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EXECUTIVE BOARD OPEN AGENDA Monday 11 th May 2015 (Room 115) I Minutes To approve: minutes of the meeting held on 27 th April 2015 [Attached] II Action Points [Oral Updates] III Matters Arising/Matters for Report [Oral Updates] IV Deans Committee Memberships To approve: a paper from the Director [Appendix A] V SOAS retention schedule To approve: a paper from the Secretary [Appendix B] VI Governing Body Informal Meeting – 21 st May [Oral Update] VII National Student Survey Response Rate - 2015 To note: a paper from the Pro-Director (Learning & Teaching) [Appendix C] VIII OFFA access agreement 2016-17 To consider: a paper from the Pro-Director (Learning & Teaching) [Appendix D] VII Health & Safety Policy To consider: a paper from the Secretary [Appendix E] VIII Risk Register (Audit Committee 28 th May 2015) To consider: a paper from the Secretary [Appendix F] IX Draft Agenda for RPC (9 th June 2015) To note: a paper from the Director of Finance & Planning [Appendix G

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Page 1: EXECUTIVE BOARD OPEN AGENDAThese minutes are for information only. Any corrections to the minutes will be recorded in the minutes of the subsequent meeting of the committee. that the

EXECUTIVE BOARD

OPEN AGENDA

Monday 11th May 2015 (Room 115)

I Minutes

To approve: minutes of the meeting held on 27th April 2015 [Attached]

II Action Points

[Oral Updates]

III Matters Arising/Matters for Report

[Oral Updates]

IV Deans Committee Memberships

To approve: a paper from the Director [Appendix A]

V SOAS retention schedule

To approve: a paper from the Secretary [Appendix B]

VI Governing Body Informal Meeting – 21st May [Oral Update]

VII National Student Survey Response Rate - 2015

To note: a paper from the Pro-Director (Learning & Teaching) [Appendix C]

VIII OFFA access agreement 2016-17

To consider: a paper from the Pro-Director (Learning & Teaching) [Appendix D]

VII Health & Safety Policy

To consider: a paper from the Secretary

[Appendix E]

VIII Risk Register (Audit Committee 28th May 2015)

To consider: a paper from the Secretary [Appendix F]

IX Draft Agenda for RPC (9th June 2015)

To note: a paper from the Director of Finance & Planning [Appendix G

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X Draft Agenda for Academic Board (10th June 2015) To note: a paper from the Director

[Appendix H]

X University of London Scholarship Funds

To note: a paper from the Director [Appendix I]

XI Erasmus Plus – Aladdin Project Bursaries

To approve: a paper from the Dean of Languages & Cultures [Appendix J]

XI Environmental Management System Update

To note: a paper from the Secretary [Appendix K]

XII Circulars received

To note

[Appendix L]

Page 3: EXECUTIVE BOARD OPEN AGENDAThese minutes are for information only. Any corrections to the minutes will be recorded in the minutes of the subsequent meeting of the committee. that the

Executive Board Open Minutes 27.4.15_Chair Approved

These minutes are for information only. Any corrections to the minutes will be

recorded in the minutes of the subsequent meeting of the committee.

SOAS, UNIVERSITY OF LONDON

EXECUTIVE BOARD

Monday 27th April 2015

OPEN MINUTES

Members: Professor Paul Webley (Chair) Mr Graeme Appleby

Professor Richard Black Professor Matt Craven Ms Dalia Dasgupta Ms Laura Gibbs Professor Anne Pauwels Professor Nirmala Rao Professor Gurharpal Singh

In attendance: Dr Chris Ince (Minutes) Apologies:

192. Minutes The minutes of the meeting on 20th April 2015 were approved. 193. Action Points (i) MIN190 – Heads Forum EB noted that the Head of the School of Arts had agreed to give a departmental presentation at the next meeting. 194. Matters Arising/Matters for Report (i) National pay negotiations The Director reported that the third JINCHES meeting had taken place with an offer of 0.9% from the employers along with further changes at the lower spinal points. A final meeting would take place on 12 May. (ii) Evening Standard EB noted that there had been an article in the Evening Standard about the rent strike initiated by SOAS students in the halls of residence run by Sanctuary. A meeting was planned later in the week between the parties concerned. (iii) Centre for Black Culture and International Understanding The Pro-Director, Research & Enterprise reported on a visit from the CBCIU. This had discussed student and staff exchanges as well as the possibility of bringing an exhibition to the Brunei Gallery.

Page 4: EXECUTIVE BOARD OPEN AGENDAThese minutes are for information only. Any corrections to the minutes will be recorded in the minutes of the subsequent meeting of the committee. that the

(iv) Violence against women campaign The Registrar reported she had held a positive meeting with the campaign group on this topic and a number of issues around policies and training would be taken forward through the School’s Diversity Office. (v) Nepal earthquake EB discussed the recent earthquake in Nepal and the potential impact on students and staff. 195. Circulars Received [Appendix A] EB noted the recent circulars. The Director and Director of Finance & Planning would agree a response to the HEFCE consultation on institution-specific funding.

- 2 -

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EXECUTIVE BOARD: Action Points 2014/15

Minute Item Action 2014/15 Deadline for

report to EB By

37 EB Away Day Provide model and shape scenarios

TBC GA

177 Risk Register Revisions to Risk Register prior to next Audit Committee

18/5/15 CI

187 Strategic Plan Discussion at next Heads Forum 11/5/15 CI

195 Circulars Agree response to HEFCE consultation on institution-specific funding

11/5/15 PW / GA

- 3 -

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EXECUTIVE BOARD 11.5.15 APPENDIX A

Deans' Committee membership 2015/16 onwards

Executive Board is asked to approve recommendations relating to the Deans' committee membership. Executive Summary The Deans are non-ex-officio Chairs and members of several committees, normally nominated by the Director or one of the Pro-Directors. Where no nominator is specified, this role is undertaken by EB. Given that Professor Pauwels will be stepping down in the summer, and Professor Craven will be stepping down at the end of the calendar year, it is necessary for these nominations to be reviewed. The current position is shown below. Please note that the list below only includes those committees where membership is contingent on being a Dean. The membership of any other committees on which the Deans sit will be dealt with under the normal process for determining committee memberships. Professor Matt Craven Member of EDC (nominated by the Director) Member of EIC (nominated by the PD who is a member of EIC) Member of HRC (nominated by the Director) Professor Anne Pauwels Chair of EDC (academic member of EB, nominated by EB) Member of ERCC (nominated by the PD who is a member of ERCC) Chair of SEC Professor Gurharpal Singh HDFC (nominated by the Director) Member of ISC (nominated by PD who is a member of ISC) Chair of LTQC Recommendations Having discussed the matter with the Pro-Directors, I am putting forward the recommendation that, for the committees listed above, the new Deans take over the committee responsibilities of their predecessors.

a) Professor Chris Bramall takes committees from Professor Matt Craven b) Professor Lutz Marten takes committees from Professor Anne Pauwels c) Professor Gurharpal Singh remains on the committees he is currently on.

It is also proposed that Professor Lutz Marten becomes a member of the Centenary Planning Group.

Financial Impact N/A Risks N/A Equality implications N/A Professor Paul Webley, 6 May 2015

1

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EXECUTIVE BOARD 11.5.15 APPENDIX B

SOAS Master Retention Schedule

EB is asked to approve the recommendations in the SOAS retention schedule

Executive Summary The Records Management Project is part of the Enhancing Services for Staff Programme. As part of this project, information surveys are being carried out across the School in order to gather information about SOAS current recordkeeping practices and processes. The retention schedule is based on operational need, legal compliance and best practice and guidance. The SOAS master retention schedule has now been updated based on the findings of the Professional Services information surveys and is submitted to Executive Board for approval with Chris Ince as Sponsor. Once approved by EB, the retention schedule will appear on the SOAS website with accompanying guidelines.

Recommendations Approve revisions to retention schedule

Financial Impact None

Risks Without the retention schedule documenting records retention, there is a risk that staff are not keeping records properly. If we are not keeping records correctly, we face the following risks:

- Breaching our legal requirements by not keeping records for the legally required period e.g. HMRC

- Non-compliance with the Data Protection Act and Freedom of Information Act, which can be a criminal offence

- Higher storage costs if we are keeping more records than we need to - Loss of information and data - Retaining unnecessary records can lead to staff time being wasted searching for

information

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Equality implications None

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SOAS Retention Schedule

The retention schedule lists all the major administrative records that the School creates, manages and maintains in the course of carrying out the business activities of the School. The schedule covers all SOAS records, regardless of format (e.g. paper and electronic). It provides guidance on how long records should be kept for based on business needs, legal, regulatory and statutory requirements, risk management, best practice and historical value. Staff should refer to it when making decisions about retaining and disposing of records.

How is the retention schedule being developed?

As part of the current records management project information surveys are being undertaken across the School to gather more information about the major records being kept by the organisation. As a result of the findings of the surveys, discussions with staff and approval from Heads of Department, the retention schedule is being updated.

How is the retention schedule structured?

The retention schedule is based on the HE JISC model retention schedule and therefore takes a functional approach rather than one based on the organisational structure of the School. This allows for greater flexibility with organisational change and also takes into account that some of the same groups of records are created and maintained by more than one department.

The records are divided by function and then by activity. The activity is the task that needs to be performed to complete the functions we carry out within the School in order to fulfil our responsibilities.

Within each activity are the record categories, the different types of records that are created and managed as part of the activity.

Below is an explanation of the purpose of each column within the retention schedule:

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Major changes to the retention Schedule since February 2014

1. The retention schedule has been reformatted to include a table of contents which will make the retention schedule easier to navigate:

2. Further record categories have been added to the retention schedule following the completion of information surveys of Professional Services departments. Any changes are in red on the retention schedule. To see the full retention schedule, please follow this link

Staff can click on the hyperlink in the table of contents and this will take them to the relevant section of the retention schedule

Examples of what type of documents are under this record category

Which department (s) holds this record

Reference number for each record category

The set period of time that a record within that category must be retained for

Action that needs to be taken at the end of the retention period, e.g. transfer to special collections,

An example to help calculate when to review the record

The authority that informs the decision on how long to keep the record, e.g. operational need, best practice, legislative or regulatory requirement or historical value

When the record category was last added or amended on the retention schedule

What format the records are in, e.g. paper and electronic

Where the records are stored e.g. onsite, off-site, shared drive

Accessibility of records in this category. There are three levels: unrestricted, restricted and internal: SOAS Staff and Students

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Response Rate by:Main/NHS; Dept; Full/part time Sample

IssuedSample Eligible

Opt Outs

Refs Intvws Achvd

Resp. Rate

%

Intvws to

Threshold

Survey Phase

Intvws in Last 7 Days

Final Same time

H0146 School of Oriental and African Studies

739 739 - 8 457 61.84 - Tel 11 60.95 60.95

Excluding NHS 739 739 - 8 457 61.84 - 11 60.95 60.95

AN 29 29 - - 20 68.97 3 - 59.38 59.38 Full time 29 29 - - 20 68.97 3 - 59.38 59.38

AR 21 21 - 1 12 57.14 - - 70.37 70.37 Full time 21 21 - 1 12 57.14 - - 70.37 70.37

CH 24 24 - - 17 70.83 6 - 65.00 65.00 Full time 24 24 - - 17 70.83 6 - 65.00 65.00

CH/EC 12 12 - - 9 75.00 - - 100.00 100.00 Full time 12 12 - - 9 75.00 - - 100.00 100.00

DS/GE 11 11 - - 7 63.64 - - 66.67 66.67 Full time 11 11 - - 7 63.64 - - 66.67 66.67

DS/PO 18 18 - 2 8 44.44 - - 55.00 55.00 Full time 18 18 - 2 8 44.44 - - 55.00 55.00

EA 13 13 - - 7 53.85 - - - - Full time 13 13 - - 7 53.85 - - - -

EC 43 43 - - 26 60.47 - - 67.74 67.74 Full time 43 43 - - 26 60.47 - - 67.74 67.74

EC/PO 14 14 - - 11 78.57 - - 61.11 61.11 Full time 14 14 - - 11 78.57 - - 61.11 61.11

FM 41 41 - - 27 65.85 - 4 57.78 57.78 Full time 41 41 - - 27 65.85 - 4 57.78 57.78

HI 47 47 - 1 28 59.57 - - 52.11 52.11 Full time 47 47 - 1 28 59.57 - - 52.11 52.11

HI/PO 13 13 - 1 9 69.23 - - 50.00 50.00 Full time 13 13 - 1 9 69.23 - - 50.00 50.00

JK 35 35 - 2 17 48.57 6 - 62.79 62.79 Full time 35 35 - 2 17 48.57 6 - 62.79 62.79

LA 124 124 - - 75 60.48 - 1 70.33 70.33 Full time 124 124 - - 75 60.48 - 1 70.33 70.33

MU 11 11 - - 7 63.64 - 1 83.33 83.33 Full time 11 11 - - 7 63.64 - 1 83.33 83.33

NM 36 36 - - 17 47.22 6 - 56.10 56.10Full+part time 36 36 - - 17 47.22 6 - 56.10 56.10

PO 38 38 - - 18 47.37 5 - 66.67 66.67 Full time 38 38 - - 18 47.37 5 - 66.67 66.67

SR 33 33 - - 20 60.61 3 1 35.71 35.71 Full time 33 33 - - 20 60.61 3 1 35.71 35.71

Other 176 176 - 1 122 69.32 - 4 58.08 58.08 Full time 176 176 - 1 122 69.32 - 4 58.08 58.08

National Student Survey - 2015 Page 1 of 1

29-Apr-2015 Response Rate Reports FAQs

2014 RR:

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EXECUIVE BOARD 11.5.15 APPENDIX D

SOAS Access Agreement 2016/17 CONTENTS

1. Introduction and institutional context 2. Fees, fee rises and student numbers 3. Assessment of current performance in widening access and retention 4. Expenditure on access and student success

4.1. Investment in access and student success 4.2. Financial support

5. Activities for improving access 5.1. Targeting and evidencing impact 5.2. Widening access activities 5.3. Collaboration 5.4. Contextual data

6. Activities for improving success 6.1. Student success activities 6.2. Tracking and data

7. Targets and milestones 8. Monitoring and evaluation arrangements 9. Provision of information to prospective students 10. Consulting with students 11. Equality and diversity 1. Introduction and institutional context SOAS, University of London is the leading institution for the study of Asia, Africa and the Near and Middle East. SOAS uniquely combines language scholarship, disciplinary expertise and regional focus. It has the largest concentration in Europe of academic staff concerned with Africa, Asia and the Middle East. Significant growth is planned with the opening of the North Block in Senate House in 2016 which will allow SOAS to be a single site campus in the heart of Bloomsbury. It will bring many benefits for our staff and students, including new state-of-the-art research, teaching and student facilities as we prepare to commemorate our centenary in 2016 and as we plan for our next 100 years. SOAS’ core values underpin all of its activities; promoting equality and celebrating diversity, freedom of speech and tolerance, promoting cultural understanding, ethical standards, excellence, community, evaluation and self-reflection, transparency and accountability, and excellence. It is within this framework that SOAS evidences its continuous commitment to widening participation and fair access in ensuring equal opportunity for all students regardless of their background. This access agreement is informed by and aligns closely with other institutional strategies such as the newly developed Strategic Plan which brings together learning and teaching, research and enterprise, and public education and engagement. This close integration with high level strategic documents and their performance

1

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EXECUIVE BOARD 11.5.15 APPENDIX D indicators ensure a whole institutional approach which embeds wider participation and access at every level of the institution. SOAS’ approach for 2016/17 has largely remained unchanged based on evidence gathered through institutional reviews, evaluation and monitoring. Evidence shows that the strategic approach taken has resulted in an improvement in our access and student success performance. Based on this success our targets and milestones have been revised to ensure we continue to make progress. SOAS will continue to target our outreach, student support/retention activities and financial support at the most underrepresented students and have improve our evaluation and monitoring strategy to ensure we are best able to measure impact. SOAS have worked with our Students’ Union and prospective students in developing our approach in this agreement, particularly around outreach and financial support. This consultation has meant our agreement for 2016/17 is focused on continuing to build the evidence base for our outreach activities, engaging more academic staff and students in outreach and student success activities, and improving our targeting and evaluation procedures. 2. Fees, fee rises and student numbers SOAS proposes to charge a single undergraduate tuition fee of £9,000 for all degree programmes for new home/EU entrants in 2016/17. There is no justification for differential fees between programmes. Fees for students on year abroad programmes will be no higher than £1,725 and will rise in line with the regulations. The fee will increase with the Government’s permitted rise each year in line with the regulations. We estimate an intake of 719 home/EU undergraduate students in 2016/17.

3. Assessment of our current performance in access and student success SOAS is committed to increasing the participation of students from a variety of backgrounds. Although we recognise our contribution to the improved participation rates of the most disadvantaged students across the sector during the past 5 years, we continue to assess our performance against HESA widening participation of underrepresented groups. These measure the proportion of students from state schools, lower socio-economic groups, lower participation neighbourhoods and those in receipt of DSA. There has been a steady increase in the proportion of young students from state school and lower socio-economic group backgrounds since 2010/11. For latest data available (2013/14), SOAS exceeded the benchmark by 4.3% and 4.8% respectively. Less positive progress has been made with regard to the recruitment of both young and mature students from low participation neighbourhoods in 2013/14 which reflects the overall downward trend across the UK. The recruitment of young students from low participation neighbourhoods is 3.7% against a benchmark of 4.1%, and the recruitment of mature students from low participation neighbourhoods is 2.2% against a benchmark of 4.9%. The proportion of students in receipt of DSA has fallen since 2012/13 and is 0.1% below the benchmark. SOAS will need to target access activities at these hardest to reach groups to ensure an increase in participation rates. The table below shows the HESA performance indicators for widening participation for 2013/14: Measure SOAS Location-adjusted

benchmark UK Average

State school 81.6% 77.3% 89.7% NS-SEC 4-7 30.6% 25.8% 32.6% LPN – young 3.7% 4.1% 10.9% LPN – mature 2.2% 4.9% 11.9%

2

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EXECUIVE BOARD 11.5.15 APPENDIX D Students in receipt of DSA 6.3% 6.4% 6.9% Student success remains a key theme within this access agreement. HESA non-continuation rates for the latest data (2012/13) available show further investment and targeted activity is required to improve the non-continuation rates of young and mature entrants, and across the institution as a whole. There remains a significant difference between the continuation of young and mature students, where mature students are three times more likely to not continue than young students. For 2012/13 the non-continuation rate is 2.2% below the benchmark although in 2011/12 the difference was 2.9% which is a slight improvement year on year. Mature student non-continuation rate is 8.7% below the benchmark and has increased from a difference of 2.3% in 2011/12. The table below shows the HESA performance indicators for non-continuation for 2012/13: Measure SOAS Location-adjusted

benchmark UK Average

Young entrants 6.4% 4.2% 5.7% Mature entrants 20.6% 11.9% 13.1% All entrants 9.7% 6.3% 7%

The assessment above identifies five areas of focus for access and retention work:

1. Increased efforts needed to meet or exceed the benchmark for young students from low participation neighbourhoods

2. Significant increased efforts needed to meet the benchmark for mature students from low participation neighbourhoods

3. Increased efforts needed to meet or exceed the benchmark for students in receipt of DSA 4. Increased efforts to reduce the non-continuation rate of young students 5. Increased efforts to reduce the non-continuation rate of mature students

Improvements in participation and retention will require further consistent and focused work with those groups who are least represented in higher education. Support will also be required to ensure that student success rates are improved across SOAS. With this in mind SOAS has agreed the following prioritised areas for its outreach and retention work under this Access Agreement:

1. Recruitment of mature students from low participation neighbourhoods 2. Recruitment of young students from low participation neighbourhoods 3. Retention of young students, more generally 4. Retention of mature students, more generally 5. Recruitment and support of students in receipt of DSA

In addition to these priority areas SOAS will ensure success is maintained in the recruitment of students from state schools and students from lower socio-economic groups. Institutional data has been used to develop a refined set of targets and milestones that ensure SOAS works with the most disadvantaged within these categories. The aim is to increase the absolute numbers from these key groups and section 8 of this agreement represents a realistic but stretching set of targets. SOAS will increase investment in long term outreach and student success activities by redirecting funding from financial support, and evidence that our approach to outreach and success reflects our commitment to addressing access. The coordinated approach and focussed approach to access, student success and financial support is described in sections 5 and 6.

3

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EXECUIVE BOARD 11.5.15 APPENDIX D 4. Expenditure on access and student success measures

4.1. Investment in access and student success The table below show the split between financial support, outreach and retention expenditure between 2015-16 to 2019-20.

Year 1

2015/16 Year 2

2016/17 Year 3

2017/18 Year 4

2018/19 Year 5

2019/20 £

Forecast £

Forecast £

Forecast £

Forecast £

Forecast Financial support 1,075,000 1,135,000 1,136,500 1,148,500 1,148,500 Outreach 390,784 403,081 406,808 420,739 426,624 Retention and student success 370,714 409,146 482,809 489,031 495,655 Total expenditure 1,836,498 1,947,227 2,026,270 2,058,270 2,070,779 The table below demonstrates, in percentage terms, the shift in the balance of expenditure towards delivering more outreach and student success activities .

Year 1 2015/16

Year 2 2016/17

Year 3 2017/18

Year 4 2018/19

Year 5 2019/20

Forecast Forecast Forecast Forecast Forecast Financial support 59% 58% 56% 57% 56% Outreach 21% 21% 20% 20% 20% Retention and student success 20% 21% 24% 23% 24% Total Percentage 100% 100% 100% 100% 100% Based on the assessment of our access and student success record for 2016/17 SOAS expenditure level on access measures will be 29.8% of fee income above basic fee level.

4.2. Financial support For 2016/17 SOAS have simplified the financial support offered to the most disadvantaged students. This will provide a clear and consistent message to the students eligible for financial support, and aids in simplifying the administrative processes required for delivering the support. Institutional evidence from the evaluation of our financial support packages indicates that outreach has the biggest impact on a students’ decision to apply to university and that financial support has an impact on the retention rate. This has informed our decision to offer financial support over the duration of programmes for students from the most disadvantaged groups. Excellence Award The SOAS Excellence award totals £7,500 distributed over 3 years. It is targeted at care-leavers, students from low participation neighbourhoods, first generation HE entrants and household incomes up to £24,999. This award provides support to the most underrepresented groups and helps towards improving student success by supporting students over the course of their degree. Study Support Funds

4

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EXECUIVE BOARD 11.5.15 APPENDIX D SOAS Study Support funds provide one-off financial support to students who experience unanticipated financial hardship. The fund is targeted at students from underrepresented groups, and those who have low household income. The support is provided on a means-tested basis with a maximum value of £1,000. The table below shows the financial support available in 2016/17 and reflects our priorities in recruiting and retaining the best students from disadvantaged groups.

Award No.

available First year Second year Third year Total

Cash

bursary Fee

waiver Cash

bursary Fee

waiver Cash

bursary Fee

waiver

Excellence Award

152 £2,500

- £2,500

- £2,500 - £7,500

Study Support Funds

38 Max. £1,000

n/a n/a n/a n/a n/a Max. £1,000

In 2016/17 SOAS will offer 152 new students a substantial financial support package. This represents 20% of our projected new home/EU intake for 2016/17.

5. Activities for improving access and student success

SOAS is a world-renowned specialist institution focusing on Asia, Africa and the Middle East. As such we have academics and students with a passion and expertise in some of the most interesting and exciting regions in the world. Our work in widening access draws upon this passion to create engaging, innovative and academically rigorous outreach programmes. These programmes are grounded in a robust targeting methodology and evaluated using a variety of indicators to measure impact. All outreach activity is focused on three main strands; raising aspirations, attainment and progression to Higher Education. Each objective necessitates a differentiated approach which is developed through evaluation and academic engagement. Our access performance assessment indicates a more proactive approach is required for reaching young and mature students from low participation neighbourhoods. In addition to delivering our established range of activities in 2016/17 we will also:

• circulate information outside of London to the South East where there are more LPN learners; • set up specific projects in schools in a low participation areas, • increase our collaborative projects with HEIs in other regions • increase the number of departments using POLAR3 data when making conditional offers • deliver a specific programme for partner colleagues for long-term, sustained activities • increase number of partner colleges engaged with SOAS • increase the range of language-focused activities delivered in schools and colleges across London

To support these new areas of work we will commit additional resources in outreach to ensure we have capacity to deliver on our access and student success aims.

5.1. Targeting and evidencing impact SOAS have improved the methodology used for targeting at individual and school level. This includes a point scoring system for schools engaged in our raising aspirations and attainment programmes, and for students applying to our extended programmes focused on progression to Higher Education. SOAS targets schools with most the most need. We use a basket of data to assess which schools we will work with. The data used to make assessments are:

5

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EXECUIVE BOARD 11.5.15 APPENDIX D

• Percentage of pupils achieving 5 GCSEs A*-C including English and Maths • Percentage of pupils eligible for Free School Meals

This data is used in a formula by which schools are assigned a priority number 1-4. Each criteria is banded, with GCSE percentages further below the national average and FSM percentages further above the national average leading to a high priority number. Students who wish to take part in our extended programme must complete an application form. This form, alongside a supporting letter from a school teacher and parental consent, provides the data necessary to effectively target students. The data used to make the assessment are socio-economic and attainment related: • HE participation quintile (POLAR3) • First generation entrant • Eligibility for free school meals • Attainment at GCSE level compared to the average school performance • Experience of care In addition students are asked to disclose socio-economic information on anonymous post-activity evaluation forms, which we analyse on an event-by-event and annual basis. Of over 2000 participant evaluation forms collected in 2013-14, over half reported no parental background of higher education, and over a third reported that they had been in receipt of Free School Meals (the London average rate of Free School Meal eligibility is 23.4%, the national average 15.1%). These figures reflect increasingly robust targeting procedures, and continue to improve year on year. The table below provides targeting data for the key activities: Type of activity % Attendees

eligible for Free School Meals

% Attendees with no parental

experience of HE

% Attendees disclosing that

they have been in care

Taster days 39.7% 45.5% 5% Masterclasses 40.5% 67.6% 1.2% Summer schools 42.7% 77.3% 1.5% Sustained long-term projects 77.4% 77.4% 0% Languages outreach programme 32.1% 61.2% 8% Evaluation and measuring impact is core to our access and student success strategy. SOAS systematically and routinely gathers data from learners, and other stakeholders on the impact of its activities. Reports are produced against a number of variables which allows the monitoring of outcomes and attitudinal changes amongst different groups. These include measuring:

• Increased awareness of HE study and student life • How to progress to HE • Costs and support available • Impact on current study • Changes in attitude towards HE

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EXECUIVE BOARD 11.5.15 APPENDIX D The table below demonstrates our activities consistently impact learners in at least one of the three key attitudes measures: Type of activity % agreeing they

have learnt more about what

university study would be like

% agreeing they have gained

study skills to help with their current studies

% agreeing that they are looking

forward to going to university

Taster days 88.2% 63.4% n/a Masterclasses 88.3% 55.9% 89% Summer Schools 98.6% 93.5% 97.9% Sustained long-term projects 84.4% 87.9% 96.9% Access conferences 89.2% 64.7% 93.3% Languages outreach programme 66% 53.6% 77.3%

To further measure impact, structures are in place for tracking the progression to higher education outcomes of learners who engage in our long-term and summer school programmes. Further along the student lifecycle, the student retention and success of the outreach-attending learners who progress to SOAS is being tracked as a measure of the impact of our outreach. In 2016/17 SOAS will continue to gather evidence which demonstrates the impact that increased knowledge and skills have on a participant’s learning and behavior, and how this eventually contributes to their progression to university.

5.2. Widening access activities Outreach programmes SOAS will continue to deliver a programme of activities with the aims of raising aspirations, increasing attainment and progression to HE. The table below shows some examples of outreach activities which form part of our raising aspirations and attainment, and progression to Higher Education extension programmes1 . Raising aspirations and attainment

Activity Features/Objectives Target Group/s

Discovering University • Provides younger students with an introduction to university • Involves talks by undergraduate students • Participants

Key Stage 2

Ambassador-led taster days (and in conjunction with the SOAS Student Union)

• Provide a positive and engaging HE experience • Provide IAG on HE through an interesting learner-led

experience • Provide tasters through subject-specific workshops

Key stages 2, 3 and 4

Language taster days

• Provide a positive and engaging HE experience • Provide participants with opportunities to find out about a

wider range of languages available in HE • Distinctive SOAS offering • Focus on increasing employability

All year groups in schools and students in Sixth Form/FE

1 Please see SOAS Widening Participation and Outreach Activities booklet 7

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EXECUIVE BOARD 11.5.15 APPENDIX D

college Immersion Weeks (Turkish & Urdu)

• Provide a positive and engaging HE experience • Provide GCSE support for Turkish and Urdu speakers • Improve community language skills and increased

confidence • Provide greater exploration of HE for hard to reach group

Key stage 3 and 4

Progression to HE

Activity Outcomes/features Target Group/s Summer schools (including collaborative, subject specific and SU-led summer schools)

• Provide a sustained and intense HE intervention • Provide students interested in particular topics with a

broader understanding of the discipline and degree options

• Provide sustained, meaningful contact with current HE students, as well as forum for gaining study skills and specific subject knowledge

• Includes sessions on careers and employability

Key stage 4, students in Sixth Form

Masterclasses

• Provide a snapshot of university-style learning and teaching

• Provide meaningful contact with current HE students; who very directly provide role models of people who have come from similar backgrounds

• Increase the understanding of the HE experience to younger students

• Provide support to students who may be struggling with the concept of HE

Key stage 5 and students in Sixth Form, mature students in FE college

Access to HE programme

• Provides a sustained HE-focused programme to learners • Gives FE college students experience of undergraduate

level study • Improves transition across educational sectors • Provides undergraduate level study skills sessions • Provides sustained, meaningful contact with current HE

students who completed an Access to HE diploma • Involves academics and college tutors sharing practice

and teaching methodologies

Access to HE learners in FE college

SOAS Scholars: Thinking Globally!

• Long-term sustained outreach project for Year 12s from disadvantaged backgrounds with the potential to achieve high grades at Level 3 study

• Develops participants’ critical thinking skills to fulfil their academic potential in their current studies

• Explores different subject areas in order to find the right degree choice

• Involves working with current undergraduate students on a number of higher education and career related activities to build knowledge and skills

Key stage 5

Global Matters • Long-term sustained outreach project for Year 10s from disadvantaged backgrounds

• Targets learners with the potential to achieve high grades at Level 2 study

• Provides participants with an opportunity to develop key

Key stage 4

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EXECUIVE BOARD 11.5.15 APPENDIX D

critical thinking skills to fulfil their academic potential • Aims to raise these disadvantaged students’ attainment

gap Step On Programme • Long-term programme providing young people with no

family history of higher education with the opportunity to learn a new language

• Develops the study skills require to succeed at KS5 • Involves shadowing a university student and attending a

conference on applying to university • Aims to improve retention in language studies from AS to

A-level and to university

Key stage 5

Primary Schools The WP team have work with the education charity IntoUniversity to host events for the young people that they work with. The charity offers a programme that supports young people from disadvantaged backgrounds to attain either a university place or another chosen aspiration. The charity has education centres across London which organise homework clubs, mentoring and educational visits. We will continue to host university visits for the charity such as IU Lambeth and IU East Ham. We will also continue to host primary groups from the charity as part of their Primary FOCUS programme. We have written a new Assembly titled 'Discovering University'. The activity has been piloted with feeder schools of our priority secondary schools. We will continue to roll out this activity in 2016/17.

5.3. Collaborative working Collaboration is a key requirement in meeting need and delivering activities concerning widening participation and access to schools, colleges and the local community. SOAS is an active member in a number of networks relating to widening participation and access. Involvement in these networks have enabled us to increase the scope and reach of our work in attracting disadvantaged students as well as contributing to raising aspirations of students irrespective of which institution they may go to. The sections below provide further detail about our collaborative working.

5.3.1. Capital L, Routes into Languages Capital L is the London consortium of the National Routes into Languages programme. The consortium's 13 HEIs collaborate with schools, colleges and a range of other stakeholders to increase the uptake of languages in schools, colleges and universities. Capital L staff sit in the WP team within the Academic Development Directorate. The consortium is jointly directed by the Head of Widening Participation at SOAS and the Professor of French of University of Westminster.

5.3.2. Linking London Linking London is a unique partnership of 39 partners made up of universities, colleges, sixth form colleges, schools, awarding bodies, jisc Regional Support Centre, the London Councils Young People's Education and Skills team and unionlearn. The network has been in existence since 2006. The core aims of our partnership are to support recruitment, retention and progression into and through higher education, in all its variety, including full and part time, higher apprenticeships and work based learning and employment. Through Linking London membership partners work both collaboratively, and individually, to maximise their contribution to targeted student engagement and achievement, social mobility and in pursuit of improvements in social justice through education.

5.3.3. Aimhigher London South AHLS works to ensure fair access to higher education for young people from non-traditional backgrounds. This is achieved by linking schools, colleges, universities and education providers together to work effectively. AHLS works in partnership with 11 universities, 28 schools and 3 further

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EXECUIVE BOARD 11.5.15 APPENDIX D

education colleges across London and the South East. The network is committed to collaboration and works together to; provide impartial information, advice and guidance to learners from year 8 – year 13, share good practice at a local and regional level in order to determine what works well and that activities are effective, develop and apply evaluation and monitoring methods to illustrate long term impact, improve the involvement of current students. 5.3.4. The Brilliant Club The Brilliant Club, an education charity, recruit, train and place doctoral researchers in state schools serving low participation communities to deliver programmes of university-style tutorials. We help the charity to recruit tutors from amongst our postgraduate student body and host four events at SOAS as part of the Brilliant Club package of interventions. These events will comprise of some of our own typical outreach activities such as campus tours and taster classes alongside aspiration raising content delivered by Brilliant Club staff. We will continue collaborating with third sector organisations such as these in 2016/17.

5.3.5. University of London Outreach, Access and Success Group A network established in April 2014 where a number of University of London institutions have come together to collaborate on five strategic themes including; key stage 3 and 4 outreach, evaluation and research, non-traditional qualifications, student success and progression and postgraduate widening access.

5.3.6. National Networks for Collaborative Outreach SOAS is a member of two new NNCO across London; Linking London and Aimhigher London South. As a member of the NNCO initiative SOAS have access to and use of a single point of contact (SPoC) in the Linking London and AHLS office, supported by a dedicated Project Officer, who is responsible for co-ordinating information on collaborative school and HE/FE outreach activity in London. This two year project has as its aim the coverage of all school, further education and sixth form colleges in London, and the simplification of availability of information so that no-one is disadvantaged. The SPoC is designed to support the staff in partner organisations and act as a first ‘port of call’.

We will continue to review all collaborative arrangements to ensure they meet our widening access and outreach objectives under the new fees regime.

5.4. Contextual data

The use of contextual data in Admissions is the consideration of additional socio-economic and educational data together with a learner’s UCAS application as part of an HEI’s admissions process. This seeks to better identify potential aptitude for higher education by considering an applicant’s attainment in the context in which it was achieved. This could result in, for example, an applicant being made a conditional offer with lower than standard entry criteria, on the basis that a lower grade attained in more challenging circumstances is a good predictor of a learner with the potential to thrive in higher education.

Currently SOAS takes a contextual data approach in which applicants who have previously participated in long-term outreach and summer schools are eligible for conditional offers with reduced entry criteria (to be eligible to participate in these programmes, learners must satisfy socio-economic and educational related criteria). Departments take a more holistic approach, and consider all Home applicants for reduced entry criteria on the basis of socio-economic data. Conditional offers with reduced entry criteria are usually 1 or 2 grades lower than the standard offer.

We will continue to use this approach for 2016/17. Evidence gathered from application and admission outcomes for outreach-attendees who apply to SOAS show: • A quarter of those attending our long-term outreach activities apply to SOAS • A tenth of those attending one-off activities when in Year 12 or 13 apply to SOAS

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EXECUIVE BOARD 11.5.15 APPENDIX D

• 1 in 2 of those outreach attendees who apply to SOAS choose us as their firm choice • 1 in 4 of all outreach attendees who apply to SOAS gain a place here • None of the outreach-attendees who entered SOAS on reduced entry criteria in 2014 have withdrawn

6. Student success activities SOAS is committed to supporting the success of all its students and helping them realise their aspirations. Our degree programmes are unique and diverse in their content and regional focus. It is therefore crucial to provide support at all points in the student life cycle – from pre-entry to after graduation, particularly those from underrepresented groups.

The assessment of our access and student success performance indicates that SOAS need to put in place measures to improve the retention rate of young and mature students, and the overall student population.

SOAS currently provide a wide range of activities designed to support and enhance students’ learning and success. These include one-to-one essay tutorials, departmental study support sessions and study skills workshops. In addition, we provide free week-long Bridging Courses for mature and first generation (including LPN) HE students to smooth the transition from school, college or work to university.

The support offered has improved the retention rate of mature students; however we acknowledge that further investment is required. SOAS will therefore place further resources into developing and expanding the Bridging Courses and first year support for 2016/17. Support will include essay feedback surgeries and transitions workshops. All activities will be evaluated and improved to provide appropriate support for the most vulnerable students. In addition SOAS has created a Learning & Teaching Coordinator role whose specific responsibility will be engaging underrepresented groups in student success activities. Further to this, SOAS are concerned about the impact of the changes to the Disabled Students Allowance. For 2016/17 there will be additional investment in support for students. This will include additional staffing to support the increasing number of students with mental health difficulties and the growing number of disabled students.

6.1. Student success programmes

The table below provides examples of activities to support student success: Activity Outcomes/features Target group/s Bridging Courses for Mature and First Generation (inc. LPN) Students

• Transition support for students • Study skills including writing an essay • Early awareness and access to support

services • First year support

Mature students and students who are the first in the family to go to university (inc. LPN)

Transitions workshop • Prepares students for greater independence and demands of Year 2

• Reflective process with support from relevant colleagues and academic departments

Mature students and students who are the first in the family to go to university (inc. LPN)

Bridging Out Courses • Skills for employment • Careers advice after graduation • Workshops supporting transition

Mature students, students who are the first in the family to go to university (inc. LPN), students from lower socio-economic groups

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EXECUIVE BOARD 11.5.15 APPENDIX D

Buddying • Increase the number of students disclosing through one-to-one support and mentoring

• Advice and support in the first term

Students in receipt of DSA, care leavers

Language study workshops • Increase retention rate of students on language programmes

Students studying language/language-related programmes

6.2. Tracking and data for student success Using a newly-developed student tracking system, we have also been able to measure the success and retention rates of students from under-represented groups, and to map this against which of our success and retention activities they have engaged with. This is done primarily through monitoring. At the start of each year, entrants from target groups (LPN, mature, first-generation entrants) are identified; including those engaged in any widening participation activity or received a bursary. The Year 1 outcome figures for the 2013 intake are as follows: Background of student

Progressing to Year 2

Restarting Year 1 Withdrawn Unknown

LPN 87% 7% 0% 7% First-generation 74% 21% 5% 0% Mature 65% 24% 8% 4% In addition to this monitoring, all students from these target backgrounds are contacted by the WP team at key points in the academic cycle, providing an additional point of contact and signpost to support. For 2016/16 SOAS will continue to develop these processes to build a fuller picture of student success and retention for all students. The focus will be to embed support for widening participation students and mature students in particular, in areas of SOAS other than the Widening Participation Team. Examples of this are the new role of Learning & Success Coordinator focused on improving retention across students from underrepresented groups and discussions and work with Faculty Student Support Teams to identify and implement initiatives which increase student retention and success.

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EXECUIVE BOARD 11.5.15 APPENDIX D 7. Targets and milestones The targets below reflect the need to maintain and improve the scope of our outreach and student success activities to ensure that all students are able to access, progress and succeed at SOAS. Targets have been formulated based on our assessment of our current performance, sector wide benchmarks and institutional evidence. Whilst the targets are stretching, they represent our increased investment in this area and the outcomes we wish to achieve. The table below shows SOAS’ targets based on HESA data. Measure Baseline

(2013/14 intake)

Target aim Milestone at 2016/17

Milestone at 2017/18

Milestone at 2018/19

Milestone at 2019/20

Young first degree entrants from LPN (POLAR3)

3.7% To increase the proportion of students from this group to 5%

by 2019/20

4% 4.4% 4.7% 5%

Mature first degree entrants from LPN (POLAR3)

2.2% To increase the proportion of students from this group to 4%

by 2019/20

2.5% 3% 3.5% 4%

First degree students in receipt of DSA

6.3% To increase the proportion of this group to 7% by

2019/20

6.5% 6.7% 6.9% 7%

Young first degree entrants from NS-SEC 4-7

30.6% To maintain the proportion of students

from this group by 2019/20

31% 31% 31% 31%

State school first degree entrants

81.6% To maintain the proportion of students

from this group by 2019/20

82% 82% 82% 82%

Non-continuation of young students

6.4% To reduce the non-continuation rate of

young students to 5% by 2019/20

6.4% 6% 5.5% 5%

Non-continuation of mature students

20.6% To reduce the non-continuation rate of mature students to 15% by 2019/20

20.6% 18% 16% 15%

Non-continuation overall

9.7% To reduce the non-continuation rate of

the overall population to 7% by 2019/20

9.7% 9% 8% 7%

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EXECUIVE BOARD 11.5.15 APPENDIX D The table below shows our institutional targets: Measure Baseline

(2012/13 data)

Target aim Milestone at 2016/17

Milestone at 2017/18

Milestone at 2018/19

Milestone at

2019/20 Number of school and FE college students attending extended programmes

60 students

To increase the number of school and FE college

students engaged in extended programmes to

100 by 2019/20

60 students

75 students

90 students

100 students

Number of students attending summer schools

160 students

To increase the number of students attending

subject-based summer schools

160 students

170 students

180 students

200 students

Conversion of year 12 & 13 outreach attendees to SOAS applications

25% To increase the proportion of outreach attendees who apply to

SOAS to 35% by 2019/20

25% 28% 33% 35%

Conversion of year 12 & 13 outreach attendees who apply and gain a place at SOAS

25% To increase the conversion rate of

outreach attendees who gain a place at SOAS to

35% by 2019/20

25% 28% 32% 35%

Number of students attending Bridging Course for Mature students

44 students

To increase the number of mature students

attending the Bridging Course to 75 by 2019/20

44 students

55 students

65 students

75 students

Number of students attending Bridging Course for First Generation students

34 students

To increase the number of first generation

students attending the Bridging Course to 60 by

2019/20

34 students

45 students

55 students

60 students

Percentage of Mature Bridging Course attendees progressing to year 2

72.7% To increase the progression rate of

mature Bridging Course attendees into year two

to 80% by 2019/20

72.7% 74% 77% 80%

Percentage of First Generations Bridging Course attendees progressing to year 2

79.4% To increase the progression rate of first

generation Bridging Course attendees into

year two to 85% by 2019/20

79.4% 82% 84% 85%

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EXECUIVE BOARD 11.5.15 APPENDIX D We will monitor on an in-year basis the progress towards our milestone using sector-wide and institutional proxy data to ensure we make progress over a 5-year period. Targets may be reviewed, if necessary, based on institutional data and UCAS data collected during the application cycle.

8. Monitoring and evaluation arrangements The Pro-Director (Learning and Teaching) is the senior manager with ultimate responsibility for access and widening participation. SOAS’ commitment to access is further supported by faculties and departments through the planning, implementation and monitoring of various measures, particularly in relation to retention, progression and collaboration. Performance in widening participation and access are monitored by the Academic Development Committee chaired by the Pro-Director (Learning and Teaching) and are also considered by the External Relations Committee (chaired by the Registrar) and the Student Experience Committee (chaired by the Dean of Faculty Languages and Cultures) and, at the highest level, discussed at Academic Board and Governing Body. There is student representation at these committees to ensure students are fully able to contribute and shape approaches. All areas of SOAS have a responsibility to support widening participation and fair access. The core SOAS Widening Participation Team is based in the Academic Services Directorate. The team works extensively with the Student Recruitment team and Admissions team, Faculty Offices (Languages and Culture, Law and Social Sciences, and Arts and Humanities), Academic Services and the Students’ Union on issues of access, admissions’ criteria, student support and retention. The implementation of this access agreement will be supported by all these areas of SOAS. The WP team continually monitors and evaluates the activities delivered in its monthly team meetings. These formal meetings provide the opportunity for each member to share evidence to support each activity he/she carries out. This information is fed into a quarterly and annual report on widening participation activities. The body responsible for the delivery of the Access Agreement is the OFFA Steering Group comprised of; Pro-Director (Learning and Teaching), Registrar, Director of Academic Services, Director of Finance and Planning, Head of Widening Participation and a SU representative. This group reports to the Director of SOAS. An action plan for 2016/17 will be developed, in collaboration with the Students Union, to support the implementation of the Access Agreement and this will be monitored by the Steering Group. The Head of Widening Participation will be responsible for delivering the action plan, and for reporting to the Pro-Director (Learning and Teaching). A Working Group comprises of key staff working on areas relating to access, student success and finance will provide advice and feedback on the progress of implementation. 9. Provision of information to prospective students SOAS provides clear, accessible and timely information to applicants and potential students on our undergraduate fees and financial support. Information on fees and financial support is provided through on our institutional website and the UCAS website. We will publish our financial support on these websites. For 2016/17 we will continue to produce a leaflet2 on our financial support which is distributed to schools and colleges. This will be distributed from September 2015. The leaflet will be created in conjunction with current SOAS students who are from under-represented groups to ensure the information is clear and easy to understand by potential students. We have created student finance presentations with our student

2 Please see attached example from 2014/15 of financial support leaflet 15

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EXECUIVE BOARD 11.5.15 APPENDIX D ambassadors that are delivered to students from year 11 onwards in all our access-related activities. We update this presentation with support from our students. For 2016/17 we will continue to provide updated information to UCAS and the SLC on our fees and financial support packages. In addition SOAS will be providing financial information to younger students which will include the delivery of broader IAG and information to parents and teachers.

10. Consulting with students Statement from SOAS Students’ Union “The SOAS Students’ Union has worked in tandem with the School in drafting the revised Access Agreement for 2016/17. In continuing with the good practice from the 2015/16 drafting process, the Co-President Welfare and Education has met with the School’s Widening Participation Team to discuss our shared priorities regarding the School’s access measures throughout the year. This is again reflected in the continued emphasis of cash bursaries as a form of financial support, and success initiatives for underrepresented groups as a fundamental and prominent part of the School’s Widening Participation activities. We have been working with the School’s Widening Participation team for the past five years in delivering joint WP outreach activities, and have received much welcomed support from SOAS in the running of the Students’ Union-led outreach programme, the “SOAS Saturday Club” and “Student HUB”. We look forward to expanding our collaborative provision to include an SU-led Summer School, and hope to further develop this key relationship in the coming years. We welcome the substantial recognition of the importance of these joint initiatives in this Access Agreement.” Consultation with SU and current students As an institution we are very engaged with our SU in a number of areas relating to governance, academic standards, quality assurance, student experience and widening access. For a number of years the SU have been working with colleagues involved in widening access and participation to devise student-led projects and activities. This level of consultation has continued in developing the 2016/17 access agreement. The results of these consultations have included the following:

• Increased expenditure on long-term outreach programmes and further collaboration in building a ‘SOAS community’ for access

• Further emphasising the importance of retention and success in the agreement, and SU assistance in devising programmes in response to concerns about outcomes for students from underrepresented groups

• Reviewing financial support arrangements to ensure they are attractive and suitable for students’ needs

11. Equality and diversity SOAS will ensure we have appropriately executed our responsibilities under the Equality Act 2010. We have consulted with the Equality and Diversity Advisor when devising the proposals outlined in this access agreement. We have conducted an equality analysis to ensure that any legally protected groups have not been negatively affected by the proposals outlined in our access agreement. As part of this analysis we note the following:

• The legally protected groups of young people and ethnic minorities are likely to be positively impacted by our aims to increase progression from young students from low participation neighbourhoods and young students from lower socio-economic groups

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EXECUIVE BOARD 11.5.15 APPENDIX D

• The legally protected groups of mature people are likely to be positively impacted by our aims to increase progression from mature students from low participation neighbourhoods

We will continue to collaborate on equality and diversity issues through joint investigations on differences in degree attainment for students from lower socio-economic backgrounds, those from state schools and those from low participation neighbourhoods, as well as the new project looking at the differences attainment of black students in particular. During 2016/17 we will continue to monitor the effects of our access work on legally protected groups by working closely with the Equality and Diversity Advisor. In addition the Head of Widening Participation attends Equality and Diversity Committee. We recognise the opportunities for closer links with our Equality and Diversity Strategy, particularly with the changes to the Disabled Students Allowance, and wish to maintain our ability to attract and support students with disabilities. For 2016/17 we will investigate this further and look more closely at the links with the strategy and various equality-related reports.

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Main contact Alternative contactName Marva de la Coudray Barry Douglas

Job title Head of Widening Participation Assistant Director of Finance

Telephone 020 7898 4552 020 7074 5025

E-mail [email protected] [email protected]

Yes

Important template notes1. Please complete and return this resource plan, along with your access agreement document, by 23 April 2015.

2. Please complete sections in yellow; white sections will autopopulate.

3. Please do not copy and paste cells within this workbook as this can corrupt and overwrite the validation checks. You can, however, copy and paste into the white formula bar box (which can be found just below the command ribbon at the top of the Excel window).

4. Please do not apply inflation.

5. OFFA will publish the information you provide in Table 7 (Milestones and targets) on the OFFA website along with your access agreement. Summary financial information will be published by OFFA in an outcomes report.

6. Please also consult the detailed guidance in 'How to produce an access agreement for 2014-15' to complete this resource plan.

OFFA supports the development of a robust evidence base that supports good practice. We are occasionally contacted by academics and organisations conducting research into widening participation, who are interested in contacting practitioners and heads of WP to contribute to their work. Please select ‘Yes’ from the dropdown menu below if you are happy for us to share your name, job title, and email address for research purposes. We will not share your contact details with organisations seeking to contact you for commercial purposes.

Are you happy for us to share your contact details?

2. Please ensure the question about sharing contact details is answered.

Institution name: The School of Oriental and African Studies

Institution UKPRN: 10007780

Access agreement 2016-17 resource plan (submission 23rd April 2015)Contact Information

Validation checks

1. Please ensure that contact details are completed for two people.

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www.ukrlp.co.uk 2015-16 2016-17 2017-18 2018-19 2019-20

1 New system - full-time First degree 1973 2062 2135 2190 2190 9000 3000 6000 90002 Old system - full-time First degree 157 165 171 175 175 3465 2085 1380 34653 New system - courses with lower basic fee Erasmus and overseas study years 47 0 0 0 0 1750 850 900 13504 Old system - courses with lower basic fee Erasmus and overseas study years 4 0 0 0 0 1725 1045 680 17255678910111213141516171819202122232425262728293031323334353637

Notes

1. There must be at least one course in the table.

Validation checks:

Institution name: The School of Oriental and African Studies

3. Courses must not exceed the higher fee cap for the particular system/course type selected.

2. All mandatory cells within a row must be complete - rows must have system type and course type selected, at least one student recorded, and a course fee.

Table 1 - Full-time courses: fee limits and student numbers

If this fee is for a franchised course you should select the name and UKPRN of the franchise partner from the drop down list;

alternatively please type the UKPRN of the provider.A UKPRN lookup service is available at UK Register of Learning

Providers, using the hyperlink below.If this fee is not a franchised course, please leave blank.

Course fee and higher fee income (£)

Course fee

Fee income above the

basic fee per student

Using basic fee cap of

Using higher fee cap of

Please select the course type

Where you have different fee limits for different courses,

please provide more information e.g. subject/faculty groupings

Row Please select the system typeTotal predicted number of students in each academic year

Table 1 - Full-time courses: fee limits and student numbers, 2015-16 to 2019-20

Institution UKPRN: 10007780

Please do not account for fee waivers in this table - you can record these in Table 5.

'Old system students' refers to those who started their studies before 1st September 2012.

'New system students' refers to those who started their studies on or after 1st September 2012.

Any course fees which are below the basic fee will be highlighted in blue.

OFFA will share the information you provide with the Student Loans Company (SLC) so that they can populate their databases in good time to inform applications for student finance.

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If this fee is for a franchised course you should select the name and UKPRN of the franchise partner from the drop down list;

alternatively please type the UKPRN of the provider.A UKPRN lookup service is available at UK Register of

Learning Providers, using the hyperlink below.

www.ukrlp.co.uk123456789

10111213

2. Courses must not exceed the higher fee cap for the particular course type selected.

Notes

Please do not account for fee waivers in this table - you can record these in Table 5.

For the purposes of this table, we only need to know the fees for your part-time fee regulated courses by course type. You do not need to disaggregate between different intensities of study. You only need to record courses where you charge part-time students above £4,500.

As per paragraph 58 of the 2014-15 guidance, the full-time equivalent course fee is the fee per 120 credits (equivalent to a full year of study), or fee for the duration of the programme if less than 120 credits.

OFFA will share the information you provide with the SLC so that they can populate their databases in good time to inform applications for student finance.

Table 2 - Part-time courses: fee limits

Table 2 - Part-time courses: fee limits for new system students in 2016-17

Institution name: The School of Oriental and African StudiesInstitution UKPRN: 10007780

Validation checks:1. All mandatory cells within a row must be complete - rows must have course type selected, and the full-time equivalent course fee and maximum fee completed.

Row Please select the course typeFull-time

equivalent course fee

Maximum fee charged in any academic year

Where you have different fee limits for different courses, please provide more information e.g.

subject/faculty groupings

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2015-16 2016-17 2017-18 2018-19 2019-20

All students 161 165 171 175 175

of which above the basic fee 161 165 171 175 175

All students 2 020 2 062 2 135 2 190 2 190

of which above the basic fee 2 020 2 062 2 135 2 190 2 190

All students 0 0 0 0 0

of which above the basic fee 0 0 0 0 0

All students 2 181 2 227 2 306 2 365 2 365

of which above the basic fee 2 181 2 227 2 306 2 365 2 365

2015-16 2016-17 2017-18 2018-19 2019-20

Old system 331 525 344 025 356 535 364 875 364 875

5 958 950 6 186 000 6 405 000 6 570 000 6 570 000

0 0 0 0 0

6 290 475 6 530 025 6 761 535 6 934 875 6 934 875

Validation checks:

Tables 3a and 3b mostly populate automatically using the data you have provided in Table 1 for full-time students.

In Tables 3a and 3b you will also need to complete the data relating to part-time student numbers and relevant fee income, indicated by the yellow cells.

* For part-time students, do not include those studying at an intensity of less than 25 percent FTE or those studying a course which leads to a qualification equivalent or lower than one they already hold, as these are not regulated by OFFA.

Table 3 - Summary student numbers and fee income

Notes

Institution name: The School of Oriental and African Studies

Institution UKPRN: 10007780

Optional commentary on fee income and predicted student numbers. If there is additional information that you would like to make us aware of you can include this here. This box is limited to 500 words; however, we are happy for you to upload additional ‘supporting information’ as a separate Word/pdf document.

1. If you record part-time student numbers above the basic in Table 3a, you must have higher fee income from part-time students in Table 3b, and vice versa.

Old system

New system

Academic year

Table 3b - Fee income above the basic fee (or higher fee income (HFI)) (£)

Total students

Part-time*

2. New system, part-time, above the basic fee student numbers should be less than or equal to all new system, part-time student numbers.

Table 3a - Total number of students

Full-time

Full-time

Academic year

New system

Total higher fee income

Full-time

Full-time

Part-time*

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2015-16 2016-17 2017-18 2018-19 2019-20

Total expenditure on access 664 126 681 957 687 361 707 560 716 094

of which uses OFFA-countable funding 390 784 403 081 406 808 420 739 426 624

Total expenditure on student success 913 440 969 166 1 075 978 1 084 999 1 094 604

of which uses OFFA-countable funding 370 714 409 146 482 809 489 031 495 655

Total expenditure on progression 0 0 0 0 0

of which uses OFFA-countable funding 0 0 0 0 0

Total access, student success & progression expenditure 1 577 566 1 651 123 1 763 339 1 792 559 1 810 698

of which uses OFFA-countable funding 761 498 812 227 889 617 909 770 922 279

Student successexpenditure forecasts

Total activity expenditure

Optional commentaryThis box is limited to 500 words; however, we are happy for you to upload additional ‘supporting information’ as a separate Word/pdf document.

Table 4 - Access, student success and progression spend forecasts

Institution name: The School of Oriental and African Studies

Institution UKPRN: 10007780

Validation checks:

1. Table 4 must be completed.

Notes

To complete Table 4 please estimate your institutional expenditure from all funding sources so that we can understand your total spend on access, student success and progression. This may include public funds such as the Student Opportunity allocation.

Please also state how much of your access, student success and progression activity expenditure is from OFFA-countable funding within your access agreement. The OFFA-countable totals for access, student success and progression will be used to calculate your overall access agreement expenditure in Table 6a. You can find a definition of OFFA-countable spend from paragraph 45 of our 2013-14 monitoring guidance, available here: http://www.offa.org.uk/wp-content/uploads/2014/11/2014.07-2014.28-OFFA-HEFCE-monitoring-guidance.pdf .

When calculating your progression spend, please note that OFFA’s remit only extends to students and courses that are fee-regulated. This means that only measures targeted at undergraduate students (or postgraduate ITT students) from under-represented and disadvantaged groups should be included in your OFFA-countable spend. For example, you should not include spend on financial support for postgraduate students in your OFFA-countable expenditure, although you may include this in your total expenditure on progression.

The data for 2015-16 is pre-filled using data submitted with your 2015-16 access agreement. This information can be amended. If there are substantial differences in the expenditure you committed to in your 2015-16 access agreement and the expenditure you now wish to submit for 2015-16, please give us an explanation in the commentary box below.

Progression expenditure forecasts

2. OFFA-countable spend on access, student success and progression should not exceed the total expenditure for access, student success and progression respectively.

Access expenditure forecasts

Table 4 – Access, student success & progression expenditure forecasts (£)Academic year

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2015-16 2016-17 2017-18 2018-19 2019-20

Students with household residual incomes up to £25,000 102 000 52 000 0 0 0

Students from other under-represented groups* 0 0 0 0 0

Students with household residual incomes up to £25,000 0 0 0 0 0

Students from other under-represented groups* 0 0 0 0 0

102 000 52 000 0 0 0

Students with household residual incomes up to £25,000 0 0 0 0 0

Students from other under-represented groups* 0 0 0 0 0

Students with household residual incomes up to £25,000 936 500 1 045 000 1 100 000 1 112 500 1 112 500

Students from other under-represented groups* 0 0 0 0 0

Students with household residual incomes up to £25,000 0 0 0 0 0

Students from other under-represented groups* 0 0 0 0 0

936 500 1 045 000 1 100 000 1 112 500 1 112 500

0 0 0 0 0

0 0 0 0 0

0 0 0 0 0

Hardship funds 36 500 38 000 36 500 36 000 36 000

1 075 000 1 135 000 1 136 500 1 148 500 1 148 500

Commentary on predicted financial support expenditureThis includes any assumptions you have made where you are providing students with a choice of financial support (if required).This box is limited to 500 words; however, we are happy for you to upload additional ‘supporting information’ as a separate Word/pdf document.

Bursaries and scholarships

(including accommodation discounts and other institutional services)

New system

Bursaries and scholarships for all students

Fee waivers for all students

Part-time

Full-timeOld system

New system

Full-time

Part-time

Full-time

Total financial support

Hardship funds for all students

Student choice

Full-time

Part-timeNew system

Student choice for all students

Fee waivers

(including free or discounted foundation years)

Table 5 - Expenditure on financial support

Notes

Institution name: The School of Oriental and African Studies

The data for 2015-16 are pre-filled from your 2015-16 access agreement. This information can be amended. If there are substantial differences between the expenditure you committed to in your 2015-16 access agreement and the expenditure you now wish to submit for 2015-16, please give us an explanation in the commentary box below.

* Other under-represented groups are defined as - a) household income is unknown and you can't make estimates, or b) household income is above £25,000.

Table 5 - Financial support expenditure (£)Academic year

Institution UKPRN: 10007780

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2015-16 2016-17 2017-18 2018-19 2019-20

Access expenditure 390,784 403,081 406,808 420,739 426,624

Student success expenditure 370,714 409,146 482,809 489,031 495,655

Progression expenditure 0 0 0 0 0

Expenditure on financial support 1,075,000 1,135,000 1,136,500 1,148,500 1,148,500

Total expenditure 1,836,498 1,947,227 2,026,117 2,058,270 2,070,779

2015-16 2016-17 2017-18 2018-19 2019-20

Higher fee income (HFI) 6,290,475 6,530,025 6,761,535 6,934,875 6,934,875

Access expenditure (as % HFI) 6.2 6.2 6.0 6.1 6.2

Student success expenditure (as % HFI) 5.9 6.3 7.1 7.1 7.1

Progression expenditure (as % HFI) 0.0 0.0 0.0 0.0 0.0

Expenditure on financial support (as % HFI) 17.1 17.4 16.8 16.6 16.6

Total expenditure (as % HFI) 29.2 29.8 30.0 29.7 29.9

Table 6c - New system, full-time fee levels (£) 2016-17

Average fee 9,000

Average fee adjusted for fee waivers 8,975

Average fee adjusted for all financial support 8,450

Maximum fee 9,000

Institution name: The School of Oriental and African Studies

Institution UKPRN: 10007780

Optional commentaryThis box is limited to 500 words; however, we are happy for you to upload additional ‘supporting information’ as a separate Word/pdf document.

Table 6 - Summary tables

Summary tables

Tables 6a, 6b, and 6c are pre-populated from the data you have entered in previous tables. You should check that the summary data fits with your understanding of your balance of expenditure, and total expenditure as a proportion of your higher fee income.

Paragraph 89 of the 2014-15 guidance gives some broad guidelines on expenditure levels for access and student success, which we will look at when asessing your level of spend. While our guidelines are not precise minimums, we will be concerned if you propose to spend significantly less and will need a discussion with you before we can approve your access agreement. The Director of Fair Access will use the information in these tables, alongside your targets and information set out in your access agreement to inform his decision to approve your access agreement.

If there are significant changes in expenditure between years, please give us an explanation in the commentary box below.

Academic year

Academic year

Table 6a – OFFA-countable expenditure summary (£)

Table 6b – OFFA-countable expenditure summary, as a proportion fee income above the basic fee (or higher fee income (HFI)) (%)

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T16a_01 HESA T1a - Low participation neighbourhoods (POLAR3) (Young, full-time, first degree entrants) To increase the proportion of young LPN students from this group to 5% by No 2013-14 4% 4% 4% 4.4% 4.7% 5%T16a_02 HESA T2a - (Mature, full-time, first degree entrants) To increase the proportion of mature LPN students from this group to 4% by No 2013-14 2.2% 2.2% 2.5% 3% 3.5% 4%T16a_03 HESA T7 - Students in receipt of DSA (full-time, first degree entrants) To increase the proportion of this group to 7% by 2019/20 No 2013-14 6.3% 6.3% 6.5% 6.7% 6.9% 7%T16a_04 HESA T1a - NS-SEC classes 4-7 (Young, full-time, first degree entrants) To maintain the proportion of students from this group by 2019/20 No 2013-14 31% 31% 31% 31% 31% 31%T16a_05 HESA T1a - State School (Young, full-time, first degree entrants) To maintain the proportion of students from this group by 2019/20 No 2013-14 82% 82% 82% 82% 82% 82%T16a_06 HESA T3a - No longer in HE after 1 year (Young, full-time, first degree entrants) To reduce the non-continuation rate of young students to 5% by 2019/20 No 2012-13 6.4% 6.4% 6.4% 6% 5.5% 5%T16a_07 HESA T3a - No longer in HE after 1 year (Mature, full-time, first degree entrants) To reduce the non-continuation rate of mature students to 15% by 2019/20 No 2012-13 20.6% 20.6% 20.6% 18% 16% 15%T16a_08 HESA T3a - No longer in HE after 1 year (All, full-time, first degree entrants) To reduce the non-continuation rate of the overall population to 7% by 2019/20 No 2012-13 9.7% 9.7% 9.7% 9% 8% 7%

Description (500 characters maximum)

Is this a collaborative

Notes

Table 7a - Statistical targets and milestones relating to your applicants, entrants or student body

Your targets must:

• be stretching, setting out the desired outcomes you are aiming to achieve.• reflect your strategic priorities and performance across the student lifecycle (access, student success and progression).• include at least one target around entrants (rather than applications). As before, please note that while you may include state school indicators alongside other measures of disadvantage, you should not use this as your only target on entrants.• be set up to 2019-20 and include annual milestones to help you monitor whether you are making progress.

To complete the table: • Please ensure that each target has target type selected from the drop-down list. Reference numbers will autopopulate for each target.• Each individual target must be self-contained, within one row of the table below.• If you wish to give some contextual detail about your targets, please include this within the commentary box beneath Table 7b.

Commentary on your milestones/targets or textual description where numerical description is not

appropriate (500 characters maximum)

Yearly milestones (numeric where possible, however you may use text)

Yearly milestones (numeric where possible, however you may use text) Commentary on your milestones/targets or textual description where numerical description is not

Description (500 characters maximum)

Is this a collaborative

target?Baseline year Baseline dataReference

number Please select target type from the drop-down menu

Notes

Alongside applicant and entrant targets, we encourage you to provide targets around outreach and student success work (including collaborative work where appropriate) or other initiatives to illustrate your progress towards increasing access, student success and progression. These should be measurable outcomes‐based targets and should focus on the number of beneficiaries reached by a particular activity/programme or the number of schools worked with, and what the outcomes were, rather than simply recording the nature/number of activities.

Table 7b - Other milestones and targets.

Baseline dataBaseline yearReference Number Please select target type from the drop-down menu

2. All mandatory cells within a row in Table 7b must be complete - rows must have a reference number, target type and they must be classified as collaborative or not.

1. All mandatory cells within a row in Table 7a must be complete - rows must have a reference number, target type, they must be classified as collaborative or not, they must have a baseline year and baseline data entered, and they must contain all five milestones.

Table 7 - Targets and milestones

Institution name: The School of Oriental and African StudiesInstitution UKPRN: 10007780

Validation checks:

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2015-16 2016-17 2017-18 2018-19 2019-20

T16b_01 Outreach / WP activity (other - please give details in the next column) To increase the number of school and FE college students engaged in extended programmes to 100 by 2019/20 No 2012-13 60 students 60 students 60 students 75 students 90 students 100 students

T16b_02 Outreach / WP activity (summer schools) To increase the number of students attending subject-based summer schools No 2012-13 160 students 160 students 160 students 170 students 180 students 200 students

T16b_03 Outreach / WP activity (other - please give details in the next column) To increase the proportion of outreach attendees who apply to SOAS to 35% by 2019/20 No 2012-13 25% 25% 25% 28% 33% 35%

T16b_04 Contextual data To increase the conversion rate of outreach attendees who gain a place at SOAS to 35% by 2019/20 No 2012-13 25% 25% 25% 28% 32% 35%

T16b_05 Outreach / WP activity (other - please give details in the next column) To increase the number of mature students attending the Bridging Course to 75 by 2019/20 No 2012-13 44 students 44 students 44 students 55 students 65 students 75 students

T16b_06 Outreach / WP activity (other - please give details in the next column) To increase the number of first generation students attending the Bridging Course to 60 by 2019/20 No 2012-13 34 students 34 students 34 students 45 students 55 students 60 students

T16b_07 Outreach / WP activity (other - please give details in the next column) To increase the progression rate of mature Bridging Course attendees into year two to 80% by 2019/20 No 2012-13 72.7% 72.7% 72.7% 74% 77% 80%

T16b_08 Outreach / WP activity (other - please give details in the next column) To increase the progression rate of first generation Bridging Course attendees into year two to 85% by 2019/20 No 2012-13 79.4% 79.4% 79.4% 82% 84% 85%

(500 characters maximum)

target?

appropriate (500 characters maximum)

Optional commentary on milestones. This box is character-limited to 1000 characters; however, we are happy for you to upload additional ‘supporting information’ as a separate Word/pdf document.

Number

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1. All mandatory cells within a row in Table 7a must be complete - rows must have a reference number, target type, they must be classified as collaborative or not, they must have a baseline year and baseline data entered, and they must contain all five milestones.

2. All mandatory cells within a row in Table 7b must be complete - rows must have target type and they must be classified as collaborative or not.

Assurance - Assuring your return

FT Fee - (Table 1) Full-time courses: fee limits and student numbers, 2015-16 to 2019-201. There must be at least one course in the table.

2. All mandatory cells within a row must be complete - rows must have system type and course type selected, at least one student recorded, and a course fee.

3. Courses must not exceed the higher fee cap for the particular system/course type selected.

PT Fee - (Table 2) Part-time courses: fee limits for new system students in 2016-171. All mandatory cells within a row must be complete - rows must have course type selected, and the full-time equivalent course fee and maximum fee completed.2. Courses must not exceed the higher fee cap for the particular course type selected.

Students & Income - (Table 3) Summary student numbers and fee income1. If you record part-time student numbers above the basic in Table 3a, you must have higher fee income from part-time students in Table 3b, and vice versa.

2. New system, part-time, above the basic fee student numbers should be less than or equal to all new system, part-time student numbers.

Activity Expenditure - (Table 4) Access, student success and progression spend forecasts1. Table 4 must be completed.

2. OFFA-countable spend on access, student success and progression should not exceed the total expenditure for access, student success and progression respectively.

Targets & Milestones - (Table 7) Targets and milestones

1. Please ensure that senior manager details are completed.

ValidationInstitution name: The School of Oriental and African StudiesInstitution UKPRN: 10007780

Contact - Contact Information1. Please ensure that contact details are completed for two people.

2. Please ensure the question about sharing contact details is answered.

WORKBOOK VALIDATION FAILED

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Name

Job title

Telephone

E-mail

Assuring your return

Validation checks

1. Please ensure that senior manager details are completed.

Institution name: The School of Oriental and African Studies

Institution UKPRN: 10007780

Senior manager responsible for assuring the access agreement and resource plan

Professor Nirmala Rao

020 7898 4120

[email protected]

Assuring your return

In submitting your access agreement and resource plan you are confirming that all the information you have provided has been compiled in accordance with our guidance, that it has been subject to an independent internal validation process, and has been signed off and approved as correct.

Pro Director Learning and Teaching

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EXECUTIVE BOARD 11.5.15 APPENDIX E

HEALTH & SAFETY POLICY

EB is asked to consider the revised Health and Safety Policy

Executive Summary The School’s Health and Safety Policy requires updating to meet the demands of Governing Body. The attached document, based on the version approved by LSHTM, proposes moving to a safety management system delivered through an organisational model, rather than the existing geographical model. The School also needs to update a number of the supporting codes of pactice and work on these is underway. Executive Board is being asked to consider the Policy in advance of it being taken to Health, Safety & Security Committee on 27 May. Chris Ince Secretary

Recommendations EB to consider the revised Health and Safety Policy and implications of a new Safety Management System whereby the School adopts an organisational model.

Financial Impact No direct impact but there is an opportunity cost of the proposed structure and if the School decided to implement additional training for Safety Representatives

Risks The School has an existing H&S Policy but it is in need of revision. A current audit of the area by KPMG is likely to make a number of recommendations that will feed in to any final policy and subsequent work developing or revising individual codes of practice

Equality implications No direct implications from the policy but a number of the codes of practice relate directly to protected characteristics e.g. pregnancy

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SOAS University of London Statement of Safety Policy SOAS aims to devise a dynamic health and safety system which places our people at its centre and is embedded as a core function of management. The outcome will be a safe work environment that promotes positive health and safety behaviour at the School’s main sites, those premises under its direct control, and in the field. The expectation is, that over time, the behaviour will become integrated in the decision making culture and encompass all aspects of working practices and phases of project management. The underpinning health and safety system will manage the risks and the control of identified hazards with the aim of managing these to as low as is reasonably practical. In doing so, the system’s components will be compliant with statute, comprehensive in coverage, and transparent in the dual lines of accountability and shared responsibility. Collectively and in combination the system’s components will work to support the academic work environment and aspire to match or exceed recognised good practice. In recognition that everyone has an important part to play in ensuring the health and safety system effectively promotes a positive safety culture, SOAS expects all managers to lead by example and all students, staff and visitors to adhere in full with the general institutional policies and those specific to their work and activities. Signed Paul Webley Director

Tim Miller Chairman of Governing Body

July 2015

SOAS Statement of Safety Policy Ver.1 1

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APPENDIX 1 Health & Safety Responsibilities within SOAS The Director has final and overall day-to-day responsibility for Health and Safety within the School, as executive officer responsibility the Governing Body. Responsibility for health and safety forms part of managerial responsibility, through the management chain, even if not formally specified in the job description. The supervision of health and safety can be delegated, but the responsibility cannot. All staff who perform a managerial or supervisory role, either of other staff or of students, should ensure that activities are carried out in a manner which protects the health and safety of those involved. All staff have a duty to cooperate with the School to achieve a healthy and safe workplace and to take reasonable care to ensure the safety of themselves and others. The School’s organisational arrangements for meeting its formal obligations are summarised below:

Governing Body

Director

Deans of faculties, Regsitrar, DOPS

Heads of Department

Principal Investigators

Faculty/Directorate safety supervisors

Health, Safety & Security Committee

Secretary / HR Director / Director of Estates &

Facilities

Safety Adviser

Occupational Health

SOAS Statement of Safety Policy Ver.1 2

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1 The Governing Body is responsible for ensuring that: The School has implemented such management arrangements as are necessary to fulfil its statutory obligations The risk assessment process is the basis for identifying and addressing hazards and risks based on the assessed level of risk formally identified Performance to the standards set in the Safety Policy and other related documents is being met Monitoring the Health and Safety performance through receipt of an annual report from the Health, Safety & Security Committee and reports in relation to any serious Health & Safety incidents.

2 The Director is accountable to the Governing Body for:

The organisational implementation of the School’s Safety Policy and other formal health and safety-related documents Taking such measures as are necessary to ensure that, at the strategic level, performance standards and timescales are adhered to Ensuring that a risk based approach to the identification and management of risk is being undertaken by all staff.

3 The Secretary is responsible to the Director for: The overall management of health and safety at the School, including the provision of professional health and safety advice

Co-ordination of emergency management planning arrangements for the School and their implementation at an operational level.

4 The Deans of Faculty, Registrar, Directors of Professional Services and Heads of

Departments are responsible for: The health and safety, including emergency, management arrangements, and for ensuring compliance with School policies and procedures. They will ensure that: Health and safety induction training is provided to staff and students on joining the Faculty/Department, based on the School’s Health and Safety Induction Checklist Departmental activities are undertaken in accordance with formal School and other relevant health and safety standards Where identified to be necessary, departmental codes of safe working practice are developed and implemented Measures are taken to identify any deficiencies in, and controls required to ensure, the health and safety of the working environment in their Faculty/Department and working practices as determined by the risk assessment process, including the application of ‘safe systems of work’ Risk assessment is undertaken to establish the measures necessary to identify and control potential risks and to ensure these controls are implemented

SOAS Statement of Safety Policy Ver.1 3

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In addition, Deans of Faculty are responsible for nominating suitable Faculty Safety Representative(s) for the day-to-day supervision of safety matters within the Faculty.

5 All Line Managers, Principal Investigators and Supervisors should:

Support their Dean of Faculty and/or Head of Department in discharging their health and safety responsibilities with regard to their own teams

Ensure that safe systems of work are in place and being followed by all staff and students.

6 Individual Members of Staff, Students and visitors (including contractors) should:

Co-operate and comply at all times with the safety information, instruction and training provided. They should bring, without delay, to the attention of their line manager or other appropriate responsible person such as a tutor, any hazards identified, or improvements considered necessary

Take reasonable care of the health and safety of themselves and of other persons whom their acts or omissions may affect

Co-operate with the School to enable it, or any other person, to comply with any duty or requirement imposed by the Health and Safety at Work Act 1974, or any relevant statutory provision or other health and safety-related requirement

Not intentionally or recklessly interfere with or misuse anything provided in the interests of health, safety and welfare, such action being subject to the School’s disciplinary procedures. Staff supervising contractors should ensure they are made aware of the School’s Policy and relevant procedures.

7 The Safety Adviser(s) is responsible for advising the School on safety matters within the

School. They are empowered to act on behalf of the School in these matters.

8 Duties of the Faculty Safety Representatives and arrangements for Professional Services are given in Appendix 2.

9 Some activity does not take place on an organisational structure basis but by the location it takes place. These are covered in more detail in Appendix 3.

10 The terms of reference and constitution of the School’s Health, Safety & Security Committee are given in Appendix 4.

11 Separate Codes of Practice are available for specific areas such as working overseas, COSHH and first aid. A current list of these is given at Appendix 5.

SOAS Statement of Safety Policy Ver.1 4

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APPENDIX 2 Duties of the Faculty Safety Representative(s) 1 The Faculty Safety Representative(s) are nominated by Deans of Faculties, and

approved by the Director, for the day-to-day supervision of safety matters involving staff, students and visitors in the Faculty. This includes the maintenance of Faculty safety records and ensuring that there are an adequate number of trained fire wardens

2 Each Faculty Safety Representative (FSR) is accountable to the Dean of Faculty for all

matters of safety within the Faculty 3 A formal safety inspection of the Faculty must be carried out at least once a year. The

FSR should conduct the inspection jointly with the Dean of Faculty together with relevant union safety representatives. Written records of all safety inspections must be made by the FSR, approved by those involved, and copies sent to the Dean of Faculty, to individuals concerned and to the Safety Office

4 The FSR must bring matters requiring urgent attention, e.g. serious accidents involving

medical treatment, to the immediate notice of the Safety Office by telephone and confirm in writing with a copy to their Dean of Faculty

5 The FSR must ensure that all accidents and incidents are reported on a School accident

form 6 The FSR must ensure that all necessary Risk / Hazard Assessments are made, and are

kept under constant review 7 When the FSR is absent from the School for an extended period of time, an appropriately

trained deputy must be identified and notified to the Faculty. Professional Services 8 The Directorate Safety Representative(s) is/are appointed by the Registrar for the day-to-

day supervision of safety matters involving staff, students and visitors in all the professional services sections other than those listed below

9 The day-to-day supervision of safety within the more specialized areas of the Schools

Central Services (i.e. the Catering, Cleaning, Estates & Supplies) will usually be carried out by the relevant member of DOPS, with assistance as required from the Safety Adviser, and they will be expected to carry out the duties detailed above. This will take place in conjunction with the relevant third party for any outsourced contract.

Area responsibilities 10 Some activity does not take place on an organisational structure basis but by the location it takes place. These are covered in more detail in Appendix 3.

SOAS Statement of Safety Policy Ver.1 5

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APPENDIX 3 Area responsibilities

Area Function responsible Faculty office space Relevant faculty Professional services office space Relevant Directorate Students’ Union Students’ Union Catering outlets Estates & Facilities Cleaning cupboards Estates & Facilities Teaching spaces Estates & Facilities Outdoor spaces Estates & Facilities All other general and circulation spaces Estates & Facilities

SOAS Statement of Safety Policy Ver.1 6

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APPENDIX 4 Health, Safety & Security Committee Health, Safety & Security Committee reports to Governing Body. (i) The membership of the Health, Safety & Security Committee will comprise: Chair: A member of staff, appointed by Governing Body (normally the Secretary) Ex-officio Members: Secretary (normally the Chair) Director of Estates & Facilities Human Resources Manager (Equality & Diversity) Safety Advisor Other Members: All Faculty and Directorate Safety Representatives 1 member of academic staff nominated by Research & Enterprise Committee 1 representative from each of the recognised Trades Unions 1 member nominated by the Students’ Union Executive Committee (ii) The Registrar will nominate a Secretary. The Committee will normally hold three ordinary meetings per annum.

(iii) The Health, Safety & Security Committee will have the following terms of reference:

(a) To propose and consider policy changes with respect to the health, safety, security and welfare of School staff (including contractors and outsourced workers), students, visitors and of other persons who may be affected by work carried out within or external to the School or as part of the School’s activities (including external fieldwork activities carried out in both the United Kingdom and overseas). The term ‘health and safety’ will include the School's security provision, fire arrangements and occupational health service;

(b) To monitor implementation of health and safety policies and codes of practice and to propose changes as necessary;

(c) To advise Governing Body through the Secretary on health and safety implications of School strategies and plans, including those relating to the development of the Estate;

(d) To provide an annual report of the Committee’s activities and recommendations to Governing Body;

(e) To monitor compliance with current health and safety and related legislation;

(f) To keep under review current, emerging and potential challenges in relation to health and safety in the external environment that could have impact on School activities (including proposed changes to legislation), discuss the implications and provide advice on possible responses and implement change where appropriate;

(g) To monitor the School’s health and safety risk management strategies;

(h) To advise Governing Body through the Secretary on the management of risks in relation to health and safety and monitor actions taken to minimise these risks;

(i) To provide input into the School’s emergency and business continuity planning;

(j) To review accidents, incidents, hazardous occurrences, sickness absence and ill health (including stress) related to work undertaken by staff, students and visitors, and to ensure corrective action is undertaken and consider implications for strategy, policy or practice;

SOAS Statement of Safety Policy Ver.1 7

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(k) To ensure appropriate health and safety training is provided and to monitor its effectiveness;

(l) To provide guidance to managers, other staff, students and visitors about policy and practice concerning health and safety;

(m) To keep under review the provision of information and communication of health and safety information;

(n) To consider reports from the management representatives, Union safety representatives, staff and student representatives and any other appropriate bodies, including any audit or inspection reports.

SOAS Statement of Safety Policy Ver.1 8

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APPENDIX 5 Codes of Practice Further guidance on specific areas can be found on the School’s website: https://www.soas.ac.uk/healthandsafety/ Safe working with computers - https://www.soas.ac.uk/healthandsafety/computers/ Smoking Policy - https://www.soas.ac.uk/admin/governance/policies/file37340.pdf Guidance for new and expectant mothers – https://www.soas.ac.uk/healthandsafety/policies/file60360.doc https://www.soas.ac.uk/healthandsafety/policies/file60361.pdf Fire Safety - https://www.soas.ac.uk/healthandsafety/fire/ Accidents & First Aid - https://www.soas.ac.uk/healthandsafety/firstaid/ Emergency Egress - https://www.soas.ac.uk/healthandsafety/egress/ Automated external defibrillators - https://www.soas.ac.uk/healthandsafety/aed/ Safety training - https://www.soas.ac.uk/healthandsafety/training/ Risk assessments – https://www.soas.ac.uk/healthandsafety/wwwsoasacuk/healthandsafety/riskassessment/ TO DO Working overseas COSHH Lone working Safety induction checklist

SOAS Statement of Safety Policy Ver.1 9

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EXECUTIVE BOARD 11.5.15 APPENDIX F

RISK REGISTER

Executive Board is asked to consider the attached Risk Register for the School

Executive Summary The attached risk register, change log and heat map provide the termly formal update to the Executive Board. The Register will be considered at the Audit Committee meeting on 28 May and Executive Board is asked to consider the changes made.

Recommendations Executive Board to consider the Risk Register.

Financial Impact Many of the risks listed have financial implications for the School.

Risks There is the risk that important items will be overlooked and not included in the School Risk Register. The Risk Register is the key document within the School for the identification and monitoring of risk.

Equality implications N/A

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Risk Register

Background

1. The Executive Board and Audit Committee receive formal updates to the Risk Register on a termly basis. However, the Risk Register is included as a regular item on the Executive Board agenda so it can review and decide on any necessary changes between formal updates. At the first formal update of each session the Executive Board also reviews each of the sub-registers:

• 3 Faculty registers • IFCELS risk register • 9 Professional services risk registers • SHNB risk register • Portfolio Board

Risk Register

2. The existing risks, and their latest ratings, have been included on the heat map diagram (Annex A). A change log (Annex B) has been populated based on the current risks and shows and change since the last report and against the position a year ago. These two documents along with the detailed Risk Register (Annex C) provide a simple mechanism for the reporting of risk to the Executive Board and the Audit Committee. The heat map shows all gross/current/net risks in its table.

3. The detailed Risk Register, Annex C, is presented in the new format, as agreed at the start of this academic year.

4. In line with the agreed operating procedure the sub-registers were reviewed by the Secretary and the Secretariat Manager. No major changes were made to the institutional risk register or the individual risk ratings following this review, although some updates were received from relevant directorates/faculties and a number of minor changes have been made to the existing controls and sources of assurance. The actions have been updated to reflect those that have now been completed, revised or added to the register.

5. Executive Board considered the Risk Register in detail at its meeting on 23 March 2015 and agreed:

• That the current actions needed to be expanded to include longer term actions that would more accurately reflect the work planned. These would also provide a greater assurance on the reasons for the net risk assessment. However, the net risk ratings would be reviewed to ensure they were an accurate representation of where the School expected to be after the actions were complete

• That the risks around institutional and reputational risk would remain separate but that the risk around value for money would be incorporated in to the risk of managing the School’s cost base

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6. These changes have been incorporated in to the latest version of the Risk Register.

Recommendations

7. Executive Board is asked to consider and comment on the Risk Register

Chris Ince Secretary May 2015

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Risk Severity

High level risk description ref Gross Current Net

1 25 20 9 Failure to meet income targets

2 20 20 9 Failure to meet rising student expectations, leading to poor retention rates and loss of reputation

3 15 10 8 Failure to recruit and retain world-class staff 4 12 12 8 Failure to manage institutional reputation 5 20 20 8 Failure to manage academic reputation

6 20 15 8 Failure to take advantage of strategic opportunities and be agile in a competitive marketplace

7 16 12 6 Failure to manage the School's cost base and ensure a sustainable institution

8 12 8 6 Failure to manage plans for a major business continuity incident

Low Moderate High

Risk severity:

Gross risk (assessed before ‘Existing Controls’)

Current risk (assessed after ‘Existing Controls’)

Note - Arrows represent management’s assessment of the adequacy and effectiveness of controls currently in place

Likelihood

Insi

gnifi

cant

Very Low Low Medium High Very High

Min

or

Med

ium

M

ajor

C

ritic

al

Impa

ct

7

7

1

1

2

2 3

3

8 8

4

4

5 5

NB: Net risk represents the risk after all future controls are put in place and if there were no further external changes to the risk

6 6

Annex A

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ANNEX B

Change Log

Reference Risk Current Risk (May 2015)

Change since last report

Previous rating (Jan 2015)

12-months ago (May 2015)

Notes

Impact Likelihood Impact Likelihood Impact Likelihood 1 Failure to meet income

targets 4 5

↔ 4 5 4 4 Increase in impact

and likelihood in last report

2 Failure to meet rising student expectations, leading to poor retention rates and loss of reputation

5 4

5 4 5 4

3 Failure to recruit and retain world-class staff

5 3 ↔

5 3 5 2 Increase in likelihood in last report

4 Failure to manage institutional reputation

4 3 ↑

4 2 4 2 Increase in likelihood since last report

5 Failure to manage academic reputation

5 4 ↔

5 4 5 3 Increase in likelihood since last year

6 Failure to take advantage of strategic opportunities and be agile in a competitive marketplace

5 3

5 3 N/A N/A New risk in last year

7 Failure to manage the School's cost base and ensure a sustainable institution

4 3

4 3 4 3

8 Failure to manage plans for a major business continuity incident

4 2 ↔

4 2 4 2

NB – Old risk on VFM combined with Risk 7 on School’s cost base/

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Institutional Risk Register – Updated May 2015

Risk 1: Failure to meet income targets EB risk owner: Pro-Director, Learning & Teaching

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Fall in student recruitment, change in government policies/funding, exchange rates, income from OS and premium courses, changes in HEFCE funding, PGR students, REF, 3rd stream

Do not meet financial targets and do not generate a sustainable surplus. Leads to no scope for investment, impact on courses failing to recruit

5 5 25 Financial Strategy, Recruitment and Admissions Steering Group, and Recruitment and Admissions Implementation Group - recommendations for new activities and regular updates on application and enrolment targets to EB. Centenary Planning Group. Monitoring by Executive Board and RPC. MSR strategies and action plans.

Regular reporting to EB on recruitment against target and research & enterprise income. Externally commissioned review on fundraising. Detailed sub-risk registers. New R&E action plan and strategy Continual monitoring of market information including Higher Expectations Reports and Student Barometer track our performance vs. competitors, plus the introduction of monthly MSR reporting to track performance against KPIs. Continued brand awareness raising activity in key markets, development of messaging, targeted promotions and the introduction of Saturday Open Days to maximise interest in the School. Roll-out of enhanced conversion programme, including the introduction of incentives and on-going telephone conversion activity.

Financial Strategy Performance Indicators. Research & Enterprise Strategy Performance Indicators

4 5 20 3 3 9

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Further growth in philanthropic income and development of Case for Support as part of the Centenary Fundraising Campaign. Case for Support (to be launched in Sept 2016) will be signed off by EB and GB.

Director of ERD Jul-15

Develop and implement a revised Research & Enterprise Strategy action plan for 2015-2020

Director REO Feb-15 / July-15 Close as covered in risk 5. Reference in sources of assurance here

A postgraduate UK recruitment strategy will be developed in response to market pressures in this area and the international recruitment strategy will be reviewed and refined after a full year of operation.

Pro-Director, L&T / Director ERD Feb - 15

Model potential impact of sector changes post General Election

Director of Finance & Planning Jun-15 Delayed one month to allow time to review

Model different size, shape options for School for consideration by EB as part of development of Strategic Plan

Director of Finance & Planning Jun-15 Delayed

Implement unconditional and adjusted offers for 2015/16 undergraduate entry

Pro-Director, L&T Feb-15 Closed. Action implemented

Asses and explore areas for possible future growth

Pro-Director, L&T Mar-15

Undertake curriculum review to ensure our curriculum is robust, attractive and aligned to national benchmark statement and implement changes for 2016/17 academic years onwards.

Pro-Director, L&T Sept 16 New action

Work with Deans, Heads of Departments, Student Recruitment and Marketing to ensure that student number target setting within faculty plans is more robust

Director of Finance & Planning Sept 15 New action

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Institutional Risk Register – Updated May 2015

Risk 2: Failure to meet rising student expectations, leading to poor retention rates and loss of reputation

EB risk owner: Pro-Director, Learning & Teaching

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Quality of Estate, student support problems, teaching & assessment, poor academic offering

Drop in NSS, downward spiral 5 4 20 Student Admin & Support Strategy, Estates Strategy. Monitoring by GB, AB, EB and SEC. NSS Action Plans. Portfolio Board

NSS scores, league tables, internal surveys, Capital expenditure and long term maintenance plans approved by GB annually, SHNB risk log (and other risk registers), Planning permission for SHNB obtained. Three yearly condition survey cycle

Projects running behind schedule; significant underspends on cap ex or long term maintenance. Student Experience and Learning & Teaching strategy Performance Indicators. Deterioration in the estate within the three yearly condition survey cycle

5 4 20 3 3 9

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Delivery of North Block project for occupation

Registrar Jun-16

Current phase of work of work under Portfolio Board and Accelerated Investment Fund. Report to EB/RPC

Registrar Jun-15

Review & redraft Estates Strategy for approval

Registrar/Director of Estates Jun-15

Development of capital improvement programme for the School's main building

Registrar/Director of Estates Jun-15

Develop Learning & Teaching Strategy and action plan

Pro-Director, Learning & Teaching Sep-15

From ADD Risk Register

Development of capital improvement programme for the School's main building

Registrar/Director of Estates Jun-15 Long Term maintenance surveys received.

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Institutional Risk Register – Updated May 2015

Risk 3: Failure to recruit and retain world-class staff Director of HR Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Poor recruitment, poor management of staff, London effect, UK salaries, staff morale, management capacity & capability, staff performance

Poor teaching and research. System and process failures. Lack of innovation

5 3 15 HR Strategy, Academic Performance Framework Working Group (covering Probation; Promotions; Recognition & Rewards; Reasonable Expectations; Capability); current recruitment procedures, golden hellos, relocation packages, training, SDR scheme etc. Development of individual REF plans

Rewards and promotions procedures are reviewed regularly and updated as required; Staff T/O rates are currently very low across the board; We have been able to fend-off approaches for staff from other institutions (sometimes, but not all the time).

a) Staff t/o rates increasing (especially for senior academic and senior professional services staff) - currently extremely low for all groups; b) Pulse Survey results indicate low morale and a desire to leave SOAS; (Note: 2015 pulse or full survey won’t be run until at least Term 1 2015/16).

5 3 10 4 2 8

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Employee Approval and Recruitment Process Improvement Project (EARPIP) is part-completed. This has resulted in a reduction in the number of steps required to recruit a member of staff from the start to the end of the process. When fully completed the aim is to reduce the time taken to complete each recruitment process to a maximum of 3 months.

HR Director, EARPIP Project Board, EB, HoDs, Recruiting Managers

Summer 15 if SharePoint issues resolved

Continuing SharePoint delays have resulted in only partial implementation

The Academic Performance Framework Working Group has been re-established to develop and agree a final framework by the end of the current session; Academic Workload model has been taken out of scope for this group but work on School promotions criteria has been included;

HR Director, Pro-Director (Research & Enterprise), HRM’s, APF Working Group and its

five sub-groups

Jul-15

Develop and introduce "broad-banding" salary scales for G10 Professional Services staff; HR Director, Registrar, HRM (Change) Jul-15 Improve staff facilities, including physical working environment; Director of Estates and Facilities, EB, GB Jan-16 Part of capital programme

so move to existing controls?

Negotiate an affordable increase in London Weighting Allowance with the trade unions. Final offer made to TUs (UCU members accepted; UNISON members rejected).

HR Director, EB, HRM (ER), UCU & UNISON Jul-15

Agree the proposed revisions of the Professorial Salary Scales, to make them more competitive particularly at the top end, with UCU.

HR Director, EB, UCU Jul-15 Deferred until May/June when further comparator data is provided by UCEA (Spring 2015).

Review appointments in last 3-years for % of first-choice candidates appointed HR Director Feb-15 Closed. Data was reported to EB

Look at allowances and incentives for academic appointments HR Director / Deans Apr-15

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Institutional Risk Register – Updated May 2015

Risk 4: Failure to manage institutional reputation EB risk owner: Registrar

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Governance failure, lose completive or market position, QAA, staff and student relations, adverse publicity event, cyber crime

Loss of reputation with internal and external stakeholders

4 3 12 External Relations Strategy; Process Improvement plans Gift acceptance Policy. Monitoring by ERCC + EB/GB. Introduction of JNCC, Briefings for GB on key issues (e.g. BDS). School e-bulletins

Action plans in place and progress reported to the Recruitment and Admissions Steering Group and the External Relations and Communications Committee. UKBA audits. MIA Group work

Slippage on agreed deliverables; significant underspends on key budgets. Drop in ER Strategy performance indicators

4 3 12 4 2 8

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Develop and implement crisis communications procedure

Director of ERD, Registrar Feb-15

Review ethical investment approach in relation to fossil fuels and wider issues being reviewed by Working Group

Secretary Apr-15 Reporting to GB in April

Consideration and review of ethics issues in wider context (not limited to fossil fuels) - More Partnership’s session on Ethics at Feb 2015 GB meeting will highlight issues and allow members to discuss areas of concern.

Director of ERD

Feb-15

Closed. Session took place. Part of new CUC code

Review gift acceptance procedure and introduce and consider overarching Ethics Policy across whole School covering gift income, research income, gifts in kind, investment and procurement – paper then to be sent to EB with proposals.

Director of ERD / Director of REO / Director of LIS

Nov-15 Part of wider GB work on ethics in line with new CUC Code

Analyse CUC HE Code and respond to any gaps Secretary Jul-15

NB – Have increased likelihood of this risk in all three areas. Still amber at all levels

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Institutional Risk Register – Updated May 2015

Risk 5: Failure to manage academic reputation EB risk owner: Pro-Director, Research & Enterprise

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Drop in quality of teaching offering, research, poor NSS scores, funding outcomes. Poor QAA/REF outcomes

Downward spiral in league tables resulting in drop in recruitment numbers and/or difficulties in attracting/retaining outstanding academic staff

5 4 20 League Table Working Group. Monitoring also by EB and GB. Academic planning cycle

League table position Drop in league table position. KPIs. Drop in student numbers, poor REF performance, decline or stagnation in research income and/or donations

5 4 20 4 2 8

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update EB to regularly review development of academic programmes prior to inclusion in the Faculty Plans for 2014/15

Pro-Director (L&T) Sep-15

Develop and implement a revised Research & Enterprise Strategy action plan for 2015-2020. To include 12-month plan and milestones for a longer-term strategy

Director REO Feb-15 / July-15 REF action plan agreed at AB March 2015; now more detailed action plan for R&E can be developed and implemented

Develop and implement a revised Learning & Teaching action plan for 14/15, as part of development of new Strategic Plan

Pro-Director (L&T) Apr-15

Communications plan post REF results Director of ERD & Pro-Director (R&E) Feb-15 Completed Communication strategy going forward to actively promote research activities at SOAS Improve infrastructure and support to enable increased success in prestigious funding calls that will enhance academic reputation

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Institutional Risk Register – Updated May 2015

Risk 6: Failure to take advantage of strategic opportunities and be agile in a competitive marketplace

EB risk owner: Registrar

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Poor horizon scanning. Lack of institutional agility, capacity or capability

Fail to keep up with competitors or develop in new areas

5 4 20 Reports to EB from all members on key developments in sector. GB/EB Away Days & informal meetings. Close relationship with UoL

Ability to take recognise and submit responses to new sector initiatives e.g. HEFCE, research councils

Competitors announcing new developments. Known missed funding opportunities.

5 3 15 4 2 8

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Approval of new Estates Strategy and revised space strategy. Enables agile response to new opportunities

Registrar Jun-15

Development of first draft of a Strategic Plan for consideration by Governing Body

Registrar Apr-15 Completed

Strategic Plan drafted for discussion with incoming Director Registrar Sep-15 New action Agree plans to capitalise on opportunity presented by Centenary

Registrar Jul-15

Work more closely with SOAS academic community to build and capitalise on existing collaborations and embed those more closely into SOAS research strategy

Director REO, Pro-Director (R&E) TBC New action

Establish strategic research collaborations Pro-Director (R&E) TBC New action

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Institutional Risk Register – Updated May 2015

Risk 7: Failure to achieve VfM in all key institutional activities

EB risk owner: Director of Finance & Planning

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Lack of institutional appetite Lack of agility to respond to changes in sector, financial impact

3 4 12 Financial Strategy, VFM policy, monitoring by Executive Board, Portfolio Board and Audit Committee

Annual VFM Report, KPIs from revised Financial Strategy, Internal audit of risk management. Detailed sub-risk registers

Increase in % staff costs against target, failure to achieve objectives agreed in VFM plan. Financial Strategy Performance Indicators

3 3 9 3 2 6

Actions for further control to deliver net risk based on existing environment First phase of aligning all institutional promotional and marketing activities

Registrar Jul-15

Review of distance learning arrangements with the University of London and decision on next steps

Pro-Director, Learning & Teaching Jul-15

Project Board to implement full set of facilities management service across the campus including SHNB Registrar & Director of Finance & Planning Jun-16 Approval of new Estates Strategy and revised space strategy

Registrar Jun-15

Current phase of work of work under Portfolio Board and Accelerated Investment Fund. Report to EB/RPC

Registrar Jun-15

Review VfM actions mid-year. Update plan and incorporate any key actions in to Risk Register Secretary / Director of Finance & Planning Apr-15 Review if overall risk can be incorporated in to risk 8 Secretary / Director of Finance & Planning May-15 Closed

RISK COMBINED WITH RISK 8 ON COST BASE

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Institutional Risk Register – Updated May 2015

Risk 7: Failure to manage the School's cost base and ensure a sustainable institution

EB risk owner: Director of Finance & Planning

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Increasing staff costs, pension liabilities, failure to meet targets for north block project costs. Lack of institutional appetite for change

Do not meet financial targets, run at a deficit, no scope for investment. Lack of agility to respond to changes in sector, financial impact

4 4 16 Financial Strategy, Monitoring by Executive Board and RPC. VFM policy, monitoring by Executive Board, Portfolio Board and Audit Committee

Financial Strategy KPIs, Detailed management information reports. Detailed sub-risk registers. ASSUR submission to HEFCE. Annual VFM Report, KPIs from revised Financial Strategy, Internal audit of risk management. Detailed sub-risk registers

Increase in staff costs as % of income. Financial Strategy Performance Indicators. Increase in % staff costs against target, failure to achieve objectives agreed in VFM plan. Financial Strategy Performance Indicators

4 3 12 3 2 6

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Roll out zero based budgeting across Professional Services Directorates, undertaking 1/3 by expenditure per year. Starting with LIS & External Relations Directorates

Director of Finance & Planning Mar-15 Initial pilot completed. Close.

Consider actions necessary to make good any shortfall arising from the loss of QR income as a consequence of the 2014 REF

Director of Finance & Planning Mar-15 Closed, immediate action of launch of VS scheme launched and further actions captured in sustainability plan

EB, via faculties and directorates, to consider any targeted voluntary severance schemes HR Director Apr-15 Super ceded by VS roll out Consider options around increasing staff turnover HR Director Apr-15 Update faculty planning financial models to reflect the projected change in financial position & distribute to faculties for planning purposes

Director of Finance & Planning Mar-15 New action. Complete so can be closed

Conclude negotiations with fractions for fair pay Pro-Director (R&E) Apr-15 New action Conclude London weighting negotiations and implement the proposed increase to all staff HR Director May-15 New action Conclude voluntary severance (VS) scheme HR Director May-15 New action Consider requirement and action plan for launch of voluntary or compulsory redundancy programme should VS scheme not deliver target savings

HR Director May-15 New action

Seek further non pay budget reductions of circa £0.5m for 2015/16 financial year Director of Finance & Planning Jun-15 New action Undertake curriculum review to improve the efficiency of delivery and implement changes for 2016/17 academic years onwards.

Pro-Director, L&T Sept 16 New action

Undertake and implement recommendations of a review of academic organisational structures with the goal of creating stronger units based on teaching and research synergies

Pro-Director, L&T Sept -16 New action

Devolution of planning and budgetary authority to Academic Departments Pilot of 3 Depts Full roll out

Director of Finance & Planning

Apr-15 Apr-16

New action

Review of workload model to provide transparent and fairer allocation of effort Develop policy and guidelines Adherence to guidelines

HR Director Nov-15 Sept-16

New action

Reduction of use of temporary fractional teachers Phased reduction over three years

Pro Director, R&E Sept-17 New action

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Institutional Risk Register – Updated May 2015 Continue engagement with SOAS community re sustainability – to include two workshops with key stakeholders Registrar Apr-15 New action First phase of aligning all institutional promotional and marketing activities

Registrar Jul-15 From old risk 7

Review of distance learning arrangements with the University of London and decision on next steps

Pro-Director, Learning & Teaching Jul-15 From old risk 7

Project Board to implement full set of facilities management service across the campus including SHNB Registrar & Director of Finance & Planning Jun-16 From old risk 7 Approval of new Estates Strategy and revised space strategy

Registrar Jun-15 From old risk 7

Current phase of work of work under Portfolio Board and Accelerated Investment Fund. Report to EB/RPC

Registrar Jun-15 From old risk 7

Review VfM actions mid-year. Update plan and incorporate any key actions in to Risk Register Secretary / Director of Finance & Planning Apr-15 From old risk 7

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Institutional Risk Register – Updated May 2015

Risk 8: Failure to manage plans for a major business continuity incident

EB risk owner: Registrar

Risk Cause Risk Consequences

Gross risk

Existing Controls Sources of Assurance Early Warning Flags Current risk

Net risk

What might cause the risk to occur?

What are the possible consequences should the risk occur?

Impa

ct

Lik

elih

ood

I x L

What existing strategies, processes or controls are in place to manage the risk?

How do we know that these controls are efficient and effective? What are our sources of assurance over the controls for this risk?

What would indicate that the likelihood or the impact of the risk is increasing?

Impa

ct

Lik

elih

ood

I x L

Impa

ct

Lik

elih

ood

I x L

Poor preparation of plans, lack of testing, incident outside of plans scope, significant industrial/student action

Major impact on School's activities with possible serious financial impact if uninsured risk

4 3 12 Business continuity plans. Monitoring by EB. Detailed IT contingency plans. Managing Industrial Action Group. Annual formal updates of plans

Post-event review of any incidents. Periodic test exercises. Sub Risk registers. Deep dive review by Audit Committee in May 2014

Minor incidents that are not handled appropriately. Increase in fire alarm activations or security incidents

4 2 8 3 2 6

Actions for further control to deliver net risk based on existing environment Action for Further Control Action Owner Due Date Status update Repeat of externally facilitated test exercise Secretary Jul-15 Revised date following

discussion with consultants Implementation of new IT disaster recovery solution Registrar Jul-15 Approval of new H&S Policy including revised sections on staff and students working overseas Secretary Jul-15 Date for GB Review of IT systems/management by internal audit in 14/15 Registrar May-15

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EXECUTIVE BOARD 11.5.15 APPENDIX G

SCHOOL OF ORIENTAL AND AFRICAN STUDIES

Resources & Planning Committee

DRAFT AGENDA

Tuesday 9 June 2015 at 2.30 pm in Room 116

I Minutes To approve: the minutes of the meeting held on Tuesday 10

March 2015 [Attached]

II Action Taken To receive: updates on action taken III Matters Arising / for Report IV Director’s Report To receive: a report from the Director [Appendix A] V Finance To receive: an update report from the Registrar on SOAS

sustainability and financial planning [Appendix B]

To approve for recommendation to Governing Body:

the draft revenue & capital budgets for 2015/16 [Appendix C]

To approve for recommendation to Governing Body:

the revised financial forecasts to 2016/17 [Appendix D]

VI Planning To approve for recommendation to Governing Body:

the Professional Services Plan for 2015/16 Appendix E]

VII League Tables To receive: a report from the Pro-Director (Learning &

Teaching) on SOAS’ position in the League Tables

[Appendix F]

VII Fossil Fuel Industries Divestment To receive: a report from FFID working group on the

findings regarding the impact of fossil fuel industries divestment.

[Appendix G]

VII Accelerated Investment Fund To note: a report from the Head of the Portfolio

Management Office regarding the resource requirements of the current portfolio of programmes

[Appendix H]

VIII Investment Advisory Panel To receive: the minutes of the meeting of Investment

Advisory Panel held on 10 March 2015 [Appendix I]*

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EXECUTIVE BOARD 11.5.15 APPENDIX G

IX Cash Position To receive: reports on:

(i) Cash flow (ii) Capital and Debt Statement (iii) Short Term Deposits

[Appendix J (i & ii)]* [Appendix K]* [Appendix L (i & ii)]*

X Dates of Meetings in Next Session The Resources & Planning Committee meetings in the next

session are scheduled for: Monday 19 October 2015 Tuesday 10 November 2015 Tuesday 8 March 2016 Tuesday 7 June 2015 all at 2.30 p.m. in room 116

*Items marked with an asterisk are formal business, not intended for discussion.

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EXECUTIVE BOARD 11.5.15 APPENDIX H

SOAS ACADEMIC BOARD

Wednesday 10 June 2015

2pm in Room 116 AGENDA

* Items are formal business; if members wish to discuss any issues arising from these reports they must inform the Secretary by noon on Tuesday nine June 2015. I Minutes To approve: minutes of the meeting held on 11 March 2015 [previously circulated,

and attached] II Action Taken To receive: updates on action taken III Matters Arising IV Director’s Report (i)To receive: a report from the Director (ii)To receive: an oral report from the Director on the RPC

meeting of 9 June 2015

V REF To consider: a report on progress, and a detailed action plan

from the Pro-Director (Research & Enterprise)

VI School-Funded Research Leave To approve: a revised policy VII Academic Performance Framework To ??????? VIII Students’ Union Educational Priorities (Minute 9) To receive: an update on the educational priorities of the

Students' Union

IX Taught Academic Regulations (Minute 28) To approve: revised regulations X Degree Transfer for New Students To note: a change to procedures XI Probationary Centres (Minute 35 2013/14 ) To approve: recommendations from Faculty Board (L&SS) a) Centre for Ethnic Minority Studies b) Centre on the Politics of Energy Security XII Institute of World Languages a) To receive: a report from the Dean (L&C) b) To confirm: approval of the creation of the Institute XIII Department of the Study of Religions To approve: for recommendation to Governing Body a

change of departmental name

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EXECUTIVE BOARD 11.5.15 APPENDIX H

XIV Membership of Governing Body To approve: a nomination from the Director XV Grievance & Disciplinary Panel 2015/16 To approve: a new member of the panel XVI Sub-Committees (i) To receive: termly reports from (a) Academic Development Committee (b) Research & Enterprise Committee (c) Equality & Diversity Committee (ii) To receive: annual reports from Faculty Boards (d) Arts & Humanities Faculty (e) Languages & Cultures Faculty (f) Law & Social Sciences Faculty XVII Term Dates 2018/19 To note: term dates approved by LTQC XVIII *Regional Centres To note: annual reports from (i) Centres & Programmes Office (ii) Centre of African Studies (iii) Centre of Contemporary Central Asia & the Caucuses (iv) Japan Research Centre (v) Centre of Korean Studies (vi) Centre of South East Asian Studies XIX *Institutes To note: annual reports from (a) China Institute (b) King Sejong Institute (c) London Confucius Institute (d) London Middle East Institute (e) South Asia Institute XX *London International Development Centre To note: an annual report from the LIDC XXI *Emeritus Status To note: the award of emeritus status to: Professor Machiko Nissanke Professor Elizabeth Moore Professor Annabelle Sreberny Professor Nicholas Sims-Williams

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EXECUTIVE BOARD 11.5.15 APPENDIX I

University of London Scholarship Funds

Executive Board is asked to note that the model used to allocate the University’s Scholarship Funds to the Colleges has been amended and note that as a result, the SOAS allocation has been increased for 2015-16. Executive Summary At last week’s Collegiate Council meeting, the Heads of Colleges received a report from the Trust Funds Committee informing CC that the allocation model from the University’s Scholarship Funds to the Colleges had been amended and that more detailed information would follow. Attached is the paper from the University of London on the Scholarship Funds for information. SOAS has been classed as a Large College which means we will receive an allocation based on your student numbers against those of the rest of the Federation. As we reported no unspent balance last year we have qualified to receive extra funding on top of the usual amount: Baseline Allocation: £13,579 (£5,306 - Research Fund and £8,272 - Studentship Fund) Extra Allocation: £27,069 (£10,944 - Research Fund and £16,124 - Studentship Fund) Actual Allocation: £40,648 (£16,250 - Research Fund and £24,398 - Studentship Fund) Prize Fund Allocation: £750 Recommendations N/A Financial Impact Additional allocation of £27,069 (£10,944 - Research Fund and £16,124 - Studentship Fund) for 2015-16 Risks N/A Equality implications N/A

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The University’s Trust Funds Committee has reviewed the method by which it allocates funding to Colleges and the School of Advanced Study (SAS) from the Scholarship Funds. This document is intended to inform recipients on how the new allocation is decided and the terms which dictate how monies from each fund should be expended. The document also provides a brief background to the Scholarship Funds.

Background

The University of London Scholarship Fund (‘Scholarship Fund’) was a single trust fund which was created in 1996 by a Charity Commission scheme to merge multiple smaller trust funds that had become unusable over time. With the permission of the Charity Commission, the University added further trust funds to this single fund during the 2000s. In 2010, the University approached the Commission once again to propose merging a further 67 trust funds into the Scholarship Fund. However, the Commission decided that the wishes of the benefactors, whose bequests/gifts made up the Fund, should be more closely followed and instructed the University to split the fund into three legally separate trust funds based on the general academic activities the smaller funds were originally intended to support. These are as follows:

A University of London Prize Fund (‘Prize Fund’)

B University of London Research Fund (‘Research Fund’)

C University of London Studentship Fund (‘Studentship Fund’)

The Scholarship Funds are not of equal value financially; the Charity Commission stipulated how the Scholarship Fund capital was to be apportioned between the new funds based on the objects of the original smaller trust funds as follows:

A Prize Fund - 4.3%

B Research Fund - 39.4%

C Studentship Fund - 56.3%

Objects of the Funds

According to the Charity Commission Scheme of 2011 the objects of the three Funds are as follows:

Prize Fund – The object of this fund is, for the public benefit, to advance the education of the beneficiaries by the giving of prizes, grants, rewards or marks of distinction to beneficiaries.

Research Fund – The object of this fund is, for the public benefit, to advance the education of the beneficiaries by the giving of grants to enable them to continue or undertake research at or within the University.

Studentship Fund – The object of this fund is, for the public benefit, to advance the education of the beneficiaries by the provision of studentships.

SCHOLARSHIP FUNDS ALLOCATION MODEL

AND GUIDANCE

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Previous Allocation Model

Starting in 2011-12, the University agreed to divide the annual income of the three funds between all the Colleges and SAS based on their comparative student numbers. Funding transferred to the Colleges continued to be labelled ‘Scholarship Fund’ and it was left to the recipient finance departments to divide the single amount between the three activities (prizes, research, studentships) correctly. The Colleges and SAS were required to complete annual spending returns to the University reporting how much of the funding had been expended.

Changes in Central Administration

Since the beginning of 2013, the University has conducted a large overhaul of its trust fund administration and governance. The Trust Funds Committee was established by the University’s Board of Trustees in July 2013 as a dedicated body to make decisions on allocations from all University trust funds and to provide oversight of current procedures and established allocations of trust monies. The Trust Funds Committee is chaired by the Vice-Chancellor and includes amongst its members a Head of College and an Independent Member of the Board of Trustees.

Rationale for Change in Allocation Model

At the beginning of 2014, following the receipt of annual spending returns from Colleges, the Trust Funds Committee was alerted to the significant unspent balances of Scholarship Funds monies held by Colleges, which amounted to £365k (the annual income was £360k). The Committee ordered a more detailed review to be conducted and that specific Colleges be alerted to the issue, which was also later raised at the September 2014 meeting of the Collegiate Council.

In the most recent annual spending returns, completed by Colleges in January 2015, the unspent balances of Colleges from Scholarship Funds monies had increased a further £85k to £450k. The Committee also identified a problem in that the smaller Colleges were receiving annual allocations which were too small to be useful for their purposes.

New Allocation Model

At its February 2015 meeting, the Trust Funds Committee agreed to a new allocation model for the three Scholarship Funds to take effect from 2015-16. The new model is designed to encourage the spending of allocated monies, with Colleges that spend their full allocations being rewarded at the expense of those that do not. Due to the comparatively small size of the Prize Fund’s capital, a different allocation model has been agreed for that trust fund.

Allocation Model: Research Fund and Studentship Fund

1 The allocation of monies from the Research Fund and Studentship Fund will be the baseline allocation (see clause 2) minus the deductions (see clause 3).

2 The baseline allocation to each College is the normal allocation the College will receive if it has spent all previously allocated monies. The baseline allocation is determined by the following:

A Small Colleges1 will receive a minimum allocation of £4,000 from each of the Research and Studentship Funds.

1 ‘Small Colleges’ are defined as institutions which would have received less than £8,000 in total under the old allocation model. See Appendix 1 for a full list of Colleges.

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B The remaining monies from the annual income will be allocated to the Large Colleges2 based on the number of students registered at each Large College.

3 In lieu of reclaiming unspent monies from Colleges, the University will deduct the total of the unspent balance as declared by a College in the previous year, from the baseline allocation. Where the total deduction is greater than the baseline allocation, the actual allocation will be zero.

4 Monies deducted from the annual allocation to Colleges (see clause 3) will be reallocated between all Colleges that reported a balance of zero in the previous year. The reallocation will be based on student numbers and will ignore whether a College is deemed a Large College or a Small College.

5 A College which receives an increased allocation from monies that have been reallocated (see clause 4) will be judged in the next academic year by spending against the College’s baseline allocation. Colleges will not be required to spend the full additional amount in a single year.

6 Colleges which do not complete the annual return to the University will receive no allocation the following year.

7 The University may at its discretion, and in exceptional circumstances, allow the full baseline allocation to be paid to a College even when the College has not spent all previously allocated monies. Exceptional circumstances may include where the College has informed the University of specific spending plans for the unspent monies in the next academic year which could not be carried out previously or where the University had given insufficient prior notice of an increase in allocation.

8 The University will review the minimum allocation to Small Colleges periodically.

9 Research and Studentships funded from allocations should acknowledge the University of London in the title of those awards and/or work produced and supported by those awards.

Allocation Model: Prize Fund

1 Allocations from the Prize Fund will be determined by the size of the recipient Colleges.

A Large Colleges will receive an annual allocation of £750.

B Small Colleges will receive an annual allocation of £500.

2 When funding prizes from the allocation, the University should be appropriately acknowledged in the title of the prize.

3 The University will review the level of allocations from the Prize Fund periodically.

2 ‘Large Colleges’ are defined as institutions that would have received over £8,000 in total under the old allocation model. See Appendix 1 for a full list of Colleges.

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APPENDIX 1 – Lists of Small and Large Colleges

Small Colleges are defined as institutions which would have received less than £8,000 in total under the old allocation model. As of 2015, the following institutions are defined as such:

Courtauld Institute of Art

Heythrop College

Institute of Cancer Research

London Business School

London School of Hygiene and Tropical Medicine

Royal Academy of Music

Royal Central School of Speech and Drama

Royal Veterinary College

University of London (School of Advanced Study)

Large Colleges are defined as institutions that would have received over £8,000 in total under the old allocation model. As of 2015, the following institutions are defined as such:

Birkbeck, University of London

Goldsmiths, University of London

King's College London

London School of Economics and Political Science

Queen Mary University of London

Royal Holloway, University of London

SOAS, University of London

St. George's, University of London

UCL

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EXECUTIVE BOARD 11.5.15 APPENDIX J

SUPPORT FOR THE SUMMER UNIVERSITY – CAPPADOCIA TURKEY, JULY 2015

ERASMUS PLUS – ALADDIN PROJECT Executive Summary For the past two years SOAS has been able to send 4 students (PGT) to participate in an International Summer University for Intercultural Leadership sponsored by the Aladdin Project, a Paris-based charity organisation promoting intercultural understanding. In late 2014 the Aladdin Project was successful in attracting ERASMUS Plus funding for the continuation of this initiative (2015 -2017). SOAS is one of their key partners. Erasmus Plus funding covers costs relating to the two-week summer school (academic and social program, board and accommodation). Students or their universities are responsible for travel to and from the Summer School location. This year it is held in Cappadocia, Turkey between 19 July and 2 August 2015. SOAS has been asked to support student travel at Euro 300 per student. Recommendation EB is asked to agree to a travel bursary of Euro 300 per student (max. 4 students) Financial Impact Euro 1200 (max) Risks As a key partner in this Erasmus Plus project it would be expected that SOAS assists its participants by providing a small travel bursary. Equality Implications None. Open selection process.

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EXECUTIVE BOARD 11.05.15 APPENDIX K

ENVIRONMENTAL MANAGEMENT SYSTEM UPDATE

EB is asked to note the update report

Executive Summary This report provides EB with an update on progress with the School’s ISO 14001 implementation, as well as provide a blue print of how the system is supposed to work. ISO 14001 Environmental Management System (EMS) is a procedure based approach that is enables an organisation to:

a) assess and target areas of environmental impact relevant to an organisation’s activities and processes with a view to ensuring structures are created to support continuous environmental improvements, b) ensure that all relevant environmental legislation are adhered to, c) anticipate, prevent, and manage possibilities of pollution and contamination

This update will be considered at the next meeting of the Estates & Infrastructure Committee. Chris Ince Secretary

Recommendations None at this time

Financial Impact No impact at this time. However, future actions may require resources or staff time.

Risks Brief summary of any of the risks.

Equality implications No direct or indirect implications on any groups with protected characteristics or expected with the proposed work.

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EXECUTIVE BOARD 11.5.15 APPENDIX K

Progress update for ISO 14001 Environmental Management System (EMS) Implementation at SOAS

What’s Done

This report provides some update of progress with the School’s ISO 14001 implementation, as well as provide a blue print of how the system is supposed to work.

ISO 14001 Environmental Management System (EMS) is a procedure based approach that is meant to enable an organisation to;

a) assess and target areas of environmental impact relevant to an organisation’s activities and processes with a view to ensuring structures are created to support continuous environmental improvements,

b) ensure that all relevant environmental legislation are adhered to, c) anticipate, prevent, and manage possibilities of pollution and contamination

These are considered the three pillars of ISO 14001 EMS, which has to be integrated into the way an organisation works and reflected in its strategies and relevant policy documents. Hence ISO 14001 accreditation should not, and cannot be attempted without the express backing of an organisation’s top leadership team.

So what do these 3 pillars mean for SOAS and how do we implement it?

• We consider all our activities and processes that have an impact on the environment, we use a scoring system to ascertain which activities has a significant impact – this is Aspect and Impact Assessment,

• Then we set out to reduce/mitigate these impacts – this is where we begin to set objectives, targets and programmes for improvement,

• In terms of legislative compliance, we consider relevant environmental legislation and sector regulations and we produce a comprehensive register of all these legislation. We assess and continually monitor level of compliance against each piece of legislation on the register and the how we are evaluation compliance. This document has been produced and it is called the Legal Register. In order to stay abreast of new legislation as they come out, thus ensuring the Institution remains compliant we are subscribed to Cedric legislation update service (through our EcoCampus package). New legislation which are likely to have significant changes to our procedure, processes and resources are flagged up and discussed at the relevant management level,

• Preventing and managing possible pollution events involves some physical spot checking usually involving solvent, lubricants or waste storage, corroborated with legal interpretation of what constitutes effective containment. This also includes putting in place measures of emergency preparedness, for example in cases of spillage

All the above activities are documented and arranged according to the clauses of the ISO 14001 standards – these are the system and operational procedures. In order to write these procedure we had to liaise with relevant groups across SOAS (mostly in estates) including contractors (e.g. Mitie, Coffely, Elior, Grundon (will now be SITA) etc), to get the full picture of the current processes and recommend

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EXECUTIVE BOARD 11.5.15 APPENDIX K

best practice changes. These procedures are agreed and are now saved in our document control system – as per ISO 14001 requirements for having a secure version-controlled documentation system.

Below is the online document control system we use called Loreus. The folders are arranged in line with the ISO 14001 clauses and have now been populated with procedures and other relevant documentation.

(NB – It should be noted that building an ISO 14001 EMS is not a linear process. Different system components can be built and developed concurrently, what is important is for all the components to interact with each other when the system is built. This is why EMS systems are often depicted as a cyclical Plan – Do – Check – Review process).

Other supporting structures include; • The online data portal – monitoring and measurement of utilities and other performance

indicators, and for running reports,

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EXECUTIVE BOARD 11.5.15 APPENDIX K

• New Greenthing website – an upgraded greenthing website for signposting some general

information and where some key publically available documents are kept, including the Sustainability policy, the new Sustainability booklet and the waste guidance document, www.bloomsburygreenthing.com/soas

What’s Next

With all of the above now in place, this accounts for about 60% what we are required to do to meet the requirements of ISO 14001. A big part of the remaining bits has to do with ensuring continuous improvement – (the first pillar). This is one of the key out-workings of an ISO 14001 EMS, where-the-rubber-meets-the-road. A bit more planning and deliberation is needed here, involving improving performance of our significant environmentally impacting areas (i.e. waste production, energy use, water use, waste reduction and recycling, sustainable procurement, sustainable construction and refurbishment and other environmental initiatives).

This entails agreeing programme of improvements for these areas and setting targets where applicable. It is at this point that we need to engage the different sections of the SOAS community for them to be informed of our plans and be mobilised to contribute to the improvement efforts. Hence, as discussed at our last meeting, top management help may be needed to mobilising staff from areas we do not yet have representation on Sustainability group. This is the stage we are now.

Resource Implications

With regards to the resource implications of moving forward with performance improvement pertaining to our environmentally impacting areas, I list below the kind of work that might need to be done. Numerical targets can be set but also qualitative tasks or preparatory investigations, but these have to be time bound for purpose of monitoring and reporting – ISO 14001 uses this to provide structure and accountability. In some of the below I listed two steps (a) and (b), in each category with (b) often dependent on the outcome of (a). (Note that this is neither wholly descriptive nor exhaustive – the intention is to provide a realistic guide of where resources are likely to be required, including what time resources are needed):

• Waste and recycling – Rolling out better recycling infrastructure with increased engagement would improve waste management in SOAS. This is the most obvious area of improvement and enough discussion has already gone into this. Resource implication – procuring new recycling bins

• Energy and Carbon – with the carbon reduction target met, the School still needs to look for opportunities for further carbon reductions. The task here should be; (a) to investigate further viable options for carbon reduction which can be built into an implementation programme. Time frame could be 6 months to a year, (b) Following this, another set of target and resource implication can be discussed for the options uncovered during this investigative period where a plan of action can be developed. Resource implication for (a) – mostly staff time or may entail getting an external party involved

• Water use – (a) commission a water use audit, with water metering and leak detection, (b) Then explore water saving opportunities. Resource Implication (a) – assigning a contractor to carry out this exercise

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EXECUTIVE BOARD 11.5.15 APPENDIX K

• Sustainable purchasing – This will entail working with the procurement department to develop

an approach for sustainable procurement which will ultimately reduce environmental impact in the supply chain (scope 3) and reduce cost. (a) Develop and agree a sustainable procurement policy, time frame could be about a year, (b) use the flexible framework to implement the sustainable purchasing objectives. Resource Implications (a) – time and commitment from relevant staff

• Commuting and travel – This is also part of scope 3 emissions. Staff and student commuting may not be the biggest impact here. Instead the focus will be on business travel and supporting sustainable modes of travel. (a) Getting good information on travel patterns of the community would be a start; this is most likely via carrying out a travel survey. Time frame could be 6 months, as it might take several months to agree when it should takes place (b) providing increased/improved facilities for supporting sustainable modes of travel, and exploring remote networking facilities to reducing the need for business traveling. Resource Implications (a) – time and commitment from relevant staff (e.g. the procurement or finance team may be needed especially when considering business traveling)

• Sustainable construction and refurbishment – this may entail agreeing the environmental standards for building and refurbishment works. This can be expressed by, (a) agreeing a sustainable construction policy and guidance, (b) ensuring the guidance gets updated and adopted for projects. Resource Implications (a) – requirement here would again be time and commitment from relevant staff (Time frame could be 6 months)

• Other Initiatives – other sustainability initiatives invariably contributes to the above key areas of impact either directly or indirectly. Whether it be the steinbeis paper, warpit, switch-off campaigns, behaviour change programmes, food miles, ethical investment, bee keeping or ethical investment, contributions from the School community would be essential.

Sustainability group structure and Communication

From the above it is clear that different parts of SOAS will have a part to play in the School’s ISO 14001 ambitions. This is why having the complete sustainability group network creates that two-way conduit to the different sections of the School. This is also important to fulfilling the communication clause of the requirement, which has now been given more emphasis in the new ISO 14001 standards requirement. In the previous version of the standard, it is possible for an organisation to achieve accreditation with large sections of the School community not being aware, nor contributing to the process. Therefore with the new standard there is an increased emphasis on engaging the different strata of an organisation – from top management, to staff, students and contractors. ISO 14001 sees this as providing the validity for granting accreditation and will be checked by external auditors during the accreditation audits.

It should be noted that the EMS systems are not static; components will need to be tweaked in order to update, and adjust to changes (to the organisation itself, to processes or activities) or to improve the system’s efficiency. This is an expected and perpetual feature of any EMS system including ISO 14001 even after accreditation is achieved. In fact, staying on top of this could also be a determinant for retaining accreditation. This is the essence of the ‘Checking and Correcting’ clauses of the ISO 14001 standards.

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EXECUTIVE BOARD 11.5.15 APPENDIX K

Report Prepared By

Ola Bankole Sustainability Manager

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Circulars Received 23.04.15 - 06.05.15

Type (UUK, UCEA etc) Date Received

Title/Subject Attachments Can I obtain in another format? SOAS action required Who by Deadline

UCEA UPDATE 15:033 24/04/2015 Third New JNCHES pay negotiations meeting 2015-16

Yes - News release available as pdf from Directorate Assistant

For information HR Director N/A

UCEA UPDATE 15:034 29/04/2015 UCEA Research report - Contingent academic employment in Australia, Canada and the UK

Yes - Research Report available as pdf from Directorate Assistant

For information HR Director N/A

UCEA UPDATE 15:035 30/04/2015 UCEA Health and safety annual report 2014

Yes x 2 UCEA Health and safety annual report 2014, Covering letter from Prof. Chris Gaskell

available as pdf from Directorate Assistant

For information HR Director N/A

UCEA UPDATE 15:036 01/05/2015 Two rulings on redundancy consultation requirements

N/A available as pdf from Directorate Assistant

For information HR Director N/A

UCEA UPDATE 15:037 06/05/2015 New Chairs of the Employers Pensions Forum and accompanying sub-committees

N/A available as pdf from Directorate Assistant

For information HR Director, Finance Director N/A

Circulars with upcoming deadlines

Type (UUK, UCEA etc) Date Received Title/Subject Attachments Can obtain in another format? SOAS action required Who by Deadline