Paper H 10/16. For Board to scrutinise and agree the levels of decisions they are delegating within LiverpoolSU

Transcription

1 Paper H 10/16 Title of Paper: LiverpoolSU Decision Making Matrix Purpose: Recommendation: Summary: For Board to scrutinise and agree the levels of decisions they are delegating within LiverpoolSU Approves the Paper The paper is split into 5 key areas and identifies the business decisions that may be necessary for LiverpoolSU and make recommendations on the role of Trustees; Sabbatical Officers; CEO and SLT and other managers. Once approved by Board the document will be shared with the wider staff team It would be good for the Board to read the paper and consider if all of appropriate decisions are included in this document and/or they are delegated appropriately Strategic Fit Financial impact: Student opinion Student impact: Risk: Contact: How do any recommendations or the area of work overall fit with LiverpoolSU s strategic plan? How do they fit with the LJMU strategic plan? None in the paper but some of the delegated decisions are financial ones. None. Aids the efficient running of LiverpoolSU to deliver for students. The matrix is designed to reduce the risk of people not knowing what they are and are not able to decide and where decisions need to be referred. If have questions you would like to discuss pre Board please contact Jane Whalen j.whalen@ljmu.ac.uk Questions - When discussing and asking questions about this paper, trustees could consider: 1. Has adequate explanation been given on the benefits, risks, alternatives or if nothing were done? 2. Has the impact for students and fit with strategic plans been sufficiently explained and are the impacts enough to take any proposals forward? 3. How and when will you know if any benefits have been achieved? 4. What will the impact be on any partner organisations or departments within LJMU or externally? 5. Could there be any unintended consequences of taking a particular action, leading to problems that will need to be resolved later.

2 The Trustee Board can make any decision at any level however to enable swift and efficient governance this document provides clear guidance of where the Board has delegated responsibility across the organisation. This guide covers; 1) Governance please note page number in brackets a. The Constitution (page 2) b. Community Trustee Recruitment (2) c. Student Trustee Recruitment (2) d. Trustee Induction (2) e. Board Performance (3) f. Monitoring Organisational Performance (3) g. Make it Happen Outcomes & Engagement (3) 2) Strategic Planning a. Creation and Approval of Strategic Plan (3) b. Monitoring of Organisational Progress (4) c. Review of Strategic Plan (4) d. Stakeholder Management (4) 3) Human Resource policy and planning a. Chief Executive Management and Appraisal (5) b. Recruitment and Selection (6) c. Staff Handbook (6) d. Staffing (7) e. Remuneration (7) f. Restructure and/or Redundancy (8) g. Disciplinary Procedures (8) h. Equality, Diversity & Inclusion (8) i. Training and Development (9) j. Trade Union Recognition (9) k. Appointment of HR advice (9) c. Funding discussions with LJMU (10) d. Capital Expenditure (12) e. Investments (12) f. Reserves (12) g. Financial Procedures Manual (12) h. Financial Reporting (14) i. Appointment of Finance Partner (15) j. Appointment of Auditors (15) 5) General business a. Representation (16) b. Risk Management (16) c. Health & Safety (17) d. Space Management (17) e. Data Protection (18) f. Complaints Procedure (18) g. Managing Contractors (19) 4) Financial Procedures a. Annual accounts (9) b. Annual Budget (10) 2 P a g e

3 The Trustee Board Sabbatical Officers CEO/SLT Budget Managers Governance The Constitution Approval of changes to constitution for submission to University Board of Governors Make recommendations on development of governing documents using feedback from Forums and wider students As Sabs and draft governing documents in line with feedback for approval of the Board Ensure constitution prepared is legally compliant Education Act Community Trustee Recruitment Membership of Trustee Selection Panel Identify skills gaps on Board Make recommendations of people who may wish to apply Chief Exec is a member of the Trustee Selection Panel Appoints appropriate recruitment agency Administer the recruitment process professionally and act as an ambassador identifying potential Community Trustees and being part of their induction Student Trustee Recruitment One sabbatical officer, one student trustee and one community trustee should make up the recruitment panel. If it is not possible for the panel to consist of one trustee from each section then at least two must be represented. Actively seek candidates Create Trustee Recruitment materials and promote the opportunities so the Panel has a strong choice of candidates Administer the recruitment process professionally and act as an ambassador identifying potential Student Trustees and being part of their induction

4 The Trustee Board Sabbatical Officers CEO/SLT Budget Managers Board Performance Agree process for ongoing review of board performance. Recommend processes for Board Review Ensure the implementation of recommendations Provide evidence that aids Board review Monitoring Organisational Compliance Make it Happen Monitor compliance with governing documents Consider termly reports in terms of engagement and delivery of Make It Happen outcomes Advise the Board of the impact of political issues raised Make amendments to Trustee induction, development and/or draft changes to the constitution as appropriate Part of each CEO Report to Board Ensure officer and key staff are supported to maximise student engagement in the Make it Happen process. Strategic Planning Advise the Board of the impact of operational issues raised Creation and Approval of LiverpoolSU Strategic Plan Vision Values Mission Strategic Objectives Actively engage in workshops to ensure a full organisational strategic review that identifies how LiverpoolSU can change the lives of more of its members and facilitate them loving student life Propose strategic review/student consultation cycle and activity to the Board that creates each new strategic plan Actively participate in workshops to renew the strategic direction Be experts in their area of the plan to inform thinking /decision making 4 P a g e

5 The Trustee Board Sabbatical Officers CEO/SLT Budget Managers Monitoring of organisational progress against strategic objectives Receive and scrutinise reports from Chief Executive on performance and delivery of the plan this will include asking questions of senior managers Write reports that evidence performance against the strategic objectives Collect agreed data that will monitor performance of strategic objectives and update the popplet Visit popplet on LiverpoolSU website where managers report progress Reviewing Membership Need To receive reports on membership needs including research surveys Review performance of all service areas and provide reports to the Board Marketing team to undertake regular member needs research and translate it through LiverpoolSU so it creates action Stakeholder Management Approved annual stakeholder plan Receive Stakeholder map Actively engage in the annual stakeholder plan CEO & Director of Marketing clarify an evidence based, outcome focussed narrative for all stakeholders Actively engage in the annual stakeholder plan 5 P a g e

6 Human Resource Policy & Planning The Trustee Board Sabbatical Officers CEO/SLT Budget Manager Chief Executive management and appraisal Receive reports from Chair and Vice Chair Chair & Vice Chair meet CEO annually to complete DMP process. This includes working with an external (currently NUS) to create useful 360 feedback Write reports that demonstrate progress against objectives Work with external to create objectives that will be approved by Chair & Vice Chair Participate in Chief Executive appraisal where requested Chair and Vice Chair meet CEO prior to each Board for supervision and monitor progress against objectives Appraisal Developing My Potential Input into the DMP of staff team particularly SLT with Chief Executive Ensure all staff receive an annual appraisal and best practice management maximises the number of staff to receive an Excellent result sets objectives for the year ahead that delivers LiverpoolSU strategic objectives and the staff member finds challenging and motivating As Chief Exec/SLT 6 P a g e

7 The Trustee Board Sabbatical Officers CEO/SLT Budget Managers Recruitment & Selection Involvement in recruitment of senior managers and Chief Executive Approval of creation of all senior staff posts Approval of creation of posts that increases % of block grant spent on staff Panel member for interviews for all core staff Within budget and where resources are available the Chief Executive can Approve appointments for core staff vacancies Creation of new staff posts within budget Approve staff commitments for projects that are externally funded Agree relocation payments Agree salary enhancements Approve appointment of temporary or agency staff within budget Ensure job descriptions are up to date Can appoint student staff within the budget Approve payroll for the department where they are budget controller ensuring it remains within budget Exec Assistant will ensure exceptional customer care and the professional administration of all recruitment Staff Handbook Receive minutes of HR Sub Committee that regularly review the terms to ensure LiverpoolSU is, as a minimum standard, legally compliant with its employment offer to staff Make amendments that ensure staff terms are legally compliant & report any changes to the Board Seek advice to ensure terms are, as a minimum standard, legally compliant and applied consistently across LiverpoolSU Understand and ensure staff are managed in line with their terms & conditions of employment 7 P a g e

8 The Trustee Board Sabbatical Officers CEO/SLT Budget Managers Staffing Receive & scrutinise Chief Executive s staff matters paper Manage the overall staffing resource Write a report to the Board updating them on all staffing matters Ensuring staff resources are recruited to levels required within agreed budget Remuneration Approval of annual cost of living rise as part of the budget process Biennial review of sabbatical remuneration Determine the LiverpoolSU s expenses policy Determine & review LiverpoolSU pension contributions Ensure they are not part of the discussion about sabbatical remuneration as that would be a conflict of interest at the Board Prepare papers with evidenced recommendations that allow the board to make informed, robust decisions on staff remuneration, for example; pension; annual cost of living rise; etc using examples from other Unions and regionally Write a report every other year to the Board allowing them to consider sabbatical remuneration Agree increments for individual staff where resources are available Agree staff wage advances and appropriate repayment 8 P a g e

9 Trustee Board Sabbatical Officers CEO/SLT Budget Managers Restructure and/or Redundancy Determine the LiverpoolSU redundancy policy Understand & approve all redundancy situations Receive notification of all terminations. Ensure if they have been a member of staff in an area they mention this as a potential conflict of interest for the Board to consider Approve restructure plans that are within budget and report on any changes to the Board Write reports with recommendations for broader restructures/redundancies to the Board Make recommendations to senior managers to the shape of their teams Approve restructures where staff costs will increase. Disciplinary & Grievance Procedures May sit on hearings or appeals to consider disciplinary/grievance Manage disciplinary & grievance procedures The Chief Executive can dismiss staff Exec Assistant will support all disciplinary and grievance procedures to ensure fairness and consistency across LiverpoolSU Equality, Diversity & Inclusion Approve the equality and diversity strategy** Offer expertise where appropriate to aide policy development and implementation Monitor the effectiveness of the strategy Championing and working to policies Conveying the importance of this work to members Champion equality, diversity & inclusion policies Create policy for consideration at the board and make recommendations for monitoring Exec Assistant to support SLT in the creation of this policy Whole LiverpoolSU team to act as champions of this policy 9 P a g e

10 The Trustee Board Sabbatical Officers CEO/SLT Budget Managers Training & Development Receive & scrutinise an annual training report that demonstrates where investment in training has supported LiverpoolSU to deliver its strategic objectives Present the annual training report that demonstrates the impact of training expenditure on organisational performance Input into the annual training report Ensure all staff complete a training request form before and after they attend training Trade Union Recognition Appointment of HR Advice Agree as part of the budget process Approve Trade Union Recognition Ensure HR Advice is tendered for at least every 5 years Financial Procedures Annual Accounts Formal, detailed, overall approval of year end accounts Determine accounting policies Consider matters raised in management letter from the Auditor Approve Trustee report that will be filed with the Charity Commission Ensure timely preparation of annual accounts Finance Director to lead on preparation of accounts to the Board recommendation of accounting policies to the Board matters arising from the management letter Write SORPS narrative Finance Dept to prepare July management accounts for robust consideration by managers and then draft year end accounts to trial balance & provide all the information required by the auditors. 10 P a g e

11 Annual Budget Overall approval and scrutiny of annual budget Work with SLT to draft budgets to ensure they reflect strategic & political objectives Ensure timely preparation of annual budget Identify where budget links to strategic & political objectives Prepare individual budgets in an informed and timely manner to the Finance Director Chief Executive can approve additional expenditure in budget lines up to 10% and/or 25k where it is essential to the running of the business and/or legal reasons Funding discussions with LJMU To meet, present, listen to LJMU as required President to lead all finance discussions with LJMU Overall management of the budget to ensure that resources are used efficiently and effectively to deliver the strategic objectives Prepare evidenced based papers and meet LJMU with the President Report outcomes to the Board 11 P a g e

12 Capital Expenditure (Cap X) Approval of all capital expenditure within the budget Approve all capital expenditure above 25k when not in the budget Chief Executive can approve additional capital up to 25k where it is essential to the running of the business and/or for legal reasons. Ensure all cap x is depreciated appropriately Follow appropriate purchasing procedures once cap x has been approved Recommend Cap X as part of the budget process Investments Approve investment strategy Finance Director to make recommendations to the Chief Executive for an investment strategy Finance Director to monitor investment positions remains in line with strategy, making recommendations to the Board as required Finance Department to keep appropriate information on investments and manage the transfer of funds Reserves Approve reserves policy currently agreed at 200k Finance Director formulates reserves policy and reports on performance to Board 12 P a g e

13 Financial Procedures Manual (FPM) Approve Financial Procedures of LiverpoolSU every 2 years Finance Director to draft Financial Procedures and once approved ensure consistent implementation Finance Department to monitor financial procedures to ensure all budget holders understand them and use them appropriately. Exec Assistant to ensure all new recruits sign to say they have read & understood the FPM 13 P a g e

14 Financial Reporting Receive and scrutinise finance report at each Board that will outline latest management accounts with detailed explanations of all variances and action taken Receive and scrutinise the budget as it is reforecasted to ensure it reflects any financial decisions made by the Board Take the opportunity to ask questions of SLT Work with budget managers to ensure variances are understood and explained Finance Director to create reports for the Board that evidence the financial health of the organisation and make recommendations Utilise GPOS and management account information to regularly monitor the health of the organisation and take action where necessary Finance Director to actively monitor resources and highlight any areas of concerns Finance Director to lead reforecast exercise at least twice a year to ensure budget is as on track as necessary Receive and scrutinise monthly management accounts by 20 th of each month and within 4 days create a variance report that details all variances if they are true and what action has been taken Management Accountant s management accounts to all budget holders on or before 20 th of the month Actively participate in budget reforecast exercises 14 P a g e

15 Trustee Board Sabbatical Officers CEO/SLT Budget Managers Appointment of Finance Partner CounterCulture Appointment of Auditors Be part of the tender panel Ensure partner is reviewed every 5 years Be part of the tender panel Ensure auditor are tendered for every 5 years Create tender brief Report every four years with evidenced recommendations on the need to tender or not Create tender brief Finance Director to monitor the performance of the Auditor and make recommendations to the Board 15 P a g e

16 General Business Representation No direct role in representing student views but will act as an ambassadors of the Union Attend meetings/hearings with University and other key stakeholders as the voice of students Ensure officers have the knowledge, skills and support they need to excel at representation Members of staff who give advice to students will represent clients at hearings as advocates in a professional capacity Responsibility to be prepared and be informed, to know what students feel/want/need Be an advocate for students at University hearings Trustee Board Sabbatical Officers CEO/SLT Budget Managers Risk Management Approve Risk Management Policy and annually review risk statement Scrutinise all Board papers in terms of organisational risk Identify and ensure processes are in place that minimise risk faced by the Union on an ongoing basis Maintain LiverpoolSU Risk Management Policy and ensure it is put before the Board annually Implement and monitor adherence to LiverpoolSU risk policy Identify, manage & minimise risk at departmental level Identify and articulate organisational risk as part of the summary sheet for all Board papers 16 P a g e

17 Health & Safety (H&S) Approve Health & Safety Policy annually Overall responsibility for health & safety at LiverpoolSU Implement and monitor adherence to H&S policy Receive and scrutinise H&S report that will include any near misses Write & update H&S policy ensuring LiverpoolSU is at least legally compliant Write an annual H&S report for the Board Identify, manage & minimise risk at departmental level on an ongoing basis Chair LiverpoolSU H&S Committee Trustee Board Sabbatical Officers CEO/SLT Budget Managers Space Management Approve any purchase of property or assets Approve any new location, base for LiverpoolSU Build relationships with University Estates team & SMT to ensure students are at the heart of University planning Manage the efficient utilisation of space including office space; facilities Write papers for the Board to consider space opportunities Manage the relationship with University Estates team to ensure LiverpoolSU is at the heart of University planning 17 P a g e

18 Data Protection Approve data protection policy Ensure full compliance with data protection legislation and LiverpoolSU policy Receive reports from the Union Data Protection Manager Director of Marketing who will ensure LiverpoolSU team understand their obligations under data protection and monitors this Complaints Procedure Receive & scrutinise an complaints as reported in the CEO report. Sit on panels to hear complaints, where necessary Ensure complaints procedure is available to all students and compliant with Education Act Follow the appropriate procedure that see s all complaints as gifts and seeks to redress student concerns Managing Contractors Ensure there is no perception of a conflict of interest e.g. being perceived to favour one contractor and/or personally benefitting from an arrangement Ensure all gifts/concessions are declared Ensure all contractors relationships are entered into following due diligence Ensure all gifts are declared/concessions are declared As CEO/SLT 18 P a g e