UNIVERSITY OF EXETER
College Governance Framework
1.
Executive summary
This paper sets out a clear governance model for adoption by all Colleges. It outlines
the roles and structures expected in each College and is based on current best
practice examples of leadership, management and governance. The existence of a
shared governance model will enable clearer lines of accountability and responsibility
within the institution as well as more effective communication. The model
emphasises wider dispersal of academic leadership and management throughout the
institution and a removal of boundaries to enable inter-disciplinary working and more
consistent implementation of the University’s core strategies.
2.
Introduction
2.1.
Senate and Council approved the restructuring of the academic units from nine
Schools to five Colleges in November 2009. Whilst the academic rationale was the
primary motivation for moving to Colleges, the benefits the proposal can bring in
terms of how we manage, lead and govern academic units more effectively is also
important.
2.2.
The College structure differs from the current School structure in three crucial ways:

all Colleges are of broadly comparable size

all Colleges are able to draw management and leadership teams from a talent
pool large enough to be nationally and internationally competitive

all Colleges have the capacity and flexibility to be strategic in their use of both
capital and revenue budgets
2.3.
The restructuring generates an opportunity to introduce a clear governance and
management model shared by all Colleges, whilst recognising the need for Colleges
to play variations to a common tune as subject discipline, unique market contexts,
different developmental needs and geographical locations will require Colleges to
adopt the model flexibly. The benefits of a common model broadly fall into two
categories: stronger and more sustainable academic leadership and management
and clearer and more effective governance, leadership and management throughout
the institution.
2.4
A shared management, leadership and governance model will enable further
devolution of academic leadership from Vice-Chancellor’s Executive Group (VCEG)
to the Senior Management Group (SMG). VCEG recognises that over the past 7
years much of the strategic decision-making has been driven from the top, with
agreement by the wider academic community through SMG. A cultural shift from a
dirigiste approach to one where leadership of the University is a shared enterprise
between the University Executive and College Executive will require developing
academic leadership amongst the wider academic community. The shared
governance model enhances the role of the current Directors of Research and
Directors of Education. The roles of Associate Deans create a credible and
sustainable pathway for developing academic leadership talent. As holders of both
roles will also be members of SMG, this will increase academic representation from 9
to 15 and crucially it will be easier for these role holders to form a coherent group of
five proposing strategic changes.
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2.5
The shared model further embeds academic leadership in the Colleges through the
introduction of academic leads. The development of the role of academic lead will
enable the College Executive to develop the College’s strategy through the wider
academic community. Academic leads will also play a significant role in the
management and leadership of all academic staff in the College through delegated
responsibility for Performance and Development Review (PDR).
2.6.
In addition to the academic leadership benefits, the creation of a common set and
description of key leadership roles will create a shared understanding of these roles
across the institution, and clearer lines of responsibility and accountability. It will also
lead to more effective communication between the College Executive team, VCEG
and central Professional Services. It will furthermore enable inter-College working as
colleagues in one College can identify their opposite number without any difficulty. So
adopting a common model is not simply standardisation for its own sake, but in order
to remove any administrative hurdles in the way of collaboration between Colleges
and between Colleges and central management and leadership teams and Services.
It will also enable collaboration with the Peninsula College of Medicine and Dentistry
(PCMD), our “sixth College”.
3.
Purpose of structure
College management and leadership structures will be designed to ensure that:

Colleges are able to sustain a collegiate environment conducive to academic
(disciplinary) excellence

Colleges are able to support and implement the University’s and individual
College’s ambitions and strategies

Colleges are better able to drive improvements in key performance metrics

Colleges are able to manage within their financial resources and achieve their
financial targets

Colleges promote and encourage inter-disciplinarity beyond the “College
walls”

Colleges are well-led and managed, flexible and able to adapt to a fastchanging external environment

Colleges are more external facing and more successful in securing external
income

Colleges establish effective decision-making processes which support active
participation and an entrepreneurial culture

Colleges are able to develop the College infrastructure to support the
Colleges’ strategic direction

those managing the Colleges’ resources and setting its strategy are fully
accountable and equipped to perform their roles.
4.
College leadership and management roles
4.1
The following leadership and management roles will be common across all Colleges:

Dean of College

College Manager

Associate Dean of Education

Associate Dean of Research and Knowledge Transfer
4.2
All of the above roles are University appointments and the responsibilities of these
roles are outlined in appendix 1. All four role holders will shape to the University’s
strategic direction through active membership of the University’s Senior Management
Group (SMG) and together they form the College Executive.
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4.3
Whilst ideally the Dean of College, Associate Dean of Education and Associate Dean
of Research and Knowledge Transfer are drawn from different disciplines
represented in the College as well as from the different campuses, staff are
appointed to leadership and management roles on the basis of their leadership and
management skills. Deans and Associate Deans will already be full Professors.
4.5
Depending on the subject discipline, the unique market context and the College
developmental needs, a College may choose to create additional leadership and
management roles. These roles will have a title other than Associate Dean and will
not be a member of SMG. The reasoning behind these roles will be to achieve
strategic College objectives. Additional management responsibilities will be taken
account of in the workload allocation of the role holder. No additional payments will
be made to staff taking on these management roles. Additional roles on the College
Executive Group will be proposed to the line-managing DVC for approval.
5
College governance principles
5.1.
The academic units recognised within the University are Colleges. Deans of College
report directly to the College’s line-managing Deputy Vice-Chancellor (DVC). In
his/her line-management capacity the DVC will be coaching, mentoring and
supporting the Dean in taking executive action.
5.2.
Deans of Colleges have delegated authority for the formulation of the College’s
strategy, have responsibility for the College’s budget and are accountable for the
human resources management in the College.
5.3.
Dotted reporting-lines between DVCs with University-wide portfolio’s and the
applicable members of College Executives will ensure the College Executive is
accountable for the University’s significant strategies:
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
5.4
DVC for Education dotted-line lead for Associate Dean of Education
DVC for Research and Knowledge Transfer is dotted-line lead for Associate
Dean of Research and Knowledge Transfer
DVC for Internationalisation is dotted line lead for the Dean, and Associate
Deans in terms of internationalisation
DVC for External Affairs is dotted-line lead for College Executive in terms of
external affairs
Registrar and Deputy Chief Executive is professional support lead for the
College Managers
Internal governance
The College Dean, College Manager and the Associate Deans of Research and
Knowledge Transfer and Education will have executive roles within their Colleges.
This will require the College Executive to clearly define lines of responsibility and
explicitly to articulate delegated authority from the College Dean, College Manager
and Associate Deans, ensuring decision-making is enabled inclusively at appropriate
levels in the Colleges.
The Colleges will promote distributed leadership by appointing academic leads, who
will be able to offer guidance and support to the group of staff that they lead, with the
object of enabling and promoting staff achievement. This group of academic leads
will have shared ownership of the strategy of each academic unit and will be
represented on the College Management Group.
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The College structure brings together a number of different disciplines. Successful
Colleges will be made up of strong and successful disciplines, which thrive and from
a position of strength collaborate with disciplines in the College and across other
Colleges. Heads of Discipline will enable and promote disciplinary leadership. Heads
of disciplines1 will have an important external focus in addition to their role within the
College as leaders of their disciplines. A draft role description is outlined in appendix
22.
The College is supported by a group of professional staff, some as part of the
College, some part of central professional services but embedded in the College.
Senior professional staff will be members of the College Management Group.
The development of cohesive management and leadership teams of academic and
professional staff will ensure effective management and active participation in
College level decision-making.
5.5
Delegated authority
In order to ensure there are well-defined lines of responsibility and accountability,
Colleges should adhere to the following principles of delegated authority:

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

5.6
Responsibilities and accountabilities will be clearly defined
Authority will be delegated to staff, who will be given appropriate support and
training to ensure they can fulfil the responsibilities
The person delegating authority retains responsibility for the task being
properly performed.
The College Executive publish and periodically review the official record of
delegated authority
College Executive and College Management Group
The College Dean, College Manager and Associate Deans for Research and
Knowledge Transfer and Education will make up the College Executive.
Colleges will set-up a College Management Group, which incorporates
representative academic leads and senior professional services’ staff and which
provides the College with a forum for communication, deliberation, engagement, and
consultation.
5.6
Advisory Boards, Committees, task and finish groups and informal meetings
In order for Colleges to be dynamic and nimble organisational units, able to grasp
opportunities whilst maintaining engagement and consensus across the University
community, Colleges will look to set-up appropriate structures, which ensure:



Decision-making at appropriate levels
Active participation of all College staff
Appropriate audit trails
1
Which will be referred to as Head of XXX
The role of Head of Discipline has been separated out from the role of academic lead for the purposes of this
framework.
2
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College Executives will regularly review the need for and effectiveness of College
Committees, task and finish groups and informal meetings, ensuring structures are
not reified.
Colleges should establish strategic advisory boards to support the effective
implementation of key College strategies and to enable the Colleges to become more
external facing. These boards should be convened regularly and their make up
should include supporters and alumni.
6
Professional Services Staff
The Lambert report3 recognises that cohesive leadership and management teams
made up of academic and professional colleagues often provide the most effective
leadership and management. Colleges benefit from significant numbers of
professional services staff with a wealth of experience, skills and knowledge.
Colleges through a number of service models also benefit from the centrally provided
services, paid for through the Professional Service Charge (PSC).
Professional Services staff in Colleges will be responsible to the College Manager for
the delivery of professional services within the College either through direct linemanagement reporting lines or through dotted reporting lines if the member of staff is
line-managed directly by central Professional Services’ managers.
A shared Professional Services structure has been developed for the Colleges, with
the following benefits:





7
a clearer professional profile around areas of expertise.
more effective communication and working together between staff in the
institution with the same areas of functional expertise.
more clarity around the corporate professional services delivery within
Colleges.
a consistency in student and academic staff experience;
a shared professional services culture across the institution
Communications
Effective communication throughout the College is essential for successful leadership
and management of the College.
All College staff will be invited to meet once a term in a College meeting to ensure
information is distributed to all staff and to ensure issues can be raised and
discussed by all staff with the Executive team and the College Management team.
Documents that will be made available to all staff include:

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

3
College Strategy (and links to University corporate plan and strategy documents)
College Action Plan and Risk Register
College policy documents
Workload model for staff and postgraduates
Space/Building Plans
Membership, terms of reference, minutes and reports of Committees, Boards and
Task and Finish groups
Planning Services reports
Overall College financial performance, plans and forecasts
press.homeoffice.gov.uk/documents/lambert-report-180906
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The College will in conjunction with professional colleagues in Communication
Services develop an external and internal communications’ strategy. The
presumption is that discipline or subject group names will be fore grounded in
external communications.
8
Financial Management
Financial management in Colleges will be assured through a financial framework
which details delegated authority and detailed responsibilities and accountabilities.
This will be approved through the dual assurance mechanism.
9
Equality & Diversity
The University is committed to supporting students and staff to work and study in an
environment that is free from unlawful discrimination and promotes equality of
opportunity. Colleges will work to encourage and promote a culture that welcomes
equality of opportunity and values diversity.
When developing new or revising existing policies and procedures, Colleges will
assess the impact of the proposed policy/procedure in relation to it’s consequence for
equality by conducting an equality impact assessment (EIA). EIA is the term given to
a review of a policy/procedure to ensure that it does not discriminate unlawfully and
that it is making a positive contribution to equality. Impact assessments are not only a
legal requirement, but a powerful instrument of positive change.
The process of Equality Impact Assessment will be overseen by the dual assurance
partnership for equality and diversity and supported by the University’s Equality
Impact Assessment Co-ordinator and HR Business Partners.
10
Planning
The business planning processes will be assured through a business planning
framework which is based around the following principles:
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Transparency
Objectivity and evidence based
Simplicity: not over burdensome
Utility: meeting the needs of Colleges, Professional Services and University
governance with a process that adds value.
Building on the trust between Colleges and Professional Services
College ownership with Professional Services participation and subject to
DVC approval
Timeliness
Flexibility and adaptability
Continuity: bringing processes together which otherwise remain separate
Anna Verhamme
Change Manager
26th April 2010
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Appendix 1 – College Executive Job descriptions
College Dean Job Description
The Dean provides clear and effective leadership to the College, promoting a sense of collegiality and
ambition, encouraging productivity and creativity and ensuring that the College delivers its agreed
Business Plan. As a member of the University’s Senior Management Group the Dean makes an
important contribution to the development and delivery of key university strategies such as Research,
Education, Employability and Internationalisation. (S)he ensures that the College fully contributes to
the delivery of a sustainable Top10 University.
Main Responsibilities
1.
Reporting to a Deputy Vice-Chancellor the Dean carries full budgetary responsibility and
accountability for the College and secures the financial stability of the College by diversifying
income streams and reducing reliance on government funding;
2.
The Dean provides strategic vision and academic leadership for the College, redistributing
resource, including students numbers which will be allocated at College level, to support areas
of academic excellence, whilst avoiding the creation of additional layers of management;
3.
Working across Colleges with the other four Deans, the Dean promotes interdisciplinarity
between Colleges, as well as building capacity by encouraging interdisciplinary links within
his/her own College;
4.
The Dean ensures that the College remains responsive to changes in the external environment,
making colleagues aware of relevant risks, threats and opportunities and developing and
gaining support for appropriate strategies;
5.
The Dean encourages excellence in research, working through the Associate Dean of Research
and Knowledge Transfer to ensure that the College’s research strategy fully reflects changes to
the national system of research assessment and changes to the funding environment;
6.
Working through the Associate Dean of Education the Dean promotes excellence in learning
and teaching, assuring and enhancing the quality of education, supervision and training
received by undergraduate and postgraduate students. The Dean ensures that the student
experience is further enhanced by establishing effective arrangements for pastoral care and the
monitoring of academic progression;
7.
The Dean fosters graduate employability by ensuring that employability is embedded within the
curriculum and that academic staff engage effectively in the wider employability agenda;
8.
The Dean communicates College objectives and ensures that colleagues have a clear
understanding of what is expected of them. (S)he secures whole-College commitment to the
delivery of the Business Plan through effective performance management techniques and
ensures that all College staff undertake an annual Performance Development Review; The
Dean is accountable and responsible for the HR management of all staff in the College
9.
The Dean maximises the impact of the College’s activities through their effective promotion
regionally, nationally and internationally. (S)he fosters the development of appropriate academic
partnerships and alliances and forges productive links with the business community, identifying
and cultivating opportunities for income generation;
10. The Dean is responsible and accountable for ensuring that the University’s Health and Safety
policies are fully understood and implemented throughout the College.
11. The Dean is responsible and accountable for ensuring risk is managed in the College
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College Manager Job Description
The College Manager is the most senior member of the professional staff in the College and is a full
member of the College’s Executive and the University’s Senior Management Group. As such, (s)he
will be responsible for the development and implementation of of management process in order to
support the delivery of College’s objectives. (S)he provides leadership and management to a team of
professional staff, ensuring that effective systems and structures are in place to enable the delivery of
the College’s business plan. The University regards College Managers as key to delivery of the
mission and objectives of the University. The College Manager will report to the Dean of College, with
a dotted report line to the Registrar and Deputy Chief Executive. The College Manager will be a
member of the Professional Services Management Group.
Main Responsibilities
Strategy







contribute to the development of the College strategy and constituent strategies on research,
education and internationalisation
ensure effective implementation of the College strategy and develop action plans to ensure
that the strategy is adequately resourced and supported and that performance gaps are
addressed.
develop a suite of Key Performance Indicators for the College and ensure that all members of
the College are aware of how the College is performing against its agreed comparator group,
working with colleagues in Planning Services to
monitor the delivery of the College strategy through appropriate management information
(e.g. performance on KPIs, financial information, etc.) and propose corrective strategies in
conjunction with the College Planning Group
provide advice ensuring that management and leadership structures within the College
support the overall College strategy
build links across the Colleges that facilitate decision-making
responsible for ensuring that College staff interface effectively with colleagues in Colleges
and central Professional Services, maximising the value of the University professional
support.
People Management



provide overall line management for all professional staff in the College and overall dotted
line-management to professional colleagues from central professional Services who work in a
hub and spoke model with Colleges (including recruitment, induction, development, workload
management, performance review);
develop, implement and manage policies, processes and systems relating to recruitment,
study leave, PDR, promotions, merit award, absence, workload, training and development for
all College staff, liaising with the HR Business Partner as appropriate;
review staffing plans based on the College Strategic plan in conjunction with College
Executive
Administration




The College Manager has responsibility for developing systems, structures and working
practices for effective day to day administration aiming to free up academic colleagues’ time
from administrative duties.
The College Manager will work in collaboration with the College Executive and Central
Professional Services, challenging established practices, constantly seeking new and more
effective ways of working and securing agreement to change.
ensure the College adheres fully to the requirements of the University's policies and
procedures for education and research;
responsible for the College’s quality assurance procedures, ensuring compliance with internal
and external requirements and providing support for all internal and external quality audits;
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

ensure that new and revised University policies and procedures are effectively implemented
within the College, feeding back to policy originators any concerns or difficulties that may
arise;
(S)he will work with colleagues in other Colleges and in the Professional Services to identify
best practice methods, adopting these to the particular circumstances and needs of the
College;
Financial management






develop the annual College financial plan reflecting the College’s and University’s strategy,
working with the Finance Business Partner
monitor delivery of the financial plan and propose and implement corrective action to address
variance to the plan
responsible for budgetary and financial control across the College
responsible for developing appropriate business models and pricing strategies across the
College within the University framework
responsible for developing a financial strategy which ensures the College is financially
sustainable
contribute to the continuous review of the University-wide finance strategy (including IDM,
development of SDF etc)
Infrastructure



develop with the College Executive team a College infrastructure strategy
ensure that the College infrastructure is effectively maintained and that policies are in place to
ensure it’s space and accommodation are used effectively
responsible for compliance and legislation, including health and safety
Risk management



understand risks/issues within the College
develop and maintain a risk register
take actions to reduce and mitigate risk
Partnerships


responsible for developing collaborative working relationships with Central Professional
Services Directors and College Managers across the University
responsible for building and maintaining relationships with external bodies relevant to the
Colleges (e.g. professional bodies, partners, funding bodies, statuory organisations, other
institutions, commercial partners, etc.)
Governance



ensure the College adheres to requirements of University legislation
act in the best interest of the College at all times
ensure that any decisions taken are in the context of the College and University
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Associate Dean for Research and Knowledge Transfer Job Description
The University regards the Associate Dean for Research and Knowledge Transfer as key to the
delivery of the mission and objectives of the University and central to the vision, development and
delivery of the University’s Research and Knowledge Transfer Strategy. Associate Deans will be fully
research active Professors and will continue being research active whilst holding the role.
As a member of the College Executive team the Associate Dean will provide clear and effective
leadership to the College, promoting a sense of collegiality and ambition, encouraging productivity
and ensuring the College delivers its agreed Business plan. (S)he will deputise for the Dean when
appropriate.
Specifically, the Associate Dean for Research and Knowledge Transfer is accountable to the College
Dean for meeting University research-related targets at College and Unit of Assessment level. (S)he
will provide strong and inspirational leadership for the College to enable it to achieve its research and
knowledge transfer goals and to support the University’s strategy to become an internationally
recognised research university. S(he) has delegated managerial responsibility to deliver the
University’s and the College’s research and knowledge transfer strategy. (S)he will champion the
creation, delivery and review of the College’s RKT strategies and policies in accord with the
Internationalisation Strategy; lead the design and maintenance of a high quality research portfolio;
take responsibility for the development of a vibrant and effective research environment; and build
strong capacity for Impact and knowledge exchange within the College. (S)he will lead on research
and knowledge transfer for the College, champion research and knowledge transfer across the
University, promote the Internationalisation Strategy, and contribute to the development and
improvement of other University strategies to achieve the University’s mission. (S)He will work closely
with the DVC Research and Knowledge Transfer, the Director of Research and Knowledge Transfer,
the DVC Internationalisation and the Director of International Exeter to achieve these roles.
The Associate Dean for Research and Knowledge Transfer will be a member of the University’s
Senior Management Group and be expected to make an important contribution the development and
delivery of all key University strategies.
Main Responsibilities:
Setting the vision and leading teams
The Associate Dean will set out the academic vision for a vibrant Research and Knowledge Transfer
environment and an internationally recognised portfolio of research in the College and will have the
proven leadership skills to make it happen.
Developing and managing key strategies
The Associate Dean will manage the development and delivery of strategies to enhance the quality of
the College’s research and knowledge transfer portfolio, environment, income, impact and graduate
student experience.
Promoting World Class achievement
The Associate Dean will be accountable for promoting a high achievement culture and setting and
meeting targets against all relevant research and knowledge transfer metrics and performance
indicators at College and at Unit of Assessment level including quality of research; research income,
PGR student numbers and completions and Impact measures.
Collaborating & communicating
The Associate Dean will ensure effective communication and collaboration within the College; across
the University and with user groups and stakeholders.
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Associate Dean for Education Job Description
The University regards the Associate Dean of Education as key to the delivery of the mission and
objectives of the University and central to the vision, development and delivery of the University’s
Education Strategy. Associate Deans will be fully research active Professors and will continue being
research active whilst holding the role.
As a member of the College Executive team the Associate Dean will provide clear and effective
leadership to the College, promoting a sense of collegiality and ambition, encouraging productivity
and ensuring the College delivers its agreed Business plan. (S)he will deputise for the Dean when
appropriate.
Specifically, the Associate Dean of Education is accountable to the College Dean for meeting
University targets at College and subject levels on all University education metrics, including entry
standards, NSS results and graduate employment. (S)he will provide strong and inspirational
leadership for the College to enable it to achieve its education goals and to support the University’s
mission to become an internationally recognised research university providing a rewarding and
challenging education and student experience. S(he) has delegated managerial responsibility to
deliver the University’s and the College’s education strategy(S)he will direct the creation, delivery and
review of the College’s education strategies and policies to enable and ensure the development of
inspirational and innovative learning and teaching, sustained excellence in the student experience,
and strategic renewal of the College’s taught portfolio and curriculum in accord with the
Internationalisation Strategy. (S)he will lead on education for the College, champion learning. teaching
and employability across the University, promote the Internationalisation Strategy and contribute to
the development and improvement of other University strategies to achieve the University’s mission.
(S)he will work closely with the DVC Education, the Dean of Faculty of Taught Programmes, the
Director of Academic Services, the DVC Internationalisation and the Director of International Exeter to
achieve these roles.
The Associate Dean of Education will be a member of the University’s Senior Management Group
and be expected to make an important contribution the development and delivery of all key University
strategies.
Main Responsibilities:
Setting the vision and leading teams
The Associate Dean will set out the academic vision for an excellent student experience and taught
portfolio in the College and will have the proven leadership skills to make it happen.
Developing and managing key strategies
The Associate Dean will manage the development and delivery of strategies to enhance the quality of
the College’s taught portfolio and student experience.
Promoting world-class achievement
The Associate Dean will be accountable for promoting a high achievement culture and setting and
meeting targets against all relevant education metrics and performance indicators at College and
subject levels including entry standards, NSS results and graduate employment.
Collaborate & communicate
The Associate Dean will ensure effective communication and collaboration within the College, across
the University and with user groups and stakeholders.
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Appendix 2 – Head of Discipline Role Description
(The word discipline covers subject groups and other sub-college units as appropriate)
Heads of Discipline:
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will be an academic lead for a sub section of staff in the discipline
will act as the chair of the group of academic leads in that discipline, who between them will
promote collaborative ownership of departmental/unit goals and strategies
ensure that these goals and strategies are placed within, and contribute to, broader College
and University strategies
will act as a key liaison point between the College and the discipline/unit.
will represent the Discipline externally
will manage issues around accreditation
where necessary will be involved in allocation of workload in consultation with the College
executive
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