ANNUAL CYCLE OF BUSINESS
One of the recommendations in the Committees Review Report to Council in July 2006 was:
R11.
that at the beginning of session all the major committees should agree an annual
business cycle showing what business will be considered at each meeting and how
the business links to university strategy and also where the major risks to the
University might be
Different committees have taken varying approached to the drafting of such a paper. Links
are provided in the table below – press CTRL and click on the link to go to the first page of
each document. Alternatively, the documents are available on the Admin S:\COMMON drive
in the Papers folder.
Council
paper 06/668
Council
Senate
paper 06/593
Senate
Research Committee
paper 06/111
Research
Strategy and Resources
paper 06/128
Strategy
Academic Standards and Quality Committee paper 06/666
ASQC
Graduate Development Committee
GDC
Committee Secretaries’ Toolkit
paper 06/714
08/04/2020
Annual Cycle of Business against Council's Statement of Primary Responsibilities
06/668
Primary Responsibility
Business/Activity
Lead/Delegated Authority
Timing/Frequency
1. Approval of mission and
strategic vision, plans and
KPIs.
1.
Contribute to and approve
Strategic Plan and financial
forecasts.
1. S&RC and Finance Group
June/July 2007.
2.
Approval of academic
developments.
2. Senate.
2. Delegate authority to ViceChancellor for management
of University.
Annual address to Council on
University achievements and
ambitions
Vice-Chancellor.
October 2006.
3. Establish and monitor systems 1.
of control and accountability.
Internal audit programme for
next Session
1& 2 Audit Committee (and Joint Internal
Audit)
1.
June/July 2006
2&3
2006
2.
Audit Committee and JIAU
Annual Reports 2005/06
3.
Risk management Annual Report Finance Group/S&RC
December
4. Monitor and evaluate the
Review Key Performance Indicators
performance and effectiveness (KPIs).
of the institution.
S&RC
February 2007.
5. Monitor and evaluate the
performance of the governing
body itself.
1. 2007/08.
1.
Undertake review of
effectiveness.
1. Council and Working Group on
Governance.
2.
Committees Review
2. Council and Senate
2. July 2007
6.
Conduct business in
accordance with best practice
in corporate governance.
Statement of Corporate Governance
in annual accounts.
2
Treasurer, S&RC and Audit Committee.
December 2006.
Annual Cycle of Business against Council's Statement of Primary Responsibilities
7. Safeguard the good name and
values of the University.
8. Appointment of ViceChancellor and performance
monitoring.
06/668
Vice-Chancellor and University Board.
On-going.
1.
Establishment of Appointing
Committee as set out in
Ordinance 5
1. Council/Senate
N/A
2.
V-C's appraisal by Chair.
2. Vice-Chancellor/Chair of Council
September 2007.
9. Appointment of a Secretary
Appointment made by Council and
separation of responsibilities by
means of two job descriptions.
Council/Vice-Chancellor
Completed 2004.
10. Be employing authority for
all staff.
1. Approve Human Resource
Strategy, Health and Safety
Policy, Equality and Diversity
issues.
2. Salaries for senior staff
3. Pension provision for staff
4. Approve Chair appointments
1. S&RC, Human Resources Committee,
Health Safety and Environment
Committee, Equality and Diversity
Committee
On-going
11. Be principal financial and
business authority,
approving annual budget and
be responsible for
University's
assets, property and estate.
12. Be legal authority and
ensure university meets its
1.
2.
3.
4.
5.
6.
7.
Approve University accounts
Receive financial reports
Monitor Estate Development
Risk Management Annual Report.
Value for Money Annual Report
Financial Regulations
Allocations of resources
Appoint panel of legal advisors with
3
2. Remuneration Committee
3. CU Pension Fund Trustees
4. Senate
Finance Group, S&RC, Audit and Estate
Strategy Group
July 2007.
1, 4, 5 December 2006
2 + 3 every meeting
6. July meeting
7. March/April
meeting
Vice-Chancellor, Secretary to Council and
On-going.
Annual Cycle of Business against Council's Statement of Primary Responsibilities
obligations.
13. Make provision for
general welfare of students.
14. Act as trustee for property,
legacy, endowment bequest or
gift.
Council member present.
other Administrative Directors
1.
Monitor student services
2.
Receive reports from Student
President.
3.
Tuition Fees
1. Pro Vice-Chancellor for Staff and
Students
2. Student President.
3. Finance Group/S&RC
4. Finance Group
4.
Residences Fees
1.
Allocation and monitoring of
student prizes and awards
Treasury Management Report
2.
06/668
1. Report to S&RC
2. Every Meeting of
Council
3. March/April
4. Nov/Dec meeting
1. Senate and Pro Vice-Chancellor for
Staff and Students
2. Treasurer/Finance Group
15. Ensure constitution is followed
and that appropriate advice is
obtained.
Secretary to Council.
4
Annual report
06/593
SENATE: CYCLE OF BUSINESS, SESSION 2006-07
The following matters are scheduled to come before Senate in Session 2006-07:

Presentation by Vice-Chancellor on the state of the University [1st meeting of Session]

Welsh Language Scheme Annual Report [November]

Honorary Fellows [April-June]

RAE - approval of Cardiff's submission intentions. HEFCE will be surveying Cardiff
University’s intentions during the Spring of 2007

Institutional Review

Strategic Plan – annual review and report against progress for University Strategic
Plan and supporting Strategies [Research, L&T, Innovation and Engagement]

Review of teaching allocation methodology

Committee Review – follow-up of consideration of remit and membership of subcommittees of Senate.
The following routine items will be presented to Senate at most meetings:

Report of action taken by Chair of Academic Policy Committee

Chair’s action

Minutes from sub-committees, Council and S&RC

Vacancies on committees (as required)

Staff matters

Research Grants and Statistics
1X
06/111
ANNUAL CYCLE OF BUSINESS – RESEARCH COMMITTEE SESSION 2006/07
1.
Background
1.1
A recommendation from the current review of committees is that Committees receive
at their first meeting of each session a paper setting out the annual cycle of business
and how it fits with the delivery of University strategy.
1.2
Appendix 1 shows the priority business for Research Committee in Session 2006/07,
in line with the Research Strategy. The table also shows lead responsibilities for the
support and delivery of actions, including where work will be undertaken by subgroups of Research Committee. Outline timescales for the actions are also provided.
1.3
The review of committees also recommends that Chairs/secretaries examine during
Session 2006/07 the terms of reference and membership of the Committee. This
review will inform the future development of the annual cycle of business. The
development of the Research Strategy and pilot of the Lean-approach will also inform
future iterations of the business cycle.
1.4
The Research Committee is invited to consider the cycle of business for Session
2006/07 as at Appendix 1.
K Hoose
051006
6
06/111
RESEARCH COMMITTEE –CYCLE OF BUSINESS FOR SESSION 2006/07
Business
1.
Lead Responsibilities
Timescale
PLANN/RACDV
Research Committee to consider
December 2006 for further
development throughout the year.
Research Performance Indicators Group
Session 2006/07
Research Performance Indicators Group, with
PLANN/RACDV
October 2006
Approve research income targets for 2006/07
Research income targets for 2007/08: review methodology
and targets
Research Performance Indicators Group, with
PLANN/RACDV
By May 2007
Review PGR student targets and methodology (with
Graduate Development Committee)
Research Performance Indicators Group, with
PLANN/REGIS
By May 2007
Receive reports of research awards and grants awarded
RACDV
Receive report on success against previous Session’s
research income targets
RACDV
Research Strategy
Review the Research Strategy, pilot Lean-thinking, and
develop action plans.
2.
Development of Performance Indicators
In line with development of Research Strategy and Critical
Success Factors, determine key performance indicators.
3.
First meeting of each session
External Context
Consider external context for research (e.g. local, national
and international policy matters; funding issues)
4.
At each meeting of Research
Committee, plus annual report on
total income for previous Session
PLANN/RACDV
As issues arise, but standing item
on agendas
Research Assessment Exercise
Manage Cardiff’s submission to the 2007/08 Research
Assessment Exercise:

Project management/data and software issues;
Deadline for submission 30
November 2007
RAE Operations Group
7
Monthly meetings
06/111
5.
6.

Strategic approach and advice to schools and
institution
RAE Sub-Group

Oversight of work of RAE Sub-Group
RAE Steering Group

Research Web Profiles project
INSRV
Update reports to each meeting of
Research Committee
Sponsor Research Committee seminar on a theme regarding
the achievement and promotion of excellence in research
PLANN
Annually in September
Disseminate good practice on building quality research
Secretary
Following consideration at October
2006 meeting
Receive and endorse the methodology for distribution to
schools of the Research Allocations for the next session
PLANN
May meeting (following
publication of HEFCW Recurrent
Grant)
Consider use of external initiative funding in support of
research, e.g. HEFCW monies, SRIF etc
Chair and representatives as appropriate, with
PLANN/RACDV, to advise
As required
Determine use of Research Initiative Funds for 2006/07:
Research Initiative Sub-Group of Research
Committee
Review November 2006 for report
to Research Committee December
2006.

Travel Grant Scheme, Visiting Fellows Scheme
RAE Steering Group/RAE Steering Group
As cases for strategic support are
identified in preparation of RAE
submissions up to November 2007.

RAE Initiative monies
Chair/Secretary
As cases arise; reported to Research
Committee as Chair’s action
Monthly meetings (with update
reports to each meeting of
Research Committee)
As required
Promotion of Excellence and Research Quality
Research Infrastructure and Funding
Receive update reports from the Portal Services
Implementation Group (PSIG) for Research, as part of
Modern Working Environment (MWE) project
INSRV via Chair
Update report to each meeting
8
06/111
7.
8.
9.
Support for Interdisciplinary Research
Establish Research Topic Groups, as required, in line with
priority areas, and receive notes therefrom
RACDV; Chair/Secretary of Topic Groups to
provide notes
As required; in line with Research
Topic Group meetings. Notes will
be made available to members for
inspection.
Sponsorship and support of interdisciplinary events
RACDV
Three events held annually
Oversee establishment of Interdisciplinary Research
Centres (IRCs), including consideration of business cases
PLANN/RACDV (with other support
directorates as required); Chair of Research
Committee and Dean of Interdisciplinary Studies
As required. Cases dealt with by
correspondence as required, and
outcomes reported to Research
Committee
Consider issues relating to the training and development of
early stage researchers
Early Stage Researchers Group; Research and
Graduate Schools
ESRG reports to each meeting of
Research Committee; RGS reports
made available to members for
inspection
Report to, and receive from, Graduate Development
Committee any issues of note
Secretary
Following each meeting. GDC
reports will be made available to
members for inspection.
Oversee development and sustainability of a Universitywide awareness of ethical issues
University Research Ethics Committee (UREC)
Minutes of meetings made available to
members for inspection; annual report
to Research Committee May 2007
Oversee scientific review and risk assessment for joint
Trust/University projects in line with the Research
Governance Framework.
Joint Trust /University Peer and Risk Review
Committee (JTUPeRR)
Minutes of meetings made
available to members for
inspection
Enhancement of Research Culture
Research Governance and Management
9
ANNUAL CYCLE OF BUSINESS FOR STRATEGY AND RESOURCES
COMMITTEE FOR 2006/07
1.
Background and Remit
1.1
The Strategy and Resources Committee is governed by Ordinance 10H which sets out its
composition, powers and lines of reporting and has been delegated authority by the Council.
As such, the Committee is expected to submit reports to the Council on decisions it takes on
their behalf. The Strategy and Resources Committee has a broad remit and Ordinance 10H
has been structured to give clarity to its duties and responsibilities by grouping them
according to the nature of business.
2.
Position within the University’s Committee Framework
2.1
The committee structure for Cardiff University provides a clear delineation of how
committees relate to each other and how reporting lines are intended to operate. Within the
approved committee framework, the Strategy and Resources Committee has a sub-structure of
sub-committees and groups.
3.
Responsibilities
3.1
The table attached at Appendix 1 to this paper illustrates the responsibilities of Strategy and
Resources Committee. It shows the duties and reporting lines, the business the Committee
can expect to receive and when, and the lead responsibilities in terms of both
directorates/divisions and other Committees and Sub-Groups.
3.2
Strategy and Resources Committee holds a responsibility for strategic planning across the
University which includes ensuring the integration of institutional strategies and the
effectiveness of strategic planning processes, having regard to the external context in which
the University operates. This also includes the monitoring of progress against objectives. It
holds a responsibility for resource allocation including approval of the University’s annual
budget and authorisation of the allocation of external initiative monies. It also has
responsibilities in respect of financial management, estates management, human resources
management (including equality and diversity issues), information management and
management controls, in terms of compliance with legislation affecting the management and
operation of the Universities activities. Strategy and Resources Committee has a wide remit
and thus could be said to be deliberative, decision-making, advisory and monitoring in terms
of its outputs.
4.
Issues for Consideration
4.1
The Annual Business Cycle has served to highlight some issues which might merit
consideration by the Committee. These issues range from items which perhaps should come
through the Committee and items which perhaps no longer need to. The list below illustrates
the items in question:

3.1.1 – Strategic Planning. The Committee receives a wide range of strategic
planning documents and University strategies. However, it has not received the full
Information Strategy, only an Annual Report. Perhaps, given the importance attached
to IT developments, the Committee should formally receive the University’s
Information Strategy. This also raises the question of the University’s Learning
Environment Strategy and the involvement that the Committee should have with this
given that resources will need to be allocated to deliver the Strategy.

3.1.4 – School Strategic Planning Processes. The remit of the Committee states that it
should ‘receive recommendations on the processes and guidelines for School strategic
plans for approval’. However, in the last couple of years this has been done through
2
the University Board (which also acts as the Standing Panel for Strategy and
Resources Committee) and this approach has worked effectively.

3.2.2 – Annual budgets for Support Directorates. The remit of the Committee states
that it should ‘receive and consider budgets of support directorates’. This has not
formally come through the Committee and perhaps is something that could be
delegated to the Finance Group and reported back through the Finance Group Report
to the Committee.

3.2.5 – Allocation to the Students’ Union. The Committee should receive and
consider the recommended allocation to the Students’ Union but, again, this has not
formally come through the Committee. Perhaps, again this is something that could be
formally delegated to the Finance Group.

3.2.7 – Authorise the allocation of external initiative monies. The Committee should
note that the mechanism by which this is usually done is through the Standing Panel
of Strategy and Resources Committee.

3.5.2 – Emeritus Professors. The remit of the Committee states that it should
‘forward the names of any Emeritus Professors to Senate and the Council’. It is
worth questioning whether it is actually necessary for the Committee to do this and
whether this responsibility could formally be delegated to the Human Resources
Committee.

3.8.1 – The Project Management Framework. It is worth considering whether the
Committee should be receiving reports of the projects within the University which are
being carried out under the Project Management Framework or on the proposed
review of the Project Management Framework.

3.8.2 – Annual Report from the Directors’ Meeting. The Committee is meant to
receive an annual report from the Directors’ Meeting but as this hasn’t happened as
yet it seems sensible to consider whether it is actually necessary.
4.2
In the interests of improving the efficiency of the Committee, and given the wide range of
business received, now might be a good time to consider how best to handle matters most
effectively. This paper is meant to open the debate and any considerations and suggestions
could form the basis of a review of the Committee’s terms of reference and remit as
recommended by the Committees Review.
5.
Recommendations
5.1
Strategy and Resources Committee is asked to:



Note the activities in the Annual Cycle of Business attached at Appendix 1 to this
paper;
Consider the issues noted above and how the Committee could work more
effectively;
Note that, this session, consideration will be given to whether the Committee’s terms
of reference and remit are still fit for purpose.
Nichola Amor
Planning Division 02/11/06
3
06/128
Appendix 1
ANNUAL CYCLE OF BUSINESS FOR STRATEGY AND RESOURCES COMMITTEE FOR 2006/07
3.1
.1
Strategic Planning
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Consider proposals for the institutional
Strategic Plan, having considered the
views expressed by University Board, and
ensure integration of institutional
strategies, for recommendation to
Council.
Receive:
Strategic Plan and financial
forecasts,
June 2007
Planning Division/
Finance Division
plus a report on progress against
objectives to be received annually;
November 2006
Planning
Division/Research and
Commercial
Development Division
Innovation and Engagement
Strategy;
November 2006
(Innovation and
Engagement Board)
Estates Strategy Review
June 2007
Estates Division
(Estates Strategy Group)
.2
Oversee use of the HEFCW Third
Mission Fund.
Welsh Language Provision Action
Plan;
June 2007
Registry
(Welsh Medium SubCommittee)
Race Equality Policy and Action
Plan.
June 2007
Corporate Compliance
Unit
(Equality and Diversity
Committee)
Innovation and Engagement Board
established as a sub-committee of
Strategy and Resources Committee
which receives the minutes of the
Group and its sub-panels, and any
November 2006
Planning Division
3
(Innovation and
Engagement Board)
06/111
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Minutes of the
Health Policy group
and other issues
received as and when
necessary.
Health Policy Group
substantive strategic issues arising
therefrom.
.3
Ensure the University’s “All Wales” role,
and shaping of/response to health policy
developments are given appropriate
consideration.
Health Policy Group established as
a sub-committee of Strategy and
Resources Committee. Strategy
and Resources Committee receives
the minutes of the Group, and any
substantive strategic issues arising
therefrom.
.4
Ensure the processes for the school
strategic planning process are effective
and efficient.
Receive recommendations on the
processes and guidelines for school
strategic plans for approval.
.5
Consider, at least on an annual basis, the
current external context in which the
University operates at international,
national, regional and local level in order
to assess how that context affects its
strategic plans. Report thereon to Senate
and the Council.
Consider External Context paper.
November 2006
Planning Division
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Approve, on an annual basis, the
allocation of the University’s annual
budget, including monies to the
Academic Policy Committee for
distribution to Schools.
Receive and consider a paper on
Estimated Allocations.
June 2007
Planning Division /
Finance Division
(Finance Group)
3.2
.1
Planning Division
Resource Allocation
4
06/111
.2
Consider and approve the annual budgets
for the support directorates.
Receive and consider budgets of
support directorates.
Finance Division
(Finance Group)
.3
Approve the funds to be made available
to the Information Services Directorate,
subject to receipt of a satisfactory annual
operational plan for the expenditure of
funding.
Receive and consider operational
plan from Information Services
Directorate and planned
expenditure.
Information Services
Directorate/ Finance
Division
(Finance Group)
.4
Approve in-year allocations and
subsequent revisions thereafter within the
overall budget (excluding funds allocated
to the Academic Policy Committee and
the Information Services Directorate).
Receive and consider paper on
Final Allocations,
Consider the allocation given by the
University to the Students’ Union.
Receive and consider recommended
allocation to the Students’ Union.
Receive the Students’ Union annual
accounts and budget.
Receive Students’ Union accounts
and budget.
November 2006
.6
Satisfy itself that value for money is being
sought and achieved for the use of all funds.
Receive an annual report on Value
for Money.
November 2006
.7
Authorise the allocation of external
initiative monies.
Approve the internal allocation of
monies from various HEFCW
funding schemes, such as:
.5
February 2007
Planning Division/
Finance Division
(Finance Group)
and ad-hoc reports on allocations of As and when
additional funding, e.g. from the
necessary
Unspecified Fund, Vice-Chancellor’s
Fund.
Finance Division
(Finance Group)
Science Research Investment Fund;
Widening Access Premium and
Widening Access Fund;
5
Finance Division
(Finance Group)
Planning Division
November 2006
Planning Division
(Innovation and
Engagement Board)
06/111
3.3
.1
.2
Capital Infrastructure monies for
Learning and Teaching & IT, and
any Supplementary rounds of
funding;
As and when
received from
HEFCW
Planning Division/
Third Mission Fund;
November 2006
Research and
Commercial
Directorate/ Planning
Division
(Innovation and
Engagement Board)
Welsh Medium Provision funding.
As and when
received from
HEFCW
Registry
(Welsh Medium SubCommittee)
Reconfiguration & Collaboration
Fund
As and when
received from
HEFCW
Planning Division
Strategic Development Fund
As and when
received from
HEFCW
Planning Division
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Receive advice on financial management
matters.
The Finance Group provides
specific advice on the financial
matters at 2.9 of Ordinance 10H.
A report from
Finance Group is
received at every
meeting.
Finance Division
Receive and consider Judgement
November 2006
Finance Division
Financial Management
Recommend to the Audit Committee and
the Council that the relevant criteria by
6
(Finance Group)
06/111
which financial statements have been
prepared satisfy the Council's
responsibilities.
paper.
(Finance Group)
Receive financial accounts.
Receive annual financial accounts.
November 2006
Finance Division
(Finance Group)
.3
Recommend to the Academic Policy
Committee an annual schedule of tuition fees.
Receive annual schedule of tuition
fees.
February 2007
Finance Division
(Finance Group)
.4
Receive, via the Campus Services Group,
for approval residential fees, other
charges relating to residential
accommodation/facilities, and other
fees/charges for services overseen by the
Campus Services Group.
Approve:
Residences and Catering budget
and residential fees;
June 2007
Campus Services Group
Aberdare Hall budget and
residential fees;
June 2007
Campus Services Group
any issues related to charges for
sport and exercise facilities.
3.4
.1
Campus Services Group
Estate Management
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Responsibilities for the estate of the
University in its widest sense.
Receive the minutes of the
meetings of the Estates Strategy
Group and the project groups
established to oversee major
schemes for building development
and refurbishment, and any matters
arising therefrom.
As and when
available
Estates Division
(Estate Project Groups)
7
06/111
Responsibilities for the estate of the
University in its widest sense. (continued)
Receive, for note, reports on
planning applications and tenders
awarded for building works.
As and when
necessary
Receive reports on planned new
building developments/
refurbishment/ maintenance, and
space allocation.
Estates Division
(Estates Strategy
Group)
Consider any proposals for changes
to the space allocation guideline
formula.
3.5
.1
.2
Estates Division
(Estates Strategy
Group)
Estates Division/
Planning Division
(Estates Strategy
Group)
Human Resource Management
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Receive advice on the operation and
implementation of the HR Strategy and
personnel procedures and policies, for
recommendation to Council.
Receive the minutes of the Human
Resource Committee and any
substantive strategic items of
business for consideration and
recommendation thereon to the
Council.
Minutes of the
Human Resources
Committee meetings
will be received at
the November,
February and June
meetings
Human Resources
Directorate
Emeritus Professors.
Forward the names of any Emeritus
Professors to Senate and the
Council.
As and when
necessary
Human Resources
Committee/ Secretary of
Strategy and Resources
Committee
(Human Resources
Committee)
8
(Human Resources
Committee)
06/111
3.6
Equality and Diversity Issues
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
Receive advice on equality and diversity
issues which impact on students and staff,
for recommendation to Council.
Receive the minutes of the Equality
and Diversity Committee, and any
substantive strategic items of
business for consideration and
recommendation thereon to the
Council.
Minutes of the
Equality and
Diversity Committee
meetings will be
received at the
November, February
and June meetings.
Equality and Diversity
Manager
Duties/Reporting Lines
Business
Timing
Lead Responsibilities
.1
Ensure the implementation and operation
of the University’s Information Strategy.
Receive an annual report from the
Director of the Information
Services Directorate on information
technology, information services
and information resources and
investment.
Strategy and Resources Committee
may ask to receive update reports
on major IT/IS projects.
February 2007
Information Services
Directorate
.2
Consider other strategic issues related to
information management.
The Committee is likely to receive
items of business including issues
arising from the Freedom of
Information Act Publication
Scheme and a strategy for
Management Information Systems
and resourcing thereof.
.1
3.7
(Equality and Diversity
Committee)
Information Management
9
Information Services
Directorate/ Corporate
Services Directorate
06/111
3.8
.1
.2
Management Controls
Duties/Reporting Lines
Business
Satisfy itself that mechanisms are in place
to ensure compliance with legislation
affecting the management and operation
of the University’s activities.
Receive advice and reports on:
Monitor the structure, operation and
expenditure of the support services.
Timing
Lead Responsibilities
Data protection;
Information Services
Directorate/Corporate
Compliance Unit
Project Management Framework;
Planning Division/ other
support directorates as
appropriate
Risk management and contingency
planning.
Finance Division/ Corporate
Compliance Unit
Strategy and Resources Committee
to consider how this might be done
most efficiently and effectively,
particularly with regard to those
services with large operational
budgets.
Strategic Development
Directorate/ Finance
Division
Receipt of an annual report from
the Directors’ Meeting.
VCO
10
06/666
DRAFT ASQC ACTION PLAN: 2006 – 2008 (to be confirmed following consultation with ASQC Members)
Activity/Theme
Developing and delivering quality
assurance processes
(key priorities/performance indicators
for the development and delivery of
institutional quality assurance
procedures. See also the area of
activity below on maximising the
use of evidence sources.)
2006-07 performance indicators
Progress/plans against performance indicators
To agree with all Schools a
schedule for engaging with QPR
Round 2 during the period 2006 –
2008.
Proposals for the scheduling of the second round of
Quality Progress Review and Periodic Review were
approved by ASQC last session. An update on the
scheduling of future events is provided under
Agendum 9.1.
To commence QPR Round 2
activity.
QPR Round 2 has recently commenced, with EARTH
being the first School to engage with the process.
To complete QPR Round 1 activity
at Heath Park Schools.
MEDIC undertook QPR Round 1 in November 2006
and the outcomes will be reported to the next meeting
of ASQC. All Heath Park Schools will then have
completed QPR Round 1.
To agree the format of the next
round of Periodic Review and
Revalidation processes, to be
delivered during the period 2008 –
2011.
Proposals will be presented for consideration by
ASQC during Session 2006-07.
To complete Periodic Review and
Revalidation Round 1 activity at
Heath Park Schools.
PGMDE completed Periodic Review and Revalidation
last Session. DENTL and SOHCS (Pre-Registration
Programmes) have recently completed Periodic
Review and the outcomes of these Revalidation
events will be presented to the next meeting of
ASQC. SONMS are currently engaged in Periodic
Review and have requested an extension to the
Review period (vide Agendum 9.3). MEDIC are
scheduled to undertake Periodic Review during
Session 2007 – 2008, as are SOHCS in respect of
their Post-Registration programmes.
To continue to deliver and develop
the APRE process (including the
consideration of issues arising from
APRE Sub-Committee to consider the operation of
the APRE process and to make recommendations for
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2007-08 performance indicators
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Developing the Cardiff University
awards Framework
(key priorities/performance indicators
to ensure that the Cardiff University
Awards Framework is sufficiently
robust and flexible to respond to
external and internal developments)
the reports of external examiners).
any amendments/enhancements to the process.
To develop a consolidated
approach to annual reporting to
ASQC on the assessment process,
to facilitate the work of ASQC in
identifying institutional themes and
areas requiring attention.
Proposals to be presented to ASQC in February
2007, addressing the areas discussed at the last
meeting (vide ASQC Minute 191.2).
REGIS has
established an internal group (The TAP Group) to
consider assessment-related matters in an integrated
and holistic manner, and this Group is developing the
approach to be presented to ASQC.
To respond to external
developments related to credit and
awards frameworks, such as
CQFW and ECTS, and to the
ongoing revision of the QAA Code
of Practice.
Regulations Sub-Committee to consider
relating to ECTS during Session 2006-07.
To respond to the ongoing work of
the Burgess Review Group on the
future of the UK Honours Degree.
The Second Consultation from the Burgess Group
has recommended a model for recording student
achievement in HE based on a pass/fail approach
with an enhanced Diploma Supplement/Transcript.
Following discussion at the October meeting of
ASQC, Cardiff has responded to the Consultation.
To continue to roll-out CU Awards
across provision as appropriate.
Confirmation
required
from
relevant
statutory/regulatory bodies of necessary constitutional
changes and completion of recognition procedures.
Overseas authorities need to be kept fully informed of
changes.
To consider further Regulatory
changes and clarifications arising
from Degree Awarding Powers (the
Regulations ‘Shopping List’) – to
ensure that the Regulatory
framework is clear, consistent and
A number of changes have been agreed during last
Session and this Session. Further changes will be
presented to ASQC during this Session, following
initial consideration by the Regulations SubCommittee.
issues
QAA are progressively reviewing all Sections of the
Code of Practice and Cardiff will continue to
contribute to the consultation with the sector on
revision and, subsequently, to ensure its internal
processes meet the Precepts contained in the revised
Sections of the Code.
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accessible to students, staff and
other stakeholders.
Implementation of the Assessment
Strategy
To continue to support schools in
implementing procedures related to
recent regulatory changes.
(priority actions to support reliability of
assessment)
To support the University’s policies
and procedures related to unfair
practice.
Maximising the use of evidence
sources
A programme of support to consolidate and help
schools embed the actions arising from the
implementation of the Assessment Strategy is
currently being developed. To help provide continuity
and ongoing support for schools, funding has been
agreed to keep the Change Champion (Assessment)
in post for one day a week throughout 2007.
A well attended and well-received programme of
seminars and events was held during October and
November, including workshops on plagiarism and
unfair practice.
To consider further regulatory and
procedural changes to enhance
reliability in assessment.
Under Agendum 7.3, ASQC is invited to recommend
to APC and Senate the approval of Guidance for
Schools on reliability and consistency of marking and
feedback.
To review, and if appropriate, revise
procedures for reasonable
adjustments in assessment.
Policy in this area is being reviewed in light of
schools’ experience of implementing the current
arrangements.
To identify an institutional approach
to the collective analysis of the
outcomes from all student-based
evidence sources (eg NSS, Project
‘Q’, School-based questionnaires,
feedback from the new Students’
Academic Council), to enable the
University to address the main
themes arising in a concerted
fashion.
Proposals to be presented to ASQC during Session
2006-07.
To continue to develop and
integrate the use made of the
outputs from the key quality and
REGIS officers to undertake initial work on the use
made of outputs from these processes and the scope
for enhanced integration of the consideration of these
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standards processes of






APRE
external examiners’
reports
QPR (Rounds 1 and 2)
Periodic Review
Reports of PAP events
reports of PSB
accreditation events
outputs. This work will then link directly to the above
approach to be agreed in respect of the outcomes
from student-based evidence sources.
QPR Round 2 will be an additional source of evidence
of practice within Schools in relation to these areas.
to enable the University to address
the permeating themes of Equality
and Diversity, Student Involvement,
Learning Environment and Learner
Support in an integrated fashion.
To propose specific actions relating
to the evidence gathered on the
experience of students in the
following areas:
Developing the institutional
‘Bologna’ agenda
(actions to enable the University and its
Schools to better engage with the key
issues arising from the ‘Bologna’

ensuring
equality
of
experience for Jointly
Taught students;

students studying away
from the Institution
To implement ASQC’s agreed
approach to the development of the
‘Bologna’ agenda (this also links to
the implementation of the
University’s new framework for
collaborative provision – see
Analysis is currently being undertaken of a range of
evidence sources pertinent to the experience of jointly
taught students;
this issue will be considered again with reference to
the revised draft of Section 9 of the QAA Code of
Practice, when this is available. QAA have indicated
that a draft will shortly be available for consultation
with the sector. The publication date is planned for the
end of April 2007.
An officers group comprising members from REGIS,
PLANN, INTER and RACDV met on 23 October 2006
to discuss sources of information on the Bologna
process, the issues arising from the process and the
best way to involve Academic Schools in the
discussions surrounding the Bologna issues.
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process)
below).
The group agreed to construct a single source
document containing links to the various information
sources and to give thought to the best way of
involving Academic Schools in future discussions.
Future approach to portfolio
management
To review and enhance the
institutional Programme Approval
Procedure (PAP)
Proposals to be presented to ASQC during Session
2006-07.
To implement relevant aspects of
the University’s new frameworks for
the approval and delivery of
Collaborative and
Flexible/Distributed Learning
provision (this also links to the
implementation of ASQC’s agreed
approach to the ‘Bologna agenda’ –
see above).
Establishment of Collaborative Provision Sub-Group
of ASQC with immediate effect.
To consider the purpose, remit,
evidence sources of and outputs
from ASQC, LTC & GDC
The Group established to undertake this review is
scheduled to meet on 23 January 2007, following
which recommendations will be presented to ASQC,
GDC and LTC during this Session.
University Committee Review –
review of the purpose, remit and
membership of ASQC, GDC and LTC
Incorporation of the Collaborative and F/D-L
frameworks within the University’s Programme
Approval and Maintenance Handbooks.
REGIS officers have been in discussion with
Martineau Johnson Solicitors to produce a suite of
template documents for institutional agreements to be
used for collaborative provision. These discussions
are ongoing.
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REGULAR ITEMS FOR CONSIDERATION BY ASQC
In addition to the above developmental actions, ASQC will continue to receive, as appropriate:









minutes/reports from its Sub-Committees;
reports of the appointment of external examiners and any issues relating thereto;
reports of the outcomes of PAP events;
proposals for changes to existing degree programmes, as and when these arise;
reports of the outcomes of PSB accreditation events;
information relating to the volume, nature and scope of the University’s key quality assurance
processes;
information from external bodies (eg HEFCW, QAA) in respect of national quality and
standards developments;
reports on the way in which the University exercises its delegated authority under the City &
Guilds Senior Awards Scheme;
summary reports from Graduate Development Committee and Learning and Teaching
Committee (and will itself submit reciprocal reports to those Committees)
David H Lloyd
Senior Assistant Registrar
5 December, 2006
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GRADUATE DEVELOPMENT COMMITTEE DRAFT ACTION PLAN
Area of activity
Priority area/ performance indicators
Progress against priority area/performance indicators
1. Admission and
induction
The monitoring of postgraduate intake numbers against targets to
assess progress against institutional objective of recruiting
increasing numbers of high quality postgraduate students.
Report to GDC October 2006 charted progress against PGR and PGT targets set for
session 2006-7.
A sub-group of Research Committee is currently determining CSFs and KPIs to
support the University' Research Strategy; this includes determining methodology
for establishing further PG intake targets. Chair of GDC is a member.
The development of a more applicant-centred institutional
admissions policy.
A Task and Finish Group is to be established during 2006-7 under the aegis of
ASQC to progress the development of an institution-wide 'Admissions Framework',
which will concentrate on selection and offer-making and their fairness, consistency
and transparency. Membership of the Task and Finish Group will include
Postgraduate Admission Tutors.
_________________________________________________________
The updating of the guidance given to selectors, supported by
seminar sessions.
______________________________________________
To be addressed through the 'Admissions Framework' (see above).
The review of applicant and admission management information
Standard management information reports received by October 2006 meeting of
GDC. Agenda item A12 refers further.
– including, specifically, the monitoring of conversion rates and
'turn-around' targets.
________________________________________________
2. The Postgraduate
Portfolio
The development of a more co-ordinated approach to tiered and
progressive research student induction – considering timing,
content, information issues, and the needs of part-time/distant
students.
See Agenda item A11.
The consideration of key points of principle in respect of
postgraduate provision, their formats, structures, assessment, as
applicable, including where that provision is new and innovative.
New Professional Doctorate approved for commencement of 2006-7; exit point
awards to be clarified under Agenda item A8.
See Agenda item A7.
3. Quality and Standards
The continued delivery and development of the Annual Review
and Evaluation process (including the consideration of issues
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Area of activity
Priority area/ performance indicators
Progress against priority area/performance indicators
arising from the reports of external examiners)
___________________________________________________
__________________________________________________________
The establishment of a Code of Practice for the dissertation stage
of Master's programmes, using the Code for Research Degrees as
a reference points for the key issues.
See Agenda item A7.
_______________________________________________
_________________________________________________________
A particular focus on all various aspects of provision for part-time
students (- initially, PGR), to ensure equitability of experience
against full-time counterparts.
Specifically incorporated into Annual Review and Evaluation.
Report received by GDC at its October 2006 – more detailed management
information and, potentially, a survey of part-time PGR students to result, in order to
further progress this matter.
See also 'section on 'skills'.
_______________________________________________
Establishment of clearer definitions of the entitlements of PGR
students, including post-registration and post-examination stages.
_______________________________________________
The implementation of the Assessment Strategy – ensuring that
postgraduate programmes are fully considered; in respect of PGR,
ensuring relevance to progression and final assessment and the
connectivity between the two, to reinforce understanding of award
criteria throughout the programme.
Registry has established an internal group (the TAP Group) to consider assessmentrelated matters in an integrated and holistic manner.
__________________________________________________________
_______________________________________________
Routine report received by GDC October 2006.
The monitoring of PhD completion rates in support of the
institutional objective to improve this KPI.
A sub-group of Research Committee is currently determining CSFs and KPIs to
support the University' Research Strategy; this includes consideration of PhD
completion rates. Chair of GDC is a member.
_______________________________________________
Training for teaching: the establishment of a co-ordinated
approach to connect various initiatives and ensure they are
centred around PCUTL as a logical touchstone for activity in this
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Area of activity
Priority area/ performance indicators
Progress against priority area/performance indicators
area.
________________________________________________
Development of the Student Information Management System
'Research Module'.
Work is ongoing: the target date for delivery of first stage is 1 April 2006 – this will
support basic administrative processes associated with examination and the
monitoring of student progress. (Further development and implementation will be
progressed in consultation with Schools and Graduate Schools.)
__________________________________________________________
The establishment of an institutional English Language Policy for
PGR students.
At its October 2006 meeting, GDC recommended that the English Language Policy
previously agreed for taught students be equally applied to PGR; this was approved
by Senate November 2006.
_______________________________________________
(a) Regulations
(b) Supervision
The consideration of an institutional position on collaborative PhD
arrangements – e.g. 'Co-Tutelle' (under the University's
collaborative awards framework, and with a view to the Bologna
process).
Consideration of how we monitor at institutional level the minimum
experience and skills of supervisory teams to assure itself of the
equitable treatment of students.
________________________________________________
This matter, raised specifically by the QAA Special Review team, was highlighted in
the guidance for the latest round of Annual Review and Evaluation (but will require
further action).
____________________________________________________________
Review of how support and information can best be provided to
supervisors, including external supervisors.
GDC received a report on supervisor training, October 2006; institution-wide
supervisor training sessions arranged and part-delivered for 2006/7. Further
development is to be considered by the Directors of Graduate Schools group –
acting as a 'Task and Finish' group of GDC.
___________________________________________________________
Review of the implementation of formal record keeping of
supervisory meetings.
________________________________________________
Consideration of how we ensure that the production of the
Research Plan, including training needs analysis is being fully
19
This matter, raised specifically by the QAA Special Review team, was highlighted in
the guidance for the latest round of Annual Review and Evaluation (but will require
06/714
Area of activity
(c) Skills development
Priority area/ performance indicators
Progress against priority area/performance indicators
operated across all Schools.
further action).
The continued development of RSSDP co-ordinated by Graduate
Centre and Graduate Schools, and contextualised by ongoing
work of the Early Stage Researchers Strategy Group.
Routine report on RSSDP received by October 2006 meeting of GDC. This included
specific reference made to skills opportunities developed to meet the perceived
needs of part-time PGR students. (Take-up and evaluation are being monitored
during 2006-7).
This includes consideration of how the University's Training
Strategy and Implementation Plan can better meet the needs of
part-time and distant students.
See also Agenda item A10.
________________________________________________
GDC received report on PGR Development Needs Analysis October 2006 which
aimed to determine training gaps in the RSSDP; the report is being further
considered by Graduate School Management Groups.
____________________________________________________________
The continued monitoring of PDP in respect of PG students.
Specifically incorporated into Annual Review and Evaluation.
________________________________________________
The establishment of the Researchers in Residence programme.
See Agenda item A5.1.
(d) Outcomes
Review of information for research degree candidates/examiners.
____________________________________________________
Review of research degree examination processes, from
nomination of examiners to uses made of examiners' reports.
_____________________________________________________
(e) Feedback and
communications
Ensuring that 'Project Q' fully meets the needs of research
students and those involved in the management of research
student activity
See Agenda item A3 (- progress reported under Matters Arising).
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4. Overseeing activities
of Graduate Centre and
Graduate Schools
Acting as the parent institutional committee to oversee the
continued development of the Graduate Centre and Graduate
Schools (specifically, student-related matters).
This includes overview of a review of Graduate School activity
during 2007.
5. External environment
The consideration of matters arising as a result of external
imperatives as they manifest – e.g. QAA, research councils. This
may be responsive or predictive.
6. Management
Information –
maximising the use of
evidence sources
Ongoing review and improvement to Management Information
(qualitative and quantitative) in support of the Committee's
business.
At its October 2006 meeting GDC received and endorsed Management Information
reports; further developments requested.
See also Agenda item A12.
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