paper h 10/16 title of paper: liverpoolsu decision making ... · title of paper: liverpoolsu...

Paper H 10/16

Title of Paper: LiverpoolSU Decision Making Matrix

Purpose: For Board to scrutinise and agree the levels of decisions they are delegating within LiverpoolSU

Recommendation: Approves the Paper

Summary: 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 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?

Financial impact: None in the paper but some of the delegated decisions are financial ones.

Student opinion None.

Student impact: Aids the efficient running of LiverpoolSU to deliver for students.

Risk: 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.

Contact: If have questions you would like to discuss pre Board please contact Jane Whalen [email protected]

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.

mailto:[email protected]

LiverpoolSU Decision Making Matrix October 2016

2 | P a g e

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)

4) Financial Procedures a. Annual accounts (9) b. Annual Budget (10)

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)

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 | P a g e


Board Performance Agree process for ongoing

review of board performance.

Ensure the implementation of

recommendations

Recommend processes for

Board Review

Provide evidence that aids

Board review

Make amendments to Trustee

induction, development and/or

draft changes to the

constitution as appropriate

Monitoring Organisational

Compliance

Monitor compliance with

governing documents

Part of each CEO Report to

Board

Make it Happen Consider termly reports in

terms of engagement and

delivery of Make It Happen

outcomes

Advise the Board of the

impact of political issues

raised

Ensure officer and key staff

are supported to maximise

student engagement in the

Make it Happen process.

Advise the Board of the impact

of operational issues raised

Strategic Planning

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


5 | P a g e


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

Visit popplet on LiverpoolSU

website where managers’

report progress

Write reports that evidence

performance against the

strategic objectives

Collect agreed data that

will monitor performance

of strategic objectives

and update the popplet

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


6 | P a g e

The Trustee Board Sabbatical Officers CEO/SLT Budget Manager

Human Resource Policy & Planning

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

Chair and Vice Chair meet

CEO prior to each Board for

supervision and monitor

progress against objectives

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

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


7 | P a g e


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


8 | P a g e


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


9 | P a g e

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.

Approve restructures where

staff costs will increase.

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

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


10 | P a g e


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 Approve Trade Union

Recognition

Appointment of HR Advice Agree as part of the budget

process

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.


11 | P a g e

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

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

Overall management of the

budget to ensure that

resources are used efficiently

and effectively to deliver the

strategic objectives

Prepare individual

budgets in an informed

and timely manner to the

Finance Director

Funding discussions with

LJMU

To meet, present, listen to

LJMU as required

President to lead all

finance discussions with

LJMU

Prepare evidenced based

papers and meet LJMU with

the President

Report outcomes to the Board


12 | P a g e

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


13 | P a g e

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


14 | P a g e

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 20th 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 emails

management accounts

to all budget holders on

or before 20th of the

month

Actively participate in

budget reforecast

exercises


15 | P a g e


Appointment of Finance

Partner

CounterCulture

Be part of the tender panel

Ensure partner is reviewed

every 5 years

Create tender brief

Report every four years with

evidenced recommendations

on the need to tender or not

Appointment of Auditors Be part of the tender panel

Ensure auditor are tendered

for every 5 years

Create tender brief

Finance Director to monitor

the performance of the Auditor

and make recommendations

to the Board


16 | P a g e

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

Responsibility to be

prepared and be

informed, to know what

students feel/want/need

Be an advocate for

students at University

hearings

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


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

Identify and articulate

organisational risk as part of

the summary sheet for all

Board papers

Implement and monitor

adherence to

LiverpoolSU risk policy

Identify, manage &

minimise risk at

departmental level


17 | P a g e

Health & Safety (H&S) Approve Health & Safety

Policy annually

Receive and scrutinise H&S

report that will include any

near misses

Overall responsibility for health

& safety at LiverpoolSU

Write & update H&S policy

ensuring LiverpoolSU is at

least legally compliant

Write an annual H&S report for

the Board

Chair LiverpoolSU H&S

Committee

Implement and monitor

adherence to H&S policy

Identify, manage &

minimise risk at

departmental level on an

ongoing basis


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


18 | P a g e

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

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