- Delegations should be made specifically to the lowest appropriate level, but they may also be exercised by all managers in a direct line above that position.
Delegations should be made directly to the position that will be exercising the authority as part of the role of the position and day-to-day responsibilities. All managers in a direct line of authority above that named position will also be able to exercise that delegation.
- Delegations should reflect the separate roles of governance and management.
Strategy, policy, governance and major financial decisions are matters for elected representatives. Operational matters are generally the responsibility of staff although certain types of decisions, such as changes to the district plan and funding decisions, are considered to be matters of policy. Council ultimately decides on where the balance lies.
- Delegations should provide for clear accountability and reflect the lines of responsibility in the organisation.
Greater powers and responsibilities should be held and exercised at progressively more senior levels of the organisation.
- Delegations should be defined in terms of (a) principles, (b) policies and (c) detailed powers, duties or functions. The detailed powers, duties or functions should be consistent with the principles and policies.
Generic principles and policies will apply to all delegations. Specific principles and policies may apply to delegations in the Governance or Chief Executive’s registers or to different categories of delegations within those registers.
- Delegations should be broadly defined to ensure flexibility whilst being sufficiently prescriptive so that the extent and nature of the authority is clearly defined.
Where possible, a principled approach should be taken in the drafting of delegations. However, sufficient detail should be given so that it is clear what the power, duty or function does and does not cover.
- Delegations should be interpreted in a manner consistent with these principles.
- Delegations should be in writing.
Delegation instruments will record delegations made by council or committee and sub delegations from the Chief Executive. They will be held and managed centrally and referenced on the delegations database in order to provide a robust audit trail.
- Delegations should be to defined positions, bodies or a specified class of positions or bodies.
Delegations will not generally be permitted to named officers or persons so that currency is maintained and to enable a person acting in a position to exercise delegated functions. Generic delegations to e.g. group managers are encouraged. Delegations to named individuals will only be made for one-off cases in exceptional circumstances.
- Delegations should be standardised, where possible, across classes of positions and bodies.
For example, all group managers should have the same financial signing limits and HR authorities. The terms of reference for sub-committees, boards, working parties and other decision making bodies should be broadly similar with the others of the same class of entity (differing only with regard to subject matter), but they should be clearly distinct from those of the other classes.
- Where powers, duties or functions are delegated to a specified position, the same authority applies to any person acting in that specified position. By default the direct manager of a person in a specified position may act on behalf of that person if they are unavailable and the deputy chairperson of a committee, subcommittee or board may act on behalf of chairperson if they are unavailable (but may not act in both roles on the same matter)..
This provision allows for notified and non-notified absence of officers and chairpersons. Officers and deputy chairpersons will need to record in writing that they have exercised the delegated authority in an acting capacity.
- Officer delegations must first be delegated by Council, committee or other subordinate decision making body to the Chief Executive. This does not apply to powers or authorities where such delegation is prohibited by law.
Council, committee or other subordinate decision making bodies will not be permitted to delegate directly to officers (except where otherwise required by legislation) in order that the Chief Executive is able to manage delegations to staff.
- The Chief Executive may delegate to any officers or persons.
The Chief Executive can delegate to specified staff positions and other persons. If delegating to a person outside of council extra care is to be taken to ensure that the person is appropriately qualified and suitable.
- Officers, other than the Chief Executive, do not have the power to sub-delegate.
Clause 32B, Schedule 7 to the Local Government Act 2002 states that an officer cannot delegate the power to delegate under that clause. This has been interpreted as meaning that a power that has been sub delegated by the Chief Executive cannot be further delegated by an officer. There are similar provisions in other statutes, including the Resource Management Act 1991 and Local Government Rating Act 2002 that have been interpreted as preventing subdelegation by any officers.
- An entity or person in a specified position with delegated authority may seek advice from others on the exercise of that delegated authority in a particular case but ultimately must either exercise the power themselves or refer the matter back to the delegator or a manager in the direct line above their position to exercise the power.
In some circumstances, for example where there would be significant public interest in a matter or the is a potential conflict of interest, an officer or committee may decide not to make a decision and refer to the matter back to the delegator or to a manager in the direct line above their position.
- The power to exercise a function that has been delegated is held by the entity or person that delegated it and also by any manager in a direct line above a specified position to which a function has been delegated. However, such entities and persons should only exercise that function in cases where particular circumstances make that appropriate or when requested to do so by the delegation holder.
To allow for clarity and consistency a function should generally be exercised by the the entity or position that has been specifically delegated responsibility for that function. But there may be occasions where the circumstances of the case make it more appropriate for the delegator or a more senior position to carry out a function.
- Unless expressly provided in law, delegation or rules, a decision made under the exercise of a delegated authority cannot be overturned by another holder of that delegation. A new decision may be made if additional information is received.
Some legislation, including the Resource Management Act, and Auckland City Council bylaws allow for appeal of certain decisions. Council also provides the ability to appeal a decision in delegations and/or, policy, such as the Development Contributions policy. Unless the ability to appeal a decision has been expressly provided, a decision cannot be overturned by a person or body senior to the delegate. However, if additional information is received, a new decision can be made, although it still must be made only by those who have delegated authority.
- Delegations should not be exercised where a conflict of interest or perceived conflict of interest exists.
A person with either a personal prejudicial interest in a matter, or what would appear to be such an interest, must not be involved in decisions on that matter.
- An elected representative cannot exercise delegations as a Hearing Commissioner where the hearing relates to a matter from their own ward.
A matter from an elected representative’s own ward may give the appearance of a personal prejudicial interest.
- A delegate may exercise any ancillary powers necessary to give effect to a given delegation.
For example, a delegation to undertake financial transactions of up to a specified limit would include the ability to negotiate price, terms and conditions, authorise the contract, sign the contract etc.
- Where a matter has not been delegated, a decision on that matter must be made by Council. The General Counsel shall determine whether or not the matter is covered by a delegation.
Matters that do not appear to be delegated should be notified to the General Counsel so that consideration can be given to whether it is covered by some other delegation or if a new delegation is required.
- Unless specifically time-limited, a delegation continues in force until revoked, altered or varied by the delegator or Council.
For example, delegations may be required in relation to specific matters, where no broad delegation to deal with the type of matter exists. These delegations would be limited to e.g. the time span of the project or contract. Individual delegations do not have to be specifically revoked where a subsequent delegation is made which alters or varies the previous delegation.
- Decisions to make, revoke, alter or vary delegations must be expressly stated in accordance with the Delegations Procedure.
The Delegations Procedure will set out how an officer effects new delegations through Council, committee or the Chief Executive. There will be prescription around the wording of the delegation with a direction to alter the delegations register accordingly.
- A matter must be referred to the General Counsel where:
- there is an apparent conflict of delegations;
- the delegation is not clearly defined or does not appear to exist for a given matter
- a delegate’s ancillary powers need to be clarified.
For clarity and consistency, it is best that there be a single point of interpretation of the delegations. In the absence of judicial consideration of the delegations the General Counsel is most obvious position to do this within council.
- Where the description of a delegated legislative function is ambiguous or appears to conflict with the wording of the legislation the wording of the legislation will prevail.
The wording used in the description of a delegated function is only a guide to the exact nature of the function and does no limit or expand the wording used in the legislation.
- Officers are obligated to keep their managers, and where appropriate elected representatives, properly informed of activity arising within the scope of each officers’ delegations.
