Delegation Policy. Document Data

Transcription

1 Delegation Policy Document Data Document Type: Rule/Policy/Plan/Guidelines/Operating Procedures Administering Entity: Council / Principal Date Approved: 20 th Dec 2013 Latest Amendment Date: 30 June 2014 Approved By: Council Indicative Time for Review: Annual Responsibility for Review: Legal Counsel/Principal Section A Policy Statement Intent The intent of this policy is to set out the general purpose and principles by which Top Education Institute (TOP) delegations are determined and through which TOP Council authorises particular officers and bodies to carry out their duties and functions. Objectives 1. To set out the principles underlying delegations. 2. To enable delegations of Council and/or its Committees (this includes Boards), and/or officers of Council, to be easily identified. 3. To enable delegations established through policy and accompanying terms of reference or position descriptions to be specified. Related Documents Constitution Academic Board Terms of Reference Strategic Plan Financial Procedures and Internal Controls Who Should Know These Guidelines Council members Principal Senior Manager, Administration, HR & Finance Provost Legal Counsel and Senior Manager for Governance Head(s) of School Effectiveness of these Guidelines Performance Indicators: Clarity in organisational structure Separation of governance and management roles and responsibilities 1

2 Policy Provisions 1. General 1.1 The TOP Constitution establishes the Council as the governing authority of TOP. 1.2 Council is empowered to delegate its powers, authorities, duties and functions as it deems necessary for the effective operation of TOP. 1.3 Council delegates its powers, authorities, duties and functions in accordance with the Constitution in a variety of ways, including: Council resolutions; Statutes and/or By- laws; and Approval of policies. 1.4 The Schedule of Delegations (hereafter referred to as the Schedule ) will be attached to this policy in the Supporting Procedures and Guidelines. 1.5 The Schedule is reviewed on a biennial basis or as required by Council who is responsible for maintaining the Schedule. However, the Schedule may not be an exhaustive statement of all delegated authority. Some delegations of Council authority will be amended and will be stated in relevant Council resolutions and/or policy documents. This may include new delegations, amendments to existing delegations and the rescinding of delegations. This policy will be reviewed within the TOP Policy Framework. 1.6 The Schedule is also a means by which Council formally endorses changes consequent upon changes to the Constitution, and/or terms of reference of its Committees including the Academic Board. 1.7 The Schedule records Delegations of Authority for the: Council and its Committees; Chief Executive Officer / Principal; Academic Board and its Committees; TOP Executive: the Senior Manager HR and Finance, Marketing Manager, Head of School, Legal Counsel. 1.8 Procedures to be followed by delegates in the exercise of their delegated authority do not appear in the Schedule. These are noted in the relevant related documents such as policies and terms of reference and/or standing orders. 2. Principles 2.1 The Schedule does not relieve Council, its Members and/or any TOP officer from their duty to be fully conversant with the source materials that affect them and which give the context and rationale and limits for the exercise of their powers. 2.2 In principle, all delegates are ultimately answerable to Council. 2.3 A delegation relates to the delegate s office or position, not to the individual occupying that office or position. An authority delegated to a TOP officer extends to any person in that officer s position on a temporary basis, unless otherwise specified in the appointment to act. 2.4 In carrying out delegations, Council and the Principal will need to consider budgetary constraints. 2.5 All delegations must be carried out in good faith and in accordance with the TOP Constitution, and where appropriate TOP Policies. 2

3 Section B Supporting Procedures and Guidelines Schedule of Delegations 1. Financial Delegations 1.1 The Council has the responsibility for oversight of all financial matters and delegations. 1.2 In the exercise of financial delegations, all expenditure incurred by TOP must be for the purposes of TOP. 1.3 Council must approve, either directly or through delegation, all expenditure incurred by TOP. 1.4 Council may approve borrowing and investment of moneys. 1.5 The Principal has the authority to commit the funds of TOP within the budget approved by Council. 1.6 The Principal has the authority to commit funds beyond those of the approved budget up to a specified amount approved by Council. 1.7 A variation of the budget beyond this specified amount must be approved by Council. 1.8 The Senior Manager of HR and Finance has the authority to commit funds on behalf of TOP up to specified amounts within the budget as approved by Council. 1.9 The Librarian has the authority to commit funds up to specified amounts within the approved budget Financial delegations are the final Signing Authority for audit purposes and assume that all proper procedures have been followed and that TOP policy has been implemented. 2. Delegations to the Principal 2.1 Subject to the express reservations of authorities to the Council the Principal is specifically charged with the duty of promoting the interests and furthering the development of TOP. 2.2 Council delegates the Principal with the general authority to act within the principles and plans approved by Council in the performance of the duties of the position. The authority is supported by a series of specific delegations from Council that are included in the attached table. 3. Council Delegations to Academic Board 3.1 Council has delegated a number of functions related to TOP s academic activities to Academic Board. These are to be exercised in accordance with the principles, plans and policies approved by Council. 3.2 Academic Board exercises its delegations through the decisions it makes and that are signed by the Chair on behalf of Academic Board or through the formulation of policies and rules relating to specific matters. Academic Board has the responsibility of reporting to Council on its exercise of these delegations through reports to ordinary meetings of Council including confirmed Minutes and the Annual Report. 3.3 The functions delegated to Academic Board are listed in the attached table and its Terms of Reference (Appendix 2). 4. Principal s Delegations 4.1 The Principal oversees the management of Council s delegations of authorities (save those authorities Council retains for itself). 4.2 The Principal has the delegated authority to make staff appointments other than those of senior management positions. 4.3 The Principal also delegates some of the position s authority and powers to the Top Executive, the members which include (but not limited to): 3

4 Senior Manager Administration, HR and Finance Legal Counsel and Senior Manager for Governance Provost Head(s) of School Director of Program(s) IT Manager Marketing Manager Librarian. 4.4 The delegations for the Executive are given in the attached table. 4.5 The members of the Executive may also, in turn, delegate some of their authorities and powers to staff whom they supervise. For example the Senior Manager for Administration, HR and Finance to the Assistant Accountant. 4.6 The Principal has the authority to establish TOP Sub Committee(s) and/or Steering Group(s) to provide advice to TOP on specific matters. The Terms of Reference of current Committee(s) and Steering Group(s) are attached at Appendices 4, 5 and For positions other than the Principal, responsibilities, accountabilities and delegations are handled through three integrated components: Position Description; Annual performance appraisal; and Delegations. Position Description This describes: the general nature and responsibilities of the position; reporting arrangements (above and below); knowledge and experience requirements. This is the document used for recruiting to the position and usually has a multi- year life. Annual Performance Appraisal This describes the key accountabilities of the position: key results areas; major activities and priorities; performance indicators. It is usually negotiated at the end of each operational year, with formal appraisal at least annually. Delegations These describe: the general authority of the position; any delegations in specific areas; any reporting requirements if a delegation is used; the source of each delegation. 4.8 The Schedule also describes the Delegations attached to other specific positions within TOP. 4

5 Appendix 1: Table of Delegations Council Area Authorities Source of Authority Reporting Requirement 1. Areas of ultimate Council authority Council has the power to do all things necessary or convenient to be done for or in connection with the performance of its function as TOP s governing body and, in particular, has power to: Ø appoint persons to positions of responsibility within TOP; and Ø allocate funds and otherwise determine the best use of the resources of TOP. Council accepts ultimate responsibility for: Ø the mission and vision of TOP Ø setting strategic directions for TOP Ø the appointment of the Principal and Deputy or Acting Principal Ø oversight of management; Ø setting and monitoring budget and planning framework, ensuring that TOP finances are sound, and taking major financial decisions; Ø approving the annual budget; Ø monitoring TOP s performance against strategic objectives; Ø overseeing and monitoring the academic activities of TOP Ø setting Council policy and risk management parameters and critically monitoring their implementation; Ø extending links between TOP and the wider community; Ø legislative roles, including ensuring that TOP is acting ethically and in conformity with all legal requirements; Ø and Council performance and succession planning. Ø Chair, Council sign- off all decision papers presented to Council; Ø Chair, Council sign- off confirmed Minutes. 5 Constitution The Council reports to the Company members and ASIC.

6 2. Authorities retained by Council* 3. Employment and Remuneration* Ø Ø *These powers are specific to Council and are not further delegated. Council Committees Committee Terms of Reference Source Reporting Requirement Academic Board Remuneration Committee Professoriate Appointments Advisory Committee Risk Management Committee Principal Area Delegated Responsibility Source of Authority Reporting 2. Financial (other than specific expenditure approved by Council) 3. Contracts* (including staff employment contracts) 4. Employment and Remuneration* 5. External representation *These powers are specific to the position and cannot be further delegated. **Further approvals are required for international travel. 6

7 CHC Committees Committee Terms of Reference Source Reporting Requirement Executive Risk Management Steering Group Academic Board 2. Financial Academic Board and Subcommittees Committee/Group Roles and Responsibilities Source Reporting Requirement T& L Committee CDAC/CRAC Research Committee 2. Financial* 3. Employment* 7

8 4. Students 5. External Representation *These powers are specific to the position and cannot be further delegated. Senior Manager Administration HR and Finance 2. Financial* 3. Contracts* (including staff employment contracts) 4. Employment and remuneration* 5. External representation *These powers are specific to the position and cannot be further delegated. Provost 2. Financial 3. Employment* 4. External representation *These powers are specific to the position and cannot be further delegated. 8

9 Legal Counsel and Senior Manager for Governance 2. Financial 3. Employment* 4. External representation *These powers are specific to the position and cannot be further delegated. Head of School 2. Employment* 3. External representation *These powers are specific to the position and cannot be further delegated. Other * Position Delegated Responsibility Source Reporting Assistant Accountant Marketing Manager IT Manager *These delegations must be approved by the Principal. 9

10 Appendix 2: Financial Delegations Summary Table Council delegates the day- to- day operations of TOP to the Principal. The Principal is responsible to Council, for the day- to- day operation of TOP in a way that is consistent with the mission and ethos of TOP. The Principal is responsible to Council for maintaining operations within budget limits, assisted by the Director, Corporate Services. The following table guides day- to- day expenditures of TOP. Description In Line with Budget Item Delegated Authority Level Beyond Budget Item Delegated Authority Level 1 0