Category: Academic Freedom

  • What is a ‘governing document’ in the University of Sussex?

    What is a ‘governing document’ in the University of Sussex?

    by GR Evans

    The  Office for Students has found that the Trans and Non-Binary Equality Policy Statement  of the University of Sussex involves breach of two of the relevant OfS Regulatory Requirements in late March 2025, and imposed an unprecedentedly substantial fine. The first of those criticised (OfS Condition E1) concerns the duty to protect freedom of speech and academic freedom:

    The provider’s governing documents must uphold the public interest governance principles that are applicable to the provider.

    A further OfS Condition (E2) requires that ‘the provider must have in place adequate and effective management and governance arrangements’ so as  to ‘operate in accordance with its governing documents’.

    On 9 April 2025 the Vice-Chancellor of the University of Sussex published a fierce criticism of the unprecedented decision of Office for Students that it had failed to comply with one of its own ‘policies’. The Vice-Chancellor considered that the policy in question was:

    a really small statement, of which we have many dozens, if not hundreds, of similar policies and statements. Whereas the governing documents of the university  are its charter and statutes and regulations.

    There was press coverage about the ensuing uncertainty. UniversitiesUK, as the ‘collective voice’ of universities promised to write to the OfS to ask for clarity as its decision appears to find that it is a ‘failure to uphold freedom of speech and academic freedom’ if a university has ‘policies’ to prevent ‘abusive, bullying and harassing’ material or speech.

    The University has notified the OfS of its intention to apply for judicial review.  Among the grounds Sussex relies on is that the Office for Students did not have powers to treat ‘documents that are not a provider’s “governing documents”’ as creating the public interest governance condition necessary to permit the OfS to seek judicial review. The OfS defines ‘governing documents’ somewhat inadequately as ‘set out in’ its ‘Regulatory Framework’, where  ‘the provider’s governing documents must uphold the public interest governance principles that are applicable to the provider. In this case it held:

    that the University of Sussex breached ongoing condition of registration E2 because it failed to have adequate and effective management and governance arrangements in place to ensure that it operates in accordance with its governing documents.

    The definition of ‘governing documents’ is therefore of the first importance if a precedent is to be set by this OfS decision. The Higher Education and Research Act (2017) s.3(8)(a) protects the autonomy of higher education providers, defining it as ‘the freedom of English higher education providers within the law to conduct their day to day management in an effective and competent way’. Sussex was created among the batch of new universities of the 1960s.

    The Act created a new Regulator, the Office for Students, stating that the Regulator ‘must have regard to’ the ‘need to protect the institutional autonomy of English higher education providers’. This requires a fine balance if the OfS is to avoid intrusion upon a provider’s autonomy.

    The institutional autonomy of higher education providers gives them control of the drafting of their internal legislation. External authorities may insist on particular points in certain cases. For example medical qualifications set by a provider cannot constitute a qualification to be a doctor unless they are recognised by the General Medical Council.  But the right to create its own rules (within the law) largely lies with the provider, who may design them  and order them in its own preferred hierarchy.  The Office for Students may not interfere.

    Nevertheless the creation of ‘governing documents’ must carry certain implications about the source of the internal or external authority to create, review or amend them.  It is suggested that ‘Sussex contends that these are matters for our old friend the Visitor, a traditional legal role in UK university governance, who in Sussex’s case is the actual King’, and:

    cites longstanding legal authority confirming that the Visitor has exclusive jurisdiction over internal governance questions, including interpretation and application of the university’s own rules, and says that unless Parliament clearly removes or overrides that jurisdiction, external bodies like OfS can’t interfere.

    Where the Monarch is not the Visitor it is normally a Bishop.

    However a Visitor is not essential to the law-making of a higher education provider. ‘Alternative providers’ may not have Visitors. As eleemosynary bodies their Colleges normally have Visitors of their own but neither Oxford nor Cambridge has a Visitor. Under the Oxford and Cambridge Universities Act of 2023, both Universities create their own Statutes. In Oxford’s case those which are King-in-Council Statutes require the consent of the Privy Council on behalf of the King. In Cambridge all its Statutes require that consent to their creation or modification. Their subordinate legislation, most Regulations in Oxford (some of Oxford’s Regulations may be created by its Council) and Special Ordinances and Ordinances in Cambridge, simply require the consent of their governing bodies, Oxford’s Congregation of over 5000 and Cambridge’s Regent House of over 7000 members.

    The rules at the top of a provider’s hierarchies may constitute governing documents but it is far from clear how far down that status applies. For purposes of management ‘procedural or process documents’ explain the required ways of doing things and the processes which must be followed’. Among these are Codes of Practice and ‘Guidance documents’. This seems to be where the Trans and Non-Binary Equality Policy Statement fits, as approved by the Executive Group in 2018, 2022, 2023 and 2024 and placed under the heading of Equality, Diversity and Inclusion(revised in 2022, 2023 and 2024).  Is it a governing document in this lowly position?

    Also found relevant by the Office for Students in the Sussex case was the exercise of powers of delegation. It identified ‘a pattern of decisions taken at the university to adopt and/or revise policies without proper delegated authority’, both that its:

    Prevent Steering Group approved and adopted the 2021 version of the University’s Freedom of Speech Code of Practice despite not having delegated authority to do so

    and also that ‘the 2023 version of the External Speakers Procedure was approved by the University Executive Group, despite that group not having delegated authority to do so’.

    Like similar universities Sussex has an Executive Team composed of a Vice-Chancellor, Pro-Vice-Chancellors, their deputies, Deans of Schools and Faculties, with senior academic-related staff headed by a University Secretary, a Financial Officer and various Directors. These are not directly responsible for framing its legislation but may have authority to apply it, though not necessarily powers to delegate its application.

    The Office for Students could turn to the University’s rules about delegation in framing its criticism. Sussex has given thought to that. Sussex’s Council approved a Scheme of Delegation in March 2018. ‘Responsibility’ may be delegated by the Council except for the appointment of the Vice-Chancellor and President; ‘the variation, amendment or revocation of the Charter or Statutes’; and responsibility for approving the University’s annual audited accounts or the appointment of Auditors. The Scheme of Delegation clarifies where roles and responsibilities are allocated between Council and its Committees, among Committees, and between Council and Senate. The ‘Executive’ and a University Executive Group are described as exercising ‘leadership’ and there is also a University Leadership Team, though ‘leadership’ is undefined.

    Sussex has also given thought to overall responsibilities for supervision of the exercise of its internal rules. It has chosen to describe them collectively as ‘policies’. It is recognised to be ‘important that a clear and consistent approach is taken to drafting and updating policies across the institution’ details the requirements for the creation, approval, review, and updating of policies.  However it clarifies the difference between policies and other associated documents, sets out responsibilities relating to policies, and details the requirements for the creation, approval, review, and updating of policies. An overarching Policy on Policies has been agreed by the ‘University Executive Team and Council’. This consists in a Policy on the Creation and Management of University Policies (‘Policy Framework’).

    The aim of the University’s Policy Framework is to make clear what a policy is and what policies should be used for, to differentiate between policies and other types of documents (e.g. procedural documents, codes of practice, etc), and to outline the process that should be followed when drafting, reviewing, and updating policies. An outline of where responsibilities lie in relation to policies is also included.

    This suggests that if pressed Sussex might take all these to constitute its ‘governing documents’, while recognising distinctions among them.

    Nevertheless Sussex distinguishes governance and management. ‘A policy is a high-level statement of principles, requirements or behaviours that apply broadly across the University’ and ‘reflects institutional values’, thus supporting ‘the delivery of the University’s strategy’.  It  reflects ‘legal and regulatory obligations, sector standards, or high-level operational requirements’. These create obligations.

    Among them Sussex lists ‘Regulations’, which  must be made ‘pursuant to the Charter’. These contain detailed rules governing a wide variety of actions of, or on behalf of, the University falling under governance but extending into management: staffing procedures, student disciplinary and appeals procedures, the Students’ Union, the composition of Council and Senate, titles of degrees and Schools, roles of Heads of Schools, lists of collaborative institutions, academic titles and dress, the various degree courses awarded by the University, and general University regulations (library, ICT, administrative). These Regulations are updated annually and approved by Council and/or Senate. Next come written ‘Resolutions’ which Council members may choose to approve or not, ‘in accordance with procedures set out in the Regulations’, though amendments to the Charter and the Statutes and certain Regulations require ‘a three-fourths majority’.

    For purposes of management ‘procedural or process documents’ going beyond these categories explain the required ways of doing things at Sussex and ‘the processes which must be followed’. Among these are Codes of Practice and ‘Guidance documents’. This seems to be where the Trans and Non-Binary Equality Policy Statement fits, as approved by the Executive Group in 2018, revised in 2022, 2023 and 2024. placed under the heading of Equality, Diversity and Inclusion.  Are they still among ‘governing documents’ with a constitutional role in the University’s  governance? An application for a judicial review will take a considerable time to produce a recommendation even if it supports Sussex’s argument

    SRHE member GR Evans is Emeritus Professor of Medieval Theology and Intellectual History in the University of Cambridge.

    Author: SRHE News Blog

    An international learned society, concerned with supporting research and researchers into Higher Education

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  • Trump threatens Harvard’s ability to host int’l students 

    Trump threatens Harvard’s ability to host int’l students 

    US homeland security secretary Kristi Noem has written a “scathing letter” to Harvard University, demanding it submits records of international students’ “illegal and violent activities” by April 30, or face losing its eligibility to enrol student visa holders.

    In Noem’s April 16 statement, she accused Harvard’s “spineless leadership” of “bending the knee to antisemitism” and “threatening national security”. 

    “Harvard’s position as a top institution of higher learning is a distant memory,” she added, cancelling two department of homeland security (DHS) grants worth USD $2.7 million on the basis that the university was “unfit to be entrusted with taxpayer dollars”.  

    DHS is threatening to strip Harvard of its Exchange Visitor Program (SEVP) certification, which allows colleges and universities to issue forms to admitted international students to use in their US visa applications. 

    The punitive measures are the latest in a dispute between Trump and the country’s oldest university, which saw USD $2.2bn in federal funding frozen after it rebuffed government demands, including reporting on international students and ending DEI policies. 

    What’s more, President Trump threatened on April 15 to revoke Harvard’s tax-exempt status over its “radical ideology”. 

    The University will not surrender its independence or relinquish its constitutional rights

    Alan Garber, Harvard University

    Last year, Harvard hosted 6,793 international students, totalling over 27% of the entire student body.  

    Across the country, more than a million international students attend US colleges every year, contributing $50bn to the economy, as previously reported by The PIE News. 

    The DHS letter – seen by the Harvard Crimson student newspaper – accused Harvard of creating a “hostile learning environment” for Jewish students and reminded the university it was “a privilege to have foreign students attend Harvard University, not a guarantee”.  

    Refusing to submit to the government’s previous demands, Harvard president Alan Garber said the university was committed to tackling antisemitism but maintained it would not “surrender its independence or relinquish its constitutional rights.”  

    “[The administration’s prescription] violates Harvard’s First Amendment rights and exceeds the statutory limits of the government’s authority,” Garber wrote in a message to the community.  

    In light of the recent escalation over SEVP certification, the university has maintained its position that it will not cede to government control, according to the Washington Post.  

    Alongside enhanced scrutiny of teaching, the government is requiring that Harvard reports on international students “supportive of terrorism or antisemitism” and those “hostile to American values”, ban all clubs supporting Palestine, and ban mask-wearing on campus, among other measures.  

    The directives largely stem from two of Trump’s early Executive Orders relating to “protecting the US from terrorism” and “combatting antisemitism”, which have led to over 1,320 international student visa revocations as of April 16, according to Inside Higher Ed.  

    Of this figure, 12 Harvard students and alumni have had their visas cancelled, though the university was not made aware of the rationale behind the revocations.  

    Student visas have been revoked for a variety of reasons, including some minor traffic infractions. Most of the high-profile cases involve students that participated in pro-Palestinian activism.  

    Challenges to the Trump administration have gained traction in recent weeks, with 19 states and 86 institutions supporting a legal challenge against the government’s revocation of student visas, led by the American Association of University Professors (AAUP).  

    Former President Obama, a Harvard alum, expressed his support for the university in a post on X, describing the government’s funding freeze an “unlawful and ham-handed attempt to stifle academic freedom”, urging other institutions to “follow suit”.

    Meanwhile, hundreds of Yale faculty members have published a letter asking its leadership to legally challenge “unlawful demands that threaten academic freedom and university self-governance”.

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  • Effect of Institutional Autonomy on Academic Freedom in Higher Education Institutions in Ghana

    Effect of Institutional Autonomy on Academic Freedom in Higher Education Institutions in Ghana

    By Mohammed Bashiru and Professor Cai Yonghong

    Introduction

    The idea of institutional autonomy in higher education institutions (HEIs) naturally comes up when discussing academic freedom. These two ideas are connected, and the simplest way to define how they relate to one another is that they are intertwined through several procedures and agreements that link people, institutions, the state, and civil society. Academic freedom and institutional autonomy cannot be compared, but they also cannot be separated and the loss of one diminishes the other. Protecting academic freedom and institutional autonomy is viewed by academics as a crucial requirement for a successful HEI. For instance, institutional autonomy and academic freedom are widely acknowledged as essential for the optimization of university operations in most African nations.

    How does institutional autonomy influence academic freedom in higher education institutions in Ghana?

    In some countries, universities have been subject to government control, with appointments and administrative positions influenced by political interests, leading to violations of academic autonomy and freedom. Autonomy is a crucial element in safeguarding academic freedom, which requires universities to uphold the academic freedom of their community and for the state to respect the right to science of the broader community. Universities offer the necessary space for the exercise of academic freedom, and thus, institutional autonomy is necessary for its preservation. The violation of institutional autonomy undermines not only academic freedom but also the pillars of self-governance, tenure, and individual rights and freedoms of academics and students. Universities should be self-governed by an academic community to uphold academic freedom, which allows for unrestricted advancement of scientific knowledge through critical thinking, without external limitations.

    How does corporate governance affect the relationship between institutional autonomy and academic freedom?

    Corporate governance mechanisms, such as board diversity, board independence, transparency, and accountability, can ensure that the interests of various stakeholders, including students, faculty, and the government, are represented and balanced. The incorporation of corporate governance into academia introduces a set of values and priorities that can restrict the traditional autonomy and academic freedom that define a self-governing profession. This growing tension has led to concerns about the erosion of academia’s self-governance, with calls for policies that safeguard academic independence and uphold the values of intellectual freedom and collaboration that are foundational to higher education institutions. Nonetheless, promoting efficient corporate governance, higher education institutions can help safeguard academic freedom and institutional autonomy, despite external pressures.

    Is there a significant difference between the perceptions of males and females regarding institutional autonomy, academic freedom, and their relationship?

    The appointment process for university staff varies across countries, but it is essential that non-academic factors such as gender, ethnicity, or interests do not influence the selection of qualified individuals who are necessary for the institution’s quality. Unfortunately, studies indicate that women are often underrepresented in leadership positions and decision-making processes related to academic freedom and institutional autonomy. This underrepresentation can perpetuate biases and lead to a lack of diversity in decision-making. One solution to address these disparities is to examine gender as a factor of difference to identify areas for improvement and promote gender equality in decision-making processes. By promoting diversity and inclusivity, academic institutions can create a more equitable environment that protects institutional autonomy and promotes academic freedom for everyone, regardless of their gender.

    Methodology and Conceptual framework

    The quantitative and predictive nature of the investigation necessitated the use of an explanatory research design. Because it enabled the us to establish a clear causal relationship between the exogenous and endogenous latent variables, the explanatory study design was chosen. The simple random sample technique was utilised to collect data from an online survey administered to 128 academicians from chosen Ghanaian universities.

    The conceptual framework, explaining the interrelationships among the constructs in the context of the study is presented. The formulation of the conceptual model was influenced by the nature of proposed research questions backed by the supporting theories purported in the context of the study.

    Conclusions and Implications

    Institutional autonomy significantly predicts academic freedom at a strong level within higher education institutions in Ghana. Corporate governance can restrict academic freedom when its directed to yield immediate financial or marketable benefits but in this study it plays a key role in transmitting the effect of institutional autonomy. Additionally, there is a significant difference in perception between females and males concerning the institutional autonomy – academic freedom predictive relationship. Practically, higher education institutions, particularly in Ghana, should strive to maintain a level of autonomy while also ensuring that academic freedom is respected and protected. This can be achieved through decentralized governance structures that allow for greater participation of academics in decision-making processes. Institutions should actively engage stakeholders, including academics, in discussions and decisions related to institutional autonomy and academic freedom. This will ensure that diverse perspectives are considered in policy development.

    This blog is based on an article published in Policy Reviews in Higher Education (online 02 January 2025) https://www.tandfonline.com/doi/full/10.1080/23322969.2024.2444609

    Bashiru Mohammed is a final year PhD student at the faculty of Education, Beijing Normal University. He also holds Masters in Higher education and students’ affairs from the same university. His research interest includes School management and administration, TVET education and skills development.

    Professor Cai Yonghong is a professor at Faculty of Education, Beijing Normal University. She has published many articles and presided over several domestic and international educational projects and written several government consultant reports. Her research interest includes teacher innovation, teacher expertise, teacher’s salary, and school management.

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    Author: SRHE News Blog

    An international learned society, concerned with supporting research and researchers into Higher Education

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