Purpose
To outline the responsibilities of officers within the delegation/authorisation process.
Scope
- To describe how the Appointment of Authorised Persons and Workers, the appointment of persons to sign organisational documents and the appointment of authorised Administration Officers operate.
- To describe the steps in applying for a delegation from Company to the CEO and from the CEO to a Specified Office.
- To provide mechanisms to ensure delegations, the Appointment of Authorised Persons and Workers, the appointment of Officers authorised to sign documents and the appointment of authorised Administration Officers are current.
- To outline details of the audit, record keeping and evidentiary requirements.
- To provide a framework for the exercise and administration of delegations, the appointment of persons authorised to sign documents, the appointment of Authorised Persons and Workers and the appointment of authorised Administration Officers.
Responsibilities
Individual Managers are responsible for ensuring:
- Appropriate delegations/authorisations are in place. This includes ensuring that an officer is authorised to sign documents when acting in a role in a higher or secondment capacity.
- The officer exercising the delegation/Authorisation has the requisite expertise/experience and has received the necessary training to hold and competently exercise the delegation/Authorisation.
- The currency of an officer’s credentials to hold and exercise a delegation/Authorisation and any requirement for on-going training.
- Actions, reports and other documents properly consider the delegation/Authorisation of individual officers/offices. Where a delegation is required to implement a decision or Policy of Company, the Manager is responsible for following the process outlined herein to ensure that a suitable delegation exists and to have such delegation put in place, where required.
- Changes to organisational structures affecting position profiles are communicated to [insert are responsible] to ensure the Corporate Registers of Delegations/Authorisations are maintained. Delegates, Authorised Persons and Workers, persons authorised to sign documents and authorised administration officers.
A Delegate/an Authorised Person or Worker or a person authorised to sign organisational documents or an authorised Administration Officer must:
- the conditions of the delegation/authorisation;
- relevant Company policies and
- the limits of the power delegated to or authorisation conferred upon, the person or the office;
- possess the qualifications, experience, standing and/or competency in understanding and use of delegated power as provided for in relevant legislation and/or Company policies. Delegations may be revoked or restricted where qualifications are no longer current or where repeated
- or significant misuse of a delegation has occurred;
- Act with integrity;
- Not release information the person knows, or should reasonably know, is information that is confidential and
- Immediately inform the CEO in writing of any material personal interest he or she has in an issue to be, or which is being, dealt with by the employee in his/her duties and must not deal with, or further deal with, the issue except with the CEO’s written directions.
Corporate Registers
The online Corporate Registers of Delegations, Authorised Persons and Workers and persons authorised to sign documents and authorised Administration Officers are searchable databases maintained centrally by [insert area responsible].
Corporate Register of Delegations
Company maintains a Corporate Register of Delegations detailing the CEO’s delegations including authorisations which have been delegated to the CEO and executive staff. The Corporate Register of Delegations must contain:
- the name or title of the person or the name of the committee, to whom powers are delegated;
- [Note policy position of Company as previously referenced i.e. Company delegates to a specified officer as opposed to an individual by name] and
- A description of the powers delegated including the provisions permitting the exercise of powers; and
- the date of the resolution; and
- a summary of any conditions to which the delegation is subject, and
- if the resolution is numbered – it’s number. Note that the CEO may include any other information in the register that they consider to be appropriate
- Delegation from Company to the CEO preparing Company agenda items must refer to the Corporate Register of Delegations to determine whether the CEO has the delegation to action the Company resolution.
- Where a delegated power exists, the delegation reference must be correctly quoted (identifying the delegation number and the source of power) in the body of the item as provided for in the Corporate Agenda Item template.
Delegation from CEO to Specified Office Delegations from the CEO to the holder of a Specified Office are made as follows:
- A “Schedule of Delegations” is prepared for approval by the CEO.
- Following the CEO’s written approval, the holder of the Specified Office is notified by email.
- The Corporate Delegations Register is updated and the delegated powers are exercisable from the date of CEO approval, as recorded therein.
Persons Authorised to sign organisational documents
Authority to sign documents is given to an officer personally and not a position.
Use of Delegated Power and Powers of Authorised Persons
The delegated power is exercisable by an officer formally appointed to “act” in a Specified Office. The officer acting in a Specified Office can exercise any delegable powers applicable to that Specified Office for the duration of the temporary appointment from the commencement date of the appointment. Details of officers who have held acting appointments can be accessed through Company’s Human Resources.
Annual Performance Management Process Delegated powers and Authorisations held by an officer should be reviewed annually by the officer’s supervisor as part of the Performance Management Process. The officer’s supervisor is responsible for ensuring the officer’s credentials for holding Authorised Person/Worker status are current and that on-going training requirements are met.
Position Profile Changes Changes affecting position profiles as a result of organisational restructures, restructuring of business units or position reclassifications are communicated to [insert area responsible] by Human Resources.
Audit, Record Keeping and Evidentiary Requirements
Company’s policy position outlined in Company’s Information Management Policy indicating a preference for digital storage. Whilst Company’s information systems and legal evidentiary requirements are evolving, an audit trail consisting of the hard copy records will be maintained by [insert relevant department].
The purpose of record management is to ensure that business activity records of evidential quality are created, managed and disposed of in accordance with legal requirements. Records can include, but are not limited to, the following:
- Health and safety local action plans
- Internal evaluation reports
- Hazard and other registers
- Corrective actions registers
- Workplace inspections
- Risk assessments
Records may also include externally produced documentation such as external consultancy reports, statutory compliance notices or material safety data sheets used as part of a health and safety activity. Records generated may be in the form of hardcopy or electronic media.
Records must be stored in an orderly manner, be easily identifiable to facilitate their efficient and effective retrieval/replacement by any authorised person for purposes such as:
- analysis/investigation
- internal/external evaluation
- evidence of legal compliance
- evaluation and review
- training needs.
The medium used for storing records needs to be usable, reliable and allow preservation for as long as required in accordance with legislative requirements and administrative efficiency. Some of these retention periods are lengthy or permanent. Archives are records relocated to long-term storage for preservation beyond their immediate business function, including permanent records.