SCHEDULE OF DELEGATION AND DECISION-MAKING POWERS

Duration of Validity: With effect from 21 February 2011 and until such date as it may subsequently decide, the Court has reserved specific powers to itself and delegated others as set out in this Schedule.

Purpose: To define those decision-making powers that are reserved for specific levels of authority. The Schedule is not intended as a general description of roles, remits and responsibilities.

Coverage: Bodies and individuals involved in the management of the University.

Reporting Arrangements: It should be assumed that all significant matters are reported to the Court unless otherwise explicitly stated.

Vacation Powers: Court will determine arrangements for summer vacation powers at the final meeting of each session.

Delegated Powers: While the schedule identifies that certain powers are delegated to specific committees or individual office-holders, any committee or office-holder may decide that a particular issue requires to be ratified by a higher level of authority.

Named Deputies/Alternates: Where powers are reserved to individuals, it should be assumed that a nominated deputy or alternate may exercise the same power in the absence of the postholder.

Audit Committee: The Audit Committee may investigate any matters within its terms of reference with full access to information and University personnel. The Committee shall bring to the attention of the Chairperson of Court any matter of concern to the Committee.

Financial Limits: Where decision-making powers have been delegated with financial limits, these limits are escalated from individuals to another individual/body etc, as follows:

Capital projects: Secretary - Senior Management Team - Court

Disposal of assets: Deans /Directors - Secretary - Court

Business plans: Heads of Colleges/Secretary - Senior Management Team - Finance & Policy Committee

Contracts (non-research): Secretary - Principal - Finance & Policy Committee (This excludes procurement contracts, which are managed by the procurement office in accordance with relevant legislation.)

Loans/grants to subsidiary, spin-out and associated companies: Director of Finance - Finance & Policy Committee

1. University Court

Strategic and Financial:

1.1 Approve strategic plans, financial forecasts and ancillary documents prior to submission to SFC

1.2 Approve financial strategy, including annual capital programme and annual budgets for Colleges and support services (and in-year changes to budgets amounting to more than 1% of turnover)

1.3 Approve annual accounts, including those of subsidiary companies

1.4 Approve areas for reporting via Key Performance Indicators

1.5 Approve specific capital projects with an anticipated value of over £1m

Appointments:

1.6 Approve appointment of Chancellor (in consultation with Senate)

1.7 Approve appointment of Principal (in consultation with Senate)

1.8 Approve appointment of Vice-Principal(s) (in consultation with Senate)

1.9 Approve appointment of Secretary (in consultation with Senate)

1.10 Approve appointment of internal and external auditors

1.11 Approve appointment of co-opted members of Court

1.12 Approve membership of Court Committees

Dismissals:

1.13 Approve dismissal of academic staff, once procedure established by Statute and Ordinance has been completed

Other:

1.14 Approve changes to Charter and Statutes and new Statutes (in consultation with Senate and subject to Privy Council ratification)

1.15 Approve changes to Ordinances and new Ordinances (in consultation with Senate)

1.16 Approve creation and alteration of Colleges and Schools and their constitutions

1.17 Approve disposal of assets valued at more than £1m

1.18 Approve arrangements for making academic and academic-related posts redundant and approve any subsequent redundancies

1.19 Approve arrangements for superannuation of employees

1.20 Approve standing orders for operation of Court

1.21 Approve severance terms and substantial changes to pay and/or terms and conditions of the Principal

2. Senate

2.1 Approve Learning & Teaching Strategy

2.2 Approve Research Strategy

2.3 Approve degree regulations

2.4 Award degrees and other qualifications, including honorary degrees

2.5 Approve appointment of members of Senate Committees

2.6 Elect Senatorial members of Court

2.7 Approve policy for the admission of students to the University

2.8 Approve honorary professorial appointments on recommendation of Senior Management Team

2.9 Approve conferment of Emeritus titles on former members of staff

2.10 Approve affiliation of Schools to Colleges

3. Senior Management Team

3.1 Approve specific capital projects more than £500k, and up to £1m, in value

3.2 Approve business plans for projects involving non-capital spend with an annual value of more than £75,000 and up to £250,000

3.3 Approve student fee rates (home and overseas) after appropriate consultation

3.4 Approve projects for funding from the central Strategic Investment Fund

3.5 Approve requests from budget-holders to recruit staff

3.6 Approve early retirement and voluntary severance cases, where these are in line with agreed guidelines

4. Finance & Policy Committee

4.1 Approve applications to external funding bodies for capital projects where a commitment to a financial contribution on the part of the University of more than £1m is included

4.2 Approve business plans for projects involving non-capital spend with a projected annual value of more than £250,000

4.3 Approve non-research-related contracts or amendments/cancellation of contracts with a value of more than £250,000

4.4 Approve loans and grants to subsidiary, spin-out and associated companies of more than £100k

4.5 Approve Financial Regulations

4.6 Approve guidelines for University investments

4.7 Approve changes to accounting policies

4.8 Be consulted on changes to employer's contributions to the University of Dundee Superannuation Scheme

5. Human Resources Committee

5.1 Approve policies and procedures affecting human resources, including health and safety

6. Remuneration Committee

6.1 To ensure that the performance of the Principal, as head of the University, is assessed on an annual basis by means of a review annually by the Chair of Court using the University's Objective-Setting & Review process.

6.2 To approve salary increases for professorial and equivalently graded academic-related members of staff, including the Principal.

6.3 To take an overview of requests for salary increases recommended by each College and SASS, which shall include consideration of amounts being awarded and equality issues particularly in relation to gender and other protected characteristics. The purpose of this and any other analyses will be to ensure that the Committee can assure itself and the Court of the fairness and consistency of the process and its outcomes.

6.4 To benchmark where to position the University and individual roles relative to other institutions, paying particular attention to information provided by the UCEA senior salary survey, but to use such comparisons with caution in view of the risk of an upward ratchet in remuneration levels;

6.5 To recommend to Court a University policy on senior staff severance that sets out general principles regarding all severance packages; and, if required, to approve under delegated authority early retirement or severance terms for the Principal, Vice-Principals, University Secretary or Director of Finance within clear boundaries determined by that policy.

6.6 To consider any requests by senior staff to undertake consultancy, other paid work or serve as a non-executive director or similar where remuneration exceeds £5,000 per annum, and in any instances relating to the senior management team; and to have due regard to issues of the time demands, remuneration and possible impact on reputation associated with such activities when reaching a decision.

6.7 To approve exceptional removal and other expenses where the amount is greater that £10,000.

6.8 To determine maximum levels of management responsibility payments for Deans, Associate Deans and Deputy Principals.

6.9 To maintain an overview of emerging and best practice in relation to remuneration policy and practice in higher education, and the public and private sectors more generally, so as to be able to make recommendations to the Governance & Nominations Committee and the Court on future enhancements to the University's approach to senior staff remuneration.

7. Audit Committee

7.1 Approve process for appointment of internal and external auditors

7.2 Approve internal audit needs assessment and internal audit strategic and operational plans

7.3 Approve annual report of internal auditors for submission to SFC

8. College Staff Review Groups (Academic)

8.1 Determine promotions to senior lecturer

8.2 Approve accelerated advancement and contribution-related points

8.3 Approve confirmation of appointments following probation

8.4 Hear first stage appeals

9. Standing Committee on Readerships

9.1 Approve promotions to reader

10. Annual Review Group (ALC)*

10.1 Determine accelerated advancement and contribution-related points for ALC staff

11. Technical Staff Review Committee*

11.1 Determine accelerated advancement and contribution-related points for technical staff

12. Clerical Staff Review Committee*

12.1 Determine accelerated advancement and contribution-related points for clerical staff

13. Ethical Review Committee

13.1 Determine an ethical review process and policy on all matters relating to animals on University premises

14. College Boards

14.1 Elect representatives to Senate

14.2 Approve degree programme content and assessment methods

14.3 Approve honorary appointments in the College (except professorial)

15. School Boards

15.1 Approve appointments of Conveners of Programme Boards

16. Academic Council

16.1 Elect representatives to Court

16.2 Elect representatives to Senate

17. Termination of Studies (Appeals) Committee

17.1 Receive and determine appeals from students against termination of their studies

18. Undergraduate Appeals Committee

18.1 Receive and determine complaints and appeals by undergraduate degree candidates

19. Principal

19.1 Appoint Deputy Principals

19.2 Appoint Deans, in consultation with School Boards

19.3 Approve, with the countersignature of the Director of Finance, non-research-related contracts or amendment/cancellation of contracts with a value of more than £100k and up to £250k

19.4 Initiate procedures for promotion to personal chairs

19.5 Approve membership of professorial appointing committees

19.6 Approve promotions and appointments to chairs

19.7 Approve, with the countersignature of the Director of Finance, the formation or winding up of subsidiary, spin-out and associated companies

19.8 Approve appointment of University employees as directors of subsidiary, associated and spin-out companies

19.9 Determine levels of management responsibility payments to Deans and Asssociate Deans (or equivalent)

20. Vice-Principals

20.1 Exercise full disciplinary powers in relation to students (Ordinance 40)

21. Heads of Colleges

21.1 Approve allocation of resources within the College

21.2 Approve expenditure within agreed budgets and in accordance with the Financial Procedures Manual

21.3 Approve, with the countersignature of the Director of Finance, business plans for relevant projects involving non-capital spend up to an annual value of less than £75,000

21.4 Approve creation of new posts, filling of vacant posts and extension of existing posts

21.5 Approve extended leave of absence for academic staff

21.6 Approve confirmation of appointments following probation for relevant ALC staff

22. Deans of Schools

22.1 Approve allocation of resources within School

22.2 Approve expenditure in accordance with the Financial Procedures Manual

22.3 Approve disposal of assets valued at less than £5,000

23. Secretary

23.1 Approve, with the countersignature of the Director of Finance, specific capital projects up to £500k in value

23.2 Approve, with the countersignature of the Director of Finance, non-research-related contracts or amendments/cancellation of contracts with a value up to £100,000

23.3 Approve, with the countersignature of the Director of Finance, business plans for relevant projects involving non-capital spend up to an annual value of less than £75,000

23.4 Approve, with the countersignature of the Director of Finance, property leases (either as lessor or lessee)

23.5 Approve, with the countersignature of the Director of Finance, disposal of assets valued at more than £5,000 and less than £1m

23.6 Countersign with the Director of Finance loans and grants to subsidiary, spin-out and associated companies up to a maximum of £100k

23.7 Approve charges for use of University car parks

23.8 Apply the University seal to documents as required

23.9 Approve creation of new posts, filling of vacant posts and extension of existing posts in student and academic support services

23.10 Approve membership of appointing committees for non-academic grade 10 appointments

23.11 Approve appointments of non-academic grade 10 staff

23.12 Approve arrangements for hearing appeals by students and members of staff and for other proceedings under Statute 16 (except redundancy)

23.13 Approve confirmation of appointments following probation for relevant ALC staff

24. Directors of Student & Academic Support Services

24.1 Approve expenditure in accordance with agreed budgets and the Financial Procedures Manual

24.2 Approve disposal of assets valued at less than £5,000

25. Director of Finance

25.1 Approve changes to Financial Procedures Manual and Purchasing Manual

25.2 Approve administrative and security arrangements relating to University investments and bank accounts

25.3 Enter into borrowing arrangements, and renew as necessary, in accordance with financial strategy approved by Court

25.4 Approve, with the countersignature of the Secretary, loans and grants to subsidiary, spin-out and associated companies up to a maximum of £100k

25.5 Countersign with the Principal non-research-related contracts or the amendment/ cancellation of contracts with a value of more than £100k, and countersign with the Secretary those with a value up to £100k

25.6 Countersign with the Principal the formation or winding up of subsidiary, spin-out and associated companies

25.7 Countersign with the relevant Head of College business plans for projects involving non-capital spend up to an annual value of less than £75k

25.8 Countersign with the Secretary specific capital projects up to £500k in value

25.9 Countersign with the Secretary business plans for relevant projects involving non-capital spend up to an annual value of less than £75k

25.10 Countersign with the Secretary property leases (either as lessor or lessee)

25.11 Countersign with the Secretary the disposal of assets valued ar more than £5k and less than £1m

26. Academic Secretary

26.1 Approve appointment of external examiners

27. Director of Human Resources

27.1 Approve dismissal of non-academic staff

28. Director of Research & Innovation Services

28.1 Approve research-related contracts or amendments/cancellation of contracts

28.2 Approve licensing agreements on behalf of the University

29. R&D Director, Tayside Medical Sciences Centre (TASC)

29.1 By means of the Sponsorship Committee, to receive and determine applications for the sponsorship of all Clinical Trials of Investigational Medicinal Products (CTIMP Clinical Trials), all regulated device trials and those clinical research studies which in the view of TASC Research Governance Managers present significant risk.

29.2 Approve contracts relating to the performance of CTIMP clinical trials, regulated device trials and all clinical research studies administered by TASC, or the amendment or cancellation of such contracts, excluding the approval of all grant funding applications, awards and associated contractual terms, which is undertaken by Research & Innovation Services.

29.3 Receive and determine applications for the sponsorship of all other clinical research studies.

*Note: the future of these annual review committees is subject to further consultation with the recognised unions in the light of the new pay and grading structure.