Policy Procedures University Delegations Financial Delegations Management Procedure

Financial Delegations Management Procedure


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Intent

The purpose of this Procedure is to provide effective governance and clear accountability for the management of James Cook University Financial Delegations of authority contained in the James Cook University Financial Delegation Register,  including how to:

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

Scope

This Procedure applies to all members of University Council and all staff of James Cook University while acting in their official capacity and in accordance with Delegations associated with the policy domain of Financial Management.

Definitions

Co-sponsor – means the:

(a) Provost; or

(b) Deputy Vice Chancellor (Students).

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.

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

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 Financial Delegations Register in the Policy Library; and
  • for the disestablishment of a Delegation is the date that the Delegation is removed from the Financial Delegations Register in the Policy Library.

Major Amendment - a change to a Delegation that impacts the intent and/or limits of the Delegation. Major amendments may include changing the limits of the delegated authority, changing the position/s to which the Delegation is made or the addition, consolidation, or removal of a Delegation from a register (refer to the approval process outlined in Section 4.4 of this Procedure). Major Amendments must be approved by Council.

Minor Amendment - a change to a Delegation that does not impact the intent or limit of the Delegation or the position carrying the Delegation. It may include editorial or administrative changes or renaming of positions that does not result in a material change to a position’s Delegations (refer to the approval process outlined in Section 4.3 of this Procedure).

Requestor - a University staff member who proposes the:

(a) establishment of a new Delegation;

(b) amendment of a Delegation; or

(c) disestablishment of an existing Delegation.

Introduction

The management of James Cook University Financial Delegations will be made in accordance with the following instruments:

  • James Cook University Act 1997 and relevant legislation
  • Financial Delegations Policy and this procedure
  • JCU Financial Delegations Register

Delegation Management Procedure

1. Governance of Delegations

1.1  University Council has approved the governance arrangements for Delegations with the extension of the JCU Policy Framework to become the JCU Policy and Delegation Framework.

1.2  The University council is the governing body for the management of Delegations at James Cook University and the approval of the University Council is required for:

  • all new Delegations
  • the disestablishment of a Delegation: and
  • the making of a Major Amendment to a Delegation.

1.3  Policy and Delegations Sponsors maintain oversight of the development and review of policies and Delegations within their respective domains.

2. Governance of Delegations

Quality, Planning and Analytics (QPA)

  • Management, maintenance and custodianship of the Policy and Delegation Framework, the Register, this procedure and supporting resources.
  • Support and advice to Policy and Delegation Sponsors in the review and implementation of the Financial Delegations Policy, Register and this Procedure.
  • In conjunction with the Financial Management Policy Domain,provide training to relevant staff to allow competent exercise of Delegations.
  • In conjunction with the FaBSR, through the Sponsor, draft a communication plan and ensure that it is lodged with Quality, Planning 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.

Financial and Business Services Representative (FaBSR)

  • Maintenance of Delegations within individual policies and procedures.
  • Maintenance of Delegations within the Financial Delegations Register.
  • In conjunction with Quality, Planning and Analytics, provide training to relevant staff to allow competent exercise of Delegations.

Deputy Vice Chancellor, Services and Resources

  • Sponsorship of the Financial Delegations Policy, Procedure and Register.
  • Endorse the establishment of new Delegations relevant to the Financial Management Policy Domain;
  • Endorse Major Amendments to Delegations relevant to the Financial Management Policy Domain;
  • Approve Minor Amendments to Delegations relevant to the Financial Management Policy Domain; and
  • Endorse the disestablishment of Delegations relevant to the Financial Management Policy Domain.

Policy Sponsors and Sponsor of the Financial Delegations Register

  • Responsible for ensuring processes and systems are implemented that support and enable Delegates to exercise their Delegations and to ensure all audit and compliance requirements are met.

Council

  • The University Council is the governing body for the approval of Delegations at James Cook University.

All Staff

  • Exercise Delegations held within authorised limits

3. Establish a new Delegation

3.1  Determine whether there is the requirement to establish a new Delegation having regard to:

  • whether or not the required Delegation can be reasonably enacted by existing Delegations; and
  • the term ‘nominee’ is not recognised by the University as a legitimate Delegate and as such cannot be used to allocate a Delegation; and
  • the requirement that the need to introduce a new Delegation must be supported by the Deputy Vice Chancellor, Services and Resources; and
  • the proposed Delegation being held at the most appropriate position in accordance with the principles outlined in the Financial Delegations Policy.

3.2  Engage in consultation with key stakeholders and Quality, Planning and Analytics prior to submission for approval.

3.3  Present a proposal for the new Delegation using the Delegation Request Form and submit it to the Deputy Vice Chancellor, Services and Resources clearly describing the need for the Delegation and the business requirements.

3.4  Deputy Vice Chancellor, Services and Resources to return the completed Delegation Request Form to the FaBSR indicating whether or not they endorse the new Delegation.

(a)        If the new Delegation is endorsed, FaBSR to submit endorsed Delegation Request Form to Quality, Planning and Analytics who will forward the proposal to establish a new Delegation to Council for consideration, in accordance with the Policy and Delegations Framework procedures.

(b)        If endorsement of the new Delegation is not obtained, communication must be provided by the FaBSR to the requestor indicating that the delegation has not been endorsed.

3.5  If Council approves the new Delegation:

  • Quality, Planning and Analytics will update and publish the Financial Delegations Register; and
  • a communication plan must be activated by FaBSR, through the Deputy Vice Chancellor, Services and Resources and in conjunction with Quality, Planning and Analytics, to inform stakeholders of the new Delegation (refer to Section 6 - Communication and Implementation of Delegation Changes).

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 Financial Delegations Policy.

4.2  Decide whether the required amendment to the existing Delegation is a Major Amendment or a Minor Amendment.

4.3  Minor Amendment:

  • Engage in consultation with key stakeholders and Quality Planning and Analytics prior to submission for approval.
  • Present a proposal for a Minor Amendment by completing a Delegation Request Form and submitting it to the Deputy Vice Chancellor, Services and Resources for consideration.
  • Deputy Vice Chancellor, Services and Resources to return Delegation Request Form to FaBSR indicating whether or not they approve the Minor Amendment.
    • (a) If the Minor Amendment is approved, FaBSR to submit approved Delegation Request Form to Quality, Planning and Analytics who will update and publish the Financial Delegation Register.
    • (b) If   endorsement of the new Delegation is not obtained, communication must be provided by the FaBSR to the requestor indicating that the delegation has not been endorsed.

4.4  Major Amendment:

  • Engage in consultation with key stakeholders and Quality Planning and Analytics prior to submission for approval.
  • Present a proposal for the Major Amendment using the Delegation Request Form and submit it to the Deputy Vice Chancellor, Services and Resources for consideration, clearly describing the need for the amendment and the business requirements.
  • Deputy Vice Chancellor, Services and Resources to return Delegation Request Form to FaBSR indicating whether or not they endorse the Major Amendment.
  • If the Major Amendment is endorsed, FaBSR to submit endorsed Delegation Request Form to Quality Planning and Analytics who will forward the proposed Major Amendment to Council for consideration in accordance with the Policy and Delegations Framework procedures.
    • (a) If Council approves the Major Amendment, Quality, Planning and Analytics will update and publish the Financial Delegations Register.
    • (b)  If endorsement of the Major Amendment is not obtained, communication must be provided by the FaBSR to the requestor indicating that the delegation has not been endorsed.

4.5  In the case of both Minor Amendments and Major Amendments, activation of a communication plan by the FaBSR, through the Deputy Vice Chancellor, Services and Resources and in conjunction with Quality, Planning and Analytics, is required to inform stakeholders of the amended Delegation (refer to Section 6 - Communication and Implementation of Delegation Changes).

5. Disestablish an existing Delegation

5.1  To be undertaken when an existing Delegation is no longer required.

5.2  Due consideration must be given to the impact of disestablishing the Delegation.

5.3  Engage in consultation with key stakeholders and Quality, Planning and Analytics prior to submission for approval to disestablish.

5.4  Present a proposal for the disestablishment of the Delegation using the Delegation Request Form and submit it to the Deputy Vice Chancellor, Services and Resources for consideration, clearly describing the need for the Delegation to be disestablished.

5.5  Deputy Vice Chancellor, Services and Resources to return completed Delegation Request Form to FaBSR indicating whether or not they endorse the disestablishment of the Delegation.

  • (a) If the disestablishment of the Delegation in endorsed, FaBSR to submit endorsed Delegation Request Form to Quality, Planning and Analytics who will submit the proposed disestablishment of the Delegation to Council for consideration in accordance with the Policy and Delegations Framework procedures.
  • (b) If the disestablishment of the Delegation is not endorsed, communication must be provided by the FaBSR to the requestor indicating that the delegation has not been endorsed.

5.6  If Council approves the disestablishment of the Delegation:

  • Quality, Planning and Analytics will update and publish the Financial Delegations Register; and
  • activation of a communication plan by the FaBSR, through the Deputy Vice Chancellor, Services and Resources and in conjunction with Quality, Planning and Analytics, is required to inform stakeholders of the disestablished Delegation (refer to Section 6 - Communication and Implementation of Delegation Changes).

6. Communication and Implementation of Delegation Changes

6.1  Communicating changes to Delegations is necessary to keep staff informed of Delegations which affect them.  The information provided will vary depending on the type of Delegation and the change to be made.

6.2  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

6.3  The communication plan must provide information which identifies:

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

6.4  A communication plan will be drafted by the FaBSR, through the Deputy Vice Chancellor, Services and Resources and in conjunction with Quality, Planning and Analytics, and must be:

  • lodged with Quality, Planning and Analytics prior to the Implementation Date for the approved new, amended or disestablished Delegation; and
  • activated immediately after a new or amended Delegation has been approved, or the disestablishment of a Delegation has been approved, in order to inform stakeholders of all approved Delegations changes.

6.5  When communication plans are activated, evidence of activation must be forwarded to the Quality, Standards and Policy Officer for archiving.

Related policy instruments

Financial Delegations Policy

Policy and Delegation Framework (as approved by Council July 2015)

Delegation Request Form

Financial Delegations Register

Administration

NOTE: Printed copies of this policy are uncontrolled, and currency can only be assured at the time of printing.

Approval Details

Policy Sponsor

Deputy Vice Chancellor, Services and Resources

Version

18-1

Date for next Major Review (in accordance with the Policy Handbook)

07/02/2021

Revision History

NOTE: A minor amendment will not result in a change of the next major review date.

[Approval date - the date the Policy Sponsor approved the establishment, minor or major amendment or disestablishment]

[Implementation Date - the date the procedure was published in the Policy Library and is the date the procedure takes effect]

Version

Approval date

Implementation date

Details

Author

18-2 30/04/2018Changes made to reflect headline restructure 30/04/2018Quality, Standards and Policy

18-1

07/02/2018

07/02/2018

Procedure established

Quality, Standards and Policy Office

Keywords

Financial delegation management