(1) This Policy is effective from 28 August 2023. (2) This Policy sets out how delegations are made and managed by the University. (3) This Policy applies across the University. (4) Authority to make and implement decisions is distributed across the University in accordance with the University’s legal and organisational structure and to enable staff to carry out their responsibilities in support of the University’s objectives. (5) The University Council may delegate powers in accordance with section 18 of the Deakin University Act 2009 (Vic). Delegations made by Council are recorded in the Register of Council Delegations. Each year Council will review: (6) Matters over which Council has specifically retained decision-making authority are listed in ‘Matters Reserved for or Requiring Council Decision’ in the Council Charter. (7) The Vice-Chancellor and the Academic Board may delegate powers in accordance with the Vice-Chancellor Regulations and Academic Board Regulations respectively. (8) In accordance with this Policy and to facilitate the effective operation of the University: (9) Staff members have authority to act in accordance with: (10) An officer or body of the University who has made a delegation does not abdicate responsibility for the matter. Such delegation does not limit that officer's or body's responsibility for the area or function from which the delegation was made. (11) A delegate may appoint a person or group, such as a committee, to advise about the exercise of a delegation but the delegate remains responsible for making the decision. (12) Any authority granted or delegated to an officer, committee or body of the University by a University policy may not be further delegated to any other person committee or body unless such further delegation is expressly authorised by that policy. (13) Powers conferred upon an officer of the University via University legislation are not considered delegations and may therefore be granted to another person, committee or body of the University, unless otherwise stated in that legislation. (14) Delegations are made to positions and include acting or temporary occupants of that position. (15) If a position is abolished or changed, the delegation is inherited by the principal successor to the functions of that position. (16) Financial delegations to undertake expenditure are assigned to positions in bands as set out in the financial delegations table at clause 18 below. (17) For the purposes of clarity the limits in the financial delegations table at clause 18 do not apply to: (18) Financial delegations table (19) Staff members whose positions are listed in the financial delegation table hold the relevant financial delegation by virtue of their position and do not have to be appointed as a financial delegate by a separate instrument. (20) The Vice-Chancellor upon the recommendation of the Chief Financial Officer may: (21) Examples of delegations which the Vice-Chancellor may confer under clause 20 are: (22) The Chief Financial Officer or the Vice-Chancellor can revoke a financial delegation assigned to a position at any time. (23) Staff members holding a financial delegation in accordance with clause 18 are able to approve expenditure on the University’s financial system, DeakinUniFi, up to their delegated amount. (24) The Director, University Financials or nominee may authorise financial delegates who have been conferred by the Vice-Chancellor in accordance with clause 20 to approve expenditure on DeakinUniFi up to their delegated amount. (25) Before approving expenditure a financial delegate must ensure that the expenditure: (26) Approvals in DeakinUniFi must be completed within a reasonable timeframe. (27) A financial delegate must not approve expenditure even though it is within their financial delegation if another University policy requires approval by a different officer. (28) A financial delegate must not approve any expenditure where they are the recipient or beneficiary of a transaction. These must be escalated for approval by the manager of the delegate. (29) The exercise of a financial delegation must relate to the costs of the transaction as a whole, including all taxes and duties. The splitting of transactions to circumvent delegation limits is a breach of this Policy and may lead to disciplinary action. (30) Delegates can approve an increase to the cost of a transaction only if: (31) Increases of 10% or more and any further subsequent increases of any value must be escalated to the next level delegate for approval notwithstanding that they may be within the initial delegate’s level of financial delegation. (32) By authorising expenditure, the financial delegate takes responsibility for the transaction. Non-compliance with this Policy may lead to disciplinary action. (33) The Director, University Financials is responsible for providing training to staff who have a financial delegation, to ensure approvals are defensible and robust. (34) Staff who hold a financial delegation must complete this training once every two (2) years, or more frequently as directed by the Director, University Financials. (35) The University has established a Portfolio Board for the University-wide management of projects, which has Terms of Reference approved by the Vice-Chancellor and which reports on projects to the Finance and Business Affairs Committee and Council. (36) Subject to clause 37 all University projects must be referred to Portfolio Board and approval or endorsement received in accordance with the Portfolio Board’s Terms of Reference prior to committing to any project expenditure even if it is within a person’s delegated financial authority. (37) Clause 36 does not apply to: (38) Projects involving expenditure of $10 million or more as designated by the Portfolio Board as major projects must be approved by Council on the recommendation of the Finance and Business Affairs Committee and endorsement of the Portfolio Board. (39) Where a project originally budgeted under $10 million is subject to a change request taking the budget above $10 million it becomes a major project and approval for the revised budget must be obtained from the Finance and Business Affairs Committee and Council, on the endorsement of Portfolio Board. (40) Projects involving expenditure of less than $10 million may be declared a major project, for example due to having a heightened risk profile, and must be approved by Council on the recommendation of the Finance and Business Affairs Committee and the endorsement of Portfolio Board. (41) The Finance and Business Affairs Committee has authority to approve and report to Council on change requests to major projects budgets of up to 10 percent of the previously approved budget provided that the variation: (42) Council may require any major project to be submitted for renewed consideration of approval at any time. (43) Commercial activities covered by the Commercial Activities and Entities policy must be approved in accordance with that policy and within the following limits: (44) Delegations of authority to officers authorised to sign contracts on behalf of the University are set out in the Contracts policy and procedure. (45) Delegates are accountable for reporting on their exercise of delegated authority in accordance with the conditions attached to the delegation of University policy under which they are exercising authority. (46) An officer or body who has made a delegation or series of delegations is responsible for considering reports on the exercise of those delegations and for regularly reviewing the appropriateness of those delegations. (47) The Director, University Financials will monitor compliance with this Policy and will maintain systems for detecting non-compliance, including auditing transactions. (48) Breaches of this Policy will be reported in accordance with the Compliance Management policy and may lead to disciplinary action in accordance with the Deakin University Enterprise Agreement 2023. (49) The University has no tolerance for fraud or corruption. The Integrity policy and Fraud and Corruption Prevention and Control procedure set out the University’s approach to preventing and dealing with fraud and corruption. (50) There is no attendant procedure. (51) There are no definitions arising under this Policy.Delegations policy
Section 1 - Preamble
Section 2 - Purpose
Section 3 - Scope
Section 4 - Policy
Delegation of authority
Persons or body delegation authority retains responsibility
Delegations to positions
Financial delegations
Band
Delegate category
Limit
1
Vice-Chancellor
$20,000,000
2
Deputy Vice-Chancellor, University Services
$10,000,000
3
Senior Deputy Vice-Chancellor and Deputy Vice-Chancellors
Chief Financial Officer
Chief Digital Officer$2,000,000
4
Other Members of the Senior Executive Team
$500,000
5
Members of the Senior Leadership Team
$300,000
6
Directors reporting directly to a Band 2-5 position
$100,000
7
Associate Deans not included at Band 5
Directors of Strategic Research Centres
Professional staff at HEW 9 and above$30,000
8
Budget Centre Managers at HEW 8 and above
$15,000
9
Administration or Finance Officers at HEW 5 and above
$2,000
10
Credit card holders not included in any of the bands above
Credit card transaction limit
Category
Policy requirements
Business expenses reimbursement
Business Expenses policy
Commercial activities
Acquisition of sharesClause 43 of this Policy and the Commercial Activities and Entities policy and procedure
Payment under a contract
Contracts policy
Credit card transaction
Credit Card policy
Procurement of goods and services
Procurement policy and procedure
Travel expenditure
Travel policy
Project expenditure
clauses 35-42 of this Policy
Training
Project expenditure and commercialisation activities
Major Projects
Commercial activities
Delegations of authority to enter contracts
Reporting and review
Breaches
Section 5 - Procedure
Section 6 - Definitions
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provided that any such delegation:
i. sets out the limit of the delegation and conditions under which it may be exercised; and
ii. is recorded by the Director, University Financials.