NATIONAL NATIONAL WORKSHOPWORKSHOP

Delegations and Decision Rights Delegations and Decision Rights

3 February 20113 February 2011

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Presentation OutlinePurpose

PART A: CONTENT:

Definition of Delegation

Legal Framework

Instruments

PART B: CONTEXT:Key Elements Impacting on Delegations

PART C: PROCESS

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Purpose of the Presentation

The presentation seeks to:Provide legal basis for delegations. Provide context for considering how, what and to whom should you delegate.Provide a framework for the Context, Content and Processes of Delegations.

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CONTENTCONTENT

Delegation Meaning

Derived from Latin, delegate means "to send from." That means when delegating, you are sending the work "from" you "to" someone else.

Delegating clearly defines the limits and parameters of authority that go with the decision making by providing the checks and balances.

“Delegation” means the assignment of authority and responsibility to another person to carry out specific activities. The act of delegation, then, involves assigning powers or duties to another so he or she can act on your behalf.

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Legal Framework

Purpose of Delegations:To enable an HOD to manage her or his department effectively and efficiently, the EA shall provide the HOD with appropriate powers and authority. For the same purpose, an HOD shall empower employees in the department by means of appropriate delegations and authorisations where necessary.

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Legal Framework

Constitution:A general power of delegation is found in s238 of the Constitution. An executive organ of state in any sphere of government may delegate any power or function to another executive organ, provided the delegation is consistent with the original legislation.The Constitution sets down the qualification that the particular delegation must be consistent with the enabling legislation.

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Legal Framework

PSA:Section 42A of the PSA provides that:

An EA may delegate to the HoD any power conferred on the EA authority by this ActThe HoD may delegate to any employee of the department any power conferred on that head by this Act

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Legal Framework

PSR:Part II : DELEGATIONS, AUTHORISATIONS and RESPONSIBILITIES provides for:A. PrinciplesB. Delegations and AuthorisationsC. ResponsibilitiesD. Conflict of interest in Employment Acts or

DecisionsE. Handling of Official Information and

Documents

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Legal Framework

PSR:B. DELEGATIONS and AUTHORISATIONS:B.1. If the Regulations confer a power or impose

a duty upon an EA or HOD of a department, she or he, may subject to the Act:-

(a) Delegate the power to an employee or authorise an employee to perform the duty; and

(b) set conditions for the exercise of the power or performance of the duty

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Legal Framework

PSR:B. DELEGATIONS and AUTHORISATIONS:

B.2. An EA shall record a delegation or authorisation in writing and may incorporate it in an employment contract for an HOD as provided for in regulation VII B.2.1.

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Legal Framework

PSR:C. RESPONSIBILITIES:

C.2. An EA may not require or permit an HOD or any employee to engage in an activity or take a decision in breach of these Regulations.

C.5. An EA and HOD shall ensure that prior Treasury approval exists for any decision that involves expenditure from revenue.

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Legal Framework

PSR:D. CONFLICT OF INTEREST:

D.2. Where an EA or employee to whom a power or duty has been delegated or assigned, deviates from a panel’s recommendations, he or she shall record the reasons for such deviation in writing.

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Delegation Instruments

The following are examples of delegation instruments which expressly authorises the delegation of powers and duties in terms of legislation:The ConstitutionLegislation (laws enacted by Parliament, provincial Legislator or

Municipal Council).Regulations (subordinate legislation to provide further rules in support

of legislation).Proclamations (official announcement of an executive decision –

Listing of departments in Schedules 1 and 2 of PSA, President transfer the administration of legislation to another Cabinet Member S97 of the Constitution).Determinations (exercising an empowering provision – MPSA or

Premier transfer a function S3 of the PSA).

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Delegation Instruments

Directives (authoritative instruction to further elucidates regulatory provisions – Directive on Organisational Design).Circulars and Instructions (authoritative instruction issued for administrative application)Policy (a course of action adopted and pursued by government).

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Delegation Framework

Delegations policy applies to the whole department and the must be alignment of delegations with the central policy and legislation.Delegations are to be exercised within the framework of the Acts, Statutes, Regulations, Directives, Determinations and policies and any legislative instrument requirements.Delegated authority must be assigned and exercised by the most appropriate and well informed individuals.Delegations must reflect the department’s organisational structure as approved, which assigns bands of authority in relation to reporting lines within the department.

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Delegation Framework

Delegations are attached to the position occupied not to a specific occupant of the position. The responsibilities of a position appear in the job description appropriate to the position.Levels of authority are hierarchical through relevant lines of responsibility up to and including the HOD. This means that formal authorities held by any delegate are included in those held by that delegate’s supervisor or line manager, providing due account is taken of any requirements for professional registration.A delegate, who sub-delegates authority, remains ultimately responsible and accountable for the decision or action.

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Delegation Framework

The delegated authority must be allocated and aligned in a manner that facilitates efficiency and effectiveness and increases the accountability of staff for their performance.The holder of the original delegation may at any time vary or terminate any delegation, subject to any Statute governing the delegation.A delegation cannot be exercised where the officer holding the delegation has a conflict of interest.Changes to delegations or major variations, either permissive or restrictive, require written authority from the original holder of the delegation.

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Delegation Framework

Sub-delegation on a temporary basis is appropriate in circumstances where the officer normally responsible is officially absent for a period by reason of authorised leave or secondment to other duties.Sub-delegations require a written authority from the individual with the delegated power, or a person in a position to approve the delegated authority. A written authorised delegations notice indicating the legal item, description of action , powers and limitations, should be available to all decision makers.

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Roles and ResponsibilitiesVARICE principle explains the roles and responsibilities:Verify- the person who has to insure the correctness, completeness and compliance of the proposed decision-e.g. CFO, legal servicesAuthorise- the buck stops here- I sign as I have the delegationResponsible- I am the decision maker who remains ultimately accountable- I can overrule a decision takenInform- I must be kept in the picture- for knowledge of matterConsult- I must be kept in the loop as my recommendation/opinion affects your final decision- I can influence the decision to be taken e.g. EXCO, labour, PAJAExecute- those who execute the task but are not the decision maker- I act upon the decision taken

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CONTEXTCONTEXT

Organisational Context

Factors influencing delegationsFactors influencing delegations

Mission

LegalBoundary

Strategy and Policy Mandates

(Political)Environment Size Technology Management

SkillsClimate

Organisational Structure

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Functionality Framework:Input / output service delivery value chain

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LDMSF Performer Level Responsibilities

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Organisational Design Choice:

The Operating Platform choice for the design process would be informed by the following elements:

Mechanistic vs Organic- degree (high or low) with respect to complexity, formalisation, centralisation and departmentalisation .

Matrix- incorporation of dual or parallel reporting line, authority, decision-making and communication channels.

Growth vs Decline – life cycle of the growth path-Embryonic, Developmental, Mature, Decline.

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Organisational Behavioral Factors

Environmental Context- degree (high or low) of complexity, formalisation, centralisation and departmentalisation.

Organisational Context- incorporation of dual or parallel reporting line, authority, decision-making and communication channels.

Authority - roles; skills, competencies and expertise.

Control – planning; culture; core processes.

Power Structure – groupings; co-ordination; power systems.

Technology- leveraging ICTs to modify work processes.

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Organisational Variables

Division of Work - degree of specialism and productivity.

Unitary Reporting Line - one directly responsible superior due to accountability and performance management.

Authority/Delegations - rights inherent in a position to accept and direct work to subordinates.

Responsibility - an obligation to perform.

Chain of Command - supervisor-subordinate authority relationship.

Span of Control - number of subordinates that a manager can efficiently and effectively direct/ degree of interpersonal engagements with subordinates.

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Complexity

The degree of vertical, horizontal and spatial differentiation within an organisation:

Horizontal Differentiation - the degree of specialist differences between divisions based on nature of key and major tasks performed, skills/education and orientation of employees.

Vertical Differentiation - the number of hierarchical levels which depict the authority of the performer levels.

Spatial Differentiation - the location of the offices geographically into tiers e.g. HO, DO, Circuits and Institutions.

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Formalisation

The degree to which jobs are standardised for uniform output:

High Formalisation - minimum discretion of how, what, when and why the job should be done – it is performed according to prescripts

Low Formalisation - non-programmed jobs, great deal of freedom to exercise discretion on condition that outputs are met by employee

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Centralisation

The degree to which decision-making is concentrated at a single point within the organisation which impacts on the structural arrangements :

Top Management decision making - Security and Risks internally and externally evaluated to be high which impact on outcomes delivery and accountability.

Decentralisation - where lower level manager at tiers/spheres provide input or are given discretion to make decisions which impact on local outputs and service delivery.

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