Macquarie University Clinical Associates Delegations Manual

Transcription

1 Macquarie University Clinical Associates Approved by MUCA Board 12 April 2016 Revisions Approved by MUCA Board 6 December 2016 Revisions Approved by MUCA Board 15 August 2017 To be reviewed on an ongoing basis and formally every 12 months

2 Table of Contents Table of Contents... 2 Purpose of this Manual... 3 Preamble... 3 Introduction... 3 Authority... 3 Purpose... 3 Principles... 3 Structure of Delegations... 4 Schedule 1. Delegations for Expenditure... 6 Schedule 2. Capital and Minor Works Schedule 3. General Financial Delegations Schedule 4. Human Resources Schedule 5. Education, Training and Travel Schedule 6. Non-Financial Delegations Schedule 7. Policy of 21

3 Purpose of this Manual Preamble Macquarie University Clinical Associates is a controlled entity of Macquarie University. The delegations of authority detailed in this manual are made by the Board of Macquarie University Clinical Associates Ltd and are subject to Board approval. Introduction The purpose of this manual is to establish the levels of authority delegated to duly appointed office holders and staff of Macquarie University Clinical Associates (MUCA). For the avoidance of doubt consultants however appointed are not considered staff or office holders. The underlying intention of this manual is to clarify accountability and responsibility for the day-to-day operations of MUCA. Authority Macquarie University Clinical Associates Ltd is a public company limited by guarantee. This delegations manual has been approved by the Board and may only be varied with Board endorsement. The Board or Managing Director may determine some functions to be non-delegatable. Purpose This has been compiled in order to ensure that there is a set of clear and unambiguous directions in respect of authorisations of expenditure, personnel matters and general business matters encountered by Officers of the company on a day-to-day basis. Principles 1. Delegated authority is subject to any overriding state or federal legislation. 2. Deleghated authority is subject to any overriding Macquarie University delegations. 3. The delegation of authority to a specified person is unique and may not be transferred or further delegated, except where: (a) the absence of the person to whom the delegation is made requires that the authority be exercised by the person acting in the position to which the authority is delegated (Where officers are acting or relieving in a position and exercise a delegation in this way, the officer should specify the position, and the acting nature of their occupancy in that role). (b) The sub-delegation has been specifically documented and approved by the Managing Director. 4. Delegates may apply more restrictive delegations to staff over which they have direct managerial control. A clear set of the revised delegations must be provided to the staff member in question where this occurs. See point 15 regarding amendment of delegations. 5. Where this manual specifies a delegation to a person or position, the position to which they report is also deemed to have the delegated authority unless otherwise indicated. 3 of 21

4 6. Monetary amounts stated in this manual are the maximum delegated amounts in relation to the delegated function and do not include GST. They do not imply or confer authority to spend more than the organisation s uncommitted budget allocation. 7. No delegate may: (a) Approve self-related matters (e.g. authorise expenditure or expenditure reimbursement to themselves, certify their own timesheets, authorise their own higher duty allowance, overtime or annual or long service leave); (b) Approve matters discussed above that are for an officer for whom the delegated officer has no responsibility unless the authority is otherwise specifically delegated for administrative purposes; (c) Split items or orders to bring them within any limit of their position s administrative responsibility or avoid purchasing requirements, e.g. 3 quotes for purchases over $10,000 (excluding GST). In principle, all expenditure is to be approved on the basis of availability of funding within the budget allocation and the availability of funds within each account. 8. The authorising person for the above, and other matters of a like nature, shall be a more senior member of staff unless otherwise specifically delegated for administrative purposes. 9. Delegates are expected to exercise the powers, authorities, duties, or functions delegated to them in a responsible, efficient, consistent and cost-effective manner and in accordance with the Organisation s Code of Conduct and Values. Whether a delegation should be exercised (or the matter referred to a higher authority) requires the exercise of discretion by the delegate. 10. Delegates must consider any additional recurrent costs that will be incurred as a result of a purchase. In the case of non-current assets, delegates must consider the effect a purchase will have on the future operating costs and the availability of funding. As a principle, procurement of material items (small capital) more than $5,000 should be subject to a business case. 11. All delegates are required to exercise their delegations in observance of manuals and policies issued by MUCA and the Health Sciences Centre. 12. Amendments, additions, and deletions to the must be considered and endorsed by the Board of Macquarie University Clinical Associates Ltd. Once endorsed, the change must be incorporated into the manual and any parties affected by the amendment should be formally notified. Structure of Delegations The delegations detailed in this manual have been arranged according to functional area to allow for easy identification and reference. The schedules within which the delegations are arranged are set out below. S1 Delegations for Expenditure S2 Capital & Minor Works S3 General Financial Delegations S4 Human Resources S5 Education, Training & Travel S6 Non-financial Delegations 4 of 21

5 The bodies, positions and expenditure limits detailed in this document (along with an abbreviation where appropriate) are listed below: Position Title Abbreviation Expenditure limit Board of MUCA Ltd Board >$150,000 Managing Director MD Up to $150,000 Chief Operating Officer COO Up to $50,000 Chief Financial Officer CFO Up to $15,000 Director of Medical Services DMS Up to $15,000 Director of Academic Health Strategy DAHS Up to $15,000 Clinical Program Heads (from 2018) Clinical Program Heads Trial (PCW&D and CV&R) Managers -Manager Finance -Senior Manager Operations and Major Projects -Program Managers -Clinical Directors -HR Manager -Practice Coordinators CPH/CPHT Up to $10,000 M MF SM PM CD HRM PC Up to $5,000 Up to $10,000 Up to $15,000 for contractual doctor payments only, otherwise $5,000 Up to $5,000 Nil Patient refunds only up to $1,000 Note that where the word only appears after the body or position to which the power is delegated, the power conferred can be delegated no further than that level. 5 of 21

6 Schedule 1. Delegations for Expenditure 1.1 Budget Approve Annual Budget Strategy Approve Annual Capital Plan Authority to transfer budget between cost centres 1.2 Consultants and Contractors Authority to engage and authorise expenditure for consultants services and approve variations in consultants work or cost (NB - significant changes in work or cost should not be approved by employees in direct supervision of the consultant) Up to $5,000 within budget Up to $10,000 within Program budget (from 2018) Up to $15, Up to $50, Up to $150, Over $150, Corporate Credit Card Authority to issue a corporate credit card and set limits in accordance with the CP HT Two written quotes Three written quotes Tender process, open invitation, written advice to Board 6 of 21

7 Schedule 1. Delegations for Expenditure Authority to use a corporate credit card subject to any other delegation regarding purchases (As much as possible use of the card should be limited to travel, accommodation, subscriptions, conferences) 1.4 Mobile Phones (as issue d) Authority to issue mobile phones Approve purchase of additional mobile phones Approve payment of mobile phone expenditure 1.5 Out of Pocket Expenses Approve out of pocket expenses for MD e.g. entertainment expenses Approve out of pocket expenses for Executive e.g. entertainment expenses Approve out of pocket expenses for management e.g. travel, miscellaneous expenses in accordance with general expenditure limits 1.6 Petty Cash Approve petty cash imprest reimbursements up to $500 FM 1.7 Purchase Orders and Invoices Approve purchase orders and or invoices for goods and services Up to $5,000 FM Up to $15,000 7 of 21

8 Schedule 1. Delegations for Expenditure Up to $50, Up to $150,000 Two written quotes Three written quotes Over $150,000 Two directors Approval of non-purchase order invoices for goods and services Up to $5, Up to $10,000 (from 2018) Up to $15, Up to $50, Up to $150,000 CP HT Two written quotes Three written quotes Over $150,000 Two directors Approval of price variances between POs and invoices Variances of >$3,000 and >10% per line item / invoice to be flagged for approval in line with PO approval limits above Variances >$5,000 per invoice to be escalated to COO 1.8 Accounts Payable Checking and authorising function for accounts payable MF 1.9 Acceptance of Tenders Under $150,000 8 of 21

9 Schedule 1. Delegations for Expenditure Over $150, Approval of tenders covering a period of three years or less to a total less than $150,000 in annual spend Approval for tenders covering more than three years irrespective of value 9 of 21

10 Schedule 2. Capital and Minor Works 2.1 Minor Works Capital item in the assets section of a balance sheet (and recorded in the entities asset register that is written off (depreciated) over more than one accounting period (or otherwise rentalised). Approve & commit to minor works (deemed as repair & maintenance) & expenditure for minor works, in line with the delegations manual: Up to $5, Up to $15, Up to $50, Up to $150, Over $150,000 Purchase of any asset should not be made without consideration of the anticipated annual operating costs that will be incurred as a result of the purchase. The availability of funding should also be considered. 2.2 Capital Expenditure (including equipment, fit-out, software, or any other capital item or project) Authority to purchase plant & other equipment in line with delegated authority 2.3 Disposal of Assets Up to $50, Up to $150, Over $150, Notification to University for adjustment of fixed asset register 2.4 Writing-off capital equipment Following stock take items not found, or where the item has ceased to function. 10 of 21

11 Schedule 2. Capital and Minor Works Up to $50,000 with notification to Board Up to $150,000 with notification to Board Over $150, Notification to University for adjustment of fixed asset register 11 of 21

12 Schedule 3. General Financial Delegations 3.1 Funding Agreements, Government Grants & Other Revenue Contracts Authority to accept and sign funding contracts and government grants on behalf of MUCA Up to $50, Up to $150, Over $150, Authority to make or receive payments in accordance with the Service Level Agreement and subject to availability of funds Authority to acquit grant funds on behalf of MUCA 3.2 Health Fund Contracts Authority to negotiate rates with health funds on behalf of MUCA Authority to approve new and or revised health fund contracts on behalf of MUCA 3.3 Debtors Adjustments Bad Debt Write Offs Single write off events up to $1, Up to $5,000 per write off event and no more than $50,000 per annum Up to $150,000 per annum More than $150,000 per annum Quarterly reporting to Board on bad debt write offs Adjustments and Discounts (incorrect raising of invoices, doctor discounts) 12 of 21

13 Schedule 3. General Financial Delegations Up to $10,000 per adjustment event and $50,000 per annum in aggregate Greater than $10,000 and up to $250,000 per annum Periodic reporting to Board on adjustments and discounts 3.4 Cheque Signatories Manually signed cheques Printed cheques 3.5 EFT Signatories (Online Banking) Online EFT Approval Two signatories to approve 3.6 Refunds Issue EFTPOS/cash refunds to clinic patients up to $1, Clinician Payment Sign Off Review and sign off on clinician payments for clincians on partially integrated model agreements (revenue split) up to $15,000 SM, PM, PC SM,PM & FM 13 of 21

14 Schedule 4. Human Resources 3.1 Attendance Records Approve attendance records for staff Approve amendments to attendance record 4.2 Payroll Review and approval or fortnightly payroll submission 4.3 Recruitment and Selection Approval to create positions additional to existing staff establishment in accordance with budget Approval to permanenantly fill vacant staff establishment positions accounted for in budget Determination of level and salary Authorise external advertising for recruitment of staff to approved positions within the funded establishment Review details of recommended applicant assessing outcome of working with children checks and criminal histories Approval of engagement of temporary assistance for defined periods and for defined tasks SM Approval of appointment as a member of staff Appointment to vacant funded position without advertisement 4.4 Remuneration Review HR M HR M HR M High level salary appointments to be made in consultation with the MQ Director HR Salary review for MD 14 of 21

15 Schedule 4. Human Resources Salary review for Executive (including Clinical Program Head) positions Salary review for clinical staff positions within budget With Board Approval Salary review for general staff positions within budget SM Approval of higher duties allowances for staff 4.5 Determination and Payment of Annual Performance Incentive Schemes for Clinical Staff Authority to set annual KPIs associated with clinician Performance Incentive Payments Authority to set Individual and Group Productivity Thresholds and other financial details of the annual Performance Incentive Schemes for each Clinical Discipline Authority to award quarterly Performance Incentive Payments (including discretionary) to clinicians in-line with annual scheme and achievement of KPIs 4.6 Resignation Authority to accept written notification of resignation for direct report (Chair for MD) Authority to undertake exit interview with employee Authority to rescind accepted resignations 4.7 Leave Paid and unpaid leave (including recreational, compassionate, maternity/paternity, conference, study, military, trade union, SES, repatriation, personal carers/family & community service): Authority to approve leave without pay for general and clinical staff Authority to approve paid leave in accordance with policy/fwa/contract HR M 15 of 21

16 Schedule 4. Human Resources Authority to direct staff to proceed on leave in accordance with FWA NES and policy Authority to direct executive staff (direct reports) to proceed on leave and or buy out leave credits Approval of overtime for staff 4.8 Hours Authorise variation of working hours on an ongoing basis 4.9 Staff Conduct & Performance Authority to manage any matters that relate to unsatisfactory professional or personal conduct by the MD Authority to manage any matters that relate to unsatisfactory professional or personal conduct by executive staff Authority to stand-down or suspend a member of staff pending investigation of conduct related matters Authority to manage any matters that relate to unsatisfactory professional or personal conduct of staff (other than Executive) Authority to conduct appraisal of the performance of the MD Authority to conduct appraisal of the performance of executive staff Authority to conduct appraisal of the performance of staff Authority to set and award remuneration changes for salaried staff 4.10 Termination (Chair) HR M 16 of 21

17 Schedule 4. Human Resources Authority to terminate the services of a staff member Termination payout to be in line with delegation of authority MQ Director HR to be consulted prior to any forced terminations 17 of 21

18 Schedule 5. Education, Training and Travel 5.1 Overseas Travel Approve overseas travel for MD and direct reports Approve overseas travel for Executive Staff Approve overseas travel for salaried clinicians in line with allowance in contract (where applicable) Approve overseas travel for staff 5.2 Conferences and Professional Development Activities Approve conference/course expenditure other than approved leave entitlements for MD Approve conference/course expenditure other than approved leave entitlements for Executive staff. Approve conference/course expenditure other than approved leave entitlements for staff Up to $5, Up to $20,000 (subject to other delegation limits) Over $20,000 (subject to other delegation limits) 18 of 21

19 Schedule 6. Non-Financial Delegations 6.1 Delegations Approve additions, deletions and alterations to the MUCA delegations manual. 6.2 Records Management Authority to dispose of records in accordance with the State Records Act Authority to archive records in accordance with the State Records Act 6.3 Information Systems Approve network access Approve software applications on the corporate network Approve Internet Access Approve external connections to the corporate network Approve and or restrict access to files & records Approve access to clinical information systems Approve access to management information systems With MUH IT Director With MUH IT Director 6.4 Legal Authority to seek legal advice from MQ Office of General Counsel Authority to coordinate responses to subpoenas Authority to determine whether legal advice should be sought in relation to terms and conditions for supply goods and services. 19 of 21

20 Schedule 6. Non-Financial Delegations 6.5 Media Approval of media statements or releases in relation to MUCA activities Determination of hospital spokesperson depending on nature of the issue 6.6 Freedom of Information Refer to Legal Counsel, Macquarie University (Freedom of Information s18.1 l) 6.7 Use of Official Resources Approval of use of official resources for non-official purposes (eg to aid charitable event or for noncommercial use) 6.8 Act for MD as Required Perform functions of MD as required in line with this manual 6.9 Clinician Engagement Models (non-employment) Approve and Sign Professional Services Agreements with clinicians Approve and Sign Partially Integrated Model Agreements with clinicians Approve and Sign Outsourced Model Agreements with clinicians Approve and Sign Sessional Agreements with clinicians 20 of 21

21 Schedule 7. Policy 7.1 Policy Framework Approve Policy Categories Approve Policy Template Policy Approve Policy Development and Approval Workflow Approve Corporate policies Approve Clinical policies Approve Clinic Operational Manual Approve Finance and Operations policies Approve Governance policies Approve Human Resources policies 21 of 21