audits.
University of Strathclyde Students’ Association (USSA) Review 9.4 Members considered a report from the IAS in November 2014 which identified a number of areas of concern in relation to budget-setting and in-year financial management within USSA. The Audit Committee was reassured by the response of University senior officers, which included close engagement with the USSA management team and regular review of USSA’s financial position. A follow-up report by IAS in March 2015 was followed by the initiation of a comprehensive review of USSA’s operations and activities, commissioned by the USSA Board of Trustees. The recommendations arising from this review will be discussed by Audit Committee in February 2016. .
5 Audit Committee Annual Report to Court 2014-15
SORP preparations 9.5 As part of an annual workshop session in February 2015, the Committee considered the anticipated impacts upon the University’s accounting practices of a revised SORP from 31 July 2016. This session was supported and facilitated by the External Auditors and internal Finance staff. The Audit Committee continues to monitor and support the University’s work to review and revise its accounting practices in line with the new requirements and will play a key role in informing SORP-related policy decisions during 2015-16.
New University Finance System 9.6 Following the University’s decision in 2013-14 to defer implementation of a new finance system until the start of financial year 2015-16, the Audit Committee was kept informed of developments and progress throughout 2014-15. The Committee was provided with a full progress update in March 2015 where the anticipated business process improvements and efficiencies were discussed.
Technology & Innovation Centre (TIC) 9.7 The Audit Committee received and considered information throughout the year on the progress achieved by the TIC against its agreed objectives and targets. This included the opportunity to review and comment upon the University’s external report to the TIC funding partners. Audit Committee agreed to continue to provide appropriate scrutiny in this area and requested the development of a more detailed internal performance report to support future discussions.
Transparent Approach to Costing (TRAC) 9.8 The Committee considered a report on the University’s TRAC submission to the Scottish Funding Council (SFC). The final figures in the TRAC return had been audited and approved by the IAS.
Information Security and Risk Analysis 9.9 The Committee continued to offer robust scrutiny of this area during 2014-15. Members sought assurances that the University was appropriately managing information security risks and was suitably equipped to respond to incidents, should they occur. Subsequent management actions included: revisions to the University’s information security policies to ensure that the Audit Committee is informed of any serious incidents; informal discussions between senior officers of the University and industry leaders on best practice solutions; the introduction of training modules for staff and awareness raising activity across the University; and the annual submission to the Audit Committee of the University’s Information Security Action Plan & Risk Analysis.
Other Reviews 9.10 In addition to the activity described above, a number of other key audit reviews were undertaken across the University in 2014-15. Subsequent findings were reported to the Committee by the IAS in each case. Additional areas where management practices, operations, systems and procedures were reviewed in 2014-15 included:
Contractor payment controls (arrangements for governing the appointment and use of suppliers within the Estates Services Directorate) Home Office Visa and Immigration compliance Emergency response and business continuity arrangements Debt management processes and procedures (including the control arrangements of the University’s overseas centres)
6 Audit Committee Annual Report to Court 2014-15
Annual Workshop 9.11 The Committee held its Annual Workshop on 5 February 2015 This provided an opportunity for Committee members and attendees, including the External Auditors, to reflect on a number of important matters in a less formal setting than the regular business meetings. The Committee held strategic discussions on a range of topical audit issues, including: an analysis of the University’s exceptional performance in the REF 2014; a session (facilitated by the External Auditors) on information security and the associated threats and challenges faced by organisations; and the detailed preparations for the implementation of a revised SORP from 31 July 2016. The Committee also took the opportunity to review its effectiveness and its Terms of Reference.
10 OPINION
10.1 On the basis of the information presented to the Committee by the University management, IAS, Ernst & Young and other sources, and the discussion and review of that information within these groups, it is the Audit Committee’s view that the University’s arrangements for:
a) Risk management; b) Internal control; c) Corporate governance; and d) Economy, efficiency and effectiveness (VfM)
during the year 2014-15 are adequate and effective and can be relied upon by the Court.
10.2 The Committee is satisfied that, during 2014-15, the University has complied with and applied the principles set out in the Scottish Code of Good Higher Education Governance.
10.3 The Committee is also satisfied that the Governing Body’s responsibilities, as defined in the Statement of Primary Responsibilities of the University Court in the Financial Statements, have been satisfactorily discharged.
Ms Gillian Hastings Convener of the Audit Committee November 2015
7 Audit Committee Annual Report to Court 2014-15
Appendix 1: Terms of Reference
Audit Committee
Terms of Reference
1.2.7 The Committee’s purpose will be:
(a) To assist and advise the Court in the discharge of its responsibilities by means of i. the promotion, review and monitoring of effective accounting policies, practice and reporting, and ensuring compliance with relevant accounting standards; ii. monitoring and reviewing the effectiveness of the University’s financial risk management, other control systems, and governance arrangements including controls specifically to prevent or detect fraud and other irregularities; iii. reviewing the University’s compliance with guidance from the Scottish Funding Council; iv. reviewing the scope, the remits and findings of both the internal and external auditors, and establishing appropriate performance measures and indicators for monitoring the effectiveness of both the internal and external audit provision; v. taking action as appropriate on the notification of fraud or other improprieties received from the Head of Internal Audit or other persons; vi. monitoring, reviewing and making recommendations on policies and procedures for value-for-money studies and the prosecution of such studies; vii. reviewing the draft Financial Statements, the statement on corporate governance, the External Auditors‟ report and the Management Letter prior to their submission to the Court for approval; viii. directing communication with the internal and external auditors, line management, and the Executive Team, and ensuring appropriate liaison and co-ordination between the internal and external auditors; (b) To recommend to the Court the selection, appointment, remuneration, and scope of work to be undertaken by the external auditors, and to review their performance on an annual basis and to recommend to the Court accordingly; (c) To review and implement policy on the engagement of the external auditor to supply non- audit services, taking into account relevant ethical guidance regarding the provision on non- audit services by the external audit firm; (d) To review and endorse the annual audit plan as prepared by the External Auditors; (e) To advise Court on the criteria for the selection and appointment of the Head of Internal Audit; (f) To approve the terms of reference for the Internal Audit Service and review the resources it requires; (g) To consider and endorse the audit assurance strategy and the annual internal Audit Plan, an executive summary of which would be submitted to the Court for approval; (h) To consider the Internal Audit reports, thereby reviewing the effectiveness of relevant financial and other control systems, and to approve the criteria for grading the recommendations in such audit reports; (i) To consider the follow-up reports produced by the internal auditors, thereby reviewing the action taken in the light of recommendations made in the audit reports. (j) To make recommendations to the Court as necessary in pursuance of items (i) to (iii) above; (k) To report to the Court as frequently as may be necessary and to provide an annual report; (l) To engage in other activities as authorised by the Court.
7 Audit Committee Annual Report to Court 2014-15
Composition
1.2.8 The Committee will consist of four lay members of the Court (of whom one shall be Convener), at least one of whom shall have relevant financial expertise. In addition the Committee may co-opt up to two further members, either lay members or individuals external to the University, for a period of time to be determined by the Committee.
Quorum
1.2.9 There shall be a quorum at any meeting of the Committee when not less than half of the members of the Committee are present. In the absence of a quorum no business shall be transacted other than the adjournment of the meeting.
Approved by Court: 1 May 2014
8 Paper M
Annual Committee Report 2014-15: Education Strategy Committee
1. Statement of Purpose In accordance with the annual reporting requirements of the Education Strategy Committee, this report outlines the remit and membership of ESC during 2014-15, and includes reflection on Education highlights, achievements, and areas for further discussion in 2015-16.
The Annual Committee Reporting process is now embedded across all Education Committees and is positively regarded by members as a valuable opportunity to facilitate reflection on current and future strategic priorities and the operational effectiveness of the Education Committees.
2. Executive Summary In 2014-15, the Education Strategy Committee:
Introduced a revised model of Committee operation across the Education Committees, supported by a robust framework for project prioritisation, reporting and risk management; Refreshed the Education Strategy Action Plan to identify priorities for Education; Contributed to the development of revised KPIs for Education in the refreshed Strategic Plan (2015-2020) in partnership with colleagues in Strategy and Policy; Overseen the preparation and submission of the Enhancement-led Institutional Review (ELIR) Follow-Up Report submission to the QAA in July 2015; Initiated proposals to ‘Review the shape of the Academic Year’, support Internationalisation of the Student Experience, and to develop a new Teaching and Learning building; Developed a Widening Access and Participation Strategy to encompass all aspects of under- representation Reviewed key findings and outcomes arising from institutional student feedback surveys
3. Committee Remit The Education Strategy Committee (ESC) is a high-level strategic Committee which is accountable to Senate. ESC also reports and/or provides advice to the Executive Team and University Court as required. ESC ordinarily meets four times each session to discuss and progress institutional strategic priorities for Education, and for 2014-15, a supplementary meeting of the ESC sub-group has been scheduled to support dedicated review of all Annual Committee reports for the Education Committees (Education Strategy Committee; Learning Enhancement Committee and Quality Assurance Committee).
The responsibilities of the Education Strategy Committee are as follows:
To review and update Education Strategy To set priorities for deliverables within Education Strategy for the year To review and respond appropriately to external initiatives and developments To direct and oversee Learning and Teaching enhancement activities To oversee delivery of the strategy through other Committees and groups To develop new academic policies and assess implications
4. Committee Membership The Committee is convened by the Vice-Principal. Membership comprises two Associate Deputy Principals (Learning and Teaching); a Vice-Dean (Academic) from each Faculty; two representatives from the USSA Executive team; three Professional Services Managers and a representative of Senate. The Committee is managed by the Education Strategy and Planning Manager based in the Education Enhancement team, and supported by the Principal’s Secretary.
Committee membership and representation capacity for 2014-15 is outlined below:
Professor Scott MacGregor - Vice-Principal / Convenor Mr Brian Green - Associate Deputy Principal (Learning and Teaching) [Chair: QAC] Professor Sara Carter - Associate Deputy Principal (Learning and Teaching)[Chair: LEC] Dr Mark Ellis - Vice-Dean (Academic), HaSS Faculty Dr Andrew McLaren - Vice-Dean (Academic), Faculty of Engineering Dr Chris Prior - Vice-Dean (Academic), Faculty of Science Mrs Helyn Thornbury-Gould - Vice-Dean (Academic), Strathclyde Business School Mr James Ferns - USSA Vice-President (Education) Mr Gary Paterson - USSA President Dr Veena O’Halloran - Director of Student Experience and Enhancement Services, SEES Mrs Catherine Milligan - Deputy Director (Education Enhancement), SEES Ms Gill Watt - Deputy Director (Student Experience), SEES Dr Claire Cassidy - Senate Representative Ms Lesley Cram - Education Strategy and Planning Manager, Education Enhancement / Committee Manager, ESC Ms Lorraine Arkley - Committee Secretary, ESC
5. Progress and Achievements – 2014-15 a) A revised model of Committee operation was introduced across the Education Committees in order to effectively manage strategic priorities for Education, and to support actions arising from arising from the Enhancement-led Institutional Review (ELIR) recommendations. Projects are now predominantly ‘self-selecting’ with regard to the relevant Education Committee i.e. responsibility for the delivery of enhancement projects is delegated to the Learning Enhancement Committee (LEC), with responsibility for quality monitoring projects delegated to the Quality Assurance Committee (QAC). b) LEC and QAC have provided written progress reports to ESC, on a quarterly basis, to outline project progress, decisions taken and issues identified. Summary information has latterly been summarised and presented by way of a Project Highlights Report. All reports have subsequently been reviewed and discussed by members at each meeting of ESC, to inform management decision-making. 2 V1 - Lesley Cram 25/06/15 (V3 - October 2015) c) The Education Strategy Action Plan was refreshed for 2014-15 to identify strategic priorities for the Education portfolio, which informed the revised model of operation for the Education Committees. To this end, the following primary objectives were assigned to the Committee: a) Embedding ELIR Recommendations; b) Review the Shape of the Academic Year and, c) Widening Access Strategy. d) An Enhancement-led Institutional Review (ELIR) Follow-up Report has been prepared for submission to the Quality Assurance Agency in June 2015, in accordance with the requirements of the ELIR 2014 process. This report provided an update on actions taken to address recommendations and to embed areas of positive practice, as outlined in the University’s ELIR 2014 Outcome and Technical Reports. The ELIR Follow-up Report has been submitted to University Court for endorsement in June 2015. e) Members approved a proposal to review the ‘Shape of the Academic Year’, to provide greater support for curriculum flexibility, the student experience and Assessment and Feedback practices. f) An institutional Widening Access and Participation Strategy has been developed to encompass all aspects of under-representation. This focuses on the delivery of a distinctive approach to Education Strategy, to raise aspirations and attainment, by supporting each phase of the ‘Learner Journey’ (‘getting in’, ‘staying in’ and ‘getting on’). The Executive Team endorsed the Widening Access and Participation Strategy in April 2015, supportive of the following recommendations: articulation of Widening Participation via three core principles (The Learner Journey Model; Harnessing Technologies and Vertical Enhancement); the initiation of a mapping exercise to capture participation activities aligned to each core principle; and, appropriate systems for monitoring such activities to measure impact. g) Key Performance Indicators (KPIs) for Education have been established and proposed for inclusion in the refreshed Strategic Plan for 2015-2020. Members provided feedback to Strategy and Policy colleagues on the proposed structure of the revised strategic plan, as well as draft objectives and strategies, and Key Performance Indicators (KPIs) and associated targets where appropriate. Members acknowledged the necessity to develop measurable KPIs to support the management of information, from both an internal and external perspective, and to clearly articulate the University’s anticipated direction of travel. h) A high-level mapping exercise was initiated to capture institutional activities which support internationalisation of the student experience. Members acknowledged the need to develop a framework, supported by appropriate IT systems and ‘Mobility Online’ capabilities, to capture and monitor internationalisation activities (such as international programmes, international placement/field trip activity, industrial engagements, student exchange numbers and recruitment statistics) and to inform strategic priorities. Initial meetings with key stakeholders have taken place to determine detail of work required for 2015-16. i) Members reviewed key findings and outcomes presented in an institutional analysis of student feedback arising from eight institutional student surveys conducted in AY 2013-14. Members welcomed this feedback and identified potential areas for further exploration, in partnership with USSA. In addition, members also reviewed interim response rates for the National Student Survey 2015.
3 V1 - Lesley Cram 25/06/15 (V3 - October 2015) j) Highlights from the International Student Barometer (ISB) survey in Autumn 2014 were also discussed and shared with the University’s International Recruitment Committee, with a more detailed report to follow, for dissemination across the University. k) Members supported a preliminary proposal for the development of a new purpose-built Teaching and Learning building, fundamental to the delivery of the University’s strategic ambitions for Education and enhancement of the Student Experience. This proposal has advanced to full business case following the approval of the Executive Team. l) An institutional lead was agreed for the QAA Enhancement Theme (‘Student Transitions’) (2014-2017). This initiative complements activities overseen and progressed through the Learning Enhancement Committee. m) An Education Risk Register has been established to effectively manage key risks pertaining to the Education portfolio. Proposed risk ratings have been assigned to each risk by the Quality Assurance Committee in accordance with the University’s Risk Management Framework. n) Members were briefed on a number of strategic and institutional proposals, engagements and outcomes, including; Strathclyde Academies (with proposals for a Business Academy, Digital Academy and Social Sciences Academy); the proposal for a new University Sports, Health and Wellbeing Building; engagement with local Colleges to extend partnership working and to inform institutional STEM strategy, the University’s UK Research Excellence Framework (REF2014) results, the ‘Learning and Teaching in an International Technological University’ institutional event in June 2015, and proposals to invite applicable Committee members to attend the Senate Business Committee, as necessary, to provide greater subject-matter expertise on matters discussed, and to enrich interactions between Committees. o) The external environment has informed strategic discussions at ESC, through knowledge transfer and the circulation of contemporary papers arising from members’ representation and engagement with external forums and Committees. As such, members reflected on relevant items of business from the Scottish Higher Education Enhancement Committee (SHEEC) and the Universities Scotland Learning and Teaching Committee. p) USSA provided feedback on their objectives and activities related to the Education portfolio, including work to improve employment opportunities for international students following graduation, partnership working on the programme for Diversity Week 2015 and a review of the Class Representation system. q) Members noted and supported the following policy revisions, for the endorsement of University Senate: Unacceptable Behaviour Policy and Student Representation – Guidance for Running an Effective System. ESC is also responsible for overseeing revisions to the Policy and Code of Practice for Postgraduate Research Programmes, presently underway.
Please see Appendices 1 & 2 for details of all Open and Closed Committees actions for 2014-15.
6. Ongoing Business and Proposed Areas of Focus for Next Academic Session a) Continue to inform the priorities of the Learning Enhancement Committee for AY 2015-16. This may include, but is not limited to, the following priorities: QAA enhancement themes activity; progression of outstanding/ongoing ELIR 2014 follow-up actions; support the development of the Virtual Learning Environment (VLE) and an institutional Learning Analytics strategy, underpinned by the effective use of learning technologies; enhancement
4 V1 - Lesley Cram 25/06/15 (V3 - October 2015) activity in response to student feedback; enhancement to teaching delivery via the Strathclyde Teaching Enhancement Programme (STEP) and considerations regarding the future direction of travel for Massive Open Online Courses (MOOCs). b) Continue to inform the priorities of the Quality Assurance Committee for AY 2015-16. This may include, but is not limited to, the following priorities: progression of outstanding/ongoing ELIR 2014 follow-up actions including the University’s approach to periodic institution-led internal review and the development of policy and procedures; enhanced monitoring and reporting of student data through SUnBIRD; enhanced monitoring of actions arising from Faculty Annual Report recommendations; enhanced monitoring of local Assessment and Feedback performance and actions; greater focus on the PGR experience and additional oversight of the University’s Collaborative Education provision. c) Key Performance Indicators (KPIs) within the refreshed Strategic Plan for 2015-2020 – review and reflect on Education KPIs within the context of the refreshed strategic plan. Further define measurable targets and internal performance measurement and reporting mechanisms, which effectively evaluate the success of institutional objectives and inform existing or new priorities for all Education Committees in 2015-16. d) Lead the development of an institutional Learning Analytics Strategy to support the Student Experience and Learner Journey at Strathclyde. e) Review the ‘Shape of the Academic Year’ - Preliminary project scoping is presently underway and a stakeholder workshop is planned to further explore project objectives, deliverables and constraints. f) Institutional Widening Access and Participation Strategy – this is to be articulated via three core principles (The Learner Journey Model; Harnessing Technologies and Vertical Enhancement); a mapping exercise is to be undertaken and, appropriate systems for monitoring internationalisation activities and measuring impact are to be explored. g) Progression of a framework to capture activities which support internationalisation of the student experience. h) An institutional analysis of student feedback is to be undertaken from a thematic perspective, to support the cross-institutional analysis and dissemination of survey findings and to inform strategic priorities for Education. i) Continued engagement with proposals to develop a new Teaching and Learning building, to ensure a flexible and enduring learning environment, conducive to the delivery of teaching and learning and aligned with the University’s strategic ambitions for Education. j) Progress proposals to establish a ‘collaborative provision agreement sub-group’ to support a unified approach to formal approval of collaborative provision and to strengthen due diligence of draft agreements with respect to ensuring strategic alignment, adherence to the University’s Policy and Code of Practice on Collaborative provision and partnership support for the delivery of an outstanding teaching and student experience. k) Draft Committee management guidance to be revised and circulated for proposed implementation across all Education Committees in AY 2015-16.
5 V1 - Lesley Cram 25/06/15 (V3 - October 2015) 7. Reflection, Review and Recommendations Committee Membership a) The appointment of a Committee Secretary for ESC has provided beneficial support to the Committee Manager and Convenor and aided meeting administration. b) Committee meetings are well-attended by members throughout the session and cross- institutional membership has facilitated effective and representative decision-making. c) The inclusion of an ‘attending’ membership category for AY 2014-2015 has provided constructive subject-matter input and advice on selected items of Committee business. Committee Practice a) The revised model of Committee practice has provided a robust and flexible framework to support the continued progression and delivery of strategic objectives within the Education portfolio, with a particular focus on the progression of ELIR recommendations throughout 2014-15. b) A standardised agenda format has provided greater consistency with regard to Committee business, and provided clear direction on items requiring a decision. c) For AY 2014-2015, an additional meeting of the ESC sub-group has been scheduled to support dedicated review of the Annual Committee reports for the Education Committees. It is recommended that this supplementary meeting is embedded in the routine schedule of business for ESC. Committee Practice a) Committee business remained aligned to strategic priorities outlined at the beginning of AY 2014-2015, and progressed well throughout the session. Contributions were invited from all members and all items were given due consideration. a) The addition of an ‘external update’ standing item provided a valuable external perspective on strategic priorities within the context of wider HE sector developments. b) The addition of a designated ‘USSA update’ standing item for AY 2014-2015 has identified and strengthened partnership working opportunities between USSA and the University. 8. Confirmed Membership for 2015-16 Professor Scott MacGregor - Vice-Principal / Convenor Mr Brian Green - Associate Deputy Principal (Learning and Teaching) [Chair: QAC] Professor Sara Carter - Associate Deputy Principal (Learning and Teaching)[Chair: LEC] Dr Mark Ellis - Vice-Dean (Academic), HaSS Faculty Dr Andrew McLaren - Vice-Dean (Academic), Faculty of Engineering Dr Debbie Willison - Vice-Dean (Academic), Faculty of Science Mrs Helyn Thornbury-Gould - Vice-Dean (Academic), Strathclyde Business School Mr Michael O’Donnell - USSA Vice-President (Education) Mr Gary Paterson - USSA President Dr Veena O’Halloran - Director of Student Experience and Enhancement Services, SEES Mrs Catherine Milligan - Deputy Director (Education Enhancement), SEES Ms Gill Watt - Deputy Director (Student Experience), SEES Dr Claire Cassidy - Senate Representative Ms Lesley Cram - Education Strategy and Planning Manager, Education Enhancement / Committee Manager, ESC Ms Lorraine Arkley - Secretary to the Principal / Committee Secretary, ESC 6 V1 - Lesley Cram 25/06/15 (V3 - October 2015) Appendix 1 – ESC Committee Actions List: Open Actions - 2014-15 (as at 10 June 2015)
Number of ‘Open/Ongoing’ Actions = 26
Ref Meeting Action(s) Responsibility Status Original Revised Due # Due Date Date 1 Oct 2014 Dual Degrees Policy to be Mrs Catherine Revised Policy and Code of 30 January 28 August incorporated within ‘Policy Milligan Practice on Collaborative 2015 2015 for Collaborative Provision Provision and Agreements (revised to leading to Awards or Joint currently with Vice Principal incorporate Awards of the University’. with a view to being wider policy recommended for approval revision) by Senate before the next session. 4 Oct 2014 Explore the potential for Professor In progress – in conjunction 19 28 August other institutional Scott with wider reflection on December 2015 Committees to prepare an MacGregor Committees’ operation. 2014 Annual Report and make recommendations to Senate as appropriate 7 Oct 2014 Integrate the revised Ms Lesley Outstanding – to be 14 28 August model of Committee Cram included in revised November 2015 operation within the Committee management 2014 (revised to Committee Management guidance facilitate practice guidelines and wider circulate draft guidelines Committee to ESC members at the reflection) next meeting 11 Oct 2014 Determine the ways in Professor In progress – in conjunction 19 28 August which ESC can further Scott with revised model of December 2015 connect with other MacGregor/M Committee operation 2014 institutional Committees rs Catherine Milligan 15 Oct 2014 Consider available Mrs Catherine In progress – refreshed 19 28 August mechanisms for cross- Milligan Eduportal in development December 2015 institutional sharing of for Summer 2015. 2014 sector developments 19 Oct 2014 Support the further Dr Veena In progress – business case TBC TBC development of the O’Halloran/Mr submitted for review to business case for the new Brian Estates and the Executive learning and teaching Green/Dr Team building Andrew McLaren 1 Dec 2014 Upload Dual Degrees Ms Lesley In progress – Discussion 30 January 30 sector guidance to ESC Cram between the QAA and HE 2015 September Sharepoint Site sector respecting 2015 characteristics statements for dual/double/joint degree awards was ongoing and unlikely to be concluded until early Autumn 2015 2 Dec 2014 Circulate draft Committee Ms Lesley In progress – postponed 30 January 28 August Management guidance to Cram until May meeting of ESC 2015 2015 (linked next meeting of ESC to action #7, Oct 2014) 7 V1 - Lesley Cram 25/06/15 (V3 - October 2015) 3 Dec 2014 Circulate outcomes of Ms Lesley In progress – to liaise with 30 January 30 USSA action plan scoping Cram USSA to discuss reporting 2015 September to next meeting of ESC approach and revision in 2015 accordance with new USSA Executive. 4 Dec 2014 Review the STEM strategy Professor For review. 30 June TBC developed by the City of Scott 2015 Glasgow, Clyde and Kelvin MacGregor Colleges and consider the ways in which this can inform the University’s College-STEM strategy 5 Dec 2014 Continue to develop Professor Sara In progress – Academy 27 Ongoing Strathclyde Academy Carter proposals undergoing February proposals development in SBS 2015 (Business Academy); HaSS (Social Sciences Academy) – presented to ET early Feb; and Science (Digital Academy) outlined to SFC. Engineering Academy has gained additional SFC- funded places. 6 Dec 2014 Consider additional ways in All Linked to action #7 and #8 27 Ongoing which the University can (Dec 2014). February evaluate and measure the 2015 effectiveness of ‘Academic Support’ (in addition to the NSS) 7 Dec 2014 Review the University’s All In progress – ESC to inform 27 Ongoing – approach to internal and KPIs within revised strategic February ESC external management of plan. 2015 contribution information and consider to Strategic the ways in which this can Plan be converted to KPIs 8 Dec 2014 Identify key messages Mrs Cathy In progress – captured via 27 March Ongoing arising from holistic review Milligan; high-level institutional 2015 of the suite of student Ms Lesley analysis of student surveys Cram feedback, with greater analysis through Summer 2015. 10 Dec 2014 Reflect upon nominated All In progress – group 30 January Ongoing Stakeholder Groups as members confirmed. 2015 presented in Paper C (Review of Shape of Academic Year) 12 Dec 2014 Liaise with SIMS team to Mrs Cathy To be taken forward via 30 January TBC determine system Milligan related Working Group as 2015 flexibility and any appropriate constraints which may need to be addressed 17 Dec 2014 USSA to liaise with class- Mr Gary QEF consultation response 30 January N/A reps on the QEF Paterson; Mr provided. 2015 consultation and provide James Ferns feedback to the next meeting of the Quality
8 V1 - Lesley Cram 25/06/15 (V3 - October 2015) Assurance Committee 22 Dec 2014 Liaise with Rene Oudega Mr Brian 05/02 – BG to co-ordinate a 27 TBC regarding the University’s Green meeting with RO. For February SuNBIRD system review. 2015 developments and data- sets 1 March Arrange the next meeting Ms Lesley Original meeting scheduled 1 April 28 August 2015 of ESC in the new TIC Cram in TIC, but meeting re- 2015 2015 building scheduled. Determine availability for first meeting of ESC in 2015-16. 4 March Initiate a Learner Journey Dr Veena Planned - as outlined in 21 May Ongoing 2015 Mapping Exercise O’Halloran ‘Widening Participation at 2015 Strathclyde – a distinctive approach’ 8 March Delete ‘languages’ wording Mr James Update required. 13 April TBC 2015 within ‘Professional Ferns 2015 Services and USSA’ chart (p13) 9 March Undertake Paper D Mrs Cathy EFUR prepared in 3 July 2015 Ongoing 2015 proposals to support EFUR Milligan; Ms accordance with Paper D submission Lesley Cram; proposals, for review by ESC Professor at June 2015 meeting and Scott endorsement of Senate in MacGregor; June 2015. Professor Sara Carter; Mr James Ferns 11 March Further explore external Ms Lesley Further consideration 21 May TBC 2015 NSS communications to Cram required. 2015 students and identify opportunities to manage students’ expectations and/or recommendations for revised communication practices 13 March Develop a framework to Mrs Cathy Linked to action #12 (Dec 21 May Ongoing 2015 collect, maintain and Milligan, ESC 2015) 2015 review data relevant to Sub-Group Internationalisation of the Student Experience 14 March Liaise with Faculty; School All Pending outcome of action 21 May Ongoing 2015 and Departmental #13 (March 2015) 2015 colleagues to identify gaps
16 March USSA to arrange meeting Mr James Update required. 30 April TBC 2015 to discuss Welfare Survey Ferns 2015 findings with SEES
9 V1 - Lesley Cram 25/06/15 (V3 - October 2015) Appendix 2 – ESC Committee Actions List: Closed Actions - 2014-15 (as at 10 June 2015)
Number of ‘Closed’ Actions = 31
Ref Meeting Action(s) Responsibi Status Original Revised Due # lity Due Date Date 2 Oct 2014 Update standard ESC agenda Ms Lesley Complete 31 October N/A format to re-order section #4 Cram 2014 as section #3 3 Oct 2014 Revise ESC Annual Report to Ms Lesley Complete 31 October N/A incorporate feedback and re- Cram 2014 circulate to ESC members 5 Oct 2014 Liaise with QAC Committee Ms Lesley Complete 14 N/A Manager regarding the Cram November proposal to circulate the ESC 2014 Annual Report to the SFC, in conjunction with the institution-led review of quality 6 Oct 2014 Revise ESC Annual Report Ms Lesley Complete 14 N/A timescales to support draft Cram November sharing and members’ 2014 feedback at the final meeting of ESC in 2014-15 8 Oct 2014 Identify and agree upon a Mrs Complete – confirmed as Ms 14 N/A Committee Secretary for ESC Catherine Lorraine Arkley November Milligan/M 2014 s Lesley Cram 9 Oct 2014 Circulate Committee Ms Lesley Complete – diagram uploaded 31 October N/A responsibilities diagram and Cram as ‘post-meeting’ item to 2014 proposed model of Committee Sharepoint operation to ESC members 10 Oct 2014 Arrange a meeting with USSA Ms Lesley Complete – liaised with USSA 14 N/A to discuss action plan scoping Cram/Mrs to identify relevant objectives November (s.7 – ‘Students as Partners’) Catherine 2014 Milligan
12 Oct 2014 Send Universities Scotland Mr Brian Complete 24 October N/A Paper on Widening Access to Green 2014 ESC Committee Manager 13 Oct 2014 Upload Universities Scotland Ms Lesley Complete – paper uploaded 31 October N/A Paper on Widening Access to Cram as ‘post-meeting’ item to 2014 ESC Sharepoint Site for Sharepoint members viewing 14 Oct 2014 Obtain members’ feedback on All Complete 4 N/A Universities Scotland Paper on December Widening Access at the next 2014 meeting of ESC 16 Oct 2014 Invite Mr Simon Jennings Ms Lesley Complete – Mr Simon 31 October N/A (Strategy and Policy) to attend Cram Jennings attended ESC on 4 2014 the next meeting of ESC to December 2014 to present an provide an update on the update on Education University’s Outcome performance and the Agreement Strategic Plan refresh 10 V1 - Lesley Cram 25/06/15 (V3 - October 2015)
17 Oct 2014 Request self-evaluation report Ms Lesley Complete 30 N/A and draft Outcome Agreement Cram November from Mr Simon Jennings to 2014 circulate to members at the next meeting of ESC 18 Oct 2014 Capture for Paper 4, feedback Dr Veena Complete – feedback 31 October N/A from ESC members and O’Halloran incorporated within revised 2014 incorporate within the business case business case for the new learning and teaching building 20 Oct 2014 Provide institutional Mrs Complete – information 31 October N/A enhancement themes lead Catherine provided to Dr Mark Ellis 2014 with information from the Milligan QAA 9 Dec 2014 Draft an institutional Widening Dr Veena ‘Widening Participation at 4 March N/A Access Strategy in accordance O’Halloran Strathclyde – a distinctive 2015 with the approach outlined in approach’ developed and minute #450 endorsed by ET in April 2015. 11 Dec 2014 Reflect upon an ‘Academic Professor Dr Andrew McLaren 30 January N/A Lead’ for the ‘Shape of the Scott (Academic Lead) nominated 2015 Academic Year’ project MacGregor Cathy Milligan as Project ; Mrs Lead. Cathy Milligan 14 Dec 2014 Circulate QAC and LEC Annual Dr Chris Preparation of reports for 30- N/A Reports (2013-14) to Faculty Prior; Mrs 2014-15 currently underway. January and Departmental colleagues Helyn 2015 Thornbury- Gould; Dr Andrew McLaren; Dr Mark Ellis 15 Dec 2014 Utilise bold lettering useful for All Complete – LC communicated 4 N/A formatting reports to the approach to Committee December highlight main points Managers for QAC and LEC as 2014 best practice. 16 Dec 2014 Vice-Deans Academic to Dr Chris Complete – University 30 January N/A provide feedback on the QEF Prior; Mrs endorses Universities 2015 consultation to the next Helyn Scotland Learning and meeting of the Quality Thornbury- Teaching Committee paper Assurance Committee Gould; Dr and has communicated this to Andrew the SFC McLaren; Dr Mark Ellis 18 Dec 2014 Reflect upon the risks All Education Strategy Risk 30 January N/A identified in Paper I and Register deferred to QAC 2015 feedback to the Education (May 2015) for assignment of Strategy Committee Manager risk ratings. Risk ratings to be as appropriate discussed at ESC (June 2015) 19 Dec 2014 Revise Risk Register to include Ms Lesley Education Strategy Risk 30 January N/A risk rating and present to the Cram Register deferred to QAC 2015 next meeting of ESC (May 2015) for assignment of risk ratings. Risk ratings to be 20 Dec 2014 Inform the Education Strategy Mr Brian Complete December N/A
11 V1 - Lesley Cram 25/06/15 (V3 - October 2015) Committee Manager of Green 2014 applicable papers from the Universities Scotland Learning and Teaching Committee for circulation to ESC members 21 Dec 2014 Upload the Universities Ms Lesley Complete – Papers uploaded December N/A Scotland Learning and Cram to ‘post-meeting’ items on 2014 Teaching Committee papers to ESC Sharepoint Site (Dec the ESC Sharepoint Site and 2014) notify ESC members 2 March Agree the proposed KPIs for ESC sub- Proposed KPIs for Education 30 April N/A 2015 Education, for consideration group developed and submitted to 2015 within the wider Education members Strategy and Policy. Strategy 3 March Liaise with Ms Rona Smith, Professor Linked to action #2 above 30 April N/A 2015 Deputy Director, Strategy and Scott (March 2015) - proposed KPIs 2015 Policy, to discuss and confirm MacGregor for Education developed and Education KPIs , Mr Brian submitted to Strategy and Green, Policy. Professor Sara Carter, Mrs Catherine Milligan 5 March Revise ‘staying in’ terminology Dr Veena Terminology revised and 13 April N/A 2015 and consider the # of stages in O’Halloran stages reduced from 4-3, as 2015 the Learner Journey outlined in ‘Widening Participation at Strathclyde – a distinctive approach’ 6 March Circulate Paper C (Widening All Feedback incorporated into 9 April N/A 2015 Participation at Strathclyde) to revised submission to 2015 Faculty, Departmental and Executive Team. USSA colleagues for feedback (All) 7 March Revise ‘vertical integration’ Dr Veena Terminology revised. 13 April N/A 2015 terminology to read ‘vertical O’Halloran 2015 enhancement’
10 March Remind colleagues to promote All NSS closed 30 April 2015. 30 April N/A 2015 NSS participation to students 2105
12 March Identify and establish an ESC Mrs Cathy Key stakeholders invited to 21 May N/A 2015 sub-group to support Milligan input individually. Revised 2015 framework development and approach required to address identification of any IT IT integration. systems implications 15 March USSA to circulate outputs of Mr James ‘Student Representation – 21 May N/A 2015 Class Rep review to next Ferns Guidance for Running an 2015 meeting of ESC Effective System’, prepared by USSA and circulated to ESC in June 2015
12 V1 - Lesley Cram 25/06/15 (V3 - October 2015)