OfS internal responsibilities and reporting protocols
The University registered with the Office for Students (OfS) in 2018, with approved provider (fee cap) status.
This means that the University is eligible for direct research grant funding through Research England, to apply for research council funding, for teaching grant funding, for its eligible students to be able to apply for loan and maintenance support, and to be a Home Office Student Visa sponsor for international students.
As the 'fee cap' designation suggests, the tuition fees the University can charge students are capped.
Key University role-holders and bodies working with the OfS
The OfS is multi-pronged and governs a wide range of requirements and returns which the University must meet to remain registered. OfS communicates its requirements to providers through a range of means, including:
- Regular web updates, general email announcements and weekly round-ups
- By formally contacting the Vice-Chancellor who, as head of the institution, is the 'accountable officer'
- Targeted communications (email/letter) to designated University contacts for specific regulatory activities.
Vice-Chancellor
As the 'accountable officer', the Vice-Chancellor (VC) is required to formally report to the OfS on the University's behalf. The VC signs off key data returns before the University submits them to the OfS. Other key returns, such as the annual finance return and the Prevent Duty return, are signed off by or on behalf of Council.
University Secretary
The University Secretary has general oversight of the University's compliance with OfS requirements. They are the senior contact for ensuring the University complies with OfS registration conditions. They co-ordinate requirements and make sure they are completed and signed off on time. They also keep a watching brief on what is emerging from the OfS, and are responsible for considering and submitting reportable events.
University Executive Board (UEB)
UEB members are accountable to Council and the VC for ensuring compliance with OfS requirements within their portfolio of responsibility. Several regulatory activities and returns may span more than one UEB member's portfolio. UEB leads, their senior teams and key contacts are responsible for keeping up to date with OfS requirements in their specific area(s).
OfS Monitoring Group
Chaired by the University Secretary, the OfS Monitoring Group is a small group of senior staff with leadership, policy and operational responsibility for aspects of OfS. The group's purpose is to:
- collectively monitor and ensure compliance with the general ongoing OfS registration conditions
- act as a sounding board for members on the conditions of registration that they are responsible for interpreting and implementing
- closely monitor specific conditions of registration
- consider other policy or regulatory matters relating to the OfS.
The group is not an advisory or approval body for all OfS matters. The relevant UEB owner or other senior accountable staff member leads co-ordination of regulatory activities and requirements.
Key OfS activities and general allocation of responsibilities
The University Secretary is the key contact for queries about the University’s OfS registration. If you have a query about a specific regulatory activity or return, please approach the key contact. If you are unsure who to contact, please contact the Governance & Assurance Office: governance@york.ac.uk.
| Area / activity | Senior accountable staff member(s) | Key contacts |
|---|---|---|
| (Re)-submission of registration documentation | VC and University Secretary | University Secretary or nominee governance@york.ac.uk |
| Interpretation of/compliance with the Regulatory Framework and regulatory conditions and Regulatory Notices and Advice |
University Secretary to provide advice, or facilitate coordination of a response | University Secretary or nominee governance@york.ac.uk |
| Consultations on changes to the Regulatory Framework or Registration Conditions | Senior Executive Officer and University Secretary to filter and target to relevant UEB owner | University Secretary via governance@york.ac.uk to manage co-ordination of consultations OR transfer to relevant UEB member to oversee. |
| Public Interest Governance Principles | University Secretary | University Secretary via governance@york.ac.uk |
| Oversight of compliance with Terms and Conditions of Funding published annually is the responsibility of the Finance Director | Finance Director | finance-director@york.ac.uk |
| Payment of subscription fees to OfS QAA and HESA | Chief Operating Officer (COO) in terms of approving payment and ensuring fees are paid by deadline | OfS Annual Fees (Band M) - COO Executive Officer (kathryn.hague@york.ac.uk)
QAA - Julia Hampshire (in liaison with the COO's Office) HESA - simon.donoghue@york.ac.uk - Director of Strategic Planning and Performance (in liaison with the COO's Office) |
| Area / Activity | Senior accountable staff member(s) | Key contacts |
|---|---|---|
| OfS provides modest annual recurrent and capital grant funding | Notified to the Vice-Chancellor and President and Finance Director. | vc@york.ac.uk finance-director@york.ac.uk |
| Health Education Funding High cost funding, targeted and strategic initiatives |
Dean of the Faculty of Sciences Pro-Vice-Chancellor (Teaching, Learning and Students) Finance Director |
No contact identified. |
| OfS challenge and funding competitions | Vice-Chancellor’s Office | vc@york.ac.uk To circulate to relevant UEB member to consider whether to apply. |
| Compliance with terms and conditions of funding | Finance Director | finance-director@york.ac.uk (with advice from University Secretary adam.dawkins@york.ac.uk) |
| Area / Activity | Senior accountable staff members(s) | Key contacts |
|---|---|---|
| TEF return (new TEF Framework to be in place from 2022) |
Pro-Vice-Chancellor (Teaching, Learning and Students) Academic Registrar |
tom.banham@york.ac.uk Supported by: Jane Warne jane.warne@york.ac.uk David Gent david.gent@york.ac.uk |
| Access and Participation Plan (APP) | Pro-Vice-Chancellor (Teaching, Learning and Students) Director of Planning and Risk |
Michelle Hughes m.hughes@york.ac.uk |
| National Student Survey (NSS) | Pro-Vice-Chancellor (Teaching, Learning and Students) Academic Registrar |
Sally Connor sally.oconnor@york.ac.uk Verifying the student data included in sample: chris.hewitt@york.ac.uk Analysis: sally.oconnor@york.ac.uk |
| Prevent Duty – Accountability and Data Return | Interim University Secretary | richard.harrison@york.ac.uk |
| Annual Finance Return (OfS), including annual audited financial statements | Finance Director Group Financial Controller |
finance-director@york.ac.uk ruth.clark@york.ac.uk |
| TRAC and TRAC(T) Return | Pro-Vice-Chancellor (Research) Finance Director |
ruth.clark@york.ac.uk finance-director@york.ac.uk TRAC Accountant: helen.brown@york.ac.uk |
| Annual Fee Limits | Finance Director | finance-director@york.ac.uk |
| Formula teaching capital monitoring (February 2022) | Finance Director Director of Technology Estates and Facilities |
finance-director@york.ac.uk harvey.dowdy@york.ac.uk |
| Medical and Dental Students Survey | Dean of the Faculty of Sciences | andy.dougill@york.ac.uk BIU contact: simon.donoghue@york.ac.uk HYMS contact: TBC |
| HESES (February 2022) | Director of Strategic Planning and Performance | simon.donoghue@york.ac.uk |
| Transparency Return | Director of Strategic Planning and Performance | simon.donoghue@york.ac.uk |
| Area / Activity | Senior accountable staff member(s) | Key contacts |
|---|---|---|
| Aggregate Offshore Return (November) | Academic Registrar | SDMI contact: chris.hewitt@york.ac.uk |
| HEBCIS | Director of Research and Enterprise Associate Director of Enterprise |
Head of Economic Development and HEBCIS team: hebcis@york.ac.uk |
| HESA (Student) | Academic Registrar | Student Data and Management Information Team: |
| HESA (Staff) | HR Director | hr-systems@york.ac.uk |
| Individualised Learner Records (ESFA) | Academic Registrar | SDMI team contact: chris.hewitt@york.ac.uk |
| Unistats (August) | Director of Strategic Planning & Performance | simon.donoghue@york.ac.uk |
| HESA Provider Profile (July) | Director of Strategic Planning & Performance | simon.donoghue@york.ac.uk |
| Graduate Outcomes Survey | Academic Registrar | Director of Student Affairs and Academic Administration: tom.banham@york.ac.uk and SDMI chris.hewitt@york.ac.uk (and OPPA input). |
Internal review and referral requirement
Condition E3 (OfS registration conditions) states that Council must ‘accept responsibility for the interactions with the University and the OfS and its designated bodies’.
Condition F3 states Council must ensure that accurate, appropriate and timely information is provided to the OfS, and that the University co-operates in any monitoring or investigation arising from such an event.
Council and the Vice-Chancellor delegate to the University Secretary oversight of a framework for the internal management and assessment of reportable events.
What is a reportable event?
Any major, material, significant and/or adverse event or activity which has occurred is ripe for urgent consideration as to whether it might be a reportable event, and the advice of the University Secretary should be sought as a priority.
The OfS defines a reportable event as any event or matter that, in its reasonable judgement, negatively affects or could negatively affect:
- The provider’s eligibility for registration with the OfS.
- The provider's ability to comply with its conditions of registration.
- The provider's eligibility for degree awarding powers, or its ability to comply with the criteria for degree awarding powers.
- The provider's eligibility for university title.
The full definition is provided in Regulatory Advice 16 (October 2021, in force from 1 January 2022).
Examples of reportable events
This includes:
- A decision by Council to change the legal form of the University (in effect to petition the Privy Council to revoke its Charter to take on a new legal form, such as a company limited by guarantee), or a major amendment to the Charter whereby the University merges with or incorporates another chartered corporation.
- A major change to the Group structure of the University, including a major change in the ownership by the University or one of its subsidiary companies, or joint venture arrangements.
- Major sales of assets or organisational changes, a key change to the University’s business model, or a major redundancy programme may be reportable, for example if they point to major financial sustainability concerns.
- Major governance changes to the University, and significant changes in the membership of the governing body or senior management team, which are expected, such as appointing a new Chair of Council or Vice-Chancellor, or which are adverse, and might compromise the University’s ability to satisfy conditions.
- Major governance reviews triggered by an adverse incident, breakdown in relations, whistleblowing, student complaints, or material changes to the governing instruments which significantly impact the University’s organisation.
- New or withdrawn major partnership arrangements, mergers or acquisitions, including the opening or closure of a domestic or overseas campus, strategic partnership or validation or sub-contracting.
These include:
- Significant financial loss which cannot be addressed by the University’s reserves, and which threatens the University’s sustainability, it not being a ‘going concern’, the provider’s bank or lender requiring an independent business review, or a breach of non-financial or financial covenants, fee limits.
- Student consumer protection breaches which are major, such as collective upheld complaints about consumer law breaches, or exceeding statutory fee limits by advertisement or charging.
- Short term cash flow or liquidity financial risk, such as liquidity falling below 30 days.
These include:
- Suspected or known impropriety, such as fraud in most circumstances.
- Some legal or court actions which are serious, high profile and likely to involve the governing body and point to systemic weakness.
- Non-routine regulatory investigation or sanction by other regulators/accreditors, eg Charity Commission, the Information Commissioner’s Office (ICO), Home Office, or a Professional, Statutory and Regulatory Body (PSRB), and loss of such accreditation, including Tier 4 sponsorship licence.
- Serious Prevent-related incidents (while OfS does not include these in its reportable events regime, such events will still be reported to the University Secretary as Prevent Lead).
The above examples are non-exhaustive. Individuals or groups of University staff are not expected to make the judgement independently, but to always refer as a priority to the University Secretary (governance@york.ac.uk), who will review on a case-by-case basis.
However, as the reportable events system is a risk-based judgement and referral regime, the University Secretary will in turn be proportionate and risk-based in the expectation of which events need formal governance review and follow-up within the University and in turn onward reporting to the OfS.
This recognises that over-reporting, including decisions to too readily escalate matters to the OfS, and within the University’s own internal governance structures, including to University Executive Board or, for example, Audit and Risk Committee or ultimately Council, can signal a lack of confidence in the effective management and mitigation of internal controls.
Reporting within the OfS timeline
The University is required to report an event to the OfS via the University Secretary within five working days of the date that the event is identified or, if that is not possible due to exceptional circumstances beyond the control of the provider, as soon as reasonably practicable thereafter and without undue delay. Therefore, colleagues need to raise a potential event as soon as they are aware of it.
For events that are yet to happen, but can be reasonably foreseen, such as opening a new campus, we should report to the OfS as soon as is practical, as is the case with reportable events which have been discovered as happening in the past.
What to do if you think you have a reportable event
An initial identification of a potential reportable event should be flagged to the University Secretary at governance@york.ac.uk by email, providing key factual information.
The University Secretary or nominee from the Governance and Assurance Office will normally ask for further information in writing to help understand the factual basis, status, materiality and/or adverse nature of an event to aid evaluation of whether it is reportable. When more information is requested, it is important that it is provided as soon as is practical, and it remains the responsibility of the individual flagging the potential event to investigate the matter, address queries and clarifications raised by/on behalf of the University Secretary.
The information required includes information on how the event is currently being managed, including limiting or removing any risks or issues which arise from the event. This will be a key feature of the information provided to the OfS, to assure it that the matter is being handled effectively by the University.
The originator may be required to populate the OfS-required format for submitting a reportable event, which will then be signed off by the University Secretary.
As a minimum the Chair of Council will be informed if a reportable event is submitted to the OfS, as events or matters are reported on behalf of the governing body. Proportionate and periodic updates will be provided to the governing body and other bodies, such as Audit and Risk Committee and University Executive Board (UEB) as appropriate.
What happens next?
Assessing how material an event is will include the following judgments:
- The potential scale of the event: how much of an impact does it have on the University’s leadership, governance and operations, organisational structures, strategy, business model, resources or reputation, or ability to comply with the law or regulations?
- The likelihood of an event escalating and materialising with any of the above characteristics.
- The known or likely damage to the reputation of the University.
The originator, and their line manager or other colleagues, will be informed if an event or matter is judged to be reportable and is submitted to the OfS.
The OfS requires events to be submitted online via the OfS portal by the designated contacts: this is the University Secretary or nominee. Once an event and associated documents have been submitted, the OfS will confirm by email that they have been received.
If no further action is required, the OfS will write to the University Secretary to confirm this. The OfS may follow up if they question the timeliness of reporting, or need further clarification or assurance of the basis for reporting. In these cases, the University Secretary may require further information or an internal review.
Reporting an event to the OfS does not dispense with the need to report it to another body, such as an enforcement body, regulator or professional statutory or regulatory body. In fact, reporting to another body may of itself be a trigger to report to the OfS where a sanction is issued. Responsibility for reporting to another body rests with the senior manager overseeing the activity or area concerned, and they should notify the University Secretary and other key individuals.