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Delegations - Contract, Financial, Staffing and Tender

Delegations - Contract, Financial, Staffing and Tender Policy

Purpose
Scope
Staffing Delegations
Financial Delegations
Contracts Delegation
Tender Delegations
Limits of the Delegation
Definitions
Policy Statement
Responsibility
Staffing Delegations (Refer Scope - Staffing Delegations and Delegated Officer Responsibilities)
Financial Delegations (Refer Scope - Financial Delegations, Limits of the Delegation and Delegated Officer Responsibilities)
Contract Delegations (Refer Scope - Contract Delegations and Delegated Officer Responsibilities)
Tenders for the Supply of University Services Delegations (Refer Scope - Tender Delegations and Delegated Officer Responsibilities)
Acting Delegations
Responsibilities of Delegated Officers
Legislative Context
Associated Documents

Purpose

This policy is intended to ensure that staffing appointments are created, authorised and offered within the delegations policy of the University Council, to ensure that University expenditure and maximum levels of that expenditure are authorised only by the officers within levels delegated by the University Council and the Vice-Chancellor and President, and that contracts and tenders are correctly authorised. It is intended that all staffing delegations, expenditure and signing of contracts and tenders are undertaken within the scope of relevant University policies.

Scope

Staffing Delegations

The delegation to create staffing positions, recruit employees and make offers of employment on behalf of the Council is subject to:

  1. The cost of the employment being within approved budgets.
  2. Compliance with other relevant University staffing Policies eg Recruitment and Merit Selection Policy and Recruitment Request Form and Approval.
  3. Compliance with University Policy in regard to employment of private contractors.

Financial Delegations

The delegation to make commitments and incur expenditure in compliance with appropriate legislation on behalf of the Council is subject to:

  1. The expenditure being within approved budgets: The delegation is only given for commitments and expenditure to be made against and within approved operating budgets or against budgeted project income. The only exception to this is a delegation available only to the Vice-Chancellor and President, which permits expenditure of up to $150,000 outside of approved budgets.
  2. Compliance with Purchasing Thresholds Policy, Purchasing Card Policy, Travel Policy, Fixed Assets Policy and Payroll responsibilities.
  3. Compliance with the limit applying to a single transaction. Splitting purchase requisitions or other expenditure transactions with a view to circumventing delegation authorities, is a prohibited practice.
  4. All overseas travel being approved by the relevant Senior Deputy Vice-Chancellor, Deputy Vice-Chancellor or Vice-President.
  5. All delegations being GST exclusive.

Contracts Delegation

The delegation to authorise contracts on behalf of the Council is subject to:

  1. Approval of all contracts by the Legal Office prior to authorisation.
  2. Staffing contracts and purchase orders are covered under Responsibilities - Staffing Delegations and Responsibilities - Financial Delegations.
  3. All original contracts are to be held by the Legal Office.

Tender Delegations

The delegation for the authorisation for the submission of tenders for the supply of University services on behalf of the Council is subject to:

  1. Compliance with TAFE Contracts for Commercial Activity.
  2. Compliance with Higher Education costing pro-formas.
  3. All tenders over $250K per annum to be reviewed by the Vice-Chancellor's Budget Advisory Committee.
  4. All tenders which include the acceptance of terms of a standard contract must be approved by the Legal Office.

Limits of the Delegation

  1. Operating leases except for operating leases relating to salary packaging which will comply with the salary packaging policy, and leases relating to real estate can only be signed by the Vice-Chancellor and President.
  2. Property purchases must be approved by the University Council and comply with the Government of Victoria legislation, policy and instructions for the purchase, compulsory acquisition and sale of land.
  3. Finance leases can only be made with State Government approval.

Definitions

Account Codes / Cost Centres: General ledger codes used to identify accounts.
Approved Operating Budgets: Budget approved by the University Council.
Budgeted Project Income: Income budgeted for specific projects.
Capital: Assets over $5,000 in value.
Commercial Activity: Non-grant activity.
Delegations: Approval to officers to sign for the recruitment of staff, expenditure, contract and tender arrangements as authorised by the University of Ballarat Council.
Leave Replacement Contracts: Short term contracts for the replacement of staff on leave.
Officers: Staff employed by the University.
Sessional Contracts: Contracts generally less than full-time for short periods which incorporate casual loadings.
Short Term Contracts: Contracts for a fixed period of time.
University-wide Accounts: University-wide costs not contained within a specific school or section budget but reporting to various officers for expenditure authorisation.

Policy Statement

This policy defines the delegation authorisations for contract, financial, staffing and tender activities within the University of Ballarat.

Responsibility

Staffing Delegations (Refer Scope - Staffing Delegations and Delegated Officer Responsibilities)

Delegations for Continuing and Contract Appointments - For Appointments of More Than One Year
Delegations for Short Term Appointments of One Year or Less
Delegations for Sessional Contracts and Casual Payroll Forms
Titles
Re-employment of Former Full-time Staff

Delegations for Continuing and Contract Appointments - For Appointments of More Than One Year

Table 1: Delegations for Recruitment - Continuing and Contract Positions

Position Body/Officer with authority to create a position Body/Officer with authority to recruit and offer a position
“Delegated Officer”
Vice-Chancellor
Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor
Vice-President
Dean of School / Director, CLIPP		 Council Council
Associate Professor - Level D
Professor - Level E		 Vice-Chancellor and President Vice-Chancellor and President
Director of Section inc IRRR&I, CLIPP, Western Campuses Vice-Chancellor and President Vice-Chancellor and President
Deputy Dean of School
Head of Department		 Vice-Chancellor and President Senior Deputy Vice-Chancellor
Program Co-ordinator (TAFE) Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor		 Senior Deputy Vice-Chancellor
SEI, SE2 and SE3 Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor
Vice President		 Senior Deputy Vice-Chancellor, Vice-President
Academic Staff Levels B and C Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor		 DVC, Vice-President
Academic Staff Level A Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor		 Dean of School, Director of Section
TAFE Teacher Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor		 Dean of School
HEW Levels 7 - 10 and above Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor
Vice-President		 Senior Deputy Vice-Chancellor, Vice-President
HEW Levels 1 - 6 Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor
Vice-President		 Appropriate Dean of School
Appropriate Director of Section
Conversion of a general position to an academic or teaching position Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor		 Senior Deputy Vice-Chancellor

Delegations for Short Term Appointments of One Year or Less

All delegations applying to “Continuing and Contract Appointments - For Appointments of More Than One Year” will also apply here, but the following additional delegations apply for short-term appointments - for contracts of less than one years’ duration, sessional contracts and leave replacement contracts within the budgetary level approved by the Vice-Chancellor and President or appropriate Senior Deputy Vice-Chancellor, Deputy Vice-Chancellor or Vice-President.

Table 2: Delegations for Recruitment - Short-term Appointments of One Year or Less

Position Officer with authority to create, recruit and offer a position “Delegated Officer”
Academic Staff Levels A - C Dean of School
SE1, SE2, SE3 Dean of School
TAFE Teacher Dean of School
General Staff Levels 1 - 9 Dean of School, Director of Section

Delegations for Sessional Contracts and Casual Payroll Forms

All delegations applying to “Short Term Appointments of One Year or Less” will also apply here, but the following additional delegations apply for sessional contracts and casual payroll payments of up to sixteen weeks within the budget level approved by the appropriate Senior Deputy Vice-Chancellor / Deputy Vice-Chancellor / Vice-President / Dean of School / Director of Section, or within the specific accounts as nominated and within the financial delegation approved under “Restricted to Specific Cost Centre or Accounts”.

Table 3: Delegations for Recruitment - Sessional Contracts and Casual Payroll Forms of Up to Sixteen Weeks Duration

Delegated Officer Type of payment
Program Co-ordinator Sessional & casual payments
School Administrative Officer Sessional & casual payments
Manager, Aboriginal Education Centre Sessional & casual payments
Head, Building Services Sessional & casual payments
Head, Mechanical Services Sessional & casual payments
Associate Director, Financial Accounting & Systems Sessional & casual payments
Director, Institute for Regional & Rural Research and Innovation Sessional & casual payments
Administrative Officer, Postgraduate Studies HDR Examination payments
Director, Campus Life SMB Childcare payments

Titles

Naming of individual positions and of organisational units/groupings within the University must be approved by the Vice-Chancellor and President.

Re-employment of Former Full-time Staff

Requests for re-employment of former full-time staff should be forwarded to the Director, Human Resources who will arrange appropriate approvals if applicable.

Financial Delegations (Refer Scope - Financial Delegations, Limits of the Delegation and Delegated Officer Responsibilities)

University Bank Accounts, Borrowing and Asset Revaluations.
Council Delegations to the Vice-Chancellor and President and Director & Chief Finance Officer
Approval for Urgent Purchases
Restricted to Specific Cost Centre or Accounts
The Vice-Chancellor and President's Delegations

University Bank Accounts, Borrowing and Asset Revaluations.

Table 4

Authority to open, close and alter a bank account in the University’s name
Authority to nominate, add, alter and delete signatories, to a bank accounts in the University’s name		 Vice-Chancellor and President and Director of Finance /Chief Financial Officer jointly

These actions must be reported to the next meeting of the Finance Committee.

Table 5

Authority to borrow in the name of the University Up to $500,000
Over $500,000		 Finance Committee
University Council

Table 6

Asset Revaluation Director of Finance/Chief Financial Officer

 

Council Delegations to the Vice-Chancellor and President and Director & Chief Finance Officer

Council Delegations to the Vice-Chancellor and President and the Director & Chief Finance Officer apply to all classes of expenditure across all cost centres subject to the limits - Refer to Limits of the Delegation.

Table 7: Unrestricted Delegations

Delegated Officer Value Limit Class of Expenditure Within Budget Unless Specified
Vice-Chancellor and President and Acting Vice-Chancellor $750,000
$150,000
Unlimited		 All classes.
All classes outside of approved budgets.
Authorisation to make payments for invoices where Finance Committee or Council has previously approved expenditure under its own powers, eg. building contracts.
Director of Finance/Chief Financial Officer Unlimited Authorisation to make payments for invoices where Finance Committee or Council has previously approved expenditure under its own powers, eg. building contracts.
Payments due to International Private Providers under their contracts where the funds have already been received.

Any expenditure over $750,000 must be referred to the Director of Finance/Chief Financial Officer who will seek approval from the Finance Committee of Council with the exception of statutory payments for Superannuation, Workcover, Payroll Tax and Taxation payments to relevant authorities and payments to International Private Providers. If proposed expenditure exceeds $2 million Finance Committee is required to refer the matter to The Council for approval.

Approval for Urgent Purchases

Where urgent purchase approvals or contract extensions exceeding the Vice-Chancellor and President's delegation of $750,000 are required outside normal meeting dates, the following will apply:

Purchases under $2 million or extensions to existing contracts:

Approval by the Vice-Chancellor and President and at least two members of the Finance Committee including the Chair (if available)

Purchases over $2 million:

Approval by the Council Executive.

Restricted to Specific Cost Centre or Accounts

Council Delegations to other Officers are restricted to a specific cost centre(s) and/or specific accounts subject to the limits - Refer toLimits of the Delegation. Limits shown are the maximum limits delegated.

Table 8: Account or Cost Centre Restrictions - Senior Deputy Vice-Chancellor, Deputy Vice-Chancellor and Vice-President

Delegated Officer Value Limit Class of Expenditure within budget
Senior Deputy Vice-Chancellor,
Deputy Vice-Chancellor,
Vice-President		 $250,000 All accounts within the relevant Portfolio, including University-wide accounts and capital expenditure and payment of any approved contracts such as utilities accounts
Director of Finance/Chief Financial Officer $1,500,000 All superannuation, work-cover, payroll tax and taxation payments to relevant authorities and capital accounts

Table 9: Account or Cost Centre Restrictions - Dean of School / Director of Section / Other

Delegated Officer Value Limit Class of Expenditure within budget
Deans of Schools ,
Directors of Sections		 $100,000 Own specific School/Section accounts, including University-wide accounts but excluding capital accounts
Director of Finance & Chief Financial Officer
Associate Director - Financial Planning & Budget and
Associate Director - Financial Accounting & Systems		 $750,000 All superannuation, work-cover, payroll tax, superannuation, payroll related payments and taxation payments to relevant authorities.
$5,000 The writing-off of bad debts.
$500,000 Payments to International Private Providers under their contracts where the funds have already been received.
Director, Facilities Services $125,000 Service accounts, such as electricity, fuel, oil, gas and water and all approved Capital Works and maintenance expenditure
Manager, Projects $50,000 All approved Capital Works and maintenance expenditure

 

 

The Vice-Chancellor and President's Delegations

In addition to the above delegations from Council under The University of Ballarat Act 1993 Section 23 (4) the Council has delegated to the Vice-Chancellor and President the power to give financial delegations to any person or body of persons. Under this policy, a delegation of $10,000 can be made. The Senior Deputy Vice-Chancellors, Deputy Vice-Chancellors and the Vice-President will recommend to the Vice-Chancellor and President those officers within their areas who shall receive these delegations. Applications for approval of delegations should be directed through the Director of Finance/Chief Financial Officer to on-forward to the Vice-Chancellor and President for approval and for record keeping purposes. All delegations are to be only within the Delegated Officer’s own cost centre.

Delegated Purchasing Officers at HEW levels 2 - 4 may require a purchasing card for use within their relevant cost centre. A delegation can be requested by a Dean/Director for these staff and approved by the Director & Chief Finance officer.

Table 10: The Vice-Chancellor and President’s Delegations

Delegated Officer Value Limit
All categories at HEW 5 and above other than the Vice-Chancellor’s Senior Team, Deans of Schools and Directors of Sections. $10,000
Designated Purchasing Officers at HEW levels 2 - 4 at the instigation of the Dean/Director and subject to the approval of the Director of Finance/Chief Financial Officer. Designated Purchasing Officers delegations are only for purchases at the specific request of their supervisors. Up to $10,000 as approved by the Director of Finance & Chief Financial Officer

Contract Delegations (Refer Scope - Contract Delegations and Delegated Officer Responsibilities)

This delegation applies to all contracts other than those relating to purchase orders and staffing contracts which are covered under “Staffing Delegations” and “Financial Delegations”. All contracts authorised under “Financial Delegations” and “Contract Delegations” are to be approved by the Legal Office prior to signing. All original contracts are to be held by the Legal Office. This delegation will apply to contracts for both the receipt and delivery of goods and services. All contracts for supply of University services should include consideration of Competition Code Compliance Manual.

Table 11: Contracts Delegations

Officer / Body Authority to Sign a Contract
The Council Contracts that fall outside of the Vice-Chancellor and President’s financial delegation (Refer to "Council Delegations" are to be signed under seal and authorised by The Council
Buildings & Infrastructure Committee Contracts for Building Works
Vice-Chancellor and President,
Senior Deputy Vice-Chancellor
Deputy Vice-Chancellor, and
Vice-President		 All contracts within the level of the financial delegation (Refer to "Restricted to Specific Cost Centre or Accounts" including contracts for supply
Senior Deputy Vice-Chancellor,
Deputy Vice-Chancellor,
Vice-President		 Research, Commercial and Academic Consultancy contracts up to $100,000
TAFE Performance Agreement
Director, Campus Life Accommodation Services Licence Agreements
Head, Western Campuses
Director of Department		 Practical Placement

Urgent approvals to be approved under the process outlined in "Council Delegations to Vice-Chancellor and President and Director of Finance/Chief Financial Officer.

Contracts for Capital Works can be let in accordance with the Terms of Reference of the Buildings & Infrastructure Committee.

Tenders for the Supply of University Services Delegations (Refer Scope - Tender Delegations and Delegated Officer Responsibilities)

This delegation applies to the authority to sign for the submission of tenders for the supply of University services. All tenders for supply of University services should include consideration of Competition Code Compliance Manual. All tenders over the value of $250K must be reviewed by the Vice-Chancellor's Budget Advisory Committee. All International Programs must be reviewed by the International & Partners Committee and the Vice-Chancellor's Budget Advisory Committee. All tenders which include the acceptance of terms of a standard contract must be approved by the Legal Office.

Table 12: Tenders for the Supply of University Services Delegations

Delegated Officer Authority to Sign a Tender
Vice-Chancellor and President. All tenders.
Senior Deputy Vice-Chancellor,
Deputy Vice-Chancellor,
Vice-President.		 All tenders up to $500,000 in own Division/Portfolio.
Deans of Schools,
Directors of Sections,
 All tenders up to $100,000 within own School/Section/area of responsibility.

Acting Delegations

  1. Any person acting in a position for more than three months other than an official secondment will require the specific permission of the Vice-Chancellor and President. All acting appointments must be made in accordance with relevant University staffing policies. An Acting capacity is not valid unless authorised as follows:
    1. Acting Vice-Chancellor and President is authorised by The Council.
    2. Acting Senior Deputy Vice-Chancellor authorised by the Vice-Chancellor and President.
    3. Acting Deputy Vice-Chancellor authorised by the Vice-Chancellor and President.
    4. Acting Vice-President authorised by the Vice-Chancellor and President.
    5. Acting Dean of School authorised by the Vice-Chancellor and President.
    6. Acting Director of Section authorised by the Vice-Chancellor and President.
    7. Acting Head of Department authorised by the Vice-Chancellor and President.
    8. Acting for any other position to be authorised by a Deputy-Vice-Chancellor or Vice-President.
  2. The following exclusions apply to all acting delegations. The limit indicated is the maximum permitted level and this maximum level will be confirmed by the Vice-Chancellor and President at the time of the appointment.
    1. No acting delegation under "Continuing and Contract Appointments" to create a position.
    2. No acting delegation under "Council Delegations to Vice-Chancellor and President and Director of Finance/Chief Financial Officer".
    3. In circumstances where the Vice-Chancellor and President and the Director of Finance/Chief Financial Officer are both absent, the Acting Vice-Chancellor will have the delegation for superannuation, Workcover, payroll tax and taxation payments to relevant authorities up to $1,500,000.
    4. Under "Contract Delegations" - up to $750,000 for an Acting Vice-Chancellor.
    5. Under "Tender Delegations" - up to $750,000 for an Acting Vice-Chancellor. Tenders over $750,000 while an Acting Vice-Chancellor is in place can be authorised by the Acting Vice-Chancellor and at least three members of the Finance Committee including the Chair if available.

Responsibilities of Delegated Officers

By authorising expenditure or commitment under this delegation, an officer gives a statement:

  1. that the transaction is only for University business;
  2. that all University policies and procedures have been observed;
  3. that sufficient funds are available from the appropriate budget;
  4. that the transaction complies with any conditions that apply to the funds, including research funds and grants from external bodies;
  5. that the person seeking to expend funds is entitled to do so;
  6. that the expenditure is not personal expenditure; and
  7. that the authorised signatory accepts responsibility for approving the transaction in full knowledge of the conditions, both internal and external, that apply to the use of the designated funds.

Legislative Context

Under Section 25 of The University of Ballarat Act 1993, the Council of the University (The Council) may on such terms and conditions as it determines:

  1. employ persons in teaching or other positions in the University;
  2. terminate the employment of a person employed by it; and
  3. enter into arrangements with any person, agency or body for the engagement of persons as teaching or other staff in the University.

Under Section 19 of The University of Ballarat Act 1993, the Council of the University (The Council) has authority to delegate all or any of its powers, authorities, duties and functions, to a committee appointed by it, a member of the Council or a prescribed officer of the University, other than -

  1. the power to make Statutes;
  2. the power relating to Awards of the University; and
  3. this power of delegation.

Under Section 23 (4) of The University of Ballarat Act 1993, the Vice-Chancellor may delegate any of the powers, duties, authorities and functions of the Vice-Chancellor, other than this power of delegation, to any person or body of persons.

Associated Documents

Forms
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Delegations - Contract, Financial, Staffing and Tender