Delegated Power and Authorisations Policy
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Value Proposition
September 2014
City Solicitor
September 2016
LG449/793/304/02
26544469
45637341
Council
Admin
OBJECTIVES AND MEASURES
Objectives
• Provide the framework to issue, record, administer and
exercise delegations and Authorisations.
• Promote effective internal control and sound corporate
governance practices in relation to delegations and
Authorisations.
• Provide Council employees, committees, chairmen of
committees or corporatised units with the level of
delegated power and authority necessary to discharge
their responsibilities from a legal and sound corporate
governance perspective, and
• Support good decision making, efficiency and
effectiveness in Council’s administrative processes and
complete corporate records.
Performance measures
New delegations and Authorisations are assessed, and
where supported, are implemented in accordance with this
policy & its accompanying guidelines.
Risk assessment
Decrease in the number of reported legal non-compliance
issues which directly impact upon:• The legal validity / enforceability of some Council
contracts or
• Council’s ability to legally enforce or litigate breaches
of Local Government Acts (as defined herein).
High
POLICY STATEMENT
Council of the City of Gold Coast (Council) acknowledges its legislative obligation under the
provisions of the Local Government Act 2009 to adhere strictly to the delegation and
Authorisation regime as detailed therein. Council accepts that the regime involves complex
legal concepts which are unable to be simplified because of their legal nature. This policy
and its associated guidelines apply additional controls in order to maintain sound corporate
governance.
Council recognises the necessity for employees exercising a delegation or an Authorisation
to understand the legal principles underpinning the regime. These principles are outlined
below.
As a matter of policy, Council adopts that delegations are to be to a specified office e.g.
Office of the CEO/Office of the Director Community Services, Manager Health Regulatory
and Lifeguard Services, as opposed to an employee specified by name.
Authorisations though are legally required to be made to an individual in their own right.
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Delegated Power and Authorisations Policy
1. GENERAL PRINCIPLES
1.1
The Local Government Act 2009 (“The Act”) creates Council as an “elected body”
(section 8) able to hold property and sue and be sued in its own name and having
perpetual succession (section 262).
Council is required and empowered to perform responsibilities under various and
sundry Local Government Acts. The latter phrase is defined in the Act to include:i. the Act itself; and
ii. a local law; and
iii. the Sustainable Planning Act 2009; and
iv. the Gold Coast Planning Scheme; and
v. the Plumbing and Drainage Act 2002; and
vi. the Water Supply (Safety and Reliability) Act 2008; and
vii. the Water Act 2000
(collectively referred to as “the Powers”).
The Powers as referenced above are not exhaustive 1 – in addition to the above referenced
Powers Council currently performs responsibilities in relation to numerous and sundry other
Local Government Acts 2.
The Act mandates that Council adhere strictly to the delegation/authorisation regime
as detailed herein to validly exercise the Powers emanating from all “Local
Government Act” legislative sources.
2. DELEGATION OF POWER BY COUNCIL OR THE CEO
2.1
Pertinent powers in the “Local Government Acts” are delegable by Council resolution
to:
• The Mayor; or
• A Standing or Joint Standing Committee; or
• The Chairman of a Standing or Joint Standing Committee; or
• The CEO; or
• Another Local Government for the purposes of a joint government activity, or
• A Councillor for the purposes of exercising a power as a shareholder in relation to
a corporate entity
[Section 257].
2.2
The CEO may delegate the CEO’s powers (including powers delegated to the CEO
by Council pursuant to Section 257) to ‘another employee of the Local Government’
provided that:
• Council has not directed the power not be on-delegated;
• It does not constitute a Power to keep a register of interests;
1
See 14D of the Acts Interpretation Act.
Acquisition of Land Act 1967; Animal Management (Dogs and Cats) Act 2009; Building Act 1975; Body Corporate and
Community Management Act 1997; Coastal Protection and Management Act 1995; Dangerous Goods Safety Management Act
2001; Electricity Act 1994; Environmental Protection Act 1994; Fire and Rescue Service Act 1990; Fisheries Act 1994; The
Food Act 2006; Food Production (Safety) Act 2000; Gaming Machine Act 1991; Gas Supply Act 2003; Motor Racing Events
Act 1990; Health Act 1937; Land Act 1994; Liquor Act 1992; Land Protection (Pest and Stock Route Management) Act 2002;
Manufactured Homes (Residential Parks) Act 2003; Nature Conservation (Macropod) Conservation Plan 2005; Property Law
Act 1974; Prostitution Act 1999; Public Health Act 2005; Public Health (Infection Control for Personal Appearance Services)
Act 2003; Queensland Heritage Act 1992; Residential Services (Accreditation) Act 2002; Soil Conservation Act 1986; State
Development and Public Works Organisation Act 1971; State Penalties Enforcement Act 1999; Tobacco and Other Smoking
Products Act 1998; Transport Infrastructure (Public Marine Facilities) Regulation 2000; Transport Infrastructure Act 1994;
Transport Operations (Road Use Management) Act 1995; Trusts Act 1973; Tweed River Entrance Sand Bypassing Project
Agreement Act 1998; Workers Compensation and Rehabilitation Act 2003; Workplace Health and Safety Act 1995.
2
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Delegated Power and Authorisations Policy
• It does not constitute a Power to sign a drafting certificate for a Local Law.
[Section 259]
A power also cannot be delegated if the legislation devolving the power provides that
the power must be exercised by Council resolution.
The power vested in the CEO to take disciplinary action against a Local Government
employee pursuant to Section 197(1) of the Act is delegable pursuant to section 259
of the Act not withstanding that Section 197(1) of the Act states that the power is
vested exclusively in the CEO.
2.3
A power delegated by the CEO pursuant to section 259 can be exercised in favour of
either an employee specified by name or the holder of a Specified Office by
reference to the Specified Office concerned (Section 27A Acts Interpretation Act
1954). As a matter of policy, Council adopts the delegation of power to a Specified
Office in terms of delegating the CEO’s powers.
A power delegated is exercisable when the Specified Office to which the power has
been delegated is occupied by a Council employee formally appointed to that
Specified Office, for the period of time the employee is appointed to the Specified
Office.
2.4
Delegates or officers other than the Chief Executive Officer, cannot sub-delegate or
on-delegate any power delegated. 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 (Acts Interpretation Act 1954).
2.5
The power to contract is delegable pursuant to the delegation process subject to the
exercise of the power being constrained by the provisions of:
1. Local Government Act 2009 and
2. Procurement Policy and Standards
3. AUTHORISED PERSONS
3.1
The Act (s125) refers to the appointment of Authorised Persons in the context of
enforcement of Local Government Acts ie: Schedules 1 - 5 (inclusive) of the State
Penalties Enforcement Regulation 2000 detail Authorised Persons for the purposes
of enforcement (ie: issuing Infringement Notices) of the various and sundry Local
Government Acts as referenced therein.
3.2
The CEO has the power to make "Authorised Person'' appointments" under the Act
(s202) and that power is delegable pursuant to s259 of same.
3.3
A clear distinction in the Act is made between "Authorised Persons" as referenced
above and "Authorised Workers" ie: an "Authorised Person" may:
• Require a person's name and address (s127)
• Enter an open public place (s128)
• Enter private property with the occupier's permission (s129)
• Enter private property in accordance with a warrant (s130)
• Enter property under application, permit, notice or an inspection program (s 132
and 133)
• Enter to inspect regulated pools (s134A)Exercise only certain powers after
entering property (s135).
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Delegated Power and Authorisations Policy
An "Authorised Worker" may enter private property:
• With the occupier's permission (s139)
• With written notice under a remedial notice (s142)
• With written notice to take material (s143)
• At reasonable times to make repairs (s144)
• For urgent action (s145)
• Under a Court Order (s146).
Note that the Local Government issues an Identity Card to an Authorised Worker
whereas the CEO issues an Authorised Person's Identity Card (see Sections
respectively 138A and 204 of the Act). In terms of the latter, note that Council’s
power to appoint a Local Government Worker (“Authorised Worker”) pursuant to
section 138(6) and Council’s power to issue an Identity Card pursuant to section
138A is delegable to the CEO pursuant to section 257. Each of the latter referenced
provisions enables a single Identity Card to be issued to a Person for the purposes of
the Act and for another purpose. The Act relevantly defines the Identity Card to mean
a card that:(a) identifies the Person as an Authorised Person or a Local Government Worker;
and
(b) contains a recent photo of the Person; and
(c) contains a copy of the Person's signature; and
(d) states the expiry date for the Identity Card.
An appointment of an Authorised Person and an Authorised Worker is an
appointment to a Person and not to a Position.
3.4
Note further that the Local Government Regulation 2012 (Section 83) enables the
CEO to appoint “categorisation officers” who’s only role is to enter land for rating
purposes – an Identity Card must be issued by the CEO to each appointed
categorisation officer.
4. PERSONS AUTHORISED TO SIGN LOCAL GOVERNMENT DOCUMENTS
4.1
Section 236 of the Act stipulates that the following Persons may sign a document on
behalf of the Local Government:(a)
the Head of the Local Government (the Mayor);
(b)
a delegate of the Local Government;
(c)
a Councillor or Local Government employee who is authorised by the Head of
the Local Government, in writing, to sign documents.
4.2
An Authorisation has been put in place as between the Mayor and the CEO for the
CEO to sign Local Government documents in terms of (c) above. A sub-authorisation
is able to be given by the CEO to an Officer in the context of Local Government
documents having to be signed and sent to external persons or agencies and is
premised on the basis of administrative necessity. The exercise of such a subauthorisation is subject to strict compliance with the terms of appointment in relation
to same and further is subrogate to direction from the grantor of the authority and/or
a delegate appointed specifically pursuant to s236(b) of the Local Government Act
2009 to deal with the matter at hand.
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Delegated Power and Authorisations Policy
4.3
For the purposes of clarification/explanation note that the authority under paragraph
(c) is not a matter of delegation because an authority to sign documents is merely
authority to authenticate a document to give effect to a commercial or governmental
decision already made by the Council or a delegate. If the process of “signing”
involves any component of deliberative decision making before the signature is
affixed, as distinct from merely verifying that the document gives effect to a decision
already taken, it is an exercise of executive power, and not covered by an authority
given under paragraph (c).
Note also that authority under paragraph (c) is given by the CEO as a subauthorisation.
A contract or other document intended to give legal effect purportedly executed other
than as provided by section 236(c) (eg. By the CEO in circumstances where the
decision has been made by the Council itself, and not by the CEO acting under
delegation) is probably not binding on the Council.
4.4
A sub-authorisation to sign Local Government documents is made to a Person and
not to a Position.
4.5
Where an officer is required to sign local government documents in a professional
capacity e.g. the certification of engineering drawings by a qualified engineer, the
officer must be sub-authorised in writing to do so i.e. a professional qualification does
not entitle an officer to sign Local Government documents in that capacity alone - it
must be supported by a sub-authorisation in writing in that regard.
5. ADMINISTRATIVE AUTHORISATION
5.1
The authority to perform an administrative task or function within Council that is
conferred on an Officer by a:
• Delegate who prefers not to, or who may be legally unable to, use a subdelegation to confer such authority
• Person who’s job description authorises the performance of the administrative
task or function.
An Administrative Authorisation for governance purposes should be recorded in writing.
An Administrative Authorisation is made to a Position and not to a Person.
SCOPE
This policy applies to the Mayor, a Standing Committee or Joint Standing Committee, the
Chairperson of a Standing Committee or Joint Standing Committee, the Chief Executive
Officer and all Council employees.
DEFINITIONS
Council – Council of the City of Gold Coast
The Act – The Local Government Act 2009
RELATED POLICIES AND DELEGATIONS
Code of Conduct for Employees
Higher Duties and Secondment Policy
Procurement Policy and Standards
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Delegated Power and Authorisations Policy
LEGISLATION
The Local Government Act 2009
The Sustainable Planning Act 2009
The Plumbing and Drainage Act 2002
The Water Supply (Safety and Reliability) Act 2008
The Water Act 2000
The Acts Interpretation Act 1954
The Local Government Regulation 2012
The Gold Coast Planning Scheme
SUPPORTING DOCUMENTS
Attachment A - Guidelines
RESPONSIBILITIES
Sponsor
Owner
Chief Operating Officer
City Solicitor
VERSION CONTROL
Document
Date
Approved
Amendment
26544469 v4
10.09.14
COO #45637341
26544469 v3
26544469 v2
26544469 v1
01.10.13
11.08.11
21.04.11
iSpot #32255269
iSpot #30838768
Minor amendment to remove ‘Clearance
Procedure’
Minor amendment
Minor amendment
Original policy
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
1. PURPOSE AND SCOPE
1.1 Purpose …………………………………………………………………………..
1.2 Scope …………………………………………………………………………….
1.3 Framework Custodian …………………………………………………………..
2
2
2
2. RESPONSIBILITIES
2.1 Branch Managers ………………………………………………………………
2.2 Delegates and Authorised Persons/Workers and Person Authorised to sign
Local Government documents and Authorised Administration Officers ….
2
3
3. CORPORATE REGISTERS
3.1 Corporate Register of Delegations - Register Content ……….…………..
3.2. Corporate Register of Appointment of Authorised Persons/Workers…….
3.3 Corporate Register of Persons Authorised to sign Local Government
documents……………………………………………………………………..
3.4 Corporate Register of Authorised Administration Officers…..……………
4
4
4. MAKING APPLICATION
4.1 Delegation From Council to the CEO ………………………………………..
4.2 Delegation From the CEO to a Specified Office .……………………………
4.3 Appointment of Authorised Person/Worker…………………………………..
4.4 Persons Authorised to sign Local Government documents……………….
4.5 Authorised Administration Officers ……………………………………………
4
5
5
5
5
5. INSTRUMENTS OF DELEGATION AND INSTRUMENTS OF APPOINTMENT
5.1 Instruments of Delegation …………………………………………………………
5.2 Instruments of Appointment of Authorised Persons…………………………….
5.3 Instruments of Appointment of Authorised Workers ………………………. ……
5.4 Appointment of Persons Authorised to Sign Local Government Documents …
6
6
6
7
6. USE OF DELEGATED POWER AND POWERS OF AUTHORISED PERSONS
6.1 Delegated Power ………………………………………………………………..
6.2 Authorised Persons/Workers……………………………………………………
7
8
7. MAINTAINING CURRENCY …………………………………………………………
7.1 Annual Performance Management Process …………………………………
7.2 Position Profile Changes……………………………………………………….
7.3 Legislative Amendment…………………………………………………………
8
8
8
8
8. AUDIT, RECORD KEEPING AND EVIDENTIARY REQUIREMENTS …………
8
3
4
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
1.
PURPOSE AND SCOPE
1.1
Purpose:
To provide a framework for the exercise and administration of delegations, the
appointment of persons authorised to sign Local Government documents, the
appointment of Authorised Persons and Workers and the appointment of authorised
Administration Officers.
1.2
•
•
•
•
•
Scope:
To outline the responsibilities of officers within the delegation/authorisation
process.
To describe how the Corporate Registers of Delegations, the Appointment of
Authorised Persons and Workers, the appointment of persons to sign Local
Government documents and the appointment of authorised Administration
Officers operate.
To describe the steps in applying for a delegation from Council to the CEO
and from the CEO to a Specified Office.
To provide mechanisms to ensure delegations, the Appointment of
Authorised Persons and Workers, the appointment of Officers authorised to
sign Local Government documents and the appointment of authorised
Administration Officers are current.
To outline details of audit, record keeping and evidentiary requirements.
1.3
Framework Custodian:
Legal Services Branch is the custodian of the Delegated Power and Authorisations
Policy - Guideline and is responsible for maintaining its currency.
2.
RESPONSIBILITIES
2.1
Branch Managers
Individual Branch Managers are responsible for ensuring:•
Appropriate delegations/authorisations are in place. This includes ensuring
that an officer is authorised to sign local government documents when acting
in a role in a higher or secondment capacity.
•
The officer exercising the delegation/Authorisation has the requisite
expertise/experience and has received the necessary training to hold and
competently exercise the delegation/Authorisation.
•
The currency of an officer’s credentials to hold and exercise a
delegation/Authorisation and any requirement for on-going training.
•
Actions, reports and other documents properly consider the
delegation/Authorisation of individual officers/offices.
Where a delegation is required to implement a decision or Policy of Council,
the Manager is responsible for following the process outlined herein to ensure
that a suitable delegation exists and to have such delegation put in place,
where required.
•
Changes to Branch Structures affecting position profiles are communicated to
Legal Services Branch to ensure the Corporate Registers of
Delegations/Authorisations are maintained.
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
2.2
3.
Delegates, Authorised Persons and Workers, persons authorised to
sign Local Government documents and authorised administration
officers:
A Delegate/an Authorised Person or Worker or a person authorised to sign
Local Government documents or an authorised Administration Officer must:
•
Ensure actions taken are strictly in accordance with:a) the conditions of the delegation/authorisation;
b) the requirements of the Local Government Act 2009 and other
Local Government Acts;
c) relevant Council policies and
d) the limits of the power delegated to or authorisation conferred
upon, the person or the office;
•
Possess the qualifications, experience, standing and/or competency in
understanding and use of delegated power as provided for in relevant
legislation and/or Council policies. Delegations may be revoked or
restricted where qualifications are no longer current or where repeated
or significant misuse of a delegation has occurred;
•
Act with integrity;
•
Act in a way that shows proper concern for the public interest;
•
Not release information the person knows, or should reasonably know,
is information that is confidential to Council and
•
Immediately inform the CEO in writing of any material personal interest
he or she has in an issue to be, or which is being, dealt with by the
employee in his/her duties and must not deal with, or further deal with,
the issue except with the CEO’s written directions.
CORPORATE REGISTERS
The online Corporate Registers of Delegations, Authorised Persons and Workers
and persons authorised to sign Local Government documents and authorised
Administration Officers are searchable data bases maintained centrally by the Legal
Services Branch.
3.1
Corporate Register of Delegations – Register Content
The Corporate Register of Delegations contains details of the CEO’s
delegations including powers of the Council which have been delegated to
the CEO by Council resolution as well as powers delegated directly to the
CEO by individual legislative instruments. The Register also contains details
of delegations from the CEO to a Specified Office.
In accordance with section 305 of the Local Government Regulation 2012 the
Corporate Register of Delegations must contain:
• the name or title of the person or the name of the committee, to whom
powers are delegated; [Note policy position of Council as previously
referenced i.e. Council delegates to a specified officer as opposed to an
individual by name] and
• A description of the powers delegated including the provisions under a
Local Government Act permitting the exercise of powers; and
• If the delegation was made by the Local Government – a summary of the
resolution by which powers are delegated including:
i. the date of the resolution; and
ii. a summary of any conditions to which the delegation is subject, and
iii. if the resolution is numbered – its number.
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
Note that the CEO may include any other information in the register that he
considers appropriate.
3.2. Corporate Register of Appointment of Authorised Persons/Workers
The Corporate Register of Authorised Persons/Workers lists officers who are
appointed as Authorised Persons/Workers, the legislation they are authorised
under and the powers they are authorised to exercise.
Each directorate is responsible for determining the Authorisations their officers
require to legally carry out their responsibilities and for notifying Legal Services
by initiating the necessary paperwork to ensure details within the Corporate
Register are accurate and up to date.
The integrity of the Corporate Register of Authorised Persons/Workers will be
reviewed regularly by the Legal Services Branch to identify anomalies. Where
an anomaly is identified, the register will be updated based on advice received
from the responsible Directorate.
3.3. Corporate Register of persons Authorised to sign Local Government
documents
This Corporate Register records the Officers sub-authorised by the CEO to
sign Local Government documents pursuant to section 236(c) of the Local
Government Act 2009.
3.4. Corporate Register of Authorised Administration Officers
The Corporate Register of Authorised Administration Officers lists officers
appointed by the respective Branch Managers to exercise powers outlined in
the “Memorandum of Appointment”.
4.
MAKING APPLICATION
4.1
Delegation from Council to the CEO
Officers preparing Council agenda items must refer to the Corporate Register of
Delegations to determine whether the CEO has the delegation to action the Council
resolution.
1. Where a delegated power exists, the delegation reference must be correctly
quoted (identifying the delegation number and the source of power) in the body
of the item as provided for in the Corporate Agenda Item template.
2. Where no delegated power exists in the Corporate Register, the officer’s
recommendation to Council must provide for the relevant power to be delegated
to the CEO.
Once resolved by Council, the delegation from Council to the CEO is recorded in the
Corporate Register of Delegations.
Where it is an operational requirement that the CEO’s power be on-delegated to a
Specified Office, application is made separately.
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
4.2
Delegation from CEO to Specified Office
Delegations from the CEO to the holder of a Specified Office are made as follows.
1.
A completed online Application Form is forwarded to Legal Services Branch
for processing.
2.
A “Schedule of Delegations” is prepared for approval by the CEO.
3.
Following the CEO’s written approval, the holder of the Specified Office is
notified by email.
4.
The Corporate Delegations Register is updated and the delegated powers
are exercisable from the date of CEO approval, as recorded therein.
4.3
Appointment of an Authorised Person/Worker
An Authorised Person/Worker appointment is made to an officer personally and not
to a Specified Office. An Authorised Person/Worker appointment is made in the
following way:
1.
Application is made by completing the online Application Form.
2.
Once approved by the responsible Branch Manager the application is
forwarded to Legal Services Branch for processing.
3.
Instruments of Appointment are prepared by Legal Services and sent to the
CEO or the Specified Office to whom the CEO has delegated this power, for
approval.
4.
Once the “Instrument of Appointment” has been approved, details are
recorded in the Corporate Register of Authorised Persons/Workers. The
signed original Instrument is retained by City Governance for evidentiary,
auditing and recordkeeping purposes.
5.
A copy of the Instrument of Appointment is sent to the Authorised
Person/Worker.
4.4
Persons Authorised to sign Local Government documents
Authority to sign Local Government documents is given to an officer personally and
not to a Specified Office. An Authority to sign Local Government documents is made
as follows:
Application is made by completing the online Application Form.
Once approved by the responsible Branch Manager the application is forwarded to
Legal Services Branch for processing.
Instruments are prepared by Legal Services and sent to the Director for approval.
Once the Instrument has been approved, details are recorded in the Corporate
Register of Persons Authorised to sign Local Government documents. The signed
original Instrument is retained by City Governance for evidentiary, auditing and
recordkeeping purposes.
A copy of the Instrument is sent to the person authorised.
4.5
Authorised Administration Officers
A specified office is given an Administrative Authorisation in the following way:
Application is made by completing the online Application Form.
Once approved by the responsible Branch Manager the application is forwarded to
Legal Services Branch for processing.
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
Instruments are prepared by Legal Services and sent to the Manager for approval.
Once the Instrument has been approved, details are recorded in the Corporate
Register of Authorised Administration Officers. The signed original Instrument is
retained by City Governance for evidentiary, auditing and recordkeeping purposes.
A copy of the Instrument is sent to the person authorised.
5.
INSTRUMENTS OF DELEGATION AND INSTRUMENTS OF APPOINTMENT
5.1
Instruments of Delegation
A delegation from the CEO to the holder of a Specified Office by reference to the
Title of the Office concerned, is valid only when it is made, or evidenced by a written
“Instrument of Delegation” made under the hand of the CEO. The “Instrument of
Delegation” is evidenced by the Schedule signed by the CEO. The Instrument
remains in force until revoked by the CEO.
5.2
Instruments of Appointment of Authorised Persons
A Council officer is appointed as an Authorised Person by a written “Instrument of
Appointment” under the hand of the CEO or the Specified Office to which the CEO
has delegated the power to appoint Authorised Persons. The “Instrument of
Appointment” lists the names of the officers who are appointed as Authorised
Persons and the legislation they are authorised under.
As a matter of policy the “Instrument of Appointment” will not have an expiry date.
However, the Duly Authorised Person’s Identity Card legally must contain an expiry
date. It is the responsibility of the individual Directorates to arrange for the issue of
the Duly Authorised Person’s Identity Card, following receipt of the approved
Instrument of Appointment. A copy of the approved Instrument of Appointment must
be sighted prior to an Authorised Person’s Identity Card being issued.
Note that the Identity Card of an Authorised Person is issued under the hand of the
CEO (section 202) – the Identity Card must specifically reference the powers to be
exercised under Chapter 5 part 2 division 1 of the Act and the Identity Card of the
Authorised Person must:(a)
identify the person as an Authorised Person;
(b)
contain a recent photo of the person; and
(c)
contain a copy of the person’s signature; and
(d)
state the expiry date of the Identity Card.
5.3
Instruments of Appointment of Authorised Workers
A Council officer is appointed as an Authorised Worker by a written “Instrument of
Appointment” under the hand of the CEO (under delegated authority from Council) or
the Specified Office to which the CEO has delegated the power to appoint
Authorised Workers. The “Instrument of Appointment” lists the names of the officers
who are appointed as Authorised Workers.
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
As a matter of policy the “Instrument of Appointment” will not have an expiry date.
However, the Duly Authorised Worker’s Identity Card legally must contain an expiry
date. It is the responsibility of the individual Directorates to arrange for the issue of
the Duly Authorised Worker’s Identity Card, following receipt of the approved
Instrument of Appointment. A copy of the approved Instrument of Appointment must
be sighted prior to an Authorised Worker’s Identity Card being issued.
Note that the Identity Card of an Authorised Worker is issued under the hand of the
CEO under delegated authority from Council (see paragraph 3.3 of the Policy) – the
Identity Card must specifically reference the powers to be exercised by the worker
under Chapter 5 part 2 division 2 of the Local Government Act 2009 and the Identity
Card of the Authorised Worker must:(a)
identify the person as an Authorised Worker;
(b)
contain a recent photo of the person; and
(c)
contain a copy of the person’s signature; and
(d)
state the expiry date of the Identity Card.
5.4
Appointment of Persons Authorised to Sign Local Government
Documents
To be valid, a sub-authorisation by the CEO to an officer to Sign Local Government
documents must be made, or evidenced by a written Instrument specifying the
classes of document that can signed by the officer.
Where an officer is required to sign local government documents in a professional
capacity e.g. the certification of engineering drawings by a qualified engineer the
Instrument of Appointment must specify this. Note that a professional qualification
alone does not entitle an officer to sign Local Government documents – it must be
supported by a sub-authorisation in writing in that regard.
As the sub-authorisation to sign Local Government documents is made to a person
and not to a position, when an officer occupies a role in a higher duties or
secondment capacity, that officer must be sub-authorised to sign local government
documents applicable to that role.
6.
USE OF DELEGATED POWER AND POWERS OF AUTHORISED PERSONS
6.1
Delegated Power
The power delegated is exercisable when the Specified Office to which the power
has been delegated is occupied by a Council officer formally appointed to that Office
for the period of time the officer is appointed to the Specified Office. A power
delegated to a Specified Office does not cease merely because the incumbent of the
Specified Office when the power was delegated ceases to be the officer or the holder
of the office.
The delegated power is exercisable by an officer formally appointed to “act” in a
Specified Office. The officer acting in a Specified Office can exercise any delegable
powers applicable to that Specified Office for the duration of the temporary
appointment from the commencement date of the appointment. Details of officers
who have held acting appointments can be accessed through Council’s Human
Resources Information System (HRIS).
Printed copies are uncontrolled. It is the responsibility of each user to ensure that any copies of policy documents are the current issue
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
6.2
Authorised Persons/Workers
If a person has received a grant of authority and that person leaves, or moves to
another position where it is not appropriate, the Instrument of Appointment becomes
null and void and the Officer’s Identity Card must be handed in and cancelled. Where
appropriate, another person is appointed to exercise that power. The situation is
exactly the same in relation to Authorised Workers.
7.
MAINTAINING CURRENCY
Legal risk 3 is minimised by maintaining the currency of registers pertinent to
delegated power, the appointment of Authorised Persons/Workers, the appointment
of persons authorised to sign Local Government documents and the appointment of
Authorised Administration Officers. A formal review of currency will be undertaken by
Legal Services Branch, City Governance every two years, unless circumstances
render an earlier review desirable. These circumstances include:
7.1. Annual Performance Management Process
Delegated powers and Authorisations held by an officer should be reviewed annually
by the officer’s supervisor as part of the Performance Management Process. The
officer’s supervisor is responsible for ensuring the officer’s credentials for holding
Authorised Person/Worker status are current and that on-going training requirements
are met.
7.2. Position Profile Changes
Changes affecting position profiles as a result of organisational restructures,
restructuring of business units or position reclassifications are communicated to
Legal Services Branch by the People and Culture Branch.
7.3. Legislative Amendment
New legislation enacted and the amendment of existing legislation effecting
delegations and authorisations will be monitored by Legal Services Branch. Legal
Services Branch will consult with those Directorates whose delegations and/or
authorisations are impacted. Where required Legal Services Branch will update the
Corporate Register to reflect these changes as instructed by the Directorate. 4
8.
AUDIT, RECORD KEEPING AND EVIDENTIARY REQUIREMENTS
Reference is made to Council’s policy position outlined in Council’s Information
Management Policy indicating a preference for digital storage. Whilst Council’s
information systems and legal evidentiary requirements are evolving, an audit trail
consisting of the following hard copy records will be maintained by Legal Services
Branch, City Governance.
8.1
For each new delegation from Council to the CEO, a hard copy of the
Committee agenda item and recommendation and the Council resolution is
maintained on Council’s Corporate File for evidentiary purposes;
3
The legal risk referenced herein is”- the legal validity/enforceability of Council contracts and Council’s ability to legally enforce
/ litigate breaches of Local Government Acts.
4
Circumstances also include a change of Chief Executive Officer and the introduction of new administrative arrangements.
Printed copies are uncontrolled. It is the responsibility of each user to ensure that any copies of policy documents are the current issue
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Delegated Power and Authorisations Policy
Attachment A - Guidelines
8.2
For delegations from the CEO to a Specified Office and the appointment of
Authorised Persons/Workers, persons authorised to sign Local Government
documents and the appointment of Authorised Administration Officers, the
original signed copy of the “Instrument of Delegation/Appointment” is
maintained on Council’s Corporate file to meet legal requirements in the
event of disputation;
8.3
Delegations and Authorisations that have been revoked, have expired or
have been amended due to staff turnover and restructures.
This audit trail satisfies Council’s obligations relating to evidentiary confirmation of a
Specified Office’s delegated power or an individual’s appointment as an Authorised
Person/Worker, a person authorised to sign Local Government documents or a
person administratively authorised on which actions leading to legal proceedings
have commenced. This audit trail enables the source of delegated power and
Authorisations to be clearly identified to satisfy legal and audit requirements.
Pending development in the courts’ rules of evidence allowing digital documents to
be submitted as evidence, it is the intention to move towards digital documents and
to eliminate the requirement to maintain paper copies.
Printed copies are uncontrolled. It is the responsibility of each user to ensure that any copies of policy documents are the current issue
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