Delegations of Authority

Delegations of Authority

SUMMARY

Delegations of Authority underpin decision-making at the University. The Delegations of Authority Policy and its Appendices specify who may perform specific functions and the principles by which delegations of authority are exercised. They also establish the requirements for approval and review of delegations.

The Procedure provides instructions on how to request an amendment, deletion or addition to the Delegations of Authority Register in accordance with the Delegations of Authority Policy.

The two Appendices are:

Appendix 1 Reserved Powers of Council and Council Committees

Appendix 2 Delegations of Authority Register (v2.12 - 1 January 2021)

Note: Delegations of Authority for the University's Controlled Entities are listed on the Controlled Entities tab.

POLICY

1     PURPOSE

The purpose of this Delegations of Authority Policy, including its appendices is:

(a) in relation to any matter or class of matters, or in relation to any activity or function of the University, to appoint Delegates to perform those functions;

(b) to establish the requirements for approval and review of Delegations; and

(c) to specify the principles by which Delegations of Authority are exercised.

2     BACKGROUND

This Delegations of Authority Policy, Reserved Powers of Council and Council Committees and Delegations of Authority Register are made by resolution of the Council of Macquarie University (the University) pursuant to section 17 of the Macquarie University Act 1989 (NSW).

The Council delegates the functions prescribed in the Delegations of Authority Policy, Reserved Powers of Council and Council Committees and Delegations of Authority Register to the bodies, committees, officers and employees stipulated.

3     SCOPE

The Delegations of Authority Policy applies to the University's bodies, committees, officers and employees.

Teaching and research conducted within the University’s controlled entities under the University banner are managed as part of the academic governance of the University.

The Vice-President, People and Services must be consulted in:

(a) any negotiations relating to enterprise bargaining agreements and

(b) any forced terminations of employment in controlled entities.

All other decisions relating to the University’s controlled entities are made in accordance with the Controlled Entities Policy.

The Delegations of Authority Register is not the source of all authority.  Council may make Delegations in relation to any of its functions, including those in the Reserved Powers of the Council and Council committees in Appendix 1.

University bodies, committees, officers and employees may engage in activities which are not covered by the Delegations of Authority Framework, if it is reasonable for them to infer that the University authorises them to engage in those activities (for example, from position descriptions, terms of reference, policies, procedures, guidelines, the Macquarie University By-law 2005 (NSW) and Rules).

4     DEFINITIONS

Commonly defined terms are located in the University Glossary. The following definitions apply for the purpose of this Policy:

Authorised Agent means an officer or employee who is authorised in the Delegations of Authority Register to exercise a Delegation for and on behalf of a Delegate.

Delegate refers to a body, committee, officer or employee authorised to act and to make decisions concerning a specified power as delegated by Council and documented in the Delegations of Authority Register, or in a separate resolution of Council.

Delegation is an act of Council under section 17 of the Macquarie University Act 1989 (NSW) which confers the authority to act and the power to make decisions to a specific body, committee, officer or employee of the University.

Delegations of Authority Framework is the Delegations of Authority Policy, including the Reserved Powers of Council and Council committees and the Delegations of Authority Register.

Delegations of Authority Register is the Delegations of Authority Register provided at Appendix 2 of this policy.

Financial Expenditure Delegation is a Delegation that allows the Delegate identified in section 2 (Finance and Property) of the Delegations of Authority Register to financially commit the University and/or incur debts or liabilities for the University not exceeding the limits assigned to the Delegate band approval level.

Reserved Powers of Council are authorities retained by Council as set out in Appendix 1.

5     POLICY STATEMENT

5.1     Delegation

(a) A Delegation relates to the Delegate’s office, or position, not to the individual in that position. Similarly, where a Delegation is to a body by reference to the body’s title, it relates to the body acting as a body, not to individual members of the body.

(b) A person duly appointed as a temporary or acting occupant of an office has the authority Delegated to the position in which he or she is acting, unless otherwise specified in the Delegations of Authority Register.

(c) A Delegation to a position or to a body, if the position or the body is abolished, has a change in name or a change in structure, is to be regarded as referring to the successor to the functions of that position or body.

(d) Unless the context requires otherwise or unless otherwise specified (for example, Band C+ or Band D+ approval levels):

(i) a Delegation applies only to a Delegate’s accountability area; and

(ii) the Delegation to approve includes the Delegation to rescind, vary or terminate.

(e) A specific or particular Delegation will prevail over a general Delegation.

(f) If the exercise of a function requires the exercise of some preliminary, incidental or ancillary administrative function, then the Delegation extends to the exercise of that function.

(g) In the event of any inconsistency between a policy approved by Council or a resolution of Council which predates the Delegations of Authority Register, the Register prevails to the extent of the inconsistency.

(h) A Delegate who is ultimately subject to the direction and supervision of the Vice-Chancellor through established lines of accountability is, in the exercise of Delegations, also subject to the direction and supervision of Delegates more senior than the Delegate in the lines of accountability.

(i) Delegates more senior in the lines of accountability to a Delegate named in the Delegations of Authority Register may exercise a Delegation conferred on that named Delegate but only in accordance with its terms.

(j) In exercising a function a Delegate may seek appropriate advice in order to be properly informed. However, the Delegate must exercise the Delegation without any undue influence by any other body, committee, officer or employee.

5.2     Delegate band approval levels

(a)     In this Policy, the following band approval levels apply:

Band

Members

Band A++

Council

Band A+

Finance and Facilities Committee (F&FC)

Band A

Vice-Chancellor

Band B

Members of the Executive Group

Band C+

  • For whole of University financial expenditure and procurement expenditure: Deputy Group CFO
  • For whole of University procurement expenditure: Group Director, Strategic Procurement
  • For whole of University information technology expenditure: CIO
  • For whole of University property and facilities expenditure: Director, Property

Band C

Unit heads who report to members of the Executive Group (excluding Heads of Department and Heads of Schools), and the General Counsel

Band D+

In their area of responsibility: Procurement Category Managers

Band D

Those identified by a Band C member as requiring such Delegation (i.e. Academic Level E / HEW 10)

Band E

Those identified by a Band C member as requiring such Delegation (i.e. Academic Level D or C / HEW 9 or 8)

Band F

Those identified by a Band C member as requiring such Delegation (i.e. Academic Level B or A / HEW 7 or 6)

(b)  In relation to Financial Expenditure Delegations and procurement Delegations:

  • the Vice-President, Finance and Resources (Band B), and the Deputy Group CFO (Band C+), may act on behalf of any organisational unit of the University in the absence of the Delegate, having verified due diligence of the procurement process.

(c)   In relation to procurement Delegations:

  • the Group Director, Strategic Procurement may act on behalf of any organisational unit of the University in the absence of the Delegate for an expenditure of less than or equal to $1m (Band C+), following a due diligence process; and
  • Procurement Category Managers may act in the absence of the Delegate for a procurement process specific to their area of responsibility for an expenditure of less than or equal to $250k (Band D+), following a due diligence process.

(d) In relation to information technology Delegations:

  • the Chief Information Officer (CIO) may act on behalf of any organisational unit of the University in the absence of the Delegate for an expenditure of less than or equal to $1m (Band C+), following a due diligence process.

(e) In relation to property and facilities Financial Expenditure Delegations:

  • the Director, Property may act on behalf of any organisational unit of the University in the absence of the Delegate for an expenditure of less than or equal to $1m (Band C+), following a due diligence process.

5.3     Signing of documents

(a) A Delegate may sign any document which is necessary to give effect to their function or authority, including a legally-binding agreement (other than deeds), except where the authority to execute is specifically delegated to others in the Delegations of Authority Register. If a Delegate is a committee or other body and the body has authority to execute a document, the document may be executed by:

(i) the chair or his or her nominee; or

(ii) if there is no chair, a person whom the body resolves may execute the contract on behalf of the body.

(b) Notwithstanding the above, only employees and officers appointed under a formal Power of Attorney may execute deeds.

5.4     Calculating cost of a transaction

In exercising a Delegation with respect to a transaction, the Delegate must estimate the cost of the transaction as a whole, over the term of the transaction. For the purpose of making this calculation, the following principles apply:

(a) a transaction must not be assessed in components or parts, such as instalments, tranches, or the cost of individual items;

(b) the total gross cost of the transaction (excluding GST) must be estimated; and

(c) no reduction may be made in respect of any set-off, trade-in or the like.

5.5     Authorised Agents

Delegates identified in section 2 (Finance and Property) of the Delegations of Authority Register are not permitted to authorise another officer or employee of the University to exercise their function as an Authorised Agent.

For Delegations listed in the remaining sections of the Delegations of Authority Register and where appropriate, the Delegate is permitted to authorise another officer or employee of the University to exercise their function as an Authorised Agent for or on their behalf if it is impracticable for the Delegate to act otherwise than through others, subject to the following:

(a) the authorisation may be general or limited;

(b) the authority must be given in writing signed by the Delegate and may be revoked in whole or in part in writing signed by the Delegate;

(c) the Authorised Agent must exercise the authority in accordance with any requirements stated in the Delegations of Authority Register;

(d) the Authorised Agent may, in exercise of that function, exercise any other administrative function that is preliminary, incidental or ancillary to the authorised function;

(e) the Delegate remains responsible for ensuring that the authority is exercised properly by the Authorised Agent;

(f) a function duly exercised by an Authorised Agent is deemed to have been exercised by the Delegate;

(g) if a particular officer or the holder of a particular office is authorised to perform the function:

(i) the authorisation does not cease to have effect merely because the person who was the particular officer or the holder of a particular office when he or she was authorised to perform the function ceases to be that officer or hold that office; and

(ii) the person for the time being occupying or acting in the office concerned is taken to be the Authorised Agent; and

(h) the Delegate may still perform a function even if they have appointed an Authorised Agent to do so.

Delegates will normally only appoint an Authorised Agent to act on their behalf where permitted, for a single exercise or in the short term. Refer to the Delegations of Authority Procedure for detail.

5.6     Conflict of interest

(a) A Delegation or authority cannot be exercised where the Delegate or Authorised Agent has a conflict of interest. This includes, in particular, where the Delegate or Authorised Agent would obtain a personal benefit of some material kind.

(b) Delegates and Authorised Agents must not approve matters including their own appointment, remuneration, payment or reimbursement, promotion, transfer or secondment, travel, absence or termination.

(c) Delegates and Authorised Agents must not approve matters relating to family members and/or others with whom they have a close personal relationship.

(d) In the circumstances outlined in 5.6 (a) – (c) the conflicted Delegate or Authorised Agent must refer the decision to their supervisor and must not exercise the Delegation or authority without the approval of their supervisor.

6     REVIEW OF THE DELEGATIONS OF AUTHORITY FRAMEWORK

Council will direct a detailed review of the Delegations of Authority Framework every three years or more frequently if required. The detailed review will be undertaken by the Audit and Risk Committee, with a final report and updated Delegations of Authority Framework being submitted to Council for approval.

7     AMENDMENTS TO THE DELEGATIONS OF AUTHORITY POLICY AND REGISTER

Amendments to the Delegations of Authority Policy and/or Register that are required within the three-year review period and which change the scope, intent or application of delegated functions will be referred to the Audit and Risk Committee or the Finance and Facilities Committee for approval and will be submitted to Council for noting. Examples of such amendments include:

(a) new delegated functions;

(b) changes to delegated functions; or

(c) changes to Financial Expenditure Delegation limits.

The Vice-Chancellor is authorised to approve minor amendments to the Delegations of Authority Policy and/or Delegations of Authority Register arising from an approved management action, provided that these do not represent a substantive change to a Delegation. Examples of such amendments include:

(a) insertion of details of Authorised Agents in the relevant column in the Delegations of Authority Register and changes to those details;

(b) changes to the name of an office, faculty or unit; or

(c) minor typographic corrections.

Any such amendments will be reported to the Audit and Risk Committee.

8     THE DELEGATIONS OF AUTHORITY PROCEDURE

The Delegations of Authority Procedure will outline the process for submitting proposals for amendments.

The Vice-Chancellor is authorised to approve the Delegations of Authority Procedure.

9     REPORTING THE EXERCISE OF DELEGATIONS

Committees of Council and Academic Senate will report the exercise of delegated authorities to the next following Council meeting.

The Vice-Chancellor will periodically report to Council the exercise of at least the following Delegations:

(a) approval of University policies;

(b) use of the seal (by entry in the Seal Register);

(c) use of Power of Attorney (may be limited to certain Delegations);

(d) participation by the University as a shareholder or member in an incorporated entity;

(e) acquisition and disposal of University real property;

(f) significant actions taken under any other Delegations; and

(g) the exercise of any authorities specified by Council.

10     MAINTENANCE AND VERSION CONTROL

Governance Services will:

(a) maintain the Delegations of Authority Framework in an open access environment;

(b) ensure the Delegations of Authority Framework is updated and contains appropriate version identification; and

(c) maintain an amendment history of the Delegations of Authority Framework.

11     RELEVANT LEGISLATION

Macquarie University Act 1989 (NSW)

Macquarie University By-law 2005 (NSW)

HigherEducation Standards Framework (Threshold Standards) 2015 (Cwlth)

12     KEY RELATED DOCUMENTS

Delegations of Authority Procedure: Requesting and Documenting Amendments to the Delegations of Authority Policy or Register
Delegations of Authority Appendix 1 Reserved Powers of Council and Council Committees / Appendix 2: Delegations of Authority Register

13     NOTES

13.1

Contact Officer

Director, Governance Services

13.2

Implementation Officer

Director, Governance Services

13.3

Approval Authority / Authorities

Council Resolution (CNL 20/34)

13.4

Date Approved

19 October 2020

13.5

Date of Commencement

1 January 2021

13.6

Date for Review

January 2023

13.7

Documents Superseded by this Policy

Delegations of Authority Policy approved 8 December 2016

13.8

Amendment History

Nil

PROCEDURE

Requesting and Documenting Amendments to the Delegations of Authority Policy or Register

1     PURPOSE

To provide instructions on how to request an amendment, deletion or addition to the Delegations of Authority Register in accordance with the Delegations of Authority Policy.  This includes documenting the appointment of an Agent.

2     SCOPE

This procedure applies to all University bodies, committees, officers and employees. It documents the actions required by:

  • Delegates listed within the Delegation of Authority Register
  • Governance Services
  • Audit and Risk Committee
  • Finance and Facilities Committee
  • Vice-Chancellor

3     DEFINITIONS

Commonly defined terms are located in the University Glossary.  Definitions specific to this Procedure are contained in the accompanying Policy.

4     RESPONSIBILITIES AND REQUIRED ACTIONS

4.1 Requesting amendments to the Delegations of Authority Policy or Register

Requests for an amendment, deletion or addition must be submitted in writing to the Policy Contact Officer and must include the following information:

  • Proposer's Name and Position
  • Amendment requested including (reference to) any relevant existing delegations
  • Justification
  • Proposed date of effect of amendment
  • Evidence of Endorsement by existing Delegate (if relevant)

Governance Services will determine whether the amendment is minor or otherwise.  Following the outcome of a request, the Head of Governance Services will provide information on that outcome to the relevant Proposer.

4.1.1 Minor amendments

Minor amendments are those arising from an approved management action, provided that these do not represent a substantive change to a delegation.

Governance Services will:

a) publish an annual schedule of amendments to the Delegations of Authority Policy and/or Register
b) submit all minor amendment requests on a quarterly basis for the Vice-Chancellor’s approval
c) advise the Proposer and the Delegate (if relevant) of the outcome
d) update the Delegations of Authority Policy and/or Register on Policy Central and;
e) will advise the University community of the update.

The Vice-Chancellor will report all minor amendments to the Delegations of Authority Policy and/or Register to the Audit and Risk Committee on a quarterly basis.

4.1.2 Other amendments

Amendments that will change the scope, intent or application of delegated functions (for example the deletion or addition of a delegation or changes to a delegated function) will be submitted to the Audit and Risk Committee or, in the case of amendments to financial delegations, to the Finance and Facilities Committee for consideration.

Any request for an amendment to financial delegations must be supported by a business case sponsored by the relevant member of the Executive and developed in consultation with and with the endorsement of the Director – Financial Control and Treasury.  The Director – Financial Control and Treasury will present proposed changes to Finance and Facilities Committee for approval.

If approved, the amendments will subsequently be submitted to Council for noting on a quarterly basis.

Approved amendments will be documented through the upload of an updated version of the Delegations of Authority Register on Policy Central by Governance Services.

4.2 Appointing an Agent

Subject to the provisions of section 5.4 of the Delegations of Authority Policy, Delegates may authorise another officer or employee of the University to exercise their functions as an Agent. An authorisation ordinarily relates to the appointed agent’s office, or position, not to the individual in that position.

To be recorded on the Delegations of Authority Register, the appointment of an Agent must exceed a 12 week period and:

a) be documented in writing and submitted to the Policy Contact Officer
b) specify the function(s) which the Agent will be exercising for and on behalf of the Delegate (this may be a general or limited authority)
c) specify the period for which the Agent may act; and
d) be endorsed by the Delegate.

The insertion of details of authorised agents in the Delegations of Authority Register and changes to those details are considered minor amendments and will be dealt with in accordance with 4.1.1 above.

Note: section 5.1(b) of the Delegations of Authority Policy states that where a person is duly appointed as a temporary or acting occupant of an office, that person has the authority delegated to the position in which he or she is acting, unless otherwise specified in the Delegations of Authority Register. Accordingly, in such circumstances there is no need to write to the Policy Contact Officer to appoint an agent.

5     RELEVANT LEGISLATION

Macquarie University Act 1989 (NSW)

Macquarie University By-law 2005 (NSW)

Higher Education Standards Framework (Threshold Standards) 2015 (Cwlth)

6     KEY RELATED DOCUMENTS

Delegations of Authority Policy / Appendix 1: Reserved Powers of Council and Council Committees / Appendix 2: Delegations of Authority Register

7     NOTES

7.1

Contact Officer

Director, Governance Services

7.2

Implementation Officer

Director, Governance Services

7.3

Approval Authority / Authorities

Vice-Chancellor

7.4

Date Approved

7 April 2017

7.5

Date of Commencement

7 April 2017

7.6

Date for Review

April 2020

7.7

Documents Superseded by this Procedure

None

7.8

Amendment History

11 September 2020 – Contact Officer and Implementation Officer updated from ‘Senior Corporate Secretary’ to ‘Director, Governance Services’.
5 June 2020 - Upload of amended Appendix 2 Delegations of Authority Register (Version 2.11 – 28 May 2020).
16 April 2020 - Upload of amended Appendix 2 Delegations of Authority Register (Version 2.10 - 18 March 2020).
13 March 2020 – Update of Contact Officer and Implementation Officer to Senior Corporate Secretary.
9 March 2020 - Upload of amended Appendix 2 Delegations of Authority Register (Version 2.9 - 6 March 2020).
23 October 2019 - Upload of amended Appendix 2 Delegations of Authority Register (Version 2.8 - 10 September 2019).
18 September 2019 - Contact Officer / Implementation Officer updated from ‘Head of Governance Services' to ‘Director Governance Services and Deputy Registrar’
31 July 2019 - Upload of amended Appendix 2 Delegations of Authority Register (Version 2.7 - 31 July 2019).
30 May 2019 – Upload of “Delegations of Authority Register_v2.6_8May2019”
29 March 2019 - removed reference to prescribed form
19 March 2019 - Upload of "Delegations of Authority Register_v2.5_11Dec2018"
9 Aug 2018 - Upload of "Delegations of Authority Register_v2.4 _9March2018"
5 Jan 2018 - Upload of "Delegations of Authority Register_v2.3_16Dec2017"
15 November 2017 - Upload of "Delegations of Authority Register_v2.2_20Sept2017"
1 June 2017 - Upload of "Delegations of Authority Register_v2.1_29 April 2017" approved by Vice-Chancellor 30 May 2017.
11 September 2020 – Contact Officer and Implementation Officer updated from ‘Senior Corporate Secretary’ to ‘Director, Governance Services’.11 September 2020 – Contact Officer and Implementation Officer updated from ‘Senior Corporate Secretary’ to ‘Director, Governance Services’.

Reserved Powers

Appendix 1: Reserved Powers of the Council and  Council Committees

The University Council  may make delegations in  relation to any of its functions. The Council has reserved certain powers that only the Council or its Committees may exercise. These are shown in the Delegations of Authority Policy Appendix 1 Reserved Powers of the Council and  Council Committees.

Register

Appendix 2: Delegations of Authority Register

The University Council  may make delegations in relation to any of its functions.  The Council has delegated the functions prescribed in the Delegations of Authority Policy Appendix 2 Delegations of  Authority Register,  to the bodies, committees, officers and employees stipulated.

Controlled Entity Delegations

Delegations of Authority for Controlled Entities

The following documents pertain to the University's Controlled Entities:

Access Macquarie Limited
Macquarie University Hong Kong Foundation Limited
MGSM Limited
MQ Health Pty Limited

Note - the MQ Health Delegations of Authority Register Version 1.0 commenced on 10 September 2019 and wholly replaced the previous delegations’ registers in place for Macquarie University Hospital and Macquarie University Clinical Associates and the interim Delegations of Authority put in place by the Managing Director MQ Health (by authority from the Board) from 1 January to 10 September 2019.

U@MQ Ltd
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