Governance at the University of New South Wales Aaron Magner UNSW Legal Counsel

University Sector in AustraliaNumber of Universities 1945 – six2009 – thirty nineCombined operating revenue $17 billionThird largest export industry (after coal)

Number of Universities

1945 – six

2009 – thirty nine

Combined operating revenue $17 billion

Third largest export industry (after coal)

Higher Education in transitionGovernment funding decreasingIn 2008 41% NSW University revenue from CommonwealthSupplemented by commercial activities: - Domestic & international students fees - Commercialisation - research & IP - Consultancy services eg. UNSW Global, Nsi

Government funding decreasing

In 2008 41% NSW University revenue from Commonwealth

Supplemented by commercial activities:

GovernanceWhat is it?The stewardship of an organisation in terms of the way it is directed and controlled. Respective powers, responsibilities and accountabilities of the boards and stakeholders.

The stewardship of an organisation in terms of the way it is directed and controlled.

Respective powers, responsibilities and accountabilities of the boards and stakeholders.

Good GovernanceWhat is good Governance?Doing the right thing. Acting with honesty, impartiality, integrity, trustworthiness, respect for the law and due process. Commitment to ethical values.Well-governed organisations are, in the long run, more successful than those that are not.

Doing the right thing.

Acting with honesty, impartiality, integrity, trustworthiness, respect for the law and due process.

Commitment to ethical values.

Commonwealth and state regimeJulia GillardMinister for Education Funding universities through the DEEWRVerity FirthNSW Minister for Education & Training Administration of the UNSW Act

University of New South Wales ActLegislation of NSW ParliamentAppointment of Chancellor and Vice-ChancellorUniversity Council - constitution, representation and methods of appointment of membersUniversity Council functions and PowerFunctions and Objects of UNSW

Legislation of NSW Parliament

Appointment of Chancellor and Vice-Chancellor

University Council - constitution, representation and methods of appointment of members

University Council functions and Power

Functions and Objects of UNSW

UNSW’s University CouncilOfficial members: Chancellor, Vice-Chancellor & President of the Academic Board22 members (expected to decrease)Majority external to the universityRelevant expertise and experience2 must have financial expertise1 must have commercial expertise4 academic staff members1 non-academic staff member2 students - 1 postgraduate, 1 undergraduate

Official members: Chancellor, Vice-Chancellor & President of the Academic Board

22 members (expected to decrease)

Majority external to the university

Relevant expertise and experience

2 must have financial expertise

1 must have commercial expertise

4 academic staff members

1 non-academic staff member

2 students - 1 postgraduate, 1 undergraduate

Functions of University CouncilAct in all matters to promote the object and interests of the university Act for and on behalf of the universityExercise of the university’s functionsControl and manage of university affairsProvide courses and confer degreesAppoint and terminate academic and other staffBorrow and invest funds.

Act in all matters to promote the object and interests of the university

Act for and on behalf of the university

Exercise of the university’s functions

Control and manage of university affairs

Provide courses and confer degrees

Appoint and terminate academic and other staff

Borrow and invest funds.

The Vice-ChancellorAppointed by University Council Ex officio member of the University CouncilThe CEO or Principal Executive OfficerAlso the ‘President and Vice-Chancellor’ Manages and supervises the administrative, financial and other activities of the UniversityHolds office for such period and on such conditions as the University Council determines.Frederick Hilmer Vice-Chancellor

Appointed by University Council

Ex officio member of the University Council

The CEO or Principal Executive Officer

Also the ‘President and Vice-Chancellor’

Manages and supervises the administrative, financial and other activities of the University

Holds office for such period and on such conditions as the University Council determines.

The ChancellorElected by University CouncilTerm of office: 4 yearsChairs all meetings of the University CouncilCan Chair any committee meetingChancellor and VC are ex-officio members of all Council Committees except Audit.David Gonski Chancellor

Elected by University Council

Term of office: 4 years

Chairs all meetings of the University Council

Can Chair any committee meeting

Chancellor and VC are ex-officio members of all Council Committees except Audit.

UNSW’s ObjectsThe UNSW Act (1989) “The object of the University is the promotion, within the limits of the University's resources, of scholarship, research, free inquiry, the interaction of research and teaching, and academic excellence.” University of Melbourne: “to serve the Victorian, Australian and international communities and the public interest by… enriching cultural and community life.” The University of Notre Dame: “the provision of a university education within a context of catholic faith and values…” Harvard University : “To advance Learning and perpetuate it to Posterity “

UNSW’s FunctionsThe University has the following functions for the promotion of its object: the provision of facilities for education and research of university standard.the encouragement of the dissemination, advancement, development andapplication of knowledge informed by free inquiry.the provision of courses of study or instruction across a range of fields, and the carrying out of research, to meet the needs of the community.the participation in public discourse.the conferring of degrees, including those of Bachelor, Master and Doctor,and the awarding of diplomas, certificates and other awards.the provision of teaching and learning that engage with advanced knowledge and inquiry.the development of governance, procedural rules, admission policies,financial arrangements and quality assurance processes that areunderpinned by the values and goals referred to in the functions set out in this subsection, and that are sufficient to ensure the integrity of the University's academic programs.

the provision of facilities for education and research of university standard.

the encouragement of the dissemination, advancement, development andapplication of knowledge informed by free inquiry.

the provision of courses of study or instruction across a range of fields, and the carrying out of research, to meet the needs of the community.

the participation in public discourse.

the conferring of degrees, including those of Bachelor, Master and Doctor,and the awarding of diplomas, certificates and other awards.

the provision of teaching and learning that engage with advanced knowledge and inquiry.

the development of governance, procedural rules, admission policies,financial arrangements and quality assurance processes that areunderpinned by the values and goals referred to in the functions set out in this subsection, and that are sufficient to ensure the integrity of the University's academic programs.

Academic BoardAdvises Vice-Chancellor & University Council on teaching, scholarship and research.Determines courses of study or examinations, on recommendation of Faculties, Boards of Studies etc, subject to University Council.Determines conditions for admission, award of degrees, on advice from the Faculties, Boards of Studies.Professor Janet ChanThe President of the Academic Board

Advises Vice-Chancellor & University Council on teaching, scholarship and research.

Determines courses of study or examinations, on recommendation of Faculties, Boards of Studies etc, subject to University Council.

Determines conditions for admission, award of degrees, on advice from the Faculties, Boards of Studies.

The ExecutiveVice ChancellorPresident of the Academic Board Deputy Vice Chancellors (Research) & (Academic)Executive Director - University ServicesExecutive Director - Finance and OperationsCEO - UNSW Foundation

Vice Chancellor

President of the Academic Board

Deputy Vice Chancellors (Research) & (Academic)

Executive Director - University Services

Executive Director - Finance and Operations

CEO - UNSW Foundation

The Pro Vice-ChancellorsProf. Joan Cooper Pro-Vice-Chancellor (Students) and Registrar16Ms Jennie LangPro Vice-Chancellor - UNSW InternationalProf. Margaret HardingPro Vice-Chancellor (Research Strategy) Dean of Graduate Research

State regulationNSW Government regulatory bodies with oversight include: The NSW Audit OfficeNSW Ombudsman’s OfficeThe Independent Commission Against Corruption Office of the NSW Privacy CommissionerNSW Administrative Decisions TribunalOther public accountability legislation applied at UNSW include:State Records ActPrivacy & Personal Information ActFreedom of Information ActProtected Disclosures ActPublic Finance and Audit Act

The NSW Audit Office

NSW Ombudsman’s Office

The Independent Commission Against Corruption

Office of the NSW Privacy Commissioner

NSW Administrative Decisions Tribunal

State Records Act

Privacy & Personal Information Act

Freedom of Information Act

Protected Disclosures Act

Public Finance and Audit Act

Commonwealth regulationThe Education Services for Overseas Students ActHigher Education ActHigher Education Support ActEmployment, Education and Training ActWorkplace Relations ActDisability Discrimination ActRacial Discrimination ActSex Discrimination ActHREOC Act18

The Education Services for Overseas Students Act

Higher Education Act

Higher Education Support Act

Employment, Education and Training Act

Workplace Relations Act

Disability Discrimination Act

Racial Discrimination Act

Sex Discrimination Act

HREOC Act

What’s this mean for me?Variety of legal obligations on university staff.Obligations beyond those for private corporations. Personal responsibilities of university officers, e.g. Protected Disclosures Act, ICAC.High levels of transparency and accountability.University policies and procedures must be understood and applied fairly and consistently by staff, especially managers and above.If governance standards are not met those adversely affected may have legal recourse against the University and/or individual officers.

Variety of legal obligations on university staff.

Obligations beyond those for private corporations.

Personal responsibilities of university officers, e.g. Protected Disclosures Act, ICAC.

High levels of transparency and accountability.

University policies and procedures must be understood and applied fairly and consistently by staff, especially managers and above.

If governance standards are not met those adversely affected may have legal recourse against the University and/or individual officers.

DelegationsLegal authority comes from University CouncilUniversity Council can and does delegate functions to officers of the UniversityVirtually all authority is by delegation from the University CouncilAlso some implied delegationsSearch www.unsw.edu.au ‘Register of Delegations’All managers are responsible for knowing the extent of own delegated authority and not exceeding it.

Legal authority comes from University Council

University Council can and does delegate functions to officers of the University

Virtually all authority is by delegation from the University Council

Also some implied delegations

Search www.unsw.edu.au ‘Register of Delegations’

All managers are responsible for knowing the extent of own delegated authority and not exceeding it.

University PoliciesThe benefits of good policies and procedures include: Not dependant on any one person to impart their knowledge for others to understand how to approach a situation. In legal proceedings the Policy is what the courts expect to have occurred.Demonstrate that principles and procedures have been communicated to UNSW staff.Search www.policy.unsw.edu.au

Not dependant on any one person to impart their knowledge for others to understand how to approach a situation.

In legal proceedings the Policy is what the courts expect to have occurred.

Demonstrate that principles and procedures have been communicated to UNSW staff.

Search www.policy.unsw.edu.au

UNSW Legal OfficeChancellery Building Room 159South West Wing (Map reference C22)Ph: 9385 2701www.legal.unsw.edu.auAdvice subject to Legal Professional Privilege

Questions or Discussion?Aaron MagnerLegal Counsela.magner@unsw.edu.auPh: 02 9385 2598Other contactsSlideshare: www.slideshare.net/AaronMagnerLinkedinwww.linkedin.com/in/aaronmagnerScribd: www.scribd.com/AaronMagner