A professional development workshop for
22 June 2012
University of Melbourne
Unraveling university delegations
of authority for policy practitioners
Brigid Freeman, University of Melbourne, Australia
[email protected]
 Why this is important
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for policy practitioners
Method
Definitions
Source and flow
Scope and breadth
Principles
Conclusion
Developing Policy in Tertiary Institutions
Source: http://praxis101.com/blog/archives/000036.html downloaded
15 June 2012
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Definitions - Delegate
 Understanding a few definitions is fundamental to
engaging with delegations documentation.
 A delegate is “the substantive, acting or temporary
occupant of a position, or a group of persons (e.g. a
committee), with delegated authority” (UNSW)
 A delegate is “an employee, member or Committee of
(the governing body) or any other person or entity to who
or to which a delegation has been made by (the governing
body) in these delegations of authority” (University of
Sydney)
= A delegate may be a person or a committee defined as
such in formal university delegations documentation
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Developing Policy in Tertiary Institutions
Definitions – Delegation
 A delegation is “a power or authority given to a delegate. A
delegation is expressed in and limited by a form of words, and is
formally assigned by the holder of the power to the delegate”
(Australian National University).
 A delegation is “conferral by Council of its power and authority
to perform functions on an officer or body of the University”
(Charles Sturt University).
 Authorities and responsibilities are delegations where they are
formally defined as such in formal delegations documentation.
= A delegation is a power or authority that the governing
body or some other formal holder of power says is so.
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Developing Policy in Tertiary Institutions
Source of powers
• Understanding the source and flow of powers will help policy
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practitioners differentiate between delegations and other
responsibilities embedded in policy statements. Delegations
embedded in policy must mirror those contained in governance
instruments.
The State establishes the functions of the University and transfers powers
to the University (via the University Act)
Some of these powers are reserved for the governing body (Council) and
Academic Senate/Board (via the University Act & subordinate legislation)
and for the Vice-Chancellor as chief executive officer
The remaining management powers are typically delegated to the Vice
Chancellor or other senior officer. Some of these powers are also reserved
for the Vice-Chancellor (via the University Act & subordinate legislation).
The other powers may be vested in the senior executive, other staff and
committees (via subordinate legislation, Delegations Policy & Schedules,
other Policy and position descriptions)
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Developing Policy in Tertiary Institutions
Flow of powers
• State gives
powers to the
University
Some powers
reserved for
governing body
(Council) and
Academic
Senate/Board
Developing Policy in Tertiary Institutions
Some powers are
reserved for the
Vice-Chancellor
• The remainder
are delegated
to the ViceChancellor /
other officers
• The remainder
are delegated
to the senior
executive,
other staff and
committees (or
in an advisory
capacity only)
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Functions of the University
(UTAS example for Bass Region)
 “to advance, transmit and preserve knowledge and learning
 to encourage and undertake research
 to promote and sustain teaching and research to international
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standards of excellence
to encourage and provide opportunities for students and staff to
develop and apply their knowledge and skills
to provide educational and research facilities appropriate to its other
functions
to promote access to higher education having regard to principles of
merit and equity
to foster or promote the commercialisation of any intellectual
property
to engage in activities which promote the social, cultural and
economic welfare of the community and to make available for those
purposes the resources of the University”.
(Source: University of Tasmania Act 1992)
Developing Policy in Tertiary Institutions
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Powers vested in the University
 Authority to acquire, hold and dispose of real and
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personal property
Authority to form, and participate in the formation of,
companies
Authority to subscribe for and purchase shares in, and
debentures and other securities of, companies
Authority to enter into partnerships
Authority to participate in joint ventures and
arrangements for the sharing of profits
Authority to borrow money
Authority to do anything incidental to any of its powers
(Source: Directly extracted from the University of Tasmania Act 1992 and draft Delegations Policy)
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Developing Policy in Tertiary Institutions
Powers reserved by Council
 Authority to approve annual budget and business plan
 Authority to elect the Chancellor and Deputy
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Chancellor(s)
Authority to appoint the Vice-Chancellor
Authority to appoint the Vice-Chancellor’s executive and
Deans
Authority to borrow and investment policy
Authority to establish companies, subsidiaries or
University entities
Authority to set course and unit fee structures
Authority for the faculty structure
Authority to approve the audit plan
(Source: Extracted from Ordinance 1, Ordinance 3, Ordinance 10 and draft Delegations Policy)
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Developing Policy in Tertiary Institutions
Powers reserved by/for Academic
Senate
 Authority to approve proposals for awards (course
duration, content and structure; entry requirements;
methods of delivery and assessment; names and
abbreviations of units and courses)
 Authority to determine admission requirements
 Authority to make rules regarding prizes,
scholarships, bursaries, awards, admission,
assessment, student progress and graduate research
(Source: extracted from Ordinance 13 and the draft Delegations Policy)
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Developing Policy in Tertiary Institutions
Powers reserved by/for the
Vice-Chancellor
 Authority to act as chief executive officer
 Authority to sign-off decision papers presented to
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Council
Authority to determine and release policy
Authority to approve enterprise agreements
Authority to approve significant strategic
agreements with the Commonwealth and State
Governments
Authority to approve allocations of budget resources
at the Faculty/Division level
(Source: extracted from Ordinance 3 and the draft Delegations Policy)
Developing Policy in Tertiary Institutions
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What then?
 The remainder are delegated to the senior executive,
other staff across the university and committees (note: or
to advice the decision-maker).
 These delegations arrangements must be in accordance
with the University Act, subordinate legislation (Statutes,
Regulations, By-laws, Rules), the Delegations Policy (and
Schedules), other academic and administrative policy and
industrial instruments (Enterprise Agreements).
 These delegations details may be recorded in a
Delegations Register, or in Schedules or other formal
delegations documentation
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Developing Policy in Tertiary Institutions
Scope of Delegations
 Delegations documentation uses categories as organising
constructs or explanatory tools.
 Delegations documentation provides a detailed snapshot of
university decision-making, albeit not from the ‘teaching,
research, third stream and administration’ lens suggested by
strategic plans and organisational charts.
 There is much variation in approach. For example, Queensland
University of Technology, Edith Cowan University and Melbourne
University all categorise delegations very differently.
 The important point for policy practitioners is that delegations
span all university operations. Whilst not necessarily
replicating policy categories, the categories and content
relate to governance instrument and policy statement
content and understanding the organising constructs makes
the documentation more accessible.
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Developing Policy in Tertiary Institutions
Scope of Delegations (CSU example)
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Strategy and policy
Academic, course and research
Library and collections
Finance, legal, contracts and commercial activity
Human resources and outside professional activities
Information technology
Travel
Donations and sponsorship
Marketing and media
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Developing Policy in Tertiary Institutions
Strategic and academic delegations
Category
Delegation = Authority to approve
Strategy and policy
delegations
University strategy and plans, subordinate legislation,
policies, procedures and guidelines, establishment of
University committees and organisational units
Academic and
course delegations
Degrees and awards, admission, deferral and transfer,
credit, subject substitution, withdrawal and leave of
absence, courses and subjects, assessment, examinations,
graduation, testamurs, appeals, penalties, reviews, student
academic misconduct
Research
delegations
Research proposals/applications, funding, CRCs,
consultancies, fees and disbursement of research-related
income and royalties
Library and
Conditions of library use, library fees, charges and fines,
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collections
library
collection,
borrowing
agreements,
library
materials
Developing Policy in Tertiary Institutions
Finance, contract and commercial
activity delegations
Category
Delegation = Authority to approve
Finance delegations
University Budget, annual accounts, fees and charges,
investment policy, insurance providers, general
expenditure (accounts payable, accounts receivable,
journal transactions), asset records, debt write-off, issuance
of business cards
Legal delegations
Provision of legal advice, legal costs, affixing common seal
Contract delegations MOUs, verdicts and settlements, ex-gratia payments,
partnerships, intellectual property agreements, joint
ventures, companies and associations, university entities,
business names and trademarks
Commercial
activities
Commercial activities, development of a proposal for a new
commercial activity, commercial activity involving delivery
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of courses with a third party overseas
Human resources, travel, donations
& sponsorships delegations
Category
Delegation = Authority to approve
Human resources
delegations
Enterprise agreements, staffing profile, awards/rewards,
leave, academic promotions, acting appointments,
disciplinary action, resignation, retirement, termination
‘Outside professional Staff engagement as an expert witness, as a private
activities’ delegations consultant, in professional practice or some other form of
secondary employment
Travel delegations
Domestic and international travel, private motor vehicle
use, airline lounge membership
Donations and
Receipt of donations, allocation of sponsorships,
sponsorships
fundraising activities, charitable trusts and securing
delegations
beneficial interests
Developing Policy in Tertiary Institutions
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IT, marketing & media delegations
Category
Delegation = Authority to approve
Information
technology
delegations
IT software and service agreements, domain names, IT
security, privacy, copyright and electronic records
Marketing
delegations
Use of the university logo, advertising campaigns,
marketing publications, university website, promotional
events
Media delegations
Approve media releases, make representations to the media
(including senior executive members as university
spokespeople, and academic and professional staff in their
area of expertise)
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Developing Policy in Tertiary Institutions
Decision making is both highly
centralised … and highly dispersed
High level delegations
are highly centralized
to or amongst the
University governing
body, Vice-Chancellor
and senior staff.
Lower level
delegations are
highly
dispersed
throughout the
University.
Source: http://blog.aaladdin.com/IMG/bottle%20neck.bmp downloaded 15 June 2012
Developing Policy in Tertiary Institutions
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Principles
 Delegations must be exercised in accordance with the respective
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University Act, subordinate legislation, policies and procedures.
Delegations must only be exercised for university purposes.
Delegations must not be sub-delegated unless otherwise provided.
However, powers reserved for and only exercisable by the governing
body, Vice-Chancellor or Academic Senate may not be delegated.
Delegations identified in formal delegations documentation may not
be sub-delegated, except where such delegation is explicitly permitted.
A delegate may task an Authorised Officer with the performance of
routine functions on their behalf, where a series of conditions are met.
Delegations are conferred on positions, not the individual holding the
position.
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Developing Policy in Tertiary Institutions
Principles
 Delegations conferred on a position are extended to a person
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temporarily acting in that substantive position.
Delegations conferred on a committee are conferred on the body,
rather than individual members. The Committee may authorise
an individual to act on its behalf.
Delegations are hierarchical; they are concurrently held by the
delegate’s supervisor, and in turn by the supervisor’s supervisor,
then the governing body. Council may exercise any delegation.
Delegations are limited to the delegate’s area of responsibility
(e.g. organisational unit or portfolio).
A delegate must not exercise any delegation involving a conflict
of interest or personal benefit (e.g. promotion).
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Developing Policy in Tertiary Institutions
Principles
 Financial transactions cannot be manipulated to
accommodate a particular delegate’s financial delegation
threshold (for example by splitting bills or incorporating
deductions or trade-ins).
 Variations must be submitted to the delegate approving the
original financial transaction (or superior if above the
original delegate’s financial delegation threshold).
 Authority to use a business card does not of itself grant
authorisation to expend funds. Transactions must be
authorised by a delegate holding the appropriate financial
delegation (either before expenditure or during acquittal).
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Developing Policy in Tertiary Institutions
Essential but difficult ….
Understanding some basic
definitions, the scope of
delegations and underpinning
principles is imperative for
policy practitioners who
need to ensure that policy
statements accurately
mirror delegations
embedded in governance
instruments.
If only it wasn’t so difficult!
Developing Policy in Tertiary Institutions
Source: http://supersoshychick.blogspot.com.au/2011/08/head-explosion.html
downloaded 15 June 2012
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Conclusion
Hopefully this presentation has gone some way to unraveling
university delegations of authority so that you can more
effectively engage with this important body of
university governance documentation
Source: http://afterclasslounge.files.wordpress.com/2011/05/unravelling-cartoon.jpg downloaded 15 June 2012
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Developing Policy in Tertiary Institutions