(1) These delegations constitute a legal authority conferring on the delegate specified in the Schedules to this Policy the authority of the University Council (Council) to perform particular functions that have been delegated to them. (2) In this Policy: (3) In this Policy, the following bands apply: (4) In this Policy: (5) The Council has made these delegations under section 20 of the Charles Sturt University Act 1989 No 76 ("the Charles Sturt University Act") which says that the Council may delegate all or any of its functions (except its power of delegation) to any member or committee of the Council or to any authority or officer of the University or to any other person or body prescribed by the Charles Sturt University By-law 2005 ("the Charles Sturt University By-law"). (6) These delegations are also made with regard to: (7) Delegations are listed as Schedules to this Policy. (8) The Charles Sturt University Act 1989, and other relevant laws, authorise the University to engage in a range of "functions". The functions are listed in the Charles Sturt University Act and in some other Acts (such as the Public Finance and Audit Act 1983). Functions broadly describe the types of activities in which the University can participate (for example, the conferring of degrees, the construction of residences, the employment of staff etc.). (9) Under the Charles Sturt University Act the authority to engage in functions is vested solely in the Council. (10) Because the Council is unable, on a day to day basis, to make the decisions necessary to run a large and complex organisation like a University, the Charles Sturt University Act allows the Council to delegate its authority to officers or bodies of the University. (11) A delegation is a conferral by the Council of its power and authority to perform functions on an officer or body of the University. (12) Under section 49 of the Interpretation Act 1987 No 15, a delegated function that is duly exercised by a delegate is taken to have been exercised by the Council. (13) The scope of the power and authority delegated under this Policy is limited to the functions the Council itself is allowed to perform (that is, a delegate cannot exercise a power or authority that the Council itself is not legally permitted to exercise). (14) For example, the Council is not allowed under the Charles Sturt University Act to sell land without the permission of the NSW Minister for Education and Training. Accordingly, a delegated officer is also not allowed to approve the sale of land without the permission of the NSW Minister for Education and Training. (15) Even though the Council has delegated its functions to officers or bodies of the University, the Council retains and can exercise all those same powers and authorities. (16) Where a function is not specifically delegated to an officer or body, the Council is the sole body that may exercise that function. (17) Where the Council has subsequently amended a delegation and conferred the function on another officer or body, that officer or body may exercise the delegation as though the original function has been exercised by that delegate. (18) The Vice-Chancellor has the power and authority to exercise any delegation conferred by the Council on an officer or body, except delegations: (19) In addition to any delegation conferred on the Chancellor, the Chancellor has the authority to exercise any delegation conferred by the Council on the Vice-Chancellor, however this may only be exercised where the Vice-Chancellor is unable to exercise the delegation in his or her own right (e.g. conflict of interest) and does not include delegations: (20) The Deputy Chancellor may exercise the powers and authorities conferred on the Chancellor under clause 19 during an official absence of the Chancellor, while the Chancellor is outside Australia or during a vacancy in the office of the Chancellor. (21) In addition to this Policy, the Council may also confer a delegation under section 20 of the Charles Sturt University Act: (22) Rules made by the Vice-Chancellor or the Academic Senate do not confer a valid delegation. However, the Vice-Chancellor and the Academic Senate may 'authorise' an officer or other body to exercise certain functions with their delegations (refer Part B of this Policy on 'Authorisations'). (23) A delegation to a position relates to the delegate's position, not the individual occupying the position. (24) A power or authority delegated to a position extends to the substantive occupant of that position and any person acting in the officer's position on a temporary basis, during the term in which the person is authorised to act, unless otherwise specified in the appointment to act. (25) Where a delegation is to a body (such as a Committee or the Academic Senate) by reference to the body's title, it relates to the body acting as a body in accordance with its terms of reference, not to individual members of the body. Despite this, a body may authorise a person to act on its behalf in accordance with Part B if the body resolved to do so in accordance with the ordinary rules governing voting of that body. (26) A reference to a delegation to a position or to a body is, if the position or the body is abolished or re-named, to be taken to be a reference to the principal successor to the functions of that position or body. (27) A delegation must be exercised in accordance with any conditions to which the delegation is subject. (28) Conditions include: (29) The Schedules set out any conditions on the exercise of a delegation. A condition expressed in the Schedule overrides any contrary expression in a policy, procedure, academic regulation or guideline of the University. (30) Except where a delegate is responsible to the Council directly, delegates remain subject at all times to the direction and authority of the Vice-Chancellor. (31) The powers and authorities held by any delegate are included in those held by that delegate's supervisor or line manager and each officer in line of organisational authority superior to that officer in turn. (32) Levels of authority are hierarchical following the relevant lines of organisational authority (not academic levels) up to and including the Council. (33) If an officer with a delegation is unable to carry out the duties associated with that delegation for any reason, including a potential or actual conflict of interest or an absence or incapacity, the delegation must be exercised by the delegate's supervisor in the first instance or other superior in the line of authority. (34) A delegate cannot exercise a delegation in regard to functions or staff for which the delegate does not hold line management responsibility. (35) A delegate may not exercise a delegation that would provide them, or an associate, with a direct personal benefit. Therefore delegates may not, among other things, approve their own appointment, any form of remuneration or payment, promotion, transfer or secondment, travel, absence or termination pertaining to themselves. The definition of an associate in the Charles Sturt University Act applies for the purpose of this clause. (36) Under the Charles Sturt University Act, delegations cannot be sub-delegated. Only the Council is allowed to delegate a function. A delegate may, however, 'authorise' another officer or body to perform certain functions (refer Part B of this Policy). (37) A delegate may exercise any other function that is necessary or convenient for the exercise of that function, or is incidental to the delegated function. (38) Where a power or authority is delegated to exercise functions of the University, then that power or authority extends to the execution of documents (e.g. contracts, agreements) necessary to give effect to that function (in accordance with the relevant Rules, policies and procedures of the University relating to the negotiation and execution of documents) unless a specific delegation for the execution of documents is set out in a Schedule. (39) A delegation to approve includes a delegation to suspend, amend and revoke an approval. (40) If the exercise of a function by an officer or body is dependent on the opinion, belief or state of mind of the Council in relation to any matter, the function may be validly exercised by the delegate on the opinion, belief or state of mind of the delegate in relation to any such matter. (41) In the performance of a delegated function a delegate can seek assistance from a third party provided that the delegate retains and exercises a substantial degree of control over the exercise of the function entrusted to the delegate. The delegate must, in doing so, direct the delegate's own mind to the exercise of a delegation. (42) Some delegations may include a specific requirement to act on advice or recommendation of a third party. Delegates must consult and obtain advice as appropriate on the exercise of their delegation. (43) A transaction may not be separated into parts, nor may the total cost of a transaction be set off by deductions or trade-ins. (44) A variation in the cost of a transaction must be approved by the delegate who approved the original transaction or the delegate's supervisor in the first instance or other superior in the line of authority, if the total amount is within their delegation. Should the sum of the variation and the original cost exceed the delegate's authority, the variation must be submitted for approval to another delegate who has the necessary level of authority in the line of authority. (45) A delegation may be exercised from time to time as occasion requires and more than once during the life of a function, activity or project. (46) Any delegation to incur expenditure must be exercised within the limits of the relevant approved available funds of the budget centre to which the delegate belongs or an approved source of funds. (47) All delegations are subject to the delegate's expenditure delegation. While a delegate may be conferred an administrative authority, where this involves an expenditure this may only be exercised within that expenditure limit. (48) The exercise of a delegation must be evidenced in writing in each case, including the reasons supporting the exercise of the delegation, and a record kept in an official file. (49) For routine financial transactions, such as travel, minor equipment purchases, petty cash and so forth, the signing of a travel order, purchase requisition or similar document by an authorised delegate is sufficient evidence of the exercise of the delegation as long as the purpose for which the exercise was made is clearly described in the document. (50) Approval exercised online within a computerised system, which has secured login access and a unique username used for tracking the delegate's approval against transactions, will be sufficient to meet the requirements of this clause. (51) A delegate may appoint an authorised officer in writing to perform routine parts of their delegation on their behalf. This person is called the Authorised Officer. (52) Authorisation should not require exercise of independent judgment. (53) In general, an Authorised Officer may act on behalf of the delegate in making routine decisions that do not require the exercise of significant independent judgment. (54) An authorisation may not be granted: (55) The act of an Authorised Officer is taken to be the act of the delegate as though the delegate had exercised the delegation personally. (56) Where the signature of a delegate is required, the Authorised Officer will write the words "For and on behalf of the Delegate, as an Authorised Officer" so it is clear that the person is acting under the authority of the delegate. Where the exercise of a delegation is through a computerised system, the system must be able to differentiate between a delegation authorised by the delegate from that of the authorised person and be capable of providing an audit log of delegations and authorisations. (57) A delegate who authorises another officer or body to exercise a function or power must ensure that the officer or body is qualified to exercise the function and is properly fulfilling their responsibilities at all times. (58) A delegate retains personal accountability for the exercise of the delegation including compliance with applicable laws and University policies and procedures. (59) An Authorised Officer must be appointed in writing setting out the terms of the delegation held by the Delegate under a Schedule and the exact scope of the authority that may be exercised within that delegation by the Authorised Officer. (60) A list of Authorised Officers must be kept by each delegate including a reference to dates on which that Authorised Officer was authorised to act. A Standing Authorisations Register template is available for use by the Delegates. (61) An Authorised Officer is subject to the same rules as the Delegate. (62) Authorisation to operate a Corporate Credit Card does not of itself confer on a staff member a delegation to commit or expend funds. Acquittal of purchases made by credit card, as for purchases made by any other means, must be approved by a delegate who has authorisation under this Policy or a specific resolution of the Council. (63) The development of policies, procedures, academic regulations and guidelines must conform to the arrangements for delegations. (64) Where development or review of a rule, policy or procedure reveals a need to change, add or remove a delegation, the policy owner must ensure that this change to the delegation is approved by Council before the rule, policy or procedure can take effect. (65) As the Council is the only body that may approve delegations, the commencement date of the policy, procedure, academic regulation or guideline (where it requires the conferral of a new or varied delegation) needs to coincide with the date on which any new or varied delegation is approved by the Council (unless the policy, procedure, academic regulation or guideline can operate in whole or part within existing delegations). The University Secretary will determine the date of commencement of all University policies, procedures, guidelines and rules to ensure that relevant delegations are conferred prior to commencement or variation where required. (66) Policy owners of new or varied policies, procedures, academic regulations or guidelines are accountable to the Council for ensuring that proposed delegations are not exercised or promulgated until the Council has formally approved the delegation. (67) Requests for changes to delegations must be submitted to the Vice-Chancellor, the Council or other relevant senior executive who has delegated authority to approve these documents. (68) Once the document is approved, the signed Form must be submitted to the University Secretary who will then prepare recommendations to the Council to update the Schedules to this Policy. The University Secretary will publish the list of amendments to the Schedule to this Policy after the meeting of the Council to inform staff of the changes. (69) The following committee is established and authorities and powers conferred on that committee by the Council of Charles Sturt University in this Emergency Delegation in accordance with section 4 of Schedule 1 and section 20 of the Charles Sturt University Act, and subject to this Delegations and Authorisations Policy and the University Governance Charter. (70) The Chancellor shall have the authority to declare a state of emergency in the event that the number of Council members falls below a quorum or the number of members in any category of members falls below the number prescribed by the Act, the By-law or any rules made by the Council, meaning Council is temporarily unable to fulfil its duties (for example, a state of emergency may arise when a pandemic occurs and various Council members are incapacitated). In the event the Chancellor is unable to act, the Chancellor’s official delegate shall have the authority to act on behalf of the Chancellor for the purpose of declaring a state of emergency. (71) If and when a state of emergency is declared in accordance with this part, an emergency committee of the Council and related delegation of authority will automatically be established and granted in accordance with this Emergency Delegation. The committee of the Council, to be known as the Emergency Committee of Council, will comprise all members of Council who are fit to hold office. (72) The Chancellor will Chair the Emergency Committee of Council. If the Chancellor is not available, the Deputy Chancellor will act as Chancellor. If neither the Chancellor nor Deputy Chancellor is available, the Emergency Committee will elect an acting Chancellor who must not be the Vice-Chancellor, Acting Vice-Chancellor, any employee of the University or student of the University. (73) Once a state of emergency is declared, the Emergency Committee of Council shall have all the functions of Council (other than Council’s power of delegation) as may be reasonable under the circumstances to promote the University’s object in accordance with the Charles Sturt University Act, until such time as a quorum of the Council may be convened. (74) The scope of the power and authority delegated under this Emergency Delegation is limited to the functions the Council itself is allowed to perform (that is, a delegate cannot exercise a power or authority that the Council itself is not legally permitted to exercise), and does not include Council’s power of delegation. The Emergency Committee of Council will have the same expenditure delegations as Council. (75) An emergency (such as a pandemic) may impact the ability of key personnel of the University to perform their functions and duties (whether or not a state of emergency has been declared in accordance with this Emergency Delegation). (76) Delegations conferred by the Council on the Vice-Chancellor or by the Vice-Chancellor on officers of the University will be managed in accordance with the University’s business continuity plans and the Delegations and Authorisations Policy. (77) Where the membership of a Council committee or the Academic Senate falls below a majority and the committee or the Academic Senate is temporarily unable to fulfil its duties, the delegation for that committee or Academic Senate will elevate to the Council and then to the Emergency Committee of Council if circumstances require this to occur. (78) The delegation will be enacted no less than 24 hours following indication that there is a reasonable expectation that Council will be inquorate due to members being incapacitated. This allows time for the University Secretary, or the Acting University Secretary, to confirm the ability, or otherwise, of all Council members to fulfil their normal Council duties. (79) The emergency delegation will apply only in circumstances where the membership of the Council is inquorate due to the emergency. (80) All able members of the Council will also become members of the Emergency Committee of Council when they are fit to return to office. (81) If Council has not returned to quorum within three months, then the Emergency Committee of Council will activate the process to fill the vacancies using best endeavours and in accordance with the terms of the Charles Sturt University Act and Charles Sturt University By-law. (82) Any action taken by any person or persons pursuant to this Emergency Delegation shall, unless the context requires otherwise (such as entry into an agreement or irrevocable instrument), be temporary in nature and shall be effective only for the duration of the state of emergency, unless otherwise ratified by the Council. (83) All delegations exercised under this Emergency Delegation will be exercised in accordance with the Charles Sturt University Act 1989, By-law, relevant external legislation, the University Governance Charter (including the principles that apply to delegations in clause 47), the Delegations and Authorisations Policy, the Code of Conduct and Charles Sturt University Enterprise Agreement. (84) A written report outlining the delegation/s exercised by the Emergency Committee of Council under the emergency delegation of authority, including details of the relevant members of the Emergency Committee of Council, will be submitted to the next quorate Council meeting for ratification. (85) The emergency delegation will cease and the Council will resume its powers in their entirety at such time that the Council becomes quorate, either by members returning to their duties or through appointment to vacancies. The University Secretary or their delegate will advise when the Council becomes quorate. (86) With delegation and authorisation comes a responsibility to account to the Council for all decisions and actions taken pursuant to the delegation. (87) Each delegate is accountable to the Council for complying with the conditions governing the exercise of delegations and must be able to justify each exercise should this be required. This is a continuing obligation. (88) Budget Centre Managers are accountable for ensuring delegates in their area comply with the relevant conditions governing the use of delegations and take appropriate action in the case of breach. (89) The Vice-Chancellor is responsible for ensuring that all officers and bodies are aware of, and understand, their duties with respect to delegation. (90) The Council is accountable under law and to the University's stakeholders to ensure that delegations are exercised appropriately and in the best interests of the University. (91) Heads of budget centres will be required to provide an annual certification that the relevant conditions have been adhered to and financial controls exercised over the resources of that budget centre in the exercise of delegations in that budget centre. (92) Budget Centre heads are expected to monitor the exercise of delegations and authorisations in their areas. They are expected to take or recommend action, including suspending or recommending the revocation of a delegation or authorisation, if there is evidence of misuse of authorities. (93) The exercise of delegations and authorisations will be subject to periodic review by the Internal Auditor in consultation with the University Secretary. The Internal Auditor will provide a report to the Finance, Audit and Risk Committee of the Council, including any recommendations arising from the review. (94) The following officers have the authority to inspect any file or record of the University to assess compliance with the Policy or for any other reason: (95) Where an officer believes a delegation or authorisation has been improperly exercised, the officer should notify the head of the relevant budget centre in writing and in detail, with a copy to the Internal Auditor. The head of the budget centre should promptly investigate the claim and act according to the outcome of the investigation. Action should include a response to the reporting officer acknowledging the notification and giving a brief report on the outcome of the investigation, with a copy to the Internal Auditor. Serious matters can be referred directly to the Internal Auditor (who must report any notifications to the University Secretary). (96) If a proper investigation concludes that, on the evidence, a delegation was improperly exercised, the Chancellor or Vice-Chancellor (as the case may be) may approve action to be taken in accordance with the misconduct provisions of the University's Enterprise Agreement, relevant employment contract and associated policies and guidelines. (97) A delegation or authorisation may be, wholly or partially, withdrawn or restricted (permanently or temporarily) at any time by the substantive occupant of the position to whom that delegate is immediately or ultimately accountable. Any such withdrawal or restriction must be notified in writing to the University Secretary using the form approved by the University Secretary for this purpose. (98) To allow for the transition to the new Delegations system, despite any other provision of this Policy a delegation or authorisation that has been conferred, generally or specifically, under a Rule, policy, procedure or other instrument approved by the Council prior to the date of commencement of this Policy shall continue in force as a delegation or authorisation made under this Policy until otherwise determined by the Council. (99) Refer to the relevant Delegation and Authorisation schedules for details of the specific authorities approved by the Council. The schedules can be accessed in the Associated Information page for this Policy. (100) Nil.Delegations and Authorisations Policy
Section 1 - Purpose
Section 2 - Glossary
Top of PageSection 3 - Policy
Approval Level
Classification
Description
Band 1
HEW 3 - 4
Professional/General Staff members at Level 3 - 4
Band 2
HEW 5 - 6
Professional/General Staff members at Level 5 - 6
Band 3
HEW 7 - 8
Professional/General Staff members at Level 7 - 8
Band 4
HEW 9 - 10
Professional/General Staff members at Level 9 - 10
Band 5
Deputy Director/Manager
means a person who oversees/organises the work of a unit, section or department and is not covered by the Executive Remuneration Scheme. Such a person would normally have the title of Deputy Director or Manager.
Band 6
Secondary Budget Centre Manager
includes Directors, Heads of School and Associate Heads of School.
Band 7
Primary Budget Centre Manager
includes Pro Vice-Chancellors, Executive Deans, Deputy Deans, Executive Directors, Chief Financial Officer, Research Centre Directors, University Secretary, Director, Strategic Planning.
Band 8
Senior Executive
means Deputy Vice-Chancellors, Chief Operating Officer.
Band 9
Vice-Chancellor
Band 10
Chancellor
Band 11
Council
includes a Council committee, or an officer of the Council, where the Council has granted an authority or delegation to act for and on its behalf.
Authority
Act and By-laws
Scope of delegated functions
Council may exercise any delegated function
Vice-Chancellor's general delegation
Chancellor's general delegation
Delegations in rules and resolution of the Council
Part A - Rules governing delegations
Delegations to position and officer acting in the position
Delegations to bodies (such as committees)
Restructured positions or committees
Delegations exercised subject to conditions
Delegates subject to direction by Vice-Chancellor
Delegation hierarchy
Delegates may only exercise delegations for their own area
Conflicts of interest
Rule against sub-delegation
Incidental authorities
Approval to execute documents (e.g. agreements)
Approval includes authority to suspend, amend and revoke
Opinions and beliefs
Obtaining assistance in exercise of delegation
Rule against splitting expenses
Continuous exercise of delegations
Delegations limited by budget
Administrative delegations limited by expenditure delegation
Exercise of delegations to be evidenced in writing
Part B - Authorisations
Authorised officers
Certain delegated functions may not be authorised
Delegate responsible for decisions of authorised officer
Authorisations to be in writing
Authorisations subject to same rules as delegations
Granting of a credit card not a financial delegation
Part C - Other matters
Delegations and policies/procedures/academic regulations/guidelines
Part D - Emergency Delegation of authority
Establishment, composition and functions of the Emergency Committee of Council
Other arrangements impacting delegations where an emergency arises
Activation of the Emergency Delegation
Duration of the Emergency Delegation
Exercise of Emergency Delegations
Termination of the Emergency Delegation
Part E - Accountabilities
Accountability statement
Responsibility of Budget Centre Heads
Auditing of delegations and authorisations
Misuse of delegations or authorisations
Savings and transitional
Section 4 - Procedures
Section 5 - Guidelines
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