OfS internal responsibilities and reporting protocols

The University registered with the Office for Students (OfS) in 2018, with approved provider (fee cap) status.

This means that the University is eligible for direct research grant funding through Research England, to apply for research council funding, for teaching grant funding, for its eligible students to be able to apply for loan and maintenance support, and to be a Home Office Student Visa sponsor for international students. 

As the 'fee cap' designation suggests, the tuition fees the University can charge students are capped.

Key University role-holders and bodies working with the OfS

The OfS is multi-pronged and governs a wide range of requirements and returns which the University must meet to remain registered. OfS communicates its requirements to providers through a range of means, including:

  • Regular web updates, general email announcements and weekly round-ups
  • By formally contacting the Vice-Chancellor who, as head of the institution, is the 'accountable officer'
  • Targeted communications (email/letter) to designated University contacts for specific regulatory activities.

Vice-Chancellor

As the 'accountable officer', the Vice-Chancellor (VC) is required to formally report to the OfS on the University's behalf. The VC signs off key data returns before the University submits them to the OfS. Other key returns, such as the annual finance return and the Prevent Duty return, are signed off by or on behalf of Council.

University Secretary

The University Secretary has general oversight of the University's compliance with OfS requirements. They are the senior contact for ensuring the University complies with OfS registration conditions. They co-ordinate requirements and make sure they are completed and signed off on time. They also keep a watching brief on what is emerging from the OfS, and are responsible for considering and submitting reportable events.

University Executive Board (UEB)

UEB members are accountable to Council and the VC for ensuring compliance with OfS requirements within their portfolio of responsibility. Several regulatory activities and returns may span more than one UEB member's portfolio. UEB leads, their senior teams and key contacts are responsible for keeping up to date with OfS requirements in their specific area(s).

OfS Monitoring Group

Chaired by the University Secretary, the OfS Monitoring Group is a small group of senior staff with leadership, policy and operational responsibility for aspects of OfS. The group's purpose is to:

  • collectively monitor and ensure compliance with the general ongoing OfS registration conditions
  • act as a sounding board for members on the conditions of registration that they are responsible for interpreting and implementing
  • closely monitor specific conditions of registration
  • consider other policy or regulatory matters relating to the OfS.

The group is not an advisory or approval body for all OfS matters. The relevant UEB owner or other senior accountable staff member leads co-ordination of regulatory activities and requirements.

Key OfS activities and general allocation of responsibilities

The University Secretary is the key contact for queries about the University’s OfS registration. If you have a query about a specific regulatory activity or return, please approach the key contact. If you are unsure who to contact, please contact the Governance & Assurance Office: governance@york.ac.uk.

Internal review and referral requirement

Condition E3 (OfS registration conditions) states that Council must ‘accept responsibility for the interactions with the University and the OfS and its designated bodies’.

Condition F3 states Council must ensure that accurate, appropriate and timely information is provided to the OfS, and that the University co-operates in any monitoring or investigation arising from such an event.

Council and the Vice-Chancellor delegate to the University Secretary oversight of a framework for the internal management and assessment of reportable events.

What is a reportable event?

Any major, material, significant and/or adverse event or activity which has occurred is ripe for urgent consideration as to whether it might be a reportable event, and the advice of the University Secretary should be sought as a priority.

The OfS defines a reportable event as any event or matter that, in its reasonable judgement, negatively affects or could negatively affect:

  1. The provider’s eligibility for registration with the OfS.
  2. The provider's ability to comply with its conditions of registration.
  3. The provider's eligibility for degree awarding powers, or its ability to comply with the criteria for degree awarding powers.
  4. The provider's eligibility for university title.

The full definition is provided in Regulatory Advice 16 (October 2021, in force from 1 January 2022).

Examples of reportable events

The above examples are non-exhaustive. Individuals or groups of University staff are not expected to make the judgement independently, but to always refer as a priority to the University Secretary (governance@york.ac.uk), who will review on a case-by-case basis.

However, as the reportable events system is a risk-based judgement and referral regime, the University Secretary will in turn be proportionate and risk-based in the expectation of which events need formal governance review and follow-up within the University and in turn onward reporting to the OfS.

This recognises that over-reporting, including decisions to too readily escalate matters to the OfS, and within the University’s own internal governance structures, including to University Executive Board or, for example, Audit and Risk Committee or ultimately Council, can signal a lack of confidence in the effective management and mitigation of internal controls.

Reporting within the OfS timeline

The University is required to report an event to the OfS via the University Secretary within five working days of the date that the event is identified or, if that is not possible due to exceptional circumstances beyond the control of the provider, as soon as reasonably practicable thereafter and without undue delay. Therefore, colleagues need to raise a potential event as soon as they are aware of it.

For events that are yet to happen, but can be reasonably foreseen, such as opening a new campus, we should report to the OfS as soon as is practical, as is the case with reportable events which have been discovered as happening in the past.

What to do if you think you have a reportable event

An initial identification of a potential reportable event should be flagged to the University Secretary at governance@york.ac.uk by email, providing key factual information.

The University Secretary or nominee from the Governance and Assurance Office will normally ask for further information in writing to help understand the factual basis, status, materiality and/or adverse nature of an event to aid evaluation of whether it is reportable. When more information is requested, it is important that it is provided as soon as is practical, and it remains the responsibility of the individual flagging the potential event to investigate the matter, address queries and clarifications raised by/on behalf of the University Secretary.

The information required includes information on how the event is currently being managed, including limiting or removing any risks or issues which arise from the event. This will be a key feature of the information provided to the OfS, to assure it that the matter is being handled effectively by the University.

The originator may be required to populate the OfS-required format for submitting a reportable event, which will then be signed off by the University Secretary.

As a minimum the Chair of Council will be informed if a reportable event is submitted to the OfS, as events or matters are reported on behalf of the governing body. Proportionate and periodic updates will be provided to the governing body and other bodies, such as Audit and Risk Committee and University Executive Board (UEB) as appropriate.  

What happens next?

Assessing how material an event is will include the following judgments:

  • The potential scale of the event: how much of an impact does it have on the University’s leadership, governance and operations, organisational structures, strategy, business model, resources or reputation, or ability to comply with the law or regulations?
  • The likelihood of an event escalating and materialising with any of the above characteristics.
  • The known or likely damage to the reputation of the University.

The originator, and their line manager or other colleagues, will be informed if an event or matter is judged to be reportable and is submitted to the OfS.

The OfS requires events to be submitted online via the OfS portal by the designated contacts: this is the University Secretary or nominee. Once an event and associated documents have been submitted, the OfS will confirm by email that they have been received.

If no further action is required, the OfS will write to the University Secretary to confirm this. The OfS may follow up if they question the timeliness of reporting, or need further clarification or assurance of the basis for reporting. In these cases, the University Secretary may require further information or an internal review.

Reporting an event to the OfS does not dispense with the need to report it to another body, such as an enforcement body, regulator or professional statutory or regulatory body. In fact, reporting to another body may of itself be a trigger to report to the OfS where a sanction is issued. Responsibility for reporting to another body rests with the senior manager overseeing the activity or area concerned, and they should notify the University Secretary and other key individuals.