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Delegations Policy

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Section 1 - Purpose and Context

Source of Delegations

(1) The delegations document is reviewed each year with a view to improving its utility and relevance to the organisational structure of the University.

(2) The 2006 Delegations reflect changes to the structure of the Colleges, Schools and administrative Divisions.

(3) The delegations in this instrument are designed to:

  1. be clear and easy to understand;
  2. establish appropriate processes of responsibility and accountability for various administrative functions;
  3. devolve decision-making to appropriate levels.

(4) By resolution of the Board of Trustees dated 30/11/05 these delegations take effect on and from 1 January 2006 subject to any further amendment. They replace any extant delegations in previous versions of this Delegations document.

(5) All delegations come from the authority of the Board of Trustees provided under the University of Western Sydney Act, 1997. Specifically section 23 provides that:

"The Board may, in relation to any matter or class of matters, or in relation to any activity or function of the University, by resolution, delegate all or any of its functions (except this power of delegation) to any of the following bodies or persons:

(6) a. (Repealed);

b. a member of the Board;
c. a committee of the Board;
d. an authority or officer of the University;
e. any other person or body prescribed by the by-laws".

(7) Note that persons who are not employees of the University (e.g. visiting or adjunct appointments) are not able to exercise delegations unless they have been specifically authorised under the University's By-law or under rules made by the Board of Trustees as per Section 23(e) of the Act.

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Section 2 - Definitions

Part A - Who Holds Delegations?

(8) The delegations in this document apply to positions and not individuals. They are granted both to individually identified positions (referred to as Named Positions) and to multiple positions holding the same levels of delegation (referred to as Grouped Positions). Individuals are, however, responsible and accountable for the decisions made by them under delegation.

(9) Delegations are given to Grouped Positions wherever possible with a much smaller number of Named Positions exercising specific responsibilities related to the functional role and authority of the particular position.

Named Positions

(10) The key Named Positions in the University that regularly exercise University wide level responsibilities and delegations are as follows:

  1. Vice-Chancellor
  2. Deputy Vice-Chancellor Academic and Services
  3. Deputy Vice-Chancellor Development and International
  4. Deputy Vice-Chancellor Corporate Services
  5. Chief Financial Officer
  6. Director Finance
  7. Director Human Resources
  8. Academic Registrar

(11) Other specifically named positions in this delegation document also hold particular delegations due to the particular functions attached to their positions.

Grouped Positions

(12) Grouped positions are generic classes of position. They are:-

  1. Division Head
  2. Executive Dean
  3. Pro Vice-Chancellor
  4. Director (Category 6)
  5. Head of School (Category 5)
  6. Senior Cost Centre Manager (Category 4)
  7. Cost Centre Manager (Category 3)
  8. Cost Centre Administrator (Category 2)
  9. Designated Chief Researcher (Category 1)

(13) For a listing and description of the various positions that fall within each of these categories refer to the Position Classification Table that follows. Note that only the positions listed in the various categories hold those delegations.

Position Classification Table

(14) The following table lists all positions that hold delegations and provides definitions of the positions falling within particular categories. A reference is also provided to the abbreviations used within this document. The Vice-Chancellor has authority to determine the category to which any new or existing position or positions may be allocated and thereby amend this Table.

Table 1:

Grouped Position Named Positions within Group Designation and Abbreviations
Vice-Chancellor (VC)
Division Head (DH) Covers positions of:
Deputy Vice-Chancellor Academic and Services (DVCAS)
Deputy Vice-Chancellor Development and International (DVCDI)
Deputy Vice-Chancellor Corporate Services (DVCCS)
Chief Financial Officer (CFO)
Pro Vice-Chancellor (PVC) Refer to grouped position of Director (D) - Category 6.
Executive Dean (ED) Covers positions of:
Executive Dean Arts (EDA)
Executive Dean Business (EDB)
Executive Dean Health and Science (EDHS)
Director (D)(Category 6) Covers positions of:
Academic Registrar (AR)
Director Student Support (DSS)
Dean Research Studies (Dean RS)
Deputy Academic Registrar (DAR)
Director, Audit and Risk Assessment (DARA)
Director Business Development (DBD)
Director Capital Works & Facilities (DCWF)
Dean of Indigenous Education (DOIE)
Director Educational Development (DED)
Director Finance (DF)
Director Human Resources (DHR)
Director Information Technology (DIT)
Director International (DI)
Director Marketing (DM)
Director Media and Communication (DMC)
Director Planning and Quality (DPQ)
Director Policy and Governance (DPG)
Director Regional Development (DRD)
Director Research Services (Dir RS)
Director Equity and Diversity (DEDU)
Director UWS Development (DUWSD)
Director Whitlam Institute (DWI)
Pro Vice-Chancellor Academic (PVCA)
Pro Vice-Chancellor Campus Development (PVCCD)
Pro Vice-Chancellor Quality (PVCQ)
Pro Vice-Chancellor Research(PVCR)
Pro Vice-Chancellor University Engagement (PVCUE)
University Legal Counsel (ULC)
University Librarian (UL)
Head of School (HOS)(Category 5) Covers positions of:
Associate Dean Academic (ADA)
Associate Dean Research (ADR)
Associate Dean Development (ADD)
Director University Research Centre (DURC)
Head of School (HOS)
Senior Cost Centre Manager (SCCM)(Category 4) Covers positions of:
Assistant Academic Registrar (AAR)
Associate Librarian (AL)
College Manager (CM)
Head, Careers and Employment Unit (HCEU)
Head, Counselling and Disabilities Services (HCDS)
Head, Learning Skills Unit (HLSU)
Manager, Infrastructure, Capital Works and Facilities (MICWF)
Manager, Support Services, Capital Works and Facilities (MSSCWF)
Manager, Systems and Planning, Capital Works and Facilities (MSPCWF)
Principal Executive Officer, OVC (PEO)
Print Services Manager (PSM)
Cost Centre Manager (CCM)(Category 3) Cost Centre Manager - being the head of a designated range of cost centres with established budgets and/or designated position of authority nominated by the functional unit head to exercise delegation over specified cost or project account/s and approved by the relevant College Dean, Division Head, CFO, or the VC.
Cost Centre Administrator (CCA)(Category 2) Cost Centre Administrator - incorporates the College positions of: School Administrative Coordinator and Research Program Coordinator unless otherwise determined by the College Dean; and such other designated positions of authority having responsibility for providing administrative support for a functional unit and nominated by the head of that unit to exercise delegation over specified cost or project account/s and approved by the relevant College Dean, Division Head, CFO, or the VC.
Designated Chief Researcher(DCR)(Category 1) Designated Chief Researcher - incorporates the chief investigator for a research project account as designated by the Office of Research Services and such other designated positions of as may be approved by the DVCDI on the recommendation of the Director Research Services.
Additional individually named positions that exercise particular delegations in this document. Note that such positions may or may not also belong to one of the categories listed above. Finance DirectorateManager Financial Operations (MFO)
Financial Accountant (FA)
Manager Client Services (MCS)
Accounts Payable Supervisor (APS)
Management Accountant (MA)
Credit Card Controller (CCC)Credit Card Supervisor (CCS)Human ResourcesManager HR Client Services (MHRCS)
Manager Occupational Health and Safety (MOHS)
Manager Payroll (MP)LibraryAssociate Librarian Corporate Services (ALCS)
Associate Librarian Development (ALD)
Resources Management Coordinator (RMC)
Resources Management Team Leader (RMTL)Information TechnologyManager Business and Administration (MBA)
ITP Coordinator (ITPC)
ITP Assets Officer (ITPAO)Academic RegistrarAssistant Academic Registrar Student Administration Services (AARSAS)
Assistant Academic Registrar Student Administration Operations (AARSAO)
Assessment and Graduation Manager (AGM)
Graduation and Awards Coordinator (GAC)
Graduation and Awards Officer (GAO)
Enrolments and Student Finance Manager (ESFM) Enrolments and Student Finance Coordinator (ESFC) Student Finance Officer (SFO)
Admissions and Postgraduate Manager (APM)
Admissions Officer (AO)Capital Works and FacilitiesAdministrative Officer Contracts and Purchasing (AOCP))
Grounds and Environment Manager (GEM)
Manager Infrastructure (MICWF)
Manager Support Services (MSSCWF)
Senior Project Manager (SPM)Other UniversityCampus Development Committee (CDC)
Relevant Line Supervisor (RLS)

Part B - Other Delegates

Credit Card Holders

(15) All University credit card holders have the authority to incur expenditure up to the limit imposed on the cards by the University but not more than the card holder's substantive financial delegation (where held) under delegation A1. Staff not holding a substantive financial delegation have authority to incur expenditure up to the limit on the card but not more that the general financial delegation attaching to a Cost Centre Administrator under delegation A1 - ($10K).

(16) Use of the card is always subject to compliance with the procedures laid down under the UWS Corporate Credit Card Policy and by the Finance Office. Approval to the payment of credit card accounts must be made by officers holding delegations at levels sufficient to cover the total card transaction amounts. In addition, as stipulated in the Corporate Credit Card policy, approvals must be made by the cardholder's supervisor and not a subordinate.

Stationery and General Supplies Buyers

(17) Staff members who have been nominated to the Finance Office as authorised purchasers of Stationery and other supplies through approved contract suppliers (e.g. Corporate Express) have the delegation provided under A9.

Relevant Line Supervisors

(18) This document provides certain basic approval authorities under the Human Resources delegations to staff who exercise direct supervisory responsibilities and who are referred to in this document as "relevant line supervisors". These supervisors can exercise the delegated authority conferred on them but can only do so for staff under their authority.

(19) Note that the word "relevant" designates that different units will have different supervisory and approval processes depending on their management structure. The Relevant Line Supervisor refers to the positions so designated in the functional unit to deal with the function referred to.

Part C - Delegations Register

(20) The online Delegations Register is a searchable database on the web of all staff who hold delegations including the cost centre accounts over which they may exercise authority. The Register also provides details of acting appointments and is used by Human Resources and Finance to verify transactions. The data in the Register is maintained and updated by the College and Divisional executive units.

(21) The Delegations Register provides the definitive list of staff who hold and may exercise delegations including acting appointments. Staff who are not entered in the Register should not exercise delegations. If you think you should have a delegation you will need to contact your College or Divisional administrators for the Delegations Register. Note that delegations are exercisable from the date of appointment to a listed position, or approval to be included in a particular category of position. Delegates must complete the approval process by signing the verification document for the delegation to remain in force.

Part D - Do I have a Delegation?

(22) You will only have a delegation if:

  1. the position you have been appointed to or are acting in is specifically listed in the Position Classification Table

    OR;

  2. the position you have been appointed to or are acting in has been approved for inclusion in either of the following categories in the Position Classification Table by the relevant Division Head/CFO or College Dean:
  3. Cost Centre Manager (CCM) (Category 3)
  4. Cost Centre Administrator (CCA) (Category 2);

    OR;

  5. you are a Designated Chief Researcher (DCR) (Category 1) either designated by the Office of Research Services or appointed by the DVCDI;

    AND

  6. for all of the cases above, you have been entered into the Delegations Register.

(23) For the grouped positions of Senior Cost Centre Manager and above, only those individual positions listed under each group in the Position Classification Table may exercise the delegations conferred on that group category. For example if your position uses the title of "Director" you do not have the delegation attached to the Director level (or any other level) unless your position is listed.

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Section 3 - Policy Statement

Delegates Must Comply with the Law and the University's Policies

(24) In exercising delegations, officers are required to comply with any:

  1. legislation, including in particular the University if Western Sydney Act 1997, the University's By-Law and Rules, and the Public Finance and Audit Act 1993;
  2. industrial awards or agreements; and
  3. University of Western Sydney approved policies and procedures including the Code of Conduct.

Vice-Chancellor's Authority

(25) The Vice-Chancellor has authority to exercise any delegation in this and any other delegation documents with the exception of any delegations made by the Board of Trustees to the Academic Senate or to any committee of the Board.

(26) The Vice-Chancellor has the authority to determine the category to which any new or existing position or positions may be allocated in the Positions Classification Table.

Supervisors Retain Management Authority

(27) The delegations are hierarchical in the sense that a delegate's formal line supervisor may exercise the same level of authority as the delegate and such a supervisor may also withdraw or restrict a delegation held by a subordinate officer. These powers apply through the hierarchical line of responsibility, up to and including the Vice-Chancellor.

(28) Notwithstanding that a delegated authority may sit at a certain level, the normal management structures apply in terms of the seeking of approvals. Hence submissions seeking approval by a delegated officer should come forward with the endorsement of the functional head of the area from which the request originated. Hence while the Delegations Policy stipulates the positions that have approval authority, the University's management structure and policies dictate how submissions for approval should be progressed. So for instance, for matters where the Dean is the approval authority, the submission would normally be submitted to the Dean with the endorsement or recommendation of a Head of School. A flow chart illustrating this process is attached "Delegations Approvals Flowchart".

Approval to Own Recommendation is Not Allowed

(29) A delegate should not exercise a delegation so as to approve a recommendation made either wholly or partly by the delegate. For example, a delegate holding the power to approve appointments to positions should not approve the recommendation of a selection panel of which he or she was a member but must, instead, refer the approval to another staff member (but not a subordinate), who also holds that delegation to make the approval. Normally this would be the person's supervisor.

(30) In the case of expenditure incurred by the Vice-Chancellor this can be approved by the Chancellor, the University Secretary, or any of the Deputy Vice-Chancellors.

Conflicts of Interest and Personal Benefits to be Avoided

(31) A conflict of interest occurs when a personal or outside interest impinges in some way on decisions being made on behalf of the University. The influence can be direct and immediate (i.e. known) or indirect and undeclared.

(32) A delegate should not exercise a delegation so as to approve a recommendation that will result, either directly or indirectly, in some tangible benefit (including reimbursement) to the delegate or any family, friends or other associated with them. A delegate must not approve their own application for leave, the payment of overtime, the employment of a relative or friend, the grant of an allowance, reimbursement to themselves of expenditure, acquisition of items for use by the delegate (e.g. mobile phone), or own credit card payment. Further, a delegate must not have such approvals effected by an officer subordinate to them (irrespective of their level of delegation) but rather should submit them for approval by their own line supervisor.

(33) It is also the case that a staff member must not make a recommendation to, or seek to influence, a person with respect to the exercise of a delegation without declaring any conflict of interest.

Sub-Delegation is Not Allowed

(34) A delegate cannot sub-delegate. A delegate may appoint a person or group, such as a committee, to advise about the exercise of a delegation but the delegate remains responsible for making the decision.

Acting Appointments

(35) A person who has been formally appointed to act in a position can exercise any delegations that attaches to that position subject to particular limits or conditions that may be imposed.

Staff Not Compelled to Exercise Delegations

(36) The fact that a staff member holds a delegation does not oblige the staff member to exercise the delegation if, in the opinion of the delegate, some special or unusual circumstances are involved which make it sensible that the issue should receive consideration at a more senior level.

Signing of Documents

(37) A delegate may act or sign any document to give effect to a transaction that he or she has authorised subject to any directives or procedures of the University relating to the signing of documents or the entering into of agreements. Advice should be sought from the University Legal Counsel where such agreements involve expenditure in excess of $100K or where the document is not in a standard contractual form conforming to existing legal advice.

Delegation Confined to Portfolio Responsibilities

(38) Unless otherwise indicated in this document, expenditure can only be approved against cost centres for which the delegate has formal authorisation. Details of cost centres and project codes over which a delegate has responsibility are contained in the Delegations Register.

Financial Transaction Restrictions

(39) The delegated power to incur expenditure can only be exercised where available funds exist within an approved budget or source of funds. A person can only exercise a delegation up to the limits set in this policy.

(40) The exercise of a delegation must relate to the whole of a transaction not to parts thereof. For example, it is not possible to approve the payment of instalments for the acquisition of an item where the total acquisition cost is above the financial limit held by the delegate.

(41) Where there is an increase in the cost of an acquisition from the original commitment, the delegate giving the original approval should also approve the supplementary amount. If the new amount exceeds the delegate's level of delegation then another delegate with the appropriate level of delegation must approve the transaction.

Delegates Must be Entered into Delegations Register

(42) While delegates may exercise their delegations from the date of their appointment to a position or category they must be entered into the Delegations Register and provide a specimen signature. The executive offices of the Divisions and the Colleges are responsible for maintaining Delegation Register entries for their portfolios.

Research Project Accounts

(43) Expenditure from research grant project accounts are subject to a separate set of delegations in the Research Delegations Schedule. These accounts cover externally and internally funded research grants (e.g. ARC, NHMRC etc) that fall within the project code range of 50,000 to 89999 and that are set up and managed by the Office of Research Services. These separate delegations do not, however, apply to College/School/Centre research accounts: RIBG (71000-71479); IGS (715300-71999); and RTS (72500-73599), which are subject to the normal delegations under A1 (Financial Delegations Schedule).

(44) Expenditure against these research grant project accounts must be in accordance with the budget for the project and be approved by a person who holds a delegation with respect to the particular account, details of which can be found in the Delegations Register. Funds may not be transferred or used for any other purpose than as provided for in the approved budget.

Breach of Delegations

(45) Staff who breach the provisions of the Delegations Policy may be subject to disciplinary action. The University may also need to report serious matters to the Police and/or the ICAC which potentially could result in civil or criminal proceedings.

(46) Supervisors may withdraw or restrict a staff member's exercise of a delegation.

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Section 4 - Procedures

(47) The Schedules detail the specific delegations dealing with particular areas of activity. The Schedules are:

(48) Schedule A - Delegations Relating to Finance

(49) Schedule B - Delegations Relating to Human Resources

(50) Schedule C - Delegations Relating to Research

(51) Schedule D - Delegations Related to Commercial Activities and Campus Development

(52) Schedule E - Delegations Relating to Educational, Academic and International Agreements

(53) Schedule F - Delegations Relating to Organisational and Miscellaneous Matters

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Section 5 - Guidelines

(54) Nil.