Policy 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 Sub-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 staff of James Cook University while acting in their official capacity and in accordance with delegations associated with the Financial Management policy domain, as established in the Council approved Policy and Delegations Responsibilities Map.

Definitions

Except where defined below, the definitions used in this Procedure are found in the Financial Management Practice Manual (FMPM) 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, 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.

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

JCU – James Cook University

Major Amendments - 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 Disestablishment of a delegation is considered a major amendment. Major amendments must be approved by the Vice Chancellor.

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 positions, 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 Sponsor / Sponsor – means the position nominated as the Policy Sponsor in the Council approved Policy and Delegations Responsibilities Map

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.

Sub-delegation – in this Procedure, has the same meaning as ‘Delegation’ above

Introduction

Functions recorded in the JCU Financial Sub-Delegations Register are delegations of authority conferred by the Vice Chancellor and this Procedure provides direction on exercising and the operational management of those 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.

Procedure

1. Exercising Delegations

1.1 Delegates must ensure they hold the relevant delegation, as recorded in the Financial Sub-delegations Register, before using their authority to approve expenditure or finalise a process.

1.2 Delegates must exercise their authority having regard to the JCU Delegations Policy and the Conflict of Interest Policy.

2. Governance of Delegations

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

2.2 The Vice Chancellor is responsible for approving:

  • new delegations
  • disestablishment of delegations
  • major amendments to delegations

2.3 The Sponsor of the Financial Management Policy Domain is responsible for managing and overseeing the development and review of policies, procedures and delegations within the Financial Management Policy Domain.

2.4 The Sponsor of the Financial Management Policy Domain must arrange for delegations contained, or implied, in policies and procedures to be included in the Financial Sub-delegations Register.

3. Roles and Responsibilities

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 Sponsor in the review and implementation of the Financial Sub-Delegations Register and this Procedure.
  • In conjunction with Financial and Business Services, provide training to relevant staff to support the competent exercise of delegations.
  • In conjunction with the Requestor, through the Policy Sponsor, assist with drafting a plan to communicate changes to delegations.

Financial and Business Services (FaBS)

  • Maintenance of delegations within individual policies and procedures.
  • Maintenance of delegations within the Financial Sub-Delegations Register.
  • In conjunction with the Policy Officer, provide training to relevant staff to support the competent exercise of delegations.

Deputy Vice Chancellor (DVC), Services and Resources

  • The DVC Services and Resources, as Policy Sponsor, is 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. DVC Services and Resources 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 of the Financial Sub-Delegations Register and this Procedure;
  • Endorsing the establishment of new delegations relevant to the Financial Management policy domain;
  • Endorsing major amendments to delegations relevant to the Financial Management policy domain;
  • Approving minor amendments to delegations relevant to the Financial Management policy domain;
  • Endorsing the disestablishment of delegations relevant to the Financial Management policy domain

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 delegations appearing in the Financial Sub-Delegations Register.

All Staff

4. Establish a new Delegation

Plan

4.1 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 Delegations Policy.

4.2 New delegations must be endorsed by the Policy Sponsor.

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

4.4 A delegate cannot sub-delegate their delegation to anyone else.  Only the Vice Chancellor can sub-delegate a delegation.

Create a new delegation

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

4.6 Liaise with Financial and Business Services (FaBS) to discuss the proposed new delegation. FaBS will advise their requirements.

4.7 FaBS will develop a proposal for the new delegation, having already assessed that the proposal is consistent with the JCU Delegations Policy and Conflict of Interest Policy, and send all documents to the Policy Officer for review. The proposal will clearly describe the need for the delegation, the business requirements and any relevant changes to policies or procedures. The following documents must be included with the proposal:

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

4.8 The Policy Officer will undertake a quality review of the submitted documents and forward to the Policy Sponsor for endorsement.

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

a) If the Policy Sponsor endorses the new delegation, the Policy Officer will submit the proposal to the Vice Chancellor for approval.

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

4.10 If the Vice Chancellor approves the new delegation:

  • The Policy Officer will update and publish the Financial Sub-Delegations Register and advise FaBS when this is done
  • FaBS will inform the relevant stakeholders, including the Requestor.

5. Amend or Disestablish an existing Delegation

5.1 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.

5.2 In consultation with the Policy Officer, determine whether the required amendment to the existing delegation is a major amendment or a minor amendment.

5.3 Minor Amendment:

  • Consult with key stakeholders and FaBS
  • FaBS will develop a proposal for a minor amendment and submit all documents, including a marked-up draft of the Financial Sub-Delegations Register, to the Policy Officer for review;
  • The Policy Officer will review the documents and forward to the Policy Sponsor for approval:
  • If approved, the Policy Officer will update and publish the Financial Sub-Delegations Register and advise FaBS when this is done;
  • FaBS will inform the relevant stakeholders, including the Requestor.

5.4 Major Amendment/Disestablishment

  • Consult with key stakeholders and FaBS;
  • FaBS will develop a proposal for the major amendment/disestablishment and submit all documents to the Policy Officer for review. The proposal will clearly describe the need for the amendment/disestablishment, the business requirements and any relevant changes to policies or procedures.  The following documents must be included with the proposal:
    • a marked-up draft of the Financial Sub-Delegations Register which clearly shows the amendments/disestablishment;
    • a summary of the rationale and/or business need for the amendment/disestablishment;
    • a summary of consultation undertaken;
    • any other relevant documents (minutes of Committee meetings, amended policies or procedures etc.)
  • The Policy Officer will undertake a quality review of the submitted documents and forward to the Policy Sponsor for endorsement.
  • The Policy 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 Policy Sponsor endorses the amendment/disestablishment, the Policy Officer will submit the proposal to the Vice Chancellor for approval;

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

5.5 If the Vice Chancellor approves the amendment/disestablishment:

  • The Policy Officer will update and publish the Financial Sub-Delegations Register and advise FaBS when this is done
  • FaBS will inform the relevant stakeholders, including the Requestor.

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 to be communicated, and the audience, 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 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

6.4 The communication plan will be drafted by FaBS, through the Policy Sponsor 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

Financial Sub-Delegations Register

JCU Delegations Policy

JCU Delegations Schedule

JCU Policy and Delegations Responsibilities Map

Conflict of Interest Policy

Administration

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

Approval Details

Policy Domain

Financial Management

Policy Sponsor

Deputy Vice Chancellor, Services and Resources

Approval Authority

Deputy Vice Chancellor, Services and Resources

Date for next Major Review

19/01/2027

Revision History

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

Version

Approval date

Implementation date

Details

Author

22-2NA - Administrative amendment only21/11/2022Administrative amendments consequential to PSC restructure - Planning, Performance and Analytics disestablished.Policy Officer

22-1

19/01/2022

21/01/2022

Major review and amendments arising from Council (3/20) approved amendments to policy and delegations framework and to establish updated approval processes.

Policy Officer

18-2

09/03/2018

30/04/2018

Changes made to reflect headline restructure 30/04/2018

Quality, Standards and Policy

18-1

07/02/2018

07/02/2018

Procedure established

Quality, Standards and Policy Office

Keywords

Financial delegation management

Contact person

Policy Officer