UTAS Delegations Register

Section 1: Introduction and Overview of Delegations of Authority

Purpose of the Register

This Register is designed to be a source of information for all managers and staff about Delegations of Authority within the University.

This section of the Register:

gives a brief Overview of the authority for UTAS Delegations
sets out the Principles underlying Delegations.

The following sections on specific delegations describe:

those Delegations determined by Council Ordinance
Delegations made by the Vice-Chancellor
default Delegations:
- common default delegations
- standard contracts
UTAS budget centres with different delegation regimes, including:
- the Menzies Research Institute
- the Antarctic Climate and Ecosystems Cooperative Research Centre
- the Integrated Marine Observing System
- the Australian Maritime College.

The Delegations Register provides information on Delegations of Authority for specific positions and bodies, such as Council Committees and Academic Senate.

The Register does not provide details of persons holding particular Delegations of Authority. UTAS Financial Services maintains a database of Signing Authorities that records which University staff hold what specific delegations. If you require such information you should contact Financial Services directly.

This Register details:

Delegations of Authority within UTAS, and covers delegations for:
- general matters, such as responsibilities for planning and development;
- financial transactions;
- committing the University to contracts;
- responsibilities relating to employment and remuneration; and
- representing the University to external groups and bodies;
- the specific delegations that have been made to a position or body; and
the limits on these delegations.

Overview of Delegations

The University of Tasmania Act 1992 (the Act) defines the Council as the governing authority of the University. The Act gives the Council ultimate responsibility for the strategic directions of the University, its operations and any decisions relating to these.

While it sets and monitors the broad budget and planning framework, the Council does not directly involve itself in the University's day-to-day operational management.

Under the Act, the Council can delegate those of its powers necessary for the effective management of the University and its affairs to the Vice-Chancellor and the Senior Management Team. It also can also choose to delegate other of its powers and authority to bodies such as Council Committees and Academic Senate. Council retains sole authority over some specific areas.

Through these Delegations of Authority the Council devolves decision-making to University budget centres and responsible bodies: allowing effective and responsive management of the University's day-to-day operations.

Delegations of Authority are the mechanisms by which formal authority or power is granted to University managers, or bodies, to act or make decisions on behalf of the University. Delegations are specific to particular positions or bodies and define particular allowed actions. Delegations allow the officer holding that position, or the responsible body, to commit the University and/or incur liabilities for the University.

The major means by which Council delegates its powers, authorities, duties and functions are through University Ordinances. The Act enables the Council to make Ordinances to prescribe or regulate matters which fall under its responsibilities.

The most relevant of the Ordinances as they relate to Delegations of Authority are:

Ordinance 1 – Role of Council – that sets out areas of ultimate Council responsibility (and authority);
Ordinance 3 – Vice-Chancellor – describing both the authorities that Council to retain to itself and those it delegates to the Vice-Chancelllor;
Ordinance 4 – Deputy Vice-Chancellors, Pro Vice-Chancellors, and Senior Administrators – establishes the senior management positions of the University;
Ordinance 5 - Council Committees – establishes the seven Council Committees and their roles;
Ordinance 6 – Council Delegations – describes the ability of Council to delegate to other UTAS ‘governing entities' and its powers of delegation on urgent matters;
Ordinance 13 - Academic Senate – constitutes Academic Senate, its roles and delegations.

The Council, Vice-Chancellor and Academic Senate are referred to as UTAS' ‘governing entities'. They are the three positions or bodies which are defined under the Act as sharing responsibility for governing and managing all aspects of the University's activities – strategic, academic and operational.

Delegations of Authority held by the governing entities, their committees and boards, and other management positions in UTAS are dealt with in detail under specific delegations.

Principles of Delegations

The following Principles apply to, and govern, all Delegations of Authority within the University. The Principles are grouped into the following areas:

what are (and who is responsible for recording) Delegations and Signing Authorities
who at UTAS has the authority to delegate
the structure of Delegations at UTAS
financial Delegations
the limits on Delegations.

Recording Delegations and Signing Authorities

1. The University's Delegations Register records Delegations of Authority for the:

Council and its Committees
Academic Senate and its Committees
the Vice-Chancellor and the Senior Management team (SMT): the Deputy Vice-Chancellor (Academic) and Provost; Pro Vice-Chancellor (Research); Pro Vice-Chancellor (Students and Education); Executive Director, Finance and Administration; Executive Director, Planning and Development; Chair of Academic Senate; and the Deans of Faculties
University Committees
Heads of University budget centres (Schools; Administrative Sections; Centres; and Institutes)
Faculty Managers, Faculty Business Managers and Faculty Senior Executive Officers
Executive / Finance Officers
Financial Management Information System (FMIS) Operatives.

2. For positions at the level of Deans of Faculties and below, all Delegations of Authority recorded in the Register are default delegations – they list the limits to delegations that apply across the range of positions at that particular level. Default delegations are dealt with in more detail in the section on specific delegations.

3. Governance and Legal is responsible for establishing and maintaining this Delegations Register.

4. A budget centre is a unit within the University's financial management structure that is functionally and financially distinctive. They include Schools, Institutes, CRCs, administrative sections and University Business Enterprises.

5. A Signing Authority is a delegation that has been approved for a particular staff member occupying a specific position within a particular budget centre.

The University's Financial Services maintain a record of these Signing Authorities on a central database.

It is the responsibility of all managers of budget centres to inform Financial Services of any changes to delegations for positions that fall under their responsibility. Any withdrawal or restriction of such a delegation previously granted must be notified in writing to the Director, Financial Services.

Authority to Delegate

6. The authority to take actions in all matters concerning the University derives from the Act, which prescribes authorities and powers to the University Council. The Council is able to delegate these authorities and powers to its Committees and the other University governing entities: the Vice-Chancellor and Senior Management Team; and the Academic Senate. The Council can choose to retain any of those powers or authorities explicitly or implicitly determined by the Act and for specific areas it does choose to do so.

7. Any University officer to whom a power or authority has been delegated is known as a delegate.

8. The Vice-Chancellor oversees the management of Council's Delegations of Authorities (save for those authorities the Council retains for itself). The Vice-Chancellor in turn may delegate some of these authorities and powers to senior managers, who may also delegate some of these authorities and powers to managers whom they supervise.

The authority to delegate authorities and powers stops at the level of manager of a University budget centre. These managers include Heads of Schools (or the Head of an Institute or Centre considered by the University to be equivalent to a Head of School), and Heads of Administrative Sections.

9. Any Delegation of Authority made by a delegate authorised to do so cannot exceed the level that they themselves exercise.

Delegations Structure

10. In principle, all delegates are ultimately answerable to the Vice-Chancellor for the proper exercise of Delegations of Authority in their area of responsibility. In practice, delegates are answerable to their immediate supervisor in the exercise of delegations. This establishes a chain of reporting responsibilities which mirrors the flow of delegations in the University.

The general structure of delegations and reporting is represented in the figure below.

11. Delegations of Authority reflect the University's organisational structure. The authorities held by any delegate are included in those held by that delegate's direct supervisor. The supervisor may exercise the Delegated Authority at any time.

12. Delegations of Authority are closely aligned with responsibilities. The delegate will necessarily have delegations adequate to effectively perform their role and responsibilities.

13. A delegation relates to the delegate's position, not the individual occupying that position. An authority delegated to a University officer extends to any person acting in that officer's position on a temporary basis, unless otherwise specified in the appointment to act.

       For example, any delegation to a Head of School automatically applies to the Deputy Head of School when the Head is unavailable to exercise the delegation.

       However, if the University officer acting in a higher position is other than the nominated deputy, and that officer is being paid at the higher level, the specific Delegation given the acting officer will have to be specified in writing and lodged with Human Resources.

14. All delegations are to be exercised subject to, and in accordance with, relevant legislation (including the Act), University Ordinances, Rules, By-Laws, Principles and Operational Policies, Procedures and Guidelines.

Financial Delegations

15. In the exercise of financial delegations, all expenditure incurred by the University must be for University purposes.

16. Council must approve, either directly or through delegation, all expenditure incurred by the University. As specified in the Act, Council may approve borrowing, including finance leases, but only following written approval from the Tasmanian Treasurer.

17. The Vice-Chancellor has authority to commit the funds of the University within the budget approved by Council.

18. Deans of Faculties and Heads of Administrative Divisions have authority to commit funds within the budget approved by Council for their area of responsibility.

19. Heads of Schools, Sections and other University Budget Centres are responsible to Deans of Faculties and Heads of Administrative Divisions for committing the funds allocated to them.

20. Delegation limits apply to financial transactions that are linked to the level and responsibilities of the delegate. A delegation may be exercised more than once during a year or during the life of a project. A single financial transaction may not be separated into parts, nor may the cost of a transaction be set off by deductions or ‘trade-ins'. A variation must be approved by the delegate who approved the original transaction. Should the sum of the variation and the original cost exceed the delegate's authority, the variation must be submitted to the delegate's supervisor for approval.

21. Financial delegations are the final Signing Authority for audit purposes and assume that all proper procedures have been followed and that University policy has been implemented.

Limits on Delegations

22. In general, financial delegations are set at the default limit for that position level. However, it is within the discretion of the delegate authorising delegations to subordinates to set the limit of the delegation below the level of the default.

23. It may sometimes be necessary for effective administration to raise the level of financial delegations above that of the defaults for particular positions. In this case, the increase must be approved by the appropriate manager and recorded by the Director, Financial Services.

24. A manager with the power to delegate, has the authority to determine which positions, within the budget centre for which he or she is responsible, may hold transferable delegations and the type and limits of these delegations (if these delegations are not recorded as non-transferable). The limits of the delegation generally may not exceed those of the default delegations common to positions at that particular level. The responsible supervisor may at any time review and change any delegations within the budget centre.

25. If a delegation is recorded as non-transferable, it can only be exercised by the delegate to whom the authority is assigned.

26. If an officer with a delegated authority is unable to carry out the duties associated with the delegation for any reason, including a potential or actual conflict of interest or a temporary incapacity or absence, the authority should be exercised by the delegate's supervisor.

27. Delegates may not exercise any delegations in respect of themselves, or any related persons or parties. They may not approve any action or transaction which provides them, or the related persons or parties, with a direct personal benefit.

28. A delegation may be withdrawn or restricted, wholly or partially, permanently or temporarily, at any time by the delegate's manager. If such changes are made the Director, Financial Services should be informed in writing immediately so that the appropriate changes made be recorded in the Signing Authorities database.

29. Specific non-financial Delegations are often exercised within a particular budget centre because of the special administrative responsibilities of that budget centre. For example, delegations exercised as a result of the University's Academic and general Staff Agreement 2005-2008 are retained within Human Resources.

Such specific delegations are not included in this Register. They are considered more operational matters and details of such delegations are maintained by the responsible budget centre.

Figure 1: University of Tasmania Delegations of Authority and Reporting

UTAS Delegations of Authority and Reporting

Specific Delegations

This section of the Register describes the specific Delegations held by the governing and managing groups and positions at UTAS. UTAS delegations are of two broad kinds:

Delegations determined by Ordinance:

Council and its committees;
the Vice-Chancellor;
Academic Senate.

Delegations ultimately derived from the Vice-Chancellor as Chief Executive and Chief Academic of the University:

University Committees;
members of the Senior Management Team;
other UTAS managers;
other staff with delegations.

This section also provides more details on:

default delegations;
delegations regimes for UTAS centres with unique features:
- Menzies Research Institute;
- Antarctic Climate & Ecosystems CRC;
- Integrated Marine Observing System;
- Australian Maritime College.

The Delegations of Authority held against positions and bodies are given in the different tables listed in this section. Also included in this section is a summary of all Delegations of Authority.

An overview and information on the principles of Delegations of Authority at UTAS can be found in the Introduction to the Register.

Delegations Determined by Ordinance

Ordinances are the means by which the Council enables the University of Tasmania Act 1992, and Council makes its Delegations of Authority through Ordinances.

The relevant Ordinances describe:

areas in which the Council has ultimate authority and those authorities that it chooses to retain and not delegate further;
and also Delegations of Authority to:
- the Vice-Chancellor;
- Academic Senate;
- Council Committees.

University Council and its Committees

The authority of the Council to act in all matters concerning the University derives from the Act, which prescribes authorities and powers to the University Council. The roles and powers of the Council are detailed in Ordinance 1 – Role of Council. The Ordinance sets out areas of ultimate Council responsibility (and authority).

The Council has chosen to retain its authority and not delegate it further in relation to several matters and these are listed in Ordinance 3 – Vice-Chancellor. Council's full authorities and those that it has chosen to retain and not further delegate are listed in the attached table

The Council is able to delegate any of its powers as specified under Ordinance 6 – Council Delegations. The Council has delegated certain of its authorities to the Vice-Chancellor (Ordinance 3). Council has also delegated other of its authorities to the Academic Senate (Ordinance 13) and Council Committees (Ordinance 5).

Council Delegations to Council Committees

The Council has the power to establish any Committees that it decides to be appropriate. Currently there are seven Council Committees. Council has delegated specific authorities to these Committees through the formulation of each Committee's Terms of reference. (see Ordinance 5 - Council Committees).

Council Delegations to the Vice-Chancellor

The Vice-Chancellor is the chief academic and chief executive officer of the University and is specially charged with the duty of promoting the interests and furthering the development of the University.

Council delegates the Vice-Chancellor with the general authority to act within the principles and plans approved by Council in the performance of the duties of the position. This authority is supported by a series of specific delegations from Council that are summarised in the attached table.

Full details of the role, responsibilities and accountabilities of the Vice-Chancellor are given in Ordinance 3 – Vice-Chancellor.

Council Delegations to Academic Senate

Council has delegated a number of functions related to the University's academic activities to Academic Senate. These are to be exercised in accordance with the principles, plans and policies approved by Council.

Academic Senate exercises its delegations through the decisions it makes and that are signed by the Chair on behalf of Academic Senate or through the formulation of University Rules relating to specific matters. Academic Senate has the responsibility of reporting to Council once a year on its exercise of these delegations.

The functions delegated to Academic Senate are listed in the attached table. They are detailed in Ordinance 13 – Academic Senate. Academic Senate is supported in its activities by a number of specialist Committees, Boards and Panels. Each of these reports to Academic Senate. Details of Senate Committees and Boards and their roles are also detailed the attached table.

Vice-Chancellor’s Delegations

The Vice-Chancellor oversees the management of Council's delegations of authorities (save for those authorities the Council retains for itself).

Some of the Vice-Chancellor's authorities are delegated through the establishment of special purpose University Committees. Details of these Committees and their roles and responsibilities are also attached.

The Vice-Chancellor also delegates some of the position's authorities and powers to the Senior Management Team (SMT), the members of which include:

the Deputy Vice-Chancellor (Academic) and Provost;
the Pro Vice-Chancellor (Research);
the Pro Vice-Chancellor (Students and Education);
Executive Director, Finance and Administration;
Executive Director, Planning and Development;
Deans of Faculties.

A number of these senior University officers (the Deputy Vice-Chancellor, the Pro Vice-Chancellors and the Executive Director, Finance and Administration) are appointed by Council on the advice of the Vice-Chancellor. The delegations for the members of the SMT are also detailed in the tables. These senior UTAS managers may also, in turn, delegate some of their authorities and powers to managers whom they supervise.

The Vice-Chancellor also has the authority to establish University Committees to provide advice to the University on specific matters. The Terms of Reference of current University Committees are also given in the attached tables.

For positions other than the Vice-Chancellor, responsibilities, accountabilities and delegations are handled through three integrated components the:

Position Description
Annual performance management framework
Delegations

Position Description

This describes:

the general nature and responsibilities of the position;
reporting arrangements (above and below);
knowledge and experience requirements.

It is the document used for recruiting to the position and generally has a multi-year life.

Annual Performance Management Framework

This describes the key accountabilities of the position:

key result areas;
major activities and priorities;
performance indicators.

It is usually negotiated at the beginning 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.

The Delegations Register also describes the Delegations attached to other specific positions within the University. Wherever possible, uniformity has been maintained across positions for different University work units. In some cases, because of the specific requirements or responsibilities of a particular position this has not been possible. In these rare cases variations in the Delegations between positions in different work units have been indicated.

The positions described include:

Heads of Schools/Institutes/Centres;
Heads of Sections;
Faculty Managers/Business Managers/Senior Executive Officers; and
Other delegations – Finance Officers, FMIS Operatives.

Default Delegations

Introduction

UTAS default delegations are of two types:

the upper limit for any particular delegation at a particular position level. For example, the default limit for Heads of Schools for signing purchase orders is set at $50,000.
the upper limit for specific delegations across more than one level. For example, the default limit for corporate credit cards is set at $3,000.

Default Delegations Linked to Position Levels

In general, for each position the financial delegations for any position are set at the default level. This is the approved nominal level of the specific delegation (for example, for purchase orders, issuing invoices etc.) allowed for each level. These default levels for each position are detailed in both the summary table and the individual tables for each position.

However, as discussed in the principles for UTAS Delegations, the supervising manager has the discretion to set these financial delegations at a level lower than the default. In the interests of effective administration financial delegations above that of the default level for a particular position might be required. Increases are permitted if approved by the appropriate budget centre manager and recorded by the Director, Financial Services.

Common Financial Delegations

There are a number of default financial delegations that are common to most or all positions. These include:

authorisation of petty cash expenses are limited to $200 for each separate transaction; and
the default limit for University-issued credit cards is set at $3,000. Increases in this limit can be approved if this can be proven to be justified. Increases of up to a limit of $10,000 can be approved by Heads of budget centres. Any amounts above this must be approved by Deans of Faculties or Heads of Divisions and counter-signed by the Director, Financial Services.

UTAS Contracts

Introduction

Increasingly, UTAS managers are being required to enter into contracts with third parties for the provision of goods and services. There are a number of common features of contracts entered to by managers on behalf of the University. These include:

unless otherwise stated, contracts have a maximum duration;
there are limits on the amount and types of contracts for different positions; and
wherever possible, the standard University contract is to be used.

Length of Contracts

Managers of budget centres down to the level of Heads of School/Section have the delegation to enter into contracts with third parties on behalf of the University for the provision of goods and services. In order to manage University commitments over time, there are limits set to the maximum duration of any contracts.

Unless otherwise specified, there are default time limits on contracts for different levels of University management. These limits are:

Vice-Chancellor – no contract must exceed five years;
three years - other members of the Senior management Team (Deputy Vice-Chancellor, Pro Vice-Chancellors, Executive Director, Finance and Administration, Deans of Faculties;
budget year – Heads of Schools.

There are exceptions to these default limits for some senior positions. These are given in the tables of delegations for individual positions and also in the summary table of delegations.

Other Limits on Contracts

For each delegated position there are also limits to the types of contracts that can be entered into. These are also detailed in the tables of delegations for positions and also in the summary table of delegations.

Standard Contracts

To assist managers in effective administration, the University has developed a series of standard templates to use for contracts for services by external providers. These can be found at: http://www.utas.edu.au/governance_legal/legal/staff/contracts/index.html

These should be used whenever and wherever possible when UTAS managers are drawing up contracts.

A number of the tables of delegations in this register imply that Legal Office review is required for each contract entered into by the University. This is not necessarily the case. In those cases where the UTAS contract templates are used and no changes are made to the terms and conditions Legal Office review is not required.

Where, for whatever reasons, changes have been made to the standard terms and conditions of contracts, or if contracts drawn up by external persons or organisations are being used Legal Office review is required.

If you have any doubts in a particular case you should consult the University Legal Office for advice.

UTAS Centres with Different Operating Arrangements

Three UTAS Centres operate under different arrangements to other budget centres at the University. These differences derive mainly from the different mechanisms used to establish the Centres.

Menzies Research Institute

The Menzies Research Institute is part of the University and conducts epidemiological and population health studies into the causes of disease. The Governance arrangements for the Institute are detailed in Ordinance 12 – Menzies Research Institute.

The Ordinance establishes:

Menzies as part of the University, and bound by the policies and procedures of the University;
a Board appointed by Council;
a Chief Executive appointed by the University;
reporting arrangements – to Council through the Vice-Chancellor;
a series of institutional objectives; and
annual operations determined by a Statement of Intent (SOI) agreed with Council through the Vice-Chancellor.

While Council has determined that the Institute operates as a corporate entity within the legal framework it intends that its governance arrangements largely mimic those of a separate legal entity. That allows variations from standard University policies and procedures that are either included in Ordinance 12 or agreed by the Vice-Chancellor. These variations are detailed in the Menzies Research Institute Operating Protocol. Delegations to the Board and senior management are listed in the table of specific delegations.

Antarctic Climate and Ecosystems Cooperative Research Centre

The Antarctic Climate & Ecosystems Cooperative Research Centre is a separately funded research centre (part of the DEST CRC Programme) and is housed at the University of Tasmania. It operates under a Commonwealth Agreement and a Centre Agreement between the major partners. It has entered into an Agency Agreement with the University of Tasmania, one of its major partners, such that the University acts as the Centre Agent and provides facility requirements and Human Resources and Accounting operations (as listed in Schedule 1 of the Agency Agreement). Financial delegations to management are detailed in the table of specific delegations. Variations from standard University policies and procedures are listed in Schedule 2 of the Agency Agreement.

Integrated Marine Observing System (IMOS)

The Integrated Marine Observing System (IMOS) operates as an Office within UTAS Centre for Marine Science and is funded through a grant from the Federal Government's National Collaborative Research Infrastructure Strategy (NCRIS) program. The Director of the IMOS Office is an employee of UTAS. UTAS has entered into a Funding Agreement with the Department of Education, Science and Training (DEST) for the administration of the grant funds. IMOS is a collaborative project involving ten Federal, State and University research organisations. UTAS has entered subcontracting arrangements with the collaborating organisations to deliver services as part of IMOS. Federal funding is for $50 million over five years from July 2006 to June 2011.

To allow for the effective and efficient administration of IMOS, staff have been delegated particular financial authorities. These delegations of authority apply only to the expenditure of funds falling under the UTAS-DEST IMOS Funding Agreement.

Australian Maritime College

The Australian Maritime College integrated with the University in 2008. The institute is the primary national institute for Australia focusing on the maritime sector and has national and international roles in training, education and research. The Governance arrangements for the institute are detailed in Ordinance 15 – Australian Maritime College.