Sub-delegation Management Procedure

Intent

The purpose of this Procedure is to provide effective governance and clear accountability for the management of James Cook University (JCU; the University) delegations of authority contained in the University’s Sub-Delegation Registers, including how to:

• Establish a new sub-delegation
• Amend an existing sub-delegation
• Disestablish an existing sub-delegation
• Communicate changes to sub-delegation

This Procedure addresses HESF Standard 6: Governance and Accountability.

Scope

This Procedure applies to all staff of James Cook University while acting in their official capacity and in accordance with Delegations associated with the University’s Policy Domains, as established in the Council-approved Policy and Delegations Responsibilities Map.

Definitions

Except where defined as below, the definitions used in this Procedure are found in the Human Resources Policy Glossary.

Delegation - is the authority granted to a Delegate by a person or body in whom a power is vested by legislation or otherwise, to independently exercise that power.

Under section 11(3) of the James Cook University Act 1997 (the JCU Act), a delegation of power to the Vice Chancellor may permit the sub-delegation of the power to an appropriately qualified member of the University’s staff.

Delegate – an appropriately qualified officer or group of persons empowered to act through a Delegation.

In this procedure, a delegate has been empowered to act through a sub-delegation conferred by the Vice Chancellor.

Disestablish / Disestablishment – a type of Major Amendment which removes a sub-delegation function from a register, ceasing the authority conferred to a position/s through the removed function.

Implementation Date - the date from which a new or amended delegation, or the disestablishment of a delegation, takes effect:

• for a new or amended delegation, it is the date the new or amended delegation is published in the relevant Sub-Delegation Register in the Policy Library; and
• for the disestablishment of a delegation is the date that the delegation is removed from the relevant Sub-delegation Register in the Policy Library.

Major Amendments: a change to a delegation that impacts the intent and/or limits of the sub-delegation. Major amendments may include changing the limits of the sub-delegated authority, changing the position/s to which the sub-delegation is made or the addition, consolidation, or removal of a sub-delegation from a register. Disestablishment of a delegation is considered a major amendment. Major amendments must be approved by the Vice Chancellor in accordance with this procedure.

Minor Amendment - a change to a delegation that does not change the intent or limit of the delegation or the position carrying the delegation. It may include editorial or administrative changes, or renaming of position, or amendments that further clarify or explain the already expressed intention or limits of the delegation provided the amendment does not result in a material change to a position’s delegation.

Policy Custodian - means the position nominated as the Policy Custodian in the Council-approved Policy and Delegations Responsibilities Map.

Policy Domain – means the established framework of categories to which policies are assigned, as defined in the Council-approved Policy and Delegations Responsibilities Map.

Requestor - a University staff member who proposes:

(a) the establishment of a new Delegation;

(b) the amendment of a Delegation; or

(c) the disestablishment of an existing Delegation.

Sub-delegation - in this Procedure, has the same meaning as the term “Delegation” above.

Introduction

Functions recorded in the University’s Sub-Delegations Registers are delegations of authority conferred by the Vice Chancellor, and this Procedure provides direction on the operational management of those delegations. It is accepted that under the JCU Act 1997, Council delegates power and the Vice Chancellor sub-delegates power conferred to the position by Council.

The University has established four Sub-delegation Registers:

• Academic and Student Sub-delegation Register;
• Human Resources Sub-delegation Register;
• Financial Sub-delegation Register; and
• Corporate and Administration Sub-delegation Register.

Procedure

1. Governance of Delegations

1.1 The Committees and positions responsible for approving policies, procedures and delegations are contained in the University Council approved JCU Policy and Delegations Responsibilities Map.

1.2 The Vice Chancellor is responsible for approving:

• new sub-delegations;
• disestablishment of sub-delegations; and
• major amendments to sub-delegations.

1.3 The Policy Custodian is responsible for managing and overseeing the development and review of policies, procedures and sub-delegations within their assigned Policy Domain/s.

1.4 The Policy Custodian must arrange for sub-delegations contained, or implied, in policies, procedures and the JCU Enterprise Agreement (where applicable) to be included in the relevant Sub-delegation Register.

2. Roles and Responsibilities

2.1 Policy Officer:

• Management, maintenance and custodianship of the Policy and Delegation Framework, the JCU Delegations Schedule, the Sub-Delegations Registers, this Procedure and supporting resources.
• Support and advice to the Policy and Delegation Custodian in the review and implementation of their relevant Sub-Delegations Register and this Procedure.
• In conjunction with Human Resources, provide training to relevant staff to support the competent exercise of delegations.
• In conjunction with the Requestor, through the Policy Custodian, assist with drafting a plan to communicate changes to delegations.

2.2 Work Units/Directorates:

• Maintenance of sub-delegations within individual policies and procedures applicable to their Directorate.
• In conjunction with the Policy Officer, provide training to relevant staff to support the competent exercise of delegations and sub-delegations.

2.3 Policy Custodians:

Policy Custodians are responsible for ensuring that any changes to delegations and sub-delegations (whether new, amended or disestablished) are developed and implemented consistently with the JCU Delegations Policy and represent workable solutions which do not create unnecessary bottlenecks to processes. Policy Custodians must also ensure related processes and systems are implemented to support and enable delegates to exercise their delegations and to ensure all audit and compliance requirements are met.

Specifically, this includes:

• Sponsorship (or Co-Sponsorship) of relevant Sub-Delegations Register/s and this Procedure;
• Endorsement of the establishment of new delegations and sub-delegations relevant to their Policy Domain/s;
• Endorsing Major Amendments to delegations and sub-delegations relevant to their Policy Domain/s;
• Approving Minor Amendments to delegations and sub-delegations relevant to their Policy Domain/s;
• Endorsing the disestablishment of delegations and sub-delegations relevant to their Policy Domain/s.

2.4 Vice Chancellor

• Empowered under the James Cook University Act 1997 to permit a sub-delegation of a power to an appropriately qualified member of staff.  In the context of this Procedure, the Vice Chancellor is responsible for approving the creation, amendment or disestablishment of sub-delegations appearing in the University’s Sub-Delegations Registers.

2.5 All Staff

• Exercise sub-delegations according to the University’s Sub-Delegations Registers.

3. Establish a new Sub-Delegation

Plan

3.1 Determine whether a new sub-delegation is required, having regard to:

• whether or not the subject matter of the desired sub-delegation is covered in an existing sub-delegation; and
• whether there is a business need for the sub-delegation; and
• whether the decision incurs a commitment, liability or risk on behalf of the University, if not, then it is not a sub-delegation; and
• whether the decision is regular and repeatable.  It is not necessary to include every decision as a sub-delegation, as some decisions are granted or implied by the nature of a position; and
• whether the decision is the final decision at the end of a process (a sub-delegation), or is a decision made within a process (not a sub-delegation); and
• whether the proposed sub-delegation is being held at the most appropriate position under the principles outlined in the JCU Delegations Policy.

3.2 New sub-delegations must be endorsed by the Policy Custodian.

3.3 Sub-delegations cannot be created using the term ‘or nominee’ in a Policy, Procedure or Sub-Delegations Register.

3.4 A delegate cannot further delegate their sub-delegation to anyone else. Only the Vice Chancellor may sub-delegate a delegation.

Create a new sub-delegation

3.5 Consult with key stakeholders to determine the function, identify the appropriate sub-delegate and any process or system changes required to implement the sub-delegation.

3.6 Liaise with the Policy Officer to discuss the proposed new sub-delegation and request the current version of the relevant Sub-Delegations Register to ensure that amendments are made to the correct document.

3.7 Present a proposal for the new sub-delegation to the Policy Custodian, clearly describing the need for the sub-delegation, the business requirements and any relevant changes to policies or procedures.

3.8 The Policy Custodian considers the proposal and either endorses the sub-delegation or recommends a different course of action to fulfil the business need.

a. If the Policy Custodian endorses the new sub-delegation, the Requestor will submit it to the Policy Officer:

• a marked-up draft of the relevant Sub-Delegations Register which clearly shows the amendments;
• a summary of the rationale and/or business need for the new sub-delegation,
• a summary of consultation undertaken
• confirmation of the Policy Custodian’s endorsement; and
• any other relevant documents (Minutes of Committee meetings, amended policies or procedures etc.)

b. If the Policy Custodian does not endorse the new sub-delegation, no further action is required under this Procedure.

3.9 The Policy Officer will undertake a quality review of the submitted documents and forward to the Vice Chancellor for approval.

3.10 If the Vice Chancellor approves the new sub-delegation:

• The Policy Officer will update and publish the amended Sub-Delegations Register and advise the Requestor when this is completed.
• The Requestor will inform the relevant stakeholders.

4. Amend an existing Sub-Delegation

4.1Establish the requirement to amend an existing sub-delegation.  To ensure the proposed amended sub-delegation is held at the most appropriate position, due consideration must be given to the principles outlined in the JCU Delegations Policy.

4.2 In consultation with the Policy Officer, determine whether the required amendment to the existing sub-delegation is a Major Amendment or a Minor Amendment.

4.3 Request the current version of the relevant Sub-Delegations Register from the Policy Officer to ensure that amendments are made to the correct document.

4.4 Minor Amendment:

• Consult with key stakeholders and the Policy Officer.
• Present a proposal for a minor amendment to the Policy Custodian for consideration. The proposal must outline the rationale and/or the business need for the amendment, summarise the consultations undertaken and include the draft Sub-Delegations Register with the amendments clearly marked up.
• Policy Custodian either approves the minor amendment, recommends a different course of action to fulfil the business need, or provides advice as to why the amendment is not approved and no further action is taken.
• If approved, the Requestor will submit a clearly marked up draft of the relevant Sub-Delegations Register to the Policy Officer along with confirmation of the Policy Custodian’s approval.
• The Policy Officer will update and publish the relevant Sub-Delegations Register and advise the Requestor and Policy Custodian of this outcome within a reasonable time frame.

4.5 Major Amendment or Disestablishment

a. Consult with key stakeholders and the Policy Officer to develop a proposal to make a major amendment to, or to disestablish, an existing sub-delegation.

b. Present the proposal for the amendment/disestablishment to the Policy Custodian for consideration. The proposal must outline the rationale and/or the business need for the major amendment/disestablishment, the impact of the major amendment/disestablishment, summarise the consultations undertaken and include the draft Sub-Delegations Register with the amendments clearly marked up.

c. Ensure that any policies or procedures related to the sub-delegation major amendment/disestablishment are also amended and presented with the proposal.

d. The Policy Custodian considers the proposal and either endorses the major amendment/disestablishment or recommends a different course of action to fulfil the business need.

• Where the Policy Custodian endorses the major amendment/disestablishment, the Requestor will submit to the Policy Officer:
  • a marked-up draft of the relevant Sub-Delegations Register which clearly shows the major amendments/disestablished sub-delegation;
  • a summary of the rationale and/or business need for the major amendment/disestablishment;
  • a summary of consultations undertaken;
  • copies of any policies or procedures amended alongside the change to the sub-delegations
  • any other relevant documents; and
  • confirmation of the Policy Custodian’s endorsement.
• Where the Policy Custodian does not endorse the amendment/disestablishment of the sub-delegation, they will advise the reason/s the amendment/disestablishment is not approved, and no further action is required under this Procedure.

e. The Policy Officer will undertake a quality review of the submitted documents and forward to the Vice Chancellor for approval.

f. The Vice Chancellor considers the proposal and either approves or declines the major amendment/disestablishment.

• If the Vice Chancellor approves the major amendment/disestablishment, the Policy Officer will update and publish the relevant Sub-Delegation Register and advise the Requestor and Policy Custodian when this is complete.
• If the Vice Chancellor declines the major amendment/disestablishment, the Policy Officer will advise the Requestor and Policy Custodian of this outcome within a reasonable time frame.

g. The Requestor will inform stakeholders when the changes to sub-delegations, whether minor, major or disestablished, have been updated and published.  The Policy Custodian is responsible for ensuring that changes to sub-delegations are communicated and implemented effectively.

5. Communication and Implementation of Sub-Delegation Changes

5.1 Communicating changes to sub-delegations is necessary to keep staff informed of sub-delegations which affect them.  The information to be communicated, and the audience, will vary depending on the type of sub-delegation and the change to be made.

5.2 Communication plans are required when:

• A new sub-delegation has been developed and approved
• Amendments to a sub-delegation have been approved
• Disestablishment of a sub-delegation has been approved

5.3 The communication plan must provide information which identifies:

• When the changes take effect (Implementation Date)
• Who is impacted directly or indirectly by the approved new, amended or disestablished sub-delegation
• How the impacts will be addressed and the intended approach to communicate this information

5.4 The communication plan will be drafted by the Requestor, through the relevant Policy Custodian, and must be activated at an appropriate time after the Policy Officer advises the amendments to the Sub-Delegation Register have been published.

Related policy instruments

JCU Delegations Policy

JCU Delegations Schedule

JCU Policy and Delegations Responsibilities Map

Academic and Student Sub-delegation Register

Human Resources Sub-delegation Register

Financial Sub-delegation Register

Corporate and Administration Sub-delegation Register

Schedules/Appendices

Nil

Administration

Approval Details

Revision History