Guidelines for the Operation of Dual Assurance

Revised - November 2023

1. Introduction

These guidelines for the Operation of Dual Assurance are intended to provide useful information to UEB leads, independent Council member leads and the coordinators of dual assurance groups, to ensure that the process of Dual Assurance is as effective as possible, and that Dual Assurance groups function in a consistent and systematic manner.

Although it is recognized that there will be some degree of variation owing to the different characteristics of the business areas covered by dual assurance, it is important to have a level of consistency in the process between the portfolios.

2. The Aims of Dual Assurance

The concept of Dual Assurance was introduced at the University in 2007 to support the governance of the institution by providing enhanced visibility and understanding to Independent Council members regarding key areas of the University. Dual Assurance provides a useful mechanism for Independent Members to::

develop their knowledge and understanding of the University;
build a constructive relationship with the relevant UEB lead;
enable the University to benefit from the experience and expertise of Independent Members.

The current business areas covered by dual assurance are listed at: http://www.exeter.ac.uk/about/organisation/dualassurance/

3. Roles

There are currently three people in the dual assurance relationship and each performs a specific, essential role:

The Management Lead

For Dual Assurance the management lead is a member of University Executive Board (UEB). The UEB lead may invite senior members of their team where they have deep-seated expertise and detailed understanding of complex institutional issues. The UEB lead should avoid delegating the Dual Assurance responsibility to ensure that matters remain focused at a suitably strategic level and to ensure the Independent Member gains maximum value from Dual Assurance. The management lead takes responsibility for the development of policy and its implementation and delivery in their business area.

The Independent Lead

The role of the Independent Lead is not to manage the business area or to get closely involved in operational matters, but should be focused primarily on the following:

Understanding key strategic issues and ensuring effective management systems exist to implement and deliver the strategic plan;
Discussing any complex organizational issues that carry reputational, financial or regulatory risk;
Offering constructive feedback on any papers or items scheduled to progress to UEB, Senate or Council;
Identifying potential opportunities for further enhancement or innovation from wider sectors;
Providing constructive challenge from an independent and objective perspective.

In particular the Independent Lead should seek to use the Dual Assurance portfolio to understand key strategic issues within the business area and consider whether the strategic objectives in the strategy/plans are being delivered effectively. The Dual Assurance relationship should be utilized to foster a spirit of mutual trust and respect and build a supportive and constructive dialogue with the Management Lead. The focus should be on stimulating debate and offering constructive challenge in order to provide fresh thoughts and perspectives.

For the Independent Lead, as an Independent member of Council, Dual Assurance will provide a useful opportunity to develop an in-depth understanding and knowledge of the business area in order to enhance their insights during Council discussion and provide informed perspectives in their Dual Assurance area. Fundamentally, Dual Assurance should:

Develop Knowledge and an understanding of the University;
Enable them to stay up-to-date and informed on important developments in the specific business area and wider sector issues

It is emphasized, however, that Dual Assurance is not intended to get involved with line management responsibilities, objective setting or performance monitoring.

The Coordinator

The Coordinator’s role is to ensure there is a record of discussion from Dual Assurance meetings and to help enable a regular schedule of meetings and consideration of any relevant documentation.

The Coordinator will facilitate the work of the dual assurance group: convening meetings, bringing relevant information to the attention of the Leads, coordinating agendas and circulating paperwork as necessary.

The Coordinator also takes the lead in ensuring that there is information available to all staff and Council members about the dual assurance business area and any developments in it.

4. Dual Assurance in Practice

Whilst Dual Assurance is not expected to function in the same manner as a sub-committee it is important that there is a structure within which the groups can operate. This is described below with some more detailed suggestions and templates for Coordinators to take forward and use in the operation of the groups.

i) Subjects for Discussion in the Dual Assurance relationship

The group should focus its discussion on strategic matters which require discussion, consideration and further development. The following documents that could be looked at as a basis for facilitating a productive discussion in these areas could include:

- the strategic plan in the relevant area. This is the document which Independent Leads can use as a way of understanding progress towards the institution’s stated objectives.

- the institution’s annual Planning Framework

- Strategy 2030 Delivery Plan

- the risk register in the relevant area and associated risk reports

It is recognized that the issues requiring consideration amongst the Dual Assurance Leads may evolve over time. Nevertheless, it is recommended that a forward plan of discussions is maintained and to ensure that the Independent Lead has a mechanism for raising strategic issues or challenges that they feel would be helpful to explore in further detail.

ii) Terms of Reference

There is an overarching Terms of Reference for the Dual Assurance portfolios which is reviewed annually – at the start of every academic year – and updated as necessary. The Terms of Reference is attached at Annex A.

iii) Dual Assurance Meetings

It is strongly recommended that meetings of the Dual Assurance groups should take place approximately once a term. Additional meetings may be held to explore urgent matters in a timely fashion if required or to seek feedback and broad endorsement prior to a meeting of Council on key strategic papers if helpful, but meetings should not be held on a significantly more frequent basis (Eg monthly) to ensure the time commitment remains manageable for both the Independent Lead and Management Lead and to mitigate the risk of engaging in principally operational matters. The timing of the meetings should take into consideration any key decision making points, timing of necessary reports to UEB, Council, other committees and the annual cycle of University business.

The face-to-face meetings are intended for a discussion of progress in the business area, consideration of any significant issues, review of any reports from Task & Finish Groups, risk reviews etc.

The group may invite other colleagues to attend as necessary – although leads should be cautious about numbers becoming too large. In addition, other members of Council are entitled to observe dual assurance meetings if they wish.

Dates of Dual Assurance meetings should be provided to the Committee Secretariat are added to the website at the start of the academic year and members are asked to liaise with the group coordinators if they wish to attend any meetings.

Whilst meetings should take place at least once a term, correspondence and discussion between the leads may also take place between meetings as necessary via email contact.

iv) Records

The Coordinator for the group must take a concise note of the formal Dual Assurance meetings. This need not be as discursive as traditional minutes but should include the following details:

- Who was in attendance

- What matters were discussed

- Key points made in the discussion

- Actions to be taken, by whom and when

- Implications of any decisions for equality and diversity

A template for recording the notes is provided at Annex B. The notes should be drafted within two weeks of the meeting taking place and should be approved by the management lead prior to onward communication. The coordinators of the group should also be copied into all informal communication between the leads between meetings in order that a complete record of any actions or decisions taken can be maintained outside the formal meetings.

In business areas where there may be a lot of complex activity going on at once, the coordinator may need to keep track of tasks delegated to other colleagues, consultation exercises and any sub-projects to ensure that their work reaches the dual assurance group in a timely way, as well as so that it can be added to the record.

v) Communication / Website

The Dual Assurance website (http://www.exeter.ac.uk/about/organisation/dualassurance/) should be considered the primary communication tool for the Dual Assurance groups. Each group has a dedicated page which the Secretariat is responsible for developing and maintaining. The page should be regularly updated and reviewed to ensure content is relevant and current.

Whilst the Secretariat has responsibility for the page it is also important that the leads are involved in the content given the centrality of good communication in the overall success of dual assurance.

Each group’s webpage must provide:

- details about the membership of the group

- names of the leads and coordinator and any other colleagues that attend meetings.

- terms of reference for the group

- dates for meetings of the group for the academic year

- notes from each of the dual assurance meetings

- should be published in a timely fashion and at most within three weeks of the meeting taking place.

In addition, leads and coordinators may wish to consider publishing the following information on the website:

- key policies or procedural documents relating to the business area

- reports relevant to the business area or made by the group to other key committees / groups.

vi) Reporting

DVCs should cover dual assurance activity on which they are leading through their reports to Senate and these reports are available on the Senate website: (http://www.exeter.ac.uk/about/organisation/senate/).

There is also a routine item at UEB meetings each week for the management leads to report on activities, note significant progress or flag any issues in their area.

vii) Freedom of Information and Dual Assurance

The Freedom of Information Act (FOI) does not require organisations to create specific records, it does however, provide a right of access to information held by Public Authorities, including Universities. The Act therefore requires good records and information management, so that information requested can be easily located and formatted for disclosure.

The right of access extends to all information held throughout the University and includes committee papers and records created through Dual Assurance. This means that subject to the application of any exemptions, information (emails, meeting notes, reports etc.) created during Dual Assurance may be open for public scrutiny. This applies to the Record held by the Dual Assurance Coordinator but also to any other information and correspondence held.

The Freedom of Information Act does not mean that the University must make all its records available to the public; there are 23 exemptions or reasons for which information can be withheld.

The main exemptions that may apply include:

Data protection: if records relate to specific individuals, the information should not be released, if doing so would contravene the Data Protection Act.
Information intended for future publication: if there is a firm intention to make the information publicly available and it is reasonable to ask the applicant to wait, the information need not be disclosed.
- Commercial interests: if there is a real likelihood that disclosing the information would prejudice the University’s (or another organisation’s) commercial interests it can be withheld.
- Information provided in confidence: if the information is confidential and releasing it would be an actionable breach of confidence, the information need not be disclosed.

When compiling records and corresponding on University business you should bear in mind the possibility of the information being released under FOI. The labelling of records as ‘Commercial in Confidence’ can help identify those items which are not for further circulation. However, if a request for a piece of information that has been marked ‘Commercial in Confidence’ is received, the request must still be considered and information can only be withheld if an exemption applies.

If you receive an FOI request for Dual Assurance records you should contact the University’s Information Governance Manager, Brenda Waterman, who will coordinate the University’s response and advise on any relevant exemptions.

viii) Review of Dual Assurance

A review of the wider assurances provided to Council (including the mechanism of Dual Assurance) is currently being overseen by a Council Assurance Review Group, chaired by the Chair of Council and supported by the Assistant Director (Governance). The aim of the review is to develop a clear set of proposals and recommendations that will help to optimize the assurances provided to Council; identify areas where Council requires additional assurance and streamline activity and duplication of effort. It is expected that conclusions of this Review Group will be discussed and endorsed by Council during the 2023/24 Academic Year.

The system of Dual Assurance will also be reviewed as part of the wider review of Council Effectiveness every three years.

ix) Summary

In summary, there are a small number of points to remember when operating a Dual Assurance group and which must be implemented:

All members of the group should have a clear understanding of their role and the role of others in the group.
The group should meet formally once a term.
The Coordinator must take a concise note of the formal group meetings – which records key actions and decisions taken.
Dual Assurance should retain a strategic focus and maintain clear distinction between the role of Governor and Executive Management
The group’s website must be kept up-to-date and must publish the membership of the group, the dates of meetings, the terms of reference, and the notes from the meetings.

Annex A

UNIVERSITY OF EXETER

Dual Assurance Terms of Reference

The University’s is governed by the University Council, assisted by a number of sub-committees. To assist the governance process a mechanism known as Dual Assurance provides a forum to focus on each area of the University’s business. As its name suggests, this model involves two people. The first of these is a member of the University Executive Board, who takes responsibility for the management and development of policy in a particular area of business. The second member of the Dual Assurance partnership is an Independent Member of Council, knowledgeable in the same area, who provides assurance to Council that this activity is well-managed and that decisions taken by the University in the relevant area have been reached following due process and appropriate consultation.

Dual Assurance has no delegated or decision making authority. The University’s delegation framework can be found here.

Dual Assurance Terms of Reference

To review all major items of business in the area submitted for Council’s consideration, providing Council with further enhanced lay member scrutiny
To provide a senior external perspective to the particular area of University business covered by the Dual Assurance, providing support, guidance and challenge to the Executive lead.
To consider principle risks to the area of business, and responsibilities and opportunities for continual improvement in the performance of the University.
To provide minutes from Dual Assurance meetings for wider circulation to Council for information and verbal updates to Council as and when needed.
To monitor the relevant Key Performance Indicators.
To meet once a term.

Annex B

UNIVERSITY OF EXETER

A meeting of the xxx Dual Assurance Group was held on <DATE AND TIME> in <LOCATION>.

PRESENT: <List names and titles of members’ present>

IN ATTENDANCE: <List names and titles of colleagues who were present for the whole meeting or for particular items>

APOLOGIES

1. Minutes of the meeting held on XX

<To confirm the minutes from the previous meeting>

2. Matters arising and actions

<To pick up any items from previous meeting and review the actions table from the previous meeting>

3. Item 1 for Discussion

<Note of discussion of item 1 including Actions notes:>

4. Item 2 for Discussion

<Note of discussion of item 2 including Actions notes:>

5. Item 3 for Discussion

<Note of discussion of item 3 including Actions notes:>

6. Item 4 for Discussion

<Note of discussion of item 4 including Actions notes:>

7. Any Other Business

8. Date of Next Meeting

<Date, time and location>

ACTION TABLE

Minute No.	Action	Owner	Status