National Governance Protocols
The professionalisation of university governance roles and the demand for Australian professional development materials for university governors is being driven in part by the Commonwealth Government's introduction of the National Governance Protocolsin 2003. The origins of the UGPD Program itself lie in Protocol 4.
These Protocols are contained within the Commonwealth Higher Education Support Act (HESA) 2003. The Protocols are a political instrument whereby the Commonwealth Government, as a major funder of universities, is seeking to influence the behaviour of university governing bodies by establishing conditions for the receipt of some of that funding. Describing the Protocols as a political rather than legal instrument is intended to acknowledge that these are not a legal instrument requiring legal compliance, such as a University Act, Corporations , Trade Practices or Occupational Health and Safety Law, but that compliance by way of reporting such that
"...the Minister is satisfied that the provider met the requirements..." (HESA Sec 33.15)
provides benefit to the University such that
"A higher education provider’s basic grant amount for a year is increased ..." (HESA Sec 33.15)
The National Governance Protocols are one of two requirements for compliance, the other being the Higher Education Workplace Relations Requirements. These Protocols are due for review in 2006.
The eleven National Governance Protocols
This abridged list is intended only to give an indication of the Commonwealth's requirements of the University's governing body relating to its structure, membership, processes and activities.The Protocols themselves are to be found in Chapter 7 of the Commonwealth Grants Scheme Guidelines.
Protocol 1: the higher education provider must have its objectives and/or
functions specified in its enabling legislation.
Protocol 2: the higher education provider’s governing body must adopt a
statement of its primary responsibilities, which must include...
Protocol 3: the higher education provider must have the duties of the
members of the governing body and sanctions for the breach of these duties
specified in its enabling legislation...
Protocol 4: each governing body must make available a programme of
induction and professional development for members... At regular intervals the governing body must
assess both its performance ...
Protocol 5: the size of the governing body must not exceed 22 members...
at least two members having financial expertise ... with commercial expertise... There must be a majority of external independent
members who are neither enrolled as a student nor employed by the higher
education provider.
Protocol 6: the higher education provider must adopt systematic procedures
for the nomination of prospective members of the governing body for those
categories of members that are not elected...
Protocol 7: the higher education provider is to codify its internal grievance
procedures...
Protocol 8: the annual report of the higher education provider must be used
for reporting on high level outcomes.
Protocol 9: the annual report of the higher education provider must include a
report on risk management within the organisation.
Protocol 10: the governing body is required to oversee controlled entities by
taking reasonable steps to bring about the following...
Protocol 11: A higher education provider must assess the risk arising from its
part ownership of any entity ...
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