Academic and Student 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 Academic and Student Delegations of authority contained in the James Cook University Academic and Student Delegation Register. This Procedure sets out the process that must be followed to:

• Establish a new Delegation
• Amend an existing Delegation
• Disestablish an existing Delegation
• Communicate changes to Delegations

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 following policy domains, as outlined in the JCU Policy and Delegations Responsibilities Map:

• Learning and Teaching
• Student Services
• Research Management
• Research Education

Definitions

Delegation - is an authority granted by the Vice Chancellor to an appropriately qualified member of staff to perform a specific function or functions on behalf of the University.

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

In this Procedure the terms ‘delegation’ (as defined above) and’ sub-delegation’ have the same meaning. .

Delegate – a member of staff who holds a Delegation conferred by the Vice Chancellor. .

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

• for a new or amended sub-delegation, on the date the new or amended sub-delegation is published in the Academic and Student Delegations Register in the Policy Library; and
• for the disestablishment of a sub-delegation on the date  the sub-delegation is removed from the Academic and Student Delegations Register in the Policy Library.

Major Amendments: a change to a sub-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. Major Amendments must be approved by the Vice Chancellor.

Minor Amendment - a change to a sub-delegation that does not impact the intent or limit of the sub-delegation or the position carrying the sub-delegation. It may include editorial or administrative changes or renaming of positions that do not result in a material change to a position’s sub-delegation.

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.

Sponsor – means:

(a) the Deputy Vice Chancellor Research and Innovation; or

(b) the Deputy Vice Chancellor Students.

Introduction

Functions recorded in the JCU Academic and Student Delegations Register are sub-delegations of authority conferred by the Vice Chancellor and this Procedure provides guidance on the operational management of those sub-delegations.  It is accepted that under the JCU Act, Council delegates power and the Vice Chancellor sub-delegates power conferred to the position by Council.  To improve readability, this Procedure uses the terms ‘delegate’ interchangeably with ‘sub-delegate’ and ‘delegation’ interchangeably with ‘sub-delegation’.

Delegation Management Procedure

1. Governance of Delegations

Policy Sponsors are responsible for  the development, review and disestablishment of policies and procedures  within their respective domains.  Policy Sponsors are also responsible for the management of Delegations within their respective policy domains. The Delegations contained in the Academic and Student Delegations Register are the definitive source of operational Delegations for academic and student matters. The Vice Chancellor is responsible for approving the creation, amendment or disestablishment of delegations appearing in the Academic and Student Sub-delegations Register.

Policies and procedures may contain, or imply, Delegations. The Policy Sponsors must arrange approval of these Delegations and inclusion of the Delegations in the Academic and Student Delegations Register.

2. Roles and Responsibilities

Planning, Performance and Analytics (PPA)

• Management, maintenance and custodianship of the Policy and Delegation Framework, the JCU Delegations Schedule, the Delegations Registers, this Procedure and supporting resources.
• Support and advice to the Policy and Delegation Sponsors in the review and implementation of the Academic and Student Delegation Register and this Procedure.
• In conjunction with Business Units within the Learning and Teaching, Student Services, Research Management and Research Education Policy Domains, provide training to relevant staff to support the competent exercise of delegations.
• In conjunction with the Requestor, through the relevant Sponsor, draft a communication plan and ensure that it is lodged with Planning, Performance and Analytics prior to the Implementation Date for any approved new, amended or disestablished delegation.
• Receive and archive evidence that communication plans have been activated.

Business Units within the Learning and Teaching, Student Services, Research Management and Research Education Policy Domains

• Maintenance of delegations within individual policies and procedures.
• In conjunction with Planning, Performance and Analytics, provide training to relevant staff to support the  competent exercise of delegations.

Deputy Vice Chancellor Research & Innovation, and Deputy Vice Chancellor Students

The Deputy Vice Chancellor Research & Innovation and Deputy Vice Chancellor Students, are joint Policy Sponsors of the Academic and Student Delegation Register (see JCU Policy and Delegations Responsibilities Map).  Both positions are equally responsible for ensuring that any changes to delegations (whether new, amended or disestablished) are developed and implemented consistently with the JCU Delegations Policy and represent workable solutions. The Policy Sponsors must also ensure that 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.

Deputy Vice Chancellor Research & Innovation

• Co-sponsorship of the Academic and Student Delegation Management Procedure and Register.
• Endorse the establishment of new delegations relevant to the Policy Domains of Research Management and Research Education;
• Endorse Major Amendments to delegations relevant to the Policy Domains of Research Management and Research Education;
• Approve Minor Amendments to delegations relevant to the Policy Domains of Research Management and Research Education; and
• Endorse the disestablishment of delegations relevant to the Policy Domains of Research Management and Research Education.
• Consult with the relevant stakeholders regarding any changes to delegations relevant to the Policy Domains of Research Management and Research Education.

Deputy Vice Chancellor Students

• Co-sponsorship of the Academic and Student Delegation Management Procedure and Register.
• Endorse the establishment of new delegations relevant to the Policy Domains of Student Services and of Learning and Teaching;
• Endorse Major Amendments to delegations relevant to the Policy Domains of Student Services and of Learning and Teaching; and
• Approve Minor Amendments to delegations relevant to the Policy Domains of Student Services and of Learning and Teaching; and
• Endorse the disestablishment of delegations relevant to the Policy Domains of Student Services and of Learning and Teaching.
• Consult with the relevant stakeholders regarding any changes to delegations relevant to the Policy Domains of Student Services and of Learning and Teaching.

Chair Academic Board

• Oversight of the Academic and Student Delegations Register, including initiating development of delegation, providing leadership to, and/or managing delegation review and amendment projects; and
• Responsible for the Charter of Responsibilities for Academic Quality and Governance,  and its annual review.

Vice Chancellor

• Empowered under the James Cook University Act 1997 to subdelegate 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 delegations appearing in  the Academic and Student Delegations Register.

All Staff

• Exercise delegations according to the Academic and Student Delegation Register.

3. Establish a new Delegation

Plan

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

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

3.2  New delegations must be endorsed by the relevant Sponsor.

3.3  Delegations cannot be created using the term ‘or nominee’ in a Policy, Procedure or Delegations Register.  A delegate cannot sub-delegate their delegation to anyone else.  Only the Vice Chancellor can sub-delegate a delegation.

Create a new delegation

3.4  Consult with key stakeholders and the relevant (or both) Director(s) of Academic Quality and Strategy to determine the function, identify the appropriate delegate and any required process or system changes required to implement the delegation.

3.5  Liaise with Planning, Performance and Analytics to discuss proposed new delegation and request the current version of the Academic and Student Delegations Register to ensure that amendments are made to the correct document.

3.6  Present a proposal for the new delegation to the relevant Sponsor, clearly describing the need for the delegation, the business requirements and any relevant changes to policies or procedures.

3.7  Sponsor considers the proposal and either endorses the new delegation or recommends a different course of action to fulfil the business need.

a)  If the Sponsor endorses the new delegation, the Requestor will submit to Planning, Performance and Analytics:

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

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

3.8  Planning, Performance and Analytics will undertake a quality review of the submitted documents and forward to the Vice Chancellor for approval.

3.9  If the Vice Chancellor approves the new delegation:

• Planning, Performance and Analytics will update and publish the Academic and Student Delegations Register and advise the Requestor when this is done;
• The Requestor will inform the relevant stakeholders.

4.  Amend an existing delegation

4.1  Establish the requirement to amend an existing delegation.  To ensure the proposed amended 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 Planning, Performance and Analytics, determine whether the required amendment to the existing delegation is a Major Amendment or a Minor Amendment.

4.3  Request the current version of the Academic and Student Delegations Register from Planning, Performance and Analytics to ensure that amendments are made to the correct document.

4.4  Minor Amendment:

• Consult with key stakeholders, Planning, Performance and Analytics and Directors of Academic Quality and Strategy (as required) .
• Present a proposal for a minor amendment to the relevant Sponsor for consideration. The proposal must outline the rationale and/or business need for the amendment, summarise the consultations undertaken and include the draft Academic and Student Delegations Register with the amendments clearly marked up.
• Sponsor either approves the minor amendment or recommends a different course of action to fulfil the business need.
• If approved, the Requestor will submit a clearly marked up draft of the Academic and Student Delegations Register to Planning, Performance and Analytics along with confirmation of the Sponsor’s approval.
• Planning, Performance and Analytics will update and publish the Academic and Student Delegation Register and advise the Requestor when this is done.

4.5  Major Amendment /Disestablishment:

• Consult with key stakeholders, Planning, Performance and Analytics and Directors of Academic Quality and Strategy (as required) to develop a proposal to amend or disestablish an existing delegation.
• Present the proposal for the amendment/disestablishment to the relevant Sponsor for consideration, clearly describing the need for the amendment / disestablishment, the impact of the amendment/disestablishment and the business requirements.
• Ensure that any policies or procedures related to the delegation amendment/disestablishment are also amended and presented with the proposal.
• The relevant Sponsor considers the proposal and either endorses the  amendment/disestablishment or recommends a different course of action to fulfil the business need.

a)  If the Sponsor endorses the amendment/disestablishment, the Requestor will submit to Planning, Performance and Analytics:

• a marked up draft of the Academic and Student Delegations Register which clearly shows the amendments/disestablished delegation;
• a summary of the rationale and/or business need for the amendment/disestablishment ;
• a summary of consultations undertaken;
• copies of any policies or procedures amended alongside the change to the delegations
• any other relevant documents; and
• confirmation of the Sponsor’s endorsement.

b)  If the Sponsor does not endorse the amendment/disestablishment of the delegation, no further action is required under this Procedure.

• Planning, Performance and Analytics will undertake a quality review of the submitted documents and forward to the Vice Chancellor for approval.
• If the Vice Chancellor approves the major amendment / disestablishment, Planning, Performance and Analytics will update and publish the Academic and Student Delegation Register and advise the Requestor when this is done.

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

5.  Communication and implementing changes

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

5.2  Communication plans are required when:-

• A new delegation has been developed and approved
• Amendments to a delegation have been approved
• Disestablishment of a 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 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 Sponsor, and must be activated at an appropriate time after Planning, Performance and Analytics advises the amendments to the Delegation Register have been published.

Related policy instruments

Academic and Student Delegations Register

JCU Delegations Policy

JCU Delegations Schedule

JCU Policy and Delegations Responsibilities Map

Administration

Approval Details

Revision History