Administration Manual
Frequently Asked Questions
The Policy says that lines of authority are hierarchical. Does that mean a Professor is higher in the line of authority than an Associate Professor who is also a Head of School and can exercise a Head of Schools’ delegations?
No. Delegations are concerned with organisational decision making authority and follow ‘organisational lines of authority’ and not ‘academic levels’. While the exact names of positions vary from area to area, organisational lines of authority would look like:
Under the delegations, I have authority to sign a contract but the amount of money the University must pay exceeds my expenditure delegation. Can I sign the contract?
No. A written contract that involves the payment of money by the University is treated in the same way as any other expenditure of funds. If the amount required to be paid exceeds your expenditure delegation, then you cannot approve or sign the agreement but must refer it to someone in the line of organisational authority with the correct expenditure delegation.
A contract requires progress payments over a 5 year period. Is my expenditure delegation calculated by the amount of each progress payment separately, or all of them together?
There is a rule against artificially splitting of expenditures to bring the amount within an officer’s delegated limit. This is treated very seriously. When deciding whether you have full delegated authority, it is absolutely essential that the total amount of the contract is used as the guide, not part payments.
Can I split up a purchase into a couple of different invoices so that the amounts fall within my expenditure delegation?
No. There is a rule against artificially splitting of expenditures to bring the amount within an officer’s delegated limit. This is treated very seriously. However, some common sense is required. For example, you may purchase catering services from time to time from the same supplier. As long as each purchase is for a different function, each can be invoiced separately. However, if you are purchasing catering services for a single function, then you cannot split the bill into different categories (for example, food, soft-drinks, alcohol, wait staff etc).
Similarly, let’s say you are buying a packaged computer for a research project which requires certain specialist and bundled software, a web camera and wireless accessories to be supplied from a single supplier. First, if the expenditure is for a project you are undertaking, then you cannot approve the expenditure yourself (this would be a conflict of interest). If it is not, then you would treat the total expenditure from that supplier of the whole purchase as the guide for the expenditure delegation. If you are buying the basic hardware, bundles software and accessories from one supplier, and specialist software from another supplier, then you can treat the expenditures as two separate supplies because the supplies are separate (even though they are for the same purpose).
Under the legal and contract delegations there is a general authority to sign agreements within my expenditure delegation. Can I sign an agreement with an overseas institution in relation to course delivery or research?
No. All general delegations are subject to University policy and any specific delegations set out in the Schedules to the Delegations and Authorisations Policy. When deciding if you have the authority to perform a general delegated function, you need to review relevant University policies and the specific University delegations to determine the scope of that general authority. In the case of overseas contracts, for example, clause 3.1 of the Policy for the Establishment of Agreements with Overseas Institutions states that only the Vice-Chancellor can sign an agreement with an overseas institution. Accordingly, the general delegation is subject to the Policy (which constitutes a direction from the Vice-Chancellor about the use of the delegation) and therefore the document must be signed by the Vice-Chancellor.
Do I have to get legal advice to sign a contract?
Yes. Under the Legal Policy and Procedure no officer can sign a contract without reference to a University solicitor. In some cases, the legal office in the Division of Finance may provide a general approval to sign certain template contracts or contracts which contain common clauses (eg. licensing agreements). However, contracts must be reviewed by a solicitor before signing and this MUST be incorporated into the decision making process and timing for completion of negotiations.
If a function or authority is not specifically delegated, but is similar to a delegation that I hold, can I perform that function or authority?
No. Delegations can be general or specific. A general delegation allows you to perform such functions or authorities that a reasonable person would assume were incorporated into that general authority. You will be accountable for justifying the performance of any function or authority, the delegation you relied up and why you believed you had authority to perform that function or authority within the general delegation. A specific delegation is normally directed by a particular function or authority. Included with all delegations is the authority to do things that are ‘necessary’ in order to fully perform that function (for example, all the steps leading up to the performance of the function). It does not allow you to expand the scope of that authority.
Will the way in which I exercise a delegation be reviewed?
Yes. The University Auditor will do spot checks of delegations to see that staff are exercising them properly, are recording the exercise in writing and that they are making proper judgments within University policy and procedure in exercising the delegation. The main aim of auditing is to identify weaknesses in systems and suggest improvements. As long as you have acted reasonably and followed approved University policy, the audit will aim to assist you and your office to make improvements. In cases of corruption, maladministration or other complaint the NSW Auditor General, Independent Commission Against Corruption and NSW Ombudsman may also conduct inquiries into the exercise of delegations.
Which rules, policies and procedures must I follow in exercising delegations?
Official rules, policies and procedures appear in the Administration Manual and the Academic Manual. These documents must be followed. Documents that purport to be University policies or procedures, but which are not contained in the University Manuals, are not official policies. Heads of Budget centres are required to ensure that official policies and procedures are approved through the correct procedures and submitted for publication in the University Manuals.
What if I need help to understand my authority?
You can contact the Manager, Corporate Governance, on 633 84258 or via email: lbreen@csu.edu.au .
Do I have to wait to receive written approval from a delegated officer from the Division of Finance before I can arrange the disposal of an asset?
Under Financial delegation no.FIN8, you must wait for approval from a delegated financial officer for the disposal of an asset which had an acquisition value of greater than $10,000, else assets costing less than $10,000 can be disposed of once approval has been received from your Head of School/Division or Budget Centre Manager.