Service Level Description

Compliance, Governance and Risk

The Compliance, Governance and Risk directorate provides professional advice, support and guidance to the University’s Colleges and Professional Services on institutional, academic and corporate governance and also oversees key aspects of legal and regulatory compliance.

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Key deliverables for 2018/19

  • Delivering the Compliance Framework and CGR Network
  • Ensuring robust processes are in place to enable compliance with the GDPR and establishment of the information governance framework
  • Providing effective contractual and legal support in a reactionary and proactive manner as required to support Colleges, Professional Services and the University generally to meet institutional KPIs.
  • Reviewing and, where necessary, improving our new approach to risk management
  • Establishing an “end to end” approach for the management of student cases underpinned by a close joint working with Education and Student Services and Colleges, and a strong partnership our legal team.
  • Finalising the structure and position of TQAE within the University
  • Aiming to deliver key TQAE priorities – reviewing ASER process; progressing ODLP; ensuring a strong quality assurance framework for international education, partnerships and alignment with the new international strategy governance structure; and building a strong quality assurance partnership with our students and ensuring a focus on QA, development and enhancement that is focused on value and meets students’ needs.
  • Working closely with TQAE, the Committee Secretariat to bring academic and institutional governance closer together to reflect the integration of QA in the new HE regulatory environment.
  • Ensuring compliance, through close joint working across services and colleges, with the expectations of the Office for Students.
  • Continuing to focus on deliver of the EES action plan.
  • Progressing the Responsible Research Framework and sustainable research ethics review.
  • Continuing to ensure Research Governance support, training and quality assurance across the University and thus providing a strong foundation for delivering our global research ambitions.

Service provided

  • Compliance with relevant legislation and regulation
  • Management and mitigation of contractual and legal risk
  • Quality assurance of education programmes
  • Management of student cases (complaints, appeals and misconduct)
  • Management of University’s academic and institutional governance arrangements
  • Management of risk
  • Management of internal audit and insurance
  • Management of our information, including compliance with information law and effective records management
  • Development and delivery of an institutional compliance framework

Service users

  • All staff

What we strive for

Research Integrity, Ethics and Governance:

  • Demonstrable and active engagement with all Colleges, multiple PS and external organisations/regulators;
  • Provision of a full range of advisory, governance and compliance services;
  • Reduction of time taken for academic and research staff to complete external reviews and external licencing processes;

Insurance, Audit and Risk:

  • Effective delivery of internal audits;
  • 90% of audit recommendations to be evidenced as being completed within one month;
  • Strong focus on maximising turnaround times for insurance claims;
  • Strong focus on claim cost control;
  • Facilitating business continuity exercises and at least two PS/College/University-wide business continuity plans.

Legal Services:

  • Demonstrable evidence of effective management and mitigation of contractual and legal risk;
  • Demonstrable evidence of effective management of external legal costs;
  • Demonstrable evidence of savings to University through the provision of in-house legal advice;
  • Demonstrable evidence of effective management of turnaround times for contracts.

Teaching Quality Assurance and Enhancement:

  • Dissemination of good practice from ASER;
  • Demonstration of student voice within QA process;
  • Demonstration of strong focus on employability within QA process;
  • Evidence of focusing on robust QA processes for international partnerships;
  • Focus on development of new programmes reflecting market demand;
  • Focus of delivery of innovation within quality assurance requirements and programme development.

Information Governance:

  • All staff to have completed all relevant mandatory training
  • FOI’s and SAR responses to be within legal timescales

Student Cases – aim to complete:

  • 90% of the Appeals across Stage 1 and 2
  • 90% of complaints within total 90 day timeframe
  • 90% of disciplinary outcomes for minors within 10 working days and majors within 5 working days.

Key contacts

NamePositionExtensionEmail addressContact for?
Roni Roberts Head of Teaching Quality Assurance and Enhancement 3616 r.roberts2@exeter.ac.uk Education policy development, quality assurance and faculty services
Chrysten Cole Head of Legal Services 6454 c.e.cole@exeter.ac.uk All Legal queries and services
Paul Hirst Insurance, Audit and Risk Manager 3087 p.s.hirst@exeter.ac.uk Insurance, audit, risk management and business continuity management
Lindy Ford Head of Student Cases Team 3029 Lindy.ford@exeter.ac.uk Academic appeals, academic misconduct, fitness to practise, disciplinary procedures, student complaints
Rhiannon Platt Information Governance Manager 6842 r.platt@exeter.ac.uk Provides framework around legal rules, guidance and best practice for handling information
Jacqueline Hodges Deputy Secretary to Council 4367 j.c.hodges@exeter.ac.uk Responsible for Council, Senate, Audit Committee and Remuneration Committee
Gail Seymour Research Ethics and Governance Manager 6621 g.m.seymour@exeter.ac.uk Research integrity, research governance and ethics