HEFCE and the Code of Conduct

We received from an anonymous post the following contribution:

In a HEFCE report from May 2007, titled 'Accountability for higher education institutions - New arrangements from 2008', I quote:

Code of governance
20. The financial statements include a statement on internal control and/or a corporate governance statement. We believe this should incorporate or clearly reflect the Code of Governance published by the Committee of University Chairmen (CUC), which all institutions say they have adopted. This provides external assurance that the effectiveness of corporate governance is subject to regular review, and thus adds confidence to the accountability returns generated by institutions.

Internal audit and audit committee annual reports
21. These reports are crucial in the accountability framework in that they provide the fundamental assurances to confirm that internal control is effective, and value for money is being achieved. We will require these returns to be submitted during December, ideally at the same time as the financial statements. Again, if individual institutions wish to submit these returns earlier in 2007 this would be welcomed. These reports should also reflect the CUC Code of Governance.

From the above it would seem that HEFCE strongly recommends that the CUC Code of Governance should apply to universities in terms of their financial dealings and audits, but does HEFCE require universities to adopt the CUC code of contact for the independent review of staff grievances?

I quote from the CUC Code of Governance for universities:

8.14 The Second Report of the Committee on Standards in Public Life recommended that institutions should establish a system of independent review for all staff, to be invoked when internal avenues for resolving a staff grievance have been exhausted. In pre-1992 HEIs which have a Visitor, this recommendation is partly met by the provision that complaints, other than in employment matters, may be determined by the Visitor on petition from a member of the HEI. This provision does not, however, cover all categories of staff because normally only academic staff, and in some instances academic-related staff, are classed as members of the HEI...

What is the HEFCE expectation(s) from post-1992 HEIs in terms of availability of systems of independent review of staff grievances?

8.15 The passage of the Human Rights Act in October 2000 has raised new questions about the need for independent review mechanisms, including whether the Visitor system, as currently operated, fully meets the Act's requirements. This matter is still under consideration by Universities UK and where the Visitorial powers are exercised on behalf of the Queen by the Privy Council or the Lord Chancellor's Department by the respective officers of the Crown themselves...

Universities UK do not seem to have released any information on this matter since 2000! Back to the original question, what systems (if any) of independent review of staff grievances exist in post-1992 HEIs?
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Reply from HEFCE:

1) Does HEFCE require universities to adopt the CUC code of contact for the independent review of staff grievances?

No, HEFCE does not require universities to adopt the CUC code of conduct. This is explained in the Guide for Members of Higher Education Governing Bodies in the UK, November 2004/40a on page 5:

"This Code is voluntary and is intended to reflect good practice in a sector which comprises a large number of very diverse institutions. Institutions should state that they have regard to the Code, and where an institution's practices are not consistent with particular provisions of the Code an explanation shall be published in the corporate governance statement of the annual audited financial statements."

2) What is the HEFCE expectation(s) from post-1992 HEIs in terms of availability of systems of independent review of staff grievances?

We do not have specific expectation(s). As the guide explains in part II, 1.10 Human Resource Management:

"The governing body has responsibility for the institution's human resource and employment policy. This includes ensuring that pay and conditions of employment are properly determined and implemented for all categories of employee. The governing body is also responsible for appointing and setting the terms and conditions for the head of the institution and such other senior posts as it may from time to time determine."

3) What systems (if any) of independent review of staff grievances
exist in post-1992 HEIs?

Institutions are likely to have their own tailored systems. We have not conducted any studies on the various systems in place and as you have already noted the relevant sections from the 'Guide for Members of Higher Education Governing Bodies in the UK' November 2004/40 are part III, p.62 8.14 and 8.15.

Higher education institutions are legally independent corporate institutions. The governing body is responsible for ensuring the effective management of the institution and for planning its future development. It has ultimate responsibility for the affairs of the institution.
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Thank you anonymous contributor... So, there you have it from the horse's mouth: HEFCE has not conducted any studies on the various systems in place; The governing body is responsible for ensuring the effective management of the institution, and HEFCE does not require universities to adopt the CUC code of conduct.