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Schedule G1 — Delegations Principles

These Delegations Principles should be read in conjunction with the Strategic Delegations (Schedule G2) and Delegations Schedule, which together form the ‘Delegations’.

In exercising any delegated function, a delegate must observe the following principles.

1. Delegated functions may only be exercised if provided for by the Delegations or a specific resolution from Council.

2. These delegations are to be exercised subject to and in accordance with any relevant legislation, including, but not limited to, the UTS Act and UTS By-law, as well as the UTS Rules, UTS enterprise agreements, UTS policies, codes of conduct, guidelines, procedures and management designations, authorisations and instructions.

3. In the event of any inconsistency between the contents of the Delegations, and the contents of any policy or procedural documents, the contents of the Delegations shall prevail.

4. In exercising any delegation, the delegate must comply with relevant laws and the University’s governance instruments, and have regard to general principles of procedural fairness.

5. A delegation is limited to the business and affairs of the relevant business area unless otherwise specified in the terms of the delegation.

6. Any exercise of delegation is to be within approved budgets, aligned with business plans and staff profiles, and within requirements of any enterprise agreements (unless otherwise noted).

7. In exercising a delegated function, a delegate may seek appropriate advice in order to be properly informed. However, the delegated function must be exercised by the delegate without any undue influence by any other person or body.

8. A delegate has the authority to make decisions in either the positive or negative. That is, for all decisions taken, the delegate may either determine to take a particular action (including to rescind, disestablish and terminate) or to take no action.

9. To ensure administrative efficiency of UTS operations:

(a) a delegate under Delegation 1.2 may authorise an employee under that delegate’s supervision to expend funds for and on behalf of, and in the name of, that delegate, which do not exceed thresholds of $50,000, $20,000, $10,000 and $5000 (these are identified as bands 5 to 8 respectively). Any authorisation may only be granted and exercised in accordance with guidelines issued from time to time by the Chief Financial Officer, who must also maintain a register of authorisations. The principles relevant to the exercise of Council delegations apply equally to holders of authorisations to expend funds.

(b) where provision is made within section 2 of the Delegations Schedule, a delegate may authorise an employee under that delegate’s supervision to perform functions for and on behalf of, and in the name of, that delegate, provided that the authorisation is approved by the Provost (for academic staff) and the Deputy Vice-Chancellor (Corporate Services) (for professional staff). Any authorisation may only be granted and exercised in accordance with guidelines issued from time to time by the Director, Human Resources, who must also maintain a register of authorisations. The principles relevant to the exercise of Council delegations apply equally to holders of human resources authorisations.

10. A delegation relates to the delegate’s position, not the individual occupying the position. A delegation extends to any person officially acting in that position on a temporary basis, unless otherwise specified in the appointment to act.

11. Delegations have been created with the University’s organisation structure in mind. Delegations are therefore also held by a delegate’s supervisor. If a delegate is unable to carry out the duties associated with his or her delegation for any reason, including a potential or actual conflict of interest or a temporary incapacity or absence, the delegation may be exercised by the delegate’s supervisor. Delegations 1.10 to 1.13 operate in exception to this principle.

12. Where a power or authority is delegated to exercise functions, then that power or authority extends to the execution of documents (eg contracts, agreements) necessary to give effect to that function (in accordance with the relevant UTS Rules, policies and procedures relating to the execution of documents) unless a specific delegation states otherwise.

13. Delegation limits apply to transactions, and a transaction may not be separated into parts, nor may the total cost of a transaction be set off by deductions or trade-ins in order to meet a limit on a delegate’s authority. Generally, taxes and duties are to be included in the total cost of the transaction except, where claimable [1], the goods and services tax (GST), which is not to be included. A delegation is required both to enter into the transaction and to authorise the payments under the transaction. Except in the case of capital works (see Delegation 1.3), a variation in the cost of a transaction must be approved by the delegate who approved the original transaction if the total amount is within their delegation. Should the sum of the variation and the original cost exceed the delegate’s authority, the variation must be submitted for approval to another delegate who has the necessary level of authority.

14. (a) Delegated functions may not be exercised by a person who is not a UTS employee unless the instrument of delegation or specific Council resolution expressly states that such delegation may be exercised.

(b) In exercising any delegation the delegate must act in the interests of the University for the purpose delegated and not for any improper purpose.

15. (a) A delegate may not exercise a delegation that would provide them with any direct or indirect benefit (section 4.4.2, Code of Conduct). Therefore, delegates may not approve matters including their own appointment, remuneration, payment or reimbursement, promotion, transfer or secondment, travel, absence or termination.

(b) Where members of the UTS Council or a Council committee are involved in any way other than in their role as a Council or Council committee member, and the delegate (or nominee) is aware of that involvement, the delegate (or nominee) must disclose that involvement to the University Secretary. The University Secretary must notify the Chancellor. In such cases, no delegation may be exercised until the University Secretary has confirmed in writing the approval of the use of the delegated authority.

16. It is a requirement that records be kept of all decisions taken under the Delegations.

17. Members of the UTS Senior Executive may act on urgent matters in the absence of other members, in accordance with section 2.2, Schedule G2. Council has determined that, in the deemed absence of both the Chancellor and the Deputy Chancellor, the Chancellor’s authority with respect to affixing the seal, taking executive action or approving any matter which Council has delegated to the Chancellor shall be exercised by a member of the Council, not being a member of UTS staff, in a specified order subject to their availability: section 2.3, Schedule G2.

1. For all taxable supplies except the following: entertainment (unless subject to Fringe Benefits Tax (FBT)); relatives; travel (unless subject to FBT); club and leisure facilities or boats (unless subject to FBT); residential rent (unless the charity exemption applies); non-compulsory uniforms; penalties; and certain non-cash business benefits used for private purposes.