INSTITUTIONAL STATUTESROLES AND RESPONSIBILITIES OF COUNCILS

Phillia VukeaDepartment of HE and Training

Vukea.p@dhet.gov.za25 July 2014

Institutional Statute• “institutional statute” means any statute made by the council

of a public higher education institution under Section 32;• The council may make

– an institutional statute, subject to section 33, to give effect to any matter not expressly prescribed by the Act

– institutional rules to give effect to the institutional statute• Any institutional statute must be submitted to the Minister for

approval, and if so approved must be published by notice in the Gazette

• The Ministry is accountable for ensuring that Statutes comply with the policy and legislative framework.

• In the event that an institution has not promulgated its own institutional statute, it is governed by the provisions of the Standard Institutional Statute of March 2002. 2

Institutional Statute• The Statute may provide for all or any of the following

matters:– the constitution, powers and duties of the authorities and other

bodies of the University – the qualifications and disqualifications for membership of such

authorities and other bodies– the appointment, terms and conditions of service and the powers

and duties of the employees of the University – the administration of the University,– the conferment of degrees and other academic distinctions and the

grant of diplomas and certificates;– any other matter which is necessary for the proper and effective

management and conduct of the affairs of the University.

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• Institutional Statute is a governance device • Institutional Statutes play a key role in

interpreting the broad brushstrokes of higher education policy into the governance practices of individual institutions.

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Institutional Statute

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The HE Act provides for the establishment of the following governance structures:

(a) a council

(b) a senate

(c) a principal

(d) a vice-principal

(e) a student representative council

(f) an institutional forum

(g) such other structures and offices as may be determined by the institutional statute

Governance of public HE institutions

6Harper et al., 2002

COUNCIL

Institutional Forums

Executive ManagementSenate

SRCFaculty

Departments

Staff Org.

Students services council

Governance of public HE institutions

Council of HE institution• The council of a university is established as the highest

governing body of the institution in terms of Section 27 of the HEA.

• The council must govern the public higher education institution, subject to the Act and the institutional statute.

• These provisions are made in the expectation that a council will always act in the best interests of the institution it serves.

• Further to the Act, the institutional statutes expand on the roles and functions of council, specify the additional members and their manner of election as provided for in the Act, and determine the meeting procedures to be followed by council.

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Composition of Council• The council, as contemplated in section 27 of

the Act, consists of:• Internal members:

– the principal– vice-principals– members of the senate– academic employees – non-academic employees– students, elected by the SRC

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Composition of Council• External members:

– five persons appointed by the Minister– such additional persons as may be determined by

the institutional statute• representatives of different constituencies; such as the

convocation, donors, provincial or municipal government

• members with a broad spectrum of competencies in the fields of education, business, finance, law, marketing, information technology and human-resource management

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• It must consist of not more than 30 members and 60% must be from external

• It must have people with knowledge and experience relevant to the needs of the institution

• It must have people who will participate in the deliberations of the council in the best interest of the institution

• Members must declare any business interest that may raise conflict of interest before they assume office

Composition of the council

• Council is not a constituency-based body• Each member of Council is a member of Council and

not a representative of the appointing or electing body.

• A member of Council does not come into Council with a mandate from the appointing or electing body and does not serve sectional interests.

• A member of Council has a fiduciary responsibility towards the University and must act in the best interest of the University.

• All members of Council are equals in the Council Chamber. 11

Composition of the council

Council of HE institution• Due to its composition, Council is not in a position to manage the

day-to-day affairs of such an institution.• Council’s role is one of ‘governing’ rather than ‘managing’ the

institution and this is a vital distinction. • Its main function is to provide general policies as how such

management should be conducted. • At times councils fall into the trap of micromanaging institutions

but this confusion of roles can be avoided if a clear focus is kept on the wider policy-setting role of council.

• The day-to-day management is entrusted to the VC and and his/her executive management team.

• The VC is always accountable to Council for his/her decisions and conduct regarding the day-to-day management of such institution.

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Responsibility of Council• Council has responsibility for

– Policy decisions– Preserving the integrity and good name of the University;– ensure it sustains the confidence of the public and of the

State– Clarifying the mission and strategic objectives of the

University;– Preserving the autonomy, and academic of the University;– Promoting the advancement of the University;– Promoting and encouraging academic excellence within the

University in order to ensure world class performance;– Promoting the upliftment of previously disadvantaged

persons and groups; 13

Responsibility of Council– Appointing suitably qualified and experienced persons to

occupy senior management positions;– Supporting and assessing the performance of senior

management;– Ensuring that adequate physical development takes place

and that adequate financial resources exist and that the University's physical and financial resources are cost-effectively utilised;

– Conveying the educational needs of society to the University's management;

– fostering an effective relationship between Council, the University community and the community at large; and

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Functions of Council• The fundamental role of council is to govern the higher

education institution. • Within that general role, there are a number of specific

functions that a council must perform and others that it may perform.

• While it is permitted to delegate to others the authority to perform functions, it is ultimately responsible for their performance.

• These functions are set out in the Higher Education Act of 1997 and in the Standard Institutional Statute or the individual statutes of institutions.

• All members of council should be fully familiar with their contents, especially with those sections that are directly pertinent to council.

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Functions of Council• Define the overall strategic direction for the institution• makes and amends the institutional Statute • makes rules for the institution• establishes the council committees • appoints the senior management• appoints all employees of the institution• determines conditions of service, the disciplinary provisions and the

privileges and functions of its employees, and may, in the manner set out in the disciplinary rules, suspend or dismiss any employee of the institution;

• determines tuition fees, accommodation fees and any other fees• approves the annual budget of the institution• conclude a loan or overdraft agreement• determines and provides student support services after consultation

with the SRC 16

Functions of Council• After consultation with the senate

– appoint academic employees– determines the student admission policy of the institution– determines the language policy of the institution– determines the academic structures and their functions required, in

order to ensure efficient governance

• determines, with the approval of the senate– determines the entrance requirements– determines the number of students who may be admitted – determines the manner of their selection– determines the minimum requirements for readmission to study at the

institution– Refuse readmission to a student who fails to satisfy the minimum

requirements for readmission

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Responsibility of Council• Council should exercise its responsibilities in a

corporate manner, with decisions being taken collectively by the members acting as a body.

• Participate in the deliberations of the council in the best interest of the institution

• Members should not act individually or in informal groupings to take decisions on Council business outside the constitutional framework of Council meetings.

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Council meetingsTo be effective, council meetings should serve a number of purposes of which the following are identified as being the most important:•Information consists of supplying council with information on the institutional environment and actions taken or not taken with regard to specific university business.•Notification relates to the institution’s executive management’s noting specific action taken by council committees and other structures in the execution of their delegated work.•Approval is needed from council in relation to specific items that are beyond the designated authority of committees of council and executive management.•Control is the follow-up on cost and capital budgets, as well as on specific objectives where report-back was required by council.•Compliance is another fiduciary responsibility in the execution of which council ensures that all policies, processes and decisions are in accordance with legislation and the institution’s own regulations, that financial management is sound, and that the institution is effectively run.

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• Ineffective leadership by chairs/deputy chairs of councils• Meeting procedures• Inexperience of council members• Unacceptable conduct by council members

Solutions:Inexperience of council members- Reduction in size of councils- Mandatory council inductions and planning sessions- Regular VC reports at all council meetings on set of

institutional indicators- Attendance of all council and sub-committees meetings

Council Failures

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- Interference with procurement, admissions, staff appointment- Organising vendettas against VC or executive management- Non-declaration of interests- Promoting factionalism on council- Seeking control of institutions

Solutions- Application of council rules, approved meeting procedures,

code of conduct, performance assessment of council - Inclusion of above in induction package- Register of interests, declaration at every meeting- Council Code of Conduct/Ethics Committee

Unacceptable conduct by council members

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- Always endeavour to appoint/obtain council members with the necessary and requisite skills to council;

- Always seek cohesion within council and, where possible, arrive at decisions by consensus (rather than by vote);

- Council should assess its performance;- For council to perform maximally, capacitate and

strengthen the office of the Registrar;- Loyalty must always be to council and the state

rather than to stakeholders- Council must allow itself to be advised by the IF and

the SRC, where it is necessary to do so;

General Considerations

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THE END