University College Cork
Office of Corporate and Legal Affairs
Strategic Plan
2009 - 2012
Contents
1.
Background
2
2.
Context
2
3.
Functions of the Office of Corporate and Legal Affairs
4
4.
Values
6
5.
Our Stakeholders
6
6.
Our Mission
6
7.
Capability – Environmental Analysis
7
8.
Our Vision
7
9.
Key Strategic Assumptions
8
10.
Strategic objectives
8
11.
Link to University Objectives
11
12.
Risks to Implementation
11
13.
Targets and Operational Plan
12
14.
Office Structure
18
15.
Staff / Skills
19
16.
Style
19
17.
Review
19
1
1. Background
The Office of Corporate and Legal Affairs [“OCLA”] has undergone significant change in recent years. The
Office was under the direction of the Secretary & Bursar up to 2005 and was part of a wider function which
included the Finance Office and Buildings and Estates. From 2005-2007 the Office was under the
direction of the Secretary/Chief Legal Officer followed by an interim period under the Administrative
Secretary. Since May 2008 the current title and functions have been operative and a number of student
and campus services, formerly under the direction of the Office, have been transferred to newly
established areas. This was a very specific policy decision which has given the OCLA very clear and
focussed responsibilities within the University Structure and defined responsibilities to the Corporate
Secretary as part of the University Management Team.
2. Context
This Plan has been developed as part of the University-wide planning process. It is intended to assist the
early development of a Strategic Plan for the University from the Strategic Framework in place since
2006. This planning process has identified five Strategic Goals for the University for 2008-2012:





Improve the Student Experience
Improve the Staff Experience
Increase Research Output
Strengthen External Engagement
Strengthen the Resource Base
The Office of Corporate and Legal Affairs [OCLA] has considered its role with respect to these objectives
and the functions it is charged with by the University in relation to Governing Body, Secretarial Matters,
Legal Affairs, Compliance, Risk Management and Insurances. The objectives outlined for the Office for
2008-2012 are what the OCLA considers central to fulfilling the remit of the Office and responding to the
five objectives set by the University for that period.
2.1 External Environment
Universities function in an ever-more complex and onerous environment in which the Objects of the
University, as set down in the Universities Act, 1997, have been augmented by the requirements of
Government policy and initiatives, developments in governance and management including the HEA Code
of Governance of Irish Universities, an increasing raft of legislation which applies to universities, and the
expectations of universities which flow from their position as publicly-funded bodies.
Some of the challenges which follow from this changed environment include:
Governance





Greater Accountability
Openness and Transparency in the conduct of business
Increased Governance Standards
Increased emphasis on Risk Management and Internal Control
Governance challenges arising from size and complexity and changed structures





Strategic Direction and Planning
Implementation, Monitoring and Review
Modernisation of Structures to align with Strategy
The clear alignment of strategy to Government Policy
Competitive Positioning of the University in both the medium and long term
Strategy
2
Academic Independence

Autonomy








Funding- reliance on government
The impact of targeted / strategic funding
Sources of independent funding
Financial Sustainability
Value for Money
Procurement
Borrowing requirements and the Framework controlling borrowing
Remuneration and salary scales
Finance
Core Business





Students – Numbers / Quality / Sources / Equality of Opportunity – Access
Fourth Level – national policy on Fourth-Level and the expected increases in postgraduate numbers and PhD graduates
Non-Traditional Students
The Student Experience
Teaching and Learning – Quality / Assessment / Facilities / Technology
Research



An increasingly competitive environment for research funding
More extensive and intensive collaborations with other universities in Ireland and abroad
and with commercial parties
Greater emphasis on Intellectual Property and its Commercialisation
Compliance




Audit and Internal Control
Compliance with a multitude of statutory requirements such as Freedom of Information
Act, Ethics in Public Office Act, Data Protection Act, Protection of Employment (Fixed
Term Employees) Act, Official Languages Act etc.
Pending legislation such as the Charities Bill and extension of the Ombudsman
Legislation to universities
Employment and Equality legislation
Legal Environment

An increasingly litigious environment and recourse to external bodies and the Courts for
resolution of disputes
Competition





Globalisation
International Student Recruitment
The need for differentiation from competitors both national and international
University League Tables
Recruitment and Retention of the best staff
3
Accountability

More sustained scrutiny and interest from media, funding agencies, Government and
other stakeholders.
Many of the foregoing challenges inform the University’s Strategic Plan and the internal context in which
the planning process is taking place.
2.2 Internal Environment
The Internal Environment is influenced strongly by the external factors outlined above and also includes:












The impact of funding policy decisions of Government on the ability of the University to
fulfill its remit
Revised governance structures at Governing Body and University Management Team
level
The process of restructuring the University into Colleges and Schools and the impact of
that restructuring in terms of governance, accountability arising from such delegated
authority, policy, controls, statutes, rules etc.
The revision of University Statutes and Regulations to reflect changed structures and a
changed environment
The need to enhance the Student Experience in terms of Teaching and Learning, Student
Services, accessibility of the campus, opening hours and campus life at weekends
The development of a shared vision and changes necessary to the culture of the
organization to encourage high performance and commitment
Focus on internal resolution of disputes when they arise
The effectiveness of internal and external communications including website
communication
Shared strategy across Colleges and Research Institutes
The Governance of Research Institutes
The physical space necessary to fulfill the University’s ambitions
Increasing funding from non-exchequer sources
3. Functions of the Office of Corporate and Legal Affairs
The Office of Corporate and Legal Affairs is responsible for the management of the University's Corporate,
Legal, Secretarial, Insurance and Risk Management functions. Part of the remit of the Office is to support
and enhance the academic endeavor by upholding the highest standards of risk management, probity and
accountability, by complying proactively with statutory and regulatory requirements and by ensuring
effective, transparent and accountable governance in line with best practice.
Every aspect of Governing Body administration is carried out by the Office. The Corporate Secretary, as
Head of the Office, is also the Secretary of the Governing Body and the Office of Corporate and Legal
Affairs provides administrative support to Governing Body Committees.
In recent years as the consciousness of legal action and consequent activity grows, the scope of legal
advice and work involved in the defence of legal actions has expanded. The Office of Corporate and
Legal Affairs provides, either directly or through the assistance of a number of legal firms, detailed legal
advice to Departments and Offices within the University, in areas of legislation and regulatory compliance,
property and related matters, procurement and EU procurement directives, litigation and dispute
resolution, commercial and company law, tax law, intellectual property and general issues. Responsibility
for compliance with legislation and the regulatory framework by the University rests with the Office of
4
Corporate and Legal Affairs.
legislation.
This includes Freedom of Information , Data Protection and Copyright
The statutes and regulations of the University are drafted, processed and promulgated by the Office.
The University’s Strategic Framework, as one of its aims under Governance and Management, sets as an
objective:
“ [to] support and enhance the academic endeavour by upholding the highest standards of
financial, resource and risk management, probity and accountability, by complying proactively
with statutory and regulatory requirements, and by ensuring effective, transparent and
accountable governance in line with best practice”.
The Office of Corporate and Legal Affairs is key to realising this objective.
In summary, the Office of Corporate and Legal Affairs is a central administrative function of the University
dealing with:






Corporate Governance – Governing Body, GB Committees, - coherence in governance
across the institution
Secretarial Matters – including Governing Body Administration and University subsidiary
companies, legislation, statutes, regulations, rules
Management of the University’s Legal Affairs – advice, contracts, property, litigation,
employment [in conjunction with Human Resources]
Management of Compliance - with a broad spectrum of legislation such as Freedom of
Information, Data protection, Copyright, Ethics in Public Office Acts, Official Languages Act
etc.
Risk Management – Establishment and embedding of risk management across the
University.
University Insurance matters – management of procurement, cover, claims, advice,
litigation etc.
5
4. Values of the OCLA
In the Office of Corporate and Legal Affairs we value:

professionalism as demonstrated through communication, people focus, diligence, helpfulness,
exactness, thoroughness, commitment and knowledge;

integrity as demonstrated through independence and confidentiality.
5. Our Stakeholders
We consider our Stakeholders to be the following:
a.
b.
c.
d.
e.
f.
g.
h.
Chairperson & Governing Body
President & University Management Team
Committees and Committee Chairpersons
Heads Of College / Schools / Departments
Students
Staff
External providers of professional services
Public
6. Our Mission
We provide advice, support and service to the University Governing Body, the President, Senior
Management and the University Community with professionalism and integrity on legal issues,
governance and secretarial matters, compliance, risk management and insurance.
6
7. Capability – Environmental Analysis - Strengths, Challenges,
Opportunities and Threats
Strengths
 Dedicated and hardworking staff;
 Organisational skill;
 Knowledge of University Statutes and Legislation;
 Strong “can-do” attitude;
 Reliability;
 Teamwork under pressure;
 Good relationship with other University Offices/functions;
 Administration of meetings;
 Links with similar functions in the other six universities.
Challenges
 Office structure;
 Need for clearer individual role definition;
 Internal legal skills;
 To establish a staff development programme;
 To develop a procedures handbook;
 Risk management skills and expertise;
 Developing career prospects;
 To establish balance, fun and flow at work;
 Work pressure – not enough time.
Opportunities
 New structure will enhance the Office;
 New president invites greater involvement;
 Support required by new Colleges;
 The development of Alternative Dispute Resolution and its potential impact on employee
relations;
 Collaboration with similar functions in other Universities;
 Emphasis on compliance and governance externally.
Threats
 Increasing volume of work impacting efficiency;
 Likely cuts in funding and resources;
 Possible staffing embargo;
 Sudden departure of a staff member;
 Lack of a coherent strategy - Office/University – cross purposes;
 Four colleges – if lacking in coherent governance.
8. Our Vision






An effective contribution being made by the Office to the University’s Mission and Strategic Plan;
An efficient and effective Governing Body and Governing Body Committees;
Clear and robust systems of governance in the University;
Reduced levels of legal action and fair and effective systems of internal dispute resolution;
Greater internal expertise on legal matters and alternative dispute resolution;
More effective compliance with legislation and reduced impact on staff ;
7



Risk Management embedded across the University;
Coherence between the University’s Strategy, Risk Management and Internal Controls;
An effective, efficient and pleasant Office which provides a challenging and supportive place to
work.
9. Key Strategic Assumptions







10.
Continuing strong emphasis on governance, accountability and transparency nationally and
internationally;
Increasing emphasis from regulatory and statutory bodies on risk management and internal control;
Focus on University autonomy and the importance of robust systems of governance in protecting
such autonomy;
Continuing development of legislative framework and consequent increasing levels of compliance
requirements;
Ever-increasing levels of sophistication of dispute resolution;
The need for clarity and simplicity in the rules by which the University is governed;
Continuity in staffing levels and support.
Strategic Objectives of the OCLA
Governance
& Secretarial
Legal Affairs
Compliance
Risk /
Insurance
To ensure bestpractice
governance across
the University and
provide highquality Secretarial
support to
Governing Body
and GB
committees
Ensure coherence
of Governance
across the
University, GB,
UMT, AC, Colleges
Provide accurate,
independent legal
advice and reduce
the exposure of
the University to
legal action and
external dispute
resolution
Ensure
compliance with
existing and
emerging areas of
legislation thereby
reducing risk and
enhancing the
University’s
reputation
Resource Legal
Affairs with a
solicitor for
technology transfer,
legal agreements,
leases, licenses,
staff briefings and
student discipline.
Continue to comply
with FOI and DP
requests on time
and within the
legislation
Establish and
embed risk
management at all
levels of the
Institution and
continue to
provide high
quality advice and
support on
insurance issues
Resource Risk
Management and
establish the
function
Ensure clear
separation of
Governance &
Management
Provide accurate
and timely legal
advice to University
Officers and Heads
of College
Provide best
practice guidance to
management and
staff of the
University on
compliance with the
Universities
legislation and other
relevant legislation
Deliver good claims
management to
minimise cost and
provide insurance
advice in an efficient
and accurate
manner
Enhance
communication
within the University
through improved
website
Consolidate
Provide an efficient
Ensure compliance
Finalise and monitor
Restructure the
8
Cross Function
Ensure that the
structure and
functioning of the
Office is fit for
purpose in support
of the
implementation of
this Plan and the
University’s
Strategic Plan
Enhance the
knowledge
base and skills of
staff of the Office
Governance
& Secretarial
Legal Affairs
Compliance
Risk /
Insurance
To ensure bestpractice
governance across
the University and
provide highquality Secretarial
support to
Governing Body
and GB
committees
University Statutes
Provide accurate,
independent legal
advice and reduce
the exposure of
the University to
legal action and
external dispute
resolution
Ensure
compliance with
existing and
emerging areas of
legislation thereby
reducing risk and
enhancing the
University’s
reputation
contract
management
service to the
University
Community
in a practical
manner with Ethics
Acts, FOI Acts,
DP Acts,
Copyright Acts,
Official Languages
Act
Establish and
embed risk
management at all
levels of the
Institution and
continue to
provide high
quality advice and
support on
insurance issues
the University’s
Fundamental Risk
Register
Complete the
implementation of
the HEA Code Of
Governance
Enhance the
research activities of
the University
through support on
contract neg. and
administration
Prepare for and
ensure compliance
of the University
with the Charities
legislation
Embed risk
management across
University Colleges,
Schools and
Departments
Enact clear and
explicit Signing
Authority for Central
Administration and
Four Colleges
Source the most
independent,
accurate and up-todate legal advice for
the University at the
most economically
advantageous rates
Ensure close
monitoring of risk at
all levels of
University operation
Support the
Colleges with clear
advice on
governance matters
Put in place policies
with regard to legal
action and legal
costs and defined
levels of service
from legal firms
Develop systems
which ensure
compliance in a
practical manner
without greatly
increasing the
admin burden on
staff
Enhance liaison with
external agencies
such as the Data
Protection
Commissioners
Office thus
expanding the
sources of advice
and support
available to office
staff
Provide advice,
guidance and
expertise to senior
management on
Risk Management
Collaborate with
the other
Universities and
stay current on
legislative issues.
Advise on and
assist with the
improvement of
University
management
structures to ensure
good governance
Enhance the skills
of University staff in
management
positions through
the provision of
briefing materials
and training
sessions on legal
Prepare and brief
staff on the
implications of the
extension of the
Ombudsman
legislation to
Universities
Link the Risk
Register of the
University to the
Work Schedule of
the Internal Audit
function
Devise proactive
approach
to
advising
and supporting the
Four Colleges on
the
areas
of
responsibility of the
9
Cross Function
Ensure that the
structure and
functioning of the
Office is fit for
purpose in support
of the
implementation of
this Plan and the
University’s
Strategic Plan
Office
and clarify
roles,
responsibilities
and reporting
relationships.
Hold individual
informal
development
reviews on 6monthly
basis looking at
role,
goals, development
Enhance teamwork
in the OCLA
Governance
& Secretarial
Legal Affairs
Compliance
Risk /
Insurance
To ensure bestpractice
governance across
the University and
provide highquality Secretarial
support to
Governing Body
and GB
committees
Provide accurate,
independent legal
advice and reduce
the exposure of
the University to
legal action and
external dispute
resolution
Ensure
compliance with
existing and
emerging areas of
legislation thereby
reducing risk and
enhancing the
University’s
reputation
Establish and
embed risk
management at all
levels of the
Institution and
continue to
provide high
quality advice and
support on
insurance issues
and contractual
matters
Cross Function
Ensure that the
structure and
functioning of the
Office is fit for
purpose in support
of the
implementation of
this Plan and the
University’s
Strategic Plan
OCLA
Lead, or contribute
to, the review of key
University policies
and procedures
To provide advice
and support to the
Student Discipline
Committee and
Student
Ombudsman thus
ensuring
appropriate and
relevant procedures
for dealing with
student difficulties
Monitor emerging
legislation and
prepare for its
implementation
where necessary
Monitor uninsured
risks and put cover
in place where
possible/economic
Ensure that the
restructured Office
provides the most
cost effective
service to the
University
Review wholly
owned and campus
companies and
develop policy on
same
Establish a system
of Alternative
Dispute Resolution
in the University to
minimise external
adjudication
Support the
implementation of
UCC Scheme under
the Official
languages Act
Document Office
Policies and
Procedures
Enhance the
efficiency of
Governing Body and
GB Committees in
line with Governing
Body Effectiveness
Review
Develop a proactive approach to
legal affairs through
advice and briefing
to University
management to preempt legal
difficulties
Contribute as
appropriate to the
development of
supporting
documentation in
the research area
such as
submissions,
memoranda of
understanding etc.
Establish policy on
initiation and
management of
legal action and the
Continue to work
with Buildings and
Estates and the
Health and Safety
Office to follow
through on the
outcome of
insurance claims
Establish and
support the Risk
Management
Committee of UMT
Review specific
areas of insurance
cover to ensure
adequacy
Ensure all staff are
trained in the use of
the new FMS
System and agree
sign off authority on
invoices
Enhance
Communication with
staff from GB, GB
Committees and
other University
Committees such as
UMT
Strengthen external
links with the HEA
and IUA and with
external providers of
10
Implement
significant saving in
pay budget through
revised structure
and non-pay budget
through reduced
legal costs
Governance
& Secretarial
Legal Affairs
Compliance
Risk /
Insurance
To ensure bestpractice
governance across
the University and
provide highquality Secretarial
support to
Governing Body
and GB
committees
professional
services
Provide accurate,
independent legal
advice and reduce
the exposure of
the University to
legal action and
external dispute
resolution
Ensure
compliance with
existing and
emerging areas of
legislation thereby
reducing risk and
enhancing the
University’s
reputation
Establish and
embed risk
management at all
levels of the
Institution and
continue to
provide high
quality advice and
support on
insurance issues
Cross Function
Ensure that the
structure and
functioning of the
Office is fit for
purpose in support
of the
implementation of
this Plan and the
University’s
Strategic Plan
distribution of legal
costs within the
University
Review the size and
composition of the
Governing Body
prior to the end of
the term of office of
the current GB
Develop
Governance
Guidelines for the
University which set
out clearly the
structures of the
institution and the
relevant authorities
and accountabilities
11.
Link Office to University Objectives
The Objectives for the Office of Corporate and Legal Affairs are linked to the Five Objectives for the
University [where relevant] through the colour-coding below:
Improve the
Student
Experience
Improve the Staff
Experience
Increase
Research Output
Strengthen External
Engagement
Strengthen the
Resource Base
12. Risks to the Implementation of OCLA Strategy







Funding cutbacks curtailing staffing;
Failure to complete University restructuring leading to lack of clarity and incoherence in structure,
authority and accountability;
Inadequate resources and/or support in embedding risk management across the University;
Failure to complete the consolidation of Statutes and Regulations or agree new Principal Statute;
Lack of resources or unwillingness to establish or work a system of Alternative Dispute Resolution;
An insufficient level of teamwork in the University management Team to tackle cross-functional
University issues;
Lack of ‘buy-in’ by senior managers into new areas of compliance.
11
13. Targets - Operational Plan
Strategic Initiatives for Q4 2008 to Q3-2009
Governance and Secretarial
Enact clear and explicit Signing Authority for
Central Administration
Timeframe
KPI
Owner[s]
Q4 08
and Four Colleges
Q3 09
MF in
conjunction with
Bursar and
Finance Officer
Ensure clear terms of reference for the
University Management Team and President’s
Top Level Management Team
Q4 08
Finalise Code of Practice for Governors
Q4 08
Finalise Code of Practice for Employees under
the HEA Code
Q4 08
Develop Governance Guidelines for the
University
Enhance the efficiency of Governing Body and
GB Committees in line with Effectiveness
Review
Q1 09
Commence the project to consolidate University
statutes and regulations
Q4 08
Review wholly owned and campus companies
and develop policy on same
Q2 09
Enhance Communication with staff from GB, GB
Committees
Q4 08
Advise on the review of the Duty of Respect and
Right to Dignity Policy
Q4 08
Improve the presentation and quality of
information and the timeliness of delivery of
Q1 09
Signing
Authority
document
approved by
UMT and
Governing
Body
Terms of
reference
agreed by
President, TMT
and UMT
Governing
Body approval
of Code
Union, UMT
and Governing
Body approval
UMT and GB
Approval
Improved
feedback on
next GB
effectiveness
review
Working Group
running and
agreed project
timescales and
deliverables
Clear policy
and guidelines
on related
companies in
line with
HEFCE
guidelines
Improved
website
structure and
material –
more proactive
communication
Revised policy
to UMT and
GB
Improved
content and
Q1 09
12
MF and MW
MF and GB
Working Group
MF and HR
MF, BH, BT
MF,BH, BT
MF and BH
MF, BH, HOK
in conjunction
with Finance
Office
MF, BH,BT and
Staff of the
OCLA
MF to support
the work of
committee
MF, BH and BT
papers to Governing Body
Work with Bursar and Finance Officer to respond
to Governing Body concerns regarding the
adequacy of Governing Body consideration of
the University budget and Annual Accounts
Q2 09
Improve communication with Governing Body
members between meetings
Q4 08
Draft and finalise Governance Guidelines for the
University
Q2 09
Finalise Governing Body Policy on Reserved
Business and policy on access to professional
and legal advice
Q1 09
Review Governing Body Policy on access to files
Q2 09
Finalise policy on the role of Secretary to the
Governing Body
Q4 08
Legal Affairs
Resource Legal Affairs with a solicitor for
technology transfer, legal agreements, leases,
licenses, staff briefings and student discipline.
Q4 08
13
layout of
papers and
greater liaison
with other
University
Offices to
ensure on-time
delivery of
reports
Improved
information
and briefing for
Governors on
the Budget and
Accounts and
greater time for
consideration
of same
Information on
the GB
Website in
area restricted
to Governors –
more frequest
e-mail on
University
news/events
A clear
document
outlining the
governance
and
management
of the
University and
the relevant
authorities and
accountabilities
Policies
approved by
Governing
Body
Revised policy
approved by
Governing
Body
Policy
approved by
Governing
Body
Solicitor
appointed and
in place
MF with Bursar
and Finance
Officer
BH and BT
MF
MF and BH
MF and BH
MF
MF
Provide accurate and timely legal advice to
University Officers and Heads Of College
Q4 08
Enhance the research activities of the University
through support on contract negotiation and
administration
Q4 08
Source the most independent, accurate and upto-date legal advice for the University at the most
economically advantageous rates by putting the
University’s legal services out to tender.
Q2 09
Put in place policies with regard to legal action
and legal costs and defined levels of service
from legal firms
As part of the Policy on legal action put in place
guidelines for reporting to Governing Body on
legal action
Provide advice and support to the Student
Discipline Committee and Student Ombudsman
thus ensuring appropriate and relevant
procedures for dealing with student difficulties
Q4 08
Establish regular [at least 3 annually] case
reviews with University Legal firms, Insurance
Brokers, University Officers
Q4 08
Q4 08
Q4 08
Compliance
Continue to comply with FOI and DP requests on
time and within the legislation
Cont.
Provide best practice guidance to management
and staff of the University on compliance with
the Universities legislation and other relevant
legislation
Cont.
Prepare for and ensure compliance of the
University with the Charities legislation
Q1 09
Prepare and brief staff on the implications of the
extension of the Ombudsman legislation to
Universities
Q1 09
Review compliance procedures to ensure
completeness and to minimise burden on staff
across the University
Q4 09
14
Procedures
agreed with
staff of OCLA
Solicitor in
place and
providing
advice and
support
Procurement
Exercise for
legal services
MF, BH, HOK
and OCLA Staff
Policies
approved by
UMT and GB
Policies
approved by
UMT and GB
Support roles
of OCLA staff
for SDC and
Student
Ombudsman
agreed
Reviews
established
and functional
MF, BH and
HOK
Responses
within
timeframes
Provision of
accurate
advice
COS
University’s
preparatory
work for
approval under
new Charities
regime
completed and
submitted
Briefing to
Senior
Management
and University
staff on the
Ombudsman
legislation
Greater
assurance on
compliance
and more
HOK
HOK and SH
MF, SH, HOK
and relevant
University
Officers
MF, BH, BT
BH , AM and
SH
MF , HOK and
SH
MF and BH
COS
COS and MF
streamlined
processes for
management
of compliance
matters
Risk / Insurance
Resource Risk Management and establish the
function staffed with Risk Officer
Deliver good claims management to minimise
cost and provide insurance advice in an efficient
and accurate manner
Finalise and monitor the University’s
Fundamental Risk register
Q1 09
Cont.
Q4 08
Provide advice and guidance and expertise to
senior management on Risk Management
Cont.
Monitor uninsured risks and put cover in place
where possible/economic
Cont.
Continue to work with Buildings and Estates and
the Health and Safety Office to follow through on
the outcome of insurance claims
Cont.
Establish the Risk Management Committee of
UMT
Q4 08
Conduct review of contents insurance under the
University’s PD/BI insurance cover
Q4 08
Cross Function
Enhance the knowledge
base and skills of staff of the Office
Q1 09
Re-design OCLA website for usability
Q4 08
Restructure the office and clarify roles
responsibilities and reporting relationships.
Q4 08
15
Appoint Risk
Officer
Efficient claims
management
MF
Risk Register
finalised with
actions and
review periods
specified
Appropriate
and up-to-date
advice on Risk
Management
New cover
where
necessary and
available
Completion of
works arising
from risk
assessment of
insurance
claims
Risk
Management
Committee
established
and operating
Review
completed and
any necessary
adjustments to
cover
implemented
MF
Development
needs
assessment
New more
intuitive and
functional
website
Re-allocation
of
responsibilities
and clarity of
BH and OCLA
staff
RH and AM
MF and Risk
Officer
MF and RH
RH, AM and
B&E
MF
RH and MF
BH and Staff of
OCLA
MF
Hold Individual informal development reviews
on 6-monthly basis looking at role, goals and
development
Q2 09
Ensure all staff are trained in the use of the new
FMS System
As part of the implementation of new FMS
System agree sign off authority on invoices
Q4 09
Devise proactive approach to advising and
supporting the Four Colleges
Q1 09
Conduct full review of this document and its
implementation and set objectives for 2011 2012
2010
Q4 08
roles within the
OCLA on same
6-monthly
reviews with
staff of OCLA
to assess
progress and
set objectives
Training
completed
Signing
authority
agreed
Colleges clear
on the support
available to
them from the
OCLA
Revised Plan
for final two
years of
planning cycle
MF
BH
MF and Staff of
the Office
MF, BH and
Staff of OCLA
OCLA Staff
Strategic Initiatives for Q4 2009 - 2012
Governance and Secretarial
Ensure Coherence of Governance across the
University, GB, UMT, AC, Colleges
Timeframe
KPI
Owner[s]
2010
Consolidate University Statutes
Q4 09
MF in
conjunction with
University
Officers such as
Senior VP
Academic and
Heads of
College
MF, BH and
Statute
Consolidation
Working Group
Implement the HEA Code of Governance
Q4 09
Finalise outstanding items arising from
Governance Audit in 2007
2010
Conduct further audit of University Governance
2011
Review the size and structure of the Governing
Body in advance of GB elections for 2012
2011
Clarity on
the role and
function of
each
University
body in the
governance
structure
Principal
Statute,
Transition
Statute
Pension
Statute and
Regulations
agreed by
IUG, AC and
GB
All aspects
of the Code
implemented
All issues
arising from
Audit
completed
Audit
conducted
Review
completed
Legal Affairs
16
MF, BH, BT
MF, BH, BT
MF, BH, BT
Chair of GB, MF
and GB
Enhance the skills of University staff in
management positions through the provision of
briefing materials and training sessions on legal
and contractual matters
Q4 09
Web
materials
and briefing
sessions
HOK
Establish a system of ADR in the University to
minimise external adjudication.
Q4 09
System if
Internal
agreed
MF, BH with HR
Cont
Compliance
procedures
which
minimise
impact on
workload
System for
monitoring
Bills going
before the
Oireachtas
and relevant
Ministerial
Orders
COS
Work
schedule of
Internal
Audit linked
to Risk
Register
Risk
Management
part of
management
processes
and thinking
Risk
Management
part of
management
processes
and thinking
Risk
Strategy
finalised and
agreed
Risk Policy
finalised and
agreed
MF, Risk Officer
and Internal
Audit
Clear lines of
Staff of OCLA
Compliance
Develop systems which ensure compliance in a
practical manner without greatly increasing the
admin burden on staff
Monitor emerging legislation and brief Senior
Management on the implications for the University
Risk / Insurance
Link the Risk Register of the University to the
Work Schedule of the Internal Audit function
Cont.
Q4 09
Embed risk management across University
Colleges, Schools and Departments
2010
Ensure close monitoring of risk at all levels of
University operation
2010
In conjunction with the Risk management
Committee establish University Risk Strategy
Q4 09
In conjunction with the Risk management
Committee establish University Risk Policy
Q4 09
Cross Function
Enhance teamwork In the OCLA
Cont
17
COS and HOK
RO
RO
MF
MF
Collaborate with the other Universities and stay
current on legislative issues.
Cont
Document Office Policies and Procedures
Q4 09
responsibility
but flexibility
of staff in
providing
overall
service to
the
University
Monitoring of
Bills
presented to
Oireachtas
and likely
impact on
the
University
All main
policies and
procedures
in OCLA
documented
MF
OCLA Staff
14. Office Structure
Office of Corporate and Legal Affairs
Secretariat
Legal
Affairs
Compliance
Risk Mgt./
Insurance
The structure of the Office will be revised based on the following changes which have been or are due to be
implemented and which are required for the implementation of this Plan:
1. Appointment of Corporate Secretary
2. Non-filling of the post of Administrative Secretary
3. Restructuring – in particular the re-location of student services which formerly reported to the
Administrative Secretary to the Vice-President for the Student Experience
4. Re-location of Audio-Visual Services in line with University restructuring
5. Delegation of responsibility for certain secretarial and compliance functions within the Office
6. The responsibility of the Office under the revised structure for Legal Affairs and Risk Management
7. The staffing and skills necessary to implement this Plan for the Office
8. The necessity to ensure value for money in the use of University resources.
18
15. Staff / Skills
Additional skills in the areas of Legal Affairs and Risk Management will be required in the Office.
Staff Training
The enhancement of the skills of current staff members, particularly in light of increased responsibility, will
be a key objective during the life of this Plan. Particular roles such as Head of Secretariat and Information
Compliance Officer will generate specific training and development requirements, as will the enhanced
roles of administrative support staff in the Office in areas such as minute taking etc.
Review
It is proposed that six-monthly reviews will be conducted with each staff member to discuss progress,
highlight training and development requirements, review and set objectives etc. This will be additional to
and will facilitate the University Performance Management System currently in place.
16. Style
In implementing this Plan and in providing service and support to our Stakeholders the staff of the Office
undertake to conduct business on the following basis:






With respect for every individual - colleagues, governors, staff members, students or members of
the public with whom we come in contact;
In a timely, business-like but friendly manner;
In a co-operative and supportive tone;
With independence, honesty, fairness and integrity;
With thoroughness and attention to detail;
Confidentially where necessary.
We recognise that the responsibility for working well together is a shared one. Our response to colleagues
in other University Offices and functions will have a bearing on the kind of place UCC is to work in. Our
undertaking is that our dealings with all such other colleagues will be on the basis outlined above and will,
in that way, enhance UCC as a place to work.
17. Review
This Plan will be subject to review every six months during the period of the Plan. Review with individual
staff members will take place at similar intervals.
19