1 of 11 30/11/ :13

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1 1 of 11 30/11/ :13 Return to contents page Question 1 Annual Monitoring Statements All responses Do your indirect funding agreements (sometimes known as 'franchise agreements' or 'franchises') with further education colleges provide security of funding and student numbers for a minimum of three years? No - If no please give further details No - If no please give further details Our partnership arrangements do provide security of funding and student numbers on a negotiated basis, although not formally written in to our collaboration agreements. We will be reviewing our partnership strategy in the light of the new funding arrangements and as part of this process will consider, in discussion with each partner college, a revised plan for partnership student numbers. Our partnership strategy is currently built on complementarity of provision, quality assurance, support for HE delivery and funding and, as a result of the shift away from HEFCE funding to tuition fees, we are considering the role of partner colleges in the University's response to the new funding regime. Depending on the future of HEFCE's student numbers control, we will continue to manage student numbers at partner colleges within agreed limits. We have very limited price group B provision at partners and will rewrite our partnership financial agreements accordingly, taking into account new fee income.

2 2 of 11 30/11/ :13 Question 2 Have you adhered to the objectives of the Overseas Research Students Awards Scheme (ORSAS) for as set out in the terms of funding (HEFCE Circular letter 21/2005)? No

3 3 of 11 30/11/ :13 Question 3 Funding for ORSAS ends in July 2011 and any sums unspent at that stage are likely to be reclaimed by HEFCE. For you received 102,355 for ORSAS. Did any funds remain unspent at the end of AY ? No - If 'yes' please include the following in your response: a) How much was unspent as at 31 July 2010? b) Please explain the reasons for this in not more than 100 words. c) What steps are you taking to address the underspend during ? (This should include any spending since 31 July 2010.) a) 21,028 - If 'yes' please include the following in your response: a) How much was unspent as at 31 July 2010? b) Please explain the reasons for this in not more than 100 words. c) What steps are you taking to address the underspend during ? (This should include any spending since 31 July 2010.) b) Variation in actual expenditure versus planned relates to changes in student behaviour. Normally students who intermit (take leave of absence) are not eligible for funding for a period of time. c) We have continuing ORSAS students registered in and any underspend from last year will be used to fund these students.

4 4 of 11 30/11/ :13 Question 4 Have you made progress as planned in towards delivering the activities and outcomes you set out in your Higher Education Innovation Fund round four (HEIF 4) strategy? No - If 'no' please explain the reasons for this, in not more than 100 words

5 5 of 11 30/11/ :13 Question 5 Funding for HEIF 4 ends in July 2011, and we reserve the right to reclaim substantial unspent sums. For your higher education institution received 1,243,290 for HEIF 4. Did any funds remain unspent at the end of AY ? No - If 'yes' please explain the reasons for this, in not more than 100 words. (This should include any spending since 31 July 2010.) - If 'yes' please explain the reasons for this, in not more than 100 words. (This should include any spending since 31 July 2010.) Total spend during was 1,131,826 with an additional 74,450 committed to ongoing projects approved during as part of our Knowledge Transfer Innovation Fund (KTIF) scheme and 20,600 committed to IPR costs. The remaining underspend of 16,714 is attributable to changes in staffing levels (maternity/adoption leave involving three members of staff and one resignation) during the year. Of the 74,450 committed to KTIF projects, 14,203 has been spent between 01 August and 28 October Patent filings have been delayed while further evaluations of commercial potential are completed and additional patent searches undertaken.

6 6 of 11 30/11/ :13 Question 6 Please provide a summary (250 words maximum) of the key achievements of the year linked to HEIF 4 formula funding, referring to flagship projects identified in your institutional strategy. The fourth round of our Knowledge Transfer Innovation Fund (KTIF) has been launched with a focus on supporting staff who have limited experience of knowledge exchange. The previous three rounds have seen 55 projects funded involving academics from 16 of out 17 departments. Projects range from working with disabled children to test rehabilitation robots, to the launch and operation of NGO Clinic and creation of a Third Sector Network. Some 5 KTIF funded projects have facilitated the building of relationships with businesses leading to the development of KTP applications. Our KTP portfolio has increased from two programmes at the start of HEIF 4 to the current nine programmes and now includes departments outside the faculty of science and engineering. Our Business Hub at the Southend campus has expanded its training programme to include topics such as search engine optimisation and the use of social media in marketing, which have proved to be very popular with local businesses. HEIF has also enabled the establishment of Southend's growing CPD portfolio. Student enterprise and employability activities have grown apace with the establishment of an Employability Action Group with representatives from all key stakeholder groups across the University. Initiatives launched during include the Essex Apprentice, Big E Awards, participation in the Prince's Trust Million Makers programme and the Essex Boot Camp ( Our Enterprise Board continues to make valuable contributions to our knowledge exchange activities from securing external support for the evaluation of commercial opportunities to reviewing and challenging our policies and processes.

7 7 of 11 30/11/ :13 Question 7 Our overview of HEIF 4 strategies (HEFCE 2008/35) identified that the major external risks to delivery of HEIs' knowledge exchange (KE) strategies came from changes in external demand and related income (from businesses, public services and so on), and external sources of support for KE (such as EU sources or Regional Development Agencies). These risks have continued to be significant due to the impacts of the recession on the private sector, and now impacts of reductions in public spending and new regional and local arrangements. There may also be changes in 'core' HE funding streams that may impact on KE strategies and their use of HEIF funds. Please give details of increased risks that have already materialised following reductions in funding and income. In 2009 and early 2010 a significant increase in free training for businesses to support them during the economic downturn had a measurable negative impact on the numbers of delegates attending our Business and Management Training courses. We anticipate that these free courses will now cease following the introduction of significant reductions in public spending although demand for our courses may continue to be suppressed if the private sector refrains from investing in staff training and development until signs of economic recovery are more stable. We have limited income from regional and local funding streams and risks associated with reductions in these funding streams have, so far, had no significant impact on our KE activities. Increases in other risks as a result of reductions in funding have yet to impinge on our knowledge exchange operations.

8 8 of 11 30/11/ :13 Question 8 Please also give details of anticipated risks in the coming year. While those external risks already identified have not materialised so far, we anticipate that reductions in public spending are likely to have an impact as contributions to public policy via contract research, consultancy and professional development is a major strand in our knowledge exchange portfolio. A change in focus in Government policy in relation to HEIF could also have a significant impact on our Knowledge Exchange strategy, particularly if greater emphasis is placed on the commercialisation of technologies without supporting the related social impact of new technologies. A narrowing of the focus of KE support, while understandable in the current economic climate, would be a retrograde step in terms of supporting diversity in knowledge exchange - diversity which could play a vital role in supporting local communities and social enterprises during a period of financial constraint combined with an expectation from central Government that these groups will have an important role to play in economic recovery.

9 9 of 11 30/11/ :13 Question 9 Please also give details of changes you may be making to your KE and planned use of HEIF in the light of risks that have already materialised or may be anticipated. In anticipation of reduced funding and income to support knowledge exchange activities we are undertaking a review of the Research and Enterprise Office with input from Southern Universities Management Services (SUMS) and our Enterprise Board members. The review was also prompted by the need to align our KE strategy with the strategic plans developed by the four faculties (the new faculty structure was introduced at the University in 2008). Increasing our focus on developing and implementing integrated solutions by leveraging our interdisciplinary approach to research will be a key task. This will almost inevitably result in a reduction in the diversity of KE activities currently supported as HEIF is directed even more to the delivery of value-adding income-generating services. An example of the support provided for the recently established interdisciplinary Institute for Democracy and Conflict Resolution ( ) which draws on research, training, and practical expertise in the areas of democracy, conflict, human rights, justice, and governance to provide a wide range of knowledge transfer activities that will be of interest to policymakers, think tanks, non-governmental organisations, and private companies.

10 10 of 11 30/11/ :13 Question 10 Have you made progress or met your objectives from last year as set out in your equality action plan? No

11 11 of 11 30/11/ :13 Question 11 Please describe, in no more than 250 words, what progress you have made in meeting those objectives. We were pleased that we met all of our equality targets for 2010 and in some cases exceed them. We also made satisfactory progress on each of our equality schemes for race, gender and disability. We have continued with our programme of equality impact assessments (EIAs) and will be rolling out a new system of departmental and section EIAs shortly. Question 12 If you have encountered difficulty in meeting those objectives, please give further details including any barriers to implementation (NB - if you have not encountered such difficulty please write 'not applicable' in the text box below) The Equality and Diversity Committee (EADC) was due to agree new equality targets for 2013 at the May 2010 meeting. However target setting was deferred to February 2011 pending the publication of the Equality Act 2010 (the Act) in October This was to ensure that our targets would be in compliance with the requirements of the Act. We are presently drafting a single equality scheme consisting of; a single equality policy, a single equality strategy and an action plan in order to comply with the Act. The scheme will be presented to the February meeting of EADC and new equality targets will form part of this exercise (see the answer to Question 14 below). Question 13 Please use this space to highlight any particular achievements (NB - otherwise please write 'not applicable' in the text box below) We were pleased to be re-accredited for the "two ticks" symbol "positive about disability" by having our progress in all five objectives approved. We have become a member institution for the HEFCE/University of Leeds International Staff web site and have completed the local information. Significant numbers of staff have now completed the on line Equality and Diversity training, training in Disability Awareness and Developing Inclusive Practice and Curriculum, Recruitment and Selection training and various briefings and tailored equality and diversity events including Working with International Students. We have supported various events throughout the year including International Women's day, Black History Month, Ban Bullying at Work day, and the programme of events presented locally by the LGBT Society. We have also established a work Experience Scheme for disabled people. Question 14 Please briefly describe your key equality objectives and/or actions for As a temporary measure we have rewritten and published all our equality policies and codes of practice in line with the requirements of the Equality Act Our objectives for are to continue with the actions and objectives in our existing equality schemes whilst, at the same time, drafting our new single equality scheme which will be presented to EADC in February 2011 and published for 1 April The new scheme will replace the existing schemes and the existing suite of policies and will be linked to the University's strategic plan and HR strategy. The equality targets, objectives and generic and specific actions will be linked to the protected characteristics in the Act and will be informed by the present equality schemes and recent surveys we have conducted for both students and staff. We intend to implement a new system of departmental and section EIAs, complete the development of an on line Recruitment and Selection course and launch it on all campuses. Question 17 Please sign off the return with your name and job title. There is no need to provide HEFCE with a hard copy. Name Professor Colin Riordan Position Vice-Chancellor