Notices

Calendar

20 October, Saturday. Congregation of the Regent House at 11 a.m. (see p. 65). End of first quarter of Michaelmas Term.

23 October, Tuesday. Discussion at 2 p.m. (see below).

1 November, Thursday. All Saints’ Day. Scarlet Day.

4 November, Sunday. Commemoration of Benefactors. Scarlet Day. Preacher before the University at 11.15 a.m., The Rev. Prof. J. M. Brown, G, Emerita Beit Professor of the History of the British Commonwealth in the University of Oxford (Lady Margaret’s Preacher).

Discussions (Tuesdays at 2 p.m.)	Congregations (Saturdays unless otherwise stated)
23 October	20 October, at 11 a.m.
6 November	24 November, at 2 p.m.
20 November
4 December

Discussion on Tuesday, 23 October 2018

The Vice-Chancellor invites those qualified under the regulations for Discussions (Statutes and Ordinances, p. 105) to attend a Discussion in the Senate-House, on Tuesday, 23 October 2018 at 2 p.m., for the discussion of:

1.Twenty-third Report of the Board of Scrutiny (Reporter, 6521, 2018–19, p. 42).

2.Report of the General Board, dated 3 October 2018, on the establishment of certain Professorships (Reporter, 6521, 2018–19, p. 52).

The Report published in this issue (p. 63) will be discussed on 6 November. Further information on Discussions, including details on format and attendance, is provided at https://www.governance.cam.ac.uk/governance/decision-making/discussions/.

Ballots of the Regent House: Voting open now and until 25 October 2018

15 October 2018

The following ballots are currently open for voting by members of the Regent House:

•Ballot on Grace 1 of 18 April 2018 (membership of the Regent House for Directors of Research and Principal Research Associates).

•Ballot on Grace 1 of 27 June 2018 and an amendment (Faculty membership criterion).

Voting closes at 5 p.m. on Thursday, 25 October 2018 and members who were listed on the Roll of the Regent House promulgated on 6 November 2017 are eligible to vote. Voting information, including fly-sheets, is available online at https://www.governance.cam.ac.uk/ballots/voting/ [Raven only].

Joint Report of the Council and the General Board on the establishment of an Education Division, Research Division, and Strategic Partnerships Division: Notice in response to Discussion remarks

The Council and the General Board have received the remarks made at the Discussion on 19 June 2018 (Reporter, 6512, 2017–18, p. 750) regarding the Joint Report on the establishment of an Education Division, Research Division, and Strategic Partnerships Division (Reporter, 6509, 2017–18, p. 679).

The Council and the General Board note the concerns expressed in the Discussion about the proposal. The Registrary has subsequently explored with a number of academic and administrative colleagues the issues that have been raised. In light of those conversations and the clear disquiet that the proposals have generated and following the Registrary’s further advice, the Council and the General Board have concluded that it would be prudent to maintain the integrity of the Academic Division. There are other ways by which to ensure that the respective sections within the Academic Division (Research, Education, and Strategic Partnerships) have a standing in the Planning Round equivalent to that of the other Divisions; and that their Heads have a similar status to the Directors, including the direct interaction with the respective Pro-Vice-Chancellor(s). The Council and the General Board have therefore agreed to withdraw the Joint Report.

Notwithstanding that the Joint Report was only indirectly concerned with the role of the Academic Secretary, the Council and the General Board wish to affirm the importance it places on that office. For example, it notes the observation in the Discussion that the Academic Secretary has a central role in providing a ‘broad and comprehensive understanding’ of the University. The Council and the General Board therefore direct that recruitment to the permanent office of Academic Secretary be started forthwith.

Christmas and New Year closing: University Offices

15 October 2018

The Council has authorized the closure of the University Offices from 5 p.m. on Friday, 21 December 2018, until 8.30 a.m. on Wednesday, 2 January 2019. The University Messenger Service will not operate during the period of closure.

University of Cambridge Financial Regulations

15 October 2018

The following amendments to the Financial Regulations have been approved by the Council on the advice of the Finance Committee as an interim update to make a number of minor amendments. These changes take immediate effect and amend the Regulations published in the Statutes and Ordinances at p. 1035.

The purpose of the Financial Regulations is to ensure the proper use of finances and resources in a manner which not only satisfies the requirements of internal control expected of a substantial and prominent organization, but also fulfils any legal or financial obligations as laid down by the Statutes and Ordinances of the University, HM Revenue and Customs, the Office for Students, and other authorities.

The following paragraphs have been amended to read as shown below.

Preliminary, preamble, second sentence:

The purpose of these Regulations is to provide sound arrangements for internal financial management, accounting and control, and promote best value for money and compliance with the University’s legal and financial obligations.

Paragraph 2.2(b) (Ethical Principles), last sentence:

See also Financial Regulation 20.

Paragraph 3.1 (Staff Responsibilities), bullet 5:

[Staff shall, irrespective of sources of funding:]

•use University resources economically, efficiently, effectively, to secure value for money, and to promote the Environmental Sustainability Policy;

Paragraph 4.2 (Heads of Department, Definition and Responsibility), bullet 5:

[Heads of Department shall ensure:]

•that these Regulations and other University policies are publicized and observed within their Department; and

Paragraph 6.3 (Authority to Sign Contracts):

6.3. The Head of the Research Operations Office shall approve and sign all contracts relating to sponsored research activity (but not purchasing, for which see Regulation 18.2). Small collaborations directly related and subsidiary to a purchase may be executed as part of that contract provided the Research Operations Office is consulted.

Paragraph 8.1 (Documentation, Liability, and Performance):

8.1. Procurement Services is responsible for the safekeeping of the original contracts it executes. Otherwise the Head of Department is responsible. If required, the Registrary or Procurement Services will keep the documentation for contracts affecting more than one Department.

Paragraph 8.3 (Documentation, Liability, and Performance), bullet 2:

[Contract performance shall not begin before:]

•the contract has been executed; or the person executing it is satisfied that key terms have been agreed and the risks created by delay outweigh the risk of proceeding prior to full contractual agreement.

Paragraph 9.3 (Accounting and Other Records):

9.3. Record keeping must comply with data protection legislation. The University is subject to the Freedom of Information Act 2000 and members of the public may request copies of University documents. Staff must follow the guidance published by the University’s Information Compliance Office and take that Office’s advice as necessary.

Paragraph 11.1 (Section 11 is retitled ‘Management of Expenditure and Use of Resources’)

11.1. Heads of Departments are authorized to incur expenditure not exceeding the limits of funds available to the Department. They are responsible for ensuring that monitoring and control arrangements are adequate to prevent over-commitment of expenditure; that all funds under their control are used only for the purposes for which they are allocated; and resources are used in accordance with the Environmental Sustainability Policy. The Head of Department (or budget holder where authorized by the Head of Department) shall approve expenditure.

Paragraph 11.2:

11.2. The Financial Procedures Manual lays out further financial requirements and guidelines, including in respect of travel, subsistence, and entertainment and related matters.

Paragraph 12.1 (Supplying Goods or Services including Research), bullets 4, 6, 7, and 9:

[Heads of Departments must establish procedures to ensure that:]

•the University’s standard terms and conditions are applied where possible;

•[bullet 5]

•the liability for all taxation is established and tax is charged and accounted for as appropriate (see Regulations 25 and 29);

•except for research contracts, which are subject to Regulation 13, the full economic cost to the University is recovered, unless the advice of the Taxation Section is sought and it is appropriate to do otherwise having regard to the particular circumstances;

•[bullet 8]

•sales to staff or their families below the cost incurred by the Department in providing the benefit (including where no charge is made) are recorded and reported as a taxable benefit at the end of the tax year (see Regulation 21.2);

Section 13 (Research Grants): By replacing all references to the ‘Research Office’ with references to the ‘Research Operations Office’.

Paragraph 18.3 (Obtaining Goods, Services, or Construction Works): By replacing the reference to ‘Regulations 18.5 to 18.9 inclusive’ with a reference to ‘Regulations 18.4 to 18.9 inclusive’.

Paragraph 18.5 (Obtaining Goods, Services, or Construction Works):

18.5. All purchasing shall be based on a specification drafted after consultation with anticipated users and assessment of the associated risks and environmental impact. The Procurement Procedures provide further guidance on purchasing and sustainable procurement.

Paragraph 19.2 (Receipt of Goods or Services, Payments for services to individuals):

19.2. Invoices must be checked and not authorized for payment until the goods or services have been checked, unless authority is in place to pay in advance (see Regulation 18.4) and those exceeding £1,000,000 have been countersigned by the Director of Finance.

Paragraph 20.2 (Bribery, Fraud, and Irregularity): By replacing ‘any Fraud or irregularity’ with ‘any Bribery, Fraud, or irregularity’.

Paragraph 24.1 (Overseas Activity), last sentence:

Consent shall not be deemed to override the need to take all necessary advice and obtain any other approval from University bodies including the General Board.

Paragraph 27.1 (Section 27 is retitled ‘Third Parties occupying University space’):

Heads of Department and EM shall maintain departmental and corporate registers of any third party organization occupying University space (Embedded Companies). Heads of Department shall also ensure that procedures are in place to regulate the presence of visitors to the Department, including the signature of visitor agreements as necessary.

Paragraph 27.2:

27.2. Heads of Department shall in respect of Embedded Companies:

•undertake financial and space cost benefit analysis for all new and (periodically for) existing Embedded Companies;

•comply with Regulation 29;

•take advice from EM and the Taxation Section and seek permission from the RMC as necessary;

•ensure that Embedded Companies comply with health and safety requirements;

•use the University’s standard terms and conditions for third party occupation where possible;

•obtain evidence of Public Liability and employer’s insurance annually; and

•identify, and deal appropriately with, conflicts of interest.

Paragraph 31.6 (Salaries and Staff Appointments):

31.6. Individuals may not be paid as suppliers through CUFS unless the Taxation Section has given prior written consent including as to the contract terms used.1

Paragraph 33.1 (Stores and Equipment):

33.1. Stores and equipment shall be dealt with as set out in the Financial Procedures Manual. Assets bought with University income irrespective of the source of funding remain the property of the University until sold, gifted, or destroyed, unless contracts with external sponsors specify otherwise.

Section M (Explanatory Note):

•The University endeavours to conduct University Business in accordance with the Nolan Principles.2

•The Council is the principal executive body and policy making body of the University. The Council has general responsibility for administration, planning of work, management of resources, and general supervision of finances of all University institutions.3 It has the authority to take legal advice and conduct proceedings on behalf of the University.4 The Council and its Finance Committee exercise the University’s powers of investment subject to certain restrictions.5 The Council has responsibilities in relation to the care, management, and maintenance of property.6

•The Vice-Chancellor has the customary rights and duties of the office7 and is the designated officer responsible to the Public Accounts Committee.

•Pro-Vice-Chancellors perform duties as prescribed by Statutes and Ordinances, the Council, or the Vice‑Chancellor.8

•Heads of University Departments and Secretaries of Faculty Boards have financial responsibility under Statutes and Ordinances, and are accountable for the proper application of funds.9 Heads of other institutions are similarly responsible under particular provisions of Statutes and Ordinances.

•Acting Heads of Department may be appointed during a vacancy and count as Head of Department. The General Board appoints Deputy Heads and defines their duties and powers.10

•The Registrary is the principal administrative officer of the University under the direction of the Council and is the head of the Unified Administrative Service.11

•The University Offices form the Unified Administrative Service under the supervision of the Council and are organized in Divisions.12

•Special Ordinance A (vii) 4 provides for delegation by any University body to any committee or University officer (including in relation to finance) subject to Statutes and Ordinances.

•The Audit Committee has responsibilities under Statutes and Ordinances. The University’s internal and external auditors have unrestricted access to all records, assets, personnel, and premises and the right to obtain such information and explanations as they consider necessary. The OfS, Research England, HM Revenue and Customs, and others may also have the right to audit University Business.

•The purpose of the EU Public Procurement Directives and implementing UK Regulations is to encourage competitive tendering for public contracts throughout the European Union. The Council, on the advice of their Finance Committee, declared the University to be outside their scope in December 2003. It reviews and confirms this status annually. The Council intends that the University’s procurement procedures should continue to follow the good practice set out in the Regulations.

•In addition to compliance with Financial Regulations Staff must also comply with the requirements of Statutes and Ordinances and the Sites and Building Regulations.

•Ethical guidance on acceptance of donations and the provisions for acceptance of donations by or with the authority of the Vice-Chancellor are set out in Ordinances.13

Schedule 2 (Definition, Advice, and Guidance):

By removing the definitions for ‘Payment Card Industry Data Security Standards’, and ‘Research Office’.

And by inserting or amending the following definitions:

Embedded Company	A third-party organization (often but not always a company) occupying University premises or whose employees’ normal place of work is on University premises, other than as temporary visitors or to provide services to the University.
Environmental Sustainability Policy	As approved from time to time by the Council.14
Written	In writing, including submission by fax or email or using web tendering facilities provided by the University.

And in ‘Further Guidance’,

by replacing the reference to the ‘Research Office’ with a reference to the ‘Research Operations Office’; and

by replacing the reference to the ‘Registrary’s Office (Data Protection and Freedom of Information)’ with a reference to the ‘Registrary’s Office (Information Compliance Office)’.