Section 8.7 - Approval and Post approval Management

The first stage of development and approval takes collaborative partnership proposals from conceptual stage through to being granted Strategic Approval. In conferring Strategic Approval, the Collaborative Provision Committee (CPC) may require a Memorandum of Understanding (MOU) to be signed and exchanged where one does not already exist, and will formally approve the project to proceed to the next stage. The MOU is essentially a non-binding declaration between the University and the prospective partner stating an intention to collaborate in the future. MOU’s are typically valid for 5 years.

To obtain Strategic Approval, projects must progress through the following steps:

Faculty Approval:

Prior to approaching the Academic Partnerships Office, all proposals should be discussed, and where necessary approved (dependent upon risk level of proposed Partnership), at Faculty Level.  Low risk arrangements such as non-credit bearing CPD and work-based placements will not need to be centrally approved, managed or reviewed by CPC; they may be organised and managed at Faculty level.  Each Faculty must maintain a comprehensive register of all such activity and must inform CPC of any new activities, for information purposes only.

Initial Due Diligence:

Once Faculty Approval has been given, colleagues should contact the Academic Partnerships Office for guidance on the development of their proposal. In the first instance, colleagues will be invited to meet with a member of staff in the Academic Partnerships Office to clarify details of their proposal and the type of collaboration intended. Where the type of collaboration is developed through another section of the University, colleagues will be signposted as necessary.  Where the proposed collaboration is within the remit of the Academic Partnerships Office, support will be offered to the academic department in conducting Initial Due Diligence.

Approval to Proceed/Terminate:

At this stage, the proposal will be risk rated on the basis of these initial enquiries.  The level of Strategic Approval required will depend on the type of collaboration (see Section 8.2).

 

The second stage of development and approval takes collaborative Partnership proposals from conceptual stage through the scrutiny stage to the final approval and signing of a Memorandum of Agreement (MOA).  At this stage, projects are subject to detailed due diligence as they are developed for approval at University level. For larger projects, it is advisable for a full project board to be convened early during this stage to map out and plan for full project development.

To ensure compliance with QAA guidelines, Financial and Quality Assurance Due Diligence are initially considered separately. Financial Due Diligence is managed by the Finance Department and considered by either the University Executive or Director of Finance, as appropriate whereas Quality Assurance and Academic Due Diligence is considered by the Collaborative Provision Committee (CPC).

Quality Assurance Due Diligence:

Following receipt of a signed MOU, the proposed partner will be invited to complete the University’s Due Diligence Questionnaire.  This provides the University with the first opportunity to consider in detail the suitability of the partner and its capacity to deliver the proposed programme.  A Site Visit or Quality Assurance Visit, depending on the level of scrutiny required, should be arranged at the proposed partner institution.

Financial Due Diligence:

Financial Due diligence is overseen by the Finance Office, and the appropriate Finance Business Partner will work with the Academic Department to develop the project business case and present the final version to the appropriate committee for approval. The Finance Business Partner will be responsible for ensuring that this process is completed and will notify the Academic Partnerships Office and Academic Department once the process is complete. Moreover, the Finance Business Partner will review and advise upon any financial submissions presented by the proposed partner as part of their response to the Due Diligence Questionnaire. The Finance Business Partner will also consider any potential tax implications of the project and seek external advice as appropriate in a timely manner.

Business Case:

Business Cases must be completed for high-risk collaborative activity. The financial arrangements of collaborative arrangements must be fully and accurately costed, including provision for monitoring and external examining arrangements, before the Memorandum of Agreement can be signed and approved. The financial implications of any project must be discussed with the Finance Office, and must comply with the University’s Financial Regulations.

Business Cases require the approval of the University Executive before the collaborative partnership can proceed further.  A copy of the Business Case must also be submitted to the Collaborative Provision Committee (CPC) for information.

Academic Development and Programme Approval:

The level of scrutiny required in this strand will vary depending upon whether the proposed collaboration involves a new scheme not currently taught at Aberystwyth University, or the adaptation of a scheme currently taught on campus. Approval processes for new and/or amended module and schemes follow the standard Aberystwyth University processes. Where a new scheme is proposed, the department must ensure that all University Module/Scheme Approval Documents are completed and submitted as detailed in Section 2 of the Academic Quality Handbook.

Programme Validation/Approval Panel:

Membership should comprise of a Chair (typically an ADLT from outside the proposing academic department), the scheme proposer(s), a minimum of one academic member of staff with critical distance from the proposed scheme, a student representative, a member of staff from Academic Registry, and External Assessor (if required).

Institutional Site Visit:

Prior to the development of an MOA, all new prospective collaborative arrangements, along with existing provision where approval to deliver programmes in a new subject area is being sought, will be subject to an Institutional Visit. At the discretion of the Collaborative Provision Committee (CPC), the visit can be deemed unnecessary for joint programmes involving institutions with a well-established reputation.

 

The Memorandum of Agreement (MOA) must be signed between the University and the partner, setting out the rights and obligations of all parties. The terms of the Agreement for Collaborative Academic Partnership Programmes will have been discussed and agreed during the programme development phase. The agreement will be signed on behalf of the University by the Vice-Chancellor (or his/her nominee) and by his/her counterpart in the partner organisation.

The Memorandum of Agreement will specify the term of the agreement and the conditions pertinent to a particular programme, including its aims, academic structure, professional requirements, resources and staffing. Where the partnership is supported by external grant funding the agreement may be replaced by a completed grant application and award letter signed by both parties.

The Memorandum of Agreement will contain a financial appendix, providing a detailed fee structure and a responsibilities checklist outlining which institution is responsible for monitoring and developing different aspects of the programme.

Following full approval of the collaborative activity, and receipt of a signed Memorandum of Agreement (MOA), the agreed programme will become live on relevant University systems.

Set-up:

Depending on the nature of the project, various actions may need to be taken in preparation for the enrolment of students. For larger projects, it is advised that the project board is convened early during this stage to plan for these operational developments.

Operational Management:

Once a collaborative proposal has completed the approval process, the collaboration will be recorded on the University’s Collaborative Provision Register.  To ensure the smooth running of each high-risk collaborative partnership project, an Operational Manual will be produced for each high-risk partnership project to set out how the partnership will be managed on a day-to-day basis and confirm the responsibilities of each partner as detailed in the MOA.  For each high-risk collaborative partnership project, a Joint Programme Board (JPB) shall be convened twice annually, ordinarily once per semester. Chaired by the Aberystwyth University designated Partnership Programme Leader, the JPB serves as an operational management committee for key individuals representing both partners to review the operational and quality assurance arrangements and develop practice as appropriate.

Monitoring and Review:

In accordance with the requirements the UK Quality Code for Higher Education: Partnerships, collaborative partnerships must be regularly monitored throughout their lifecycle to ensure they continue to achieve their original objectives. As such, appropriate and proportionate due diligence will be periodically conducted, enabling the University to assure itself of the ongoing governance, ethos, status, capacity, reputation, general suitability of a partner and any changes to the level of risk involved in the collaboration.

Partner Performance Evaluation:

For the University to assure itself of the ongoing governance, ethos, status, capacity, reputation and general suitability of a partner, periodic risk assessments and due diligence checks must occur. This will ensure the University has an up to date picture of each partner’s ongoing suitability to offer a student experience commensurate with that provided at AU.

To address this QAA responsibility and as part of ongoing due diligence, a periodic Partner Performance Evaluation (PPE) will be conducted at regular intervals as determined by the University for each collaborative Partnership. The timing of the PPE may be varied as deemed necessary by the University.

Renewal of an Agreement:

Renewal of an existing Partnership agreement will follow the same process as that for any new Partnership process, with the PPE review being taken into account along with usual updates to due diligence and risk assessments. The MOA can be reviewed and updated as required by both/either party or can be replaced as necessary.

Conclusion of an Agreement:

The conclusion of a low-medium risk Partnership is through termination of the MOA (according to the process outlined in the contract) by either partner, or by expiry of the MOA.

The conclusion of a high-risk category Partnership is through termination of the MOA (according to the process outlined in the contract) by either partner, or by expiry of the MOA.